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STATE OF NORTH CAROLINA v. JATHIYAH A. AL-BAYYINAH
No. 550A03
FILED: 19 AUGUST 2005
1. Appeal and Error_preservation of issues_constitutional question_not raised
at trial
A constitutional issue not raised at trial was not preserved for appellate review.
2. Confessions and Incriminating Statements_statements by defendant just
after arrest_admissible
The trial court did not abuse its discretion in a prosecution for first-degree murder
and attempted robbery by admitting statements made by defendant to an officer just after his
arrest that he couldn't understand being released from prison without a job and being expected
to make a living, that he committed the robbery with an accomplice, that he wanted to go back
to the correctional facility, and that he didn't belong in society. These statements were probative
of defendant's motive and intent.
3. Criminal Law_limiting instruction_objected to by defendant_not required--
admissions of party opponent
A limiting instruction was not required in a prosecution for first-degree murder
and attempted armed robbery where the court admitted incriminating statements made by
defendant shortly after his arrest. Defendant's counsel objected to such a proposed instruction
during the charge conference, defendant did not argue on appeal that his representation was
insufficient, and no instruction was required in any case because the statements were properly
admitted as admissions of a party opponent.
4. Evidence_impeachment_prior convictions_not applicable
The trial court did not err in a prosecution for first-degree murder and attempted
armed robbery by deciding that N.C.G.S. § 8C-1, Rule 609 ( the use of prior convictions to
impeach a testifying witness) was inapplicable to defendant's statements because defendant did
not testify and the statement was not used to impeach him.
5. Confessions and Incriminating Statements_Miranda warnings_public safety
exception
The trial court did not err in a prosecution for first-degree murder and attempted
armed robbery by admitting a statement made without Miranda warnings where defendant was
pursued into a wooded thicket by an unarmed officer with a tracking dog, the officer asked
defendant where the knife was, and defendant said that he did not have a knife. One of the
Miranda exceptions is for public safety. Under the circumstances in this case, the question was
necessary to secure the officer's safety.
6. Constitutional Law_effective assistance of counsel_record inadequate to
determine claim
Defendant's claim of ineffective assistance of counsel under the Sixth
Amendment based on his counsel's failure to present available exculpatory and impeaching
evidence could not be decided on the record before the Supreme Court and was dismissed
without prejudice to defendant's right to raise the claim in a post-conviction motion for
appropriate relief.
7. Appeal and Error_preservation of issues_prohibited arguments
Defendant did not preserve for appellate review the court's sustaining of an
objection to his argument on residual doubt. The State had made a motion in limine to prohibit
certain arguments, including residual doubt, defense counsel agreed that such arguments were
impermissible and that he did not intend to make that argument, and the court had granted the
motion. Having violated the trial court's order restricting certain statements and arguments at
trial, defendant cannot now use that violation to bring the issue on appeal.
8. Constitutional Law_effective assistance of counsel_statements and arguments
Defendant did not receive ineffective assistance of counsel in a capital sentencing
proceeding where he argued that his counsel conceded prior crimes without his consent, made
inappropriate statements, and did not adequately test the State's case. Defense counsel made the
tactical decision to try to lessen the impact of defendant's prior convictions and gain credibility
by discussing the convictions openly; he attempted to have the jury understand his role as
advocate; and he attempted to appeal to the jury's empathy for a living being.
9. Constitutional Law_effective assistance of counsel_not requesting mitigating
circumstance
Defendant did not receive ineffective assistance of counsel in a capital sentencing
hearing where defense counsel told the jury that defendant did not request submission of the
mitigating circumstance of being an accomplice to the crime. The jury had already found
defendant guilty and counsel wished to retain credibility with the jury, which found several other
mitigating factors.
10. Constitutional Law_effective assistance of counsel_testing of prosecution's
case
Defense counsel engaged in sufficient adversarial testing of the prosecution's case
that defendant's Sixth Amendment right to counsel was not violated.
11. Sentencing_death_proportionate
A sentence of death was disproportionate where defendant had a history of violent
crime, committed this murder during an attempted armed robbery, and was convicted based on
premeditation and deliberation and felony murder
.
Appeal as of right pursuant to N.C.G.S. § 7A-27(a) from
a judgment imposing a sentence of death entered by Judge Jerry
Cash Martin on 13 June 2003 in Superior Court, Davie County, upon
a jury verdict finding defendant guilty of first-degree murder.
Heard in the Supreme Court 19 April 2005.
Roy Cooper, Attorney General, by Joan M. Cunningham and
Amy C. Kunstling, Assistant Attorneys General, for the
State.
Staples S. Hughes, Appellate Defender, by Janet Moore,
Assistant Appellate Defender, for defendant-appellant.
PARKER, Justice.
Defendant was indicted on 26 May 1998 for the murder
and attempted robbery with a deadly weapon of Simon Wilford
Brown, Jr. Defendant was first tried capitally at the 1 November
1999 Criminal Session of Davie County Superior Court. The jury
found defendant guilty of both charges, basing first-degree
murder on the theory of felony murder. Following a capital
sentencing proceeding, the jury recommended that defendant be
sentenced to death. The trial court entered judgment
accordingly. On appeal this Court granted defendant a new trial
on the basis that evidence of other crimes allegedly committed by
defendant was improperly admitted at trial. State v. al-
Bayyinah, 356 N.C. 150, 567 S.E.2d 120 (2002).
Defendant was retried capitally for first-degree murder
at the 12 May 2003 Special Criminal Session of Davie County
Superior Court. The jury found defendant guilty of first-degree
murder on the bases of premeditation and deliberation and felony
murder. At the capital sentencing proceeding, the jury
recommended that defendant be sentenced to death, and judgment
was entered accordingly.
The State's evidence tended to show that the victim,
seventy-one-year-old Simon Wilford Brown, Jr., owned a wholesale
grocery called S.W. Brown & Son in Mocksville, North Carolina.
His wife Rebecca, son Charles, and daughter-in-law Nanette were
employees at the business. On 6 March 1998, Charles arrived atthe business around 7:30 a.m. The door remained locked after
Charles used his key and went inside. Charles attended to orders
and used the bathroom before he heard his father enter the store.
Charles then heard a loud noise, which sounded like the office
door slamming up against the file cabinet, and his father
calling out for him. Charles ran to the office and saw his
father between the office and the front door. Charles remembered
that he said the man stabbed me, and he was pointing towards the
door. After telling his father to call 911, Charles ran outside
to his truck parked at the side of the building. He retrieved
his pistol, drove his truck to the loading dock entrance, and ran
along the side of the building. Charles heard a siren and ran
back inside to his father.
Mr. Brown called 911 at approximately 8:15 a.m. He
reported that he had been a victim of a robbery, and he had been
injured in the course of the robbery. He reported that the
robber was a black man wearing dark clothing who had come up
behind him. He also stated that he thought the man had been in
the store the previous day and that he had cashed a check for the
man. He further reported that he had blood on his sweater. The
call lasted just under three minutes.
When Charles came back inside, he saw his father
standing in the office and talking on the telephone with 911
dispatch. Charles saw blood immediately below his father's neck,
and he heard his father tell the 911 operator that he had [seen]
the man the previous day and cashed his check. Charles asked
his father to sit down, hung up the phone, and attended to thewound. Charles recounted, He kept repeating that he had seen
the man the day before and cashed his check. When the EMTs
arrived, Mr. Brown became semi-conscious and non-verbal.
Mr. Brown was taken by ambulance to the emergency room
and then airlifted to another hospital. Mr. Brown never regained
consciousness, and he died on 15 March 1998 after being removed
from life support. His death was caused by a stab wound to the
right side of his chest, approximately one-half inch long and
almost three-eighths of an inch wide. The wound was about two
inches deep and caused a pneumothorax around Mr. Brown's right
lung, eventually causing heart, kidney, and liver failure, and
finally pneumonia.
At the scene of the crime, Mr. Brown's office was in
disarray. Money and papers were scattered on the floor; a desk
drawer was pulled open; and a bulletin board had fallen to the
floor. Mr. Brown's wallet was found in the office.
Law enforcement officers responding to the call began
searching the area around the store for suspects matching the
description given by the victim of a black man wearing dark
clothing. Deputy Sheriff Joey Reynolds spotted defendant, who
was wearing dark clothing, and radioed in that he had a possible
suspect. When Deputy Reynolds made eye contact with defendant,
defendant began to run; Deputy Reynolds left his car to chase
defendant. Defendant entered a thicket of dense woods. Officers
secured the perimeter of the thicket, and defendant was
apprehended after about an hour of searching. Lieutenant James
Phipps of the Sheriff's Department found a knife under someleaves near where defendant was found. The knife blade was later
determined to be consistent with the wound suffered by the
victim.
Two witnesses reported seeing a man, wearing dark
clothing, near the grocery business at around 7:30 a.m. One of
the witnesses identified the man as defendant. The other
witness, who could not identify the man, also reported seeing him
running from the building a short time later, just before Charles
ran from the building to his truck.
Rebecca Brown and Nanette Brown both remembered seeing
defendant in the store on previous occasions, and they especially
remembered his unusual name. Defendant would cash his checks
there and purchase cigarettes. Nanette testified that on the
morning of 5 March 1998, the day before the stabbing, defendant
came into the store to get some matches or cigarettes. He asked
Nanette if she was alone, to which she replied in the negative,
even though Mr. Brown was out of the building at the time.
Defendant left after hearing a noise outside.
Records at the store indicated that two payroll checks
were cashed the day before the stabbing, one for defendant and
the other for Earnest Cain. Evidence submitted by the State
revealed that Earnest Cain was a regular customer at the store;
that Mr. Brown knew him well enough to call him by his first
name; and that Mr. Cain was clocked in at work during the time of
the stabbing. Neither Nanette nor Rebecca remembered cashing
defendant's check. Defendant contended at trial that an
acquaintance of his cashed his check and, thus, was the personwho stabbed Mr. Brown and whom Mr. Brown remembered seeing the
previous day.
GUILT-INNOCENCE PHASE
Defendant first contends that the trial court erred by
denying his motion to suppress statements he made to a law
enforcement officer after his arrest. Sergeant Harry Rawlings
testified that after defendant was arrested and placed in a
patrol car for transport to the police station, defendant stated
that he couldn't understand being released . . . from prison,
how they could send him out here with no job and expect him to
make a living. Defendant also stated that he did the robbery
with an accomplice and that he wanted to go back to the
correctional facility. He didn't belong out here, meaning in
society.
Defendant first moved to suppress his post-arrest
statements before his first trial. After a hearing his motion
was denied. Before the second trial, defendant submitted an
amended motion to suppress based on Rules of Evidence 404(b) and
609. Defendant's amended motion was also denied. The trial
court determined that defendant's statements were relevant under
Rule 401 and admissible as admissions of a party-opponent under
Rule 801(d)(A). The trial court addressed defendant's 404(b)
argument and decided that the statements were being offered to
show motive and intent, not defendant's proclivity to commit
similar bad acts. Additionally, the trial court ruled that Rule
609 was inapplicable to the statements and that under Rule 403,the probative value of the statements outweighed any unfair
prejudice to defendant.
Defendant further argues that the trial court erred in
overruling defendant's objections and by failing to provide
limiting instructions with regard to other crimes evidence.
Defendant argues that inadmissible other crimes evidence was
presented to the jury and created impressions about defendant
that effectively stripped him of his presumption of innocence.
Finally, defendant contends that his constitutional rights were
violated in that he was denied his due process right to a fair
trial and that he was prevented from arguing that he was free
from culpability for the prior bad acts. Thus, defendant
contends, the statements should not have been admitted into
evidence at his second trial. We disagree.
[1] We first note that defendant's constitutional
argument has not been properly preserved for appellate review as
he did not raise this issue at trial. State v. Call, 349 N.C.
382, 410, 508 S.E.2d 496, 514 (1998); see N.C. R. App. P.
10(b)(1).
[2] Regarding defendant's evidentiary argument, Rule
404(b) provides in pertinent part:
Evidence of other crimes, wrongs, or acts is
not admissible to prove the character of a
person in order to show that he acted in
conformity therewith. It may, however, be
admissible for other purposes, such as proof
of motive, opportunity, intent, preparation,
plan, knowledge, identity, or absence of
mistake, entrapment or accident.
N.C.G.S. § 8C-1, Rule 404(b) (2003). This Rule provides a general rule of inclusion of
relevant evidence of other crimes, wrongs or acts by a defendant,
subject to but one exception requiring its exclusion if its only
probative value is to show that the defendant has the propensity
or disposition to commit an offense of the nature of the crime
charged. State v. Coffey, 326 N.C. 268, 278-79, 389 S.E.2d 48,
54 (1990).
Relevant evidence, that evidence having any tendency
to make the existence of any fact that is of consequence to the
determination of the action more probable or less probable than
it would be without the evidence, is generally admissible.
N.C.G.S. § 8C-1, Rules 401, 402 (2003). Relevant evidence may,
however, be excluded if its probative value is substantially
outweighed by the danger of unfair prejudice, confusion of the
issues, or misleading the jury . . . or [by] needless
presentation of cumulative evidence. Id., Rule 403 (2003).
Whether to exclude evidence is a decision within the trial
court's discretion. Coffey, 326 N.C. at 281, 389 S.E.2d at 56.
Defendant argues that motive to commit robbery was
shown by other evidence, that the statements at issue had no
logical connection to the crime for which he was tried in the
instant case, and that the mention of defendant's having been in
prison was unduly prejudicial.
Defendant's statement that he was expected to make a
living outside prison clearly shows a motive for the robbery of
the grocery business. Defendant implied that he was unable to
work or make a living and that he had no money. Also, hisstatement that he wanted to go back to prison demonstrates a
possible motive to commit a crime in order to accomplish that
objective. These statements were made by defendant himself
shortly after the crime and were, thus, distinguishable from
other evidence. As such the statements were substantially
probative of defendant's motive and intent. Furthermore, the
statements do not mention that defendant had committed felonies
or other crimes, just that he wanted to go back to prison.
Considering these factors, the trial court did not abuse its
discretion in ruling that the probative value of the evidence was
not substantially outweighed by the danger of unfair prejudice.
See State v. Lambert, 341 N.C. 36, 50, 460 S.E.2d 123, 131 (1995)
(stating that the fact that [evidence] is also very prejudicial
does not make it unfairly so).
[3] Finally, defendant argues that the trial judge
should have given a limiting instruction that the statements were
to be considered only to show defendant's motive or intent and
not as substantive evidence. However, during the charge
conference defendant's trial counsel objected to such a proposed
instruction; and on appeal defendant has not alleged that his
counsel was deficient for doing so. Moreover, no limiting
instruction was required, as defendant's statements were properly
admitted as admissions of a party opponent under Rule 801(d)(A).
Therefore, defendant's argument has no merit.
Rule 801(d)(A) provides that an admission by a party-
opponent is admissible against the party. N.C.G.S. § 8C-1, Rule
801(d)(A) (2003). 'An admission is a statement of pertinentfacts which, in light of other evidence, is incriminating.'
Lambert, 341 N.C. at 50, 460 S.E.2d at 131 (quoting State v.
Trexler, 316 N.C. 528, 531, 342 S.E.2d 878, 879-80 (1986)). In
this case the challenged statements made by defendant, when
considered in light of other evidence, constitute an admission by
a party-opponent and were thus admissible against him.
[4] The trial court also did not err in deciding that
Rule 609 was inapplicable. The rule addresses the use of
evidence of prior convictions to impeach a testifying witness.
N.C.G.S. § 8C-1, Rule 609 (2003). In this case defendant did not
testify; thus, his statement was not used to impeach him.
Therefore, this argument is without merit. These assignments of
error are overruled.
[5] Next, defendant contends that the trial court erred
by refusing to allow defendant's motion to suppress statements he
made to Officer Dean Myers in the wooded thicket on 6 March 1998.
Defendant made his motion before his first trial; the motion was
denied on the basis that the statement fell within the public
safety exception to Miranda v. Arizona, 384 U.S. 436, 16 L. Ed.
2d 694 (1966). Before the second trial, the trial court left the
ruling undisturbed. Defendant also argues that the trial court
erred by overruling his objection to the testimony during his
second trial. On 6 March 1998 Officer Myers was the first person
to find defendant in the woods during the manhunt. At the time
Officer Myers was using his tracking dog, an AKC-registered
bloodhound, which was on a leash. The officer asked defendant
where the knife was, and defendant responded that he did not havea knife. After defendant was arrested, a knife was found near
the site along with some other small items. Defendant argues
that his statement to Officer Myers that he did not have a knife
was made before he received warnings required by Miranda and that
the trial court erred in determining that the statements fell
within the public safety exception to Miranda.
Miranda warnings protect a defendant from coercive
custodial interrogation by informing the defendant of his or her
rights. State v. Hyatt, 355 N.C. 642, 653-54, 566 S.E.2d 61, 69
(2002), cert. denied, 537 U.S. 1133, 154 L. Ed. 2d 823 (2003).
However, in New York v. Quarles, the United States Supreme Court
recognized certain exceptions to Miranda warnings. 467 U.S. 649,
81 L. Ed. 2d 550 (1984). One of those exceptions is the public
safety exception, which provides that questions asked by law
enforcement officers to secure their own safety or the safety of
the public and limited to information necessary for that purpose
are excepted from the Miranda rule. State v. Brooks, 337 N.C.
132, 144, 446 S.E.2d 579, 587 (1994).
Defendant argues that the facts of the instant case
differ substantially from the facts of Quarles, in which the
United States Supreme Court found that a defendant's statements
made to a police officer in a supermarket about the location of a
gun used by the defendant to commit a crime just minutes before
could be admitted as evidence, notwithstanding that Miranda
warnings had not been given at the time. Quarles, 467 U.S. at
655-60, 81 L. Ed. 2d at 557-59. Defendant notes that in the
instant case, police took forty-five minutes to track him withina thick wooded area. The perimeter of the area was secured by
police officers as other officers took a tracking dog into the
woods to search for defendant. Defendant argues that he was
surrounded, had no chance of getting away, and was lying flat on
the ground. Further, the weapon being searched for was a knife,
not a gun, and no members of the public were in the area as had
been the case in Quarles. Defendant contends that he was
helpless and was being threatened by a vicious dog and that
Officer Myers' safety was guaranteed by the close proximity of
other armed law enforcement officers. However, defendant ignores
other evidence that supports the trial court's ruling.
Officer Myers testified that he was on the tracking
team and was the officer handling the tracking dog on the morning
of 6 March 1998. Officer Myers began the search with his dog and
two other officers; however, by the time he reached defendant,
the other officers were about fifteen yards behind, caught in
briars. Officer Myers was not armed and, thus, kept a close eye
on defendant. Knowing that the crime was a stabbing, Officer
Myers asked defendant where the knife was. Detective Robert
Trotter also testified about the events that morning. He stated
that he was the second officer to arrive at defendant's location
and that he pulled his gun and ordered defendant not to move
because he knew Officer Myers was unarmed and that a weapon had
been used in the robbery.
Officer Myers was alone and unarmed when he discovered
defendant. He knew the crime was a stabbing and that defendant
could have a knife in his possession. His question to defendantwas limited to determining the location of the knife. Under the
circumstances this question was necessary to secure Officer
Myers' own safety, a purpose that falls within the public safety
exception to Miranda. Therefore, the trial court properly
concluded that the public safety exception applied to defendant's
statement. This assignment of error is overruled.
[6] In his next assignment of error, defendant contends
that his trial counsel failed to provide effective assistance as
required by the Sixth Amendment. Defendant argues that his
counsel failed to present available exculpatory and impeaching
evidence. Defendant notes numerous instances in the second trial
where witnesses' testimony contradicted or differed from that
given by the same witnesses in defendant's first trial.
Defendant further notes that evidence was not presented as to
certain facts or statements that were introduced in his first
trial. Defendant argues that such evidence would have shed light
on the identity of the victim's attacker and would have
undermined the credibility of the State's witnesses and that his
counsel's performance was deficient for failing to introduce the
exculpatory and impeaching evidence.
When a defendant attacks his conviction on the basis
that counsel was ineffective, he must show that his counsel's
conduct fell below an objective standard of reasonableness.
State v. Braswell, 312 N.C. 553, 561-62, 324 S.E.2d 241, 248
(1985) (citing Strickland v. Washington, 466 U.S. 668, 687-88, 80
L. Ed. 2d 674, 693 (1984)). In order to do so, a defendant must
satisfy a two-part test: First, the defendant must show that counsel's
performance was deficient. This requires
showing that counsel made errors so serious
that counsel was not functioning as the
counsel guaranteed the defendant by the
Sixth Amendment. Second, the defendant must
show that the deficient performance
prejudiced the defense. This requires
showing that counsel's errors were so serious
as to deprive the defendant of a fair trial,
a trial whose result is reliable.
Strickland v. Washington, 466 U.S. at 687, 80 L. Ed. 2d at 693.
Both prongs of this test must be satisfied in order to establish
ineffective assistance of counsel. Id. To demonstrate
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. Id. at 694, 80 L. Ed. 2d at 698.
Defendant claims that his counsel was ineffective for
failure to impeach the State's witness, Nanette Brown, with her
testimony from defendant's first trial. Defendant claims that
Ms. Brown made numerous contradictory statements that defense
counsel should have brought to the jury's attention by
confronting the witness with her prior testimony. For example,
defendant argues that Ms. Brown's testimony in the first trial
actually identified Brian Wilson, not defendant, as the person
who cashed defendant's check the day before the stabbing based on
the different types of necklaces the two men wore. This evidence
was not presented in the second trial. Defendant also argues
that evidence that Ms. Brown mistakenly identified black males
from mug shot books should have been introduced at the secondtrial. Ms. Brown selected a picture of someone who she believed
was in the store the day before the stabbing; however, that man
was never in the store and had an alibi. Defendant contends that
this information would have cast doubt on the ability of Ms.
Brown and other eyewitnesses to correctly recall details
surrounding the incidents that occurred on the day before the
stabbing. Defendant argues that counsel's failure to present the
impeaching evidence constitutes ineffective assistance and that
absent this mistake, the result of his trial would have been
different.
This Court has stated that [c]ounsel is given wide
latitude in matters of strategy, and the burden to show that
counsel's performance fell short of the required standard is a
heavy one for defendant to bear. State v. Fletcher, 354 N.C.
455, 482, 555 S.E.2d 534, 551 (2001), cert. denied, 537 U.S. 846,
154 L. Ed. 2d 73 (2002); see also State v. Prevatte, 356 N.C.
178, 235-36, 570 S.E.2d 440, 471-72 (2002), cert. denied, 538
U.S. 986, 155 L. Ed. 2d 681 (2003). Moreover, this Court
indulges a strong presumption that trial counsel's representation
is within the boundaries of acceptable professional conduct.
State v. Fisher, 318 N.C. 512, 532, 350 S.E.2d 334, 346 (1986).
As the United States Supreme Court has stated:
A fair assessment of attorney performance
requires that every effort be made to
eliminate the distorting effects of
hindsight, to reconstruct the circumstances
of counsel's challenged conduct, and to
evaluate the conduct from counsel's
perspective at the time. Because of the
difficulties inherent in making the
evaluation, a court must indulge a strong
presumption that counsel's conduct fallswithin the wide range of reasonable
professional assistance . . . .
Strickland v. Washington, 466 U.S. at 689, 80 L. Ed. 2d at 694.
As to whether an ineffective assistance of counsel
claim can be resolved on direct appeal, this Court has stated:
[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. State
v. Fair, 354 N.C. 131, 166, 557 S.E.2d 500, 524 (2001), cert.
denied, 535 U.S. 1114, 153 L. Ed. 2d 162 (2002) (citations
omitted). Therefore, on direct appeal we must determine if these
ineffective assistance of counsel claims have been prematurely
brought. If so, we must dismiss those claims without prejudice
to the defendant's right to reassert them during a subsequent
[motion for appropriate relief] proceeding. Id. at 167, 557
S.E.2d at 525.
After reviewing the record, we conclude, as the State
argues, that this claim of ineffective assistance cannot properly
be decided on the merits based on the record before us. Trial
counsel's strategy and the reasons therefor are not readily
apparent from the record, and more information must be developed
to determine if defendant's claim satisfies the Strickland test.
Therefore, this issue is dismissed without prejudice to
defendant's right to raise this claim in a post-conviction motion
for appropriate relief.
SENTENCING PROCEEDING
[7] Defendant next argues that the trial court erred by
sustaining the State's objection to defendant's residual doubt
argument during his closing argument in the sentencing
proceeding. Defense counsel argued:
And I recognize the awful job of deciding
which punishment to inflict falls to you; and
I would point out to you in the past when we
killed people by firing squad, there was one
gun that had blanks in it. So that if it
were learned later that there had been some
mistake made, that the wrong person had been
--
The court then sustained an objection by the prosecutor. Before
trial the State filed a motion in limine to prevent certain
arguments by the defense, including residual doubt arguments.
At that time defense counsel agreed that residual doubt arguments
were impermissible and stated that defense counsel did not intend
to make a residual doubt argument. The trial court granted the
State's motion. Defendant now argues that since he attempted to
make a residual doubt argument in closing during the sentencing
proceeding and that since the State's objection was sustained,
defendant has preserved this issue for appellate review. We
disagree.
Having violated the trial court's order restricting
certain statements and arguments at trial, defendant cannot now
use this violation to his benefit to bring the residual doubt
issue before this Court. Accordingly, this assignment of error
is overruled.
[8] Next, defendant contends that his counsel provided
ineffective assistance during the sentencing proceeding.
Defendant argues that his counsel conceded prior crimes withoutdefendant's consent and made inappropriate statements that
neither constituted effective assistance nor adequately tested
the State's case.
Defendant first argues that counsel improperly conceded
that defendant committed three prior violent crimes. The State
submitted four aggravating factors to the jury, three of which
were prior felonies submitted under N.C.G.S. § 15A-2000(e)(3).
Defendant admits he gave counsel consent to concede that the
State had the necessary documents to show that defendant had been
convicted of three prior crimes, but says he never gave
permission for his attorneys to admit his guilt of those crimes.
In particular, defendant points to this statement by his counsel:
Those are terrible, terrible acts that he
committed. He was punished for them. But
that's not enough. That's not enough, and
maybe it isn't enough. And that's okay,
because the only two options you have is life
in prison without parole or the death
penalty. So one way or the other, you're
going to get to punish him again for all of
those things.
The State has their aggravators, and
there's no doubt about that.
Counsel further argued, You know he's committed seriously
violent crimes, and you know he spent much of his adult life in
prison, and we're not contesting any of that. The trial judge
stopped to ask defendant if he approved of trial counsel's
admitting that the aggravators were proven beyond a reasonable
doubt. Defendant told the court that he did not admit to
anything, that he was not remorseful, that he had pleaded no
contest to the crimes rather than pleading guilty, and that he
continued to maintain his innocence. Defendant acknowledged, Imean it's on the record, yeah, that they got -- what they call a
conviction. The following exchange then took place:
THE COURT: If I understand what you're
indicating then, just let me see. You're
agreeing or of the mind that your attorney
may argue and admit that the convictions are
there, but you do not admit the acts
underlying --
THE DEFENDANT: Right.
THE COURT: -- those convictions. Now,
are you also indicating that you don't want
your attorney to indicate they have been
proven beyond a reasonable doubt? That is,
conviction or can they --
THE DEFENDANT: They're welcome -- I
consented to them, because like I say, I told
you the other day fighting against a losing
hand.
THE COURT: All right. You don't want
your attorney to admit --
THE DEFENDANT: Not --
THE COURT: -- conviction's been proven
or you don't want your attorney to admit that
they've been established beyond a reasonable
doubt?
THE DEFENDANT: Not on my behalf. I
mean maybe the State feel they have been
established beyond a reasonable doubt, but
not by me. It's nothing. Never proven
anything. That's my main concern. I'm not
admitting to anything. Maintain my innocence
until I die.
Soon thereafter, defendant conceded that counsel could admit to
the convictions themselves but not to the underlying acts, except
for the shooting of Georgia Matthews Turner, for which defendant
was convicted and the conviction for which served as one of the
felonies for the aggravator at issue here. Trial counsel
explained that she assumed she was only admitting to the
aggravators, not to the facts underlying them. When arguments
resumed, however, counsel argued, You can look at the
convictions and conclude that he's done bad acts from those
convictions. Defendant also argues that counsel was deficient for
arguing to the jury that it was counsel's job to prove that
defendant's life had value and by implying that it was hard to
come up with a reason to spare defendant's life by saying, hours
went by, and I had the yellow pad, and I had the pen, and there
wasn't anything down there. Defendant also claims that the
following statement was improper: And if you vote to kill him,
you vote to kill him because you want to and not because you have
to. Defendant argues that these statements gave strength to the
State's presentation of aggravating factors by acknowledging that
defendant is a bad person and by appealing to jurors' subjective
passions in asking for their mercy.
In addition, defendant claims counsel also improperly
compared defendant to a subhuman life form by arguing:
And you may say [to me], aren't you ashamed
. . . . Aren't you embarrassed to be asking for
the life, to be pleading to save the life of
this terrible person who has caused pain and
suffering and God knows there has been pain and
suffering, and we do not deny that. . . .
[W]hen we're driving down the road, if we see
an animal dart out onto the pavement, we'll
swerve to miss it. Because we value life,
and we value it in the lowest life forms we
have. And I'm not going to apologize, and
I'm not going to be ashamed or embarrassed
about any efforts I might make to save
another human being's life.
Defendant contends that comparing a defendant to an animal is
reversible error when done by the State and that defense lawyers
should be held to the same standard.
Finally, defendant points to his counsel's statement to
the jury that the defense had not asked to submit the minorparticipant statutory mitigating circumstance pursuant to
N.C.G.S. § 15A-2000(f)(4). Counsel told the jury to make a note
of the fact that the mitigating circumstance was submitted only
because it's required by law. Defendant notes that no juror
found this mitigating circumstance to exist.
Defendant cites to United States v. Cronic, 466 U.S.
648, 80 L. Ed. 2d 657 (1984), in arguing that his counsel's
performance was deficient for switching theories of the case
between the guilt phase and the sentencing proceeding. Defendant
contends that defense counsel provided ineffective assistance by
abandoning the guilt-phase denial of culpability and by embracing
a plea for mercy in the sentencing proceeding. Defendant appears
to contend that by doing so, defense counsel failed to properly
test the prosecution's case.
The United States Supreme Court stated in Cronic, The
right to the effective assistance of counsel is thus the right of
the accused to require the prosecution's case to survive the
crucible of meaningful adversarial testing. When a true
adversarial criminal trial has been conducted -- even if defense
counsel may have made demonstrable errors -- the kind of testing
envisioned by the Sixth Amendment has occurred. 466 U.S. at
656, 80 L. Ed. 2d at 666 (footnote omitted). Moreover, as stated
above, this Court gives counsel wide latitude in matters of
strategy, Fletcher, 354 N.C. at 482, 555 S.E.2d at 551, and we
presume that trial counsel's representation is within the
boundaries of acceptable professional conduct. Fisher, 318 N.C.
at 532, 350 S.E.2d at 346. In this case, after reviewing trial counsel's arguments
in context and as a whole, we conclude that: (i) applying the
Fair standard stated above, this Court can resolve defendant's
claims on the record before us on direct appeal; and (ii)
defendant has not satisfied the Strickland test by his failure to
show that trial counsel's performance was deficient or that it
prejudiced defendant such that he was deprived of a fair trial
whose result was reliable. Strickland v. Washington, 466 U.S. at
687, 80 L. Ed. 2d at 693. Defendant has taken counsel's comments
out of context and misconstrued their meaning in order to claim
ineffective assistance.
Although defense counsel made statements against
defendant's wishes that appear to concede that defendant
committed the crimes for which he was previously convicted,
defendant has failed to show that such arguments prejudiced his
defense. Defense counsel made the tactical decision to try to
lessen the negative impact of those convictions and to gain
credibility with the jury by discussing the convictions openly.
As defendant himself acknowledged, the State had the necessary
proof of these convictions to support the aggravating
circumstances; thus, no prejudice could result from admitting
that the aggravators existed. The United States Supreme Court
has found that whether or not a defendant expressly consented to
counsel's argument was not dispositive in finding ineffective
assistance. Florida v. Nixon, __ U.S. __, __, 160 L. Ed. 2d 565,
581 (2004). Moreover, this Court has held that the rule in
State v. Harbison, 315 N.C. 175, 180, 337 S.E.2d 504, 507-08(1985), cert. denied, 476 U.S. 1123, 90 L. Ed 2d 672 (1986),
precluding defense counsel from admitting a defendant's guilt to
the jury without the defendant's consent does not apply to
sentencing proceedings. State v. Walls, 342 N.C. 1, 57, 463
S.E.2d 738, 768 (1995), cert. denied, 517 U.S. 1197, 134 L. Ed.
2d 794 (1996). Here, while defendant did not want his counsel to
admit that he committed the underlying acts, he did consent to
the overall strategy of admitting the convictions themselves.
Although counsel may have inadvertently suggested that defendant
committed the underlying acts, that the convictions existed was
established, and without any evidence to the contrary, the jury
undoubtedly would have found the aggravators to exist regardless
of the content of counsel's argument.
Defendant's complaint regarding counsel's references to
his legal representation of defendant as a job, and to his
difficulty in finding a reason to spare defendant's life,
likewise has no merit. Counsel did not suggest that he was
reluctantly representing defendant as in King v. Strickland, 714
F.2d 1481, 1491 (11th Cir. 1983), aff'd on remand, 748 F.2d 1462
(11th Cir. 1984), cited by defendant. Counsel was referring to
his duty as defendant's lawyer. Nor was counsel, as defendant
suggests, telling the jury that he could not come up with a
reason to give defendant life rather than death. Rather, counsel
was acknowledging the inherent difficulty of anticipating how a
jury would weigh mitigators against aggravators. Counsel
attempted to convey to the jury that, although preparing for the
sentencing hearing was difficult, he wanted to do the best hecould for defendant after getting to know him as a client and
that he had given much thought to his closing argument. This
strategy was not unreasonable considering that the jury had
already found defendant guilty of first-degree murder; counsel
was merely attempting to have the jury understand his role as
defendant's advocate and to view the case from his perspective.
Defense counsel's plea to the jury, And if you vote to
kill him, you vote to kill him because you want to and not
because you have to, also does not fall below the standard of a
reasonable trial strategy. Counsel first noted the prosecution's
argument that the only way to protect society from defendant was
to put defendant to death. Counsel reminded the jury that
defendant's expert had testified that defendant was unlikely to
pose a threat of future dangerousness in prison and urged the
jury that it did not have to sentence defendant to death to
protect society. Counsel then argued that life imprisonment is
just as effective and that life imprisonment is sufficient
punishment for murder. Counsel did not, as defendant argues,
invite jurors to kill defendant. Counsel appealed to the
jurors' respect for life by showing them a reasonable basis for a
life sentence as the alternative to a death sentence. Defense
counsel ended her argument by telling the jury, This is not a
time to kill. Viewed in its entirety, this argument did not
constitute ineffective assistance of counsel.
Defendant also misconstrues his counsel's statement
regarding lowest life forms. Defendant's argument that counsel
compared defendant to a subhuman life form is misplaced. Although defendant cites to State v. Jones, 355 N.C. 117, 558
S.E.2d 97 (2002), for support, in that case it was the
prosecutor's pejorative characterization of the defendant as
lower than the dirt on a snake's belly that this Court found to
be objectionable and not any statement by the defense counsel.
355 N.C. at 134, 558 S.E.2d at 108. In this case, defense
counsel's statement did not sink to the level of name-calling or
suggest an improper comparison of defendant to a lower life form,
as was the case in Jones. Rather, counsel attempted to appeal to
the jury's empathy for living beings by reminding them that all
life has value. Such an argument on behalf of defendant's life
does not constitute ineffective assistance.
[9] Defendant's contention that defense counsel should
not have told the jury to disregard the mitigating circumstance
regarding an accomplice to the crime is also without merit. In
the charge conference, defense counsel argued to the trial court
that the (f)(4) mitigator, that defendant was an accomplice in
or accessory to the capital felony committed by another person
and his participation was relatively minor, should not be
submitted to the jury in that the jury had already found
defendant guilty of first-degree murder. Since the jury did not
believe defendant's version of events that an accomplice or
acquaintance committed the crime, defense counsel reasoned that
introducing the mitigator might provoke the jury and prejudice
defendant. The trial court submitted the mitigator on the basis
that sufficient evidence had been presented to support the
mitigator. Defense counsel also requested the trial court togive an instruction that defendant did not request the (f)(4)
mitigating circumstance, and the trial court so instructed the
jury. See State v. Walker, 343 N.C. 216, 222-24, 469 S.E.2d 919,
922-23 (directing that the trial court should instruct that
defendant did not request the (f)(1) mitigator if given over
defendant's objection), cert. denied, 519 U.S. 901, 136 L. Ed. 2d
180 (1996). Thus, defense counsel felt the need to apprise the
jury that defendant did not request submission of that mitigator
as a way of acknowledging the jury's findings in the guilt-
innocence phase. Through this strategy defense counsel was
endeavoring to retain credibility with the jury. Defendant
asserts that by making this concession, counsel abandoned any
basis for residual doubt. We have previously addressed
defendant's residual doubt argument. We also note that while the
jury did not find the (f)(4) mitigator, it did find the catchall
mitigator pursuant to N.C.G.S. § 15A-2000(f)(9), as well as
twelve of nineteen nonstatutory mitigators submitted. Defendant
has failed to show that, but for this concession, a reasonable
probability exists that the outcome would have been different.
Strickland v. Washington, 466 U.S. at 694, 80 L. Ed. 2d at 698.
[10] Upon reaching our conclusion that defendant's
claim of ineffective assistance based upon his trial counsel's
statements in the sentencing proceeding are without merit, we
also reject defendant's claim that Cronic analysis applies. In
the sentencing proceeding, defense counsel engaged in sufficient
adversarial testing of the prosecution's case such thatdefendant's Sixth Amendment right to counsel was not violated.
Defendant's assignment of error is overruled.
PRESERVATION ISSUES
Defendant raises two additional issues that this Court
has previously decided contrary to his position: (i) whether
North Carolina's capital sentencing scheme is unconstitutional
for being vague, overbroad, and applied in an arbitrary manner;
and (ii) whether the death penalty is an inherently cruel and
unusual punishment which violates the United States Constitution
as well as international law.
Defendant raises these issues to urge this Court to
reexamine its prior holdings. We have considered defendant's
arguments on these issues and conclude that there is no
compelling reason to depart from our prior holdings. These
assignments of error are overruled.
PROPORTIONALITY
[11]
Finally, this Court has the exclusive statutory
duty in capital cases pursuant to N.C.G.S. § 15A-2000(d)(2), to
review the record and determine: (i) whether the record supports
the jury's findings of any aggravating circumstances upon which
the court based its death sentence; (ii) whether the sentence was
imposed under the influence of passion, prejudice, or any other
arbitrary factor; and (iii) whether the death sentence is
excessive or disproportionate to the penalty imposed in similar
cases, considering both the crime and the defendant.
State v.
McCollum
, 334 N.C. 208, 239, 433 S.E.2d 144, 161 (1993),
cert.
denied, 512 U.S. 1254, 129 L. Ed. 2d 895 (1994). After a thorough review of the transcript, record on
appeal, briefs, and oral arguments of counsel, we conclude that
the jury's finding of the four aggravating circumstances
submitted was supported by the evidence. We also conclude that
nothing in the record suggests that defendant's death sentence
was imposed under the influence of passion, prejudice, or any
other arbitrary factor.
Finally, we must consider whether the imposition of the
death penalty in defendant's case is proportionate to other cases
in which the death penalty has been affirmed, considering both
the crime and the defendant.
State v. Robinson
, 336 N.C. 78,
132-33, 443 S.E.2d 306, 334 (1994),
cert. denied
, 513 U.S. 1089,
130 L. Ed. 2d 650 (1995). The purpose of proportionality review
is to eliminate the possibility that a person will be sentenced
to die by the action of an aberrant jury.
State v. Holden
, 321
N.C. 125, 164-65, 362 S.E.2d 513, 537 (1987),
cert. denied, 486
U.S. 1061, 100 L. Ed. 2d 935 (1988). Proportionality review also
acts [a]s a check against the capricious or random imposition of
the death penalty.
State v. Barfield
, 298 N.C. 306, 354, 259
S.E.2d 510, 544 (1979),
cert. denied
, 448 U.S. 907, 65 L. Ed. 2d
1137 (1980),
overruled in part on other grounds by State v.
Johnson, 317 N.C. 193, 203-04, 344 S.E.2d 775, 782 (1986). Our
consideration is limited to those cases that are roughly similar
as to the crime and the defendant, but we are not bound to cite
every case used for comparison.
State v. Syriani
,
333 N.C. 350,
400, 428 S.E.2d 118, 146,
cert. denied, 510 U.S. 948, 126 L. Ed.
2d 341 (1993). Whether the death penalty is disproportionateultimately rest[s] upon the 'experienced judgments' of the
members of this Court.
State v. Green
, 336 N.C. 142, 198, 443
S.E.2d 14, 47 (citing
State v. Williams, 308 N.C. 47, 81, 301
S.E.2d 335, 356,
cert. denied, 464 U.S. 865, 78 L. Ed. 2d 177
(1983)),
cert. denied
, 513 U.S. 1046, 130 L. Ed. 2d 547 (1994).
In the case at bar, defendant was convicted of
first-degree murder on the bases of premeditation and
deliberation, as well as under the felony murder rule. The jury
found all four of the aggravating circumstances submitted, three
of which related to defendant's having been previously convicted
of a felony involving the use or threat of violence to the
person, specifically: (i) assault with a deadly weapon
inflicting serious injury against Georgia Matthews Turner,
N.C.G.S. § 15A-2000(e)(3)(2003);
(ii) assault with a deadly
weapon with intent to kill inflicting serious injury and armed
robbery against James McCorkle,
id.; (iii) voluntary manslaughter
against Talmadge Pass,
id.; and (iv) the murder was committed
while the defendant was engaged in the commission of robbery with
a dangerous weapon,
id. § 15A-2000(e)(5)(2003).
The trial court submitted two statutory mitigating
circumstances for the jury's consideration, namely: (i) the
murder was committed by another person and defendant was an
accomplice whose participation was relatively minor,
id., § 15A-
2000(f)(4)(2003), and (ii) the catchall that there existed any
other circumstance arising from the evidence which the jury
deemed to have mitigating value,
id., § 15A-2000(f)(9)(2003).
The jury did not find the (f)(4) mitigating circumstance toexist. The trial court also submitted nineteen nonstatutory
mitigating circumstances; the jury found twelve of these
circumstances to exist and to have mitigating value.
In our proportionality analysis we compare this case to
those cases in which this Court has determined the sentence of
death to be disproportionate. This Court has determined the
death sentence to be disproportionate on eight occasions.
State
v. Kemmerlin
, 356 N.C. 446, 573 S.E.2d 870 (2002);
State v.
Benson
, 323 N.C. 318, 372 S.E.2d 517 (1988);
State v. Stokes
, 319
N.C. 1, 352 S.E.2d 653 (1987);
State v. Rogers
, 316 N.C. 203, 341
S.E.2d 713
(1986),
overruled in part on other grounds by State v.
Gaines
, 345 N.C. 647, 483 S.E.2d 396,
cert. denied
, 522 U.S. 900,
139 L. Ed. 2d 177 (1997),
and by State v. Vandiver
, 321 N.C. 570,
364 S.E.2d 373 (1988);
State v. Young
, 312 N.C. 669, 325 S.E.2d
181 (1985);
State v. Hill
, 311 N.C. 465, 319 S.E.2d 163 (1984);
State v. Bondurant
, 309 N.C. 674, 309 S.E.2d 170 (1983);
State v.
Jackson
, 309 N.C. 26, 305 S.E.2d 703 (1983). This case is not
substantially similar to any of the cases in which this Court has
found that the death sentence was disproportionate.
We also consider cases in which this Court has found
the death penalty to be proportionate.
Defendant was convicted
based on premeditation and deliberation and under the felony
murder rule. The finding of premeditation and deliberation
indicates a more cold-blooded and calculated crime.
State v.
Artis
, 325 N.C. 278, 341, 384 S.E.2d 470, 506 (1989),
judgment
vacated on other grounds, 494 U.S. 1023, 108 L. Ed. 2d 604
(1990).
Defendant also has a history of prior convictions forviolent crimes, including one manslaughter, one assault with a
deadly weapon with intent to kill which left the victim seriously
disabled, and one assault with a deadly weapon inflicting serious
injury on his child's grandmother whom he shot attempting to
shoot the child's mother. This Court has deemed the (e)(3)
aggravating circumstance, standing alone, to be sufficient to
sustain a sentence of death.
State v. Bacon, 337 N.C. 66, 110
n.8, 446 S.E.2d 542, 566 n.8 (1994),
cert. denied, 513 U.S. 1159,
130 L. Ed. 2d 1083 (1995). The present case is more analogous to
cases in which we have found the sentence of death proportionate
than to those cases in which we have found the sentence
disproportionate or to those cases in which juries have
consistently returned recommendations of life imprisonment.
Defendant received a fair trial and capital sentencing
proceeding, free from prejudicial error; and the death sentence
in this case is not disproportionate. Accordingly, the judgment
of the trial court is left undisturbed.
NO ERROR.
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