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All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Car olina 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 consid ered authoritative.
STATE OF NORTH CAROLINA v. MICHAEL ANTHONY NOLEN
No. COA00-855
(Filed 19 June 2001)
1. Criminal Law--mistrial denied--Fifth Amendment privilege asserted
2. Jury--summoning of additional jurors--statute facially constitutional
3. Discovery--trigger pull test--no notice
4. Evidence--defendant's appearance on the night of the crimes--other
evidence admitted
5. Homicide--short-form murder indictment--constitutional
Appeal by defendant from judgment entered 2 September 1999 by Judge B.
Craig Ellis in Bladen County Superior Court. Heard in the Court of Appeals16 May 2001.
Attorney General Michael F. Easley, by Special Deputy Attorney General
Thomas F. Moffitt, for the State.
McCULLOUGH, Judge. Codefendant's Assertion of Fifth Amendment Privilege
[1]Defendant argues that the trial court erred in allowing David
Wilkins to assert a blanket Fifth Amendment privilege to all questions asked
by defense counsel. At trial, defendant called Wilkins to the witness stand
in hopes of uncovering exculpatory information. Wilkins took the stand,
accompanied by his attorney, where the following colloquy took place: Q. Good morning, Mr. Wilkins. Sir, I'd like you to begin by stating for H is Honor and the members of the jury your full name. A. David Earl Wilkins. Q. How old are you, sir? MR. WILLIS [Wilkins' attorney]: Your Honor, at this time, pursuant to the provisions of the Fifth Amendment of the United States Constitution and Article 1, Section 23 of North Carolina Constitution, my client desires to invoke his right against self-incrimination by not testifying any further and I would advise him not to answer any further questions that may be propounded to him by counsel for the Defendant. Both attorneys approached the bench and defendant's counsel asked thetrial court to order Wilkins to answer all que stions which the trial court deemed non-incriminating, in effect challenging Wilkins' previous assertion of his Fifth Amendment privilege. Defendant's attorney also asked the trial court to consider each question's potential for incrimination on a question- by-question basis. After considering the matter, the trial court stated: THE COURT: I'm going to decline to do that. I don't think that I have the authority to order him to answer something that I may not think would be incriminating, but he and his attorney think are incriminating. The Fifth Amendment gives him the right to refuse to answer. And I note your exception to that. The trial court allowed a continuing objection throughout every question and allowed defendant's attorney to ask several of his questions, though Wilkins' attorney invoked Wilkins' Fifth Amendment privilege for each question. Defendant moved for a mistrial and, in the alternative, asked the trial court to reopen the evidence so that he could elicit non-incriminating evidence. The trial court denied both of defendant's proposals and allowed the case to continue. When a witness invokes his Fifth Amendment privilege, the trial court must decide whether one can reasonably infer from the question that the answer may incriminate the witness. State v. Pickens, 346 N.C. 628, 637, 488 S.E.2d 162, 167 (1997). If the trial court determines that the witness' answer will not be self-incriminating, "the trial court may compel the individual to answer the question." State v. Eason, 328 N.C. 409, 419, 402 S.E.2d 809, 813 (1991). A witness may invoke his Fifth Amendment privilege if the evidence can be used against him in a criminal prosecution, or if the evidence can furnish a "link in the chain" of evidence needed to prosecute that witness. Pickens, 346 N.C. at 637, 488 S.E.2d at 167. Invocations of one's Fifth Amendment privilege are to be liberally construed. Id. In this case, defendant's questions woul d have placed Wilkins at the crime scene and would have allowed Wilkins to be cross-examined regarding conversations he had with defendant. It is also likely that defendant's counsel would have uncovered the fact that Wilkins gave defendant the gun used in the robbery of the Scotchman convenience store and in the subsequent murder of Ms. Jordan. The defense's questions could have been "links in the chain" of evidence against Wilkins and could have harmed Wilkins at a subsequent trial. See State v. Ray, 336 N.C. 463, 444 S.E.2d 918 (1994) (explaining that an accomplice who invokes his Fifth Amendment privilege cannot testify about part of a criminal transaction and remain silent about the other events). Defendant argues that the trial court's failure to grant his motion for a mistrial constitutes reversible error. Defendant points to N.C. Gen. Stat. § 15A-1061 (1999), which states that [u]pon motion of a defendant or with his concurrence the judge may declare a mistrial at any time during the trial. The judge must declare a mistrial upon the defendant's motion if there occurs during the trial an error or legal defect in the proceedings, or conduct inside or outside the courtroom, resulting in substantial and irreparable prejudice to the defendant's case. If there are two or more defendants, the mistrial may not be declared as to a defendant who does not make or join in the motion. Our standard of review is dictated by N.C. Gen. Stat. § 15A-1443(b) (1999), which explains that [a] violation of the defendant's rights under the Constitution of the United States is prejudicial unless the appellate court finds that it was harmless beyond a reasonable doubt. The burden is upon the State to demonstrate, beyond a reasonable doubt, that the error was harmless. "'[A] mistrial should be granted only when there are improprieties in the trial so serious that they substantially and irreparably prejudice the defendant's case and make it impossible for the defendant to receive a fairand impartial verdict.'" State v. Bonney, 329 N.C. 61, 73, 405 S.E.2d 145, 152 (1991) (quoting State v. Warren, 327 N.C. 364, 376, 395 S.E.2d 116, 123 (1990)); see also N.C. Gen. Stat. § 15A-1061. Thus, even if the trial court errs, the error must be harmful beyond a reasonable doubt for a mistrial to be properly granted. Pickens, 346 N.C. at 640, 488 S.E.2d at 168-69. In defendant's case, any error regarding Wilkins' Fifth Amendment privilege was harmless beyond a reasonable doubt, given the overwhelming evidence of defendant's guilt. Defendant hoped to elicit from Wilkins' testimony to bolster his defense that he was in an alcohol and drug induced blackout when the robbery and murder took place. However, defendant's argument overlooks the point that he successfully presented a great deal of evidence of his alcohol and drug consumption, corroborated by several witnesses. Wilkins' testimony added no new information, and was corroborative and cumulative at best. Even if Wilkins answered all the questions in the manner defendant wanted, there would still have been ample evidence to support the jury's guilty verdict. The trial court has sole discretion to decide whether to grant a mistrial in a particular case. As defendant cannot show an abuse of discretion by the trial court, its ruling cannot be disturbed on appeal. Defendant's first assignment of error is overruled. Summoning of Additional Jurors
[2]Defendant next argues that the trial court erred in ordering the
sheriff to summon additional jurors pursuant to N.C. Gen. Stat. § 9-11(a)
(1999). The statute provides that [i]f necessary, the court may . . . order the sheriff to summon from day to day additional jurors to supplement the original venire. . . . If the presiding judge finds that service of summons by the sheriff is not suitable because of his direct or indirect interest in the action to be tried, the judge may appoint some suitable person in place of the sheriff to summon supplemental jurors. The shortage of eligible jurors in defendant's case was partl y due to the fact that the case was highly publicized. The robbery and murder occurred in the small town of Tar Heel, where many people knew the victim, and the crime generated a great deal of news coverage. These factors significantly reduced the number of eligible jurors, thereby creating a situation in which N.C. Gen. Stat. § 9-11 was needed. When it became evident that the jury pool was too small to supply a sufficient venire, the trial court told the Sheriff to "go out and bring in 15 more people for in the morning." Defendant objected at that time, and also filed a written objection to the trial court's use of N.C. Gen. Stat. § 9-11. The trial court heard arguments from both sides, then determined that the statute was constitutional and denied defendant's motion to dismiss the eleven supplemental jurors who were summoned by the Sheriff of Bladen County. All defendants are entitled to an impartial jury under both the United States and the North Carolina Constitutions. U.S. Const. Amends. V, VI, XIV; N.C. Const., Article I, §§ 19, 23, 24, and 35. See also Irvin v. Dowd, 366 U.S. 717, 6 L. Ed. 2d 751 (1961). A sheriff acting pursuant to N.C. Gen. Stat. § 9-11 has "'[a] right and duty to use his best judgment in securing men of intelligence, courage, and good moral character, but he must act with entire impartiality.'" State v. White, 6 N.C. App. 425, 428, 169 S.E.2d 895, 897 (1969) (quoting 50 C.J.S., Juries, § 186 p. 921)). A challenge to jury selection under N.C. Gen. Stat. § 9-11 is sustainable when "'there is a partiality or misconduct in the sheriff, or some irregularity in making out the list.'" State v. Dixon, 215 N.C. 438, 440, 2 S.E.2d 371, 372 (1939) (quoting State v. Speaks, 94 N.C. 865, 873 (1886)). Defendant maintains that the actions of the Bladen County Sheriff and his deputies were improper under N.C. Gen. Stat. § 9-11. When Bladen County Sheriff Bunn was asked how he found eligible jurors, he explained that &nb sp;[t]wo members of my senior staff and I sat down and just started a list of names of people that we knew that it wouldn't cause a financial hardship for and from various parts of the county, and we provided that list to them as potentials, you know, to check with these people and see if they are able to serve or not, and if they haven't served in the past two years, and so on, all the various qualifications of jurors. We gave them that list and said, you know, "Check with these people. If they're available, do them. If you can't find them and you see someone else that meets these criteria, then summons those also." Defendant strongly urges this Court to find that the sheriff's practices pursuant to N.C. Gen. Stat. § 9-11 constitute prejudice per se. He argues that such prejudice manifested itself in several respects. First, the lead detective on the case, Detective Rodney Warwick, works for the Bladen County Sheriff; defendant maintains that this fact created an appearance of impropriety. Further, defendant points out that the Sheriff and the deputies who served the eleven summonses for additional jurors personally knew some of the potential jurors, again creating an appearance of impropriety. Defendant also raises concerns about the potential for abuse and argues that N.C. Gen. Stat. § 9-11 gives very little guidance about how sheriffs are to find potential jurors. We do not find defendant's arguments persuasive. Our Supreme Court has stated that "[a] sheriff is not disqualified from summoning supplemental jurors because he or a member of the sheriff's office is testifying in the case." State v. Barnard, 346 N.C. 95, 102, 484 S.E.2d 382, 386 (1997). Absent proof that a sheriff "violated the discretionary trust placed in him [by N.C. Gen. Stat. § 9-11], he should remain free to use his best judgment in carrying out the orders of the court." State v. White, 6 N.C. App. 425, 428, 169 S.E.2d 895, 897 (1969). Furthermore, this Court has stated that [d]eputy sheriffs testify in many cases. We do not believe the legislature intended to disqualify sheriffs from summoning extra jurors in all of them. If this wereso, we believe the legislature would have designated some other official to summon extra jurors. State v. Yancey, 58 N.C. App. 52, 60, 293 S.E.2d 298, 303 (1982). While we agree with defendant that there is a possibility for abuse in the jury selection process, we also recognize the importance of giving a sheriff discretion so that he may carry out his duties pursuant to N.C. Gen. Stat. § 9-11. Our Court has stated that [n]owhere in the statute is there a provision delineating discretionary restrictions to be placed on an officer in fulfilling the court's order. The statutory recognition that tales jurors may be needed and the statutory language used contemplates a system easily and expeditiously administered. To place procedural restrictions unnecessarily on their selection would defeat the purpose of the system, which is to facilitate the dispatch of the business of the court. Tales jurors are selected infrequently and only to provide a source from which to fill the unexpected needs of the court. They must still possess the statutory qualifications and are still subject to the same challenges as are regular jurors and may be examined by both parties on voir dire. In order to retain the flexibility needed in the administration of such a system, the summoning official must be permitted some discretion, whether he be located in a relatively small community or a more heavily populated area, and to restrict the discretion placed in the summoning official, without proven cause, is to presume he is not worthy of the office he holds. Such should not be the case. White, 6 N.C. App. at 428, 169 S.E.2d at 897. See also State v. Shaw, 284 N.C. 366, 369, 200 S.E.2d 585, 587 (1973). The trial court made detailed findings of fact and conclusions of law before denying defendant's motions. We will not disturb the actions of the trial court on appeal unless there was an abuse of discretion. "[T]he scope of appellate review . . . is strictly limited to determining whether the trial judge's underlying findings of fact are supported by competent evidence, in which event they are conclusively binding on appeal, and whether those factual findings in turn support the judge's ultimate conclusions of law." State v. Cooke, 306 N.C. 132, 134, 291 S.E.2d 618, 619 (1982). Theeleven supplemental jurors were called to serve only as alternate jurors; alternate jurors are not members of the jury until one of the jurors dies or is discharged and the trial court substitutes the alternate in his place. See State v. Bindyke, 288 N.C. 608, 622-23, 220 S.E.2d 521, 530 (1975). Defendant's objection became moot when none of the supplemental jurors were seated as alternate jurors for defendant's trial. All eleven supplemental jurors were excused, and the two alternate jurors ultimately were selected from the original jury pool. Since the jurors who ultimately sat for defendant's trial were chosen in the ordinary course, there was no error. Even if jurors selected under N.C. Gen. Stat. § 9-11 ultimately had been seated for defendant's trial, we find that the statute is constitutional on its face. We expressly decline to adopt defendant's prejudice per se argument, and overrule this assignment of error. The Trigger Pull Test
[3]Defendant next maintains that the trial court erred in admitting the
State's evidence of a trigger pull test conducted on the murder weapon by a
firearms expert. At trial, S.B.I. Agent Tom Trochum was qualified as an
expert in toolmark and firearm identification. Agent Trochum is trained to
compare toolmarks and to determine from what weapon certain rounds of
ammunition were fired. Agent Trochum testified that the murder weapon was
the same one that defendant had thrown from the truck window before he was
arrested. The State then asked Agent Trochum about the results of trigger
pull tests conducted on the murder weapon. Such tests determine the amount
of pressure needed to discharge a gun in both single action and double action
mode. This information in turn helps determine whether a gun could
accidentally misfire, or if the person handling the gun had to actually go
through the motions of firing before the gun could go off. When the State began questioning Agent Trochum about the results of thetrigger pull tests, defendant objected, stat ing he was not notified Agent Trochum would testify about trigger pull tests. Defendant further asserted that the State's disclosure document indicated that Agent Trochum would only testify about toolmark identification and firearms identification. The trial court heard arguments from both attorneys as follows: MR. POPE [Defendant's Attorney]: I have a copy of his report, but it doesn't indicate any testing or results of any trigger pull. We object to testimony regarding that. MR. BOLLINGER [Prosecutor]: He's had notes that the witness was going to testify, he's had access to talk to him. It's a test they always perform and they never put in their reports. MR. POPE [Defendant's Attorney]: We got results of an examination; doesn't mention anything about such tests. THE COURT: Well, I'll permit him to testify. I'll note your exception. Defendant contends this testimony shows that the prosecutor knew that the trigger pull tests were routinely done, and failed to make it clear to defendant that those results were routinely left out of the reports. Defendant argues that such behavior is misleading and constitutes a violation of statutory discovery requirements. Defendant states that none of the State's five "Discovery Disclosure Certificates" mentioned the trigger pull tests. The Discovery Disclosure Certificates signed by the prosecutor certif[ied] that [the prosecutor] provided discovery in the following manner to the defendant of matters required under N.C.G.S. 15A-903 et. seq: A. By providing the attorney for the defendant with a copy of the State's investigative file, reports of evidence examinations and the criminal history of the Defendant as received by this office. While defendant is correct that the prosecutor has both an ethical and a statutory duty to disclose information, we do not find that the prosecutorbreached those duties here. The trial court found that the tri gger pull test was "just standard procedure to see that the gun is operating properly." Agent Trochum's report was made available to defendant by the prosecutor. Though the report did not contain the trigger pull information, the prosecutor fulfilled his duty by providing defendant with a copy of that report in its entirety. Even if the prosecutor's actions constituted a discovery violation, the trial judge still retained broad discretion to determine if sanctions were appropriate under N.C. Gen. Stat. § 15A-910 (1999). Unless the trial court abused that discretion, the decision will not be reversed. "The choice of which sanction, if any, to impose is left to the sound discretion of the trial court. A trial court will not be reversed on appeal absent a showing that its ruling was so arbitrary that it could not have been the result of a reasoned decision." State v. Banks, 322 N.C. 753, 761, 370 S.E.2d 398, 404 (1988) (citation omitted). Additionally, "discretionary rulings of the trial court will not be disturbed on the issue of failure to make discovery absent a showing of bad faith by the state in its noncompliance with the discovery requirements." State v. McClintick, 315 N.C. 649, 662, 340 S.E.2d 41, 49 (1986). The State correctly points out that defendant never made a motion under N.C. Gen. Stat. § 15A-903(e) for discovery of test results; instead, defendant relied on the State's "open file" discovery policy. Defendant knew that Agent Trochum examined the murder weapon, prepared a report and was scheduled to testify at trial. Defendant had ample opportunity to examine the report and inquire as to whether any trigger pull tests were conducted. Moreover, the trial court's ruling was not arbitrary. The trial court noted that the trigger pull test was a routine part of the firearms testingprocedure for any weapon undergoing ballistics study. Indeed, d efendant's own firearms expert, Mr. Forrest Bell, indicated that trigger pull tests were routinely done whenever a gun was cleaned and inspected. Keeping in mind that the purpose of discovery under N.C. Gen. Stat. § 15A-903 is to avoid unfair surprise at trial, we find there was no unfair surprise or bad faith on the part of the State. The trial court's ruling was not arbitrary, and defendant's assignment of error is overruled. Defendant's Appearance on the Night of the Crimes
[4]Defendant next argues that the trial court erred in sustaining the
State's objections to questions eliciting information about whether defendant
appeared drunk and irrational on 24 July 1998, because the effect was to
deprive him of "'a meaningful opportunity to present a complete defense.'"
Crane v. Kentucky, 476 U.S. 683, 690, 90 L. Ed. 2d 636, 645 (1986) (quoting
California v. Trombetta, 467 U.S. 479, 485, 81 L. Ed. 2d 413, 419 (1984)).
During the trial, defendant maintained that he was too incapacitated by drugs
and alcohol to form the requisite criminal intent to commit the crimes of
robbery and first-degree murder. Defendant and two medical witnesses
testified to that effect, explaining that defendant was in an alcohol and
drug induced blackout when the crimes were committed. Despite this
testimony, defendant sought further corroboration of the alcohol and drug
induced blackout by asking the questions that the State objected to.
Defendant's eyewitness, David Wilkins, was unavailable because he asserted
his Fifth Amendment privilege. Defendant contends that the State's sustained
objections caused him to lose three other corroborating witnesses as well. We find that defendant successfully elicited testimony from other witnesses who saw him consume drugs and alcohol throughout the day, prior to the commission of the crimes. Even before the State's objections were sustained, defendant presented evidence that corroborated his testimony abouthis substance abuse. "[T]he scope of cross examination r ests largely within the discretion of the trial court. Absent a showing of an abuse of discretion or that prejudicial error has resulted, the trial court's ruling will not be disturbed on review." State v. Maynard, 311 N.C. 1, 10, 316 S.E.2d 197, 202- 03, cert. denied, 469 U.S. 963, 83 L. Ed. 2d 299 (1984), cert. denied, 502 U.S. 1110, 117 L. Ed. 2d 450 (1992); and State v. Sams, 317 N.C. 230, 240, 345 S.E.2d 179, 185 (1986). The State objected to the form of defendant's questions because they called for speculation by the individual witnesses as to defendant's state of mind. See State v. Richmond, 23 N.C. App. 683, 685, 209 S.E.2d 535, 536 (1974) (explaining that "[w]hile a cross-examiner has wide latitude in his examination, the court does have discretion to limit argumentative questioning -- particularly about matters of which the witness can have only a speculative opinion"). Defendant, not the other witnesses, provided the best evidence as to his state of mind on 24 July 1998. Defendant cannot show that the trial court's rulings affected the outcome of the trial; therefore, this assignment of error is overruled. The Short-Form Murder Indictment--N.C. Gen. Stat. § 15-144
[5]Finally, defendant argues that the trial court erred in entering
judgment against him using the short-form murder indictment authorized by
N.C. Gen. Stat. § 15-144 (1999) because the short-form indictment violates
the constitutional requirements of first charging the elements of the offense
in the indictment, submitting them to the jury, and then making the State
prove the elements beyond a reasonable doubt. See Jones v. United States,
526 U.S. 227, 232, 143 L. Ed. 2d 311, 319 (1999). Defendant contends that
the short-form indictment is constitutionally defective in three ways: (1)
the indictment does not allege any of the elements of first-degree murder
that distinguish it from second-degree murder; (2) the indictment does notindicate the theory of first-degree murder the grand jury found b
ased on the
evidence; and (3) the indictment violates the Equal Protection Clause of the
Fourteenth Amendment because it fails to give defendant notice of the
elements of the charge against him. Defendant also urges us to examine the
short-form indictment using a strict scrutiny analysis because this is a
fundamental right. We disagree with defendant's characterization of the
short-form indictment, and find it constitutionally sound. The indictment charged that defendant "unlawfully, willfully and feloniously did of malice aforethought kill and murder Dorothy Jordan" in violation of N.C. Gen. Stat. § 14-17 (1999). Defendant's constitutional arguments were expressly rejected in State v. Wallace, 351 N.C. 481, 504-08, 528 S.E.2d 326, 341-43, cert. denied, 531 U.S. 1018, 148 L. Ed. 2d 498 (2000), reh'g denied, 531 U.S. 1120, 148 L. Ed. 2d 784 (2001); and State v. Braxton, 352 N.C. 158, 173-75, 531 S.E.2d 428, 436-38 (2000), cert. denied, 531 U.S. 1130, 148 L. Ed. 2d 797 (2001). As we are bound by the decisions of the Supreme Court, we overrule this assignment of error. We therefore find that defendant received a fair trial, free of prejudicial error. In that trial, we find No error. Judges WALKER and THOMAS concur.
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