State v. Williams ( 2022 )

IN THE COURT OF APPEALS OF NORTH CAROLINA
2022-NCCOA-562
No. COA20-859
Filed 16 August 2022
Edgecombe County, Nos. 19CRS50267-68; 50421; 50423
STATE OF NORTH CAROLINA
v.
SERGIO MONTRELL WILLIAMS and
KENDRIC DESHAWN PERSON, Defendants.
Appeal by defendants from judgments entered on or about 14 January 2020 by
Judge J. Carlton Cole in Superior Court, Edgecombe County. Heard in the Court of
Appeals 30 November 2021.
Attorney General Joshua H. Stein, by Assistant Attorneys General Erika N.
Jones and Yvonne B. Ricci, for the State.
Daniel J. Dolan for defendant-appellant Sergio Montrell Williams.
Anne Bleyman for defendant-appellant Kendric Deshawn Person.
STROUD, Chief Judge.
¶1 Defendants Sergio Montrell Williams and Kendric Deshawn Person were
jointly tried and appeal from judgments for robbery with a dangerous weapon and
felon in possession of a firearm. While only Defendant Williams properly appealed
by entering his notice of appeal, we grant Defendant Person’s petition for writ of
certiorari.
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2022-NCCOA-562
Opinion of the Court
¶2 On appeal, Defendant Person argues (1) the trial court denied him the right to
the presumption of innocence in violation of his constitutional due process rights and
North Carolina General Statute § 15A-1031 (2019) when it allowed the jury to watch
a video in which he was shackled and (2) his sentences under North Carolina’s
Habitual Felon Act, North Carolina General Statute §§ 14-7.1–7.6 (2019), violate his
federal and state constitutional rights to be free from cruel and unusual punishment.
Because the trial court gave a limiting instruction that the jury should not infer
Defendant Person’s guilt or innocence from watching the video and because
overwhelming evidence of his guilt existed beyond the video, we conclude any error
in relation to the video was not prejudicial, and we further determine § 15A-1031 does
not apply. Because Defendant Person failed to raise his habitual felon status
sentencing argument before the trial court, we conclude he has not preserved it for
our review.
¶3 Turning to his appeal, Defendant Williams argues the trial court erred because
(1) it failed to adequately investigate a potential conflict of interest his attorney
carried from previously representing a witness for the State and (2) it intimated an
opinion as to Defendant Williams’s guilt by delegating a statutory obligation under
North Carolina General Statute § 15A-1213 to the prosecutor. Because Defendant
Williams cannot show any conflict of interest adversely affected his attorney’s
performance such that we would presume prejudice and cannot show any prejudice,
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2022-NCCOA-562
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we find no prejudicial error as to his first argument. After reviewing the totality of
the circumstances, we also reject Defendant Williams’s argument that the trial court
delegated its duties under § 15A-1213 to the prosecutor, as he cannot show prejudice.
As a result, we determine the trial court did not commit prejudicial error.
I. Background
¶4 The State’s evidence tended to show that on 6 February 2019, Taron Battle
(“Mr. Battle”), his friend Brandon Deans, and his nephew Tyrell Battle went to JMS
Food Mart and Grill in Rocky Mount to purchase cigars for smoking marijuana. Mr.
Battle drove them to JMS in his silver Pontiac Grand Prix. Prior to going to JMS, all
three individuals consumed alcohol and various drugs. While at JMS, two men
approached Mr. Battle and Mr. Deans seeking to purchase marijuana. These two
men were described as “a slender, brown-skinned guy with dreads in his head” and
“a heavyset, kind of stocky guy.” Defendant Williams was later identified as the
“heavyset” individual and Defendant Person as the slender individual with “dreads
in his head.” Mr. Battle and Mr. Deans told Defendants they did not want to sell
their marijuana.
¶5 Mr. Battle then entered JMS to purchase the cigars. Upon leaving JMS, he
noticed Defendant Person had entered his car and was in the backseat negotiating
the sale of marijuana with Mr. Battle’s nephew. Defendant Person then handed a
pint-sized mason jar containing marijuana to Defendant Williams through the car
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2022-NCCOA-562
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window. Defendant Williams then said “you-all trying to play me” and drew his gun.
Defendant Person also drew his gun. Mr. Battle drew his gun in response. At this
time, Tyrell Battle got out of the Pontiac and ran away. Defendant Person then took
Mr. Dean’s gun from the seat beside Mr. Deans and got out of the car to join
Defendant Williams in taking Mr. Battle’s gun. Defendants Williams and Person
then left the scene together.
¶6 After the Defendants left, Mr. Battle and Mr. Deans drove around to look for
Tyrell. While they were driving around the area, a “dark-colored car, like a sedan”
slammed on the brakes in front of Mr. Battle’s car, causing Mr. Battle to rear end the
car. Mr. Deans identified the vehicle as a black Nissan Sentra. Defendants Williams
and Person then leaned out the windows of the Nissan and opened fire on Mr. Battle
and Mr. Deans. Mr. Battle followed the Nissan attempting to “do a pit maneuver” or
otherwise knock the Nissan out of the way. At some point both cars stopped, and
Defendants Williams and Person left their car while they continued to fire upon Mr.
Battle and Mr. Deans.
¶7 One of the bullets struck Mr. Battle in the chest passing near his heart and
puncturing his lung. Because Mr. Battle had been shot, Mr. Deans took over driving
and drove Mr. Battle to the hospital. At the hospital, Detective Woods of the Rocky
Mount Police Department interviewed Mr. Battle, and Mr. Battle told Detective
Woods that he would not be able to identify the shooters if he saw them again. But
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Mr. Battle gave Detective Woods descriptions of the shooters, although at trial he
could not recall the details. Due to his injuries, Mr. Battle was then airlifted to
another hospital.
¶8 Detective Woods also interviewed Mr. Deans at the initial hospital. Mr. Deans
told Detective Woods he drove Mr. Battle to the hospital following a “robbery that
went bad” at JMS. Mr. Deans described the shooters as “a light-skinned black male
with dreads, [with] unknown tattoos on [his] face” and “a dark-skinned male,
heavyset, wearing a white tee shirt and blue and red shorts.” Officers then took Mr.
Deans to the police department, and he later identified Defendant Williams in an
eight-person photo lineup with eighty percent certainty.
¶9 On the same evening, Rocky Mount Police Department officers responded
directly to JMS after receiving a report of shots fired. Officer Kuhn reviewed
surveillance footage from JMS security cameras and noticed one of the suspects was
wearing a white shirt, black shorts, red sneakers, and a GPS ankle monitor. Officer
Kuhn used BI Total Access, a GPS ankle monitoring program, and determined
Defendant Williams was at JMS around the time of the shooting. Officer Kuhn
located a booking photo of Defendant Williams and visually confirmed that Defendant
Williams was the same person in the surveillance video. Using BI Total Access,
officers located Defendant Williams and took him into custody. Defendant Williams
was wearing the same shirt and shoes observed in the surveillance video.
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2022-NCCOA-562
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¶ 10 Detective Woods then interviewed Defendant Williams at the police
department. During the interview, Defendant Williams was wearing the same
clothing described by Mr. Deans and seen in the surveillance video. Defendant
Williams confessed he was at JMS and took the guns from Mr. Battle and Mr. Deans,
but Defendant Williams never admitted to the shooting.
¶ 11 Defendant Person was apprehended approximately one month after the
robbery and shooting. After his arrest, Defendant Person admitted to being at the
JMS the night of 6 February 2019, but never admitted to participating in the
shooting.
¶ 12 Based on these events, both Defendant Williams and Defendant Person were
indicted on numerous charges. On or about 10 June 2019, Defendant Williams was
indicted on: assault with a deadly weapon and attempted first degree murder on Mr.
Deans; attempted first degree murder and assault with a deadly weapon with intent
to kill inflicting serious injury on Mr. Battle; possession of firearm by a felon;
discharge of a weapon into occupied property inflicting serious bodily injury on Mr.
Battle; and robbery with a dangerous weapon. On or about the same day, Defendant
Person was indicted on: attempted first degree murder on Mr. Deans; attempted first
degree murder and assault with a deadly weapon with intent to kill inflicting serious
injury on Mr. Battle; robbery with a dangerous weapon; discharge of a weapon into
occupied property inflicting serious bodily injury on Mr. Battle; discharge of a firearm
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into an occupied vehicle while in operation; possession of firearm by a felon; and
habitual felon status.
¶ 13 On or about 21 October 2019, the State filed superseding indictments against
both Defendants. Defendant Williams was indicted on: discharge of a weapon into
occupied property inflicting serious bodily injury on Mr. Battle; robbery with a
dangerous weapon on both Mr. Battle and Mr. Deans; and discharge of a weapon into
an occupied vehicle while in operation on both Mr. Battle and Mr. Deans. Defendant
Person was indicted on the same charges except for discharge of a weapon into an
occupied vehicle.
¶ 14 These charges came for trial starting 6 January 2020. During trial, the State
presented evidence as recounted above. During the course of trial, on or about 13 and
14 January 2020, the State dismissed Defendant Williams’s charges of assault with
a deadly weapon and discharge of a firearm into an occupied vehicle while in
operation. Neither of the Defendants presented evidence at trial.
¶ 15 The jury found Defendant Williams guilty of possession of a firearm by a felon
and robbery with a dangerous weapon as to Mr. Battle but acquitted Defendant
Williams of the attempted first degree murder as to Mr. Battle and as to Mr. Deans,
assault with a deadly weapon with intent to kill inflicting serious injury and its lesser
included offense as to Mr. Battle, discharge of a weapon in a vehicle while in operation
causing serious bodily injury as to Mr. Battle, and robbery with a dangerous weapon
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as to Mr. Deans. Pursuant to the not guilty verdicts, on or about 14 January 2020,
the trial judge entered documents entitled “Judgment/ Order or Other Disposition”
noting Defendant Williams was found not guilty by the jury on both counts of
attempted first degree murder and the assault with a deadly weapon charge.
¶ 16 As to Defendant Person, the jury found him guilty of robbery with a dangerous
weapon as to both Mr. Battle and Mr. Deans, and possession of a firearm by a felon.
The jury acquitted Defendant Person on the charges of: attempted first degree
murder as to Mr. Deans and as to Mr. Battle, assault with a deadly weapon with
intent to kill inflicting serious injury and its lesser included offense as to Mr. Battle,
discharge of a weapon in a vehicle while in operation causing serious bodily injury as
to Mr. Battle, and discharge of a firearm into an occupied vehicle while in operation.
Pursuant to the not guilty verdicts, on or about 14 January 2020, the trial judge
entered documents entitled “Judgment/ Order or Other Disposition” noting
Defendant Person was found not guilty by the jury on both counts of attempted first
degree murder, the assault with a deadly weapon charge, and the discharge of a
firearm into occupied vehicle while in operation charge. Following these jury
verdicts, also on or about 14 January 2020, Defendant Person also stipulated to three
prior felony convictions and pled guilty to habitual felon status.
¶ 17 The trial court entered judgment and sentenced both Defendants on or about
14 January 2020. Defendant Williams was sentenced to 97 to 129 months on the
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2022-NCCOA-562
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robbery with a dangerous weapon charge and 19 to 32 months on the possession of a
firearm by a felon charge to start “at the expiration of the sentence imposed” for the
robbery conviction. As enhanced by his habitual felon status, Defendant Person was
sentenced to 96 to 128 months on the two charges of robbery with a dangerous weapon
and to 96 to 128 months on the possession of a firearm by a felon charge, again to
start “at the expiration of the sentence imposed” for the robbery convictions.
Defendant Williams gave notice of appeal in open court.
II. Defendant Person’s Petition for Writ of Certiorari
¶ 18 Defendant Person did not enter either an oral or written notice of appeal from
the judgments entered by the trial court. Defendant Person requests we consider an
appeal from the judgment via a petition for writ of certiorari, due to his counsel’s
failure to properly appeal the judgment. At trial, the following exchange occurred
after the trial court orally announced the judgments:
THE COURT: Yes, sir. Anything further, Mr. Williams?
[DEFENDANT WILLIAMS’S TRIAL COUNSEL]: Other
than, Your Honor, would respectfully would [sic] enter
notice of appeal.
THE COURT: Okay.
[DEFENDANT WILLIAMS’S TRIAL COUNSEL]: I would
ask that my representation be limited to this trial.
THE COURT: I will take care of it. Madam Clerk, as to both
of these young men, note their appeals and [Counsel for
both Defendants] are relieved of any further obligation to
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represent them and it’s ordered that the appellate
defender’s office be assigned to represent them in their
appeals.
(Emphasis added.) Defendant Person’s trial counsel did not object to the court’s
statement and did not enter a notice of appeal for Defendant Person, and Appellate
Entries were created for both Defendants. The State simply notes the issue is in this
Court’s discretion. In our discretion, we allow Defendant Person’s petition for
certiorari. See generally N.C. R. App. P. 21; see, e.g., State v. Gardner, 225 N.C. App.
161, 165, 736 S.E.2d 826, 829 (2013) (“We have also held that where a defendant has
lost his right of appeal through no fault of his own, but rather as a result of the actions
of counsel, failure to issue a writ of certiorari would be manifestly unjust. We are
persuaded that [the defendant] lost her right of appeal through no fault of her own,
but rather because of an error on the part of trial counsel. Thus, we exercise our
discretion and grant certiorari.” (citation omitted)).
III. Defendant Person’s Appeal
¶ 19 Defendant Person argues the trial court erred as to two issues. First, he argues
“the trial court denied . . . his right to the presumption of innocence when he was
presented to the jury as an obviously bad and dangerous individual whose guilt was
a foregone conclusion” when “the jury was permitted to view [him] in shackles” in a
video of his police interrogation. (Capitalization altered.) Second, he contends
sentencing him under the North Carolina Habitual Felon Act, North Carolina
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General Statutes §§ 14-7.1 et. seq., violated his federal and state constitutional “rights
to be free of cruel and unusual punishment.” (Capitalization altered.) We hold the
trial court committed no prejudicial error with respect to the first issue and
Defendant Person failed to preserve the second issue for appellate review.
A. Presumption of Innocence
¶ 20 Defendant Person first argues the trial court denied his right to the
presumption of innocence—protected as part of his due process rights—because it
allowed the prosecution to play for the jury a video interrogation in which Defendant
Person was shackled, although he acknowledges the trial court gave “a limiting
instruction that the jury was not to make any inferences about his guilt or innocence.”
Defendant Person also contends the trial court’s ruling allowing the jury to view the
video in which he is shackled involved “an improper delegation of the trial court’s
mandatory statutory authority.” Specifically, he contends the trial court did not
follow North Carolina General Statute § 15A-1031, which Defendant acknowledges
addresses when a trial judge “may order a defendant be restrained at trial,” because
the trial court “took the prosecutor’s word” police needed to shackle Defendant Person
in the video and improperly delegated to the prosecutor the trial court’s required
findings of fact and final order on the topic.
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¶ 21 The State responds Defendant Person “failed to preserve the issue for appellate
review” before making a variety of arguments on the merits. We first address the
preservation issue before reaching the merits.
1. Preservation of Presumption of Innocence Issue
¶ 22 We first address the preservation issue acknowledged by Defendant Person
and argued by the State. Defendant Person first argues the video was played over
his objections and that he renewed his objection at the close of evidence, thereby
preserving the issue for appellate review. He then argues the alleged constitutional
violation was apparent from the context given his objections and motions. In the
alternative, Defendant Person argues this Court should exercise its authority
pursuant to Rule 2 to suspend the Rules of Appellate Procedure and allow review of
Defendant Person’s claim to prevent manifest injustice to a party. The State responds
all objections at trial were based on non-constitutional grounds and any
constitutional argument has been waived.
¶ 23 “In order to preserve an issue for appellate review, a party must have
presented to the trial court a timely request, objection, or motion, stating the specific
grounds for the ruling the party desired the court to make if the specific grounds were
not apparent from the context.” N.C. R. App. P. 10(a)(1). As a result, “where a theory
argued on appeal was not raised before the trial court, the law does not permit parties
to swap horses between courts in order to get a better mount in the reviewing court.”
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State v. Spence, 237 N.C. App. 367, 369, 764 S.E.2d 670, 674 (2014) (quoting State v.
Ellis, 205 N.C. App. 650, 654, 696 S.E.2d 536, 539 (2010)). “[E]ven constitutional
challenges are subject to the same strictures of Rule 10(a)(1).” State v. Bursell, 372
N.C. 196, 199, 827 S.E.2d 302, 305 (2019).
¶ 24 As the language of Rule 10(a)(1) implies, see N.C. R. App. P. 10(a)(1) (requiring
a party state the specific grounds if they “were not apparent from the context”), in the
context of constitutional rights, “a defendant must voice his objection at trial such
that it is apparent from the circumstances that his objection was based on the
violation of a constitutional right.” Spence, 237 N.C. App. at 370, 764 S.E.2d at 674.
For example, in Spence, this Court held the defendant preserved an argument based
on his constitutional right to a public trial because it was “apparent from the context”
his attorney objected “in direct response to the trial court’s ruling to remove all
bystanders from the courtroom—a decision that directly implicate[d]” that right. Id.,
237 N.C. App. at 371, 764 S.E.2d at 674–75.
¶ 25 Here, Defendant Person’s attorney first brought up the issue of Defendant
Person being shackled in a video of his police interview during a motions conference
held in the middle of jury selection. Defendant Person’s attorney specifically argued
the interview should be excluded for being “substantial[ly] prejudic[ial]”:
And it certainly would be our position that him being
shackled like that would create a substantial prejudice
towards him by the jury or certainly a potential of that
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prejudice as to why he was so dramatically chained during
the interview and we would think that would create a
prejudice to the jury about him and we would request that
you exclude the video for that reason.
¶ 26 From this argument alone, it is a close call whether the constitutional
presumption of innocence basis of the objection “is apparent from the circumstances.”
See Spence, 237 N.C. App. at 370, 764 S.E.2d at 674. On the one hand, as Defendant
Person argues, one of the main problems with the jury seeing a defendant in shackles
is “it tends to create prejudice in the minds of the jurors by suggesting that the
defendant is an obviously bad and dangerous person whose guilt is a foregone
conclusion” such that “it so infringes upon the presumption of innocence that it
interferes with a fair and just decision of the question of guilt or innocence.” See State
v. Tolley, 290 N.C. 349, 366, 226 S.E.2d 353, 367 (1976) (quotations, citations, and
alterations omitted) (explaining in the context of a jury seeing a defendant shackled
at trial). Thus, the defense attorney’s reference to substantial prejudice could be
enough because the decision to allow the jury to view a video with Defendant Person
in shackles would necessarily implicate the right to a presumption of innocence; the
prejudice of the shackles could scarcely refer to anything else.
¶ 27 On the other hand, as the State points out, Defendant Person’s attorney did
not mention the constitution and the trial court also made a statement indicating it
thought the statement about prejudice was a reference to Rule of Evidence 403. N.C.
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Gen. Stat. § 8C-1, Rule 403 (2019). Specifically, in denying Defendant Person’s
motion at that time, the trial court ruled:
That the Court in its discretion would deny the motion
based on the 401 and 403 analysis and also having been
informed that at that time the defendant was considered a
flight risk and note Mr. Sperati’s exception to the Court’s
ruling. And, Mr. Clark, if you’ll prepare an order with those
findings and whatever is necessary to support the Court’s
decision.
Based on the record before us, it does not appear any written order on this objection
was ever prepared. Although a written order is not required for this type of ruling,
in this instance a written order would likely have clarified the legal basis for the
objection and the trial court’s rationale for its ruling, perhaps eliminating the need
for this issue to be raised on appeal. Without such written order, the trial court’s oral
ruling leaves a question of whether the constitutional basis of Defendant Person’s
objection was apparent from the context because it appears the trial court did not
address any constitutional basis for the objection.
¶ 28 Moving beyond the initial objection, Defendant Person preserved this issue as
seen by the subsequent curative instruction. Shortly after the trial court made its
ruling, Defendant Person’s attorney requested the trial court give “a curative
instruction right before the video is played to the jury, that they’re not to make any
inference from the fact that he’s in those chains” and the trial court agreed to do so.
The jury could only make one inference from the shackling that would need to be
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cured: “that the defendant is an obviously bad and dangerous person whose guilt is a
foregone conclusion.” Tolley, 290 N.C. at 366, 226 S.E.2d at 367. As such, the request
for a curative instruction supports Defendant Person’s argument that he was making
an objection on constitutional grounds.
¶ 29 The trial court’s actual curative instruction to the jury when the video
interview was about to be played further supports our interpretation of the curative
instruction. The trial court specifically mentioned the jury should not “make any
inferences about [Defendant Person’s] guilt or innocence” based on the shackling:
Ladies and gentlemen of the jury, you’re about to
witness an interview of Mr. Kendric Person conducted by
Detective Thompson. In this video, you’ll see that Mr.
Person is in handcuffs on both and leg irons.
You are not to make any inferences about his guilt
or innocence based on the - - him being in handcuffs and
leg irons. Thank you. You may continue.
Thus, the trial court ultimately addressed Defendant Person’s objection to the video
of the interview showing him in shackles as based on his constitutional right to a
presumption of innocence.
¶ 30 Because the constitutional due process and presumption of innocence basis of
Defendant Person’s objection is apparent from the context, we hold he properly
preserved this issue for our review. See Spence, 237 N.C. App. at 371, 764 S.E.2d at
674–75 (holding the defendant preserved an issue for appeal when the basis of the
objection was “apparent from the context”). Since we hold Defendant Person
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preserved this issue, we do not need to reach his Rule 2 argument.
2. Merits of Presumption of Innocence Issue
¶ 31 Having determined Defendant Person properly preserved his presumption of
the innocence issue, we now turn to the merits. Specifically, Defendant Person
contends the trial court violated his right to a presumption of innocence because it
allowed the State to play a video of a police interview in which he was shackled.
¶ 32 Beginning with the standard of review, Defendant Person argues because the
shackling issue “involves alleged violations of constitutional rights” we should review
it de novo. But both our Courts and the United States Supreme Court have long said
trial court rulings on physical restraints on a defendant in the context of the due
process right to presumption of innocence are reviewed for abuse of discretion. See
State v. Lee, 218 N.C. App. 42, 48–49, 720 S.E.2d 884, 890 (2012) (“In reviewing the
propriety of physical restraints in a particular case, ‘the test on appeal is whether,
under all of the circumstances, the trial court abused its discretion.’” (quoting Tolley,
290 N.C. at 369, 226 S.E.2d at 369); Deck v. Missouri, 544 U.S. 622, 629, 125 S. Ct.
2007, 2012 (2005) (“[T]he Fifth and Fourteenth Amendments prohibit the use of
physical restraints visible to the jury absent a trial court determination, in the
exercise of its discretion, that they are justified by a state interest specific to a
particular trial.”). “Abuse of discretion occurs only where the trial court’s ruling is
manifestly unsupported by reason or is so arbitrary that it could not have been the
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result of a reasoned decision.” State v. Gray, 337 N.C. 772, 776, 448 S.E.2d 794, 797
(1994) (quotations and citation omitted).
¶ 33 In making his argument, Defendant Person only cites cases involving
shackling the defendant in the courtroom at trial. See Tolley, 290 N.C. at 363, 226
S.E.2d at 365 (“Defendant contends that this action by the trial judge rendered his
trial fundamentally unfair, in that his appearance before the jury while shackled with
leg irons during the entire course of his three-day trial destroyed the presumption of
innocence to which he was entitled until proven guilty beyond a reasonable doubt.”);
State v. Sellers, 245 N.C. App. 556, 558, 782 S.E.2d 86, 88 (2016) (“Defendant
contends the trial court violated N.C. Gen.[ ]Stat. § 15A–1031 by allowing him to
appear before the jury in leg shackles, and failing to issue a limiting instruction.”).
Defendant Person does not cite nor have we found any binding precedent addressing
a defendant appearing in shackles in a video played for the jury at trial.
¶ 34 We need not decide whether our case law on the jury viewing a defendant in
shackles or other restraints extends to watching a video where the defendant is
restrained because, even assuming arguendo it does, Defendant Person cannot show
prejudice. In evaluating prejudice in cases on the presumption of innocence and
restraints on the defendant, we have looked at both any limiting instruction the trial
court gave and the strength of the evidence against the defendant. See Lee, 218 N.C.
App. at 51–52, 720 S.E.2d at 891 (finding harmless error because “the trial court
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clearly and emphatically instructed the jury not to consider [the] defendant’s
restraints” and “given the overwhelming evidence against [the] defendant”); State v.
Thomas, 134 N.C. App. 560, 570, 518 S.E.2d 222, 229 (1999) (concluding the
defendant was not prejudiced because “the State offered overwhelming evidence” to
support the conviction).
¶ 35 Here, the trial court explicitly instructed the jury to not “make any inferences
about [Defendant Person’s] guilt or innocence” based on his restraints in the video:
Ladies and gentlemen of the jury, you’re about to
witness an interview of Mr. Kendric Person conducted by
Detective Thompson. In this video, you’ll see that Mr.
Person is in handcuffs on both and leg irons.
You are not to make any inferences about his guilt
or innocence based on the - - him being in handcuffs and
leg irons. Thank you. You may continue.
“The law presumes that jurors follow the court’s instructions.” State v. Jackson, 235
N.C. App. 384, 394 n.5, 761 S.E.2d 724, 732 n.5 (2014) (quoting State v. Tirado, 358
N.C. 551, 581, 599 S.E.2d 515, 535 (2004)). Thus, we presume the jurors did not make
any inferences about Defendant Person’s guilt based on his appearing in restraints
in the video.
¶ 36 Even if they had made such inferences, Defendant Person could still not show
prejudice because of the overwhelming evidence against him. Defendant Person
matched the description Mr. Battle and Mr. Dean gave of the people who took their
guns, and Mr. Dean identified him in court testimony as one of those people. Further,
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the incident at the store was captured on security footage, and police identified
Defendant Person in the video. Thus, the State presented overwhelming evidence of
Defendant Person’s guilt.
¶ 37 As a result, assuming arguendo the precedents surrounding the jury viewing
a defendant in shackles or other restraints at trial extend to watching a video where
the defendant is restrained, we conclude Defendant Person cannot show prejudice
from any alleged error. Therefore, we reject his arguments.
3. North Carolina General Statute § 15A-1031
¶ 38 Finally on the issue of the video of the interview showing Defendant Person
shackled, Defendant Person argues the trial court failed to make mandatory findings
of fact under North Carolina General Statute § 15A-1031. The State responds “by its
plain language N.C.G.S. § 15A-1031 does not apply since this statute only applies
when the trial court itself makes the difficult determination that a defendant needs
to be restrained in the courtroom.” Before we address any failure to follow § 15A-
1031, we therefore first need to determine if it applies at all. While in a similar
context above we were reluctant to determine the reach of the constitutional rule, we
do not have the same hesitancy in addressing statutory questions as compared to
constitutional ones. See State v. Wallace, 49 N.C. App. 475, 484–86, 271 S.E.2d 760,
766 (1980) (explaining, “A constitutional question will not be passed upon if there is
also present some other ground upon which the case may be decided” before settling
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the issue on appeal on statutory rather than constitutional grounds); see also State ex
rel. Utilities Com’n v. Public Staff-North Carolina Utilities Com’n, 123 N.C. App. 43,
51, 472 S.E.2d 193, 199 (1996) (“[A]n appellate court will not consider constitutional
questions, such as a violation of due process, when they are ‘not necessary to the
decision of the precise controversy presented in the litigation before it.’” (quoting
Nicholson v. Education Assistance Authority, 275 N.C. 439, 447, 168 S.E.2d 401, 406
(1969))).
¶ 39 Since the question of whether § 15A-1031 applies is a question of statutory
interpretation, we review it de novo on appeal. State v. Jamison, 234 N.C. App. 231,
238, 758 S.E.2d 666, 671 (2014) (“Issues of statutory construction are questions of
law, reviewed de novo on appeal.” (quoting McKoy v. McKoy, 202 N.C. App. 509, 511,
689 S.E.2d 590, 592 (2010))). “‘Under a de novo review, the court considers the matter
anew and freely substitutes its own judgment’ for that of the lower tribunal.” Id.(quoting State v. Williams, 362 N.C. 628, 632–33, 669 S.E.2d 290, 294 (2008)).
¶ 40 Section 15A-1031 provides:
A trial judge may order a defendant or witness subjected to
physical restraint in the courtroom when the judge finds
the restraint to be reasonably necessary to maintain order,
prevent the defendant’s escape, or provide for the safety of
persons. If the judge orders a defendant or witness
restrained, he must:
(1) Enter in the record out of the presence of the jury
and in the presence of the person to be restrained
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and his counsel, if any, the reasons for his action;
and
(2) Give the restrained person an opportunity to
object; and
(3) Unless the defendant or his attorney objects,
instruct the jurors that the restraint is not to be
considered in weighing evidence or determining the
issue of guilt.
If the restrained person controverts the stated reasons for
restraint, the judge must conduct a hearing and make
findings of fact.
N.C. Gen. Stat. § 15A-1031 (2019) (emphasis added). The plain language of the
statute thus clearly applies only to “physical restraint in the courtroom.” Id. And we
are bound by the plain language of the statute. See State v. Alonzo, 373 N.C. 437,
440, 838 S.E.2d 354, 356 (2020) (“Where the language of a statute is clear and
unambiguous, there is no room for judicial construction and the courts must construe
the statute using its plain meaning.” (quoting Burgess v. Your House of Raleigh, Inc.,
326 N.C. 205, 209, 388 S.E.2d 134, 136 (1990))). Since Defendant Person was not
physically restrained in the courtroom, the statute does not apply.
¶ 41 Because, based on our de novo review of the statutory interpretation question,
§ 15A-1031 does not apply, we reject Defendant Person’s argument based on it and
find the trial court did not err under the statute.
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B. Habitual Felon and Cruel and Unusual Punishment
¶ 42 Defendant Person next argues that his sentences under North Carolina’s
Habitual Felon Act, North Carolina General Statute §§ 14-7.1–7.6 (2019), “violate[]
his [federal and state] constitutional right to be free of cruel and unusual
punishment.” (Citing U.S. Const. Amends. VIII, XIV; N.C. Const. Art. I, §§ 19, 27.)
Specifically, Defendant Person argues proportionality is an “importan[t]” concept as
part of the “right to be free of cruel and unusual punishment” and “[s]entences under
the Habitual Felon Act are excessive and grossly disproportionate to those under
Structured Sentencing alone.” Defendant Person acknowledges “this Court has
previously upheld the statutory scheme against an identical challenge,” but “raises
this issue in brief to urge the Court to re-examine its prior holdings” in light of the
fact “most of the rulings relied on by this Court to uphold the Habitual Felon Act
against constitutional challenges predate higher authority decisions of the United
States Supreme Court reaffirming the importance of . . . proportionality.” He also
raises the issue “so as not to be considered to have abandoned these claims under”
North Carolina Rule of Appellate Procedure 28(b)(6).
¶ 43 The State initially argues Defendant Person failed to preserve this argument
because “Defendant Person did not raise this issue at the trial level.” Defendant
Person admits he did not raise the issue below saying he “is mindful that
constitutional arguments not raised at trial will not be considered for the first time
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on appeal.” (Citing State v. Lloyd, 354 N.C. 76, 86–87, 552 S.E.2d 586, 607 (2001).)
Our review of the record also does not reveal any time when this issue was mentioned
below. Under Rule of Appellate Procedure 10(a)(1), Defendant Person has failed to
preserve the issue for appeal because he did not present it to the trial court.
¶ 44 Defendant argues, however, this Court “ will review constitutional arguments
related to sentencing for the first time on appeal” and then contends “[t]he
proportionality protections afforded by the Eighth Amendment demand that this case
be reviewed on its own merits without regard for whether the sentence was objected
to on these grounds in the court below.” The two cases on which Defendant relies for
this argument, State v. Clifton, 158 N.C. App. 88, 580 S.E.2d 40 (2003), and State v.
Hensley, 156 N.C. App. 634, 577 S.E.2d 417 (2003), do not support his argument.
While both cases address proportionality challenges to habitual felon sentences,
Clifton, 158 N.C. App. at 91–96, 580 S.E.2d at 42–46, Hensley, 156 N.C. App. at 638–
39, 577 S.E.2d at 421, neither case addresses whether the arguments were raised for
the first time on appeal let alone says this Court will undertake such a review. Thus,
we reject Defendant’s argument.
¶ 45 Because Defendant Person did not properly raise this argument before the trial
court, we hold he did not preserve it for appellate review and therefore do not address
it.
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IV. Defendant Williams’s Appeal
¶ 46 Defendant Williams contends the trial court erred as to two issues: (1) “failing
to conduct an adequate and complete inquiry into” his attorney’s conflict of interest,
and (2) “intimat[ing] an opinion by instructing the prosecutor, in the presence of
prospective jurors, to inform the prospective jurors as to the charges, victims, and
dates of offenses.” (Capitalization altered.) We hold the trial court committed no
prejudicial error with respect to either issue.
A. Attorney Conflict of Interest
¶ 47 Defendant Williams alleges his trial counsel “had an actual conflict of interest
that adversely affected his performance” during trial. Specifically, he argues his trial
counsel had a conflict because his trial counsel “previously represented” Taron Battle,
“one of the two alleged victims in this case” who was also “one of the State’s main
witnesses.” Because “[t]he court was on notice” of the conflict, it was “required to
conduct an adequate and complete inquiry sufficient to address” the conflict,
including ensuring Defendant Williams (1) was “fully advised of the facts of any
potential or actual conflict,” (2) “fully understood the consequences of any potential
or actual conflict,” and (3) only made a waiver “of his right to conflict-free
representation . . . knowingly, intelligently, and voluntarily.” Defendant Williams
alleges “the trial court failed to completely and adequately determine the extent of
the conflict of interest and failed to completely and adequately inform the [D]efendant
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of the consequences of any potential conflict of interest” such that “any alleged waiver
of” his right to counsel “was not knowingly, intelligently, and voluntarily made.” He
also argues his attorney had “an actual conflict of interest” that prevented his
attorney from “seek[ing] to vigorously cross-examine Mr. Battle,” the prosecution
witness in question. Defendant Williams contends he is therefore “entitled to a new
trial or, alternatively,” remand to the trial court “for an adequate and complete
inquiry” into the issue of his attorney’s conflict of interest.
¶ 48 “A defendant in a criminal proceeding has the right to effective assistance of
counsel under both the federal and state constitutions.” State v. Choudhry, 365 N.C.
215, 219, 717 S.E.2d 348, 352 (2011) (citing Strickland v. Washington, 466 U.S. 668,
686, 104 S. Ct. 2052, 2063–64 (1984); State v. Braswell, 312 N.C. 553, 561–63, 324
S.E.2d 241, 247–48 (1985)). A defendant’s “right to effective assistance of counsel
includes the ‘right to representation that is free from conflicts of interest.’” State v.
Bruton, 344 N.C. 381, 391, 474 S.E.2d 336, 343 (1996) (quoting Wood v. Georgia, 450
U.S. 261, 271, 101 S. Ct. 1097, 1103 (1981)). “A conflict of interest arises where ‘the
representation of one client will be directly adverse to another client’ or ‘the
representation of one or more clients may be materially limited by the lawyer’s
responsibilities to another client, a former client, or a third person, or by a personal
interest of the lawyer.’” State v. Lynch, 275 N.C. App. 296, 299, 852 S.E.2d 924, 927
(2020) (quoting N.C. R. Pro. Conduct 1.7(a) (2019)). Our courts apply the same
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analysis whether the conflict issue arises because of current or former clients. See
State v. Phillips, 365 N.C. 103, 120–21, 711 S.E.2d 122, 137 (2011) (stating the same
test is used “[w]hen issues involving successive or simultaneous representation of
clients in related matters have arisen before” our courts and then citing cases where
“[d]efense counsel previously represented in a different case a witness testifying for
the State in the case at bar” and where “[o]ne attorney represented codefendants at
same trial” (citing State v. Murrell, 362 N.C. 375, 405, 665 S.E.2d 61, 81 (2008)
(witness) and Bruton, 344 N.C. at 391, 474 S.E.2d at 343 (codefendants))). Here, the
alleged conflict came from a former client of Defendant Williams’s attorney, Mr.
Battle, the victim and a witness for the State.
¶ 49 Turning to the specific analysis of such conflicts, our Courts analyze ineffective
assistance of counsel claims based on conflicts under Cuyler v. Sullivan, 446 U.S. 335,
100 S. Ct. 1708 (1980), rather than employ the standard ineffective assistance of
counsel analysis under Strickland. Phillips, 365 N.C. at 120–21, 711 S.E.2d at 137.
The Sullivan1 and Strickland standards differ on whether the defendant always must
show prejudice to be entitled to relief; under Strickland, a defendant must show
prejudice, but under Sullivan a defendant who shows an actual conflict of interest
1Sullivan refers to Cuyler v. Sullivan, 446 U.S. 335, 100 S. Ct. 1708. See Choudhry, 365
N.C. at 219–20, 717 S.E.2d at 352 (using Sullivan as the short name for that case instead of
Cuyler).
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“may not be required to demonstrate prejudice.” Choudhry, 365 N.C. at 219, 717
S.E.2d at 352.
¶ 50 The test of whether to apply Sullivan—and not require a showing of
prejudice—or Strickland—with a required showing of prejudice—focuses on “the level
of notice given to the trial court and the action taken by that court” in regard to the
conflict issue. Id. “[W]hen the court ‘knows or reasonably should know’ of ‘a
particular conflict,’ that court must inquire” into the conflict. Id., 365 N.C. at 220,
717 S.E.2d at 352 (quoting Sullivan, 446 U.S. at 346–47, 100 S. Ct. at 1717). If the
trial court fails to inquire into the conflict or “the trial court’s inquiry is inadequate
or incomplete,” reversal is automatic only if the defendant objected to the conflict
issue at trial. Id., 365 N.C. at 220, 224, 717 S.E.2d at 352, 355. If the defendant did
not object to the conflict issue and the trial court failed to adequately conduct the
required inquiry, “prejudice will be presumed” under Sullivan “only if a defendant
can establish on appeal that ‘an actual conflict of interest adversely affected his
lawyer’s performance.’” Id. (quoting Sullivan, 446 U.S. at 350, 100 S. Ct. at 1719).
“However, if [a] defendant is unable to establish an actual conflict causing an adverse
effect, he must show that he was prejudiced in order to obtain relief.” Id., 365 N.C.
at 224, 717 S.E.2d at 355.
¶ 51 Thus, in reviewing the alleged conflict issue, we employ a multi-step test.
First, we ask whether the trial court had notice of the conflict such that it was
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required to inquire into the conflict. Id., 365 N.C. at 219–20, 717 S.E.2d at 352.
Second, we determine whether the trial court conducted an adequate inquiry into the
conflict. Id., 365 N.C. at 220, 224, 717 S.E.2d at 352, 355. If the trial court conducted
an adequate inquiry, our review ends. See State v. Yelton, 87 N.C. App. 554, 557–59
361 S.E.2d 753, 756–57 (1987) (linking the adequacy of the trial court’s inquiry with
whether a defendant has made a “knowing, intelligent and voluntary waiver” of their
rights to be free from conflicted counsel such that either the record reflects a knowing,
intelligent, and voluntary waiver of any conflict or “an actual conflict of interest
exists” without such waiver such that “the attorney must be disqualified”). But if the
trial court did not conduct an adequate inquiry, we third consider whether the
defendant objected to the conflict issue at trial; if the defendant objected to the
conflict, we must reverse. See Choudhry, 365 N.C. at 220, 224, 717 S.E.2d at 352, 355(explaining “prejudice is presumed” if a defendant objected and was not given the
opportunity to show the dangers of the potential conflict through a trial court
inquiry). If, however, the defendant did not object to the conflict, we move to the
fourth step and determine whether the defendant can establish “an actual conflict of
interest adversely affected his lawyer’s performance.” Id. If a defendant can
establish such adverse performance, we presume prejudice. Id. If a defendant cannot
establish adverse performance, we move to the fifth and final step and determine
whether the defendant can show prejudice and thus obtain relief. Id., 365 N.C. at
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224, 717 S.E.2d at 355. We now walk through this test to determine if Defendant
Williams has made an adequate showing to obtain relief.
¶ 52 First, we look at whether the trial court was on notice of the potential conflict.
Id., 365 N.C. at 219–20, 717 S.E.2d at 352. The trial court is on notice if it “knows or
reasonably should know of a particular conflict.” Id., 365 N.C. at 220, 717 S.E.2d at
352. For example, in State v. Mims, this Court found the following statement from
the State was sufficient to put the trial court on notice of a potential conflict:
[THE STATE]: I want to be clear Your Honor brought this
up with defense counsel now he has mentioned what the
defense is. Mr. Chavis [whom the defendant claimed she
was protecting when she admitted to drug possession] is
presently charged with heroin offenses as well, is
represented by counsel’s boss. I want to make sure this is
not a conflict of interest. They’re going to be using the
defense.
180 N.C. App. 403, 410–11, 637 S.E.2d 244, 248–49 (2006) (first alteration in
original). Similarly, in Choudhry, our Supreme Court determined the court was on
notice when a party, again the State, told the trial court there was a potential conflict
and explained the basis for that conflict—in that case the fact that the defendant’s
counsel had previously represented a prosecution witness. 365 N.C. at 220–22, 717
S.E.2d at 353.
¶ 53 Turning to the facts here, Defendant Williams’s counsel put the trial court on
sufficient notice of the potential conflict. Specifically, he explained on the record the
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basis for the potential conflict:
MR. MOORE/DEFENDANT WILLIAMS: Judge, a
couple of things I want to touch on from Mr. Clark talking
about just then. But I think, first, just want to make the
Court aware, and I need to do this on the record in front of
my client, the mind is a crazy thing.
You don’t realize I’ve been preparing to cross-
examine Mr. Battle for a couple of months now and when I
walked in the courtroom and I’ve seen videotapes, I
immediately knew him today. I did not realize that I knew
him.
I represented him about seven years ago he said and
I’ve spoken to him. He said I represented him about seven
years ago. His uncle and I were in a hunting club together.
I have not had any contact with him in years, I’m
assuming.
I probably haven’t seen him in six or seven years.
I’ve informed Mr. Williams of that. I don’t see that there’s
any sort of conflict with the two. I felt like I needed to get
it on the record.
Defense counsel’s summary of the basis for the conflict contains a level of detail
similar to Choudhry, 365 N.C. at 220–21, 717 S.E.2d at 353, and greater than Mims,
180 N.C. App. at 410–11, 637 S.E.2d at 248–49, so it put the trial court on notice.
¶ 54 Moving to the second step, we ask whether the trial court conducted an
adequate inquiry into the conflict. Choudhry, 365 N.C. at 220, 224, 717 S.E.2d at
352, 355. The goal of this inquiry is twofold. First, it aims to protect a defendant’s
right to conflict free counsel. See Yelton, 87 N.C. App. at 557, 361 S.E.2d at 756(“Foremost in the court’s inquiry must be the preservation of the accused’s
constitutional rights. The hearing by the trial court must ensure that the defendants
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are aware of these rights and that any waiver is a knowing, intelligent and voluntary
waiver.”). Second, it “avoid[s] the appearance of impropriety” and thereby preserves
public confidence in the courts. See State v. Shores, 102 N.C. App. 473, 475, 402
S.E.2d 162, 163 (1991) (explaining “‘courts have an independent interest in ensuring
that criminal trials are conducted within the ethical standards of the profession and
that legal proceedings appear fair to all who observe them’” before going on to describe
the inquiry as important to “avoiding the appearance of impropriety” (quoting Wheat
v. United States, 486 U.S. 153, 160, 108 S. Ct. 1692 (1988)).
¶ 55 Turning to its nature, “the inquiry must be adequate ‘to determine whether
there exists such a conflict of interest that the defendant will be prevented from
receiving advice and assistance sufficient to afford him the quality of representation
guaranteed by the Sixth Amendment.’” Lynch, 275 N.C. App. at 299, 852 S.E.2d at
927 (quoting Mims, 180 N.C. App. at 409, 637 S.E.2d at 248). As a result, “the trial
court is responsible for ensuring that the defendant fully understands the
consequences of a potential or actual conflict.” Choudhry, 365 N.C. at 223, 717 S.E.2d
at 354. In ensuring such full understanding, the trial court has the discretion to
decide “whether a full-blown evidentiary proceeding is necessary or whether some
other form of inquiry is sufficient.” Lynch, 275 N.C. App. at 299, 852 S.E.2d at 927
(citing Choudhry, 365 N.C. at 223, 717 S.E.2d at 354).
¶ 56 In Choudhry, our Supreme Court conducted a detailed review of the trial
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court’s inquiry. 365 N.C. at 221–24, 717 S.E.2d at 353–55. The trial court there
“informed [the] defendant directly” about his attorney’s previous representation of a
witness for the State and asked the defendant whether he “had any concerns about
[his attorney’s] ability appropriately to represent him, if he was satisfied with [his
attorney’s] representation, and if he desired to have [his attorney] continue to
represent him.” Id., 365 N.C. at 224, 717 S.E.2d at 354. But our Supreme Court still
concluded the inquiry was inadequate because “the trial court did not specifically
explain the limitations that the conflict imposed on defense counsel’s ability to
question” the State’s witness about her conviction in the case defense counsel had
previously represented her during “nor did defense counsel indicate he had given [the]
defendant such an explanation.” Id., 365 N.C. at 224, 717 S.E.2d at 355. Thus, the
trial court had not fulfilled its responsibility to ensure the defendant had a “sufficient
understanding of the implications” of the conflict “to ensure a knowing, intelligent,
and voluntary waiver of the potential conflict of interest.” Id.¶ 57 Here, the trial court’s inquiry resembled the inquiry in Choudhry. The trial
court ensured Defendant Williams knew about the conflict by asking him if he had
heard what his attorney said regarding the potential conflict—as we recounted
above—to which Defendant Williams responded he had. The trial court then
confirmed Defendant Williams was “prepared to waive any conflict of interest that
may have arisen as a result of” his attorney’s previous representation of Mr. Battle
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and was “still prepared to move forward with [his attorney] representing” him to
which Defendant Williams responded he was. Finally, the trial court asked, “Do you
have any questions about anything I’ve said or anything that Mr. Moore [Defendant
Williams’s attorney] has said?” to which Defendant Williams responded, “No, I think
we have an understanding,” referring to Defendant Williams and his attorney.
¶ 58 Notably absent from the trial court’s inquiry were any questions to ensure
Defendant Williams had a “sufficient understanding of the implications” of the
conflict “to ensure a knowing, intelligent, and voluntary waiver of the potential
conflict of interest.” Choudhry, 365 N.C. at 224, 717 S.E.2d at 355. Because the trial
court did not ensure Defendant Williams had such an understanding, it did not
conduct an adequate inquiry.
¶ 59 Turning to the third step in our review, we consider whether Defendant
Williams objected to the conflict issue at trial. See id., 365 N.C. at 220, 717 S.E.2d at
352 (explaining the importance of an objection to the determination of whether
prejudice is presumed or not). For example, in Choudhry, our Supreme Court
determined “no party objected” when the prosecutor had raised the issue but the
defendant’s attorney denied there was a conflict and said he was not even sure it
needed to be addressed. Id., 365 N.C. at 220–21, 717 S.E.2d at 353. By contrast, in
Lynch, this Court found the defendant properly objected because he “consistently
articulated his worry that he was not receiving a fair trial.” 275 N.C. App. at 301,
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852 S.E.2d at 928. Here, Defendant Williams did not object to the potential conflict.
First, similar to Choudhry, Defendant Williams’s attorney told the trial court, “I don’t
see that there’s any sort of conflict with the two.” 365 N.C. at 221, 717 S.E.2d at 353.
Further, when the trial court asked Defendant Williams about the potential conflict,
he said he and his attorney “ha[d] an understanding.” That language indicates
Defendant Williams did not have any concern about the potential conflict.
¶ 60 Moving on to the fourth step in our review, we must consider whether
Defendant Williams can establish “an actual conflict of interest adversely affected his
lawyer’s performance.” Id., 365 N.C. at 220, 224, 717 S.E.2d at 352, 355. The
required inquiry is fact specific and considers whether “objectively sound strategic
reasons” can justify defense counsel’s choices. See id., 365 N.C. at 225–26, 717 S.E.2d
at 355–56 (walking through defense counsel’s “vigor[ous]” cross examination of the
witness who he had previously represented on various topics before rejecting the
defendant’s argument about the impact of not cross examining the witness on the
prior charge based on sound strategy); see also State v. Walls, 342 N.C. 1, 40–41, 463
S.E.2d 738, 758 (1995) (assuming arguendo a conflict of interest, explaining why the
defendant had not shown an adverse effect on representation by recounting objections
during direct and “a detailed and thorough cross-examination”).
¶ 61 For example, in Choudhry, our Supreme Court found no adverse effect where
defense counsel cross examined the witness he previously represented on topics
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including: the witness cooperating to get out of jail; inconsistencies between the
witness’s testimony at trial and statements to police; and the “rancorous and volatile”
relationship between the witness and the defendant characterized by “spiteful and
vindictive” actions towards the defendant. 365 N.C. at 225–26, 717 S.E.2d at 355–
56. The Choudhry Court also noted how defense counsel’s decision not to cross
examine the witness on the charge for which he had previously represented her was
an “objectively sound strategic” decision because the defendant was also implicated
in that crime and asking about it on cross examination “could have opened the door
for redirect examination by the State relating to any role [the] defendant may have
played.” Id., 365 N.C. at 226, 717 S.E.2d at 356.
¶ 62 By contrast, in State v. James, this Court found an “overlap of representation
prior to and at the time of trial” of the defendant and a State witness adversely
affected the lawyer’s performance such that prejudice was presumed. 111 N.C. App.
785, 790–91, 433 S.E.2d 755, 758 (1993). Specifically, this Court explained the
conflict “affected counsel’s ability to effectively impeach the credibility” of the witness
because defense counsel never explored a potential plea agreement on cross
examination of the witness he represented, in contrast to exploring it with another
witness. Id.¶ 63 Here, we conclude Defendant Williams has failed to establish any conflict his
attorney had through his previous representation of Mr. Battle adversely affected the
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attorney’s representation of Defendant Williams. First, during direct examination,
Defendant Williams’s attorney objected to two key aspects of the State’s case.
Defense counsel initially objected when the State sought to introduce video evidence
of the robbery itself. Second, Defendant Williams’s attorney objected when the
prosecutor sought to lead Mr. Battle into giving a better description of the people
accused of robbing him by asking: “You don’t remember him asking you about any
tattoos or marks or anything like that?” Both these objections sought to undermine
the State’s attempts to have Mr. Battle identify Defendant Williams as one of his
assailants, a fact the State must prove to get a conviction in any case. C.f. State v.
Privette, 218 N.C. App. 459, 470–71, 721 S.E.2d 299, 308 (2012) (explaining to
overcome a motion to dismiss for insufficient evidence, “the State must present
substantial evidence of (1) each essential element of the charged offense and (2)
defendant’s being the perpetrator of such offense” (quotations, citation, and
alterations omitted)). These objections during direct examination thus support
finding no adverse effect. See Walls, 342 N.C. at 41, 463 S.E.2d at 758 (concluding
the defendant “failed to carry his burden of showing that an actual conflict of interest
adversely affected his lawyers’ performance” in part because “[t]he record show[ed]
that defense counsel objected to several lines of questioning during” the witness in
question’s direct examination).
¶ 64 Turning to his cross examination of Mr. Battle, the counsel for Defendant
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Williams took numerous steps to undermine Mr. Battle’s credibility and call into
question his testimony. See Choudhry, 365 N.C. at 225–26, 717 S.E.2d at 355–56
(finding no adverse effect because of “vigor[ous]” cross examination). First, he
repeatedly called into question Mr. Battle’s motives for testifying by highlighting Mr.
Battle had his charge for possession of a firearm by a felon dropped in exchange for
testimony, which helped Mr. Battle avoid “significant” prison time. As part of this
testimony, Defendant Williams’s attorney asked Mr. Battle about his past felony
convictions, which our Supreme Court has recognized has the purpose of
“impeach[ing] the witness’s credibility.” E.g. State v. Ross, 329 N.C. 108, 119, 405
S.E.2d 158, 165 (1991) (emphasis removed). This line of questioning culminated on
re-cross with Defendant Williams’s counsel asking, “Would you be testifying here
today if you were going to prison?” to which Mr. Battle responded, “No, sir.”
¶ 65 In other parts of the cross examination, Defendant Williams’s counsel sought
to undermine Mr. Battle’s credibility through numerous different lines of questioning.
First, under questioning, Mr. Battle admitted on cross that on the night of the
incident, he was under the effect of numerous drugs and of alcohol such that he had
“impaired judgment.” Further, Defendant Williams’s counsel asked Mr. Battle about
mental health issues, any medication he received for such issues, and whether he was
taking that medication on the night of the incident. Finally, Defendant Williams’s
attorney repeatedly asked Mr. Battle about inconsistencies in his statements to the
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police, his statements to the prosecutor in preparation for trial, and his testimony at
trial. While all these lines of questions could undermine Mr. Battle’s credibility, the
questions regarding inconsistencies are particularly significant because the
Choudhry Court highlighted a line of questioning using the same strategy in finding
the attorney’s performance was not adversely affected there. 365 N.C. at 225, 717
S.E.2d at 355.
¶ 66 Defendant Williams contends his trial counsel’s performance was adversely
affected because of a lack of vigor around Mr. Battle’s “deal to testify” and “history of
mental health issues.” Specifically as to the “deal to testify” component, Defendant
Williams faults his trial counsel for not having Mr. Battle “read the entire
memorandum of understanding to the jury.” As explained above, Defendant
Williams’s attorney questioned Mr. Battle repeatedly about the contents of the
memorandum of understanding, and Defendant Williams does not make clear what
additional impact reading the entire memorandum would have had. Further, the
standard underpinning our review of the impact on trial counsel’s performance is
whether trial counsel had an “objectively sound strategic” reason for his actions. Id.,365 N.C. at 226, 717 S.E.2d at 356. Here, reading the entire memorandum of
understanding to the jury may have diluted the effect of the deal; the key features
and incentives of the deal could have been lost absent trial counsel’s focused
questioning. Thus, there was an objectively sound strategic reason to not read the
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whole memorandum of understanding for the jury.
¶ 67 Defendant Williams’s arguments on the vigor or lack thereof in his attorney’s
cross examination of Mr. Battle on mental health issues also fail for the same reason;
his trial counsel’s strategy reflects objectively sound strategic decisions. Vigorous
cross examination does not necessarily require the most aggressive questioning
possible; in other words, trial counsel can have sound strategic reasons for
constraining some aspects of cross examination. For example, here, more aggressive
cross examination on Mr. Battle’s mental health issue may have engendered the
jury’s sympathy for Mr. Battle.
¶ 68 Turning to Defendant Williams’s specific contentions on the mental health
issues, all of them focus on his attorney’s argument to the trial court about what it
should allow him to examine with Mr. Battle regarding his mental health. In addition
to the above reasons, we note Defendant Person’s attorney—who was not affected by
any potential conflict—said “Same argument, Your Honor” after Defendant
Williams’s attorney made his arguments about examining Mr. Battle on mental
health issues. Defendant Person’s attorney not seeking to examine further on the
mental health issues shows the same decision of Defendant Williams’s attorney was
not driven by his past representation of Mr. Battle. Thus, Defendant Williams cannot
show his attorney’s performance was adversely affected by any conflict arising from
his past representation of Mr. Battle, and, thus, prejudice is not presumed. See id.,STATE V. WILLIAMS
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365 N.C. at 220, 224, 717 S.E.2d at 352, 355 (explaining prejudice is not presumed if
an attorney’s performance is not adversely affected by the conflict).2
¶ 69 Finally, because prejudice is not presumed, we ask whether Defendant
Williams can show prejudice and obtain relief through that means. Id., 365 N.C. at
224, 717 S.E.2d at 355. The prejudice inquiry closely follows the adverse effect
inquiry because often the same facts answer both questions. See id., 365 N.C. at 226,
717 S.E.2d at 356 (finding no adverse effect before immediately finding no prejudice).
Thus, here since we have found no adverse effect on the performance of Defendant
Williams’s trial counsel because of his past representation of Mr. Battle, we also find
Defendant Williams has failed to show prejudice. To the contrary, Defendant
Williams was acquitted of the most serious charges he faced at trial, which suggests
the representation by his attorney was quite effective indeed.
¶ 70 As a result, we conclude Defendant Williams has failed to show prejudicial
error arising from his attorney’s past representation of Mr. Battle and overrule his
argument on these grounds.
2Defendant Williams argues one potential remedy would be to remand to the trial court for
“an adequate and complete inquiry.” Because the record is clear and allows us to determine
any conflict did not adversely affect the performance of Defendant Williams’s counsel, we
need not remand. See James, 111 N.C. App. at 791, 433 S.E.2d at 759 (not requiring remand
where adverse effect was “clear[]” on the face of the record); Mims, 180 N.C. App. at 411, 637
S.E.2d at 249 (remanding when “unable to determine from the face of the record whether an
actual conflict of interest adversely affected” defense counsel’s performance).
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B. Trial Court Implying an Opinion on the Case in the Presence of
Prospective Jurors
¶ 71 Defendant Williams next argues the trial court “prejudicially erred when it
intimated an opinion” on the case in the presence of prospective jurors.
(Capitalization altered.) Specifically, he asserts the trial court erred when, instead
of personally informing the prospective jurors of all aspects of the case, it directed the
prosecutor to inform prospective jurors of the charges, victims, and dates of offense
in violation of North Carolina General Statute § 15A-1213. Defendant Williams
contends the judge directing the prosecutor to inform the jury “could have led
prospective jurors to reasonably infer . . . that the prosecutor and the prosecutor’s
evidence should be given great weight, that the prosecutor’s witnesses were credible,
or that the defendant should be found guilty.” We agree this was error, but Defendant
Williams was not prejudiced by this error.
¶ 72 While Defendant Williams did not object to the trial court’s action, this issue
was automatically preserved for appellate review because Section 15A-1213 both
“requires a specific act by a trial judge,” and “leaves no doubt that the legislature
intended to place the responsibility on the judge presiding at the trial[.]” See State v.
Austin, 378 N.C. 272, 2021-NCSC-87, ¶ 13 (alteration in original) (quoting In re E.D.,
372 N.C. 111, 121, 827 S.E.2d 450, 457 (2019)) (discussing automatic preservation by
statute in the context of North Carolina General Statutes §§ 15A-1222 and -1232,
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which are also part of the same subchapter—on trial procedure in superior court—of
Chapter 15A as Section 15A-1213). Here, Section 15A-1213 states “the judge must”
undertake the following specific acts: “identify the parties and their counsel and
briefly inform the prospective jurors, as to each defendant, of the charge, the date of
the alleged offense, the name of any victim alleged in the pleading, the defendant’s
plea to the charge, and any affirmative defense of which the defendant has given
pretrial notice . . . .” N.C. Gen. Stat. § 15A-1213 (2019) (emphasis added).
¶ 73 Because this alleged statutory violation is properly preserved, we review for
prejudicial error under North Carolina General Statute § 15A-1443(a). Austin, ¶ 15.
North Carolina General Statute § 15A-1443(a) states:
A defendant is prejudiced by errors relating to rights
arising other than under the Constitution of the United
States when there is a reasonable possibility that, had the
error in question not been committed, a different result
would have been reached at the trial out of which the
appeal arises. The burden of showing such prejudice under
this subsection is upon the defendant. . . . .
N.C. Gen. Stat. § 15A-1443(a) (2019). Where a defendant alleges an error is an
improper expression of judicial opinion, here via Section 15A-1443(a), this Court
utilizes a totality of the circumstances test to determine whether the trial court
impermissibly expressed an opinion. See State v. Larrimore, 340 N.C. 119, 155, 456
S.E.2d 789, 808 (1995).
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¶ 74 North Carolina General Statute § 15A-1213 requires presiding judges to
“identify the parties and their counsel and briefly inform the prospective jurors, as to
each defendant, of the charge, the date of the alleged offense, the name of any victim
alleged in the pleading, the defendant’s plea to the charge, and any affirmative
defense[s].” N.C. Gen. Stat. § 15A-1213. “The judge may not read the pleadings to
the jury.” Id. Section 15A-1213 is designed “to avoid giving jurors a distorted view
of the case through use of the stilted language of indictments and other pleadings.”
State v. Brunson, 120 N.C. App. 571, 575–76, 463 S.E.2d 417, 419 (1995) (quotations
and citations omitted).
¶ 75 In the present case, the trial court informed the prospective jurors of only a
portion of the requirements of Section 15A-1213. The court first informed the
prospective jurors of the parties and their respective counsel. The trial court then
delegated some requirements of Section 15A-1213 to the prosecutor and asked the
prosecutor to read the charges, victims, and date of offense as to both Defendants.
The judge then informed the jury as to the Defendants’ pleas. Defendant Williams
argues that the judge’s failure to personally inform the jurors of every component
under Section 15A-1213 amounted to prejudicial error warranting a new trial. The
State argues “the spirit of the statute was satisfied by orienting the jurors to the case”
but “concedes that the trial court did violate” North Carolina General Statute § 15A-
1213 by delegating a portion of the requirements to the prosecutor.
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¶ 76 While the trial court certainly erred in delegating its responsibilities under
Section 15A-1213, Defendant Williams was not prejudiced by this delegation.
Defendant Williams’s argument that this delegation could have led prospective jurors
to infer that the judge believed the prosecutor’s case was stronger—whether that be
in the quality of the prosecutor’s evidence, the credibility of the prosecutor’s
witnesses, or generally that the Defendant was guilty—is not compelling. “[I]n a
criminal case it is only when the jury may reasonably infer from the evidence before
it that the trial judge’s action intimated an opinion as to a factual issue, the
defendant’s guilt, the weight of the evidence or a witness’s credibility that prejudicial
error results.” State v. Blackstock, 314 N.C. 232, 236, 333 S.E.2d 245, 248 (1985).
“Whether the judge’s comments, questions or actions constitute reversible error is a
question to be considered in light of the factors and circumstances disclosed by the
record, the burden of showing prejudice being upon the defendant.” Id. For a
defendant to show prejudice, he must demonstrate a “reasonable possibility,” absent
the error, that “a different result would have been reached at the trial.” N.C. Gen.
Stat. § 15A-1443(a) (2019).
¶ 77 This Court has not addressed the specific issue of a judge’s failure to comply
with Section 15A-1213 by not personally informing prospective jurors about a case.
However, the State highlights a recent case from this Court, State v. Grappo, for an
example of when a defendant is not prejudiced by a trial court failing to comply with
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a statutory obligation. (Citing 271 N.C. App. 487, 845 S.E.2d 437 (2020).) We find
Grappo illustrative. In Grappo, the trial court erred because it failed to personally
instruct the jury and instead delegated a portion of the jury instructions to the
courtroom clerk in violation of North Carolina General Statutes §§ 15A-1231 and -
1232. Id., 271 N.C. App. at 492, 845 S.E.2d at 440–41. Despite recognizing the
“momentous,” “foundational,” and constitutionally important nature of some of the
delegated jury instructions, id., 271 N.C. App. at 492–93, 845 S.E.2d at 441
(quotations and citations omitted; emphasis in original), this Court ultimately held
no prejudicial error occurred because the defendant did not show “that the inferred
expression of [an] opinion ‘had a prejudicial effect on the result of the trial’ necessary
to elevate it from a harmless error to a prejudicial one.” Id., 271 N.C. App. at 493–
94, 845 S.E.2d at 441–42 (quoting Larrimore, 340 N.C. at 155, 456 S.E.2d at 808).
Specifically, the Grappo Court highlighted how, applying Blackstock’s totality of the
circumstances test, “various portions of the record undercut a conclusion of
prejudicial effect” and then summarized those portions. Id., 271 N.C. App. at 494,
845 S.E.2d at 442.
¶ 78 Similar to Grappo, Defendant Williams has not shown the trial judge
delegating the introduction of the case to the prosecutor “had a prejudicial effect on
the trial necessary to elevate it from a harmless error to a prejudicial one.” Id., 271
N.C. App. at 493–94, 845 S.E.2d at 442 (quotation and citation omitted); see also id.,
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271 N.C. App. at 494, 845 S.E.2d at 442 (“Mindful of the totality of the circumstances
test applicable in this case, various portions of the record undercut a conclusion of
prejudicial effect.” (citation omitted)). Notably, the trial court remedied any
prejudicial effect of its delegation by instructing the jury on the presiding judge’s
impartiality.
¶ 79 During its final jury instructions, the trial court expressly told the jury:
The law requires the presiding judge to be impartial. You
should not infer from anything that I have done or said that
the evidence is to be believed or disbelieved, that a fact has
been proved or what your findings ought to be. It is your
duty to find the facts and render a verdict reflecting the
truth.
“The law presumes that jurors follow the court’s instructions.” Tirado, 358 N.C. at
581, 599 S.E.2d at 535; see also Grappo, 271 N.C. App. at 494, 845 S.E.2d at 442
(relying on the presumption jurors follow the trial court’s instructions to help show
no prejudice because the trial court instructed the jurors in a way that corrected its
error). Moreover, this Court has previously held a trial court can correct
misstatements in its earlier remarks to the jury when it gives them final jury
instructions. See Brunson, 120 N.C. App. at 576, 463 S.E.2d at 420 (finding no
reversible error despite determining the trial court’s preliminary remarks included a
misstatement because the trial court correctly stated the law during final jury
instructions). Here, therefore, we presume the jurors followed the court’s instructions
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and that the trial court’s statement during final jury instructions could correct any
earlier misimpression it could have left on the jurors. With those presumptions in
mind, the jurors would not have gone into the jury room thinking the judge had
implied any opinion by having the prosecutor give part of the case overview; the jury
instructions explicitly told them not to make such inferences. Since the jurors would
know to not make such inferences when going into deliberations, it could not have
impacted their verdict, thereby undercutting any prejudice claim.
¶ 80 Further undercutting any claim of prejudice, although the prosecutor read all
the charges, victims, and dates of offenses to the jury, here, the jury acquitted
Defendant Williams of the more serious charges of attempted first degree murder as
to Mr. Battle and as to Mr. Deans, assault with a deadly weapon with intent to kill
inflicting serious injury and its lesser included offense as to Mr. Battle, discharge of
a weapon in a vehicle while in operation causing serious bodily injury as to Mr. Battle,
and robbery with a dangerous weapon as to Mr. Deans and convicted him only of
possession of a firearm by a felon and robbery with a dangerous weapon as to Mr.
Battle. We cannot discern any prejudice to Defendant Williams from this technical
violation of North Carolina General Statute § 15A-1213 where the jury clearly
considered each charge separately, as it should, and acquitted him of several of the
charges, even though the prosecutor read all of them.
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¶ 81 After reviewing the totality of the circumstances, Defendant Williams has
failed his burden of proving prejudice. Thus, the trial court’s improper delegation of
its § 15A-1213 duty to the prosecutor did not constitute reversible error.
V. Conclusion
¶ 82 We conclude neither Defendant Person nor Defendant Williams can show
prejudicial error. Assuming arguendo, the trial court erred in showing the jury the
video of Defendant Person in shackles, it did not prejudicially err because it gave a
limiting instruction and because of the other overwhelming evidence of Defendant
Person’s guilt. Defendant Person failed to preserve his other argument concerning
his sentencing as a habitual felon. Turning to his appeal, Defendant Williams failed
to show his attorney’s performance was adversely affected by any conflict such that
we cannot presume prejudice, and he also failed to show any prejudice. Defendant
Williams also failed to show prejudice arising from the trial court delegating its
statutory duty to inform the jury about the case under § 15A-1213.
NO PREJUDICIAL ERROR.
Judges HAMPSON and GORE concur.