STATE OF NORTH CAROLINA v. AARON PRETTY
No. COA98-1094
(Filed 3 August 1999)
1.
Evidence--expert--underlying basis of opinion--voir dire not required--no prejudice from delay
The trial court did not err in failing to allow defense counsel to voir dire the State's expert witnesses
before they testified at trial to determine the underlying basis of their opinion since the disclosure of these facts
occurred during direct and cross-examination testimony, and defendant failed to show any prejudice from this
delay.
2. Evidence--hearsay--unavailable child--catchall exception
The trial court did not err in admitting the hearsay statements of the five-year-old child sex abuse victim in the
trial of her father because the findings support the trial court's six-step inquiry assessing that the statements
were admissible under the Rule 804(b)(5) catchall exception.
3. Constitutional Law--hearsay--unavailable witness--right to confrontation not violated--
incompetency of child--necessary evidence--trustworthiness satisfied
The trial court did not violate defendant-father's constitutional right to confront the five-year-old child
sex abuse victim when it admitted the child's hearsay statements because the unavailability of the child was due
to her incompetency and the evidentiary importance of the child's statements demonstrate their necessity.
Further, the child victim's personal knowledge of the underlying incident and the fact she never recanted her
statements satisfied the circumstantial guarantees of trustworthiness.
4. Constitutional Law--effective assistance of counsel --failure to object--opened the door
Defense counsel's failure to object to the social worker's testimony that the child sex abuse victim's
statements were believable did not constitute ineffective assistance of counsel where defense counsel opened
the door to this testimony by attempting to show the child's sexual knowledge resulted from a prior incident of
sexual abuse occurring at her mother's home as opposed to the incident for which defendant-father was being
tried.
Judge GREENE concurring in the result.
Appeal by defendant from judgment entered 21 September 1993 by Judge
J.B. Allen, Superior Court, Durham County. Heard in the Court of Appeals 8
June 1999.
Mark E. Edwards for the defendant.
Michael F. Easley, Attorney General, by Ellen B. Scouten, Special
Deputy Attorney General, for the State.
WYNN, Judge.
The State of North Carolina tried Aaron Pretty in 1991 on charges of
first-degree-statutory rape, first-degree-statutory sex offense, taking
indecent liberties with a minor, and incest with his five-year-old
daughter. Upon his conviction on all charges, the trial judge sentenced
him to consecutive-life sentences for the rape and sex offenses, and
concurrent sentences of ten years for indecent liberties and fifteen years
for incest. Our review of his trial finds no error in either his
conviction or sentence.
The evidence presented at trial showed that at the time of the alleged
misconduct, the defendant's daughter lived in a foster home. The Durham
County Department of Social Services had removed the child from her
mother's custody due to allegations of sexual abuse by another man while
the child stayed with her mother. However, a juvenile court ordered the
Durham County Department of Social Services to allow the defendant to have
unsupervised visits with the child.
Following one of those visits, the child's foster mother became
concerned that the child had been sexually abused. She testified at trial
that while bathing the child she noticed that the child's vaginal area was
red. She further testified that the child, referring to the defendant as
June, told her that it hurt down there where June was playing and also
stated that during her visit the defendant got on top of her, played mama
and daddy, and put his private part in her vagina.
According to the foster mother, the child's behavior substantially
changed following this unsupervised visit. In particular, the child beganhaving nightmares during which time she would say: Stop, June.
Additionally, the child, who had previously been shy and manageable, began
misbehaving at home and school. In fact, a school counselor testified that
as a result of a drastic change in her behavior--including the child's
actions of crying very easily and touching the private parts of little
boys--the school began having major problems with the child in January
1991.
On 31 January 1991, the Duke Child Protection Team performed a medical
evaluation of the child which revealed abnormal physical findings
consistent with penile penetration of the vagina. Further physical
findings included: a vaginal discharge; the hymenal tissue was narrowed and
the rim thickened; the vaginal opening was 8-9mm, which was the upper limit
or greater than upper limit of normal for a five-year-old child. Based on
these physical findings, Dr. Thomas Frothingham, the Director of the Duke
Child Protection Team, concluded that the findings were consistent with an
evaluation that the child had been sexually abused.
Following this evaluation, the Durham County Department of Social
Services reported the findings to the Durham Police Department.
Thereafter, Detective McDonald Vick, of the Durham Police Department, along
with a female officer, interviewed the child. During this interview, the
child used anatomically correct dolls to show the officers what had
occurred during her unsupervised visit with the defendant. At trial,
Detective Vick demonstrated the child's use of the anatomical dolls which
included the placing of the "daddy" doll on top of the "child" doll with no
clothes and moving back and forth, to simulate vaginal intercourse anddigital penetration.
Jeanne Neimeyer, a clinical social worker at the Duke Child Protection
Team, also testified as to the child's statements made to her during two
interview sessions which occurred in March of 1991. She testified that the
child told her that she slept with her daddy in his bed during this visit
and while in the bed her daddy put his dink-a-link right there" pointing
to the genital area of the girl doll. During her cross examination, Ms.
Neimeyer stated: "I wouldn't expect a child to make a statement that [her]
daddy put [his penis] in [her] mouth because a child wants to protect the
people that she's close to and the people that take care of her. So I
wouldn't have expected her to say it if it didn't happen."
Notwithstanding the defense counsel's objections to the child's out-
of-court statements made to the school counselor, police detective, and
social worker, the trial court allowed these statements after determining
that the child was incompetent as a witness and unavailable to testify.
Moreover, the trial court denied defendant's pretrial motion to voir
dire each of the State's expert witnesses--on the underlying basis of their
opinion--before the witnesses gave their testimony. The court, however,
informed counsel that he could voir dire the witnesses as to their
qualifications.
The trial court also denied the defendant's motion to dismiss the
charges against him.
On appeal, the defendant contends that: (1) his pretrial request for
voir dire of the State's expert witnesses should have been granted; (2) his
motion to dismiss should have been granted; (3) the child's hearsaystatements made to the school counselor, police detective, and social
worker should not have been admitted into evidence; and (4) his counsel's
failure to object to the social worker's testimony that the child was
believable constituted ineffective assistance of counsel. We address each
respectively.
I.
[1]Defendant first argues that the trial court should have allowed
his counsel to
voir dire the State's expert witnesses before they testified
at trial to determine the underlying basis of their opinion. We disagree.
Under North Carolina law, an expert may testify,
in terms of opinion or inference and give his reasons
therefor without prior disclosure of the underlying
facts or data, unless an adverse party requires
otherwise, in which event the expert will be required
to disclose such underlying facts or data on direct
examination or voir dire before stating the opinion.
The expert may in any event be required to disclose the
underlying facts or data on cross-examination.
N.C. Gen. Stat. 8C-1, rule 705 (1992).
Thus, while rule 705 provides for the disclosure of the underlying
facts or data forming the basis of expert testimony upon an adverse party's
request, it permits the trial court to require such disclosure either on
direct or cross-examination, or on
voir dire before stating the opinion.
In the case
sub judice, the disclosure of the underlying facts or data
forming the basis of the experts' opinions occurred during direct and
cross-examination testimony. Moreover, the defendant has not shown any
prejudice from the delay in obtaining this evidence during direct and
cross-examination testimony. Accordingly, we find no merit to defendant's
first assignment of error.
II.
Next, the defendant contends that the trial court should have
dismissed the charges against him because the delay in receiving access to
the Durham Community Guidance Clinic's records violated his constitutional
right to due process by hindering his preparation of a defense.
In
Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L. Ed.2d 215
(1963), the United States Supreme Court held that the prosecution's
suppression of evidence favorable to an accused upon request violates due
process where the evidence is material either to guilt or to punishment.
See id. However, a general request for all
Brady information or all
exculpatory information does not create a prosecutorial duty to respond
with the production of all evidence.
See United States v. Agurs, 427 U.S.
97, 107, 96 S.Ct 2392, 2399, 49 L.Ed.2d 342, 351-52 (1976).
Before the subject trial, the defendant moved for the production of
the confidential records of the Durham Community Guidance Clinic. However,
since the State did not have access to these records, the trial court
ordered and reviewed
in camera the files of the Durham County Department of
Social Services which contained the Durham Community Guidance Clinic's
records. Upon its review, the trial court determined that most of these
records were not relevant to the matter before the court. Nonetheless, the
trial court allowed both the prosecutor and the defense to inspect all of
the records. The trial court also allowed the defense to review the
State's subpoenaed records from the Durham Community Guidance Center
received after the defendant's pre-trial discovery motion. In fact, these
records were available to the defense during the weekend recess of trial. In denying the defense's motion, the trial court determined that the
defendant had ample time to review the records and offered him more time if
needed, stating:
And the court finds that counsel for the defendant has
had an opportunity, an adequate opportunity to review
any and all records concerning this matter. And the
Court further finds as fact that if the defendant needs
a delay in trial to go over these records more in order
to recall any witnesses to question them about any of
these records the Court will be willing to do so.
Thus, the defendant had ample access and adequate time to review the Durham
Community Guidance Center's records in preparing a defense. Because he has
failed to show that the State withheld exculpatory evidence in violation of
Brady, we reject defendant's second assignment of error.
III.
[2] The defendant next asserts that the admission of the child's
hearsay statements made to the school counselor, police detective, and
social worker violated his constitutional right to confront witnesses. He
argues first that the trial court erred in finding that the child was
unavailable to testify. We disagree.
The determination of whether a child is competent to testify is a
matter within the sound discretion of the trial court.
See State v. Ward,
118 N.C. App. 389, 455 S.E.2d 666 (1995). Moreover, "[t]he trial court's
decision will not be reversed on appeal unless it is shown that it could
not have been the result of a reasoned decision."
Id. at 394, 455 S.E.2d
at 669.
Because the defendant has failed to show that the trial court's
decision was not the result of a reasoned decision, we will not disturb thetrial court's finding that the child in this case was unavailable to
testify.
See State v. Chandler, 324 N.C. 172, 376 S.E.2d 728 (1989)
(holding that a four-year-old victim who was unable to respond to questions
because of fear was "unavailable" within meaning of hearsay rule and thus,
her testimony from defendant's first trial was admissible in a subsequent
retrial).
Next, the defendant challenges the trial court's admission of these
hearsay statements under the N.C. Gen. Stat. § 8C-1, Rule 804(b)(5)
catchall exception.
This catchall exception permits the admission of statements having
equivalent guarantees of trustworthiness where a declarant is unavailable.
To determine whether the subject statements were admissible under the
catchall exception, the trial court conducted a six-step inquiry, under the
guidance of
State v. Swindler, 339 N.C. 469, 450 S.E.2d 907 (1994), and
found that:
(1) The State gave the defense sufficient notice of
intent of its use of these statements;
(2) These statements were not specifically covered by
any of the other exceptions to the hearsay rule under
Rules 803 and 804;
(3) These statements were trustworthy;
(4) The proffered statements were offered as evidence
of a material fact;
(5) The statements were more probative on the point for
which they were offered than any other evidence which
the proponent could accrue through reasonable efforts;
(6) The general purpose of these rules and the best
interest of justice would be served by the admission of
these statements into evidence.
See State v. Swindler, 339 N.C. 469, 473-74, 450 S.E.2d 907, 910 (1994)
;
see also State v. Wagoner, 131 N.C. App. 285, 506 S.E.2d 738, 740 (1998);
N.C. Gen. Stat. § 8C-1, Rule 804(b)(5) (1992).
Reviewing the record on appeal, we find evidence to support the trial
court's assessment as to each of these particular findings which in turn
supports the trial court's decision to allow the hearsay statements under
the Rule 804(b)(5) catchall exception.
[3] Nonetheless, we further address the issue of whether the admission
of these hearsay statements violated the defendant's constitutional right
to confront the declarant child.
"The Confrontation Clauses in the Sixth Amendment to the United States
Constitution and Article I Section 23 of the North Carolina Constitution
prohibit the State from introducing hearsay evidence in a criminal trial
unless the State: (1) demonstrates the necessity for using such testimony,
and (2) establishes the inherent trustworthiness of the original
declaration."
State v. Waddell, 130 N.C. App. 488, 494, 504 S.E.2d 84, 88
(1998).
In the circumstance where the State's case depends in the main upon
the child sex abuse victim's statements and the child is incompetent to
testify '[t]he unavailability of the victim due to incompetency and the
evidentiary importance of the victim's statements adequately demonstrate
the necessity prong of this test."
Waddell, 130 N.C. App. at 494, 504
S.E.2d at 88. (quoting
State v. Gregory, 78 N.C. App. 565, 568, 338 S.E.2d
110, 112 (1985)). In the subject case, because the unavailability of the
child was due to her incompetency, it was necessary to allow thetestimonies of the school counselor, police detective, and social worker.
Thus, the necessity requirement was satisfied in the case
sub judice.
In evaluating whether the hearsay testimony meets the circumstantial
guarantees of trustworthiness, the trial court should consider the
following factors:
(1) assurances of the declarant's personal knowledge of
the underlying event, (2) the declarant's motivation to
speak the truth or otherwise, (3) whether the declarant
has ever recanted the statement, and (4) the practical
availability of the declarant at trial for meaning of
cross examination.
State v. Triplet, 316 N.C. 1, 10-11, 340 S.E.2d 736, 742 (1986).
Our review of the record in this case, shows that the trial court's
determination that the subject hearsay statements satisfied the
circumstantial guarantees of trustworthiness was supported by evidence
showing that the child--as the victim--had personal knowledge of the
underlying incident at issue in this case. Further, there was no evidence
in the record that the child had any motive for lying, nor that she had
ever recanted these statements. Additionally, it was not practical for the
child to testify in this case because of her incompetency.
Moreover, the trial court's finding of incompetence under these
circumstances did not as a matter of law invalidate the child's prior
statements made with personal knowledge.
See State v. Rogers, 109 N.C.
App. 491, 498, 428 S.E.2d 220, 224,
cert. denied, 334 N.C. 625, 435 S.E.2d
348 (1993),
cert. denied, 511 U.S. 1102, 114 S. Ct. 1875, 128 L. Ed.2d 495
(1994) (holding that the trial court's finding of incompetence is not
inconsistent as a matter of law with a finding that the child may
nevertheless be qualified as a declarant out of court to relate truthfullypersonal information and belief). Accordingly, we conclude that the
second requirement of trustworthiness has also been satisfied.
In sum, since the trial court's admission of these hearsay statements
did not infringe upon the defendant's constitutional right to confront
witnesses, we reject the defendant's third assignment of error.
IV.
[4] Finally, the defendant argues that his constitutional right to
effective assistance of counsel at trial was violated because his trial
attorney failed to object to the social worker's testimony that the child's
statements were believable. In particular, the social worker stated during
cross examination: "I wouldn't expect a child to make a statement that
[her] daddy put [his penis] in [her] mouth because a child wants to protect
the people that she's close to and the people that take care of her. So I
wouldn't have expected her to say it if it didn't happen."
To establish ineffective assistance of counsel, the defendant must
satisfy a two-prong test set forth by the United States Supreme Court in
Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L. Ed.2d 674
(1984).
See State v. Braswell, 312 N.C. 553, 562-63, 324 S.E.2d 241, 248
(1985);
State v. Lee, 348 N.C. 474, 491, 501 S.E.2d 334, 345 (1998). Under
this test, the defendant must show that: (1) the counsel's performance fell
below an objective standard of reasonableness as defined by professional
norms and (2) the error committed was so serious that a reasonable
probability exists that the trial result would have been different absent
the error. See
Lee, 348 N.C. at 491, 501 S.E.2d at 345.
Under Rules 405 and 608 of the North Carolina Rules of Evidence, anexpert witness may not testify that the prosecuting witness in a sexual
abuse trial is believable,
see State v. Aguallo, 318 N.C. 590, 350 S.E.2d
76 (1986), nor that the child is lying about the alleged sexual assault,
see State v. Heath, 316 N.C. 337, 341 S.E.2d 565 (1986). However, an
expert may testify as to the characteristics of sexually abused children
and may express an opinion as to whether the characteristics of the child
at issue are consistent with the characteristics of sexually abused
children.
See State v. Kennedy, 320 N.C. 20, 32, 357 S.E.2d 359, 366
(1987);
State v. Hammond, 112 N.C. App. 454, 461, 435 S.E.2d 798, 802
(1993) (an expert may express her opinion as to whether the victim
exhibited characteristics similar to an abused child), disc. review
denied, 335 N.C. 562, 441 S.E.2d 126 (1994)).
In the instant case, the first part of the social worker's statements
that "I wouldn't expect a child to make a statement that [her] daddy put
[his penis] in [her] mouth because a child wants to protect the people that
she's close to and the people that take care of her is merely the social
worker's opinion that abused children generally do not falsely accuse their
parents--which is permissible testimony of the characteristics of abused
children. The last part of the social worker's statements that she
wouldn't have expected her to say it if it didn't happen" constitutes
impermissible expert testimony as to the credibility of this particular
child.
See State v. Oliver, 85 N.C. App. 1, 11, 354 S.E.2d 527, 533
(holding that an expert may testify as to the general credibility of
children who report sexual abuse, but not as to the credibility of the
specific victim). However, under certain circumstances, "otherwise inadmissible evidence
may be admissible if the door has been opened by the opposing party's cross
examination of the witness."
State v. Baymon, 336 N.C. 748, 752, 446
S.E.2d 1, 3 (1994). "'Opening the door refers to the principle that where
one party introduces evidence of a particular fact, the opposing party is
entitled to introduce evidence in explanation or rebuttal thereof, even
though the rebuttal evidence would be incompetent or irrelevant had it been
offered initially.'"
Id. at 752-53, 446 S.E.2d at 3 (quoting
State v.
Sexton, 336 N.C. 321, 360, 444 S.E.2d 879, 901 (1994)).
In the case at hand, the testimony at issue was given by the social
worker in response to the defense counsel's questions. Specifically, the
following colloquy took place at trial:
Q. You would not expect a five year old to say someone
put their dink-a-link in her mouth unless it had
happened.
A. No. Because it is a very shameful thing for a
child.
Q. Unless they had experience before?
A. I wouldn't expect a child to make a statement that
their daddy put it in their mouth because a child wants
to protect the people that she's close to and the
people that take care of her. So. I wouldn't have
expected her to say that if it didn't happen.
Q. And unless they have experienced the dink-a-link in
their mouth before or seen somebody put a dink-a-link
in somebody's mouth before they wouldn't even know it
ever went on any way, would they?
Through this line of questioning
, the defense counsel
attempted to show
that the child's sexual knowledge resulted from a prior incident of sexual
abuse occurring at her mother's home as oppose to the incident for whichthe defendant was being tried. Hence, the defense counsel opened the door
to the social worker's testimony as to the child's statements being
believable.
We, therefore, hold that the social worker's testimony was admissible.
Consequently, the defendant's assertion that his counsel's failure to
object to such testimony constituted ineffective assistance of counsel is
without merit.
See Lee, 348 N.C. at 492, 501 S.E.2d at 345 (stating that
[t]he first part of the
Strickland test is not satisfied where defendant
cannot even establish that an error occurred).
Having summarily determined that the defendant's remaining assignments
of error lack merit, we conclude that the defendant was given a fair trial,
free of prejudicial error.
No error.
Judge GREENE concurs in the result in a separate opinion.
Judge MARTIN concurs.
===========================
GREENE, Judge, concurring in the result.
Although I concur in the result reached by the majority, I must write
separately because I do not agree that our inquiry into whether Defendant
received effective assistance of counsel ends with the determination that
defense counsel "opened the door" to the admissibility of expert testimony
as to the credibility of the child victim in this case. To the contrary, I
believe opening the door to otherwise inadmissible testimony could be as
indicative of ineffective assistance of counsel as the failure to object to
its admission. The majority holds, and I agree, that Defendant's trial counsel
"opened the door" to admission of this statement by asking the State's
expert witness whether she would "expect a five year old to say someone put
their dink-a-link in her mouth unless . . . they had experience[d] [it]
before." I do not believe, however, that our inquiry ends there. We must
further determine whether defense counsel's elicitation of this statement
constitutes ineffective assistance of counsel.
A defendant's constitutional right to counsel includes the right to
effective assistance of counsel.
State v. Braswell, 312 N.C. 553, 561, 324
S.E.2d 241, 247 (1985). To show that counsel was ineffective, a defendant
must satisfy a two-part test.
Id. at 562, 324 S.E.2d at 248.
First, the defendant must show that counsel's
performance was deficient. This requires showing that
counsel made errors 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[s]
were so serious as to deprive the defendant of a fair
trial . . . .
Id. (quoting
Strickland v. Washington, 466 U.S. 668, 687, 80 L. Ed. 2d 674,
693 (1984)).
"[E]very effort [should] be made to eliminate the distorting
effects of hindsight" in reviewing defense counsel's effectiveness "and to
evaluate the conduct from counsel's perspective at the time."
State v.
Mason, 337 N.C. 165, 177-78, 446 S.E.2d 58, 65 (1994) (quoting
Strickland,
466 U.S. at 689, 80 L. Ed. 2d at 694). There is a "strong presumption"
that, under the circumstances, the challenged action of defense counsel was
sound trial strategy rather than ineffective assistance.
Strickland, 466
U.S. at 689, 80 L. Ed. 2d at 694. In this case, my review of the record reveals defense counsel herein
was attempting to elicit favorable information from the expert when asking
whether she would expect a five-year-old to make allegations of sexual
abuse "[u]nless they had experience[d] [it] before." There was evidence
before the jury that Defendant and the child's mother maintained separate
residences, and that the child had previously been sexually abused while in
her mother's care. Testimony of several witnesses, including experts,
revealed that the child had told the same story of abuse by Defendant to
each of them, and the physical evidence revealed that the child had been
sexually abused. Defense counsel was therefore proceeding on the theory
that the child was, at best, describing sexual acts committed by adults
other than Defendant. Because the evidence supported this reasonable trial
strategy, Defendant has not overcome the strong presumption that defense
counsel acted reasonably in attempting to elicit this information.
Accordingly, I agree with the majority that Defendant was not denied
effective assistance of counsel.
I also write separately to address the majority's statement that the
Confrontation Clause prohibits "the State from introducing hearsay evidence
in a criminal trial unless the State: (1) demonstrates the necessity for
using such testimony, and (2) establishes the inherent trustworthiness of
the original declaration." 134 N.C. App. 379, 385, 517 S.E.2d 677, ___
(1999). Our Supreme Court has explicitly held: "[T]he Confrontation
Clause of the North Carolina Constitution
does not require a showing or
finding of necessity before hearsay testimony may properly be admitted
under a firmly rooted exception to the hearsay rule."
State v. Jackson,348 N.C. 644, 647, 503 S.E.2d 101, 103 (1998) (emphasis added). Necessity
is a prerequisite to admission of hearsay testimony
only when the testimony
is offered under one of the "residual" hearsay exceptions (
i.e., Rule
803(24) and Rule 804(b)(5) of our Rules of Evidence).
See id. at 652, 503
S.E.2d at 106. I agree with the majority that necessity was a prerequisite
to admission of the hearsay testimony in this case because the hearsay
testimony at issue was offered under the "residual" hearsay exceptions
rather than a "firmly rooted" exception.
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