State v. Lane ( 2020 )

IN THE COURT OF APPEALS OF NORTH CAROLINA
No. COA19-877
Filed: 5 May 2020
Alleghany County, Nos. 14 CRS 50314-15
STATE OF NORTH CAROLINA
v.
EDWARD BICKERTON LANE, JR.
Appeal by defendant from orders entered 18 May 2018 and 11 January 2019
by Judge Michael D. Duncan in Alleghany County Superior Court. Heard in the
Court of Appeals 31 March 2020.
Attorney General Joshua H. Stein, by Assistant Attorney General Teresa M.
Postell, for the State.
Yoder Law PLLC, by Jason Christopher Yoder, for defendant.
ARROWOOD, Judge.
Edward Bickerton Lane, Jr. (“defendant”) appeals from orders denying his
motion for appropriate relief (“MAR”) and motion for discovery. Defendant contends
the trial court erred in concluding that a finding of no plain error precludes a finding
of ineffective assistance of counsel and that defendant’s MAR was frivolous. In the
alternative, defendant contends the trial court erred in denying his motion for
discovery and motion for post-conviction discovery where he was represented by
STATE V. LANE
Opinion of the Court
counsel in a post-conviction proceeding pursuant to N.C. Gen. Stat. § 15A-1415(f).
For the following reasons, we affirm the order of the trial court.
I. Background
On 14 December 2016, defendant was convicted of trafficking in opium or
heroin, resisting an officer, simple possession of marijuana, and possession of drug
paraphernalia. At trial, the evidence tended to show the following.
Deputy Colt Kilby (“Deputy Kilby”) testified that on 18 September 2014, he
observed defendant driving above the speed limit, crossing the center line, and
weaving within his lane. Deputy Kilby subsequently stopped defendant for the
observed traffic violations. As he approached defendant’s vehicle, Deputy Kilby
detected the smell of both raw and burnt marijuana. Deputy Kilby conducted a
search of defendant’s vehicle and retrieved several items, including: a smoking pipe
containing burnt marijuana residue; small clear plastic bags of marijuana; and
plastic straws that had been cut up into several short pieces, which are often used to
inhale ground-up prescription pills.
Deputy Kilby also retrieved an orange bottle of pills labeled “doxycycline” that
was prescribed to defendant. Upon opening the bottle, he noticed the pills did not
match the label. Another deputy found a single pill inside a small black container.
While Deputy Kilby was distracted, defendant tossed the pills in the orange bottle
about 10 to 15 feet away from the vehicle and into a nearby grassy area. Deputy
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Kilby recovered nineteen pills and the prescription bottle and arrested defendant.
The pills were later identified as hydrocodone.
Defendant testified that in June 2014, he broke his left hand while at work.
He received treatment for his injury at the hospital, in the course of which doctors
put his hand in a cast and initially prescribed him twenty “hydrocodone fives” to take
as needed for pain. Several days later, a specialist prescribed defendant an additional
forty-five hydrocodone 10mg, a stronger medication. Defendant took the pills as
needed and often kept the medication in his car. Defendant estimated that by
September 2014, he had approximately twenty hydrocodone 10mg pills left. He also
had a prescription filled in August for doxycycline, an antibiotic that treats
pneumonia. Defendant testified that he had the hydrocodone pills in the car the night
Deputy Kilby stopped him, and he kept a single hydrocodone pill in a separate
container that he took with him to work. He further testified that he tossed the pills
out while Deputy Kilby was searching his car because he “was irritated, very
irritated.”
A Walgreens pharmacist testified that on 13 June 2014, she filled a
prescription for twenty hydrocodone of 5mg strength. On 16 June 2014, she filled a
second prescription of forty-five hydrocodone 10mg. The pills were marked “Watson”
and stamped with the number “853.” The pharmacist further testified that if
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Opinion of the Court
defendant had taken the second prescription according to the doctor’s instructions, it
would have lasted seven days.
At the close of the State’s case and at the close of all the evidence, trial counsel
moved to dismiss the trafficking charge on the ground that defendant’s possession of
hydrocodone was pursuant to a valid prescription from a licensed physician. During
the jury charge conference, trial counsel for defendant did not request any jury
instruction on the definition of “unlawful” in the context of trafficking by possession,
or an instruction that possession pursuant to a valid prescription was a defense to
trafficking by possession. However, on the charge of unlawfully and knowingly
possessing with intent to use drug paraphernalia, the jury was instructed that opium
is a controlled substance that is unlawful to possess without a valid prescription from
a licensed physician. Defendant was found guilty of all charges and given a
consolidated sentence of 70 to 93 months’ imprisonment, in addition to a mandatory
fine of $50,000.00. Defendant appealed the matter to this Court.
On 14 June 2017, defendant filed an MAR contemporaneously with his
appellant brief. On 19 December 2017, this Court held the trial court did not commit
plain error because defendant could not establish he was prejudiced by the trial
court’s failure to instruct the jury on the defense of possession pursuant to a valid
prescription. State v. Lane, Nos. 14 CRS 50314-15, 2017 WL 6460045, *2 (N.C. App.
Dec. 19, 2017). In addition, we dismissed defendant’s MAR without prejudice to refile
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Opinion of the Court
in the trial court. On 2 February 2018, the trial court appointed counsel to represent
defendant on a potential MAR and gave defendant 120 days to file an MAR or file a
written notice of intent not to file. On 14 March 2018, defendant filed a motion for
discovery pursuant to N.C. Gen. Stat. § 15A-1415(f) and a proposed order. The trial
court denied the motion on the grounds that there was no current post-conviction
proceeding as defendant had not yet filed an MAR.
On 29 May 2018, defendant filed an MAR alleging the same ineffective
assistance of counsel claim this Court previously dismissed without prejudice.
Specifically, defendant argued he was denied his constitutional right to effective
representation when his trial counsel failed to request a jury instruction that a valid
prescription was a defense to trafficking in opium by possession. In the MAR,
defendant also renewed his motion for discovery and requested an opportunity to
amend his motion after receiving post-conviction discovery. On 11 January 2019, the
trial court issued an order denying defendant’s MAR. The trial court concluded that
because this Court found defendant was not prejudiced under the plain error
standard, defendant’s ineffective assistance of counsel claim must also fail. On
7 June 2019, defendant filed a petition for writ of certiorari asking this Court to
review the trial court’s order denying defendant’s MAR. Defendant also later filed a
motion for initial en banc hearing. We granted certiorari, but denied the motion for
an en banc hearing.
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II. Discussion
On appeal, defendant argues that the trial court erred in concluding that a
finding of no plain error precludes a finding of ineffective assistance of counsel and
that his MAR was frivolous. In the alternative, defendant contends the trial court
erred in denying his motion for discovery where he was represented by counsel in a
post-conviction proceeding pursuant to N.C. Gen. Stat. § 15A-1415(f).
“Our review of a trial court’s ruling on a defendant’s MAR is ‘whether the
findings of fact are supported by evidence, whether the findings of fact support the
conclusions of law, and whether the conclusions of law support the order entered by
the trial court.’ ” State v. Peterson, 228 N.C. App. 339, 343, 744 S.E.2d 153, 157 (2013)
(quoting State v. Stevens, 305 N.C. 712, 720, 291 S.E.2d 585, 591 (1982)). “ ‘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, 177 N.C. App. 140, 142, 628 S.E.2d
34, 35 (2006) (quoting State v. Wilkins, 131 N.C. App. 220, 223, 506 S.E.2d 274, 276
(1998)).
1. Ineffective Assistance of Counsel
Defendant first argues the trial court erred in concluding that a finding of no
plain error requires a finding of no ineffective assistance of counsel. In support of his
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Opinion of the Court
argument, defendant points to differences between the plain error standard and the
ineffective assistance of counsel test set forth in Strickland v. Washington, 466 U.S.
668, 80 L. Ed. 2d 674 (1984). We agree with defendant that the plain error standard
and ineffective assistance of counsel test are not so similar that a finding of no plain
error always precludes a finding of ineffective assistance of counsel.
The Sixth Amendment to the Constitution guarantees criminal defendants the
right to counsel, which courts have recognized necessarily includes the right to
effective assistance or representation by counsel. Strickland, 466 U.S. 668, 686, 80
L. Ed. 2d at 692 (citing McMann v. Richardson, 397 U.S. 759, 771, n. 14, 25 L. Ed. 2d
763, 773, n. 14 (1970)). Thus, ineffective assistance of counsel violates that right. In
Strickland, the United States Supreme Court established the two-part test for
ineffective assistance of counsel subsequently adopted by our Supreme Court years
ago in State v. Braswell, 312 N.C. 553, 324 S.E.2d 241 (1985). Pursuant to Strickland,
when bringing an ineffective assistance of counsel claim, a defendant must do the
following:
First, the defendant must show that counsel’s performance
was deficient. This requires showing that counsel made
error so serious that counsel was not functioning as the
“counsel” guaranteed the defendant by the Sixth
Amendment. Second, the defendant must show that the
deficient performance prejudiced the defense. This
requires showing that counsel’s error were [sic] so serious
as to deprive the defendant of a fair trial, a trial whose
result is reliable.
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Opinion of the Court
Braswell, 312 N.C. at 562, 324 S.E.2d at 248 (emphasis in original) (quoting
Strickland, 466 U.S. at 687, 80 L. Ed.2d at 693). The Supreme Court, further
elaborating on the prejudice prong, explained that “[t]he defendant must show that
there is a reasonable probability that, but for counsel’s unprofessional errors, the
result of the proceeding would have been different.” Strickland, 466 U.S. at 694, 80
L. Ed.2d at 698.
In comparison, under North Carolina’s plain error standard:
For error to constitute plain error, a defendant must
demonstrate that a fundamental error occurred at trial. To
show that an error was fundamental, a defendant must
establish prejudice—that, after examination of the entire
record, the error had a probable impact on the jury’s
finding that the defendant was guilty. Moreover, because
plain error is to be applied cautiously and only in the
exceptional case, the error will often be one that seriously
affects the fairness, integrity or public reputation of
judicial proceedings.
State v. Lawrence, 365 N.C. 506, 518, 723 S.E.2d 326, 334 (2012) (internal citations,
quotation marks, and brackets omitted). Thus, plain error should only be found
where “the claimed error is a ‘fundamental error, something so basic, so prejudicial,
so lacking in its elements that justice cannot have been done,’ or ‘where [the error] is
grave error which amounts to a denial of a fundamental right of the accused,’ or the
error has ‘resulted in a miscarriage of justice or in the denial to appellant of a fair
trial.’ ” Id. at 516-17, 723 S.E.2d at 333 (emphasis in original) (quoting State v. Odom,
307 N.C. 655, 660, 300 S.E.2d 375, 378 (1983)).
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Opinion of the Court
Notably, both the ineffective assistance of counsel test and the plain error
standard require a showing of prejudice. Under the former, a defendant must show
a “reasonable probability” the result of the proceeding would have been different,
while under the latter, they must show the error had a “probable impact” on the jury’s
finding of guilt. Given their similar language, the two prejudice inquiries initially
appear to be the same. This Court has thus previously held that a finding of no
prejudice under one also means the prejudice requirement of the other cannot be met
as well, particularly in the context of jury instructions. See State v. Land, 223 N.C.
App. 305, 316, 733 S.E.2d 588, 595 (2012), aff’d, 366 N.C. 550, 742 S.E.2d 803 (2013)
(“Since the trial court did not commit plain error when failing to give the [jury]
instructions at issue, defendant cannot establish the necessary prejudice required to
show ineffective assistance of counsel for failure to request the instructions.”); State
v. Seagroves, 78 N.C. App. 49, 54, 336 S.E.2d 684, 688 (1985) (“There being no ‘plain
error’ in the jury instructions, defendant’s assertion of ineffective assistance of
counsel with respect thereto must also fail.”).
However, a review of North Carolina appellate decisions on the matter reveals
that there has been no thorough examination and comparison of the plain error
standard and ineffective assistance of counsel test by this Court or our Supreme
Court. We thus take the opportunity to do so here.
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Opinion of the Court
We first consider the differences in language used to articulate the two
prejudice inquiries. Prejudice under plain error requires that the trial court’s error
have had a “probable impact” on the jury’s finding of guilt. Odom, 307 N.C. at 660,
300 S.E.2d at 378. The plain error rule thus requires a defendant to show “[i]n other
words, . . . that the error in question ‘tilted the scales’ and caused the jury to reach
its verdict convicting the defendant.” State v. Walker, 316 N.C. 33, 39, 340 S.E.2d 80,
83 (1986) (citing State v. Black, 308 N.C. 736, 741, 303 S.E.2d 804, 806-807 (1983)).
In State v. Juarez, our Supreme Court emphasized that “[f]or plain error to be found,
it must be probable, not just possible, that absent the instructional error the jury
would have returned a different verdict.” 369 N.C. 351, 358, 794 S.E.2d 293, 300
(2016) (citing Lawrence, 365 N.C. at 518, 723 S.E.2d at 334). In Lawrence, that court
illustrated the defendant’s high burden of proof under plain error, explaining that
“[i]n light of the overwhelming and uncontroverted evidence, defendant cannot show
that, absent the error, the jury probably would have returned a different verdict.
Thus, he cannot show the prejudicial effect necessary to establish that the error was
a fundamental error.” Lawrence, 365 N.C. at 519, 723 S.E.2d at 335.
In contrast, prejudice under the ineffective assistance of counsel test requires
a showing of “reasonable probability” that, “but for counsel’s unprofessional errors,
the result of the proceeding would have been different.” Strickland, 466 U.S. at 694,
80 L. Ed.2d at 698. “A reasonable probability is a probability sufficient to undermine
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Opinion of the Court
confidence in the outcome.” Id. Under the reasonable probability standard, “a
defendant need not show that counsel’s deficient conduct more likely than not altered
the outcome in the case.” Id. at 693, 80 L. Ed.2d at 697. However, the defendant does
need to demonstrate that “at least one juror would have struck a different balance.”
Wiggins v. Smith, 539 U.S. 510, 537, 156 L. Ed. 2d 471, 495 (2003).
While under the reasonable probability standard “[t]he likelihood of a different
result must be substantial, not just conceivable[,]” Harrington v. Richter, 562 U.S. 86,
112, 178 L. Ed. 2d 624, 647 (2011), it is something less than that required under plain
error. In State v. Sanderson, our Supreme Court noted that we adopted the
ineffective assistance of counsel test in Strickland as our own standard because it
mirrored the language of our statutorily enacted test for prejudice under N.C. Gen.
Stat. § 15A-1443(a). 346 N.C. 669, 684, 488 S.E.2d 133, 141 (1997). Pursuant to N.C.
Gen. Stat. § 15A-1443(a), criminal defendants alleging prejudice due to errors
preserved for review on appeal must demonstrate “a reasonable possibility that, had
the error in question not been committed, a different result would have been reached
at the trial.” N.C. Gen. Stat. § 15A-1443(a) (2019). Importantly, “the test for ‘plain
error’ places a much heavier burden upon the defendant than that imposed by [N.C.
Gen. Stat.] § 15A-1443 upon defendants who have preserved their rights by timely
objection.” Walker, 316 N.C. at 39, 340 S.E.2d at 83. It follows, then, that the
prejudice prong of the ineffective assistance of counsel test, which is almost identical
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Opinion of the Court
to the prejudice inquiry under N.C. Gen. Stat. § 15A-1443(a), also imposes a lesser
burden than that imposed by plain error.
This line of reasoning is further supported by the Supreme Court’s decision in
Williams v. Taylor, 529 U.S. 362, 146 L. Ed. 2d 389 (2000). In discussing the ways in
which a state-court decision would be contrary to clearly established precedent in
Strickland, the Williams court noted that:
If a state court were to reject a prisoner’s claim of
ineffective assistance of counsel on the grounds that the
prisoner had not established by a preponderance of the
evidence that the result of his criminal proceeding would
have been different, that decision would be “diametrically
different,” “opposite in character or nature,” and “mutually
opposed” to our clearly established precedent because we
held in Strickland that the prisoner need only demonstrate
a “reasonable probability that . . . the result of the
proceeding would have been different.
Williams, 529 U.S. at 405-406, 146 L. Ed.2d at 425-26 (citing Strickland, 466 U.S. at
694, 80 L. Ed.2d at 698). Thus, the “reasonable probability” standard of the
ineffective assistance of counsel test can be satisfied by something less than the 51%
certainty associated with the preponderance of the evidence standard. In contrast,
the “probable impact” standard under plain error seems to require at least that much.
See Walker, 316 N.C. at 39, 340 S.E.2d at 83 (holding that plain error requires that
“the error in question ‘tilted the scales’ and caused the jury to reach its verdict
convicting the defendant.”).
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Opinion of the Court
Moreover, other differences between the plain error standard and ineffective
assistance of counsel test compel us to conclude that application of the two will not
always necessarily lend the same results. On this point, we find the Fourth Circuit’s
reasoning in United States v. Carthorne, 878 F.3d 458 (4th Cir. 2017) persuasive.
There, the Carthorne court also considered the issue of “whether application of the
plain error standard and the ineffective assistance of counsel standard ordinarily
requires equivalent outcomes.” Id. at 464. Similar to defendant here, the defendant
in Carthorne argued that the lower court erred “in concluding that the absence of
plain error on direct appeal constituted a basis for denial of relief on collateral review
for ineffective assistance of counsel.” Id. at 463.
As the Carthorne court noted, the plain error standard and ineffective
assistance of counsel test “serve different, yet complementary, purposes,” with the
former concerned with trial court errors and the latter with errors by counsel. Id. at
465. Though both require a showing of prejudice, they differ in several important
respects.
The ineffective assistance inquiry focuses on a factor that
is not considered in a plain error analysis, namely, the
objective reasonableness of counsel’s performance. In
addition, plain error review requires that there be settled
precedent before a defendant may be granted relief, while
the ineffective assistance standard may require that
counsel raise material issues even in the absence of
decisive precedent.
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Opinion of the Court
There is also a temporal distinction in the analysis
performed under the two types of review. Claims of
ineffective assistance are evaluated in light of the available
authority at the time of counsel’s allegedly deficient
performance. But the plain error inquiry applies
precedential authority existing at the time of appellate
review. These differences, considered collectively,
demonstrate why claims of ineffective assistance of counsel
are not limited by an appellate court’s analysis whether a
trial court plainly erred.
Id. at 465-66 (internal citations omitted). In addition, because ineffective assistance
of counsel claims focus on the reasonableness of counsel’s performance, courts can
consider the cumulative effect of alleged errors by counsel. See Williams, 529 U.S. at
395-99, 146 L. Ed.2d at 419-21 (holding that the lower court correctly considered the
cumulative effect of failure to raise mitigation evidence in ruling upon an ineffective
assistance of counsel claim); State v. Thompson, 359 N.C. 77, 121-22, 604 S.E.2d 850,
880-81 (2004) (recognizing cumulative argument but dismissing ineffective
assistance of counsel claim on other grounds). In contrast, prejudice under plain error
is not reviewed on a cumulative basis. State v. Holbrook, 137 N.C. App. 766, 769, 529
S.E.2d 510, 512 (2000). Moreover, error that was invited by the defendant is not
reviewable under plain error, State v. Barber, 147 N.C. App. 69, 74, 554 S.E.2d 413,
416 (2001), but may still form the basis of a successful ineffective assistance of counsel
claim if counsel had no reasonable strategy for making the error.
The different purposes and concerns of the two standards thus play a
significant role in shaping the outcome of their application. As long as counsel’s
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Opinion of the Court
deficient performance created a fundamentally unfair trial whose results were
unreliable, an ineffective assistance of counsel claim will be successful despite the
absence of plain error. See Kimmelman v. Morrison, 477 U.S. 365, 374, 91 L. Ed. 2d
305, 318-19 (1986) (“The essence of an ineffective-assistance claim is that counsel’s
unprofessional errors so upset the adversarial balance between defense and
prosecution that the trial was rendered unfair and the verdict rendered suspect.”).
Accordingly, there will be instances in which the trial court committed no plain error
but counsel rendered ineffective assistance, and vice versa. See United States v.
Span, 75 F.3d 1383, 1389-90 (9th Cir. 1996) (holding that counsel’s failure to raise an
objection to jury instructions was ineffective assistance, even though district court’s
instructions were not plainly erroneous). In addition, as discussed supra, the
different thresholds of prejudice (i.e. “reasonable probability” versus “probable
impact”) also mean that a claim that fails the plain error test may still be a successful
ineffective assistance of counsel claim. Thus, while an analysis of plain error may
inform an analysis of prejudice under the ineffective assistance of counsel test, it
should not be determinative.
Having determined that sufficient differences exist between the plain error
and ineffective assistance of counsel standards such that separate and independent
inquiries are required, we now address whether the trial court properly dismissed the
claims raised in defendant’s MAR.
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Opinion of the Court
In the present case, upon defendant’s appeal of his criminal convictions to this
Court, we previously held the trial court did not commit plain error when it failed to
instruct the jury on the defense of possession pursuant to a valid prescription. Lane,
Nos. 14 CRS 50314-15, 2017 WL 6460045, at *2. In reaching our holding, we noted
that defendant could not satisfy the prejudice requirement under the plain error
standard because, in light of the ample evidence from which the jury could deduce
defendant did not possess the hydrocodone pills lawfully, it was very likely the jury
would have reached the same conclusion even absent the trial court’s alleged error.
Id. Because we found no plain error, the trial court subsequently denied defendant’s
MAR alleging ineffective assistance of counsel, reasoning that it was compelled by
this Court’s precedent to deny defendant’s ineffective assistance of counsel claim
where there was no plain error.
In the alternative, the trial court, adopting our reasoning in Lane, concluded
that, based on the evidence presented at trial, defendant failed to establish a
reasonable probability that the result of the proceeding would have been different
had trial counsel requested the valid prescription jury instruction. Because as
analyzed above, a finding of no plain error does not preclude a finding of ineffective
assistance of counsel, the trial court erred in dismissing defendant’s claim on that
basis. However, to the extent the trial court conducted a Strickland analysis of
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Opinion of the Court
defendant’s ineffective assistance of counsel claim in its alternative holding, we
affirm on that ground.
As discussed supra, under Strickland, we apply a two-part test to determine
whether a defendant was denied effective assistance of counsel. First, the defendant
must show his counsel’s performance was deficient, such that “counsel made errors
so serious that counsel was not functioning as the ‘counsel’ guaranteed the defendant
by the Sixth Amendment.” Strickland, 466 U.S. at 687, 80 L. Ed.2d at 693. Second,
the defendant must show counsel’s alleged errors prejudiced him such that “there is
a reasonable probability that, but for counsel’s unprofessional errors, the result of the
proceeding would have been different.” Id. at 694, 80 L. Ed. 2d at 698.
In the present case, defendant was charged and convicted of trafficking opium
by possession. Lawful possession is a defense to Section 90-95 of the Controlled
Substances Act, which “makes the possession, transportation[,] or delivery of a
controlled substance a crime.” State v. Beam, 201 N.C. App. 643, 649, 688 S.E.2d 40,
44 (2010). Pursuant to N.C. Gen. Stat. § 90-101(c)(3), an individual lawfully possesses
a controlled substance if they are “[a]n ultimate user or a person in possession of any
controlled substance pursuant to a lawful order of a practitioner.” N.C. Gen. Stat. §
90-101(c)(3) (2019). An “ultimate user” is “a person who lawfully possesses a
controlled substance for his own use, or for the use of a member of his household.”
N.C. Gen. Stat. § 90-87(27) (2019).
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Defendant’s entire defense to trafficking opium by possession rested on his
assertion he possessed the hydrocodone pills pursuant to a valid prescription. At
trial, there was conflicting evidence on that issue. Though defendant at one point
had a valid prescription for 45 pills of 10mg hydrocodone, that prescription was only
supposed to last seven days and was filled three months prior to defendant’s
encounter with law enforcement. During the search of defendant’s car, twenty
hydrocodone pills were found in a prescription bottle labeled “doxycycline,” and
defendant attempted to get rid of the pills while the deputies searching his car were
distracted. Deputies also found several cut up straws commonly used to inhale
crushed pills. Despite evidence supporting a theory of illegal possession, however,
there was also some evidence that defendant lawfully possessed the pills as well.
While testimony by defendant’s pharmacist indicated the pills prescribed to
defendant would only last seven days if taken as prescribed, according to defendant,
he only took them “as needed for pain.” In addition, the pills recovered by law
enforcement were marked “Watson 853,” similar to the pills prescribed to defendant.
At the close of all the evidence, trial counsel for defense moved to dismiss the
trafficking charge on the ground that defendant’s possession of hydrocodone was
pursuant to a valid prescription. However, trial counsel failed to request a jury
instruction on the defense defendant lawfully possessed the hydrocodone pills. After
the jury charge, trial counsel also failed to object to any of the instructions given.
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Opinion of the Court
“Failure to instruct upon all substantive or material features of the crime charged is
error.” State v. Bogle, 324 N.C. 190, 195, 376 S.E.2d 745, 748 (1989) (citing State v.
Loftin, 322 N.C. 375, 368 S.E.2d 613 (1988)). “All defenses arising from the evidence
presented during the trial constitute substantive features of a case and therefore
warrant the trial court’s instruction thereon.” Loftin, 322 N.C. at 381, 368 S.E.2d at
617 (citations omitted). Because defendant presented evidence he lawfully possessed
the hydrocodone pills, he was entitled to a jury instruction on that defense. Though
trial counsel argued throughout the trial that defendant possessed the pills pursuant
to a valid prescription, “ ‘[o]n matters of law, arguments of counsel do not effectively
substitute for statements by the court.’ ” State v. Locklear, 363 N.C. 438, 466, 681
S.E.2d 293, 313 (2009) (quoting State v. Spruill, 338 N.C. 612, 654, 452 S.E.2d 279,
302 (1994)).
Whether trial counsel’s performance was deficient because she failed to request
a jury instruction on the lawful possession defense depends on whether her conduct
“fell below an objective standard of reasonableness.” Strickland, 466 U.S. at 688, 80
L. Ed.2d at 693. There is “a strong presumption that counsel’s conduct falls within
the wide range of reasonable professional assistance” and to overcome this
presumption defendant must show that the challenged action cannot be considered
sound trial strategy. Id. at 689, 80 L. Ed.2d at 694-95. As the trial court noted, the
burden of proof for proving an exemption to the Controlled Substances Act, including
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the “ultimate user” exemption, lies with the defendant. Thus, had trial counsel
requested the valid prescription instruction, she could have risked highlighting this
burden to the jury and possibly negating the value of the evidence that defendant
lawfully possessed the pills.
Even assuming counsel’s performance was deficient, however, “[t]he fact that
counsel made an error, even an unreasonable error, does not warrant reversal of a
conviction unless there is a reasonable probability that, but for counsel’s errors, there
would have been a different result in the proceedings.” Braswell, 312 N.C. at 563,
324 S.E.2d at 248 (citing Strickland, 466 U.S. at 694, 80 L. Ed.2d at 698).
Importantly, “Strickland asks whether it is ‘reasonably likely’ the result would have
been different[,]” and “[t]he likelihood of a different result must be substantial, not
just conceivable.” Harrington, 562 U.S. at 111-12, 178 L. Ed.2d. at 647 (citing
Strickland, 466 U.S. at 693, 696, 80 L. Ed. 2d at 697, 699). Though defendant argues
it is possible that “at least one juror would have struck a different balance” if
presented with the valid prescription defense, we think it more probable that the
result of the proceeding would have been the same.
The jury was presented with evidence defendant possessed the pills pursuant
to a valid prescription and also heard trial counsel argue defendant’s lawful
possession of the pills several times. In addition, on the charge of unlawfully and
knowingly possessing with intent to use drug paraphernalia, the jury was instructed
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that opium is a controlled substance that is unlawful to possess without a valid
prescription from a licensed physician. Under these facts, trial counsel’s failure to
request that the jury be instructed on the definition of “unlawful” and on the defense
of possession pursuant to a valid prescription does not “undermine confidence” in the
result and create a reasonable probability that the result of the proceeding would
have been different. We therefore affirm the order of the trial court.
2. MAR not Frivolous
Defendant next argues the trial court erred in finding that his MAR was
frivolous and without merit pursuant to N.C. Gen. Stat. § 15A-1420 and thus not
entitled to an evidentiary hearing. When considering a motion for appropriate relief,
“[t]he judge assigned to the motion shall conduct an initial review of the motion. If
the judge determines that all of the claims alleged in the motion are frivolous, the
judge shall deny the motion.” N.C. Gen. Stat. § 15A-1420(b1)(3) (2019). Furthermore
“[a]ny party is entitled to a hearing on questions of law or fact arising from the motion
and any supporting or opposing information presented unless the court determines
that the motion is without merit.” N.C. Gen. Stat. § 15A-1420(c)(1). The term
“frivolous” is not defined by statute. However, our case law has defined frivolous
claims as those claims that have no merit. See State v. Kinch, 314 N.C. 99, 102, 331
S.E.2d 665, 666 (1985) (holding that a finding of no merit in assignments of error “is
tantamount to a conclusion that the appeal is wholly frivolous.”). Non-meritorious or
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STATE V. LANE
Opinion of the Court
frivolous claims are those that are “not well grounded in fact and warranted by
existing law or a good faith argument for the extension, modification, or reversal of
existing law.” Long v. Long, 119 N.C. App. 500, 507, 459 S.E.2d 58, 63 (1995) (citing
N.C.R. App. P. 34(a)(1)).
Here, the trial court denied defendant’s MAR on the basis his ineffective
assistance of counsel claim could not succeed given this Court already found no plain
error occurred at trial. Relying on this Court’s prior holdings, which did not address
the differences between plain error and the ineffective assistance of counsel test, the
trial court found that existing law did not support defendant’s argument. However,
to the extent that defendant argued in good faith for a modification or reversal of
existing law, his MAR was not frivolous. Because defendant raised arguments not
yet addressed by North Carolina appellate courts that support a modification or
reversal of existing law, the trial court erred in finding his MAR to be frivolous and
without merit. Nevertheless, because “[t]he court must determine the motion without
an evidentiary hearing when the motion and supporting and opposing information
present only questions of law[,]” the trial court properly concluded defendant was not
entitled to an evidentiary hearing. N.C. Gen. Stat. § 15A-1420(c)(3).
Defendant lastly contends that, in the alternative, the trial court erred in
denying his motion for discovery and renewed motion for discovery in contravention
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Opinion of the Court
of N.C. Gen. Stat. § 15A-1415(f). Because we hold defendant did not receive
ineffective assistance of counsel, we decline to address his argument.
III. Conclusion
For the foregoing reasons, we affirm the order of the trial court.
AFFIRMED.
Judges BRYANT and DIETZ concur.
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