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.
JOHN HENRY THOMPSON
Appeal as of right pursuant to N.C.G.S. § 7A-27(a) from
a judgment imposing a sentence of death entered by Judge Peter M.
McHugh on 14 November 2002 in Superior Court, Guilford County,
upon a jury verdict finding defendant guilty of first-degree
murder. On 5 September 2003, 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 10
May 2004.
Roy Cooper, Attorney General, by Barry S. McNeill,
Special Deputy Attorney General, for the State.
Staples Hughes, Appellate Defender, by Janet Moore,
Assistant Appellate Defender, for defendant-appellant.
BRADY, Justice.
Kenneth Bruhmuller was murdered at his workplace on 31
March 2001. On 16 April 2001, a Guilford County grand jury
indicted defendant John Henry Thompson for the first-degree
murder of Bruhmuller, burning of a building used for trade, and
robbery with a dangerous weapon. On 5 August 2002, another
Guilford County grand jury returned a superseding indictment
against defendant for burning of a building used for trade.
Defendant was tried capitally before a jury at the 4 November
2002 Regular Criminal Session of the Superior Court, GuilfordCounty. On 8 November 2002, the jury returned a verdict of
guilty of first-degree murder on the basis of malice,
premeditation, and deliberation and under the felony murder rule.
The jury also found defendant guilty of robbery with a firearm
and burning of a building used in trade. On 14 November 2002,
following a capital sentencing proceeding, the jury recommended a
sentence of death for the first-degree murder conviction, and the
trial court entered judgment in accordance with that
recommendation. The trial court sentenced defendant to a term of
103 months minimum and 133 months maximum imprisonment for the
robbery conviction and a consecutive term of 21 months minimum
and 26 months maximum imprisonment for the burning of a building
offense.
Defendant appealed his sentence of death to this Court
as of right pursuant to N.C.G.S. § 7A-27(a). On 5 September
2003, this Court allowed defendant's motion to bypass the Court
of Appeals as to his appeal of the noncapital convictions and
judgments.
This Court heard oral argument in defendant's case on
10 May 2004. After consideration of the assignments of error
raised by defendant on appeal and a thorough review of the
transcript, the record on appeal, the briefs, and oral arguments,
we find no error meriting reversal of defendant's first-degree
murder conviction or death sentence.
Evidence presented by the State at trial, including
video surveillance, indicated that on Saturday, 31 March 2001,
defendant entered Domino's Pizza on South Chapman Street inGreensboro, North Carolina, shortly before the business was to
open at 11:00 a.m. Defendant ordered five large pizzas from
Kenneth Bruhmuller, the manager and only employee present.
Defendant was a former assistant manager at that same Domino's
and knew Bruhmuller. The order was placed in defendant's first
name, John, and defendant was charged a discounted price.
Bruhmuller and defendant then exited the store.
Domino's area supervisor, Will Spivey, testified that
it was the common practice of Domino's employees to wash their
vehicles at the rear entrance of the building. Spivey also
testified that managers usually parked their cars in the alleyway
leading to the rear of the building. After defendant and
Bruhmuller went outside, Bruhmuller moved his car, which was
blocking the alleyway, and defendant backed his car down the
alleyway toward the rear of the building. A short time later,
defendant was recorded by video surveillance reentering the
building, but he soon walked out of view of the lobby area video
camera. Several minutes passed before the lobby area camera
showed defendant's car pulling out of the alleyway, after which
time the building began to fill with smoke. It was later
determined that approximately $195.00 was missing from a cash
drawer in the business' office area.
When other employees arrived around 11:15 a.m., the
building was filled with smoke, and flames were rising out of a
broken window. The employees opened the front doors, crawled a
few feet into the building, and yelled Bruhmuller's name, but
received no response. Greensboro Fire Department personnelresponded at the scene shortly thereafter and discovered
Bruhmuller's body on the floor in the office area. Fire
Department Captain Gary Church testified that Bruhmuller appeared
to have a fatal wound . . . from a gunshot or a wound to the
head, from some type of explosion. Captain David L. Leonard,
the arson investigator, believed that the fire originated in the
break/storage room area due to the ignition of readily available
material, on a couch and, after ruling out other causes,
concluded that it could only have been started by human
intervention.
Spivey and assistant manager Kenneth Leland Smith
identified defendant as the suspect in the surveillance video
taken from inside the store on the day of the fire. Defendant
was subsequently arrested and transported to the Greensboro
Police Department for an interview.
A pat down search incidental to defendant's arrest
revealed that he was carrying Bruhmuller's driver's license and
social security card. In a subsequent search, police discovered
a knife in defendant's front right pocket and a spent, twenty-
gauge shotgun shell casing in his front left pocket.
Defendant signed a consent form allowing police to
search his vehicle. In the trunk, police discovered a sawed-off
twenty-gauge Model 37 Winchester shotgun, a short sword, a
bayonet with a cover, and a black ski mask. On the floorboard of
the car's interior, police located a piece of crumpled up white
paper that matched printer paper used to label pizza boxes found
at the scene of the crime. Police also found a bag containingseventeen loose twenty-gauge shotgun shells and an empty, twenty-
five-count box of shotgun shells.
After being advised of his Miranda rights and signing a
waiver of rights form, defendant gave a statement to Greensboro
Police Department Detective Norman Rankin. Defendant said, I'm
sorry Saturday ever happened. He began crying and said, That
was stupid. He further stated that his bills were piling up
and that he could not get a job. Defendant continued, saying
[i]t was an accident. Going to Domino's was the accident. I
went there just to get the money. I planned this when I drove by
the store.
Defendant later told Detective Rankin that he took
$200.00 from a drawer in the office, as well as Bruhmuller's
wallet, which contained an additional $20.00 to $25.00.
Regarding the killing of Bruhmuller, defendant said that [i]t's
like the gun fired by itself, 'cause, I swear, I don't remember
pulling the trigger. Defendant identified the weapon as a
twenty-gauge shotgun that had been sawed off. Defendant said
that he left the building after it caught on fire, but did not
recall setting the fire. According to defendant, he later threw
Bruhmuller's wallet away but kept his driver's license and social
security card. During the interview Detective Rankin wrote what
defendant told him verbatim, and defendant then read and signed
the written statement. Responding to specific questions posed by
Detective Rankin, defendant admitted to robbing Domino's of
$200.00 because he needed money to pay bills, although he denied
that the robbery was planned. He admitted to using a shotgun,but stated that the shooting of Ken was accidental, and again
denied setting the fire.
North Carolina Chief Medical Examiner John D. Butts,
M.D. testified concerning the autopsy he performed on
Bruhmuller's body. The autopsy revealed two shotgun entry wounds
to Bruhmuller's facial region, one in the central part of the
face and the other in the chin and mouth area. Dr. Butts
concluded that the wounds were inflicted from a distance that
was close, but not very, very close. . . . consistent with a
distance of several feet. Dr. Butts testified to his opinion
that Bruhmuller died as a result of the gunshot wounds, either of
which would have been instantaneously fatal. According to Dr.
Butts, Bruhmuller's air passages were not sooty, an indication
that he had not inhaled smoke, and the level of carbon monoxide
in his blood was inconsistent with someone who had inhaled
combustion product gases from a fire.
Special Agent David Santora of the North Carolina State
Bureau of Investigation was qualified at trial as an expert in
firearm and toolmark identification. Santora testified that he
determined the spent shotgun shell casing found in defendant's
pocket was fired from the shotgun found in defendant's car.
Santora also testified that pellets recovered from a pool of
blood in the Domino's office and pellets recovered from
Bruhmuller's head during the autopsy were derived from a gauge of
shotgun shell that was most consistent in size and weight with
the gauge of the unspent shells found in defendant's car.
Santora explained that the firearm found in defendant's car was asingle-action shotgun that holds only one shell at a time. Agent
Santora testified that to load this shotgun, One would insert a
live shotgun shell into the barrel, and it would stop, so it was
flush with the end. Close the gun. It would lock up.
(Demonstrated.) And then the hammer would be manually cocked,
and the trigger would be pulled. (Demonstrated.) And that would
fire the shotgun shell. According to Santora, the firearm would
have to be reloaded, the hammer cocked, and the trigger pulled
between every shot.
During defendant's capital sentencing proceeding,
forensic psychologist Dr. James H. Hilkey testified on
defendant's behalf. According to Dr. Hilkey's testimony and
written evaluation, defendant informed the doctor that on the
morning of the crime, he had consumed alcohol and had smoked
marijuana. Defendant stated that he drove to a local car wash,
but because it was crowded, he decided to wash his car at
Domino's. Defendant said that when he opened his trunk, he saw
the shotgun and decided to use it to take enough money to satisfy
his bills. He stated that he did not intend to kill Bruhmuller
and that the first shot was an accident. When asked about the
second shot, defendant said, tearfully, that he knew the first
wound was fatal and did not want Bruhmuller to suffer. Dr.
Hilkey testified to his opinion that defendant fits clearly the
diagnosis for both alcohol and substance abuse and, at the time
of the killing, defendant was operating under the influence of a
mental or emotional disturbance. Additional relevant facts will be presented when
necessary to resolve specific assignments of error raised by
defendant.
Grey went on to testify that she contacted Bruhmuller's
biological father, who had been estranged from his son [f]or a
considerable period of time.
On redirect examination, defendant's attorney elicited
testimony from Grey that the victim's biological father would be
satisfied with Mr. Thompson serving a life sentence . . . .
[w]ithout the possibility of parole. On recross examination,
Grey testified as follows:
Q[THE PROSECUTOR] Do you know when [was]
the last time Kenneth Bruhmuller's father saw
him?
A[GREY] I do not. I know from what he said
to me that it had been many years.
Q And do you know that this gentleman back
here [referring to the victim's stepfather]
is actually the one that raised him as a son?
A I do.
Q Have you asked this gentleman back here
what his opinion was?
A Well, I wrote the Andrews (sic) a
letter, and they declined to talk with me,
which I certainly understand. And I would
not press this on them.
Grey was later recalled by defendant and further cross-
examined by the prosecution. At that time, Grey testified that
Bruhmuller and his biological father were estranged, adding that
the father did not attend his son's funeral. At the end of
Grey's testimony, the following exchange took place:
Q[THE PROSECUTOR] But in spite of all
that, he took it upon himself to give you an
opinion about what the sentence should be in
this case?
A[GREY] He didn't tell me what he thought
the sentence should be. What he said was --
and he acknowledged that he was not a part of
Kenneth's life as an adult, or even for much
of his childhood. He said that from his
perspective and from where he was in his own
life, that he would be content with the idea
of somebody serving a life sentence without
the possibility of parole.
Defendant did not object to Grey's testimony concerning her
contact with Bruhmuller's family.
In Booth, the United States Supreme Court held that the
admission of any victim-impact evidence violates the Eighth
Amendment because such evidence is irrelevant to a capital
sentencing decision, and that its admission creates aconstitutionally unacceptable risk that the jury may impose the
death penalty in an arbitrary and capricious manner. 482 U.S.
at 502-03, 96 L. Ed. 2d at 448. Pursuant to a Maryland state law
permitting it to do so, the prosecution at trial read to the jury
a victim impact statement which noted the sentiments and opinions
of the victim's family members. Id. at 498-99, 96 L. Ed. 2d at
446. The Court in Booth concluded that evidence that
describe[s] the personal characteristics of the victims and the
emotional impact of the crimes on the family or which set[s]
forth the family members' opinions and characterizations of the
crimes and the defendant is inadmissible because neither relate
to defendant's blameworthiness. Id. at 502, 96 L. Ed. 2d at 448;
see also Gathers, 490 U.S. at 811, 104 L. Ed. 2d at 883 (holding
that a prosecutor's comments regarding the personal
characteristics of a victim were indistinguishable in any
relevant respect from that in Booth and, therefore, were
violative of the Eighth Amendment).
However, in Payne, the United States Supreme Court
overruled Booth and Gathers in part by holding that the admission
of victim-impact evidence in a capital proceeding was not a per
se violation of the Eighth Amendment. 501 U.S. at 827, 115 L.
Ed. 2d at 736. [E]vidence about the victim and about the impact
of the murder on the victim's family is relevant to the jury's
decision as to whether or not the death penalty should be
imposed. Id. Thus, such evidence is admissible unless it is
so unduly prejudicial that it renders the trial fundamentally
unfair. Id. at 825, 115 L. Ed. 2d at 735. Although the Court in Payne concluded that Booth and
Gathers were wrongly decided and should be, and now are,
overruled, id. at 830, 115 L. Ed. 2d 739, the Court stated that
this holding was limited to the portions of Booth and Gathers
concerning evidence and argument relating to the victim and the
impact of the victim's death on the victim's family. Id. at 830
n.2, 115 L. Ed. 2d at 739 n.2. The Court noted that Booth also
held that the admission of a victim's family members'
characterizations and opinions about the crime, the defendant,
and the appropriate sentence violates the Eighth Amendment and
that [n]o evidence of the latter sort was presented at the trial
in [Payne]. Id. Thus, defendant is correct in stating that the
portion of Booth which holds that the family members' opinions
and characterizations of the crime[] and the defendant are per
se inadmissible was undisturbed by Payne. Booth, 482 U.S. at
502, 508-09, 96 L. Ed. 2d at 448, 451-52.
However, we do not agree that Grey's testimony at
defendant's trial was the same type of evidence excluded in
Booth. In Booth, a victim-impact statement prepared by the
Maryland Division of Parole and Probation was read aloud to the
jury. This victim impact statement, which was ultimately found
inadmissible, contained statements by the victims' son that his
parents were
butchered like animals and that he
"doesn't think anyone should be able to do
something like that and get away with it."
The VIS also noted that the [victims']
daughter could never forgive anyone for
killing [her parents] that way. She can't
believe that anybody could do that to
someone. The victims' daughter states thatanimals wouldn't do this. [The perpetrators]
didn't have to kill because there was no one
to stop them from looting. . . . The murders
show the viciousness of the killers' anger.
She doesn't feel that the people who did this
could ever be rehabilitated and she doesn't
want them to be able to do this again or put
another family through this.
Booth, 482 U.S. at 508, 96 L. Ed. 2d at 452 (alteration in
original)(citations omitted).
(See footnote 1)
The testimony at issue in this case is of an entirely
different nature than the statements admitted in Booth. Grey, a
defense witness, simply testified that the Alexanders did not
respond to her inquiries with respect to the defendant's remorse
for the murder of their son and the defendant's willingness to
plead guilty and that Grey understood why. As the Alexanders
never actually communicated with Grey, her testimony was not the
family members' opinions and characterizations of the crime[] and
the defendant. See id., at 502, 96 L. Ed. 2d at 448. Moreover,
the evidence was neither admitted through a family member nor
through a formally prepared victim impact statement. Therefore,
Grey's testimony is not an inadmissible victim impact statement
and it does not violate Booth or Payne. This assignment of error
is overruled.
Defendant next argues that he is entitled to a new
sentencing hearing based upon prejudicial errors in the trial
court's failure to properly submit five mitigating circumstances
to the jury for consideration. Defendant argues that he
requested peremptory instructions as to each mitigating
circumstance and that the requested mitigating circumstances were
supported by the evidence at trial. He asks that this Court
review these assigned errors both individually and cumulatively. First, defendant assigns error to the trial court's
failure to submit to the jury the nonstatutory mitigating
circumstance that [t]he defendant was willing to plead guilty to
[f]irst [d]egree [m]urder and serve the rest of his life in
prison without parole. According to defendant, the trial
court's refusal to instruct the jury as to this mitigating
circumstance is prejudicial error for which he must receive a new
sentencing hearing.
Preliminarily, we note that the trial court did submit
three nonstatutory mitigating circumstances from which the jury
could determine that defendant had accepted responsibility:
[a]fter his arrest, the defendant admitted to shooting Mr.
Bruhmuller and taking money from the store; [t]he defendant has
expressed regret for the murder of Kenneth Bruhmuller, and
[t]he defendant has accepted responsibility for his criminal
conduct. The trial court also instructed the jury as to the
statutory catchall mitigating circumstance, which is [a]ny other
circumstance or circumstances arising from the evidence which one
or more . . . [jurors] deems to have mitigating value. See
N.C.G.S. § 15A-2000 (f)(9) (2003). The jury found as a
mitigating circumstance that defendant accepted responsibility
for his conduct.
Following his conviction for first-degree murder,
defendant submitted a written request for peremptory instruction
on a number of mitigating circumstances, including the willing
to plead mitigating circumstance. During the sentencing-phase
charge conference, the trial court questioned whether themitigating circumstance could properly be submitted to the jury.
The State argued that the mitigating circumstance should not be
submitted because defendant never entered a guilty plea to first-
degree murder and because by pleading not guilty, defendant
denied every element of the offense. While acknowledging
defendant's right to plead not guilty, the State argued that, in
so pleading, defendant gave up his right to have his purported
willingness to plead guilty to first-degree murder submitted as a
mitigating circumstance. Defendant pointed to Grey's testimony
that defendant had expressed a considerable degree of remorse
and a willingness to take a sentence of life imprisonment.
Following further discussion, the trial court ruled that
defendant was not entitled to the mitigating circumstance.
This Court recently addressed a similar assignment of
error in State v. Carroll, 356 N.C. 526, 573 S.E.2d 899 (2002),
cert. denied, 539 U.S. 949, 156 L. Ed. 2d 640 (2003). In
Carroll, the Court determined that the defendant was not entitled
to a nonstatutory mitigator that he accepted responsibility by
offering to plead guilty to second-degree murder. The defense
attorney in Carroll moved to present evidence that defendant was
'willing to accept responsibility and take a plea . . . of 391 to
479 months and that he made that offer.' Id. at 548, 573 S.E.2d
at 913. Even so, the attorney conceded that this evidence was
normally 'precluded from the case in chief' because it 'would
be considered part of a settlement conference.' Id. The
defense attorney noted that negotiations were ongoing and that
defendant was willing to plead guilty to second-degree murder. Id. However, the State had never made a plea offer. Id. The
State informed the trial court that, although the defense had
made several suggestions concerning what the State should offer
defendant, no one ever made clear whether 'defendant ha[d]
himself offered to take any time.' Id. The trial court denied
the motion because the evidence was not relevant and because it
was 'relative to pretrial negotiations.' Id. Defense counsel
renewed the motion, which the trial court again denied, following
the trial court's jury charge. Id.
In Carroll, this Court determined that the trial court
did not err by refusing to allow the defendant to present
mitigating evidence as to his offer to plead guilty to second-
degree murder. In so doing, the Court reasoned as follows:
In the present case, the evidence is at
best conflicting as to defendant's
willingness to plead guilty to second-degree
murder. From our review of the record, we
can conclusively determine only that
defendant's attorney tried repeatedly to
obtain a plea offer from the State. Because
the State never made an offer, we cannot know
with certainty whether defendant would have
indeed pled guilty to second-degree murder
and accepted a plea agreement.
Assuming arguendo that defendant was
willing to plead guilty to second-degree
murder, this is evidence only of defendant's
willingness to lessen his exposure to the
death penalty or a life sentence upon a
first-degree murder conviction. Defendant's
willingness to accept a second-degree murder
plea would be more likely a result of his
assessment of the risk of trial than his
willingness to accept responsibility for his
actions. Indeed, defendant admitted to
police that he was likely to get the death
penalty for his crime. Moreover, defendant
chose to plead not guilty and proceed to
trial rather than enter a guilty plea and
accept responsibility for the killing.
Having made this choice, defendant cannot nowcomplain that he should have been allowed to
reveal during sentencing his hypothetical
willingness to enter a guilty plea to a
lesser crime.
Finally, the trial court did submit to
the jury the nonstatutory mitigating
circumstances that [d]efendant at an early
stage in the proceedings admitted his
involvement in the capital felony to law
enforcement officers, [d]efendant's
cooperation and the information he provided
were valuable to law enforcement,
[d]efendant has expressed remorse for the
murder, [d]efendant told the officers
through his mother where to find him and
peacefully surrendered. The trial court
also submitted to the jury the catchall
mitigating circumstance. See N.C.G.S. §
15A-2000 (f)(9). Accordingly, the jury was
given ample means to determine whether
defendant had accepted responsibility for his
actions.
Id. at 548-49, 573 S.E.2d at 914.
As in Carroll, there is no definitive evidence in the
record that the State offered, or that defendant would have
accepted, a plea to receive a lesser sentence. Assuming Grey's
testimony was sufficient to infer that defendant would have pled
guilty to first-degree murder in return for receiving a sentence
of life without parole, it is difficult to assess whether
defendant's willingness to do so had mitigating value in
demonstrating his admission of responsibility. It may have
indicated only his willingness to lessen his exposure to the
death penalty. Id. at 549, 573 S.E.2d at 914. Furthermore,
like the defendant in Carroll, defendant in the present case
chose to plead not guilty and proceed to trial. Having made
this choice, defendant cannot now complain that he should have
been allowed to reveal during sentencing his hypothetical
willingness to enter a guilty plea to a lesser crime. Id. For these reasons, we hold that the trial court did not
err by refusing to submit a willing to plead mitigating
circumstance to the jury. Accordingly, we overrule this
assignment of error.
Defendant next assigns error to the trial court's
failure to submit the N.C.G.S. § 15A-2000(f)(1) and (f)(7)
mitigating circumstances to the jury. Section 15A-2000(f)(1)
concerns whether defendant has no significant history of prior
criminal activity and section 15A-2000(f)(7) concerns [t]he age
of the defendant at the time of the crime. Defendant argues
that the trial court should have submitted these mitigating
circumstances ex mero motu, despite his failure to request them.
We agree that a defendant's failure to request a jury
instruction on the f(1) mitigating circumstance does not relieve
the trial court of its duty to instruct the jury as to that
mitigating circumstance if the evidence supports instruction.
See State v. Mahaley, 332 N.C. 583, 597, 423 S.E.2d 58, 66 (1992)
(noting that the f(1) mitigating circumstance must be submitted
without regard to the wishes of the State or the defendant),
cert. denied, 513 U.S. 1089, 130 L. Ed. 2d 649 (1995). However,
before submitting the f(1) mitigating circumstance, a trial
court must 'determine whether a rational jury could conclude that
defendant had no significant history of prior criminal
activity.' State v. Atkins, 349 N.C. 62, 87, 505 S.E.2d 97, 113
(1998) (quoting State v. Wilson, 322 N.C. 117, 143, 367 S.E.2d
589-70, 604 (1988)), cert. denied, 526 U.S. 1147, 143 L. Ed. 2d
1036 (1999). A significant history of prior criminal activity .. . is one likely to influence the jury's sentence
recommendation. Id. at 88, 505 S.E.2d at 113. When the trial
court is deciding whether a rational juror could find the (f)(1)
mitigating circumstance to exist, the nature and age of the prior
criminal activities are important, and the mere number of
criminal activities is not dispositive. State v. Greene, 351
N.C. 562, 569, 528 S.E.2d 575, 580 (finding that the trial court
did not err by refusing to submit the f(1) mitigating
circumstance where much of defendant's prior criminal activity
was recurrent, recent, and similar in nature to his conduct in
that case), cert. denied, 531 U.S. 1041, 148 L. Ed. 2d 543
(2000).
During sentencing, the State presented evidence that
defendant had twice previously committed armed robbery of a
Greensboro Bojangles restaurant and, in the process, kidnapped
five victims. The evidence tended to show that at closing time
on 17 March 1990, defendant entered a Bojangles restaurant
wearing a ski mask type thing and carrying a sawed-off, pump-
type shotgun. Defendant held a bystander at gunpoint and
demanded money from Billy Adams, the assistant manager. Adams
gave defendant money from the drive-through cash register only,
explaining that the front registers had already been cleared out.
Defendant then told Adams to give him the money kept in a
separate lock box. Adams complied with defendant's demands
while the remaining employees hid in a closet. Defendant left
with approximately $400.00. Evidence further indicated that the following month,
during the early morning hours of 8 April 1990, defendant entered
the same Bojangles while holding an employee at gunpoint. Again,
defendant's face was covered, and he was carrying a pump type
shotgun with the stock end cut off. Defendant ordered three
female employees, including a pregnant woman named April Dobbins,
into the store's freezer. Defendant blocked the freezer door
with a metal rack. While holding the shotgun behind manager
Thomas Lenk, defendant ordered him to walk to the office in the
back of the store. There, defendant instructed Lenk to open the
safe. Lenk testified at the sentencing proceeding that defendant
stood behind him with the shotgun as he complied with defendant's
instructions. After Lenk gave defendant the money in the safe,
defendant shot the office phone. Dobbins testified that upon
hearing the shot, she thought defendant had shot Lenk. Defendant
then ordered Lenk to the front of the store, where he instructed
him to empty the registers. After Lenk did so, defendant
escorted Lenk, shotgun in hand, into the store's cooler. Lenk
testified that, as he walked to the cooler, he prayed defendant
would not shoot him.
Detective Gary Evers of the City of Greensboro Police
Department testified that he was assigned to investigate the two
robberies, which occurred less than one month apart. At trial,
Evers detailed how his investigation led him to defendant and the
eventual seizure of items relating to the robberies from
defendant's residence and vehicle. Following the seizure,
defendant gave a detailed statement, admitting that he committedthe two robberies. Defendant, who was twenty-two years old at
the time of the crimes, pled guilty to two counts of robbery with
a dangerous weapon and five counts of second-degree kidnapping.
The counts were consolidated into one judgment, and defendant
received a twenty-two-year sentence. Defendant served eight
years of his sentence and was released in 1998.
Grey testified that, at the time of the 1990 robberies,
defendant was experiencing financial difficulty and having a hard
time finding employment. Also, it was revealed at sentencing
that defendant had worked at that same Bojangles before
committing the two armed robberies.
Considering the evidence of defendant's prior felony
convictions for five second-degree kidnappings and two armed
robberies, as well as the similarities between defendant's
conduct leading to those convictions and the facts underlying
Bruhmuller's murder, we determine that no rational jury could
conclude that defendant had no significant history of prior
criminal activity. Atkins, 349 N.C. at 87, 505 S.E.2d at 113
(quoting Wilson, 322 N.C. at 143, 367 S.E.2d at 604).
Additionally, we note that the jury found seven aggravating
circumstances to exist based on defendant's prior convictions,
namely that defendant had been previously convicted of a felony
involving the use or threat of violence to the person on seven
previous occasions. See N.C.G.S. § 15A-2000(e)(3)(2003).
Although defendant is correct that the (f)(1) no significant
history of prior criminal activity mitigating circumstance can,
and in some cases should, be submitted simultaneously withmultiple (e)(3) aggravating circumstances, see State v. Bone, 354
N.C. 1, 16-17, 550 S.E.2d 482, 492 (2001), cert. denied, 535 U.S.
940, 152 L. Ed. 2d 231 (2002), given the particular facts
underlying the submission of seven (e)(3), prior felony
conviction, aggravating circumstances in this case, 'it is
unimaginable that . . . the same jury might simultaneously have
found that aggravating circumstance to be so irrelevant that it
could reasonably infer the existence of the mitigating
circumstance in N.C.G.S. [] 15A-2000(f)(1).' State v. Jones,
339 N.C. 114, 158, 451 S.E.2d 826, 850 (1994) (quoting State v.
Artis, 325 N.C. 278, 316, 384 S.E.2d 470, 491 (1989), judgment
vacated, 494 U.S. 1023, 108 L. Ed. 2d 604 (1990))(alteration in
original), cert. denied, 515 U.S. 1169, 132 L. Ed. 2d 873 (1995).
Accordingly, this assignment of error is overruled.
We likewise reject defendant's argument that the trial
court erred by not submitting the f(7) mitigating circumstance,
[t]he age of the defendant at the time of the crime, to the
jury ex mero motu. In support of this assignment of error,
defendant argues that although his chronological age was thirty-
two years at the time of the murder, he functioned at a
significantly younger level. In particular, defendant points to
Dr. Hilkey's testimony that he exhibited aspects of a dependent
personality disorder, lacked internal skills to respond maturely
to stressful situations, and functioned emotionally as an
adolescent. Defendant further notes that he presented evidence
of family violence and abuse and that the trial court found the
evidence sufficient to submit a nonstatutory mitigatingcircumstance that he function[ed] emotionally at the age of an
adolescent.
During the sentencing phase, Dr. Hilkey testified that
defendant suffered from chronic depression and a severe
personality disorder. He stated that defendant was very
uncomfortable with close relationships, could not sustain
meaningful relationships, and lacked the ability to be flexible
and to deliberate regarding his thoughts. Dr. Hilkey further
testified that defendant behaved in a very childlike manner and
was dependent on others. Dr. Hilkey also testified that
defendant functioned better in structured environments where
there was less stress. According to Dr. Hilkey, defendant's
emotional functioning was like that of an adolescent whose
thinking is rigid, is impulsive at times, and has the right
intentions, but ultimately fails.
As defendant suggests in his brief, there was also
evidence introduced that his father was sometimes absent from the
family structure when defendant was a child, abused alcohol,
created a restrictive environment for his family when he was
present, and was abusive, particularly toward defendant's mother.
Dr. Hilkey testified that the father's alcohol abuse was an
environmental and genetic factor contributing to defendant's
alcohol and drug dependency.
For the purpose of assessing whether the f(7)
mitigating circumstance should have been submitted, this Court
considers age a flexible and relative concept. State v.
Johnson, 317 N.C. 343, 393, 346 S.E.2d 596, 624 (1986). Thus,chronological age is not the determinative factor in concluding
this mitigating circumstance exists. State v. Gainey, 355 N.C.
73, 105, 558 S.E.2d 463, 483, cert. denied, 537 U.S. 896, 154 L.
Ed. 2d 165 (2002). The defendant's immaturity, youthfulness, or
lack of emotional or intellectual development is also relevant.
Id. Nevertheless, evidence showing emotional immaturity is not
viewed in isolation, particularly where other evidence shows
'more mature qualities and characteristics.' State v. Spruill,
338 N.C. 612, 660, 452 S.E.2d 279, 305 (1994) (quoting Johnson,
317 N.C. at 393, 346 S.E.2d at 624), cert. denied, 516 U.S. 834,
133 L. Ed. 2d 63 (1995).
Although evidence showing emotional
immaturity is relevant to submission of the
(f)(7) mitigating circumstance, this Court
will not conclude that the trial court erred
in failing to submit the age mitigator [ex
mero motu] where evidence of defendant's
emotional immaturity is counterbalanced by
other factors such as defendant's
chronological age, defendant's apparently
normal intellectual and physical development,
and defendant's lifetime experience.
State v. Meyer, 353 N.C. 92, 101, 540 S.E.2d 1, 6 (2000) (quoting
State v. Steen, 352 N.C. 227, 257, 536 S.E.2d 1, 19 (2000), cert.
denied, 531 U.S. 1167, 148 L. Ed. 2d 997 (2001)(alteration in
original)(emphasis added), cert. denied, 534 U.S. 839, 151 L. Ed.
2d 54 (2001).
Notwithstanding defendant's summary of the facts at
trial, additional evidence was presented contradicting Dr.
Hilkey's testimony and tending to show that defendant functioned
emotionally as an adult. He was thirty-two years old when he
murdered Bruhmuller. Defendant graduated from high school in1987 with a C average, and his I.Q. was within the normal range.
Defendant moved in with his girlfriend, Ivey Milton, and her
children, developing a spouse-like relationship with Milton and
becoming a father-figure for Milton's two children and two other
minors who lived with them. He continued to have contact with
the family in that capacity even after he was arrested.
Defendant worked at Domino's and other places, contributing both
financial and emotional support to the family even in Milton's
absence. Between November 1999 and January 2001, defendant paid
the family's rent on time, with the exception of one month.
We determine that these factors, which tend to show
defendant's apparently normal intellectual and physical
development, see Meyer, 353 N.C. at 101, 540 S.E.2d at 6
(quoting Steen, 352 N.C. at 257, 536 S.E.2d at 19),
counterbalance Dr. Hilkey's testimony. Moreover, while defendant
is correct that the trial court submitted a nonstatutory
mitigating circumstance that [d]efendant functions emotionally
at the age of an adolescent, the jury did not find that
circumstance to exist and to have mitigating value. Accordingly,
the trial court did not err in failing to submit [t]he age of
the defendant to the jury ex mero motu as a mitigating
circumstance. This assignment of error is overruled.
In his next assignment of error, defendant contends
that the trial court committed reversible error by refusing to
give peremptory instructions on two nonstatutory mitigating
circumstances as submitted by defense counsel. Specifically,
defendant requested, in writing, peremptory instructions as tothe following: (1) After his arrest, [d]efendant confessed to
shooting the [sic] Mr. Bruhmuller and taking money from the
store; and (2) The [d]efendant has consistently expressed
remorse for the murder of Kenneth Bruhmuller. Defendant argues
that in denying the requested peremptory instructions, the trial
court substituted its own subjective opinion for the jury's
determination of these two nonstatutory mitigating circumstances.
We disagree.
Regarding defendant's first request for a mitigating
circumstance on his confession, the following exchange took
place:
MR. CAUSEY: The first nonstatutory
[mitigating circumstance] would be language
to the effect that After his arrest, the
defendant, or John Thompson, confessed to
shooting Kenneth Bruhmuller and taking money
from the store.
THE COURT: I've got an issue I'd like
to raise with you about that terminology.
And it arises from the same basis on which I
gave an instruction to the jury at the
[guilt] phase. I'm not sure that the
statement that was taken from the defendant
constitutes a confession, so much as an
admission. Would you be satisfied with an
instruction to the effect that, After his
arrest, the defendant admitted to shooting
Mr. Bruhmuller and taking money from the
store?
MR. CAUSEY: Yes.
THE COURT: I think that is
uncontroverted, having amended it to that
extent.
Do you want to be heard on the request
for a peremptory on that, Mr. Wood?
MR. WOOD [PROSECUTOR]: No, Your Honor.
THE COURT: I will submit a peremptory,
nonstatutory peremptory instruction on that.
As for defendant's second requested mitigating
instruction on remorse, the transcript reflects the following:
MR. CAUSEY: Judge, our second
nonstatutory [mitigating circumstance] would
be, The defendant, John Thompson, has
consistently expressed remorse for the murder
of Kenneth Bruhmuller. And again, that would
have come from Dr. Hilkey at the latter part
of today.
THE COURT: Again, I have problems with
the terminology, first with consistently.
We've got evidence from Dr. Hilkey and Ms.
Grey of three, I think three statements
attributed to the defendant -- well, the
statement at the time he was arrested, one to
Grey, and one to Hilkey, and I don't -- I'm
having some difficulty in comprehending how
that should be submitted, at least as a
peremptory as consistently.
MR. CAUSEY: If we removed the phrase
consistently and just go with that
language?
THE COURT: I would be -- I would think
that would be more in line with the evidence.
MR. CAUSEY: Okay.
THE COURT: Now, what about -- I also --
I think there's clear expression of regret.
I don't know if what I've heard constitutes
what I understand remorse to be.
MR. CAUSEY: Well, we would say that --
I would contend that the questions that were
asked of Dr. Hilkey were in the phraseology
of remorse, and his testimony --
THE COURT: Well, Dr. Hilkey doesn't get
to define the word remorse --
MR. CAUSEY: Right.
. . .
THE COURT: And the jury is also
instructed that they're [sic] not required to
accept the opinion of an expert to the
exclusion of other facts and circumstances
established by competent evidence in the
case. MR. CAUSEY: I guess my point would be,
if that's the language they heard from the
witness stand, is it up to the jury to either
find it or not find it or give it --
THE COURT: Well, it would be. And if
you want to submit remorse, I'll be happy to
do that, but I'm certainly -- I don't believe
that that would merit a peremptory
instruction.
MR. CAUSEY: Okay. What -- I'm just
asking, what phrase are you thinking that we
could interchange.
THE COURT: Well, you know, it's up to
you, Bill.
MR. CAUSEY: Yeah.
THE COURT: If you wanted to ask for
regret[,] I think there's been an expression
of regret on at least three occasions that it
happened.
MR. CAUSEY: And I just want to make
sure I'm clear. If we say, The defendant
has expressed regret for the murder of
Kenneth Bruhmuller, would we get -- are you
saying we would get the peremptory?
THE COURT: I think you would be
entitled to a peremptory on that phrasing.
MR. CAUSEY: So, yes, I would change
that to The defendant has expressed regret
for the murder of Kenneth Bruhmuller, and
ask that be given peremptorily. . . .
. . .
THE COURT: Then, upon a request, as I
understand it, an amended request to submit
the fourth mitigating circumstance as,
Consider whether the defendant expressed
regret for the murder of Kenneth Bruhmuller,
and -- that's what you're requesting at this
time? Is that the phrasing you are --
MR. CAUSEY: Yes, regret.
Thereafter, the trial court agreed to give the
following nonperemptory mitigating circumstance: Considerwhether the defendant has expressed remorse for the murder of
Kenneth Bruhmuller. Defense counsel later informed the trial
court that he would like to abandon the instruction concerning
remorse and just leave the one that says 'regret' because he
did not want the jury to have to pick and choose between
remorse and regret. The trial court complied, submitting
peremptory nonstatutory mitigating instructions as to defendant's
admission of guilt and defendant's regret. After the jury was so
charged, defense counsel stated that he was renewing all
previous objections. Neither nonstatutory mitigator was found
by the jury.
A defendant is not prejudiced by the granting of
relief which he has sought or by error resulting from his own
conduct. N.C.G.S. § 15A-1443(c) (2003). A defendant is
therefore precluded from obtaining relief when the error was
invited by his own conduct. Gainey, 355 N.C. at 108, 558 S.E.2d
at 485. To the extent that defendant agreed with the trial
court's manner of instruction, defendant has invited any alleged
error, and he may not obtain relief from such error. Id. at
110, 558 S.E.2d at 486.
In State v. Wilkinson, the defendant submitted a jury
instruction in writing on the meaning of depravity of mind that
read, 'a circumstance which makes a murder unusually heinous,
atrocious, or cruel.' 344 N.C. 198, 212-13, 474 S.E.2d 375, 382-
83 (1996). The trial court deleted the word unusually and, in
its place, inserted the word especially. Id. at 213, 474
S.E.2d at 383. The defendant indicated to the trial court thathe had no objection to the substitution, but argued on appeal
that the modification was plain error. Id.
This Court noted in Wilkinson that, normally, where a
defendant fails to object to an error at trial, we would
determine whether the alleged error constituted plain error. Id.
However, this Court has consistently denied appellate review to
defendants who have attempted to assign error to the granting of
their own requests. Id. Because the defendant agreed to the
substitution, the Court concluded that the defendant was
complaining on appeal about an instruction he had actually
requested; therefore, any error was invited by the defendant.
Id. at 214, 474 S.E.2d at 383; see also State v. White, 349 N.C.
535, 570, 508 S.E.2d 253, 275 (1998) (Where a defendant tells
the trial court that he has no objection to an instruction, he
will not be heard to complain on appeal.), cert. denied, 527
U.S. 1026, 144 L. Ed. 2d 779 (1999).
Here, the above-noted portions of the sentencing phase
transcript demonstrate that defendant, like the defendant in
Wilkinson, invited any error in the trial court's refusal to give
peremptory instructions to the jury on the nonstatutory
mitigating circumstances that he confessed and that he was
remorseful. Defendant's attorney actively agreed to the
instructions the trial court thought appropriate. In so doing,
defendant amended the proposed peremptory jury instructions that
he had previously submitted in writing to the court.
Furthermore, concerning the mitigating circumstance of remorse,
defendant later abandoned the modified instruction, which hadbeen allowed by the trial court. The trial court did not deviate
from defendant's agreed upon instruction on regret. Therefore,
defendant invited any error in the trial court's actions.
Accordingly, defendant is not entitled to review based upon this
assignment of error and it is overruled.
Defendant next assigns as error the trial court's
deviation from the standard peremptory, nonstatutory mitigating
instruction approved by this Court in State v. Lynch, 340 N.C.
435, 459 S.E.2d 679 (1995), cert. denied, 517 U.S. 1143, 134 L.
Ed. 2d 558 (1996). Defendant argues that in adding the last
paragraph of the peremptory, nonstatutory instructions set out
below, the trial court invited jury nullification by repeatedly
emphasizing that the jury could reject unchallenged evidence.
In Lynch, this Court approved the following phrasing
for peremptory instructions on nonstatutory mitigating
circumstances:
All of the evidence tends to show
[named mitigating circumstance].
Accordingly, as to this mitigating
circumstance, I charge that if you find the
facts to be as all the evidence tends to
show, you will answer, 'Yes,' as to the
mitigating circumstance Number [#] on the
issue and recommendation form if one or more
of you deems it to have mitigating value.
340 N.C. at 476, 459 S.E.2d at 700.
Defendant contends that by approving certain phrasing
for peremptory, nonstatutory mitigating instructions in Lynch,
this Court modified prior law which allowed the jury to reject a
nonstatutory mitigating circumstance even when the trial courtfinds that all the evidence tends to show its existence. We
disagree.
Our opinion in Lynch simply stated that the particular
peremptory instruction given by the trial court in that case was
a correct statement of law. Id. Even when a defendant is
entitled to a peremptory instruction as to a nonstatutory
mitigating circumstance, jurors can reject that nonstatutory
mitigating circumstance, either because the jurors find that it
does not exist or because they determine that it does not have
mitigating value.
To find a nonstatutory mitigating circumstance, a juror
must first determine whether the proffered circumstance exists
factually. Jurors who find that a nonstatutory mitigating
circumstance exists are then to consider whether it should be
given any mitigating weight. State v. Green, 336 N.C. 142, 173,
443 S.E.2d 14, 32, cert. denied, 513 U.S. 1046, 130 L. Ed. 2d 574
(1994). Even where defendant is entitled to a peremptory
instruction, [t]he jury may still reject that circumstance if it
finds the evidence is not convincing or if it finds the
circumstance does not have mitigating value. Jones, 339 N.C. at
162, 451 S.E.2d at 852-53. See Green, 336 N.C. at 173-74, 443
S.E.2d at 32-33; State v. Gay, 334 N.C. 467, 492, 434 S.E.2d 840,
854 (1993). Similarly, as we stated in State v. McCollum, It is
well settled that a peremptory instruction does not deprive the
jury of its right to reject the evidence because of a lack of
faith in its credibility. 334 N.C. 208, 229, 433 S.E.2d 144,155 (1993), cert. denied, 512 U.S. 1254, 129 L. Ed. 2d 895
(1994).
In the present case, the trial court gave peremptory
instructions concerning 14 of the 17 nonstatutory mitigating
circumstances submitted to the jury. As to each of those
mitigating circumstances, the trial court gave the instruction,
or one similar to it, recited below:
You would find this mitigating circumstance
if you do find that the defendant [insert
mitigating circumstance], and that this
circumstance does have mitigating value.
The defendant has the burden of
establishing this mitigating circumstance by
the preponderance of the evidence. All of
the evidence tends to show that this
circumstance does exit. Accordingly, as to
this mitigating circumstance number [insert
#], I charge that if one or more of you find
the facts to be as all the evidence tends to
show, and further deems that to have
mitigating value you would so indicate by
having your foreman write yes in the space
provided after mitigating circumstance number
[insert #] on the Issues and Recommendation
form.
If none of you finds this circumstance
to exist, even though there is no evidence to
the contrary, or if none of you deems it to
have mitigating value, you would so indicate
by having your foreman write no in that
space.
The trial court's peremptory instruction on
nonstatutory mitigating circumstances in the case sub judice was
a correct statement of the law. Cf. Lawrence, 352 N.C. at 31-32,
530 S.E.2d at 826 (approving a peremptory instruction similar to
the one given in the present case despite the defendant's
argument that once a peremptory instruction is given as to a
mitigating circumstance, the only question that remains is howmuch weight the jury will give the circumstance). Accordingly,
we reject defendant's assignment of error.
Finally, because we find no error with respect to the
trial court's jury instructions and submission of the mitigating
circumstances discussed supra, there is no need to consider
defendant's cumulative error argument on this point.
By his next assignment of error, defendant contends
that two of the seven N.C.G.S. § 15A-2000(e)(3)(prior violent
felony conviction) aggravating circumstances submitted to and
found by the jury were not supported by the evidence. As to
these two aggravators, the trial court instructed the jury that
it must determine whether defendant had been previously
convicted of a felony involving the use or threat of violence to
the person, with regard to an armed robbery of Billy Adams on
March 17, 1990, and whether defendant had been previously
convicted of a felony involving the use or threat of violence to
the person, with regard to an armed robbery of April Dobbins on
April 8, 1990. Defendant correctly points out that the
indictments for these two felonies listed Bojangles Restaurant
as the victim of the robbery, with Billy Adams and April
Dobbins as being present and in attendance. Defendant further
notes that the evidence at trial, particularly the testimony of
Adams and Dobbins, showed that the restaurant was the entity that
was robbed, while the individuals listed in the indictments were
merely present.
In support of his argument, defendant compares his case
to one in which an indictment for armed robbery varies from proofof the charge submitted at trial. According to defendant,
[j]ust as nonsuit would have been warranted had the [S]tate
presented these indictments alleging robberies of Bojangles, and
then sought convictions for robberies of two entirely different
named victims, so too is there a fatal variance here between the
[S]tate's indictments and evidence and the corresponding
instructions and findings on these aggravating factors.
We disagree.
When the prosecution submitted the seven e(3)
aggravating circumstances at trial, defendant objected, but on
the grounds that the circumstances should be consolidated into
one aggravator. Thus, defendant did not properly preserve this
issue for appellate review, see N.C. R. App. P. 10(b)(1)(In
order to preserve a question for appellate review, a party must
have presented to the trial court a timely request, objection or
motion, stating the specific grounds for the ruling the party
desired the court to make if the specific grounds were not
apparent from the context.), and is only entitled to relief if
the trial court's submission of defendant's prior felonies was
plain error. State v. Odom, 307 N.C. 655, 659-60, 300 S.E.2d
375, 378 (1983).
Furthermore, defendant misapprehends the law regarding
the effect of a variance between the designated property owner in
an armed-robbery indictment and the evidence as to the property
owner presented at trial. It is well established that an
indictment for armed robbery need not allege that the property
taken be laid in a particular person. State v. Spillars, 280N.C. 341, 345, 185 S.E.2d 881, 884 (1972). Likewise, [v]ariance
between the allegations of the [armed robbery] indictment and the
proof in respect of the ownership of the property taken is not
material. State v. Ballard, 280 N.C. 479, 485, 186 S.E.2d 372,
375 (1972). The gravamen of the offense is the endangering or
threatening of human life by the use or threatened use of
firearms or other dangerous weapons in the perpetration of or
even in the attempt to perpetrate the crime of robbery. Id.
An indictment for robbery will not fail if the description of
the property is sufficient to show it to be the subject of
robbery and negates the idea that the accused was taking his own
property. Spillars, 280 N.C. at 345, 185 S.E.2d at 884; see
also State v. Pratt, 306 N.C. 673, 681, 295 S.E.2d 462, 467
(1982) (As long as it can be shown defendant was not taking his
own property, ownership need not be laid in a particular person
to allege and prove robbery); State v. Jackson, 306 N.C. 642,
650-51, 295 S.E.2d 383, 388 (1982) (As long as the evidence
shows the defendant was not taking his own property, ownership is
irrelevant . . . . A taking from one having the care, custody or
possession of the property is sufficient).
Here, both the aggravating circumstances submitted to
the jury and the evidence presented at trial, including the armed
robbery indictments and the testimony of Adams and Dobbins,
conveyed to the jury that those two employees of the property
owner listed in the aggravating circumstances were present and
endangered or threatened in the course of the armed robberies.
It is further clear from both the indictments and other evidenceadmitted at trial that the property taken did not belong to
defendant. In both instances, any inconsistency between the
aggravating circumstance, indictment, and trial testimony was
thus immaterial. Because we conclude that the trial court did
not commit error, much less plain error, in submitting the
challenged aggravating circumstances, we reject defendant's
assignment of error as to this issue.
Similarly, we reject defendant's related argument that
the trial court erred in failing to dismiss his indictment for
robbery with a dangerous weapon because the indictment omitted
the essential element that the victim, Domino's Pizza, was a
legal entity capable of owning property. First, the cases cited
by defendant in support of his argument are inapposite. State v.
Bell found a fatal variance between a robbery indictment and the
evidence presented at trial because although the indictment
alleged that 'Jean' Rogers was robbed, all evidence at trial
indicated 'Susan' Rogers was actually the victim. 270 N.C. 25,
29, 153 S.E.2d 741, 744 (1967). Thus, the facts in Bell
distinguish that case from the instant case. State v. Norman
concluded that an indictment for larceny must allege that an
entity listed as the victim is 'a legal entity capable of owning
property' because proof of offense of the ownership rights of
another is an essential element of larceny. 149 N.C. App. 588,
593, 562 S.E.2d 453, 457 (2002) (quoting State v. Woody, 132 N.C.
App. 788, 790, 513 S.E.2d 801, 803 (1999)). However, armed
robbery and larceny are separate and distinct crimes with
separate elements, and, as we noted above, an indictment forarmed robbery is not fatally defective simply because it does not
correctly identify the owner of the property taken.
Second, the property description in the robbery
indictment was sufficient to demonstrate that the property did
not belong to the defendant. Despite defendant's contentions to
the contrary, it is irrelevant whether the indictment alleged
that Domino's was a legal entity. Therefore, defendant's
assignment of error as to this issue is overruled.
Defendant next contends that during his sentencing
hearing, the prosecutor engaged in improper closing argument by
misrepresenting the facts and the law on two separate occasions.
However, defendant did not timely object to either of the
challenged portions of the prosecutor's arguments.
The first portion of allegedly improper prosecutorial
argument is as follows:
This is not a matter of you doing
something to him. Don't let anybody imply to
you at any point in this trial that you're
doing this to him. Don't let anyone beg you
not to take his life. That's not what's
going on here. You're not doing this to him.
He's doing it to you. He made all these
decisions back on March 31, 2001. That day,
he chose to take an innocent man, and play
not only judge and jury, but executioner.
And when he made that decision, he made your
decision. This is not a matter of you doing
it to him. He put himself in that seat, by
his own acts and conduct.
According to defendant, this argument was improper
because the prosecutor knew defendant was willing to plead guilty
and accept a sentence of life imprisonment without parole;
nonetheless, the prosecutor urged the jury to ignore defendant's
pleas for mercy. Defendant further contends that the argumentmisconstrues the law because the prosecutor, not defendant, was
responsible for the capital trial, citing N.C.G.S. § 15A-2004(a)
(2003) (The State may agree to accept a sentence of life
imprisonment for a defendant at any point in the prosecution of a
capital felony . . .). Finally, defendant contends that this
line of argument, along with the prosecutor's elicitation of the
Alexanders' opinion as to the proper sentence, misled the jury to
believe that life imprisonment without parole was not an
appropriate sentence and that defendant was responsible for
forcing the jury to make a life-or-death sentencing decision.
Counsel is afforded wide latitude to present arguments
which are warranted by the evidence and are not calculated to
mislead or prejudice the jury. State v. Riddle, 311 N.C. 734,
738, 319 S.E.2d 250, 253 (1984), quoted in State v. Roache, 358
N.C. 243, 301-02, 595 S.E.2d 381, 418-19 (2004). The standard
for reviewing the propriety of a prosecutor's closing argument is
well settled:
Where a defendant fails to object to the
closing arguments at trial, defendant must
establish that the remarks were so grossly
improper that the trial court abused its
discretion by failing to intervene ex mero
motu. To establish such an abuse, defendant
must show that the prosecutor's comments so
infected the trial with unfairness that they
rendered the conviction fundamentally
unfair. See State v. Davis, 349 N.C. 1, 23,
506 S.E.2d 455, 467 (1998), cert. denied, 526
U.S. 1161, 144 L. Ed. 2d 219 (1999).
Roache, 358 N.C. at 296-97, 595 S.E.2d at 415-16 (quoting State
v. Grooms, 353 N.C. 50, 81, 540 S.E.2d 713, 732 (2000), cert.
denied, 534 U.S. 838, 151 L. Ed. 2d 54 (2001)). Moreover, statements contained in closing arguments to
the jury are not to be placed in isolation or taken out of
context on appeal. Instead, on appeal we must give consideration
to the context in which the remarks were made and the overall
factual circumstances to which they referred. Green, 336 N.C.
at 188, 443 S.E.2d at 41. Immediately preceding the challenged
portion of his argument, the prosecutor reminded the jury that
during jury selection, defendant's attorney asked the jury
whether it had what it took to make a life or death decision,
and informed the jury that it's time to make a decision. Later
the prosecutor further emphasized to the jury, When you make
your decision, nobody's going to tell you its going to be easy .
. . . [I]t's not as easy as saying just life or death. (Emphasis
added.)
Furthermore, on numerous occasions, this Court has
rejected the line of reasoning presented by defendant, finding no
error or gross impropriety in similar prosecutorial arguments.
See State v. Prevatte, 356 N.C. 178, 266, 570 S.E.2d 440, 489
(2002) (concluding that nothing in the prosecutor's argument that
the defendant signed his own death warrant in the victim's blood
relieves the jury of its responsibility of fairness and
impartiality), cert. denied, 538 U.S. 986, 155 L. Ed. 2d 681
(2003); State v. Walls, 342 N.C. 1, 64, 463 S.E.2d 738, 772
(1995) (concluding that when the prosecutor argued that '[we]'re
the master of our destiny [and] we are responsible for the
consequences of our actions,'[t]he thrust of the prosecutor's
argument was not that the jury's decision was not final, butrather, that it was the defendant, who by choosing his course of
actions, signed his own death warrant), cert. denied, 517 U.S.
1197, 134 L. Ed. 2d 794 (1996); Jones, 339 N.C. at 161, 451
S.E.2d at 852 (concluding that it is highly doubtful that the
jury thought itself relieved of the responsibility of
recommending the defendant's sentence when the prosecutor argued
that the defendant 'put himself in this position' and 'gave
himself the death penalty'); State v. Reeves, 337 N.C. 700, 734,
448 S.E.2d 802, 818 (1994) (finding, where the prosecution argued
that the defendant 'wrote his own death warrant when he killed
and brutalized [the victim]' and that the 'death warrant that
he has wrote [sic] is here before you folks to sign, to make
legal,' that [t]he jury should have in no way deduced from this
that it was not their [sic] responsibility to impose the death
penalty), cert. denied, 514 U.S. 1114, 131 L. Ed. 2d 860 (1995);
see also State v. McNeil, 350 N.C. 657, 689, 518 S.E.2d 486, 505
(1999) (This Court has repeatedly held it is not improper to
argue that defendant, as judge, jury, and executioner,
single-handedly decided the victim's fate), cert. denied, 529
U.S. 1024, 146 L. Ed. 2d 321 (2000).
Defendant's arguments are wholly without merit. The
record reveals no indication that the prosecutor expressly or
implicitly communicated to the jury that life imprisonment should
not be considered, that the jury should disregard evidence of
defendant's pleas for mercy, or, most importantly, that
defendant's sentence was determined automatically and was not
the jury's upcoming decision. Here, the prosecution simplyreferenced decisions defendant made on the day of the murder and
argued that those decisions led to the present proceeding and the
jury's decision. Clearly, the gist of the prosecutor's argument
was that the defendant, by committing a capital crime, put
himself in the position where he would be tried for his life.
Jones, 339 N.C. at 161, 451 S.E.2d at 852. Because the
prosecutor's argument in no way relieved the jury of its
responsibility to recommend a sentence or to remain fair and
impartial, the trial court did not err in failing to intervene ex
mero motu.
The second portion of the closing argument challenged
by defendant is as follows:
There are three factors present in this
case, which I think would help you in making
your decision on which of the aggravators and
mitigators you should consider. And the three
factors are, number one, this defendant has
got a prior history for violent conduct.
Number two, this defendant killed a totally
helpless and innocent victim. And number
three, based on the evidence you heard in the
first phase of the trial, there can be no
residual doubt in your mind about who pulled
the trigger and who committed this crime. You
have the right man. For these reasons, when
you fill out your verdict sheet, I ask you,
after weighing all the aggravating and
mitigating factors, to sentence Mr. Thompson
. . . to death for the murder of Kenneth
Bruhmuller.
(Emphasis added.)
Defendant contends that in this portion of the closing
argument, the prosecution erroneously attempted to submit
additional nonstatutory aggravating circumstances to the jury,
including that defendant killed an innocent victim and that the
jury should have no residual doubt as to defendant's guilt. Again, we find defendant's argument meritless.
Although it is common practice for practitioners and courts to
interchange the proper term circumstance with factor when
referring to aggravating circumstances, the prosecution's use of
the term factors during closing argument clearly did not refer
to any additional aggravating circumstances. The prosecution
merely requested that the jury consider certain facts when
weighing both mitigating and aggravating circumstances. In a
separate section of his argument, the prosecution meticulously
explained the eight statutory aggravating circumstances submitted
to the jury. After the attorneys completed their arguments, the
trial court instructed the jury as to only eight statutory
aggravating circumstances. We presume, as we must, that the jury
followed the instructions as submitted to it by the trial court.
See State v. Jennings, 333 N.C. 579, 618, 430 S.E.2d 188, 208,
cert. denied, 510 U.S. 1028, 126 L. Ed. 2d 602 (1993).
Accordingly, this assignment of error is overruled.
In his next assignment of error, defendant contends
that he is entitled to a new capital sentencing proceeding
because he and his attorney were excluded from alleged unrecorded
exchanges between the bailiff and the jury. Defendant contends
that this alleged exchange necessarily altered the outcome of his
capital sentencing proceeding and that his exclusion from this
alleged communication violated his unwaivable constitutional
right to be present at all stages of his capital murder trial,
his right to a complete record for appeal, and the due processand confrontation clauses of the constitution of the United
States and the State of North Carolina. We disagree.
According to the defendant, the alleged exchange took
place on 14 November 2002 near the end of his capital sentencing
proceeding and after the jury had begun its deliberations. The
transcript reveals the following:
(Proceedings continued at 5:01 p.m. The
defendant was present. The jury was not
present.)
THE COURT: Bring them in.
I'm going to release the jury for the
day at this time, counsel.
(The bailiff conferred with the [c]ourt at
the bench.)
(Time was allowed.)
(Proceedings continued at 5:08 p.m. The
defendant was present. The jury was not
present.)
BAILIFF ODUM: They have a verdict,
Judge.
THE COURT: All right.
Ladies and gentlemen, the jury has
announced to the bailiff that it has reached
a verdict.
From the above-quoted portion of the transcript, defendant infers
that
an unrecorded, private exchange between the
bailiff and the trial court substantially
changed the course of these capital
proceedings. Something in that exchange
caused the court to reverse its order for the
bailiff to bring the jury into the courtroom
for an evening recess. Thus the exchange
must have focused on the bailiff's
perceptions or interpretations of the words
or conduct of jury members. Those
interactions may have been either the
bailiff's direct communications with, or
indirect observations of, one or more jurors.
In either case, the interactions between thebailiff and the jury, like the private
conference between the bailiff and the judge,
occurred in defendant's absence, off the
record, and at a pivotal stage of the life-
and-death decision-making process.
We acknowledge that a defendant's right to be present
during all stages of his trial is guaranteed by the constitutions
of the United States and the State of North Carolina. State v.
Golphin, 352 N.C. 364, 389, 533 S.E.2d 168, 189 (2000), cert.
denied, 532 U.S. 931, 149 L. Ed. 2d 305 (2001). However,
defendant's argument relies exclusively on North Carolina law and
our discussion is limited accordingly.
The right of confrontation, as guaranteed by Article I,
Section 23 of the North Carolina Constitution extends to all
times during the trial when anything is said or done which
materially affects defendant as to the charge against him.
State v. Chapman, 342 N.C. 330, 337-38, 464 S.E.2d 661, 665
(1995), cert. denied, 518 U.S. 1023, 135 L. Ed. 2d 1077 (1996).
When a defendant is tried capitally, the right to be present is
unwaivable. Golphin, 352 N.C. at 389, 533 S.E.2d at 189. When a
violation of this right is found on appeal, defendant will
prevail unless the State can show that any such violation was
harmless beyond a reasonable doubt. State v. Huff, 325 N.C. 1,
32, 381 S.E.2d 635, 652-53 (1989), judgment vacated on other
grounds, 497 U.S. 1021, 111 L. Ed. 2d 777 (1990). However, this
burden does not shift to the State unless and until defendant
demonstrates constitutional error on the record. State v.
Blakeney, 352 N.C. 287, 305-06, 531 S.E.2d 799, 813-14 (2000)
(finding that when the transcript of a dialogue with the courtindicated that defense counsel was present during a proceeding in
a capital case, defendant's argument that the transcript's
failure to specifically indicate whether he was present during
the same proceeding constituted a Confrontation Clause violation
was insufficient to show error; thus, the burden did not shift to
the State), cert. denied, 531 U.S. 1117, 148 L. Ed. 2d 780
(2001); State v. Adams, 335 N.C. 401, 408-10, 439 S.E.2d 760,
763-64 (1994)(finding error in the trial judge's ex parte
communications with three jurors but that such error was
harmless, and further finding that the capital defendant could
not carry his burden in the first instance that there may have
been other impermissible ex parte communications not reflected in
the record because the record did not reveal the existence of any
such communications), cert. denied, 522 U.S. 1096, 139 L. Ed. 2d
878 (1998); cf. State v. Smith, 326 N.C. 792, 794, 392 S.E.2d
362, 363-64 (1990) (granting the capital defendant a new trial
because the record revealed the existence of ex parte
communications between three prospective jurors and the trial
judge but, because the record was silent as to the contents of
the communications, the Court could not determine whether the
errors were harmless beyond a reasonable doubt).
We determine that defendant has not shown a violation
of the North Carolina Confrontation Clause on the record.
Although defendant speculates that the bailiff may have engaged
in direct communications with, or indirect observations of, one
or more jurors, the transcript in no way indicates that any such
communication between the bailiff and the jury members occurred,particularly as the trial judge did not instruct the bailiff to
communicate with the jury. Because [w]e will not assume error
'when none appears on the record,' defendant's assignment of
error is overruled. Blakeney, 352 N.C. at 304, 531 S.E.2d at 812
(quoting State v. Williams, 274 N.C. 328, 333, 163 S.E.2d 353,
357 (1968)), quoted in State v. Daughtry, 340 N.C. 488, 517, 459
S.E.2d 747, 762 (1995), cert. denied, 516 U.S. 1079, 133 L. Ed.
2d 739 (1996)).
Next, defendant assigns error to statements made by his
defense counsel during both the jury selection and guilt-
innocence phases of trial. Defendant argues that counsel
improperly conceded to jurors during voir dire that defendant is
guilty of first-degree murder, thereby depriving him of his Sixth
Amendment right to effective assistance of counsel. Defendant
further argues that counsel failed to establish a sufficient
record of his knowing and voluntary consent to this trial
strategy during the guilt-innocence phase and that such
concessions constitute ineffective assistance of counsel per se
under this Court's decision in State v. Harbison, 315 N.C. 175,
337 S.E.2d 504 (1985), cert. denied, 476 U.S. 1123, 90 L. Ed. 2d
672 (1986).
The two-part test for ineffective assistance of counsel
is the same under both the state and federal constitutions.
State v. Braswell, 312 N.C. 553, 562-63, 324 S.E.2d 241, 248
(1985). A defendant must first show that his defense counsel's
performance was deficient and, second, that counsel's deficientperformance prejudiced his defense. Strickland v. Washington,
466 U.S. 668, 687, 80 L. Ed. 2d 674, 693 (1984). Deficient
performance may be established by showing that counsel's
representation 'fell below an objective standard of
reasonableness.' Wiggins v. Smith, 539 U.S. 510, 521, 156 L.
Ed. 2d 471, 484 (2003) (quoting Strickland, 466 U.S. at 688, 80
L. Ed. 2d at 693). Generally, to establish prejudice, a
'defendant must show that there is a reasonable probability that,
but for counsel's unprofessional errors, the result of the
proceeding would have been different. A reasonable probability
is a probability sufficient to undermine confidence in the
outcome.' Wiggins, 539 U.S. at 534, 156 L. Ed. 2d at 493
(quoting Strickland, 466 U.S. at 694, 80 L. Ed. 2d at 698).
In Harbison, defense counsel told the jury during
closing argument that he did not feel that [the defendant]
should be found innocent. I think he should do some time to
think about what he has done. I think you should find him guilty
of manslaughter and not first degree. 315 N.C. at 178, 337
S.E.2d at 506. This Court held that when a defense counsel, to
the surprise of his client admits his client's guilt, the harm is
so likely and so apparent that the issue of prejudice need not be
addressed. Id. at 180, 337 S.E.2d at 507. By admitting the
defendant's guilt without his consent, counsel had swept away
the defendant's right to plead not guilty and the defendant's
rights to a fair trial and to put the State to the burden of
proof. Id. Accordingly, this Court concluded that a per se .
. . violation of the Sixth Amendment [] has been established inevery criminal case in which the defendant's counsel admits the
defendant's guilt to the jury without the defendant's consent.
Id. at 180, 337 S.E.2d at 507-08. See also State v. Matthews,
358 N.C. 102, 591 S.E.2d 535 (2004). However, defendant has not
shown a Harbison violation in this case.
With regard to jury selection: During voir dire,
defense counsel asked several prospective jurors, Do you feel
that you're up to making a life or death decision? On at least
three occasions, defense counsel followed his question with one
of these statements: That's what you are going to be asked to
do,; [W]e are here, and if you're selected on the jury, you
would be called upon to make such a decision; and I'm asking in
a real way, because that would be a decision that all four of you
would be making in this case, in this courtroom, with respect to
John Thompson. Defendant argues that defense counsel's
statements could only be interpreted as admissions of defendant's
guilt of capital murder because the statements implied that the
trial would necessarily include a capital sentencing phase. As
the jury voir dire was conducted in panels with the potential
jury pool present in the courtroom, defendant contends that four
jurors who were later seated also heard defense counsel's
statements.
This Court has consistently considered a defense
counsel's statements in context to determine whether they are
concessions under Harbison. See State v. Hinson, 341 N.C. 66,
78, 459 S.E.2d 261, 268 (1995) (finding no ineffective assistance
under Harbison in defense counsel's closing argument andemphasizing that defendant [had] taken the challenged comments
out of context). After a careful review of the transcripts and
briefs, we are satisfied here that defense counsel's statements
during voir dire were not intended as concessions of defendant's
guilt; rather, the statements were part of a broader series of
questions through which defense counsel sought to ascertain
whether prospective jurors were predisposed to automatically vote
for either life in prison without parole or the death penalty.
In particular, defense counsel repeatedly prefaced his questions
with variations of the following inquiry:
MR. CAUSEY: [D]o you feel that if you were
in the sentencing phase, where you have sat
on the jury, you've heard all the evidence,
found John guilty of premeditated,
deliberated murder, would you still be able
to consider both life without parole and the
death penalty as both [sic] possible
punishment? Or would you lean towards one or
the other?
(Emphasis added.) At another time defense counsel asked:
Do you likewise feel that if we were in a
sentencing hearing and you've already found
John guilty of first-degree, premeditated
murder, that's no longer an issue, you've
said he's done it, he thought about it, meant
to do it, and did it, killed another person.
Would you at that point of the trial be able
to consider both life without parole as a
possible punishment and the death penalty?
(Emphasis added.)
Further, the trial court informed potential jurors
before voir dire that the attorneys have the right to . . . ask
you some questions about your positions on the death penalty, on
capital punishment. Notwithstanding those questions, the trial
court instructed the prospective jurors that the trial would notproceed to a capital sentencing phase unless the jury found
defendant guilty of first-degree murder and there would be no
sentencing hearing convened, unless and until a person is found
guilty of first-degree murder. So the fact that we are
discussing a sentencing hearing presumes that there has been a
verdict of first-degree murder returned. When viewed in
context, defense counsel's statements during jury selection
appear wholly distinct from the statements of the defense counsel
in Harbison and do not constitute ineffective assistance of
counsel per se under Harbison.
As for the guilt phase of trial, defendant argues that
counsel essentially conceded guilt of felony murder by
acknowledging that defendant had robbed Domino's and shot
Bruhmuller. Defendant also contends that the trial court did not
request sufficient details on the content of his defense
counsel's anticipated trial strategy. Without such detail,
defendant argues that the record fails to establish that he
understood the gravity of counsel's concessions, specifically,
that he understood defense counsel would concede his guilt on the
capital charge of felony murder.
(See footnote 2)
Because the record reflectsthat defendant knowingly and voluntarily consented to the trial
strategy employed by his defense counsel, these assignments of
error are overruled.
During the guilt-innocence phase and before closing
arguments, the trial court inquired of defense counsel whether
there will be any portion of the argument which could be
construed as an acknowledgment of culpability or an admission of
guilt on the part of the defendant. Counsel responded, Your
Honor, the way that I plan on handling that is, by acknowledging
responsibility in these cases, but without specifically
mentioning guilt and confirmed that he had discussed this
strategy with defendant, after which the trial court questioned
defendant directly.
The trial court asked defendant to stand and swore him
under oath. Thereafter, the court entered the following colloquy
on the record:
THE COURT: Mr. Thompson, at this time,
I'm going to speak to you about the
conversation I just had with Mr. Chamberlin,
about the argument that he intends to make to
the jury in your case. He has told me that
he has in fact discussed the general nature
and subject of his argument with you. Have
you had that discussion with Mr. Chamberlin?
THE DEFENDANT: Yes, sir.
THE COURT: Okay. Do you understand that
in any criminal case, the decision as to what
plea [is] to be entered must be madeexclusively by the person who is charged, in
this case, by you?
THE DEFENDANT: Yes, sir.
THE COURT: You understand that you have
to decide what plea to enter before the jury
and before the Court? Related to that is a
rule that the decision as to whether to admit
guilt or culpability or fault to any kind of
criminal offense, if that's going to be done
by your lawyer during arguments to the jury,
that has to be agreed to by the person
accused, by the defendant, that is, by you.
Do you understand that?
THE DEFENDANT: Yes, sir.
THE COURT: And before an attorney can go
before a jury and say that his client was
guilty or possibly responsible for any
criminal conduct, he has to have the accused
person's, that's your, consent before he can
do that. Do you understand that?
THE DEFENDANT: Yes, sir.
THE COURT: Okay. Have you in fact --
again, I'll ask you, have you discussed that
particular trial strategy with your lawyer,
particularly Mr. Chamberlin, about his final
argument?
THE DEFENDANT: Yes, sir.
THE COURT: And do you in fact agree that
Mr. Chamberlin may make that type of argument
to the jury, admitting responsibility for
some of these events?
THE DEFENDANT: Yes, sir.
THE COURT: Okay. Do you have any
questions you'd like to ask me about any of
what we've just discussed here?
THE DEFENDANT: No, sir.
THE COURT: Okay. You are agreeing to
Mr. Chamberlin making an argument to that
general effect to the jury; is that correct?
THE DEFENDANT: Yes, sir.
THE COURT: All right. Thank you, Mr. Thompson.
Would you be seated, please.
Defense counsel ultimately argued to the jury during
the guilt-phase closing argument that although defendant had
robbed the Domino's and shot Bruhmuller, he had not acted with
premeditation and deliberation. For that reason, defense counsel
urged the jury to find defendant not guilty of first-degree
murder based upon the theory of malice, premeditation, and
deliberation. Defense counsel did not otherwise address the
State's theory of first-degree felony murder predicated upon
robbery with a dangerous weapon.
Immediately following defense counsel's closing
argument, the trial court inquired as to whether defendant was
able to clearly hear the speech that [defense counsel] just made
to the jury. Defendant responded that he had heard the closing
argument, after which the court asked, Is that the type of
speech or statement that you and [defense counsel] had discussed
making to the jury? and Do you agree and consent to him making
that speech to the jury? Defendant responded, Yes, sir to
both questions.
In Harbison, the defendant had not consented to his
counsel's concession of guilt, and the trial court did not take
steps to ascertain whether this strategy had been discussed with
the defendant. This Court has since stated that an on-the-record
exchange between the trial court and the defendant is the
preferred method of determining whether the defendant knowingly
and voluntarily consented to an admission of guilt during closing
argument. State v. McDowell, 329 N.C. 363, 386-87, 407 S.E.2d200, 213 (1991). However, this Court has declined to define such
a colloquy as the sole measurement of consent or to set forth
strict criteria for an acceptable colloquy. Id. at 387, 407
S.E.2d. at 213.
It is sufficient to note that the exchange that took
place here is nearly identical to the on-the-record discussion
which we held to show knowing and voluntary consent in McDowell.
329 N.C. at 385-86, 407 S.E.2d at 212-13. Although the trial
court in McDowell also provided the defendant with an unobtrusive
means to signal during closing argument that defense counsel had
exceeded his authority, id. at 386, 407 S.E.2d at 213, we do not
view this practice as essential to a determination of defendant's
knowing and voluntary consent to concessions made in the
argument.
Here, the trial court twice confirmed that defense
counsel had discussed the trial strategy with defendant. The
court also twice informed defendant that he had the right to
choose which plea to enter and that his counsel could not admit
any degree of guilt or culpability or fault without his
consent. Then, the court twice asked defendant whether he agreed
that defense counsel had permission to admit[] responsibility
for some of these events to the jury. Defendant stated that he
agreed and that he had no questions about his discussion with the
court. Following closing argument, the court inquired and
defendant stated under oath that defense counsel had made the
type of statement which he expected and that he agreed and
consented to defense counsel's argument. Accordingly, we find that defendant's on-the-record
consent to his counsel's argument complied with the requirements
of Harbison; therefore, we deny defendant's alternative request
that this Court remand his case for an evidentiary hearing on
whether defendant consented to defense counsel's concessions of
guilt.
Because defendant voluntarily and knowingly consented
to defense counsel's concessions, no per se violation occurred,
and further review is pursuant to the normal ineffectiveness
standard set forth in Strickland v. Washington, 466 U.S. 668, 80
L. Ed. 2d 674 . . . (1984)[] and State v. Braswell, 312 N.C. 553,
324 S.E.2d 241 (1985). McDowell, 329 N.C. at 387, 407 S.E.2d at
213. However, defendant has entered only a general assignment of
error on this point, and defendant's only arguments relate to his
claim that defense counsel's statements violated the per se
ineffective assistance of counsel standard established by
Harbison. For this reason, defendant is deemed to have waived
broader review under Strickland and Braswell as to whether
defense counsel's alleged concessions constituted ineffective
assistance of counsel. N.C. R. App. P. 28(a) (Questions raised
by assignments of error in appeals from trial tribunals but not
then presented and discussed in a party's brief are deemed
abandoned.).
Next, defendant contends that the record on appeal
contains several additional ineffective assistance of counsel
issues. However, defendant presents no more than a general
argument that these issues cannot be resolved without furtherdevelopment of the record or references to information outside of
the record. Defendant asks this Court to rule that he cannot be
procedurally barred from raising these claims during future
litigation because he was unable to litigate them fully on direct
appeal. He emphasizes that the cold record prevents review under
the ineffective assistance of counsel standard established by
Strickland and Braswell and what he characterizes as the
cumulative prejudice review required by Wiggins v. Smith.
Defendant seeks to preserve the following claims:
Denial of defendant's Motion to compel
investigators to provide all investigative
materials to the prosecutor . . . ; counsel's
apparent failures to request individual jury
voir dire, to object to death qualification
of the jury, to seek supplemental questioning
of jurors who expressed concern about the
death penalty and were challenged by the
[S]tate for cause on that basis, and to
exhaust peremptory strikes while seating,
inter alia, one or more jurors whose family
members were victims of violent crime . . . ;
any acts or omissions, as noted throughout
this [b]rief, that this Court might construe
as trial waiver resulting in the decision
against defendant of any aspect of any Issue
raised on appeal; any possible bases for
collateral attack on defendant's 1990 guilty
plea and judgment, such as insufficiency of
the evidence or the incompletely voluntary,
intelligent, and knowing nature of the plea,
whether or not related to possible
prosecutorial overreaching on the elements of
kidnapping that inhere in the act of
robbery under State v. Fulcher, 294 N.C. 503,
523, 243 S.E.2d 338, 351 (1978); and
counsel's opening the door in the sentencing
phase to prejudicial information regarding
defendant's disciplinary record in prison....
In the alternative, defendant's appellate counsel moves this
Court to stay the present appeal and order appointment of two
post-conviction attorneys to pursue such claims in a motion forappropriate relief.
(See footnote 3)
Apart from broad statements that the cold
record does not permit review and references to transcript and
record pages, defendant presents no support for his assertion
that these issues cannot be litigated on direct review, nor does
defendant indicate what additional types of evidence may be
needed to resolve them.
Although defendant assigns error to the ineffective
assistance of counsel claims listed above, he has expressly
stated in brief and at oral argument that he is not requesting
substantive review of any ineffective assistance of counsel
claims; rather, defendant asks this Court to identify a list of
potential ineffective assistance of counsel claims not subject to
the procedural bar to motions for appropriate relief provided in
N.C.G.S. § 15A-1419. For this reason, the Court will not analyze
whether his ineffective assistance of counsel claims meet the
standard established by Strickland. See N.C. R. App. P. 28(a)
(Questions raised by assignments of error in appeals from trial
tribunals but not then presented and discussed in a party's
brief, are deemed abandoned.).
A motion for appropriate relief is denied when [u]pon
a previous appeal the defendant was in a position to adequately
raise the ground or issue underlying the present motion but did
not do so. N.C.G.S. § 15A-1419(a)(3) (2003). Section 15A-1419'is not a general rule that any claim not brought on direct
appeal is forfeited on state collateral review. Instead, the
rule requires North Carolina courts to determine whether the
particular claim at issue could have been brought on direct
review.' State v. Fair, 354 N.C. 131, 166, 557 S.E.2d 500, 525
(2001) (quoting McCarver v. Lee, 221 F.3d 583, 589 (4th Cir.
2000), cert. denied, 531 U.S. 1089, 148 L. Ed. 2d 694 (2001)),
cert. denied, 535 U.S. 1114, 153 L. Ed. 2d 162 (2002). It is
well established that ineffective assistance of counsel claims
brought on direct review will be decided on the merits when the
cold record reveals that no further investigation is required,
i.e., claims that may be developed and argued without such
ancillary procedures as the appointment of investigators or an
evidentiary hearing. Id. at 166, 557 S.E.2d at 524. Thus, when
this Court reviews ineffective assistance of counsel claims on
direct appeal and determines that they have been brought
prematurely, we dismiss those claims without prejudice, allowing
defendant to bring them pursuant to a subsequent motion for
appropriate relief in the trial court. Id. at 167, 557 S.E.2d at
525.
It is not the intention of this Court to
deprive criminal defendants of their right to
have [ineffective assistance of counsel]
claims fully considered. Indeed, because of
the nature of [ineffective assistance of
counsel] claims, defendants likely will not
be in a position to adequately develop many
[ineffective assistance of counsel] claims on
direct appeal. Nonetheless, to avoid
procedural default under N.C.G.S. §
15A-1419(a)(3), defendants should necessarily
raise those [ineffective assistance of
counsel] claims on direct appeal that are
apparent from the record.
Id.
Although the relief defendant seeks is not appropriate
in the case sub judice, it is not entirely unprecedented,
contrary to the State's argument. See State v. Watts, 357 N.C.
366, 378, 584 S.E.2d 740, 749 (2003), cert. denied, ___ U.S. ___,
158 L. Ed. 2d 370 (2004) (holding no waiver of ineffective
assistance of counsel claim by failure to raise it on direct
appeal when the defendant's trial attorney failed to present any
mitigating evidence at sentencing); see also State v. Hyatt, 355
N.C. 642, 668, 566 S.E.2d 61, 78 (2002), cert. denied, 537 U.S.
1133, 154 L. Ed. 2d 823 (2003) (dismissing without prejudice an
ineffective assistance of counsel claim alleging counsel's
failure to procure certain records that could have been useful to
impeach key witnesses at trial, while rejecting a second
ineffective assistance claim on the record after finding that
although that claim was capable of being developed and argued on
direct appeal, defendant failed to state the claim with
specificity or to present supporting arguments); State v. Long,
354 N.C. 534, 539-540, 557 S.E.2d 89, 93 (2001) (directing that
the defendant not be precluded from raising ineffective
assistance of counsel claim in future postconviction proceedings
where the sole contention was the propriety of trial counsel's
preparation and preservation of a defense to first-degree murder
based upon intoxication).
In light of our holdings in Watts, Long, and Hyatt, we
do not agree with the State that defendant is seeking an advisory
opinion as to the application of the section 15A-1419(a)(3)procedural bar. However, given the sheer number and breadth of
defendant's potential ineffective assistance of counsel claims,
his failure to provide the Court with any argument as to why the
record is insufficient to raise those claims at this time, and
the fact that he refers to a cumulative ineffective assistance of
counsel claim, we decline to determine whether his potential
claims are subject to the procedural bar established by N.C.G.S.
§ 15A-1419(a)(3). We note that defendant's attempt to raise this
issue on direct appeal in no way precludes him from raising his
ineffective assistance of counsel claims during a future
proceeding.
Justice NEWBY did not participate in the consideration or decision of this case.
The victims' granddaughter . . . vividly remembers every
detail of the days following her grandparents' death. Perhaps she
described the impact of the tragedy most eloquently when she
stated that it was a completely devastating and life altering
experience.
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