State v. Locklear
Full Opinion (html_with_citations)
Defendant Dane Locklear, Jr. was indicted for one count each of first-degree murder, felonious larceny, burning of personal property, and first-degree arson. The case was tried capitally, and on 1 June 2005, the jury returned verdicts finding defendant guilty of the first-degree murder of Frances Singh Persad on the basis of malice, premeditation, and deliberation, and also under the felony murder rule on the bases of assault with a deadly weapon inflicting serious injury
Defendant appealed his capital conviction to this Court, and we allowed his motion to bypass the Court of Appeals as to his other convictions. We find no error in defendantâs trial, but we vacate his death sentence and remand for a new sentencing hearing.
FACTUAL BACKGROUND
The State presented evidence that in the early morning hours of 27 February 2000, firefighters responded to reports of a fire at the residence of Frances Singh Persad at 52 Beck Street in Red Springs, North Carolina. When they arrived at the scene, firefighters found the home engulfed in flames. After extinguishing the fire, firefighters discovered the charred body of Persad lying on the floor of the front bedroom. A bloodied one-by-four board, a bed slat, lay next to her body. Persadâs vehicle, a red Ford Mustang, was not at the home. The shotgun that Persad normally kept in her bedroom was also missing. The subsequent criminal investigation revealed the fire was intentionally set and that Persad died from carbon monoxide poisoning. Persad also sustained blunt-force injuries to her head and sharp-force injuries to her neck. Investigators soon focused their attention on defendant, whom Persad had befriended while he was a patient at Southeastern Regional Medical Center. Persad worked at the medical center as a psychiatric nurse, and her initial friendship with defendant had developed into a sexual relationship.
Several days later, on 1 March 2000, a land surveyor working in a rural wooded area in Robeson County discovered Ms. Persadâs red Ford Mustang. The wooded area was near a canal with a dirt road beside it, known as âCanal Road.â The Mustang was burned down to bare metal and was still smoking. Defendantâs extended family resided in the area. Upon searching the area, police found defendant hiding in a nearby house.
Heather Justice testified on behalf of the State. Justice stated defendant was an acquaintance of her former boyfriend, John Campbell. Justice testified defendant sold Campbell a âvery large black weapon,â a gun, in exchange for âa little over 200 pieces of dopeâ worth â$200.â Other witnesses established that this was the
The State introduced into evidence several statements defendant gave to law enforcement officers in which he confessed to killing Persad. One statement was audiotaped, while the second was videotaped. Defendant told Detective Ricky Britt of the Robeson County Sheriffâs Office and several other law enforcement officers that Persad picked him up on the evening of 26 February 2000 after completing a second shift at the hospital. Persad drove them in her red Mustang to her home. Defendant and Persad were drinking in bed together after sexual intercourse when they began to argue. Although defendant could not recall the exact subject of their disagreement, defendant stated that Persad was angry with him because he had taken a shotgun from her house a few days earlier. The argument âupsetâ him, and Persad was âscreamingâ at him. Defendant told Detective Britt that âthe next thing [he knew] is that [he] had grabbed a two by four that was in her room . . . and [] began beating her with it.â According to defendant, Persad attempted to reach the telephone to call 911, but he beat her down. She said she âdidnât want to die.â Defendant continued to beat Persad in the head with the board until he believed she was dead! He checked her heartbeat, but âknew she was gone.â She bled profusely, and defendant had âa lot of bloodâ on him. Defendant then set the curtains and couch on fire and fled the home. He drove Persadâs Mustang to a river, where he attempted to wash the blood from his body and clothes. Defendant eventually drove to a rural area near Canal Road and burned the Mustang.
While confessing to Persadâs murder, defendant confessed to a second killing that occurred several years earlier. Defendant told Detective Britt he killed a young woman named Cynthia Wheeler, who was a student at the University of North Carolina at Pembroke at the time of her disappearance in June of 1997. At that time, investigators found Wheelerâs vehicle at the same location near the canal
The jury found defendant guilty of the first-degree murder of Frances Persad on the basis of premeditation and deliberation, as well as under the felony murder rule, with both assault with a deadly weapon inflicting serious injury and arson as underlying felonies. The case proceeded to sentencing.
Defendant presented evidence of mental retardation at the sentencing hearing. Dr. Timothy Hancock, a clinical psychologist, testified as an expert in cognitive impairment or mental retardation. Dr. Hancock testified he considered defendantâs case âa slam dunk for retardationâ and that it was one of the few pro bono cases his clinic accepted every year âbased on merit and the strength of the findings.â Dr. Hancock testified defendant obtained a full scale IQ score of 68 on the Wechsler Adult Intelligence Scale (âWAISâ) test he administered to defendant in January 2005. Dr. Hancockâs testing also showed defendantâs adaptive functioning was significantly deficient in social skills, communication skills, self-care, work skills, and community use. Dr. Hancock stated that, in his opinion, defendant was mentally retarded as defined by the North Carolina General Statutes.
Dr. Hancock also testified to earlier testing of defendant. In September 2004 defendant obtained a full scale IQ score of 69 under a WAIS IQ test administered by another clinical psychologist, Dr. Brad Fisher. Dr. Fisher determined that defendant had adaptive deficits in functional academics, self-care, community use, and work skills. Dr. Fisher concluded defendant was mentally retarded.
The State presented evidence of defendantâs records from Southeastern Regional Mental Health, as well as his medical records from the Department of Correction. Although defendant had been previously diagnosed with antisocial personality disorder, post-traumatic stress disorder, depression, and cocaine, alcohol, and marijuana dependence, his intellectual functioning was diagnosed as borderline and not retarded. The State also presented evidence that defendant kept several books and letters in his prison cell. Records from the Department of Correction showed diagnoses of defendantâs âmalingering.â
During the charge conference for the mental retardation issue, defense counsel requested the trial court to instruct jurors that, should they find defendant mentally retarded, he would be sentenced to life imprisonment without parole. Defense counsel argued ânot to include that, you know, the jury would have no way of knowing what would happen to a defendant if heâs found mentally retarded, whether heâs going to go free or whatâs to happen to him. So, they need to know that heâs going to â you know, he is still going to be in prison for life without parole. Defense counsel repeated the request:
.Where it says the law provides that no defendant who is mentally retarded shall be sentenced to death, and I ask the Court to also include an additional sentence or paraphrase after that that upon a finding that a defendant is mentally retarded, he will be sentenced to life without parole. As I said, I explained that so the jury would know that Mr. Locklear is going to be in jail for life without parole. Because otherwise, they donât know whatâs going to happen to him if they should find that heâs mentally retarded. If they donât know whatâs going to happen to him, your Honor, that may cause a concern if they find him retarded, you know, whatâs to happen to him, where is he going to go.
THE COURT: As we discussed at the bench, is there anything to prevent counsel for either the State or defendant arguing the law as it relates to what type of punishment would be imposed upon a finding of either mental retardation or no mental retardation?
[PROSECUTOR]: Iâm not aware of any restriction.
THE COURT: So, youâre not arguing that the defendant cannot argue to the juryâ
[PROSECUTOR]: He can argue it.
THE COURT: âif you find him mentally retarded, then he will be sentenced in accordance with the law of the state of North Carolina to life in prison without parole?
[PROSECUTOR]: Thatâs consistent.
[DEFENSE COUNSEL]: I sort of beg to differ. To say that heâs not to be sentenced to death doesnât explain to the jury whatâs going to happen to him. And if I get in an argument and say, well, if you find heâs retarded, he gets a life sentence, here comes the instruction that says something different, that doesnât include that in thereâ
THE COURT: Thereâs two big different things.
[DEFENSE COUNSEL]: Yes, sir.
THE COURT: One is something different and one doesnât include it inâ
[DEFENSE COUNSEL]: Well, if I say something thatâs not included in the instructions, then whatâs the jury going to think? They listen to the Courtâs instructions of law, and this said, you know, thatâs what the instruction â whatâs going to happen to him, and they donât know, and thatâs the big question. And that will be the big question, and thatâs a reasonable question for them to have, well, if I find him retarded, whatâs going to happen to him.
The trial court denied defendantâs requested instruction.
The jury found defendant was not mentally retarded. Following the presentation of evidence on mitigating and aggravating circumstances, the jury recommended a sentence of death.
GUILT-INNOCENCE PHASE
Evidentiary question on the two murders
Defendant argues the trial court erred in allowing the State to introduce evidence that defendant killed Cynthia Wheeler in 1997. Although defendant was charged with murdering both Persad and Wheeler, the offenses were not joined for trial. Defendant asserts that the severance of the cases indicates the underlying factual circumstances surrounding the murders were too dissimilar to allow joinder of the offenses. This dissimilarity, contends defendant, militates against introduction of the evidence of Wheelerâs murder. Defendant argues the evidence of Wheelerâs murder was introduced for no legitimate purpose other than to demonstrate his propensity to kill Persad, and that introduction of the evidence unduly prejudiced him, requiring a new trial.
Defendant concedes that admission of evidence of a prior offense under Rule of Evidence 404(b) differs from joinder of offenses. See, e.g., State v. Greene, 294 N.C. 418, 423, 241 S.E.2d 662, 665 (1978) (noting that whether offenses may be properly joined is a separate question from whether evidence from one case may be properly admitted at the trial of the other). Although the decision to join offenses for trial often involves considerations similar to those reviewed when determining whether to admit evidence of a prior offense under Rule 404(b), the decision to join or not join offenses does not determine admissibility of evidence under Rule 404(b). State v. Cummings, 326 N.C. 298, 308-11, 389 S.E.2d 66, 72-73 (1990) (holding that, although the offenses were not joined for trial, the trial court properly admitted evidence of one murder at the trial of the other under Rule 404(b)); State v. Corbett, 309 N.C. 382, 388-89, 307 S.E.2d 139, 144 (1983) (determining that joinder of the offenses, although improper, was not prejudicial in part because â[e]vidence of each of these offenses would have been admissible in the separate trials of the others in order to prove the identity of the assailantâ). Moreover, the decision to join two or more offenses for trial is discretionary and does not necessarily indicate the lack of a transactional connection between the offenses. See N.C.G.S. § 15A-926(a) (2007); State v. Chapman, 342 N.C. 330, 342-43, 464 S.E.2d 661, 668 (1995) (noting that the decision to consolidate for trial offenses having a transactional connection is within the discretion of the trial court), cert.
Rule of Evidence 404 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.
Id. § 8C-1, Rule 404(b) (2007). Rule 404(b) is âa clear 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.â State v. Coffey, 326 N.C. 268, 278-79, 389 S.E.2d 48, 54 (1990). Thus, as long as the evidence of other crimes or wrongs by the defendant â âis relevant for some purpose other than to show [the] defendant's] ... propensityâ â to commit the charged crime, such evidence is admissible under Rule 404(b). Id. at 279, 389 S.E.2d at 54 (quoting State v. Bagley, 321 N.C. 201, 206, 362 S.E.2d 244, 247 (1987), cert. denied, 485 U.S. 1036, 99 L. Ed. 2d 912 (1988)).
Here, the trial court noted the following similarities between the murders:
[Both victims are] females; that an argument arose between the Defendant and each of the victims during sexual intercourse, or at or around the time of sexual intercourse. That the Defendant beat them with both his hands and at some point â struck them with his hands during the argument. I do note that he further testified and his statement further indicated â the oral and video statement, he further hit Ms. [Persad] with a two-by-four. And I think in both instances he checked the pulse of the victims, or checked to see if they were, in fact, deceased or dead, then he made efforts to dispose of the bodies.
*448 In Ms. Wheelerâs case he took the body on the hood of a vehicle to â off of Canal Road and disposed of it in the woods. And in Ms. [Persadâs] case he set the house afire. Both instances, according to his statement, he indicated he had just lost control, in effect, blacked out. As to both of the victimâs vehicles, they were burnt off or near Canal Road within 100 to 200 feet of each other. That the death of Cynthia WTieeler occurred on or about June of 1997. That the death of [Frances Persad] occurred on or about February 27, the year 2000. That the proximity and time between the two â or the amount of time between the two alleged deaths and murders is not so remote as to diminish the probative value.
The trial court further noted that the arguments between defendant and the victims arose as a result of alleged misconduct on the part of defendant. The trial court ruled the evidence of Wheelerâs death was admissible for purposes of showing defendantâs knowledge, plan, opportunity, intent, modus operandi, and motive to kill Persad. The trial court also determined the evidence was more probative than prejudicial.
Although defendant argues the murders are temporally and factually distinct from one another, the trial courtâs findings indicate significant similarities between the deaths of the victim and Wheeler. As for the thirty-two month time lapse between the deaths, âremoteness in time is less significant when the prior conduct is used to show intent, motive, knowledge, or lack of accident; remoteness in time generally affects only the weight to be given such evidence, not its admissibility.â State v. Stager, 329 N.C. 278, 307, 406 S.E.2d 876, 893 (1991) (citing State v. Smoak, 213 N.C. 79, 93, 195 S.E. 72, 81 (1938)); see also State v. Peterson, 361 N.C. 587, 600-03, 652 S.E.2d 216, 226-27 (2007)) (holding that, when there were significant similarities between the death of the defendantâs wife and the death of a woman sixteen years earlier with whom the defendant had a close personal relationship, the trial court did not abuse its discretion by admitting evidence of the prior death, even though the defendant was never criminally charged with the earlier death), cert. denied, â U.S. -, 170 L. Ed. 2d 377 (2008).
Defendant argues that, even if admissible, the evidence was excessively prejudicial, requiring its exclusion under Rule of Evidence 403. We review a trial courtâs decision to admit or exclude evidence under Rule 403 for abuse of discretion. State v. Whaley, 362 N.C. 156, 160, 655 S.E.2d 388, 390 (2008) (citing Peterson, 361 N.C. at 602-03, 652 S.E.2d at 227). We reverse the trial court only when â âthe courtâs
Defendant assigns error to four other instances in which he asserts the trial court erroneously admitted evidence of other prior bad acts. The objectionable evidence includes: (1) defendantâs videotaped statement in which he mentions being a convicted felon; (2) defendantâs audiotaped statement in which he identifies a certain mobile home as one where he sold drugs; (3) testimony by a witness that defendant sold the shotgun he took from Persad in exchange for illegal drugs; and (4) testimony by a detective that a visitor attempted to smuggle cocaine and marijuana to defendant while he was being held at the sheriffâs office. Defendant contends the evidence of his criminal record and drug-related activities was irrelevant to any material issue at trial and unfairly prejudicial. Defendant asserts that the cumulative prejudicial effect of these errors warrants a new trial. We disagree.
To the extent defendant failed to object to introduction of much of the evidence he now contends was inadmissible, or objected on grounds other than those now argued on appeal, he has waived his right to appellate review other than for plain error. We reverse for plain error only in the most exceptional cases, see State v. Garcell, 363 N.C. 10, 35-36, 678 S.E.2d 618, 634 (2009) (quoting State v. Raines, 362 N.C. 1, 16, 653 S.E.2d 126, 136 (2007)), and only when we are convinced that the error was either a fundamental one resulting in a miscarriage of justice or one that would have altered the juryâs verdict. See id. at 35-36, 678 S.E.2d at 634-35.
We now examine each of the four instances in turn. The first instance arises from defendantâs videotaped statement in which he confesses to killing Wheeler. In the statement, defendant describes how Wheeler became angry with him during sexual intercourse when she discovered he was not wearing a condom as he had promised to do. Wheeler scratched his face, which âupsetâ him. He beat her in the face in the back seat of the car, but then stopped and allowed her to dress. As she was leaving the vehicle, Wheeler told defendant she was
Defendant contends the evidence that he was a convicted felon was improperly admitted because evidence of prior convictions is inadmissible when the defendant does not testify. See N.C.G.S. § 8C-1,. Rule 609 (2007) (permitting admission of evidence of prior convictions when the defendant testifies); State v. Badgett, 361 N.C. 234, 247, 644 S.E.2d 206, 214 (stating that âit is error to admit evidence of the defendantâs prior conviction when the defendant does not testifyâ (citations omitted)), cert. denied, â U.S. â, 169 L. Ed. 2d 351 (2007). At trial, however, defendant only objected to the evidence on the ground it violated Rule 404(b). Defendant is therefore limited to plain error review of this argument. We conclude defendant has failed to show that the jury would have found him not guilty of murdering Persad absent his statement in the videotape that he was a convicted felon or that admission of this evidence constituted fundamental error resulting in a miscarriage of justice.
Defendant further asserts, as he did at trial, that admission of the evidence violated Rule of Evidence 404(b). The trial court overruled defendantâs objection. Defendant argues the evidence only related to the Wheeler case and was irrelevant to the murder of Persad. We do not agree. Defendantâs status as a convicted felon was an integral part of his explanation regarding the sequence of events and his motive in killing Wheeler. Wheeler threatened to accuse him of rape, and defendant believed law enforcement would discount his version of events because of his prior conviction. Wheelerâs threat angered and concerned defendant, whereupon he chased her down and killed her. This evidence, in turn, was probative of defendantâs murder of Persad insofar as it tended to show both defendantâs possible motive in killing Persad â to prevent her from reporting the theft of her shotgun to police â and his modus operandi. We moreover conclude that, even if erroneously admitted, such admission did not prejudice defendant.
The next three instances of admission of evidence to which defendant has assigned error concern his involvement in drug-related activities. As noted above, this evidence included that defendant once sold drugs, that he sold the shotgun belonging to Persad for drugs, and that one of his visitors while he was at the sheriffâs office
Crawford issue of admitting opinion evidence
Defendant argues the trial court erred in admitting opinion testimony as to the cause of Wheelerâs death rendered by a non-testifying pathologist and opinion testimony from a non-testifying dentist about the identity of Wheelerâs remains. Although we agree that admission of the testimony violated the dictates of Crawford and was therefore erroneous, we find such error harmless beyond a reasonable doubt.
The State tendered John D. Butts, M.D., the Chief Medical Examiner for North Carolina, as an expert in the field of forensic pathology. Dr. Butts testified as to Stateâs Exhibit 101, which Dr. Butts identified as a copy of an autopsy report for Cynthia Wheeler. The autopsy report was prepared by Karen Chancellor, M.D., a forensic pathologist who performed the autopsy on Wheelerâs body in 1997. Dr. Butts testified that, according to the autopsy report prepared by Dr. Chancellor, the cause of Wheelerâs death was blunt force injuries to the chest and head. Dr. Butts also testified to the results of a forensic dental analysis performed by Dr. Jeffrey Burkes, a consultant on the faculty of the University of North Carolina School of Dentistry. The forensic dental analysis was included in the autopsy report. Dr. Butts stated that, by comparing Wheelerâs dental records to the skeletal remains, Dr. Burkes positively identified the body as that of Wheeler. Neither Dr. Chancellor nor Dr. Burkes testified.
Defense counsel objected to Dr. Buttsâs testimony regarding Wheelerâs autopsy, as well as to admission of the autopsy report, on the grounds that, inter alia, admission of the evidence violated defendantâs Sixth Amendment right to confront the witnesses against him. The trial court overruled the objections. Defendant argues the trial court erred in admitting opinion testimony by non-testifying witnesses as to the cause of Wheelerâs death and the identity of her remains. We agree, but determine that admission of the evidence did not prejudice defendant.
Here, the State sought to introduce evidence of forensic analyses performed by a forensic pathologist and a forensic dentist who did not testify. The State failed to show that either witness was unavailable to testify or that defendant had been given a prior opportunity to cross-examine them. The admission of such evidence violated defendantâs constitutional right to confront the witnesses against him, and the trial court therefore erred in overruling defendantâs objections. We must now determine whether admission of the evidence was harmless beyond a reasonable doubt. See N.C.G.S. § 15A-1443(b) (2007) (âA violation of the defendantâs rights under the Constitution of the United States is prejudicial unless ... it was harmless beyond a reasonable doubt.â); Lewis, 361 N.C. at 549, 648 S.E.2d at 830.
In addition, as discussed above, the State presented evidence of Wheelerâs murder to show defendantâs knowledge, plan, opportunity, intent, modus operandi, and motive to commit the premeditated and deliberate murder of Persad. However, the jury also found defendant guilty under the felony murder rule, for which the erroneously admitted autopsy evidence regarding Wheeler played no role. Thus, even assuming arguendo that the wrongful admission of the autopsy evidence influenced the jury to find that defendant murdered Persad with premeditation and deliberation, that evidence would not affect the juryâs verdict of guilt under the felony murder rule. Defendant has failed to show prejudice arising from this error.
Overruled objections to re-direct examination of a witness
Defendant contends the trial court committed prejudicial error by overruling his objection to the Stateâs re-direct examination of Heather Justice. Justice testified regarding defendantâs exchange of Persadâs shotgun for drugs, and his appearance at her home at the approximate time of Persadâs death. Defendant was driving a red Ford Mustang and was spattered with fresh blood at the time.
Defense counsel cross-examined Justice regarding her previous criminal convictions, her inability to recall dates, and prior inconsistencies in her statements. At the time Justice testified, she was incarcerated for the manslaughter conviction of her boyfriend Campbell.
However, â[t]he State has the right to introduce evidence to rebut or explain evidence elicited by defendant although the evidence would otherwise be incompetent or irrelevant.â State v. Johnston, 344 N.C. 596, 605, 476 S.E.2d 289, 294 (1996) (citations omitted). âSuch evidence is admissible to dispel favorable inferences arising from defendantâs cross-examination of a witness.â Id. at 605-06, 476 S.E.2d at 294 (citations omitted). Here, defense counsel sought to impeach Justice by cross-examining her regarding her manslaughter conviction and inability to recall certain dates. The Stateâs re-direct attempted to restore Justiceâs credibility with the jury in part by demonstrating her willingness to come forward and cooperate with law enforcement. Thus, while evidence of the letter was otherwise irrelevant, it was admissible in response to defendantâs attack on Justiceâs character during cross-examination. See id. We moreover conclude that, even assuming error, such error was not prejudicial. We overrule these assignments of error.
Denial of instruction on second-degree murder
Defendant asserts there was evidence from which the jury could have found him guilty of second-degree murder, and the trial court therefore erred in failing to submit the requested instruction to the jury. According to defendantâs statements, he lost control while arguing with Persad and âthe next thing [he knew]â he âhad grabbed a two by four that was in her room . . . and began [] beating her with it.â Defendant continued to beat Persad in the head until he believed she was dead, then set fire to the residence. Defendant argues the jury could find from this evidence that he was provoked to a state of blind rage by his argument with Persad, that he beat her while in that state of rage, and that he then set fire to the house believing she was already dead. Defendant contends the evidence justified submission of second-degree murder. We do not agree.
The well-established rule for submission of second-degree murder as a lesser-included offense of first-degree murder is: âIf the evidence is sufficient to fully satisfy the Stateâs burden of proving each and every element of the offense of murder in the first degree, includ
Here, there was clearly evidence to support each of the elements of premeditated and deliberate murder. The determinative question then becomes whether there was sufficient evidence to negate these elements such that the jury should have been allowed to consider second-degree murder. See Strickland, 307 N.C. at 293, 298 S.E.2d at 658. âThe fact that the defendant was angry or emotional at the time of the killing will not negate the element of deliberation unless such anger or emotion was strong enough to disturb the defendantâs ability to reason.â State v. Solomon, 340 N.C. 212, 222, 456 S.E.2d 778, 785 (citation omitted), cert. denied, 516 U.S. 996, 133 L. Ed. 2d 438 (1995).
Thus, evidence that the defendant and the victim argued, without more, is insufficient to show that the defendantâs anger was strong enough to disturb his ability to reason. Without evidence showing that the defendant was incapable of deliberating his actions, the evidence could not support the lesser included offense of second-degree murder.
Id.; see also State v. Olson, 330 N.C. 557, 564, 411 S.E.2d 592, 596 (1992) (indicating that a perpetrator â âmay deliberate, may premeditate, and may intend to kill after premeditation and deliberation, although prompted and to a large extent controlled by passion at the timeâ â (quoting State v. Vause, 328 N.C. 231, 238, 400 S.E.2d 57, 62 (1991))).
Defendant has failed to show that his rage was of such magnitude that it rendered him incapable of deliberate thought and ability to reason. The evidence showed that defendant struck Persad numerous times with a board, then set fire to the house. Under the âfelled victimâ theory of premeditation and deliberation, âwhen numerous wounds are inflicted, the defendant has the opportunity to premedi
We moreover note that the only evidence of defendantâs âblind rageâ comes from his own statements to law enforcement. In State v. Smith, 347 N.C. 453, 496 S.E.2d 357, cert. denied, 525 U.S. 845, 142 L. Ed. 2d 91 (1998), we concluded the defendant was not entitled to an instruction on second-degree murder when the State produced evidence that he set fire to an apartment building to destroy evidence of his earlier mail theft from residents. Id. at 463-64, 496 S.E.2d at 363. This Court held that the defendantâs âself-serving statement that he set the fire as a prank,â made shortly after the crime, âwas not sufficient to support an instruction on second-degree murder.â Id. at 464, 496 S.E.2d at 363. In addition, defendantâs argument goes only to his conviction of premeditated and deliberate murder, and has no bearing on his conviction of first-degree murder under the felony murder rule. We overrule this assignment of error.
Submitted first-degree felony murder based on felonious assault
Defendant argues the trial court erred in submitting first-degree felony murder to the jury based on felonious assault as the underlying felony. Defendant asserts the evidence shows his assault of Persad with a board inflicted injuries that proximately led to her death. Defendant contends the assault should have merged with the murder charge and could not be used separately as a basis for felony murder. Assuming arguendo that defendantâs position is correct, he cannot show reversible error. The jury convicted defendant of first-degree murder based on premeditation and deliberation, as well as under the felony murder rule, with both felonious assault with a deadly weapon inflicting serious injury and arson as the underlying felonies. Defendantâs argument has no bearing on his conviction of premeditated and deliberate murder or felony murder based on arson. We overrule these assignments of error.
Ineffective Assistance of Counsel
Defendant contends he received ineffective assistance of counsel based on several grounds. First, defendant argues an actual conflict
On 28 September 2004, one day after receiving the facsimile from Mr. Hurley, Judge Floyd held a hearing with defense counsel Davis and Robeson County district attorney L. Johnson Britt to determine defense counselâs preparedness for trial. Mr. Davis stated that his decision not to supply Drs. Artigues and Hilkey with the requested information, including âdiscovery and investigative reports,â was deliberate âbecause they donât need the information to do an evaluation, a medical evaluationâ and that the experts had âall the information . .. that I wanted them to have and I think they were entitled to.â Mr. Davis stated that Drs. Artigues and Hilkey had never previously informed him that they felt unprepared to testify in defendantâs case, and that, but for the now-absent experts, the case was ready for trial. Mr. Davis also complained that the letter from Mr. Hurley contained âinformation . . . privileged to our defense. Heâs got stuff in there about evaluations, substance abuse. And thatâs privileged information that he shouldnât â if he got it, he shouldnât be disclosing it.â
Judge Floyd held a second, closed hearing on the matter to explore Mr. Hurleyâs intervention in the case. Defendant was present at
Defendant asserts that, in revealing the letters from Mr. Hurley, Dr. Artigues, and Dr. Hilkey to district attorney Britt, and referring to them at the hearings, his counsel revealed confidential and privileged communications to the prosecution without authorization. These communications, argues defendant, contained âcounselâs mental processes and work product on sensitive mental health issues.â Defendant claims the State later used this information to attack the credibility of defendantâs expert at the sentencing hearing. According to defendant, his attorneys âthrew him under the busâ in an effort to protect themselves from accusations of dilatory performance. We are not persuaded.
First, it is unclear from the record who first disclosed the facsimile from Mr. Hurley, along with its accompanying letters from Drs. Artigues and Hilkey, to Mr. Britt. Defendant argues it was Mr. Davis, while the State contends it was Judge Floyd. While the transcript shows that Judge Floyd distributed copies of Mr. Hurleyâs facsimile to Mr. Davis and Mr. Britt at the 28 September hearing, it is silent on whether Mr. Britt had already obtained the facsimile by then. It seems unlikely that Mr. Davis would have given the facsimile to Mr. Britt, given his complaint to Judge Floyd that Mr. Hurley should not have included information in the letter Mr. Davis considered privileged. Defendant cannot fault defense counsel for privileged information disclosed by third parties.
Moreover, we do not conclude that disclosure of the privileged information prejudiced defendant. Although the letter from Mr.
The letters contained ho protected work product prepared by defense counsel. Nor do we conclude Mr. Davis revealed protected work product when he responded to questioning by Judge Floyd. Mr. Davis appropriately responded to the trial courtâs questions in general terms. Although Mr. Davis noted he had âreasonsâ for not giving the appointed experts all the requested information, he did not reveal what his reasons were, or otherwise disclose trial strategy. See State v. Prevatte, 356 N.C. 178, 218, 570 S.E.2d 440, 462 (2002) (concluding that, â[b]ecause the attorneys described in general terms what had been done, rather than disclosing any of their mental processes, there was no work product violationâ (citation omitted)), cert. denied, 538 U.S. 986, 155 L. Ed. 2d 681 (2003). Further, to the extent that the majority of defendantâs argument focuses on prejudice arising at the sentencing proceeding, our disposition of his case renders these arguments moot.
Defendant also cites delay in his case as grounds for ineffective assistance. However, defendant does not demonstrate that the delay was due solely to deficient performance on the part of his counsel, nor that any delay prejudiced his case. Unfortunately, delay in capital cases is not unusual, particularly in Robeson County. Judge Floyd noted the âoverwhelming number of capital cases to be tried here in Robeson County.â While Judge Floyd expressed his concern over defense counselâs lack of communication with Dr. Artigues and Dr.
Defendant assigns error to a number of further instances he contends constitute ineffective assistance of counsel. We have reviewed these contentions carefully and find them unpersuasive. We conclude defendant has failed to show he received ineffective assistance of counsel.
Recusal
Defendant argues prejudicial error occurred when his motion to recuse Judge Floyd was denied. Defendant contends Judge Floyd displayed âirrefutable biasâ against defendant when he apparently told defense counsel in an unrecorded bench conference during argument on the defense motion for a pretrial hearing on mental retardation there was âno wayâ he would find defendant mentally retarded, based in part on his previous interactions with defendant. Judge Floyd denied the motion for a pretrial hearing on mental retardation. Defense counsel moved to recuse Judge Floyd from presiding over defendantâs motion for a pretrial mental retardation hearing and the trial of defendantâs case. Judge Floyd subsequently withdrew his ruling on the motion for a pretrial hearing on mental retardation and reset that motion, along with the recusal motion, before another judge, who denied both motions.
Upon motion by the defendant, judges must disqualify themselves from presiding over a criminal trial if they are â[prejudiced against the moving party or in favor of the adverse party.â N.C.G.S. § 15A-1223 (2007). The Code of Judicial Conduct also suggests recusal when the impartiality of a judge âmay reasonably be questioned . . . where [] [t]he judge has a personal bias or prejudice concerning a party.â Code Jud. Conduct Canon 3C (l)(a), 2008 Ann. R. N.C. 475, 480.
Judge James F. Ammons, Jr. considered defendantâs motions and denied them. Judge Ammons found as fact that: Judge Floyd made his remark âonly after . . . reviewing all of the evidence and argumentsâ by counsel; after reviewing the same documents, he agreed with
We conclude that Judge Floydâs single reference to his past interaction with defendant does not demonstrate any personal bias or prejudice against defendant. Nor do we discern any evidence that Judge Floydâs decision to deny the motion for a pretrial mental retardation hearing was based on emotional, rather than evidentiary, considerations. Judge Floydâs denial of the pretrial hearing on mental retardation did not affect defendantâs ability to present his mental retardation claim to the jury. We overrule this assignment of error.
Jury Selection
Defendant presents several arguments regarding jury selection. Defendant contends the trial court improperly limited his questioning of prospective jurors about their views on mental retardation. The bulk of defendantâs argument addresses the asserted need for a new sentencing hearing because of these alleged errors. In light of our decision to grant defendant a new sentencing hearing, we do not address these issues. To the extent defendant contends the jury selection errors were structural, requiring a new trial, we have considered these arguments and find them unpersuasive.
SENTENCING PROCEEDING
Defendant assigns error to the trial courtâs instructions to the jury on mental retardation. Specifically, defendant contends the trial court should have instructed the jury that a verdict finding him mentally retarded would result in a sentence of life imprisonment without parole. After careful consideration, we agree with defendant that heightened attention to procedural safeguards is necessary in cases of alleged mental retardation in order to protect against the inadvertent and unconstitutional execution of mentally retarded defendants. We conclude the trial court erred in refusing to give defendantâs requested instruction, and that defendant was prejudiced thereby. We therefore remand for a new sentencing hearing.
The task of identifying mentally retarded offenders can be a challenging one. See id. Our General Statutes define mental retardation as â[significantly subaverage general intellectual functioning, existing concurrently with significant limitations in adaptive functioning, both of which were manifested before the age of 18.â N.C.G.S. § 15A-2005(a)(1)(a) (2007). âSignificantly subaverage general intellectual functioningâ is â[a]n intelligent quotient of 70 or below.â Id. § 15A-2005(a)(1)(c) (2007). âSignificant limitations in adaptive functioningâ are defined as â[significant limitations in two or more of the following adaptive skill areas: communication, self-care, home living, social skills, community use, self-direction, health and safety, functional academics, leisure skills and work skills.â Id. § 15A-2005(a)(1)(b) (2007).
Procedurally, upon motion by a defendant, the trial court in its discretion may order a pretrial determination of mental retardation. See id. § 15A-2005(c) (2007). The State must consent to such a hearing, at which the defendant âhas the burden of production and persuasion to demonstrate mental retardation by clear and convincing evidence.â Id. If the defendant shows to the satisfaction of the trial court that he is mentally retarded, the case may only proceed non-capitally. Id. Such procedure sensibly avoids the needless burden of
If the trial court determines that a defendant has failed to show mental retardation by clear and convincing evidence, the defendant may seek a jury determination of mental retardation during the sentencing hearing. Subsection 15A-2005(e) provides:
If the court does not find the defendant to be mentally retarded in the pretrial proceeding, upon the introduction of evidence of the defendantâs mental retardation during the sentencing hearing, the court shall submit a special issue to the jury as to whether the defendant is mentally retarded as defined in this section. This special issue shall be considered and answered by the jury prior to the consideration of aggravating or mitigating factors and the determination of sentence. If the jury determines the defendant to be mentally retarded, the court shall declare the case noncapital and the defendant shall be sentenced to life imprisonment.
N.C.G.S. § 15A-2005(e) (2007). Thus, the jury often has the unenviable task of identifying âgray areaâ defendants; that is, those offenders who are not clearly mentally retarded but who may nevertheless present enough evidence of mental retardation to render them ineligible for the death penalty. See Atkins, 536 U.S. at 317, 153 L. Ed. 2d at 348 (noting that â[n]ot all people who claim to be mentally retarded will be so impaired as to fall within the range of mentally retarded offenders about whom there is a national consensusâ). Notably, the defendantâs burden of production and persuasion to show mental retardation to the jury at the sentencing stage is lower than that required at the pretrial hearing stage. The defendant must only âdemonstrate mental retardation to the jury by a preponderance of the evidence.â N.C.G.S. § 15A-2005(f) (2007). The lesser burden of proof indicates legislative awareness of âgray areaâ defendants and lawmakersâ intent to protect against the inadvertent execution of mentally retarded offenders.
Once evidence of mental retardation is presented to the jury at the sentencing proceeding, the trial court must âgive appropriate instructions.â Id. § 15A-2000(b) (2007). The significance of the requirement for âappropriate instructionsâ on the issue of mental-retardation is apparent for several reasons. As previously noted, a jury finding of mental retardation renders the case noncapital. Id.. § 15A-2005(e) (âIf the jury determines the defendant to be mentally
In the present case, defendant presented substantial evidence of mental retardation to the jury during the sentencing proceeding. Dr. Hancock considered defendantâs case âa slam dunk for retardation.â Defense counsel requested that the trial court âinclude an additional sentence or paraphrase . . . that upon a finding that a defendant is mentally retarded, he will be sentenced to life without parole.â Counsel argued that absent such instruction, the jury might mistakenly believe defendant would âgo freeâ or otherwise misunderstand âwhatâs to happen to him.â The trial court refused defendantâs request and instead gave the following pattern jury instruction: âThe law provides that no defendant who is mentally retarded shall be sentenced to death. The one issue for you to determine at this stage of the proceedings reads: Is the defendant, Dane Locklear, Jr., mentally retarded?â 1 N.C.P.I. â Crim. 150.05 (2001).
It is well settled that â[i]f a request is made for a jury instruction which is correct in itself and supported by evidence, the trial court must give the instruction at least in substance.â State v. Harvell, 334 N.C. 356, 364, 432 S.E.2d 125, 129 (1993) (citations omitted). In capital cases, the trial court is required to âgive appropriate instructions in those cases in which evidence of the defendantâs mental retardation requires the consideration by the jury of the provisions of G.S. 15A-2005.â N.C.G.S. § 15A-2000(b). Section 15A-2005, in turn, provides that â[i]f the jury determines the defendant to be mentally retarded, the court shall declare the case noncapital and the defendant shall be sentenced to life imprisonment.â Id. § 15A-2005(e). Defendantâs requested instruction was therefore correct in itself and supported by evidence.
[t]o allow a jury to speculate on the fate of an accused if found insane at the time of the crime only heightens the possibility that the jurors will fall prey to their emotions and thereby return a verdict of guilty which will insure that [the] defendant will be incarcerated for his own safety and the safety of the community at large.
Id. at 15, 224 S.E.2d at 603. So persuaded, we adopted the rule that a defendant who interposes an insanity defense is entitled to an instruction on commitment procedures if requested. Id. at 15, 224 S.E.2d at 604.
Just as âthe average jury does not know what a verdict of not guilty by reason of insanity will mean to the defendant,â id. at 14, 224 S.E.2d at 603, the average jury may not understand what a finding of mental retardation will mean for a defendant. Speculation over the punishment a defendant will receive if found to be mentally retarded may cause jurors to âfall prey to their emotionsâ and render a finding on mental retardation based on âan overriding fear for the safety of the community,â id. at 15, 224 S.E.2d at 603-04, rather than on the clinical evidence. See Atkins, 536 U.S. at 321, 153 L. Ed. 2d at 350 (noting that mental retardation âmay enhance the likelihood that the aggravating factor of future dangerousness will be found by the juryâ). Thus, like a defendant who interposes an insanity defense, a defendant asserting mental retardation is entitled to an instruction by the trial court regarding punishment âsufficient to remove any hesitancy of the jury in returning a [finding of mental retardation], engendered by a fear that by so doing they would be releasing the defend
We further conclude that the error prejudiced defendant. Notably, although the jury rejected defendantâs mental retardation claim, the jury found as mitigating circumstances many facts that would also tend to establish mental retardation on the part of defendant. For example, the jury found as mitigating circumstances that defendant: received an IQ score of sixty-five at age fourteen on the Slosson test, a scientifically standardized and accepted, individually administered test of general intelligence; was in the bottom two percent of the population in global adaptive functioning, according to testing documented in his school records; attended special education classes for educable mentally handicapped children and performed poorly throughout his school career; had significant adaptive deficits from childhood in the areas of functional academics; had learning difficulties from his earliest days; and âobtained a Full Scale IQ score of 68â on the WAIS-III test given by Dr. Timothy Hancock, which was âconsistent with the score obtained by Dr. Brad Fisher on the prior version of the same test, the WAIS-R.â The jury also found that defendantâs cognitive impairment decreased his ability to control his impulsivity in stressful situations.
The State contends defendant cannot show prejudice because trial counsel told jurors during closing arguments that defendant would be sentenced to life imprisonment if they found him to be mentally retarded. We disagree. â â[O]n matters of law, arguments of counsel do not effectively substitute for statements by the court.â â State v. Spruill, 338 N.C. 612, 654, 452 S.E.2d 279, 302 (1994) (quoting Simmons v. South Carolina, 512 U.S. 154, 173, 129 L. Ed. 2d 133, 148 (1994) (Souter & Stevens, JJ., concurring) (alteration in original)), cert. denied, 516 U.S. 834, 133 L. Ed. 2d 63 (1995). This is because arguments of counsel are likely to be viewed as statements of advocacy, whereas a jury instruction is a definitive and binding statement of law. Boyde v. California, 494 U.S. 370, 384, 108 L. Ed. 2d 316, 331 (1990). Further, although the attorneys in their arguments referenced defendantâs receiving life imprisonment, counsel for the State also argued that defendantâs mental retardation claim was âabout Dane Locklear avoiding punishment.â In light of the juryâs mitigation findings, we conclude there is a reasonable possibility the jury would have found defendant mentally retarded absent the omitted instruction. N.C.G.S. § 15A-1443(a) (2007); State v. Lamb, 321 N.C. 633, 644,
In light of our decision to remand defendantâs case for a new sentencing hearing, we do not address defendantâs remaining arguments regarding sentencing, nor do we engage in proportionality review.
PRESERVATION ISSUES
Defendant assigns as error multiple issues he concedes have been decided unfavorably to him in prior opinions of this Court. Most of defendantâs preservation issues assign error to the sentencing proceedings. We need not address such asserted error in light of our disposition of defendantâs case, but we nonetheless note that defendant presents no compelling reason to overrule our precedents on these issues. Defendant also objects to the use of a âshort-formâ murder indictment as constitutionally deficient. As he acknowledges, however, this Court has repeatedly and consistently upheld the legitimacy of short-form indictments for first-degree murder. See, e.g., State v. Maness, 363 N.C. 261, 292, 677 S.E.2d 796, 816 (2009); State v. Lawrence, 352 N.C. 1, 9-11, 530 S.E.2d 807, 813-14 (2000), cert. denied, 531 U.S. 1083, 148 L. Ed. 2d 684 (2001). Thus, we reject these arguments.
We conclude defendant received a fair trial, free from prejudicial error. However, we conclude the trial court committed prejudicial error during the sentencing proceeding. We therefore vacate defendantâs death sentence and remand this case to Superior Court, Robeson County, for a new capital sentencing proceeding.
NO ERROR IN GUILT-INNOCENCE PHASE; DEATH SENTENCE VACATED; REMANDED FOR NEW CAPITAL SENTENCING PROCEEDING.