State v. Rankin
State v. Rankin
Opinion of the Court
**885In this case we consider whether the Court of Appeals erred in vacating defendant's conviction under N.C.G.S. § 14-399(a) for felony littering upon concluding that the indictment failed to allege an essential element of the statutory crime and was fatally defective, thus depriving the trial court of jurisdiction over the accused. Because we conclude that the indictment was facially invalid, we affirm the decision of the Court of Appeals.
**886On 27 April 2014, defendant Angela Rankin located a large metal tank containing fuel oil near a residential driveway on North Elam Avenue in Greensboro, North Carolina. Defendant wanted to take the tank to sell it as scrap metal. When she tried to lift the tank into her vehicle, she discovered that the oil inside made it too heavy to maneuver. So that the tank "wouldn't be as heavy," defendant drained the fuel oil onto the ground and then left the scene with the metal tank. The tank was reported stolen to the City of Greensboro Police Department, and an investigation revealed that defendant had committed the theft.
On 21 July 2014, defendant was indicted for felony littering of hazardous waste, misdemeanor larceny, and misdemeanor conspiracy to commit larceny. On 5 July 2016, a jury trial was held in Superior Court, Guilford County. Defendant moved to dismiss all charges at the close of the evidence, and the trial court dismissed the conspiracy charge. The jury found defendant guilty of felony littering of hazardous waste and not guilty of misdemeanor larceny. The trial court sentenced defendant to five to fifteen months of imprisonment, suspended the sentence, and placed her on supervised probation for eighteen months.
Defendant appealed her conviction to the Court of Appeals, arguing that the trial court lacked jurisdiction because the indictment failed to allege an essential element of the crime of felony littering of hazardous waste. The Court of Appeals majority agreed and vacated the conviction. State v. Rankin , -- N.C. App. ----, ----,
"[A] valid bill of indictment is essential to the jurisdiction of the trial court to try an accused for a felony." State v. Campbell ,
To be sufficient, an indictment must include, inter alia , "[a] plain and concise factual statement" asserting "facts supporting every element of a criminal offense and the defendant's commission thereof." N.C.G.S. § 15A-924(a)(5) (2017). If the indictment fails to state an essential **887element of the offense, any resulting conviction must be vacated. See, e.g. , Campbell ,
But an indictment will be quashed "when an indispensable allegation of the charge is omitted." State v. Russell ,
Likewise, when an indictment charges a defendant with a statutory offense, the document must allege all the essential elements of the offense.
The indictment in this case charged that defendant:
unlawfully, willfully and feloniously did intentionally and recklessly spill and dispose of litter on property not owned by the defendant, the property owned and controlled by the City of Greensboro and not into a litter receptacle as defined in General Statute 14-399(A)(2). The litter discarded was hazardous waste.
The statute at issue here states:
(a) No person, including any firm, organization, private corporation, or governing body, agents or employees of any municipal corporation shall intentionally or recklessly throw, scatter, spill or place or intentionally or recklessly cause to be blown, scattered, spilled, thrown or placed or otherwise dispose of any litter upon any public property or private property not owned by the person within this State or in the waters of this State including any public highway, public park, lake, river, ocean, beach, campground, forestland, recreational area, trailer park, highway, road, street or alley except:
(1) When the property is designated by the State or political subdivision thereof for the disposal of garbage and refuse, and the person is authorized to use the property for this purpose; or
(2) Into a litter receptacle in a manner that the litter will be prevented from being carried away or deposited by the *792elements upon any part of the private or public property or waters.
N.C.G.S § 14-399(a) (2017 & Supp. 2018). The indictment indisputably failed to allege facts satisfying subdivision (a)(1). The ultimate question before us is whether such facts are required; that is, whether subdivision (a)(1) sets out an affirmative defense or an essential element of felony littering. The former need not be alleged in a valid indictment, while the latter must be. Because the language of the statute does not explicitly resolve this issue, we turn to the well-established tenets of statutory interpretation.
**889The goal of statutory interpretation is to determine the meaning that the legislature intended upon the statute's enactment. See State v. Beck ,
When the General Assembly uses an "unambiguous word without providing an explicit statutory definition, that word will be accorded its plain meaning." Fidelity Bank v. N.C. Dep't of Revenue ,
An indictment need not include affirmative defenses to statutory crimes in order to be sufficient. See Sturdivant ,
Whether an exception to a statutorily defined crime is an essential element of that crime or an affirmative defense to it depends on whether the statement of the offense is complete and definite without inclusion of the language at issue. See State v. Dobbins ,
In the dissent's view, this Court should categorize subdivision (a)(1) as either an exception or qualification without regard to whether (a)(1) is a part of the complete legal definition of littering. This is because, according to the dissent, N.C.G.S. § 14-399(a) "creates criminal liability to redress the societal ill of littering." Using this standard, the dissent concludes that subsection (a) of N.C.G.S. § 14-399 contains a complete and definite description of littering, and the only matter left to decide is what kind of proviso subdivision (a)(1) is as these are described in State v. Norman ,
This view is problematic for two reasons. First, it contradicts well-established binding precedent from this Court holding that the complete and definite description of a crime is one in which each essential element necessary to constitute that crime is included. Johnson ,
**891criminal pleading must contain ... facts supporting every element of a criminal offense."). Furthermore, framing the issue in this narrow manner-whether subdivision (a)(1) is an exception or qualification-impermissibly limits the scope of the statutory interpretation and construction in which this Court was prompted to engage by the Court of Appeals' dissent: whether (a)(1) is an essential element or an exception to the crime of littering.
Even if we considered subdivision (a)(1) to be a proviso, that would not end our inquiry into whether it is an essential element of littering. In State v. Connor we observed that a proviso can be so "mixed up with the description of the offense" that it comprises an essential part of the statement of the crime.
Additionally, in Connor , immediately after stating the test for when a proviso may be omitted from an indictment, this Court emphasized:
The test here suggested, however, is not universally sufficient, and a careful examination of the principle will disclose that the rule and its application depends not so much on the placing of the qualifying words, or whether they are preceded by the terms, "provided" or "except;" but rather on the nature, meaning and purpose of the words themselves.
And if these words, though in the form of a proviso or an exception, are in fact, and by correct interpretation, but a part of the definition and description of the offense, *794they must be negatived in the bill of indictment. **892In such case, this is necessary, in order to make a complete statement of the crime for which defendant is prosecuted.
The Court of Appeals dissent proffers that the language of the statute preceding the word "except" is the complete legal definition of the crime because that language essentially encompasses the literal meaning of the phrase "to litter"-"to scatter about carelessly"-and criminalizes that act while withdrawing persons authorized by subdivision (a)(1) from criminal liability for littering. Rankin , -- N.C. App. at ----,
**893Moreover, N.C.G.S. § 14-399(a) must be read to incorporate subdivision (a)(1) as part of the legal definition of the crime to prevent absurd results. As noted by the Court of Appeals majority, "a trash collector disposing of waste in a city dump could be charged with littering and then have the burden of showing that his actions fell within an 'exception' to the littering statute." Rankin , --- N.C. App. at ----,
The dissent opines that the absurdity doctrine is erroneously applied in our analysis here because it "applies to the act of interpreting a statute-to determining the statute's meaning" whereas this dispute **894"is about how to classify the proviso in [subdivision] (a)(1), not how to interpret it." However, as previously discussed, classifying the language in subdivision (a)(1) as an essential element or an exception to the crime of littering is a matter of statutory interpretation. The role of the absurdity doctrine in this process is to provide a means to test the implications of a proposed interpretation of the statute against legislative intent. We must consider the possible results of our interpretation to determine whether that interpretation aligns with the intent of the legislature as evidenced by the history, context, goals, and spirit of the law.
We applied the absurdity doctrine thusly in State v. Jones and concluded that a strict construction of the statute would have allowed "individuals to escape criminal liability [for identity theft] simply by stating or signing a name that differ[ed] from the cardholder's name," a result we determined could not have been within the intent of the legislature when adopting the statute criminalizing identity fraud.
We conclude that subdivision (a)(1), which requires that the accused be an unauthorized person depositing refuse on land not designated by the State for such use, is an essential element of the crime of felony littering, however, we acknowledge the legislature's power to determine otherwise.
A significant portion of the dissenting opinion is devoted to the idea that the Criminal Procedure Act that took effect in July 1975 abrogated the common law rule that a defective indictment deprives a criminal court of jurisdiction. Not only is discussion of this issue outside the scope of review applicable to this case, but statutory interpretation reveals that the legislature intentionally left the common law remedy for invalid indictments intact when it enacted comprehensive revisions to the Criminal Procedure Act.
This case is before this Court based on a dissent in the Court of Appeals. See N.C.G.S. § 7A-30(2) (2017). Thus, the scope of review is "limited to those questions on which there was division in the intermediate appellate court," C.C. Walker Grading & Hauling, Inc. v. S.R.F. Mgmt. Corp. ,
In the absence of a contrary decision by the General Assembly, the common law remains in effect in North Carolina. N.C.G.S. § 4-1. Whether a particular statute supplants a common law remedy is a question of statutory interpretation. See, e.g. , Quick v. United Benefit Life Ins. Co. ,
In determining legislative intent, we must consider the history of the statute and the reason for its enactment. See Black v. Littlejohn ,
The dissent explores the history and context behind the enactment of the Criminal Procedure Act, including an in-depth report prepared for the legislature by a special committee proceeding adoption of the Act. Legislative Program and Report to the General Assembly of North Carolina by the Criminal Code Commission (1973). The documented history of the purpose and function of indictments along with the legislature's efforts to assess the impact of the previous enactment of the criminal code provide ample evidence that the legislature was well aware of the common law remedy for invalid indictments. Still, there are no provisions that contradict or abrogate this remedy. The absence of such provisions demonstrates that the General Assembly did not intend to change the common law discussed in the dissent.
The provisions related to indictments in the Act, codified in the North Carolina General Statutes at chapter 15A, evidence the legislature's **897intent to preserve the common law rule that an indictment is required to invoke the court's jurisdiction in felony cases. Article 32 mandates that for felony charges "prosecutions originating in the superior court must be upon pleadings. " N.C.G.S. § 15A-642(a) (emphasis added), and that the appropriate pleading for a felony charge is an indictment. N.C.G.S. § 15A-923(a). Further, the remedy for a facially invalid indictment is thus: "Upon motion of a defendant under G.S. 15A-952(b) the court must dismiss the charges contained in a pleading which fails to charge the defendant with a crime
Any assertion that the legislature implicitly abrogated the common law rule by enacting the Criminal Procedure Act would be unjustified in light of the legislature's initial comprehensive reform of the Act and the detailed commentary included with the codified statutes. The Criminal Code Commission's proposal emerged after a total of thirty-eight meeting days, in which it "carefully considered the best of North Carolina practice" before submitting final recommendations. Legislative Program and Report to the General Assembly of North Carolina by the Criminal Code Commission at i-ii (1973).
The General Assembly acknowledged and approved of the common law remedy for invalid indictments with the enactment of the revised Criminal Procedure Act. The official commentary accompanying N.C.G.S. § 15A-924 states in part: "The pleading rule, requiring factual (but not evidentiary) allegations to support each element, is in accord with our traditional ideas and provides a concise statutory statement." N.C.G.S. § 15A-924 official cmt. (citing Greer ,
We conclude that subdivision (a)(1), which requires that the accused be an unauthorized person depositing refuse on land not designated by the State for such use, is an essential element of the crime of felony littering. Accordingly, we affirm the holding of the Court of Appeals.
AFFIRMED.
While the phrase 'to litter' does not appear in this statute, the word 'litter' is statutorily defined:
any garbage, rubbish, trash, refuse, can, bottle, box, container, wrapper, paper, paper product, tire, appliance, mechanical equipment or part, building or construction material, tool, machinery, wood, motor vehicle or motor vehicle part, vessel, aircraft, farm machinery or equipment, sludge from a waste treatment facility, water supply treatment plant, or air pollution control facility, dead animal, or discarded material in any form resulting from domestic, industrial, commercial, mining, agricultural, or governmental operations. While being used for or distributed in accordance with their intended uses, "litter" does not include political pamphlets, handbills, religious tracts, newspapers, and other similar printed materials the unsolicited distribution of which is protected by the Constitution of the United States or the Constitution of North Carolina.
N.C.G.S. § 14-399(i)(4) (2017 & Supp. 2018).
The Court of Appeals also discussed State v. Hinkle ,
By way of analogy, the crime of assault on a female requires that the victim be a female and the accused a male who is at least eighteen years of age. N.C.G.S. § 14-33(c)(2) (2017 & Supp. 2018) ; State v. Herring ,
It is notable that the General Assembly has, in other circumstances, expressly treated certain facts as constituting affirmative defenses. See, e.g. , N.C.G.S. § 15A-905(c) (2017) (describing the procedure required to give notice when the accused anticipates raising any one of various affirmative defenses: alibi, duress, entrapment, insanity, mental infirmity, diminished capacity, self-defense, accident, automatism, involuntary intoxication, or voluntary intoxication). In the context of criminal littering statutes, several legislatures in other states have created clear distinctions between an affirmative defense to the crime of littering and essential elements of the crime. See, e.g. ,
"Where "issues of importance which are frequently presented to state agencies and the courts require a decision in the public interest," this Court will invoke Rule 2 of the North Carolina Rules of Appellate Procedure to address those issues. Blumenthal ,
Although the dissent interprets N.C.G.S. § 15A-954(a) to preclude trial judges from dismissing fatally defective indictments on their own motion, nothing in the statutory language limits their authority to situations in which the defendant makes a dismissal motion. In addition, the fact that the General Assembly has adopted short form indictments for certain offenses does not undercut the validity of the common law rule, given that the same lack of jurisdiction exists when an indictment fails to comply with the statutory requirements for such pleadings.
Dissenting Opinion
I write separately to discuss the significant failings of the jurisdictional approach the majority uses to evaluate the sufficiency of criminal indictments. Taking my cue from United States v. Cotton ,
In addition to my concerns about the common law jurisdictional rule, I also write separately because the majority creates (under the guise of interpretation) its own criminal offense and fails to grapple **899with or apply our precedents on the classification of criminal statutory provisos. And, in so doing, the majority creates significant uncertainty by failing to establish a discernible method to assist lower courts and prosecutors in distinguishing between elements and defenses.
I
A valid indictment must comply with requirements of form and substance, see N.C.G.S. §§ 15A-644(a), -924(a) (2017), including the statutory requirement that an indictment contain facts supporting every element of the charged offense,
The State indicted defendant for felony littering under N.C.G.S. § 14-399. In relevant part, that statute provides:
(a) No person ... shall intentionally or recklessly throw, scatter, spill or place ... or otherwise dispose of any litter upon any public property or private property not owned by the person within this State or in the waters of this State ... except:
(1) When the property is designated by the State or political subdivision thereof for the disposal of garbage and refuse, and the person is authorized to use the property for this purpose....
....
(e) Any person who violates subsection (a) of this section in an amount exceeding 500 pounds or in any quantity for commercial purposes, or who discards litter that is a hazardous waste ... is guilty of a Class I felony.
In deciding this issue, we are confronted with a two-part inquiry. First, the Court must ask whether, omitting the proviso, the primary provision in the statute states a "complete and definite" description of the crime. State v. Dobbins ,
In State v. Moore , for example, this Court considered an indictment for the illegal sale of intoxicating liquors. The relevant statute provided "[t]hat it shall be unlawful for any person ... other than druggists and medical depositaries [sic] duly licensed thereto , to engage in the business of selling, exchanging, bartering, giving away for the purpose of direct or indirect gain, or otherwise handling spirituous, vinous or malt liquors."
Before we determine whether the primary provision of the statute states a "complete and definite" description of a crime, we must bear in mind the respective roles of the legislative and judicial branches. The General Assembly, as the lawmaking arm of the people, has the power to define criminal activity. See N.C. Const. art. II, § 1 ; State v. Hill ,
**901Here, the statute's primary provision states that "[n]o person ... shall intentionally or recklessly throw, scatter, spill or place ... any litter upon any public property or private property not owned by the person." N.C.G.S. § 14-399(a). This provision creates criminal liability to redress the societal ill of littering. It defines the required culpability-intent or recklessness. It is, therefore, a complete and definite statement of a crime: no person may intentionally or recklessly throw or spill litter on any public property or on private property that he or she does not own.
But the majority today usurps the role of the General Assembly by summarily declaring-as part of a so-called "holistic inquiry"-that the crime of littering "is not complete unless it excludes authorized locations and persons from its definition." In other words, the majority declares that the crime of littering must, by definition, be committed without privilege or consent to be a crime. But this conclusion not only arrogates to this Court a power that is properly left in the General Assembly's hands; it also causes the majority's reasoning to collapse under the weight of past precedent. This Court has, on more than one occasion, stated that
[t]hough the general rule is, that a proviso contained in the same section of the law ... in which the defence is defined, must be negatived [in the indictment], yet where the charge itself is of such a nature that the formal statement of it is equivalent in *800meaning to such negative averment, there is no reason for adhering to the rule , and such a case constitutes an exception to it.
State v. Sturdivant ,
Because subsection (a) is a complete and definite description of the crime, the appropriate next step for this Court is to determine whether subdivision (a)(1) is an exception or a qualification to subsection (a). And, when analyzed under our long-standing precedent, subdivision (a)(1) is unquestionably an exception.
Once again, this analysis is straightforward: does the proviso subtract from the crime described in subsection (a), or does it bring **902additional cases within its operation? See Norman , 13 N.C. (2 Dev.) at 226. Subsection (a) prohibits disposing of litter on public property or private property belonging to another person. N.C.G.S. § 14-399(a). But subdivision (a)(1) allows disposal of litter on land "designated ... for the disposal of garbage and refuse" by persons "authorized to use the property for [that] purpose."
By contrast, subsection (e) provides a qualification. For the conduct described in subsection (a) to be a felony, the litter must be hazardous waste, litter "in an amount exceeding 500 pounds," or litter "in any quantity for commercial purposes." N.C.G.S. § 14-399(e). This proviso qualifies the offense described in subsection (a), and an indictment that tracks only the language of subsection (a) would not support a conviction for felony littering. Thus, a felony littering indictment must include the qualification in subsection (e). In this case, the indictment did so, asserting that "[t]he litter discarded was hazardous waste," which "br[ought] the case within the proviso." Norman , 13 N.C. (2 Dev.) at 226.
The majority opinion objects to the classification of subdivision (a)(1) as an exception, raising the Court of Appeals' example of a sanitation worker being "criminally charged for doing his or her job" to show how this classification might lead to absurd results. The majority then purports to apply the absurdity doctrine to justify its construction of the littering statute to avoid this hypothetical injustice. But, contrary to the majority's theoretical musings, the ability to conjure up absurd hypothetical scenarios should not change the way that we classify subdivision (a)(1). This principle is easily demonstrated by State v. Sturdivant , in which the defendant was indicted for, among other things, kidnapping under N.C.G.S. § 14-39, which prohibited a person from "confin[ing], restrain[ing], or remov[ing] from one place to another, any other person 16 years of age or over without the consent of such person, or any other person under the age of 16 years without the consent of a parent or legal custodian of such person." N.C.G.S. § 14-39(a) (1981) ; see Sturdivant ,
**903
Had this majority decided Sturdivant , it would have reached the opposite result. After *801all, under Sturdivant 's reasoning, an innocent school bus driver may be arrested and forced to stand trial for multiple kidnapping charges "for doing his or her job." This would never happen, of course-because no judge or magistrate would issue the arrest warrant, see N.C.G.S. § 15A-304(b)(1) (Supp. 2018), no prosecutor would pursue the charges, and no grand jury would indict the bus driver.
In any event, the majority has misapplied the absurdity doctrine. Under that doctrine, "where a literal interpretation of the language of a statute will lead to absurd results, or contravene the manifest purpose of the Legislature, as otherwise expressed, the reason and purpose of the law shall control and the strict letter thereof shall be disregarded." State v. Beck ,
The absurdity doctrine does not apply here, however, because this is not a dispute about the statute's meaning. This dispute is about how to classify the proviso in subdivision (a)(1), not how to interpret it. It is about whether the proviso is an element, not about what the proviso means. So the absurdity doctrine should have no place in our analysis especially when, as here, the hypothetical injustices conjured up by the majority are factually unrelated to this defendant's crime.
In the course of its improper use of the absurdity canon, moreover, the majority has distorted the issue in this case. We are not being asked to decide whether it would be legally proper for a prosecutor or a grand jury to charge someone (for example, a sanitation worker) who clearly falls under the auspices of subdivision (a)(1) with a crime. We are being **904asked to decide whether an indictment of a defendant who clearly did not fall within the auspices of subdivision (a)(1) needs to include facts that support that self-evident contention. These two issues are not the same at all, but the majority has unhelpfully blended them together.
For all of these reasons, the majority has erred by failing to apply the only correct test to the question at hand-namely, whether subdivision (a)(1) amounts to an exception or a qualification under Norman and related cases. It is clear, once one applies the exception-versus-qualification paradigm correctly, that subdivision (a)(1) is an exception, and that the indictment here thus did not have to plead any facts to support it. By not applying this paradigm at all, and by reaching a result contrary to the one reached by its proper application, the majority has erred. Furthermore, by abandoning textual analysis in favor of a nebulous "holistic inquiry," the majority leaves trial courts and prosecutors in the untenable position of having to guess how the Supreme Court will ultimately define a criminal offense.
II
Moving beyond the majority's error on the merits, this Court should reconsider whether vacating the judgment is the appropriate remedy when, as here, defendant failed to object to the indictment at the trial court stage. The Supreme Court of the United States, addressing a similar question in United States v. Cotton , concluded that a defective indictment did not deprive a court of jurisdiction.
*802In Cotton , the Supreme Court reevaluated its own long-standing rule that a flawed indictment deprives a criminal court of jurisdiction over a case. That jurisdictional rule emerged at the federal level in 1887 in Ex parte Bain , a case in which the Supreme Court concluded that an amendment to an indictment "was improper and that therefore 'the jurisdiction of the offence [was] gone, and the court [had] no right to proceed any further in the progress of the case for want of an indictment.' " Id. at 629,
**905Reevaluating the rule's propriety more than a century later, the Supreme Court reasoned that
Bain 's elastic concept of jurisdiction is not what the term "jurisdiction" means today, i.e. , "the courts' statutory or constitutional power to adjudicate the case." This latter concept of subject-matter jurisdiction, because it involves a court's power to hear a case, can never be forfeited or waived. Consequently, defects in subject-matter jurisdiction require correction regardless of whether the error was raised in district court. In contrast, the grand jury right can be waived.
Id. at 630,
Our State adopted a number of significant changes to our criminal procedure laws during the twentieth century. In 1950, the voters approved a constitutional amendment permitting criminal defendants to waive their right to indictment in most cases.
A
At our founding, many of our laws were derived from the British common law. See State v. Owen ,
The common law imposed rigid technical requirements on indictments. For example, at common law, an indictment alleging homicide "occasioned by a wound" had to describe the dimensions of the wound "where they [we]re capable of description." Owen , 5 N.C. (1 Mur.) at 461. An indictment that failed to comply with these requirements also failed to confer on the court the power to proceed to judgment on the charge. See, e.g. , Owen , 5 N.C. (1 Mur.) at 464 (quashing an indictment that did not describe the mortal wound ).
At least as early as 1810, our courts questioned the usefulness of imposing such high standards on indictments. As the Court stated in Owen :
[T]here is, in the ancient reasoning on this branch of the law, a degree of metaphysical and frivolous subtilty strongly characteristic of the age in which it was introduced, when at the revival of letters the first efforts of learning were laborious and rude, and scarcely a ray of common sense penetrated the clouds of pedantry. Were a system now to be established, it is probable that much of the jargon of the law would be exploded, and that no **907objection would prevail against an indictment, or any other instrument, which conveyed to the mind, in an intelligible form, its intended impression. But we must follow in the footsteps of those who have preceded us until the Legislature think fit to interfere; though we have no wish to extend the particularity further.
In 1811, the General Assembly enacted a statute intended to alleviate some of these technical requirements-likely as a response to Owen . State v. Hunt ,
Throughout the nineteenth and twentieth centuries, our legislature took further steps to simplify indictments. In 1887, the General Assembly alleviated some of the technical burdens of pleading by permitting short-form indictments for murder. That statute, now codified at N.C.G.S. § 15-144, declares an indictment for murder sufficient if it "allege[s] that the accused person feloniously, willfully, and of his malice aforethought, did kill and murder" the named victim. N.C.G.S. § 15-144 (2017) ; see also Hunt ,
Our courts joined the General Assembly in its push toward simplifying the standard for indictments. See State v. Greer ,
Nevertheless, our criminal law and procedure became "hopelessly outdated," requiring a significant overhaul from the legislature. See Legislative Program and Report to the General Assembly of North Carolina by the Criminal Code Commission , at i (1973). In 1974, the General Assembly enacted a comprehensive reform of our criminal procedure, codified now at Chapter 15A of our General Statutes. Ch. 1286, 1973 N.C. Sess. Laws (2d Sess. 1974) 490. The General Assembly intended these enactments to "mak[e] the law more understandable and improv[e] the administration of justice." State v. Freeman ,
Despite its comprehensive nature, though, the Criminal Procedure Act did not directly address whether indictments that do not meet the Act's statutory standards fail to confer jurisdiction on the court; there is no single provision that explicitly adopts or rejects the common law jurisdictional rule. Compounding this omission is a dearth of cases analyzing whether the Criminal Procedure Act carried forward or abrogated the common law jurisdictional rule. Instead, our cases have reflexively incorporated the common law remedy of arresting judgment on indictments that fail to meet the standards set forth in N.C.G.S. § 15A-924(a). For example, in State v. Simpson ,
The cases relied upon by today's majority trace their lineage back to this faulty origin. The majority draws today's rule from State v. Campbell ,
**910Nearly half a century after the passage of the Criminal Procedure Act, this Court continues to apply the common law rule requiring that convictions based on flawed indictments be vacated without determining whether the Criminal Procedure Act abrogated that common law rule. E.g. , State v. Langley , --- N.C. ----, ----,
B
A thorough analysis of the Criminal Procedure Act reveals significant evidence that the Act should have displaced the common law jurisdictional rule. "When the General Assembly as the policy making agency of our government legislates with respect to the subject matter of any common law rule, the statute supplants the common law and becomes the law of the State." News & Observer Publ'g Co. v. State ex rel. Starling ,
The Criminal Procedure Act was a comprehensive overhaul of the rules of criminal procedure in our state. As with all aspects of criminal procedure, the Act thoroughly addresses indictments and other charging instruments, including the form of these documents, the methods of challenging their sufficiency, and the available remedies in the event that these instruments are flawed. Article 49 covers pleadings and joinder in criminal cases. N.C.G.S. ch. 15A, art. 49 (2017). This article provides for the use of pleadings in felony cases, see
The majority asserts that the General Assembly "explicitly endorsed" the common law jurisdictional rule by citing to State v. Greer in the official commentary to section 15A-924. See N.C.G.S. § 15A-924 official **911cmt. (2017). But the official commentary cites Greer only for the proposition that "[t]he pleading rule, requiring factual (but not evidentiary) allegations to support each element, is in accord with traditional ideas."
In addition, the statutes establishing remedies for flawed pleadings are not conceptually compatible with a jurisdictional rule for indictments. For example, the Act requires dismissal of charges in a pleading that fails to comply with the requirements of subsection (a).
**912In only one instance does the court have the power to assess, on its own, the validity of the indictment under the current statutory framework. Under Article 29 of the Criminal Procedure Act (entitled "First Appearance Before District Court Judge"), the district court judge is required to examine the charging instrument "and determine whether each charge against the defendant charges a criminal offense within the original jurisdiction of the superior court."
The conclusion that the Criminal Procedure Act supplants the common law rule receives further support from provisions regarding motions and appeals. If in fact the General Assembly had intended to leave the common law rule in place, many of these provisions are redundant. "[A] statute should not be interpreted in a manner which would render any of its words superfluous." State v. Coffey ,
When one applies this principle of statutory construction to the Criminal Procedure Act, it becomes even more apparent that the General Assembly did not intend to carry forward the common law jurisdictional rule. Many provisions within the Criminal Procedure Act separate the concepts of jurisdictional flaws and failure to plead-sometimes even in the same sentence. For example, one provision states that "[m]otions concerning jurisdiction of the court or the failure of the pleading to charge an offense may be made at any time." N.C.G.S. § 15A-952(d) (2017)
*807(emphasis added). Another provision requires the court to dismiss the charges on motion of the defendant if it finds that "[t]he court has no jurisdiction of the offense charged" or "[t]he pleading fails to charge an offense."
The Criminal Procedure Act comprehensively overhauled every aspect of our criminal procedure, including indictments and other charging instruments. But nothing in the Act indicates that the failure to comply with the requirements of section 15A-924(a) would flatly deprive the trial court of jurisdiction to hear the case. "The Criminal Procedure Act was 'designed to remove from our law unnecessary technicalities which tend to obstruct justice.' " Jones ,
C
In addition to undermining a fundamental purpose of the Criminal Procedure Act, the jurisdictional rule flips the entire purpose of grand jury indictments on its head. By treating section 15A-924(a) as a jurisdictional barrier to criminal prosecution in all cases except those charging homicide and certain sex offenses, this Court has given greater protections to littering defendants than to capital defendants.
The technicalities imposed on indictments-and the remedies for the failure to comply with them-emerged in England at a time "when the punishment of crime was so severe as in many cases to shock the moral sense of lawyers, judges and the people generally." Greer ,
Grand jury indictments thus arose to protect the lives of defendants. As Blackstone stated:
[F]or so tender is the law of England of the lives of the subjects, that no man can be convicted at the suit of the king of any capital offence , unless by the unanimous voice of twenty-four of his equals and neighbors: that is, by twelve at least of the grand jury, in the first place, assenting to the accusation; and afterwards, by the whole petit jury, of twelve more, finding him guilty upon his trial.
*8084 William Blackstone, Commentaries *306 (emphasis added); see also John Somers, The Security of Englishmen's Lives 4 (London, Effingham Wilson 1821) (1681) ("For this purpose it is made a fundamental in our government, that, unless it be by parliament, no man's life should be touched for any crime whatsoever, save by the judgment of at least twenty-four men...." (emphasis added) ).
Because we adopted the English common law at the founding, North Carolina's criminal law in some ways reflected the draconian bloody code. The case of State v. Norman discussed above for its distinction between elements and exceptions in indictments, was a prosecution for bigamy in which the defendant had been sentenced to death. See 13 N.C. (2 Dev.) at 227. And other eighteenth and nineteenth century cases reveal a number of capital sentences for stealing horses. See, e.g. , State v. Coulter , 2 N.C. (3, 3 (1791).
In time, the number of capital offenses in our state decreased. With the adoption of the Constitution of 1868, our state limited capital punishment to convictions for murder, arson, burglary, and rape. N.C. Const. of 1868, art. XI, § 2 ("The object of punishments, being not only to satisfy justice, but also to reform the offender, and thus prevent crime, murder, arson, burglary, and rape, and these only, may be punishable with death, if the General Assembly shall so enact."). Today, murder is the only crime punishable by death in our state. See N.C.G.S. § 14-17 (2017).
**915And yet, murder is one of only a handful of crimes for which the General Assembly has permitted short-form indictments. Id. § 15-144.
Viewed through this lens, the folly of continued application of the common law jurisdictional rule reveals itself. A defendant convicted of first-degree murder and sentenced to die has no recourse where his indictment fails to "assert[ ] facts supporting every element of" capital murder. But a defendant convicted of felony littering and sentenced to a suspended prison sentence and 18 months of probation may appeal the indictment, overturn her conviction, and receive a new trial without ever raising the issue at the trial court.
That runs counter to the purpose and history of grand jury indictments. And it incentivizes conduct at trial that may undermine the proper administration of justice. After all, by continuing to apply this common law rule, we are giving a defendant with a defective indictment a reason to "sandbag." See Wainwright v. Sykes ,
This case provides a clear illustration of how the administration of justice can be undermined by operation of the common law jurisdictional rule. Defendant's indictment for felony littering alleges that she "unlawfully, willfully and feloniously did intentionally and recklessly spill and dispose of litter on property not owned by the defendant, the property owned and controlled by the City of Greensboro and not into a litter receptacle.... The litter discarded was hazardous waste." This indictment identified the crime charged, enabled defendant to prepare for trial, and protected her from double jeopardy, thereby satisfying constitutional due process requirements. Cf. Coker , 312 N.C. at 434-35,
Notably, defendant ultimately raised only one issue on appeal to the Court of Appeals: that the indictment failed to allege that the property where she littered was not "designated ... for the disposal of garbage and refuse." N.C.G.S. § 14-399(a)(1). Defendant did not raise this issue at **916the trial court, and for good reason. Assuming arguendo that this provision is an essential element of felony *809littering, its omission did not prejudice her case in any way. The evidence presented at trial showed that she dumped heating fuel in the grass at 709 Elam Avenue in Greensboro and into the street. Defendant could not plausibly argue that the prosecution failed to establish that the land on which she poured heating oil was not publicly designated for that purpose. Had the State been compelled to issue a superseding indictment, its issuance would have had no effect whatsoever on defendant's ability to defend herself or on the trial court proceedings as a whole. The whole exercise would have been nonsensical.
Nevertheless, defendant appealed the omission. And today, defendant succeeds in dumping fuel oil in someone else's yard without consequence, not for the sake of justice, but only because of the rigid technical rules of a bygone era.
III
While the common law jurisdictional rule is outdated, imprudent, and unnecessary, indictment by grand jury still plays a critical role in protecting individual liberty. The grand jury has long been considered "one of the greatest safeguards of the freedom of the citizen." State v. Barker ,
This Court first adopted the plain error rule in State v. Odom,
In Cotton , the United States Supreme Court, after rejecting the federal common law jurisdictional rule, applied plain error review to the challenged indictment.
In the sixteen years since the Supreme Court decided Cotton , "a growing list of states has flatly rejected earlier rulings characterizing the failure to allege all material elements as a jurisdictional defect." State v. Duncan ,
But our state has seen this unpalatable scenario play out repeatedly through the application of the common law jurisdictional rule. For example, in State v. Murrell , this Court affirmed a Court of Appeals decision to vacate a conviction for robbery with a dangerous weapon.
Murrell is hardly an outlier. Indeed, there is no shortage of convictions in North Carolina that were vacated due to a technical deficiency in an indictment that was not challenged before conviction and that had no bearing on the fairness, integrity, or public reputation of judicial proceedings. See, e.g. , State v. Randall ,
These decisions clearly illustrate the shortcomings of the common law jurisdictional rule. Compared with alternative approaches to reviewing flawed indictments, as utilized in federal court and the courts of other states, the common law jurisdictional rule unnecessarily hinders the proper administration of justice. This Court can-and should-reconsider its rigid adherence to this archaic rule. Alternatively, I respectfully request that the General Assembly reexamine a rule that perpetuates misaligned incentives and undermines the criminal justice system.
* * *
In summary, the majority opinion misconstrues and mischaracterizes N.C.G.S. § 14-399 to discover an essential element of littering that the text of the statute does not contain to correct an injustice that does not exist. In so doing, the majority engages in an amorphous "holistic inquiry" instead of providing lower courts and practitioners with a meaningful standard for distinguishing elements from affirmative defenses. More fundamentally, the Court misses an opportunity to reevaluate an obsolete rule that detrimentally impacts the administration of justice in our State. I therefore respectfully dissent.
Justice NEWBY joins in this dissenting opinion.
The defendant was charged by use of a warrant rather than an indictment because the charged crime was a misdemeanor. See Moore ,
This outlandish illustration highlights the real absurdity in this case: the majority's lack of confidence in the men and women serving as grand jurors in our criminal justice system. Despite the majority's dystopian predictions, I find it hard to imagine that a grand jury anywhere in our State would indict hapless bus drivers, sanitation workers, or other hard-working citizens for simply doing their jobs.
Given the significant import of this question of law to North Carolina criminal procedure, this Court should request supplemental briefing. So, to be clear, I am not suggesting that we rule on this question without input from the parties.
At least one commentator has argued that the rule permitting waiver of indictments at the federal level is unconstitutional. See generally Roger A. Fairfax, Jr., The Jurisdictional Heritage of the Grand Jury Clause ,
The majority also relies on State v. Wagner ,
Admittedly, the General Assembly relaxed the requirements for a murder indictment, relative to most other felonies, in the nineteenth century. See N.C.G.S. § 15-144. But as this section discusses, while the original motivation for the common law jurisdictional rule was to protect defendants in capital cases, it now protects everyone but defendants in capital cases.
Reference
- Full Case Name
- STATE of North Carolina v. Angela Marie RANKIN
- Cited By
- 72 cases
- Status
- Published
- Syllabus
- Whether subdivision (a)(1) of N.C.G.S. 14-399, which generally prohibits littering, is an essential element of, or creates an exception to, that offense whether an indictment that did not refer to the language in subdivision (a)(1) was fatally defective.