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Carter v. State, No. 4930 — Supreme Court of Arkansas (May 25, 1959)

Factual and Procedural Background

Jim (James E.) Carter was indicted by a Saline County grand jury for receiving stolen property. A jury convicted him and fixed punishment at one year in the penitentiary. The record indicates that in late March 1958 Lloyd Harper discovered that several of his cattle had been killed and slaughtered; Harper found feet and ears of three head of cattle with Harper's brand, each animal valued at about $80. Donald Stuckey, an employee of appellant, led officers to the slaughter site. Stuckey and others implicated Carter, stating the enterprise occurred at Carter's suggestion and that Carter's pickup truck was used to transport animals. A 22-caliber rifle hull was found near the killing site. Carter appealed his conviction.

The appeal reached the Arkansas Supreme Court. Carter filed no brief in the appellate court. His motion for a new trial in the trial court assigned, among other things, as error the trial court's action in granting a prosecuting attorney's continuance of other related cases (because the sheriff could not be present) and the claimed prejudice to Carter from the sheriff and deputies not testifying before his jury. The majority opinion treated the claimed trial error as raised for the first time in the motion for a new trial and declined to consider it on appeal. The judgment of the Saline Circuit Court (Ernest Maner, Judge) was affirmed.

Legal Issues Presented

  1. Whether an alleged trial error that was first raised in the motion for a new trial may be considered on appeal in a felony case of less than capital punishment.
  2. Whether the record contained sufficient non-accomplice corroboration of accomplice testimony to support the conviction (issue raised in dissent as a question of whether conviction rests solely on uncorroborated accomplice testimony).

Arguments of the Parties

Appellant's Arguments

  • In his motion for a new trial (and in subsequent oral motions described in the dissent), Carter asserted that the prosecuting attorney asked for a continuance in related cases because the Sheriff (James Steed) was an important witness and could not be present; Carter argued that if the Sheriff and Deputies Bill Dyer and James Bowers had testified, their testimony would have assisted the defense and possibly produced an acquittal. He therefore requested a new trial to allow those law enforcement witnesses to testify.
  • As articulated orally (per the dissent's recounting), Carter's counsel also moved (treated as a motion for new trial) on the ground that there was no corroborating evidence apart from the testimony of accomplices (notably Donald Stuckey) and that the verdict rested solely on uncorroborated accomplice testimony — a ground for reversal under Arkansas law.

Appellee's (State's) Position

  • The record shows the prosecuting attorney requested a continuance of other related cases because the Sheriff was an important member of the investigation and could not be present; the trial court granted that continuance. (The opinion does not set out additional detailed argumentation by the State in the appellate record provided.)

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Ford v. State, 222 Ark. 16, 257 S.W.2d 30 Articulation of preservation rule: complainant must make an objection at trial, obtain a ruling, take exception to an adverse ruling, and assign the matter as error in a motion for a new trial before the issue is reviewable on appeal in felony cases less than capital. The majority relied on this precedent to hold the alleged error (continuance and absence of sheriff testimony) was not preserved for appeal because it was raised for the first time in the motion for a new trial; therefore the appellate court declined to consider it and affirmed the conviction.
Burton v. Commonwealth, 248 Ky. 408, 58 S.W.2d 650 Authority for allowing supplemental motion for new trial filed within the same term (after original motion overruled and appeal granted) to present additional grounds for new trial. Cited in the dissent (Robinson, J.) to argue that a supplemental (or oral) motion for new trial raising lack of corroboration should have been considered timely and therefore available on appeal; dissent used it to argue the majority erred in refusing to consider the corroboration question.
Commonwealth v. Neal, 223 Ky. 665, 4 S.W.2d 685 Support for the proposition that a defendant may file additional motions for new trial at the same term and thereby preserve additional grounds for appeal. Cited by the dissent to support the position that appellant's supplemental/oral motion asserting lack of corroboration was timely and should have been considered on appeal.
R. v. Farler, 8 C.P. 106 (1837) Historical authority quoted (by Wigmore) establishing the long-standing judicial admonition that accomplice testimony should not be credited unless corroborated in some material particular. Quoted in the dissent to emphasize the historical and prudential basis for the rule requiring corroboration of accomplice testimony; used to support dissent's view that conviction cannot stand without corroboration.

Court's Reasoning and Analysis

The majority opinion, delivered by Associate Justice J. Seaborn Holt, proceeded in these analytic steps:

  1. Factual findings: The record contained evidence that cattle belonging to Lloyd Harper had been slaughtered, that portions bearing Harper's mark were found, that an employee of appellant (Donald Stuckey) took officers to the slaughter site, that Stuckey and another (Brown Rainey) implicated Carter by stating the acts were at Carter's suggestion, and that Carter's pickup truck was used and a 22-caliber rifle hull was found. A jury convicted Carter and assessed punishment.
  2. Preservation principle: The court reiterated the well-established rule (citing Ford v. State) that in felony cases less than capital an appellant must preserve alleged trial errors by making an objection at trial, obtaining a ruling from the trial court, taking an exception to any adverse ruling, and assigning the matter as error in a motion for new trial. The court explained that absent these preservation steps, appellate review is not permitted.
  3. Application of the preservation rule: The alleged error relied upon by Carter on appeal (complaint that the prosecuting attorney obtained a continuance in related cases because the sheriff could not be present, thereby depriving Carter of the sheriff's testimony and that of deputies) was first raised in Carter's motion for a new trial. Because it was not objected to and preserved at trial in the manner described above, the majority held the objection came too late and therefore could not be considered on appeal.
  4. Result: Because the claimed error was not preserved, the majority affirmed the conviction. The court did not undertake a merits review of the corroboration question raised in the dissent because it concluded that the procedural default precluded such review.

In addition to the majority opinion, Associate Justice Ed. F. McFaddin concurred. He agreed with the affirmance and added two points of analysis: (1) when a pleading is in writing (as the motion for new trial was), oral remarks in argument cannot be used to expand the written assignments in that pleading — therefore there was no assignment in the written motion about absence of corroboration; and (2) Instruction No. 5 told the jury the defendant could not be convicted on uncorroborated accomplice testimony, and the concurring justice identified record evidence (testimony of Floyd Harper, Joe Swain, Virgil McCutcheon, and the fact the slaughterhouse was operated by Carter) that, in his view, went to corroboration, supporting the affirmance on the merits.

The majority's analysis is procedural: it applies the preservation rule and refuses to reach the substantive corroboration issue because the complaint was not preserved in the required manner.

Holding and Implications

Holding: The appellate court affirmed the trial court's judgment. The core ruling may be stated as: Affirmed.

Implications:

  • Direct effect: The defendant's conviction and one-year penitentiary sentence were left intact; the appellate court declined to overturn or grant a new trial based on the procedural posture of the case.
  • Procedural consequence: The opinion reiterates and enforces the preservation requirement in felony appeals (less than capital): objections must be timely made at trial, rulings obtained, exceptions preserved, and errors assigned in the motion for a new trial to be reviewable on appeal. The court applied Ford v. State to bar appellate consideration of an error first raised in the motion for new trial.
  • On substantive corroboration of accomplice testimony: The majority did not decide the substantive sufficiency question because of procedural default. The dissent (Robinson, J., joined by Johnson, J.) argued that the record contained no corroboration and that the conviction rested solely on uncorroborated accomplice testimony and therefore should be reversed; the concurrence (McFaddin, J.) viewed some evidence as tending to corroborate accomplice testimony. The opinion itself did not establish a new rule on corroboration but applied an existing preservation rule.
  • Precedential effect: The court applied an existing appellate-preservation rule (citing Ford v. State) rather than announcing a new legal principle. If any practical lesson follows, it is the reaffirmation that failure to timely raise and preserve trial objections will ordinarily preclude appellate review.

Dissent: Justices Robinson and Johnson dissented, principally arguing that the conviction rested solely on uncorroborated accomplice testimony and that the record properly presented that substantive question for appellate review.

CARTER v. STATE

1. CRIMINAL LAW — REVIEW ON APPEAL, NECESSITY OF OBJECTIONS AND EXCEPTIONS. — Before an alleged error, in felony cases for a lesser degree than capital, may be considered by this court on appeal, the complaining party must first make an objection, call for a ruling from the trial court, make and preserve an exception from an adverse ruling, and the matter complained of must be assigned as error in a motion for a new trial. 2. CRIMINAL LAW — REVIEW ON APPEAL — MATTERS RAISED FOR FIRST TIME IN MOTION FOR NEW TRIAL. — An alleged error raised for the first time in the motion for new trial comes too late to be considered on appeal.

J. SEABORN HOLT, Associate Justice.

Appellant, Jim Carter, was indicted by a Grand Jury for the crime of receiving stolen property. A jury found him guilty and fixed his punishment at one year in the penitentiary. This appeal followed.

Appellant has filed no brief in this case. Briefly, the record reflects that in the latter part of March, 1958, Lloyd Harper discovered that some of his cattle had been killed and slaughtered in the area where they usually ranged. He "found the feet and ears of three head of cattle and a lot of blood". The ears had his mark on them and each animal was worth about $80. Donald Stuckey, an employee of appellant, took the officers to the place where the animals had been slaughtered. Thereafter, Donald Stuckey, Brown Rainey, one other person and appellant, Carter, were arrested. Stuckey and Rainey told the officers that it was at Carter's suggestion that they go out and get some cattle and he, Carter, would consider as paid a bill of Stuckey's mother. It was testified that a pick-up truck belonging to appellant was used to transport the animals and a 22-caliber rifle hull was found near the spot where the animals were killed.

For reversal, appellant, in his motion for a new trial, assigned one error as follows: "Wherefore, defendant prays that, due to the fact that the Prosecuting Attorney asked for a continuance on all other involved cases and all other persons being tried because the sheriff could not be there and the trial judge gave that continuance, he be granted a new trial when the sheriff will be able to testify and so that Sheriff James Steed and Deputies Bill Dyer and James Bowers can testify before the jury and, if the trial judge refuses this motion, he is not giving justice to the defendant because he granted the Prosecuting Attorney's motion for a continuance upon the same grounds, over the objection of defense attorney, C. Van Hayes."

This alleged error was first raised by appellant in his motion for a new trial. It comes too late for this court to consider it. We have consistently adhered to the rule that before an alleged error, in felony cases of a lesser degree than capital, may be considered by this court on appeal, the complaining party must first make an objection, call for a ruling from the trial court, make and preserve an exception from an adverse ruling, and the matter complained of must be assigned as error in a motion for a new trial. We announced this rule in Ford v. State, 222 Ark. 16, 257 S.W.2d 30, in this language: "The complaining party must first make an objection in the trial court, and this calls for a ruling on his objection. An exception must then be taken to an adverse ruling on the objection, which `directs attention to and fastens the objection for a review on appeal.' The matters complained of, together with the objections and the exceptions to the ruling of the court, must be brought into the record by a bill of exceptions; and the motion for a new trial can serve no other purpose than to assign the ruling or action of the court as error".

As indicated, since the alleged error complained of was first raised in the motion for a new trial, we do not consider it here.

Affirmed.

ROBINSON and JOHNSON, JJ., dissent.

McFADDIN, J., concurs.

ED. F. McFADDIN, Associate Justice, (concurring),

I concur in the affirmance of this case for the reasons herein stated.

After the jury brought in the verdict against appellant, Carter, his counsel filed a motion for new trial; and the entire motion, omitting only caption and signature, is as follows:

"MOTION FOR NEW TRIAL

"Comes the defendant, James E. Carter, and states and alleges:

I.

"That the Prosecuting Attorney asked for a continuance of the trial of Henry Glenn, Louis Coliron and Cornell Sanders, a colored man, because the Sheriff was an important member of the investigation of this entire case and that said defendant, James E. Carter, is firmly of the opinion that if said Sheriff testifies that some of the testimony of said Sheriff James Steed will be in his favor and if the jury could have heard his testimony their verdict would have been for acquittal; that said defendant, James E. Carter, requests a new trial because the trial jury should have the benefit of the testimony of the Sheriff of this County, James Steed, and if trial court had enough belief in the motion of Prosecuting Attorney that Sheriff James Steed's testimony was important enough to continue the other cases involved, then said Judge should grant a new trial and hold the trial in abeyance until said Sheriff is able to come to the witness stand; that the defense attorney consistently insisted upon the Prosecuting Attorney placing the Deputy Sheriffs, Bill Dyer and James Bowers, on the witness stand and in his opening statement he challenged the Prosecuting Attorney to do this and was refused. The defense attorney is definitely of the opinion that if any jury could hear the testimony of Mr. Bill Dyer or Mr. James Bowers or the Sheriff James Steed on cross examination that they would find the defendant `not guilty' and the Judge should, therefore, grant the defendant a new trial.
"Wherefore, defendant prays that, due to the fact that the Prosecuting Attorney asked for a continuance on all other involved cases and all other persons being tried because the Sheriff could not be there and the Trial Judge gave that continuance, he be granted a new trial when the Sheriff will be able to testify and so that Sheriff James Steed and Deputies Bill Dyer and James Bowers can testify before the jury and, if the Trial Judge refuses this motion, he is not giving justice to the defendant because he granted the Prosecuting Attorney's motion for a continuance upon the same grounds, over the objection of defense attorney."

It is my view that when a pleading is in writing, as was this motion for new trial, any remarks made in oral argument by Carter's attorney in the presentation of the motion cannot be seized on as an additional assignment to the motion for new trial. So I take the position that there was no assignment in the motion for new trial about the absence of corroboration and that point cannot now be raised.

Furthermore, in Instruction No. 5, the Court told the jury that Carter could not be convicted on the uncorroborated evidence of an accomplice; and there is evidence in the record going to the matter of corroboration. The witness, Floyd Harper, testified to seeing where cattle had been slaughtered and the ears and feet left, and the mark on one of the ears showed it was Harper's cattle. The witness, Joe Swain, testified that he could see where cattle had been killed on the side of the road, and that he saw a yellow packing company truck along the same road. The witness, Virgil McCutcheon, testified that on Sunday morning he went down the Peeler Bend Road to the slaughterhouse and there was a trail of blood in the middle of the Peeler Bend Road for a mile on out to the slaughterhouse. The slaughterhouse was operated by Jim Carter.

Without dwelling any more on the matter, I reach the conclusion that the judgment should be affirmed.

SAM ROBINSON, Associate Justice, dissenting.

As I see it, there are two points for decision in this case: First, is there any evidence of appellant's guilt other than the testimony of accomplices? Second, is there a proper record before this Court raising the question of whether the accomplices are corroborated? In my opinion, there is not a scintilla of such corroborating evidence. True, the State's witness, Donald Stuckey, an acknowledged accomplice, implicates the appellant. And, although from Brown Rainey's testimony it is established that he helped Stuckey steal and butcher some cattle, it is not clear that an inference can be drawn from Rainey's testimony that Carter knew anything about the cattle stealing. But even if Rainey's testimony is susceptible to such an inference, it is perfectly clear that he is an accomplice. Other than the testimony of the two accomplices, there is no evidence of guilt on the part of appellant. At the scene of the killing of some of the cattle, the hull from a 22 rifle shell was found. It was shown that Carter owned a 22 rifle, but there was no effort to show that the 22 shell was fired front Carter's rifle, even though ample facilities are available to law enforcement officers to make such a determination, and, of course, untold thousands of people own 22 rifles. But even if it were shown that the cartridge came from the 22 rifle belonging to Carter, in this case that fact would carry no weight, since it is clear from the record that Stuckey, an accomplice, had full access to the rifle.

Carter owns a refrigerated truck with a red cab and yellow body, with his name painted on the side in bold letters. One Joe Swain testified that he saw a yellow truck on the road near the place where some cattle were killed on the day they were killed. But the record further shows that he did not know when the cattle were killed. He gives no explanation of how he knew the day the cattle were killed; in fact, the record shows that the first he knew about the matter was seeing it in a newspaper. The owner of the cattle had found evidence that cattle had been butchered, but he made no effort to say when they were butchered, other than that it was during the last of March or first of April. Stuckey says it was the first two weeks in April. Swain does not attempt to identify the truck he saw as belonging to Carter, nor does he say he saw Carter. The only evidence in the record that connects Carter with the crime is the testimony of Stuckey, and his testimony is not corroborated in any particular. The majority opinion states that a pick-up truck belonging to appellant was used to transport the stolen animals. The only evidence to this effect is the testimony of the accomplices.

It is the law of this State that a defendant cannot be convicted on the uncorroborated testimony of an accomplice. Ark. Stat. 13-2116 provides: "A conviction can not be had in any case of felony upon the testimony of an accomplice unless corroborated by other evidence tending to connect the defendant with the commission of the offense; and the corroboration is not sufficient if it merely shows that the offense was committed, and the circumstances thereof. . . ." The rule that a defendant cannot be convicted on the uncorroborated testimony of an accomplice has been firmly established since the 1700's. Professor Wigmore discusses the history of the rule in his great work on Evidence, 3rd Ed., Vol. 7, beginning at page 312, and quotes Lord Abinger in R. v. Farler, 8 C. P. 106 (1837): "It is a practice which deserves all the reverence of law, that judges have uniformly told juries that they ought not to pay any respect to the testimony of an accomplice unless the accomplice is corroborated in some material particular. . . ." The danger is that when a man is fixed, and knows that his guilt is detected, he purchases immunity by falsely accusing others."

The rule that a defendant cannot be convicted on the uncorroborated testimony of an accomplice has been proved to be a good rule, for centuries. We adopted it by statute in 1883. It should not be lightly cast aside.

The next point is whether the condition of the record is such that a reversal should be ordered because the accomplices' testimony is not corroborated. The majority opinion mentions only the appellant's motion for a new trial, in which there is assigned as error the action of the trial court in overruling a motion for a continuance. But this part of the motion for a new trial was only supplemental to a previous motion for a new trial on the ground that the verdict of the jury was based on the uncorroborated testimony of the accomplice. Subsequent to the time the verdict of the jury was returned, the attorney for appellant made a motion as follows: "Now, I move that the case be dismissed because the trial Court heard the case tried and there was not one person that got on the witness stand and testified that Jim Carter received any cattle or any meat whatsoever except Don Stuckey. And that the trial lawyer asked each one of them under oath, `Can you turn here and tell this jury that?' and they said, `No, we can't do that.' And the Court knows that the law is under the testimony of Don Stuckey and the law, and the Court knows that this is the law, that you can't convict. And I ask now for a mis-trial because the Court knows there wasn't any corroborating testimony." In overruling the motion, the trial court said: "Motion denied. The motion for a new trial is denied because the question raised therein was not raised at the proper time." [our italics]

It will be noticed that the last sentence in the motion states: "And I ask now for a mistrial because the Court knows there wasn't any corroborating testimony." And it appears that the only reason the court overruled the motion was that in the opinion of the trial court the question had not been raised at the proper time. The only other time it could have been raised prior to the time the motion was made would have been a motion for a directed verdict of not guilty, and such a motion was made when the State rested its case. The words "new trial" would probably have been more appropriate than "mistrial". It was, however, understood that appellant's attorney was speaking of a new trial, because the trial had been completed — the verdict had been returned, and the trial court treated the motion as one for a new trial. The court said: "The motion for a new trial is denied." True, the motion was oral, but there is no requirement that such a motion must be in writing. "A motion is an application made to a court or a judge for the purpose of obtaining a rule or order directing some act to be done in favor of the applicant. Motions are not regarded as pleadings in the ordinary or technical sense of the term, even where they are reduced to writing. A petition, in common phrase, is a request in writing, and in legal language describes an application to a court in writing, in contradistinction to a motion, which may be made viva voce." 37 Am.Jur. 502. Whether the motion was prior or subsequent to another motion for new trial makes no difference, just so it was made within the time allowed. Here there is no indication that it was not made within apt time.

"Where a supplemental motion was filed within the time allowed by statute, although after the original motion was overruled and an appeal granted the error relied on therein is available on appeal." 24 C.J.S. 378. In Burton v. Commonwealth, 248 Ky. 408, 58 S.W.2d 650, the Kentucky court said: "At the outset we are met by the commonwealth's contention that the alleged error was not included in the motion and grounds for a new trial. We find, however, that, after the motion for a new trial had been overruled, an appeal granted, and the amount of the appeal bond had been fixed, appellant, at the same term, filed supplemental motion for a new trial on the ground that the change of venue was improperly refused. In the case of Commonwealth v. Neal, 223 Ky. 665, 4 S.W.2d 685, we had occasion to consider the question, and it was held that, although a motion for a new trial has been overruled, an appeal granted, and appeal bond executed, the defendant may file at the same term of court additional motion for a new trial."

I am at a loss to understand why the majority completely ignore appellant's motion for a new trial based on the contention that there is no evidence of guilt except the uncorroborated testimony of an accomplice. If it is because the motion was not in writing, the answer is that no law provides that it must be in writing. If it is because the word "mistrial" is used instead of "new trial", the answer is that the trial court understood it to be a motion for new trial and dealt with it as such, and, moreover, for this Court to make a final determination of the case on such an extreme technicality would be contrary to the modern trend of courts to decide cases on the merits and to avoid disposing of litigation on a technical rule of procedure. It is hard to believe that any court would hold that a person must go to the penitentiary, although there is no valid evidence of his guilt, because his lawyer in an oral motion used the word "mistrial" instead of "new trial". If the majority ignore the motion because no brief was filed in appellant's behalf, then the case should not have been considered at all. But the rule is to consider appeals in felony cases regardless of the lack of or inadequacy of briefs. In my opinion, the only evidence of appellant's guilt is the uncorroborated testimony of an accomplice. There is an ample record, and the judgment should be reversed.

I am authorized to say that Mr. Justice Johnson joins in this dissent.

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CARTER v. STATE
(May 25, 1959)