Brent Shaun Heavner (Defendant) appeals from judgments entered upon his convictions of three counts of assault on a governmental official and two counts of malicious conduct by prisoner. Defendant also appeals from the trial court’s denial of his motion for appropriate relief. We find no error.
The evidence of record tends to show the following: In 2008, Defendant, who was in his early twenties, lived with his grandmother (“Ms. Heavner”), who was eighty-three years old, in Vale, North Carolina. Defendant had substance abuse problems. Ms. Heavner testified that when Defendant drinks alcohol, “he just loses it.”
On 16 February 2008, Defendant started drinking alcohol late in the afternoon, which concerned Ms. Heavner. Later that evening, Defendant became violent towards Ms. Heavner and also threatened to harm himself. Ms. Heavner testified that at approximately 10:00 p.m., Defendant “went and got the butcher knife and told [her] that he was going to cut himself, which he . . . did quite often.” Ms. Heavner retreated from the house and started across the street to the home of her sister and brother-in-law (the Lovings). Defendant followed her and encouraged her to come back into the house. Ms. Heavner testified that Defendant did not want her to “call the law.”
The Lovings heard the disturbance and turned their porch light on, whereupon Defendant retreated to Ms. Heavner’s house. However, Ms. Heavner proceeded to the Lovings’ house, and Mr. Loving called the police.
Deputy Christopher Locklear (Deputy Locklear), Deputy J. Owens (Deputy Owens), and Sergeant C.D. Stamper (Sergeant Stamper) responded to Mr. Loving’s call. The officers saw Defendant on the front porch of Ms. Heavner’s house, but when the officers reached the driveway, Defendant retreated inside. The officers then saw Defendant through a kitchen window holding a butcher knife. The officers discovered that the front door to the house was unlocked, and the officers entered the house. Deputy Locklear approached Defendant, placed him under arrest, and attempted to handcuff Defendant. Deputy Locklear said, when he attempted to handcuff Defendant, the following transpired:
I reached for his right hand, and as soon as I did that he kind of blew up, startedresisting. ... He bucked up and kind of pulled away ... for me not to be able to handcuff him. ... We took him to the floor. . . and told him to stay on the ground while we tried to handcuff him.... He was very belligerent, started threatening to kill all of us. . . . [W]e finally got his other hand cuffed, [but] he continued to try to get up. ... I think I asked him to calm down and let us help ... get him up and he told me I could go to hell. He proceeded to ... try to call his dog to attack us.
[We] [finally got him on his feet, where we held his arm. We walked him 3 to 4 [feet], [but then he] fell to the floor. I asked him to stand back up. And that’s when he stated that if he was going anywhere we [had to] carry him, and he wished he could spit in our mouths.... [So] when I went to pick him up he spit towards my face [and] hit me in the forehead area.... Sergeant Stamper began to help Deputy Owens try to get [Defendant] up, as I was wiping the spit off my forehead.
They got him up . . . and before they could get him out of the house ... we placed him on the ground one more time because he was kicking. . . . After he got back up I think Sergeant Stamper and Deputy Owens had carried him and placed him on the ground outside in the driveway.. . . [W]e got him outside, stuck him on the ground, his clothes were pulled off where he had struggled so much, his pants. So we pulled his clothes back up so he would be more appropriate. When I went to try to pull his clothes back on him he attempted to bite me on the leg, and then spit on me again. It hit me on the right arm— And after he had spit on me for the second time, and this was probably a five minute difference, a five minute time frame difference in between the first spit and the second spit, after he had done that I think I -1 don’t think I even wiped it off that time. I think we just - myself and Sergeant Stamper picked him up and put him in the back seat of Deputy Owens’ car....
Defendant was indicted on two counts of malicious conduct by prisoner based on the two alleged instances of spitting on Deputy Locklear and on three counts of assault on a governmental official.
The day after the jury returned its verdict, Defendant’s mother, Janet Elmore, contacted defense counsel and informed him that while waiting in the courthouse hallway prior to jury selection, she had spoken extensively to a person about Defendant’s case and about Defendant’s mental and substance abuse problems. She later realized that the person served on the jury in Defendant’s case. Defendant filed a motion for appropriate relief pursuant to N.C. Gen. Stat. § 15A-1414(b)(3), alleging that Defendant did not receive a fair trial based on this contact. At the hearing on Defendant’s motion for appropriate relief, the juror to whom Ms. Elmore had spoken, Roger Diffendarfer, admitted that the conversation took place but that he did not take it into account in arriving at a verdict. The trial court, the Honorable Forrest D. Bridges presiding, denied Defendant’s motion for appropriate relief after making oral findings and conclusions in open court. Judge Bridges also entered a written order denying Defendant’s motion for appropriate relief.
Defendant appeals from the 13 July 2010 judgments. Defendant also appeals from the trial court’s order denying his motion for appropriate relief.
I: Motion to Dismiss
In Defendant’s first argument on appeal, he contends the trial court erred in denying his motion to dismiss one of the two malicious conduct by prisoner charges because
“This Court reviews the trial court’s denial of a motion to dismiss de novo” State v. Smith,
N.C. Gen. Stat. § 14-258.4 (2011), defines malicious conduct by prisoner, in pertinent part, as follows:
Any person in the custody of . . . any law enforcement officer, . . . who knowingly and willfully throws, emits, or causes to be used as a projectile, bodily fluids or excrement at a person who is an employee of the State or a local government while the employee is in the performance of the employee’s duties is guilty of a Class F felony....
The crime of malicious conduct by a prisoner, as defined by the foregoing statute, has the following elements:
(1) the defendant threw, emitted, or caused to be used as a projectile a bodily fluid or excrement at the victim;
(2) the victim was a State or local government employee;
(3) the victim was in the performance of his or her State or local government duties at the time the fluid or excrement was released;
(4) the defendant acted knowingly and willfully; and
(5) the defendant was in the custody of . . . any law enforcement officer....
State v. Noel,
Defendant’s argument in this case is not based on an alleged failure by the State to present substantial evidence to support each of the foregoing elements of malicious conduct by prisoner. Rather, Defendant argues that because the evidence in this case shows that the two charges of malicious conduct by prisoner stem from “the same continuous transaction!)]” and because the “Legislature did not intend multiple punishments for more than one instance of emission of bodily fluids [,]” the trial court erred by failing to dismiss one of the charges of malicious conduct by prisoner.
The question posed by Defendant in this appeal is essentially whether the two incidents of spitting on Deputy Locklear by Defendant constitute two separate charges of malicious conduct by prisoner in violation of N.C. Gen. Stat. § 14-258.4. See generally, State v. Smith,
When there is ambiguity in a criminal statute, however, the rale of lenity “forbids a court to interpret a statute so as to increase the penalty that it places on an individual when the Legislature has not clearly stated such an intention.” State v. Wiggins,
In the case subjudice, Defendant relies on State v. Dilldine,
We believe, however, that this case is distinguishable from Dilldine. The facts of this case are more analogous to the facts in a case subsequent to Dilldine decided by our Supreme Court in State v. Rambert,
In State v. Maddox,
The scenario cautioned against in Dilldine is exactly the scenario presented in the case sub judice. There is no evidence that the five shots fired by defendant at [the victim] were separate assaults[.] . . . The State’s attempt to analogize this case to State v. Nobles,350 N.C. 483 ,515 S.E.2d 885 (1999)[,] and State v. Rambert,341 N.C. 173 ,459 S.E.2d 510 (1995)[,] are unpersuasive. First of all, both cases aredistinguishable in that neither involved charges of assault but instead multiple charges of discharging a weapon into occupied property, (citations omitted).
[T]he North Carolina Supreme Court [in Rambert] concluded the evidence was sufficient to support the multiple charges of discharging a weapon into occupied property as it showed [the] defendant had been required to “ ‘employ his thought processes each time he fired the weapon’ ” and that each shot was an “ ‘act. . . distinct in time, and each bullet hit the vehicle in a different place.’ ”
Id. at 132-133,
Furthermore, we believe the statute defining the crime of malicious conduct by prisoner is not ambiguous. The statute clearly states the elements necessary to constitute and complete the act of malicious conduct by prisoner. Assuming the other elements are met, the definition of malicious conduct by prisoner allows for the crime to be complete when “the defendant thr[ows], emitfs], or cause [s] to be used as a projectile a bodily fluid or excrement at the victimf.]” Noel,
II: Motion for Appropriate Relief
In Defendant’s second argument on appeal, he contends the trial court erred in denying his motion for appropriate relief because the trial court erroneously allowed the juror, Mr. Diffendarfer, to testify about the effect of Ms. Elmore’s statements on his mental processes and further erroneously took the foregoing testimony into account in denying Defendant’s motion for appropriate relief.
“A motion for appropriate relief is a post-verdict motion (or a post-sentencing motion where there is no verdict) made to correct errors occurring prior to, during, and after a criminal trial.” State v. Handy,
When a trial court’s findings on a motion for appropriate relief are reviewed, these findings are binding if they are supported by competent evidence and may be disturbed only upon a showing of manifest abuse of discretion. However, the trial court’s conclusions are fully reviewable on appeal.
State v. Lutz,
In his brief, Defendant raises the issue of extraneous evidence presented to the jury outside the courtroom, quoting N.C. Gen. Stat. §15A-1240(c)(l) which states the following:
(c) After the jury has dispersed, the testimony of a juror may be received to impeach the verdict of the jury on which he served, subject to the limitations in subsection (a), only when it concerns:
(1) Matters not in evidence which has come to the attention of one or more jurors under circumstances which would violate the defendant’s
constitutional right to confront the witnesses against him[.}...
Id. (emphasis added.)
When a motion asserting the right to a new trial is based on the violation of a constitutional right, “the ruling becomes a question of law, fully reviewable on appeal.”
An error of constitutional magnitude will be held to be harmless beyond a reasonable doubt only when the court can declare a belief that there is no reasonable possibility that the violation might have contributed to the conviction. In the context of jury exposure to extraneous information, because inquiry into jurors’ mental processes is prohibited, the test for determining harmlessness generally has been whether there was “no reasonable possibility” that “an average juror” could have been affected by it.
Lyles,
In Lyles, we laid out a factor test to assess whether the introduction of extraneous evidence is harmless beyond a reasonable doubt:
In assessing the impact of the extraneous evidence on the mind of the hypothetical “average juror,” the court should consider: (1) the nature of the extrinsic information and the circumstances under which it was brought to the jury’s attention; (2) the nature of the State’s case; (3) the defense presented at trial; and (4) the connection between the extraneous information and a material issue in the case.
Id. (citation omitted).
Although the trial court’s order does not clearly identify its allocation of the burden of proof and fails to apply the proper analysis, most of the findings of fact are not challenged by Defendant and are therefore binding on this court. We will therefore consider de novo whether these facts support a conclusion that the extraneous information was harmless beyond a reasonable doubt.
We agree with Defendant that the trial court should not have considered Mr. Diffendarfer’s mental processes regarding the extraneous information. “Generally, once a verdict is rendered, jurors may not impeach it.” State v. Heatwole,
Section 15A-1240 allows impeachment of a verdict only in a criminal case ... [in situations where] matters not in evidence which came to the attention of one or more jurors under circumstances which would violate the defendant’s constitutional right to confront the witnesses against him. Rule 606(b) provides that when the validity of a verdict is challenged, a juror is competent to testify only “on the question [of] whether extraneous prejudicial information was improperly brought to the jury’s attention or whether any outside influence was improperly brought to bear upon any juror.”
Heatwole,
Rule 606(b) plainly states that “a juror may not testify as to .. . the effect of anything upon his or any other juror’s mind, or emotions as influencing him to assent to or dissent from the verdict... or concerning his mental processes in connection therewith. . . .” Similarly, Section 15A-1240(a) provides that “no evidence may. be received to show the effect of any statement, conduct, event, or condition upon the mind of a juror or concerning the mental processes by which the verdict was determined.” Thus, it is clear that jurors may testify regarding the objective events listed as exceptions in the statutes, but are prohibited from testifying to the subjective effect those matters had on their verdict.
Lyles,
The trial court’s written order denying Defendant’s motion for appropriate relief includes the following findings of fact:
10. That Roger Diffendarfer, juror, testified that he had not connected the Defendant with Janet Elmore, that it was a casual conversation, and that it did not in any way affect his deliberations in the Defendant’s case.
12. That the testimony of the juror Roger Diffendarfer was believable, credible and unbiased; that he testified without emotion, and that his testimony was in stark contrast to that of Janet Elmore, who had reason to be biased for her son; further, that it is not credible that she would be so focused on her son that she would not notice said juror for two days.
Based upon the foregoing the court finds that as a matter of law that there was no actual or potential prejudice to the Defendant.
(emphasis added). As evidenced in its findings, the trial court admitted and considered Mr. Diffendarfer’s testimony that his conversation with Ms. Elmore “did not in any way affect his deliberations in the Defendant’s case.” See Lyles,
Although it was error for the trial court to receive evidence about the subjective impact of the extraneous information on the juror, the other findings of fact are not challenged on appeal and are sufficient to support the trial court’s conclusion. Applying the Lyles test here, based only upon the uncontested facts as found by the trial court and excluding any consideration of the juror’s mental processes, there is no reasonable possibility that a juror could have been affected by the extraneous information.
The trial court specifically found Mr. Diffendarfer’s testimony about the conversation between himself and Ms. Elmore credible. Mr. Diffendarfer testified that Ms. Elmore “said that [her son] was in trouble and she had come up from somewhere down south to support him, and that he had been in trouble some time before. And that was it. She never said what the trouble was.” The juror further testified that Ms. Elmore never told him her son’s name or what he had been charged with.
Ms. Elmore did testify to a more detailed and substantial conversation. Specifically, she testified that she told him the following:
[I] was here from Florida to support my son, that he was accused of spitting on a police officer. I also told him that my son had been in trouble before, he had a record, and that - I told him several things about my son. To sum everything up, I told him that my son was a drug addict, he was an alcoholic, that he self mutilated. I told him a lot of things about my son.
Ms. Elmore also testified that she told Mr. Diffendarfer her son’s name was Brent.
The trial court specifically found Mr. Diffendarfer’s testimony regarding the content of the conversation credible and found Ms.
Based upon the findings which are not challenged on appeal, we conclude that there is no reasonable possibility that an average juror could have been affected by the extraneous information conveyed in the conversation Mr. Diffendarfer had with Ms. Elmore. As to the nature of the extrinsic information and circumstances under which the juror was exposed to this information, the findings show that the information was quite vague. According to the findings of fact, Ms. Elmore did not tell the juror any of the details of her son’s case or even his name. Nothing she said was material to the issues in the case. As to the nature of the State’s case, the evidence against Defendant was overwhelming. Defendant did not present any evidence at trial. There was no connection between the extraneous information and any issue, much less a material issue, in the case. Every factor as identified in Lyles clearly weighs against any prejudice to Defendant. Under these facts, there is “no reasonable possibility that the violation might have contributed to the conviction.” Lyles,
NO ERROR.
Notes
. Defendant was also indicted on two counts of communicating threats, which the State voluntarily dismissed during the trial.
. The State argues in its brief that the Defendant failed to preserve this argument on appeal because “Defendant made his motion to dismiss only after the close of the State’s evidence and did not renew his motion after declining to put on evidence.” However, Rule 10(a)(3) of the North Carolina Rules of Appellate Procedure states that a motion to dismiss at the close of the State’s evidence is waived only if “the defendant then introduces evidence.” In this case, Defendant did not put on evidence; and, therefore, Defendant’s appeal on this issue is preserved.
