State v. James
This text of 813 S.E.2d 195 (State v. James) is published on Counsel Stack Legal Research, covering Supreme Court of North Carolina primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.
Opinions
ERVIN, Justice.
**78*198This case involves the validity of the procedures prescribed in N.C.G.S. §§ 15A-1340.19A to 15A-1340.19D for the sentencing of juveniles convicted of first-degree murder in light of **79Miller v. Alabama ,
On 22 November 2011, defendant filed a petition seeking discretionary review of the Court of Appeals' decision by this Court. During the pendency of defendant's discretionary review petition, the United States Supreme Court held in Miller that mandatory sentences of life imprisonment without the possibility of parole for juveniles convicted of committing criminal homicides violated the Eighth Amendment's prohibition against cruel and unusual punishments and mandated that sentencing judges consider such offenders' "youth and attendant characteristics" before imposing "the harshest possible penalty" for juveniles. Miller ,
The case in which defendant had been convicted of first-degree murder came on for resentencing before the trial court at the 5 December 2014 criminal session of the Superior Court, Mecklenburg County. On 12 December 2014, the trial court entered an order determining, among other things, that:
The Court [ ] has considered the age of the [d]efendant at the time of the murder, his level of maturity or immaturity, his ability to appreciate the risks and consequences of his conduct, his intellectual capacity, his one prior record of juvenile misconduct (which this Court discounts and does not consider to be pivotal against the [d]efendant, but only helpful as to the light the juvenile investigation sheds upon [d]efendant's unstable home environment), his mental health, any family or peer pressure exerted upon defendant, the likelihood that he would benefit from rehabilitation in confinement, the evidence offered by [d]efendant's witnesses as to brain development in juveniles and adolescents, and all of the probative evidence offered by both parties as well as the record in this case. The Court has considered [d]efendant's statement to the police and his contention that it was his co-defendant Adrian Morene who planned and directed the commission of the crimes against Mr. Jenkins, [and] the Court does note that in some of the details and contentions the statement is self-serving and contradicted by physical evidence in the case. In the exercise of its informed discretion, the Court determines that based upon all the circumstances of the offense and the particular circumstances of the [d]efendant that the **81mitigating factors found above, taken either individually or collectively, are insufficient to warrant imposition of a sentence of less than life without parole.
As a result, the trial court ordered that "[d]efendant be imprisoned to Life Imprisonment without Parole." Defendant noted an appeal to the Court of Appeals from the trial court's resentencing judgment.
In seeking relief from the trial court's resentencing judgment before the Court of Appeals, defendant argued that the trial court had, by resentencing him pursuant to N.C.G.S.
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ERVIN, Justice.
**78*198This case involves the validity of the procedures prescribed in N.C.G.S. §§ 15A-1340.19A to 15A-1340.19D for the sentencing of juveniles convicted of first-degree murder in light of **79Miller v. Alabama ,
On 22 November 2011, defendant filed a petition seeking discretionary review of the Court of Appeals' decision by this Court. During the pendency of defendant's discretionary review petition, the United States Supreme Court held in Miller that mandatory sentences of life imprisonment without the possibility of parole for juveniles convicted of committing criminal homicides violated the Eighth Amendment's prohibition against cruel and unusual punishments and mandated that sentencing judges consider such offenders' "youth and attendant characteristics" before imposing "the harshest possible penalty" for juveniles. Miller ,
The case in which defendant had been convicted of first-degree murder came on for resentencing before the trial court at the 5 December 2014 criminal session of the Superior Court, Mecklenburg County. On 12 December 2014, the trial court entered an order determining, among other things, that:
The Court [ ] has considered the age of the [d]efendant at the time of the murder, his level of maturity or immaturity, his ability to appreciate the risks and consequences of his conduct, his intellectual capacity, his one prior record of juvenile misconduct (which this Court discounts and does not consider to be pivotal against the [d]efendant, but only helpful as to the light the juvenile investigation sheds upon [d]efendant's unstable home environment), his mental health, any family or peer pressure exerted upon defendant, the likelihood that he would benefit from rehabilitation in confinement, the evidence offered by [d]efendant's witnesses as to brain development in juveniles and adolescents, and all of the probative evidence offered by both parties as well as the record in this case. The Court has considered [d]efendant's statement to the police and his contention that it was his co-defendant Adrian Morene who planned and directed the commission of the crimes against Mr. Jenkins, [and] the Court does note that in some of the details and contentions the statement is self-serving and contradicted by physical evidence in the case. In the exercise of its informed discretion, the Court determines that based upon all the circumstances of the offense and the particular circumstances of the [d]efendant that the **81mitigating factors found above, taken either individually or collectively, are insufficient to warrant imposition of a sentence of less than life without parole.
As a result, the trial court ordered that "[d]efendant be imprisoned to Life Imprisonment without Parole." Defendant noted an appeal to the Court of Appeals from the trial court's resentencing judgment.
In seeking relief from the trial court's resentencing judgment before the Court of Appeals, defendant argued that the trial court had, by resentencing him pursuant to N.C.G.S. §§ 15A-1340.19A to 15A-1340.19D (the Act), violated the state and federal constitutional prohibition against the enactment of ex post facto laws, that the relevant statutory provisions subjected him to cruel and unusual punishment and deprived him of his rights to a trial by jury and to not be deprived of liberty without due process of law, and that "the trial court failed to make adequate findings of fact to support its decision to impose a sentence of life without parole." State v. James , --- N.C. App. ----, ----,
In its opinion, the Court of Appeals began by rejecting defendant's ex post facto argument and his contention that he "should have been resentenced 'consistent with sentencing alternatives available as of the date of the commission of the offense[,]' specifically, 'within the range for the lesser-included offense of second-degree murder.' "
Secondly, the Court of Appeals rejected defendant's contention that the presence of "instead of," the inclusion of mitigating factors, and the absence of aggravating factors in N.C.G.S. § 15A-1340.19C(a) indicated that the General Assembly "presumptively favor[ed] a sentence of life without parole for juveniles convicted of first-degree murder" and created a "risk of disproportionate punishment" indistinguishable from that deemed impermissible in Miller .
The Court of Appeals did not, however, accept defendant's contention that the existence of such a presumption in favor of a sentence of life imprisonment without the possibility of parole renders the statutory sentencing scheme unconstitutional. In view of the fact that the relevant statutory provisions were enacted in order to "allow the youth of a defendant and its attendant characteristics to be considered in **83determining whether a lesser sentence than life without parole is warranted," the Court of Appeals opined that "it seems commonsense that the sentencing guidelines would begin with life without parole, the sentence provided for adults in N.C.[G.S.] § 14-17 that the new guidelines were designed to deviate from."
Finally, the Court of Appeals agreed with defendant's assertion that the trial court had "failed to make adequate findings of fact to support its decision to impose a sentence of life without parole."
In seeking further review of the Court of Appeals' decision by this Court, defendant argued that, "[b]y upholding a presumption in favor of life without parole, the Court of Appeals issued a decision that violates Miller and would lead to life without parole sentences for juveniles who are not among the worst offenders," contrary to the United States Supreme Court's determination that a sentence of life imprisonment without the possibility of parole would be "excessive for all but 'the rare juvenile offender whose crime reflects irreparable corruption,' " quoting Montgomery v. Louisiana , --- U.S. ----,
In his challenge to the validity of its decision, defendant contends that the Court of Appeals erred by holding that a statute establishing a presumption in favor of the imposition of a sentence of life imprisonment without the possibility of parole upon a juvenile convicted of first-degree murder does *202not subject the juvenile to impermissibly cruel and unusual punishment. In view of the fact that we are unable to appropriately consider this contention without first addressing the State's challenge to the validity of the Court of Appeals' determination **85that the relevant statutory provisions embody such a presumption, we will begin our analysis by addressing the State's contention that N.C.G.S. § 15A-1340.19C does not "give[ ] rise to a mandatory presumption" that a juvenile convicted of first-degree murder on the basis of a theory other than the felony murder rule should be sentenced to life imprisonment without the possibility of parole.
In seeking to persuade us that the Court of Appeals had misconstrued N.C.G.S. §§ 15A-1340.19A to 15A-1340.19D, the State contends that, rather than being "interpreted in isolation," the words in which a statute is couched should be read in "context and with a view to their place in the overall statutory scheme," quoting Sturgeon v. Frost , --- U.S. ----,
**86the sentencing choice between [life imprisonment without the possibility of parole] and [life imprisonment with parole] in the disjunctive."
In arguing that the Court of Appeals "correctly understood how [the Act] operated," defendant asserts that "[t]he two sentencing options available under the sentencing scheme are not equal alternatives" because, "[b]y using the phrase 'instead of,' " rather than requiring a trial court to choose "between" the sentencing options, "the General Assembly created a procedure in which the sentencing court's decision to impose life with parole is dependent upon the court first rejecting life without parole." In view of the fact that the relevant statutory language only refers to "mitigating factors," which "are used by defendants to show that the case 'warrant[s] a less severe sentence,' " quoting State v. Norris,
In addition, defendant argues that legislative intent "cannot salvage an otherwise unconstitutional statute," with it being "the duty of the courts to give effect to the words actually used in a statute" without "delet[ing] words used or [ ] insert[ing] words not used." State v. Watterson ,
**87"Legislative intent controls the meaning of a statute." Midrex Techs., Inc. v. N.C. Dep't of Revenue ,
The intent of the General Assembly may be found first from the plain language of the statute, then from the legislative history, "the spirit of the act and what the act seeks to accomplish." If the language of a statute is clear, the court must implement the statute according to the plain meaning of its terms so long as it is reasonable to do so.
Id. at 258,
The first section of Part 2A of Article 81B of Chapter 15A of the North Carolina General Statutes is N.C.G.S. § 15A-1340.19A, which is entitled "Applicability" and provides that "a defendant who is convicted of first degree murder, and who was under the age of 18 at the time of the offense, shall be sentenced in accordance with this Part." N.C.G.S. § 15A-1340.19A (2017). N.C.G.S. § 15A-1340.19B, which is entitled **88"Penalty determination," requires that juveniles convicted of first-degree murder be sentenced to life imprisonment with parole "[i]f the sole basis for conviction ... was the felony murder rule."
(1) Age at the time of the offense.
(2) Immaturity.
(3) Ability to appreciate the risks and consequences of the conduct.
(4) Intellectual capacity.
(5) Prior record.
(6) Mental health.
(7) Familial or peer pressure exerted upon the defendant.
(8) Likelihood that the defendant would benefit from rehabilitation in confinement.
(9) Any other mitigating factor or circumstance.
The court shall consider any mitigating factors in determining whether, based upon all the circumstances of the offense and the particular circumstances of the defendant, the defendant should be sentenced to life imprisonment with parole instead of life imprisonment without parole. The order adjudging the sentence shall include findings on the absence or presence of any mitigating **89factors and such other findings as the court deems appropriate to include in the order.
Id . § 15A-1340.19C(a)(2017).3
After carefully examining the relevant statutory language, we are unable to conclude that the language in question, when read contextually and in its entirety, unambiguously creates a presumption that juveniles convicted of first-degree murder on the basis of a theory other than the felony murder rule should be sentenced to life imprisonment without the possibility of parole rather than life imprisonment with parole. On the contrary, when read in context, we are inclined to believe that the relevant statutory language treats life imprisonment without the possibility of parole and life imprisonment with parole as alternative sentencing options, with the selection between these two options to be made on the basis of an analysis of all of the relevant facts and circumstances in light of the substantive standard enunciated in Miller . See
In urging us to determine that the relevant statutory provisions clearly and unambiguously embody a presumption in favor of a sentence of life imprisonment without the possibility of parole, defendant points to a number of expressions that the General Assembly utilized in describing the required sentencing decision. For example, defendant notes that the relevant statutory provisions require the sentencing court to determine whether a juvenile defendant convicted of first-degree murder on the basis of a theory other than the felony murder rule should be "sentenced to life imprisonment with parole instead of life imprisonment without parole" (emphasis added) and argues that the statutory expression "instead of" can only be understood to mean that a sentence of life imprisonment with parole is nothing more than an alternative to the presumptively correct sentence of life imprisonment without the possibility of parole. Although the word "instead" can be construed in a number of ways, it is typically understood "as an alternative or substitute." New Oxford American Dictionary 900 (3d ed. 2010). In accordance with ordinary English usage, the fact that something is an "alternative or substitute" for something else means nothing more than that both alternatives are available without necessarily suggesting that one is preferred over the other. As a result, we believe that the statutory language requiring the sentencing judge to determine whether the defendant should be sentenced to life imprisonment with parole "instead of"
**91life imprisonment without the possibility of parole is fully consistent with a construction that treats the language in question as requiring the sentencing judge to choose between two appropriate alternatives to be chosen on the basis of a proper application of the relevant legal standard rather than requiring the sentencing judge to select between a default sentence of life imprisonment without the possibility of parole and a secondary option of life imprisonment with parole.4
In addition, defendant directs our attention to the fact that the General Assembly referred to "mitigating factors" in N.C.G.S. § 15A-1340.19C(a) and included a list of potentially available "mitigating circumstances" in N.C.G.S. § 15A-1340.19B(c). Although a mitigating factor or circumstance is commonly *206understood as a consideration that "make[s something] less severe, serious, or painful" or "lessen[s] the gravity of" something "so as to make [that thing], esp. a crime, appear less serious and thus [to] be punished more leniently," New Oxford American Dictionary 1121 (3d ed. 2010), the presence of these references to "mitigating factors" and "mitigating circumstances" in the relevant statutory language does not compel the conclusion that persuading the sentencing court to adopt and credit such mitigating evidence is necessary in order to preclude the imposition of a more severe, and presumptively correct, sentence. On the contrary, the consideration of "mitigating factors" or "mitigating circumstances" is clearly relevant to the determination of whether the less severe of the two available options should be imposed upon a particular defendant in light of the totality of the relevant circumstances and the applicable legal standard, with the State having introduced evidence of the circumstances surrounding the commission of the crime during the guilt-innocence phase of the trial and with the defendant having introduced evidence of mitigating circumstances in addition to those arising from the commission of the crime at the sentencing hearing. For that reason, a requirement that the sentencing judge consider evidence tending to show the existence of "mitigating factors" or "circumstances" is in no way inconsistent with a requirement that the sentencing authority make a choice between two equally appropriate alternatives based upon an analysis of the relevant evidence and the applicable law. Thus, the primary arguments that **92defendant has advanced in support of his assertion that the relevant statutory provisions create a presumption to the effect that, all other things being equal, a sentencing judge should sentence a juvenile convicted of first-degree murder on the basis of a theory other than the felony murder rule to life imprisonment without the possibility of parole simply do not demonstrate that the relevant statutory language necessarily reflects reliance upon such a presumption and appear to view certain statutory provisions in isolation rather than analyzing the relevant statutory language in its entirety. See N. Carolina Dep't of Transp. v. Mission Battleground Park, DST , --- N.C. ----, ----,
As we have already noted, the legislation in which the relevant statutory provisions appear is captioned "[a]n act to amend the state sentencing laws to comply with the ... decision in Miller v. Alabama ," Ch. 148, 2011 N.C. Sess. Laws (Reg. Sess. 2012) at 713, in which the United States Supreme Court stated that the imposition of sentences of life imprisonment without the possibility of parole upon such juvenile offenders would be "uncommon" and should be reserved for "the rare juvenile offender whose crime reflects irreparable corruption" rather than being imposed upon "the juvenile offender whose crime reflects unfortunate yet transient immaturity." Miller ,
As a result, given that the statutory language contained in N.C.G.S. §§ 15A-1340.19A to 15A-1340.19D is devoid of any express provision creating a presumption in favor of sentencing juveniles convicted of first-degree murder on the basis of a theory other than the felony murder rule to life imprisonment without the possibility of parole, given that the relevant statutory language is fully consistent with the view that the available sentencing options should be treated as alternatives to be adopted based upon an analysis of the relevant evidence in light of the applicable legal standard rather than as preferred and secondary alternatives, and given that construing the statutory language at issue in this case to incorporate a presumption in favor of the imposition of a sentence of life without the possibility of parole would conflict with the General Assembly's stated intent to comply with Miller and raise serious doubts about the constitutionality of the challenged statutory provisions, we hold that the Court of Appeals erred by construing the relevant statutory language to incorporate such a presumption.5 On the contrary, **94trial judges sentencing juveniles convicted of first-degree murder on the basis of a theory other than the felony murder rule should refrain from presuming the appropriateness of a sentence of life imprisonment without the possibility of parole and select between the available sentencing alternatives based solely upon a consideration of "the circumstances of the offense," "the particular circumstances of the defendant," and "any mitigating factors," N.C.G.S. § 15A-1340.19C(a), as they currently do in selecting a specific sentence from the presumptive range in a structured sentencing proceeding, in light of the United States Supreme Court's statements in Miller and its progeny to the effect that sentences of life imprisonment without the possibility of parole should be reserved for those juvenile defendants whose crimes reflect irreparable corruption rather than transient immaturity.
In his second challenge to the Court of Appeals' decision, defendant contends that, even if the relevant statutory provisions do not incorporate a presumption in favor of a sentence of life imprisonment without the possibility of parole, the Act violates the Eighth Amendment given that a "sentencing scheme [for juveniles convicted of first-degree murder] must begin with a presumption in favor of life with parole" in light of the United States Supreme Court's recognition of the differences between adult and juvenile offenders and the rarity with which the United *208States Supreme Court believes that sentences of life imprisonment without parole should be imposed upon juveniles convicted of first-degree murder. In addition, defendant contends that a sentencing scheme that is devoid of any requirement that a jury find the existence of one or more aggravating circumstances or that a sentencing judge find the juvenile to be "irreparably corrupt" or "permanently incorrigible" before the juvenile can be sentenced to life imprisonment without the possibility of parole and, instead, merely requires a sentencing judge to "consider" mitigating factors and make findings based on the "absence or presence" of such factors "hinders the trial court's ability to winnow the class of juvenile defendants to those who might qualify for a sentence of life without parole" so as to be "unconstitutionally vague" and create an impermissible risk of the imposition of arbitrary sentences of life without the possibility of parole upon a juvenile defendant convicted of first-degree murder. The State, on the other hand, argues that, because Miller provided "boundaries sufficiently distinct for judges to interpret and administer [the statutes] uniformly" and because the relevant statutory provisions require use of "the precise method and procedure that is set out" in Miller , the Court of Appeals correctly held that the Act "is not unconstitutionally vague and will not lead to arbitrary sentencing decisions." **95A statute is unconstitutionally vague in the event that it "(1) fails to 'give the person of ordinary intelligence a reasonable opportunity to know what is prohibited;' or (2) fails to 'provide explicit standards for those who apply [the law].' " State v. Green ,
Similarly, we conclude that defendant's arbitrariness argument, which rests upon the assertion that the sentencing authority must either find the existence of aggravating circumstances or make other "narrowing" findings before sentencing a juvenile convicted of first degree murder to life imprisonment without the possibility of parole, lacks merit. Although the United States Supreme Court did hold in Zant v. Stephens ,
Finally, defendant urges this Court to reverse the Court of Appeals' decision to reject his challenge to the relevant statutory provisions on ex post facto law grounds on the theory that the sentences of life imprisonment without the possibility of parole and life imprisonment with parole permitted by the Act "were more severe than the sentence *210[that defendant] could have received if he had been sentenced based on the lawful provisions in effect" when the murder for which he was convicted occurred. In defendant's view, the fact that the pre- Miller statutory provisions authorizing the imposition of a mandatory sentence of life imprisonment without the possibility of parole upon juveniles convicted of first-degree murder lacked a "savings clause" authorizing the imposition of an alternative punishment in the event that the applicable mandatory life without parole sentence was declared to be unconstitutional means that "there was no constitutional sentence for first-degree murder committed by a juvenile on the offense date for this case." As a result, defendant asserts that he "could not be sentenced for" first-degree murder and must be sentenced as if he had been convicted of second-degree murder, which was "the most severe constitutional penalty established by the legislature for criminal homicide at the time the offense was committed," first quoting State v. Roberts ,
The federal and state constitutions prohibit the enactment and enforcement of ex post facto laws, which "allow[ ] imposition of a different or greater punishment than was permitted when the crime was committed." State v. Barnes ,
The Court of Appeals correctly rejected defendant's contention that he should have been resentenced as if he had been convicted of second-degree murder on the basis of Dobbert , which held that a new sentencing statute that was enacted to address constitutional defects in an earlier sentencing statute and that preserved the availability of the same punishment authorized by the earlier, unconstitutional statute did not result in an ex post facto violation given that the earlier statute "provided fair warning as to the degree of culpability which the State ascribed to the **99act of murder." Dobbert ,
Thus, for the reasons set forth above, we conclude that the Court of Appeals decision to the effect that N.C.G.S. §§ 15A-1340.19A to 15A-1340.19D incorporated a presumption in favor of the imposition of a sentence of life imprisonment without the possibility of parole upon juveniles convicted of first-degree murder on the basis of a theory other than the felony murder rule was erroneous, that the relevant statutory provisions do not incorporate a presumption in favor of a sentence of life without parole, and that the Court of Appeals correctly rejected defendant's challenge to N.C.G.S. §§ 15A-1340.19A to 15A-1340.19D as impermissibly vague, conducive to the imposition of arbitrary punishments, or an unconstitutional ex post facto law. On remand, the required further sentencing proceedings must be conducted in a manner that is not inconsistent with this opinion and the decisions of the United States Supreme Court in Miller and Montgomery . As a result, we hold that the Court of Appeals decision should be modified and affirmed, and that this case should be remanded to the Court of Appeals for further remand to the Superior Court, Mecklenburg County, for further proceedings not inconsistent with this opinion, including further sentencing proceedings.
MODIFIED AND AFFIRMED; REMANDED.
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