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All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Carolina Court of Appeals Reports. In the event of discrepancies between the electronic version of an opinion and the
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STATE OF NORTH CAROLINA v. JERRY LATHAM CARRIGAN Defendant
NO. COA02-1577
Filed: 18 November 2003
1. Evidence--hearsay--residual exception-_notice
The trial court did not err in a first-degree rape, first-degree sexual offense, taking indecent
liberties with a child, incest, and crime against nature case by denying defendant's motion to
introduce the out-of-court statements of the minor victim's now deceased cousin, because: (1)
defendant did not give proper notice of its intention to offer the hearsay testimony when the State
had no notification of defendant's intent to use the statements of the deceased declarant and the
prosecution had no reason to prepare to rebut the statements; and (2) even if defendant had given
proper notice, the testimony of the witnesses concerning the cousin's statements lacked sufficient
guarantees of trustworthiness. N.C.G.S. § 8C-1, Rules 803(24), 804(b)(5).
2. Criminal Law--instructions--referring to minor child as victim
The trial court did not commit plain error in a first-degree rape, first-degree sexual offense,
taking indecent liberties with a child, incest, and crime against nature case by referring to the minor
child as the victim forty times in its jury charge, because: (1) North Carolina trial courts have
found that the use of the word victim in jury instructions does not rise to the level of plain error;
(2) the word victim is used in North Carolina pattern jury instructions for first-degree rape and
first-degree sexual offense charges; and (3) in view of the evidence in this case, it cannot be said that
the outcome of defendant's trial would have been any different had the word victim not been used
in the trial court's instructions.
3. Sexual Offenses--first-degree--failure to require unanimous verdict for specific sexual
act
The trial court did not commit plain error by failing to require a unanimous verdict regarding
the specific sexual act it found as the predicate act for the verdict of guilty of first-degree sexual
offense because N.C.G.S. § 14-27.4(a)(1) does not require all twelve jurors to agree as to which act
defendant committed, but rather that he committed a sexual act.
4. Criminal Law--motion for mistrial--failure to show substantial and irreparable
prejudice
The trial court did not abuse its discretion in a first-degree rape, first-degree sexual offense,
taking indecent liberties with a child, incest, and crime against nature case by denying defendant's
motion for a mistrial, nor did it commit plain error by failing to inquire of the jury if it could ignore
improperly admitted evidence from the minor victim stating during direct examination that a family
member now knew it was true about what happened to a person named Kathy, because: (1)
defendant's objection to the statement was sustained and the trial court instructed the jury not to
consider the remark; (2) there was no testimony as to Kathy's identity nor any indication given as
to what had happened to her; and (3) the record does not disclose that the isolated testimony
substantially and irreparably prejudiced defendant.
Appeal by defendant from judgment entered 30 November 2001 by
Judge W. Robert Bell in Cleveland County Superior Court. Heard inthe Court of Appeals 17 September 2003.
Attorney General Roy Cooper, by Assistant Attorney General
Diane G. Miller, for the State.
Miles & Montgomery, by Mark Montgomery, for defendant.
MARTIN, Judge.
Defendant appeals from a judgment ordering his imprisonment
for a minimum term of 240 months and a maximum term of 297 months.
The judgment was entered upon his conviction by a jury of first
degree rape, first degree sexual offense, taking indecent liberties
with a child, incest, and crime against nature.
The State's evidence at trial tended to show that on 22
January 2000, eleven-year-old A.L., and her nine-year-old sister,
C.L., went to the home of defendant, their maternal grandfather, to
spend the weekend. After spending Saturday night at defendant's
home, defendant took the girls to the home of his mother, Evelyn
Smith (Smith) on Sunday, 23 January 2000. When they arrived,
their cousins, Joannie Appleman and Melissa Appleman Wease, were
already there.
A.L. testified that about 8:00 or 9:00 on Sunday evening,
defendant took A.L. to the grocery store to buy spaghetti for
dinner. Some time later, he asked A.L. to accompany him to the
store again but took her, instead, to his house. A.L. went inside
and was watching television when defendant called her to his
bedroom and asked her to try on a pair of red panties. When she
refused, he grabbed her, threw her on the bed, forced some white
pills down her throat and twisted a sheet around her neck. WhenA.L. resisted, defendant tightened the sheet so that she was unable
to resist or scream. According to A.L.'s testimony, defendant
pulled down her pants, forced her legs apart and inserted his
fingers into her vagina before inserting his penis. A.L. testified
that it felt like he was ripping her apart. Next, defendant got
beside her on the bed, forced her mouth open and put his penis into
her mouth so deep that she blacked out. When she woke up, she was
partially clothed on defendant's bed, with the sheet still around
her neck. When she stood up to get dressed, she felt dizzy and
sore. On the way back to Smith's, defendant told A.L. that if she
told anyone, he would hurt her family.
After arriving back at Smith's house, A.L. went into the
bathroom and found blood on her panties. She told C.L., Joannie
and Melissa that defendant had raped her. Melissa and Joannie told
Diane, defendant's wife, who checked A.L. and told her she looked
fine. A.L. called her mother, Tammy Lewis, (Lewis) about 3:00
a.m. Monday morning, but because defendant was standing nearby,
A.L. told her mother only that she was sick and wanted to come
home. Defendant then spoke with Lewis and told her A.L. would be
fine by the morning. After defendant hung up, he and Smith
unplugged and hid the telephone.
The next morning, C.L. found the telephone, called her mother,
asked her to come get them, and told her that defendant had raped
A.L. When Mrs. Lewis arrived, A.L. was sitting in the living room
and needed help to walk out to the van. They went directly to the
emergency room at Gaston Memorial Hospital.
At the hospital, A.L. was examined and interviewed by doctors,nurses and policemen. She had clusters of small red areas around
her neck consistent with where she described defendant had choked
her with the sheet. In addition, there were scratches and bruises
on the front of her neck. A toxicology test showed the presence of
two drugs, a barbiturate and benzodiazepine, a sedating drug. The
gynecological exam revealed abrasions on both sides of her labia
minora and a small laceration of the posterior fourchette, the area
around the vagina. There were additional lacerations on her
hymenal ring and bruising on her external genitalia. These
injuries, which appeared to be eighteen to twenty hours old, were
consistent with A.L.'s account of the events, but could also have
been caused by a straddle injury.
Defendant presented evidence tending to show that Lewis had
given A.L. some pills for stomach problems before she went to
defendant's house. On the night in question, A.L., C.L., and their
cousins were playing on the bed in their bedroom when the bed
collapsed. Smith called her son-in-law, Frank Appleman, who came
and fixed the bed.
_______________________________________
Defendant brings forward in his brief five of the fourteen
assignments of error contained in the record on appeal. Those
assignments of error not presented for review and discussed in the
brief are deemed to have been abandoned. N.C.R. App. P. 28(a). We
have carefully considered his arguments in support of the
assignments of error brought forward in the brief and conclude that
defendant received a fair trial, free of prejudicial error.
I.
[1] Defendant first contends the trial court erred in denying
the defendant's motion to introduce the out-of-court statements of
A.L.'s cousin, Joannie Appleman. On the first day of the trial, 27
November 2001, defendant gave the State written and oral notice
that he intended to offer the hearsay testimony of Joanie Appleman,
now deceased, under Rule 803(24) of the North Carolina Rules of
Evidence. The State objected to the evidence, stating that it was
unprepared to respond to the testimony. Because defendant was not
certain if he was going to offer the evidence, the trial court
delayed its ruling.
Later in the trial, during a
voir dire hearing, Melissa
Appleman Wease testified that on the weekend of 23 January 2000,
she and her sister, Joannie, were at Smith's trailer when her
cousins, A.L. and C.L. came to visit. On the night of 23 January
2000, Joannie told Melissa that earlier, she and A.L. had been
jumping on a bed in Smith's house when the bed broke and A.L.
straddled the footboard. Although Melissa remembered that A.L.
told her she had been raped by the defendant, Melissa did not
remember talking to the investigators or social services workers
who had interviewed her.
Defendant's mother, Evelyn Smith, testified during the
voir
dire hearing that on 23 January 2000, that Joannie told her that
A.L. broke the bed down, went across the footboard and hurt
her private. Smith called her son-in-law, Frank Appleman, to fix
the bed that same day. Smith, who has diabetes, admitted that her
blood sugar was not stable, causing her confusion and memory
problems. Although Smith spoke with investigators and socialworkers shortly after the incident, she, too, failed to mention the
incident to them.
Frank Appleman, Joannie's father, testified at the hearing
that he received a call from Smith one Sunday in January 2000,
asking him to come fix a broken bed. When Mr. Appleman asked
Joannie what had happened to the bed, she told him the bed fell
down when she and A.L. were playing on it, and A.L. hurt herself,
but not bad. During his testimony, Appleman could not remember
A.L.'s name.
The State objected to the evidence because (1) proper notice
was not served, (2) there was no guarantee of trustworthiness, and
(3) without the opportunity to secure witnesses to contradict the
testimony, the interest of justice could not be served. The trial
court sustained the State's objection, finding the defendant failed
to give proper notice and that even if the notice requirement was
proper, there were insufficient guarantees of trustworthiness in
the testimony of the witnesses. Defendant assigns error to the
ruling.
Hearsay is an out-of-court statement offered to prove the
truth of the matter asserted. N.C. Gen. Stat. § 8C-1, Rule 801(c)
(2001). Although hearsay is generally not admissible, N.C. Gen.
Stat. § 8C-1, Rule 802 (2001), there are exceptions to such
inadmissibility, including the residual exceptions provided by
Rule 803(24), where the availability of the declarant is
immaterial, and by Rule 804(b)(5), where the declarant is
unavailable. The residual exceptions provided by Rules 803(24)
and 804(b)(5) are virtually identical, and our Supreme Court hasadopted identical six-part guidelines for the admission of
testimony offered under either of these exceptions.
State v.
Triplett, 316 N.C. 1, 7, 340 S.E.2d 736, 740 (1986).
A hearsay
statement may be admitted into evidence under the residual
exceptions if (1) proper notice is given to the adverse party of
his intent to offer the evidence and of its particulars, (2) the
statement is not covered by any other hearsay exceptions, (3) the
statement possesses an equivalent circumstantial guarantee of
trustworthiness, (4) the statement is offered as evidence of a
material fact, (5) the evidence is more probative than prejudicial
on the point for which it is offered, and (6) the general interest
of justice is best served by admitting the evidence.
Id. at 9, 340
S.E.2d at 741. In order to meet the notice requirement, written
notice of the intention to offer the statement, as well as the
particulars of it, including the name and the address of the
declarant,
must be given to the adverse party sufficiently in
advance of offering the statement.
Id. at 12, 340 S.E.2d at 743.
The notice requirement does not require a fixed amount of time and
is usually viewed somewhat flexibly, in light of the policy of
providing a party with a fair opportunity to meet the proffered
evidence.
Id. at 11-12, 340 S.E.2d at 743.
On appeal, the ruling
of the trial court will be reversed only if the findings are not
supported by competent evidence or if the law was applied
erroneously.
State v. Holden, 106 N.C. App. 244, 251, 416 S.E.2d
415, 419-420 (1992),
disc. review denied, 332 N.C. 669, 424 S.E.2d
413 (1992).
Although some North Carolina cases have found notice given onthe first day or two of trial to be sufficient notice for purposes
of the first requirement, in such cases notice was effectively
given earlier, through oral notice or through discovery.
See
Triplett, 316 N.C. at 13, 340 S.E.2d at 743 (although written
notice was given the day trial began, the prosecutor informed the
defense three weeks earlier of its intent to introduce the
statements);
State v. Agubata, 92 N.C. App. 651, 375 S.E.2d 702
(1989) (letter written to prosecutor advising her of defendant's
intent to introduce evidence under 803(24) was sufficient notice);
State v. Bullock, 95 N.C. App. 524, 528, 383 S.E.2d 431, 433 (1989)
(State disclosed its intent to use statements as well as their
substance in a request for discovery two months prior to trial);
State v. Nichols, 321 N.C. 616, 623, 365 S.E.2d 561, 565 (1988)
(defendant had a copy of the statement well in advance of trial and
knew the identity of the declarant on the first day of trial, five
weeks prior to the introduction of the evidence).
It is undisputed that Joannie's statements are hearsay and
that she is unavailable as a witness. Although there is ambiguity
in the record as to whether the State received notice one or two
days prior to the issue being heard, it is clear during pretrial
motions on the day before the beginning of the trial, counsel did
not inform the court or the State of his intent to use the
statements made by Joannie, even though he had learned of them the
previous Friday. Because the State had no notification of
defendant's intent to use the statements of the deceased declarant,
the prosecution had no reason to prepare to rebut the statements.
Therefore, the State did not have a fair opportunity to respond tothe hearsay statements, and the trial court correctly found that
the defendant did not give proper notice of its intention to offer
hearsay testimony.
The trial court also found that even if defendant had given
proper notice, the testimony of the witnesses concerning Joannie's
statements lacked sufficient guarantees of trustworthiness. In
making this finding, the trial court specifically relied on the
testimony of Smith, Melissa Wease, and Frank Appleman and
incorporated that testimony as part of the findings of fact. The
testimony of these witnesses included (1) Melissa Wease's admission
that she had told no one that Joannie had told her A.L. was injured
from jumping on the bed and falling the night of 23 January 2000;
(2) Smith's testimony that she did not remember with whom she spoke
and that she had not told investigators of the accident during
interviews just after the incident; and (3) Appleman's inability to
recall A.L.'s name, and his testimony that he had not mentioned the
incident to anyone previously. In weighing the trustworthiness of
hearsay testimony, the trial court must consider: (1) assurances
of the declarant's personal knowledge of the underlying events, (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 meaningful
cross-examination.
Triplet, 316 N.C. at 10-11, 340 S.E.2d at 742.
In addition, the court should consider the nature and character of
the statement and the relationship of the parties.
Id. at 11, 340
S.E.2d at 742.
The trial court's
findings are supported by the
evidence and support its denial of defendant's proffer of thehearsay testimony of Joannie Appleman. Therefore, we overrule this
assignment of error.
II.
[2] By his next assignment of error, defendant contends that
the trial court committed plain error by referring to A.L. as the
victim forty times in its charge to the jury. Defendant failed
to object at trial to the use of the word victim in the
instructions to the jury and therefore has waived review of this
assignment of error unless it is found to be plain error. N.C.R.
App. P. 10(b)(2). Where plain error is claimed, the Court must
examine the whole record to determine if the claimed error is a
fundamental error, something so basic, so prejudicial, so lacking
in its elements that justice cannot have been done, . . . or where
it can be fairly said the instructional mistake had a probable
impact on the jury's finding that the defendant was guilty. State
v. Odom, 307 N.C. 655, 660, 300 S.E.2d 375, 378 (1983).
North Carolina trial courts have found that the use of the
word victim in jury instructions does not rise to the level of
plain error. State v. Henderson, 155 N.C. App. 719, 722, 574
S.E.2d 700, 703 (2003), disc. review denied, 357 N.C. 64, 579
S.E.2d 569 (2003); State v. Hatfield, 128 N.C. App. 294, 299, 495
S.E.2d 163, 165-166 (1998), disc. review denied, 348 N.C. 75, 505
S.E.2d 881 (1998), cert. denied, 525 U.S. 887, 142 L. Ed. 2d 165
(1998). In addition, the word victim is used in North Carolina
pattern jury instructions for first degree rape and first degree
sexual offense charges. State v. Richardson, 112 N.C. App. 58, 67,
434 S.E.2d 657, 663 (1993), disc. review denied, 335 N.C. 563, 441S.E.2d 132 (1994). Moreover, in view of the evidence in this case,
we cannot say that had the word victim not been used in the trial
court's instruction, there is a probability the outcome of the
defendant's trial would have been any different. This assignment
of error is overruled.
III.
[3] Defendant next argues the trial court committed plain
error by not requiring a unanimous verdict regarding the specific
sexual act it found as the predicate act for the verdict of guilty
of first degree sexual offense. Because the defendant did not make
a timely objection, the standard of review is plain error. Odom,
307 N.C. at 660, 300 S.E.2d at 378.
N.C. Gen. Stat. § 14-27.4(a)(1) (2001) states that a person is
guilty of a first degree sexual offense if the person engages in
a sexual act with a victim who is a child under the age of 13 years
and the defendant is at least 12 years old and is at least four
years older than the victim. The trial court instructed the
jurors that they must first find that defendant engaged in a sexual
act. They were told that a sexual act could be fellatio or it
could be by penetrating, however slight, with any object, the
genital opening of a person's body. The State's evidence tended to
show that defendant engaged in both of the acts described in the
jury instruction as sexual acts. The jury was also required to
reach a unanimous verdict as to each charge. The statute does not
require all twelve jurors to agree as to which act the defendant
committed, only that he committed a sexual act. See State v.
Youngs, 141 N.C. App. 220, 230, 540 S.E.2d 794, 802 (2000), disc.review denied, 353 N.C. 397, 547 S.E.2d 430 (2001); State v.
Hartness, 326 N.C. 561, 565, 391 S.E.2d 177, 179 (1990). This
assignment of error is overruled.
IV.
[4] Finally defendant argues by two assignments of error that
the trial court erred in denying defendant's motion for a mistrial,
and committed plain error by not inquiring of the jury if it could
ignore improperly admitted testimony. . Whether to grant a motion
for mistrial is in the sole discretion of the trial judge,
State v.
Calloway, 305 N.C. 747, 754. 291 S.E.2d 622, 627 (1982), and absent
an abuse of discretion the decision should not be overturned on
appeal.
State v. Craig, 308 N.C. 446, 454, 302 S.E.2d 740, 745,
cert. denied, 464 U.S. 908, 78 L. Ed. 2d 247 (1983). The trial
court may declare a mistrial when conduct inside or outside the
courtroom results in substantial and irreparable prejudice to the
defendant's case. N.C. Gen. Stat. § 15A-1061 (2001).
During her direct examination, A.L. stated: Melissa said,
'Now I know it's true about what happened to Kathy.' Defendant's
objection to the statement was sustained and the trial court
instructed the jury not to consider the remark. There was no
testimony as to Kathy's identity nor any indication given as to
what had happened to her. During her cross-examination,
defendant's counsel asked A.L., Who came in next? A.L.
responded, And, then I came out of the bathroom and laid on the
bed, and then that's when Melissa said that, that's why Kathy was
saying all that. Defendant objected and the court instructed the
witness: Tell him what happened next. Again, there was notestimony identifying Kathy or what she had said. The record
does not disclose that this isolated testimony substantially and
irreparably prejudiced defendant and thus, a mistrial was not
required.
No error.
Judges BRYANT and GEER concur.
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