v.
Dixon
No. COA21-471
Filed 5 December 2023
Buncombe County, Nos. 16 CRS 084811-12, 17 CRS 000106
STATE OF NORTH CAROLINA
v.
NATHANIEL E. DIXON, Defendant.
Appeal by Defendant from judgments entered 16 July 2019 by Judge R.
Gregory Horne in Buncombe County Superior Court. Originally heard in the Court
of Appeals 20 September 2022.
Attorney General Joshua H. Stein, by Special Deputy Attorney General Sherri Horner Lawrence, for the State.
Appellate Defender Glenn Gerding, by Assistant Appellate Defender James R. Grant, for defendant-appellant.
MURPHY, Judge.
Where a Defendant cannot demonstrate at the third step of Batson that the State acted on a discriminatory purpose with respect to race and that the trial court clearly erred in its ruling, we will not overturn the denial of a Batson ruling on appeal.
Here, taking into account the whole Record as it existed before the trial court at the time of Defendant’s Batson objection, we are not persuaded that the State’s peremptory strike of one of only two African American prospective jurors in the jury pool was motivated by discriminatory intent, even where the State made a greater effort to rehabilitate other jurors who expressed reservations about the death penalty, because we cannot be confident the trial court was mistaken in its conclusion that reservations about the death penalty still explained the exercise of the strike.
Furthermore, given the high degree of discretion with which a trial court is entrusted in ruling on a motion for mistrial, we cannot say the trial court abused that discretion in denying Defendant’s. The trial court also permissibly ruled on all motions for mistrial, as the trial judge was not a witness in any associated hearing.
BACKGROUND
This case arises out of Defendant Nathaniel E. Dixon’s appeal of his criminal convictions for first-degree murder, attempted first-degree murder, and malicious maiming on 26 June 2019, following a high-profile jury trial that lasted several weeks and garnered significant media attention. During voir dire, the State struck an
African American1 potential juror, R.D.,2 who expressed reservations about the death penalty:
[R.D.]: Personally I have reservations about the death penalty. Simply because [it’s] disproportionate. Most people who know anything about the death penalty know[] that the statistics show that African American[s] receive it more than others. You know, this is weighed on me like quite a bit. Just back and forth. And . . . I wish I wasn’t here, honestly. I wish the reason that I’m here never occurred. And . . . that’s not a presumption of guilt or innocence for anyone. I just wish that what happened, that we know for sure never happened, so I was never in this courtroom. But what I . . . struggle with is, I’d rather my life not be interrupted. I’d rather be only thinking about what I have to do at work today and the plans that I have at the end of June. But then there’s another side of me that understands [] something tragic really did happen. And if this is the course for justice to be served, a part of me just wants to see that happen.
So the law is the law, and whatever is decided, I would hope that the punishment fits the crime. I would hope that the Defense would be confident in doing their job, that they can present their case to where they believe what they’re doing is going to help their Defendant, and I would hope that the Prosecution is confident in that they can present their case, that justice would be served one way or another. And then whomever has to decide, decides the right thing. But it weighs heavily on me when just thinking that we might be part of this process. So the short answer is neither one of those penalties do I object to.
[THE STATE]: Okay. Well, I guess are your -- I believe the terms you used [were] you have reservations about the death penalty. And would your feelings about that be such -- are your feelings such that you could not under any circumstance vote for a death sentence?
[R.D.]: Well, it’s not that I couldn’t. I hoped to never put myself in a position where I’m on the other side of one of those tables. But my point is, if that’s what the law requires, then that’s what the law requires.
[THE STATE]: I guess --
[R.D.]: My reservation is, I don’t want to see anybody die. That’s my reservation.
[THE STATE]: I understand. Well, basically the trial would be divided into two parts. The first part would be one determining guilt or innocence on the charge -- particularly on the charge of first degree murder. There are other charges the jury would also consider. But as far as the penalty goes, the only one that potentially would go to a second phase would be the charge of first degree murder. So the first stage in any of this would be the jury would have to consider that. And do your -- again, you have some clearly heart-felt personal feelings about the death penalty. And because of those, would those affect your -- or prevent you from making an impartial decision based on the evidence about the Defendant’s guilt in the first part of the trial?
[R.D.]: No.
[THE STATE]: So you think you could sit through that part?
[R.D.]: Certainly.
[THE STATE]: Okay. And if the Defendant is guilty -- found guilty of first degree murder, we would then move into a second or a sentencing phase of the trial. And that phase as well as the first phase, the burden is on the State and that’s always proof beyond a reasonable doubt. But in the second phase, the first part of that is the State would produce -- present evidence of what are called aggravating circumstances. And that would be things that would tend to suggest that the appropriate penalty is a death sentence.
[R.D.]: Sure.
[THE STATE]: And again, the jury would have to consider those and find them -- any one of them exists beyond a reasonable doubt. The second part of that, the Defense then would have the ability to present evidence of what are called mitigating circumstances. And again, that would be evidence that would tend to show that the appropriate sentence is one of life in prison. And there the burden is different on the Defense. It’s not beyond a reasonable doubt. It’s the lower burden of preponderance of the evidence. And in that -- also for the mitigating circumstances there doesn’t have to be unanimity. Any juror who felt like -- particular mitigating circumstance applied, had been proven to themselves could consider that. Whether or not everyone else agreed on that. So the mitigating is more of an individual juror decision.
[R.D.]: Yes, sir.
[THE STATE]: And again, if aggravating circumstances have been found, the next step the jury would be asked to weigh those. And the standard there is -- and the question the jury would have to ask is, are the mitigating circumstances insufficient to outweigh the aggravating circumstances. Which is kind of a backwards question --
[R.D.]: I understand.
[THE STATE]: -- the way it’s asked; but basically weighing. And again, that’s beyond a reasonable doubt and mitigating insufficient to outweigh the aggravating. And if the jury finds that, then the final question is, are the aggravating circumstances when taken into account the mitigating, are they sufficiently substantial to call for the imposition of a death sentence. And again, that’s a beyond a reasonable doubt question as well. And given that -- and that’s the framework the jury would have to do that. And in your case -- and again, you’re the only one -- and again, you’ve clearly given a lot of thought to this. There’s no question. But if the Defendant was found guilty of first degree murder, would your feelings about the death penalty substantially impair your ability to vote at the sentencing hearing to impose a death sentence no matter what the evidence or aggravating circumstances that were proved?
[R.D.]: No.
[THE STATE]: So you think if the -- if you felt like it was appropriate, you would be able to vote for a death sentence?
[R.D.]: If that’s what the law required, yes.
[THE STATE]: Again --
[R.D.]: I get it.
[THE STATE]: The laws requires --
[R.D.]: I understand nuances. I’m a [p]astor. I understand backwards questions, too. I use them all the time, but I understand what you’re saying.
[THE STATE]: And again --
[R.D.]: I understand the framework.
[THE STATE]: The law requires you to consider --
[R.D.]: Yes.
[THE STATE]: The law doesn’t require a vote one way or the other. That’s a juror’s decision about how to vote. [R.D.]: I would not --
[THE STATE]: You would not --
[R.D.]: I would not have any reservations.
[THE STATE]: Okay. Likewise, if you felt like the evidence called for it, would you be able to vote for a sentence of life in prison?
[R.D.]: Certainly.
Defendant raised an objection to the State’s peremptory strike of R.D. under Batson v. Kentucky, which the trial court overruled during the following exchange in open court:
[DEFENDANT]: [] [Y]our Honor, at the appropriate time, we do enter a Batson challenge as to Alternate Number One, [R.D.].
....
Your Honor, in regards to [R.D.], and I tried to be very careful . . . to write down everything that he said. Certainly there was nothing indicated on his questionnaire . . . that indicated that he could not follow the law, that he was not available, that he could not make the time. He certainly hadn’t formed any opinions. He understood clearly the presumption of innocence and the reasonable doubt theories that we all deal with. And I was especially struck[ ]when he was asked questions about his views on the death penalty. . . . [O]ne of the reasons why we feel like the District Attorney’s peremptory strike against him, that there are some racial undertones to it, because what he said was he didn’t want to be here. He didn’t want to be in this position. He would do it. And he made the statement that if anybody is familiar with personal statistics, they do show that there are more African Americans that receive the death penalty. But then he went on to say that it was weighing on him. He’s a minister. He said he has struggled with his decisions in this. Prefers that his life not be interrupted, but then he said the law is the law and what is decided. The punishment[] fits the crime. And he was confident. . . . . He made that statement. And he also said if the State is confident and can convince him beyond a reasonable doubt, whoever has to decide will make the right decision. He made it very clear that he . . . wasn’t predisposed to either penalty. That he could consider each one. That there wasn’t either penalty that he objected to. He didn’t want to see anyone die but that he could do it. He’s, in our opinion, the perfect juror. Not only is he rational and intelligent and thoughtful in his answers[,] . . . [b]ut he is what we would call the perfect juror for a death-qualified jury, and that is somebody who has made it very clear that he can consider both sides[.] . . . [W]ith everybody else that they have accepted, we can find the only reason that they would want to kick [R.D.] off is because he is an African American man and because he did happen to make that statement which is a true statement.
That the death penalty is more often than not applied to African Americans if you look to see who is on our death row.
....
I think obvious to all of us as we have received the past three jury pools that these pools are woefully lacking in diversity. I counted in this particular pool that we got today . . . [and] we had a total of 89 people . . . in this pool. And five of them were African American and then two of them were released for cause. In the other two pools, it has been similar to that, and that is . . . not a cross section of this community. I don’t know why that is. . . . I haven’t done statistical studies. I don’t know why that is that our jury pools in Buncombe County are so obviously lacking in diversity.
But I think given that, the fact that we have had the opportunity to speak to one African American juror and that gentleman is on our jury now, we haven’t had any opportunity to question any other African Americans until [R.D.] came in. And I think that is something to be considered as well. The fact that our client has[] . . a Sixth Amendment right to a fair trial. He has a right under . . . the Sixth and the Eighth Amendment and due process to be judged by . . . a cross section of the community. And although I think we . . . worked hard to do that, and we certainly have been able to obtain one African American juror who is appropriate for death-qualified jury, we have not had the opportunity to question anybody else until [R.D.]. And I think that also needs to be considered in whether or not the State should be allowed to strike what may well be the only other African American potential juror that we’ll have a chance to talk to in this case. I don’t . . . know that we have any more. I think we might have one somewhere. So we would ask that you take that into consideration as well.
THE COURT: Okay. Thank you. The issue for the Court to determine under Batson . . . is, first, whether or not the party making the Batson claim has made a sufficient showing that the other party exercised appropriate challenge on the basis of race or sex. I’m looking at State v. Smith, 351 [N.C.] 251 [2000]. The Court will take the following matters into consideration to determine whether or not the prima facie showing has been taken by the Defendant.
First, []my recollection is that . . . the State has exercised no peremptory challenges as to any previous African American juror. There was a previous African American juror that was excused by cause but that was with the consent of [] Defendant. . . . [T]he Court did not observe any racially motivated questions by the State. . . . [R.D.] did make the statement about the death penalty . . . [being] disproportionately given to African Americans. . . . . So it is a low standard. Lower than a preponderance as shown by our evidence for the initial threshold showing.
Based upon that statement, the Court is going to find a prima facie showing and then turn to the State for any neutral justification. So . . . I’ll recognize the State at this point.
[THE STATE]: Well, first of all, I would -- I think I would object to [the] finding of a prima facie case, your Honor. I don’t think there has been a showing of that. I particularly think the part about the jury pool, given that Buncombe County is only six or seven percent African American, the numbers that they cited regarding the jury pool would not be particularly out of order given Buncombe County’s overall population.
However, as far as a reason for the strike of [R.D.] is he did express reservations about the death penalty. He was very clear about that. He had thought about it and had reservations about it and its application. Just like the juror next to him, [M.K.]. She also expressed rather [] different reservations about the death penalty, but she expressed them as well. And that would be the State’s reason for striking him are the reservations he expressed about the death penalty, your Honor.
....
And . . . I don’t think the reasoning behind is reservations, your Honor, is relevant. The fac[t] is he expressed reservations about the death penalty.
THE COURT: All right. Thank you. [Defendant]?
[DEFENDANT]: Well, your Honor, I . . . was very careful to write down what [R.D.] was saying, because what I recall happening is he made it very clear when he said the punishment should fit the crime. That . . . he wasn’t predisposed to either sentence; and, in fact, I think what the record would show is that it was at that point that [the State] asked him the questions that you would normally ask of somebody that says, I don’t think I can consider the death penalty. And, in fact, I think those questions were an attempt to lead [R.D.] to some different conclusion other than that which he had already given in a very sincere and genuine way, and that is that it would be very difficult for him. The law is the law. Whatever is decided, punishment fits the crime. He’d listen [to] what the Defendant presents. He[] . . . hopes that the State is confident in their case. And whomever has to decide it will make the right decision. Then he clearly said, neither penalty do I object to. I don’t want to see anyone die he said. There’s nothing about that that suggests that he had any reservations about the death penalty. If that’s the reason that the State is giving.
THE COURT: All right. Thank you. . . . [F]or purposes of the Batson hearing, the Court would find that . . . under the low threshold, the Court found a prima facie showing. [The] State has now provided the justification indicating that he expressed reservations about the death penalty. I wrote down, quote, I have reservations. It is correct[,] as [Defendant] indicated[,] that he did indicate that he could consider both punishments. [The] Court does consider, again, as I indicated earlier[,] that the State has exercised no peremptory challenges as to any previous African American juror. The one . . . African American juror that was called to the panel and excused was excused by cause and that was consented to by the Defense and that was a situation in which she was related to some of the parties involved. So that was not a peremptory challenge. That was a challenge for cause.
Again, no racially-motivated questions were asked. [The] State has used at this point what would be . . . 16 previous peremptory challenges. . . . 15 of which . . . involved white jurors. And again, he did express reservations about the death penalty.
The Court would find based upon the evidence presented that there has not been a sufficient showing that the juror’s race was a significant or motivating factor in striking [R.D.]. And so the Batson challenge is respectfully denied.
No further Batson issues were raised during jury selection.
While trial was ongoing, one of the State’s witnesses was killed, and the Buncombe County District Attorney issued a press release identifying the victim by her involvement in the case. The release stated, in pertinent part, that the trial court had “issued appropriate orders to protect individuals who are involved with the trial to ensure proceedings may safely continue.” One of the jurors learned of the press release and was excused for cause. Defendant moved for a mistrial, and the trial court denied the motion.
Two days after the jury reached its verdict, Defendant became aware that another juror had learned of the murder of the State’s witness, and Defendant moved once again for a mistrial. The trial court conducted a hearing on the matter and ruled that, in light of the juror having communicated to the bailiff that learning of the news did not personally concern him, the juror’s failure to report his having obtained the information to the court had “not resulted in substantial or irreparable prejudice to
[Defendant’s] case[.]” The trial court also denied this motion for mistrial.
ANALYSIS
On appeal, Defendant argues (A) the trial court erred in overruling his Batson challenge; (B) the trial court abused its discretion in not granting his motions for mistrial; and (C) the trial court erred in not recusing from Defendant’s final motion for mistrial, allegedly because the resolution of the motion “hinged on [the trial judge’s] own testimony.”3 For the reasons stated below, we hold the trial court did not err.
A. Batson
First, Defendant argues the trial court erred in denying his Batson objection.
Under Batson v. Kentucky, a defendant may establish a prima facie case of purposeful discrimination in selection of the petit jury solely on evidence concerning the prosecutor’s exercise of peremptory challenges at the defendant’s trial. To establish such a case, the defendant first must show . . .