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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. STEVEN KELLY BUSH
NO. COA03-612
Filed: 18 May 2004
1.
Evidence--expert testimony--victim sexually abused by defendant--plain error
The trial court committed plain error in a first-degree sexual assault case by admitting the
testimony of a pediatric gynecology expert that the victim was sexually abused by defendant even
though the expert found no physical evidence of sexual abuse, because: (1) in a sexual offense
prosecution involving a child victim, the trial court should not admit expert opinion that sexual
abuse has in fact occurred since, absent physical evidence supporting a diagnosis of sexual abuse,
such testimony is an impermissible opinion regarding the victim's credibility; (2) the victim was
the only person to attest to the alleged sexual abuse by defendant and her credibility was
questionable based on the facts that she delayed the report of the abuse for some time, the abuse
was first alleged while in an argument with her mother, the mother was seeing defendant after a
recent divorce with the victim's father, there was testimony from the mother that the victim
wanted to break up the mother and defendant, and no other incidents had been alleged against
defendant; and (3) the expert's testimony added tremendous credibility to the victim's alleged
abuse by defendant, and the conclusive nature of the testimony as to the sexual abuse as well as
naming defendant as the perpetrator was highly prejudicial.
2.
Evidence--pornographic videotapes_-sexual assault--relevancy
The trial court erred in a first-degree sexual assault case by allowing the State to
introduce evidence over defendant's objection that defendant bought and owned pornographic
videotapes, because: (1) there was no evidence that defendant provided pornographic videotapes
to the victim or employed the tapes to seduce the victim; (2) the tapes impermissibly injected
defendant's character into the case to raise the question of whether defendant acted in conformity
therewith at the time in question; (3) the mere possession of pornographic materials does not
meet the test of relevant evidence under N.C.G.S. § 8C-1, Rule 401; (4) evidence that one tape
was brought into the home after the incident in question substantially weakens the potential use
of the box of that tape under N.C.G.S. § 8C-1, Rule 404 for the theories of intent or absence of
mistake at the time of the incident; and (5) assuming arguendo that the video box could be
admitted under Rule 404(b), the video box had a clear prejudicial effect upon the divided jury in
this case.
3.
Criminal Law--instructions--affirmative defenses--sleep--unconsciousness--
diminished capacity
The trial court in a first-degree sexual assault case should instruct the jury as to the
unconsciousness/diminished capacity affirmative defense of sleep, along with any other defenses
which have been sufficiently raised by the evidence presented at a new trial, because: (1) there is
no direct evidence that defendant was awake at the time of the alleged touching; and (2) being
asleep is an appropriate circumstance that requires an unconscious or diminished capacity
instruction.
Judge LEVINSON concurring in part and dissenting in part.
Appeal by defendant from judgment entered 12 September 2002 by
Judge Kimberly S. Taylor in Davie County Superior Court. Heard in
the Court of Appeals 4 February 2004.
Attorney General Roy Cooper, by Assistant Attorney General
Diane G. Miller, for the State.
Miles & Montgomery, by Mark Montgomery, for defendant
appellant.
McCULLOUGH, Judge.
Defendant was convicted of first-degree sexual assault and
sentenced to a minimum of 336 months and a maximum of 413 months.
The evidence during the State's case tended to show the following:
PB, a twelve-year-old girl, and her younger sister, a seven-year-
old girl, were staying over at their mother's home. PB's mother,
Rita, had visitation rights with the children every other weekend.
PB's father and Rita had recently been divorced, with PB's father
having primary custody.
After watching a scary movie one evening, PB and her sister
went to sleep in the same bed with Rita and defendant. This was
not unusual. When the girls first were in the bed, Rita was in
between the two girls and defendant. During the night, the younger
sister kept kicking PB, and waking everyone up in the bed. At
defendant's suggestion, PB moved to the other side of the bed, in
between her mother and defendant.
Later during the night, defendant is alleged to have rubbed
PB's genital area on the outside of her pajamas, after which he
then inserted his finger into her vagina. Defendant continued to
keep moving his finger inside her. After removing his finger, PBwent to the bathroom. When her mother asked what was wrong, she
replied that she was hot. Defendant got out of bed, went into the
living room and had a cigarette. When he got out of bed, PB called
to Rita, He's following me. PB then got back in bed between her
sister and defendant, but closer to her sister. The time period of
the alleged incident, whether it was the school year or summer, was
unclear in PB's memory.
After not telling anyone of the incident for sometime and
expressing desire to discontinue the visitation pattern with her
mother by skipping some visits, PB revealed what defendant had
done. She did so during an argument she was having with Rita.
Shocked by what her daughter told her, Rita than confronted
defendant.
PB and Rita testified that defendant denied doing anything and
was upset. Rita then suggested that it may have been an accident,
or that he had done it in his sleep, mistaking PB for her.
Defendant said he did not think he could have touched PB at all,
but if he had that it must have been in his sleep. He said he was
sorry if that is what had happened, and it was decided that PB
would not sleep next to him anymore.
The incident was not raised again until an investigation by
DSS was conducted, the reasons for which are not of record. During
the investigation, the victim's mother told a detective that she
thought the victim was trying to break up her and defendant.
Defendant fled to Nebraska until he was extradited back to North
Carolina and imprisoned. The expert testimony diagnosing PB as having been sexually
abused by defendant, and evidence that defendant owned and watched
pornographic videotapes, were part of the State's case in chief
against defendant. Further facts relevant to the issues raised by
defendant are incorporated below.
Defendant now raises four issues on this appeal. He argues the
trial court committed reversible error as to the following: (I)
improperly admitting expert testimony definitively stating that
defendant had sexually abused PB when there was no physical
evidence of such abuse; (II) improperly admitting evidence of
defendant's possession of pornographic videos and admitting into
evidence one of the boxes of these videos; (III) failing to
instruct the jury of the defenses of unconsciousness, mistake of
fact, and accident; and (IV) improperly computing the prior record
level of defendant for the purposes of sentencing. While we find
admittance of the testimony of the State's expert witness
constituted plain error, and grant a new trial on that ground, we
will also address those issues relating to the pornographic videos
and the jury instructions because they are likely to recur during
a retrial.
Expert Testimony Alleging Sexual Abuse
[1] Defendant contends that the trial court committed plain
error in the admission of the testimony of Dr. Kathleen Russo, an
expert in pediatric gynecology. Specifically, defendant argues
admission of the doctor's statement at trial regarding her
diagnosis of PB constituted plain error. Dr. Russo testified, PB
was sexually abused by Mr. Stephen Bush. She then went on to saythat this diagnosis was definite. Based on the facts of this
case, we hold that allowing this highly prejudicial and otherwise
inadmissible testimony rose to the level of plain error.
I. Applicable Law
A. Standard of Review
There is some question as to what standard of review we are to
apply. The record indicates that defendant objected to Dr. Russo's
diagnosis, but stated no grounds for his objection and did not seek
to strike her subsequent testimony or object to its conclusive
nature. However, because we conclude the trial court's admission of
such testimony constituted a miscarriage of justice, and therefore
plain error, we will apply that standard to our analysis.
Plain error is error 'so fundamental as to amount to a
miscarriage of justice or which probably resulted in the jury
reaching a different verdict than it otherwise would have
reached.' State v. Parker, 350 N.C. 411, 427, 516 S.E.2d 106, 118
(1999) (citations omitted), cert. denied, 528 U.S. 1084, 145 L. Ed.
681 (2000). Plain error does not simply mean obvious or apparent
error. State v. Odom, 307 N.C. 655, 660, 300 S.E.2d 375, 378
(1983). Our Supreme Court has explained that the plain error rule
must be applied cautiously and only in exceptional cases where,
'after reviewing the entire record, it can be said the claimed
error is a fundamental error, something so basic, so prejudicial,
so lacking in its elements that justice cannot have been done.'
State v. Davis, 349 N.C. 1, 29, 506 S.E.2d 455, 470 (1998), cert.
denied, 526 U.S. 1161, 144 L. Ed. 2d 219 (1999) (citations
omitted). B. Expert Testimony of Sexual Abuse
In a sexual offense prosecution involving a child victim, the
trial court should not admit expert opinion that sexual abuse has
in fact occurred because, absent physical evidence supporting a
diagnosis of sexual abuse, such testimony is an impermissible
opinion regarding the victim's credibility. State v. Stancil, 355
N.C. 266, 267, 559 S.E.2d 788, 789 (2002). See also State v.
Grover, 142 N.C. App. 411, 417-18, 543 S.E.2d 179, 183-84, aff'd,
354 N.C. 354, 553 S.E.2d 679 (2001); State v. Dick, 126 N.C. App.
312, 315, 485 S.E.2d 88, 90, disc. review denied, 346 N.C. 551, 488
S.E.2d 813 (1997); State v. Trent, 320 N.C. 610, 614-15, 359 S.E.2d
463, 464-65 (1987). An expert witness may testify, upon a proper
foundation, as to the profiles of sexually abused children and
whether a particular complainant has symptoms or characteristics so
as to inform the jury that the lack of physical evidence of abuse
is not conclusive that abuse did not occur. State v. Hall, 330
N.C. 808, 818, 412 S.E.2d 883, 888 (1992); State v. Aguallo, 322
N.C. 818, 822-23, 370 S.E.2d 676, 678 (1988); State v. Kennedy, 320
N.C. 20, 32, 357 S.E.2d 359, 366 (1987).
II. Dr. Russo's Testimony
At trial Dr. Russo testified as to her qualification and
certifications in Salisbury, North Carolina. This evidenced her
undisputed status as an expert. She then testified to her
involvement in the Child Medical Evaluations Program:
Q: Can you explain to the ladies and
gentleman what the CME program is?
A: The CME or Child Medical Examination
Program is an advocacy program for children
that helps in investigating and determining ifthe child has suffered abuse, assisting in
providing them treatment, assisting the non-
offending family members this treatment and
counseling, and then helping to identify the
individual responsible for the abuse and
finding them guilty and the punishment for
that.
(Emphasis added.) Dr. Russo went on to explain her examination of
PB and that she found no physical evidence of sexual abuse. She
then testified that physical evidence in the vaginal area will not
always be present and this would be absolutely consistent with
that of a prepubertal child who has been sexually abused. Finally,
when asked what her diagnosis of PB was, Dr. Russo stated: My
diagnosis was [PB] was sexually abused by [defendant]. The basis
of her diagnosis was as follows:
I was impressed by [PB's] sensory
recollection. Children cannot fantasize
visual and other sensory experiences at the
same time and the fact that she could tell me
how she felt, how she was feeling that
evening, what she felt, and what she did when
she realized what was happening, what Mr.
Bush's response was when she realized he was
waking up, where they were, where the other
people in the family were at the time, all of
that other sensory recollection was very
telling and adds to the credibility of her
story.
(Emphasis added.)
We hold the admission of Dr. Russo's diagnosis that PB was
sexually abused by defendant was plain error by the trial court.
This holding is based on the following facts: PB was the only
person to attest to the alleged sexual abuse by defendant. While
this is often the situation in sexual abuse cases, here PB's
credibility was questionable as to the sexual abuse for a number of
reasons. She delayed the report of the abuse for some time (howlong is not clear from the record); it was first alleged while in
an argument with her mother Rita; Rita was seeing defendant after
a recent divorce with PB's father (who had been given primary
custody of PB); there is testimony from Rita that PB wanted to
break up her and defendant; and no other incidents had been alleged
against defendant.
Dr. Russo's testimony added tremendous credibility to PB's
alleged abuse by defendant. In her testimony, Dr. Russo reaffirms
the details of PB's alleged abuse, as already testified to by PB,
and without additional physical evidence. The practical effect of
Dr. Russo's testimony was to give PB's story a stamp of credibility
by an expert in pediatric gynecology, and Dr. Russo stated so
specifically. Dr. Russo's diagnosis did not only go to the
credibility of PB's allegation of sexual abuse, but conclusively
stated that defendant had sexually abused PB. Furthermore, because
of Dr. Russo's involvement in the CME program, which she testified
to before giving her diagnosis, the jury was sure to be severely
prejudiced by Dr. Russo's conclusion that defendant had sexually
abused PB.
The State opines that the cases cited by defendant are
distinguishable from the case at bar, and instead State v. Reeder,
105 N.C. App. 343, 413 S.E.2d 580, disc. review denied, 331 N.C.
290, 417 S.E.2d 68 (1992) applies. Without need to distinguish
Reeder, we note at the outset that Reeder seems to be an anomaly
within the case law. Grover, 142 N.C. App. 411, 419, 543 S.E.2d
179, 184. Additionally, this case is distinguishable upon its face
from those in Stancil. While our Supreme Court in Stancil affirmedour finding of no plain error despite similar improper expert
testimony, in Stancil the corroborating evidence of abuse was much
stronger, and the testimony by the examining doctors went only to
the fact that the victim had been sexually abused. In Stancil, the
Court found no plain error where the jury had: (1) the testimony of
the child; (2) evidence of her intense and immediate emotional
trauma after the incident; (3) the consistency of her accounts; (4)
her demeanor and physical manifestations during the interviews and
first physical exam; (5) evidence of her symptoms and exam by
examining doctors five days later; and (6) the conclusions of two
experts that her actions and statements were consistent with child
maltreatment or abuse. State v. Stancil, 146 N.C. App. 234, 240,
552 S.E.2d 212, 216 (2001), aff'd, State v. Hughes, 560 S.E.2d 148
(2002).
In the case at bar, any and all corroborating evidence is
rooted solely in PB's telling of what happened, and that her story
remained consistent. Furthermore, the testimony of Dr. Russo in
this case was of greater prejudicial impact than that in Stancil,
as she concluded, based upon her credibility assessment of PB's
story, that it was defendant who had sexually abused PB.
Therefore, the conclusive nature of Dr. Russo's testimony as
to the sexual abuse and that defendant was the perpetrator was
highly prejudicial. This constituted plain error. Defendant is
entitled to a new trial.
Pornographic Videos
[2] Although we have granted a new trial on the basis of the
prejudicial expert testimony introduced at trial, we will address defendant's objection to evidence introduced by the State that
defendant bought and owned pornographic videotapes. We do so as
this issue is likely to recur at any new trial. We conclude it was
error to admit any and all evidence of such tapes.
In the case at bar, the State was allowed to admit testimony
that defendant had previously bought and owned pornography pursuant
to N.C. Gen. Stat. § 8C-1, Rule 404(b) (2003). Furthermore, a box
of one of the tapes which he had purchased, depicting young women
having sex and entitled Little Pussy, was published to the jury.
Rita's testimony showed this tape was first brought into PB's home
after the incident in question. There was no evidence that
defendant provided pornographic videotapes to PB or employed the
tapes to seduce PB. Absent proof that the tapes were so utilized,
such evidence, so tenuously related to the crime charged,
impermissibly injected defendant's character into the case to raise
the question of whether defendant acted in conformity therewith at
the times in question.
See State v. Smith, 152 N.C. App. 514, 521-
22, 568 S.E.2d 289, 294,
disc. review denied,
appeal dismissed, 356
N.C. 623, 575 S.E.2d 757 (2002).
While Rule 404(b) relating to prior bad acts of defendant is
generally a rule of inclusion, the evidence offered must be
relevant and limited to showing such things as proof of motive,
opportunity, intent, preparation, plan, knowledge, identity, or
absence of mistake, entrapment or accident. N.C. Gen. Stat. § 8C-
1, Rule 404(b). Only those acts which follow the rationale of the
rule, with a relevant purpose other than to show that defendant had
the disposition to commit the alleged crime, are admissible underthe rule.
See State v. White, 135 N.C. App. 349, 520 S.E.2d 70
(1999),
disc. review allowed, 351 N.C. 120, 541 S.E.2d 472,
disc.
review withdrawn, 351 N.C. 191, 541 S.E.2d 726 (1999) (evidence of
prior sexual assault by the defendant was too dissimilar and only
shows propensity to commit sexual acts against young female
children). For the purposes of Rule 404(b), our Supreme Court has
defined similar to mean "some unusual facts present or
particularly similar acts in the prior bad act of the defendant
which indicates the same person committed the act at issue.
State
v. Stager, 329 N.C. 278, 303, 406 S.E.2d 876, 890-91 (1991)
(citations omitted).
In
Smith, the defendant was on trial for taking indecent
liberties with a minor and first-degree sexual offense of a female
child under thirteen. The State was allowed to introduce evidence
that the defendant possessed pornography.
(See footnote 1)
On appeal, we held that
the introduction of the evidence about pornography was inadmissible
where there was no evidence that defendant had the complainant view
the material with him:
We agree with defendant's contention that
the only purpose of such evidence was to
impermissibly inject the defendant's character
into the case to raise the question of whether
defendant acted in conformity with his
character at the times in question. . . . We
hold that evidence of defendant's possession
of pornographic materials, without any
evidence that defendant had viewed thepornographic materials with the victim, or any
evidence that defendant had asked the victim
to look at pornographic materials . . . was
not relevant to proving defendant committed
the alleged offenses in the instant case and
should not have been admitted by the trial
court.
Smith, 152 N.C. App. at 522-23, 568 S.E.2d at 294.
Here there was evidence by PB's mother that the child never
saw any of defendant's videos. Therefore, any evidence of the
purchase or ownership of pornographic tapes is inadmissible under
Rule 404(b) and
Smith, and would constitute prejudice at any new
trial. Therefore, allowing testimony of the tapes and/or publishing
them to the jury is error.
The dissent would find the video box admissible under Rule
404(b) pursuant to several of that rule's rationales. When
evidence of prior similar sexual offenses or acts by the defendant
is offered, our Supreme Court has been markedly liberal in allowing
such evidence.
See, e.g., State v. Artis, 325 N.C. 278, 299, 384
S.E.2d 470, 481 (1989),
vacated on other grounds, 494 U.S. 1023,
108 L. Ed. 2d 604 (1990). However, the mere possession of
photographic images, whether in still form or on a videotape, has
been deemed inadmissible as the defendant's possession of such
materials does not establish motive, intent, common scheme or plan;
rather the possession of such materials is held only to show the
defendant has the propensity to commit the offense for which he is
charged and to be highly inflammatory.
Smith, 152 N.C. App. at 521-
22, 568 S.E.2d at 294.
See also,
State v. Doisey, 138 N.C. App.
620, 628, 532 S.E.2d 240, 246,
disc. review denied, 352 N.C. 678,
545 S.E.2d 434 (2000),
cert. denied, 531 U.S. 1177, 148 L. Ed. 2d1015 (2001). Likewise, the mere possession of pornographic
materials does not meet the test of relevant evidence under Rule
401 of the North Carolina Rules of Evidence. N.C. Gen. Stat. § 8C-
1, Rule 401. Rule 401 requires the evidence has a tendency to make
the existence of any fact that is of consequence to the
determination of the action more probable or less probable
than . . . .
Id.
In
Doisey, where the defendant was charged with two counts of
sexual assault of his girlfriend's daughter, testimony was offered
by the State that defendant may have filmed, by hidden camcorder,
children using the bathroom at the victim's home. The Court found
evidence of his possession of such tapes, despite being deviant
behavior, did not sufficiently meet the rationale of Rule 404(b) to
be admissible under any theory.
Doisey, 138 N.C. App. at 628, 532
S.E.2d at 246. In
Maxwell, where the defendant was charged with
taking indecent liberties with a minor and two separate charges of
first-degree statutory rape of his adopted daughter, the Court
found the following evidence of defendant's acts did not fall under
any theory of Rule 404(b): defendant would go to the children's
bedrooms in the nude to check on them; defendant would fondle
himself in front of the mother and the children; and that defendant
would use his hand and stroke his penis in the presence of the
victim.
State v. Maxwell, 96 N.C. App. 19, 23-25, 384 S.E.2d 553,
556-57 (1989),
cert. denied, 326 N.C. 53, 389 S.E.2d 83 (1990).
The Court went on to conclude:
[W]e find that this is essentially a case of
who and what to believe -- the prosecutrix'
accusations or defendant's claim of innocence.
There was no medical or other physicalevidence presented by the State in support of
the prosecutrix' claims. There were no eye
witnesses [sic] to these alleged events;
therefore, the outcome of this case depended
upon the jury's perception of the truthfulness
of each witness. Consequently, the court's
admission of evidence which could inflame the
jury and cause a verdict to be entered on an
improper basis, such as emotion, was
prejudicial. In the absence of this extensive,
highly prejudicial evidence, which was of
questionable relevance and which tended to
make defendant appear to be a sexual deviant,
we cannot say that a different result could
not have been reached.
Id. We see no way around the facts and holdings in
Smith,
Doisey
and
Maxwell in attempting to apply Rule 404(b) to admit the
evidence in question. Additionally, the only evidence of when this
tape was brought into PB's home, was the testimony of Rita stating
it was sometime after the incident in question. This evidence
substantially weakens the potential use of the video box under Rule
404(b) as to the dissent's theory of intent or absence of mistake
at the time of the incident.
Assuming
arguendo the video box could be admitted under Rule
404(b), a trial court must then determine whether its probative
value is substantially outweighed by its prejudicial effect
pursuant to N.C. Gen. Stat. § 8C-1, Rule 403.
See State v.
Everhardt, 96 N.C. App. 1, 18, 384 S.E.2d 562, 572 (1989),
aff'd,
326 N.C. 777, 392 S.E.2d 391 (1990). Pursuant to Rule 403, relevant
evidence may be excluded if its probative value is substantially
outweighed by the danger of unfair prejudice, confusion of the
issues, or misleading the jury, or by considerations of undue
delay, waste of time, or needless presentation of cumulative
evidence. N.C. Gen. Stat. § 8C-1, Rule 403. This probative valuemust not merely be outweighed by the prejudicial effect, but
substantially outweighed.
State v. Lyons, 340 N.C. 646, 669, 459
S.E.2d 770, 782 (1995).
The video box had a clear prejudicial effect upon the jury in
this case. The jury specifically requested it be sent into the
jury room before deliberating. In little less than an hour of
deliberating, the transcript reveals that the jury could not reach
a verdict. The judge said they had not been deliberating long
enough for him to declare a mistrial and sent them back. It is
reasonable to assume the presence of the pornographic video in the
room of an apparently divided jury could have a very prejudicial
effect, where as demonstrated in our Rule 404(b) analysis above,
the value was tenuous.
[3] While our order of a new trial is based on the analysis
above,
we herein address what instructions should be submitted to the
jury, assuming evidence similar to that adduced during the first
trial is admitted (excluding the inadmissible testimony of Dr.
Russo and that relating to the pornography). We believe the
defendant will be entitled to the jury instruction of
unconsciousness/diminished capacity pursuant to
State v. Connell,
127 N.C. App. 685, 493 S.E.2d 292 (1997),
disc. review denied, 347
N.C. 579, 502 S.E.2d 602 (1998).
In
State v. Caddell, 287 N.C. 266, 290, 215 S.E.2d 348, 363
(1975), our Supreme Court held:
[U]nder the law of this State,
unconsciousness, or automatism, is a completedefense to a criminal charge, separate and
apart from the defense of insanity; that it is
an affirmative defense; and that the burden
rests upon the defendant to establish this
defense, unless it arises out of the State's
own evidence, to the satisfaction of the jury.
This defense is a complete bar from criminal liability because
unconsciousness 'not only precludes the existence of any specific
mental state, but also excludes the possibility of a voluntary act
without which there can be no criminal liability.'
State v.
Jerrett, 309 N.C. 239, 264-65, 307 S.E.2d 339, 353 (1983) (quoting
State v. Mercer, 275 N.C. 108, 116, 165 S.E.2d 328, 334 (1969)).
When determining whether an instruction of diminished capacity
should be submitted to the jury, the Court must consider whether
there is evidence sufficient to cause a reasonable doubt in the
mind of a juror as to whether defendant had a culpable mental
state.
State v. Clark, 324 N.C. 146, 163, 377 S.E.2d 54, 64
(1989). If there is evidence from which an inference can be drawn
that defendant committed the act without the criminal intent
necessary, then the law with respect to that intent should be
explained and applied to the evidence by the Court.
State v.
Walker, 35 N.C. App. 182, 186, 241 S.E.2d 89, 92 (1978). In
determining whether the evidence supports an instruction on any
affirmative defense, the evidence should be viewed in the light
most favorable to the defendant.
State v. Mash, 323 N.C. 339, 348,
372 S.E.2d 532, 537-38 (1988).
We believe
Connell, a case almost factually identical, to be
controlling upon the facts of this case as they have been presented
thus far. In
Connell, the defendant was involved with the victim's
mother in a sexual relationship.
Connell, 127 N.C. App. at 687,493 S.E.2d at 292. One night when defendant was sleeping at the
mother's house, the victim, an eight-year-old girl got in their bed
after having a bad dream.
Id. The victim testified that the
defendant began rubbing her over her underwear, despite her pushing
his hand away twice.
Id. There was no testimony that defendant was
awake during the incident.
As in
Connell, there is no direct evidence that the defendant
was awake at the time of the alleged touching in the case before
us.
Id. at 692, 493 S.E.2d at 296. PB testified that no one moved
or no one appeared to be awake at the time the alleged touching
occurred. She further testified that defendant did not speak at
all during the alleged touching, nor did he react to the jerky
movements she made in response to the touching. The Court in
Connell, a case where the defendant also chose not to put on
evidence, found that being asleep is an appropriate circumstance
that requires an unconscious or diminished capacity instruction,
and that failure to provide such was plain error.
Id.
Pursuant to the mandate of
Connell, the trial court at any new
trial should properly instruct the jury as to the
unconsciousness/diminished capacity defense of sleep, along with
all other defenses which have been sufficiently raised by the
evidence presented at the new trial.
For the reasons set forth herein, defendant's conviction is
reversed and defendant is awarded a new trial. At any new trial,
the expert testimony of Dr. Russo, and any evidence relating to the
pornographic tape, shall be excluded. Furthermore, jury
instructions shall include the affirmative defense ofunconsciousness/diminished capacity and any other defenses which
have been sufficiently raised by the evidence.
New trial.
Judge HUNTER concurs.
Judge LEVINSON concurs in part and dissents in part with
separate opinion.
LEVINSON, Judge, concurring in part and dissenting in part.
I agree that, given the circumstances of the present case, the
trial court committed plain error by permitting Dr. Rousso to
testify that her diagnosis was [PB] was sexually abused by [the
defendant] and that defendant is, therefore, entitled to a new
trial. However, I respectfully disagree with the majority's
application of pertinent law concerning pornographic videotapes to
the facts of this case. Furthermore, I make no comment on
defendant's argument that the trial court erred in failing to
instruct the jury on unconsciousness/diminished capacity
.
The majority cites
State v. Smith, 152 N.C. App. 514, 523, 568
S.E.2d 289, 295,
disc. review denied,
appeal dismissed, 356 N.C.
623, 575 S.E.2d 757 (2002) for the proposition that, because
defendant did not provide the pornographic videotapes to PB or use
the pornographic videotapes to seduce PB, evidence concerning the
pornographic videotapes is inadmissible. However, careful analysis
of
Smith reveals that it neither establishes such a broad and blunt
rule, nor could it have.
In
Smith, the defendant was convicted of sexual offenses
involving his twelve-year-old stepdaughter. At trial, the State
introduced evidence tending to show that defendant possessedpornographic magazines and videos at home and at work. This Court
held that, because there was no nexus between Smith's possession of
pornography and the offenses for which he was being tried,
the
trial court erred in admitting such testimony.
Smith, 152 N.C.
App. at 521-22, 568 S.E.2d at 294. This result
is entirely
logical, as the facts set forth in that case indicate that the
materials Smith possessed were general in nature and were not
involved in the commission of the offenses with which he was
charged.
In reaching this conclusion, this Court provided an analysis
which included a discussion of two previous decisions in which the
North Carolina Supreme Court held that evidence of a criminal
defendant's possession of pornography was admissible. In one of
those cases,
State v. Rael, 321 N.C. 528, 533-34, 364 S.E.2d 125,
129 (1988), the Court ruled that evidence of pornographic pictures
and movies was admissible to corroborate the four-year-old victim's
testimony that the defendant showed him these items during the
commission of the alleged sexual offenses. In the other case,
State v. Williams, 318 N.C. 624, 632, 350 S.E.2d 353, 358 (1986),
the Supreme Court held that evidence of a defendant's insistence
that his daughter attend and watch an x-rated film with him was
admissible in the defendant's trial for raping his daughter; the
Court found that this evidence was relevant to show the defendant's
preparation and plan to engage in sexual intercourse with her and
assist in that preparation and plan by making her aware of such
sexual conduct and arousing her. The analysis in
Smith also discusses several cases from this
Court holding that evidence of deviant behavior, which is unrelated
to the commission of a sex offense, is not admissible.
See State
v. Doisey, 138 N.C. App. 620, 626, 532 S.E.2d 240, 244-45 (2000)
(evidence that the defendant placed a camcorder in a bathroom used
by children and others which taped the activities in the bathroom
was not properly admitted to show design or scheme to take sexual
advantage of children);
State v. Hinson, 102 N.C. App. 29, 36, 401
S.E.2d 371, 375 (1991) (evidence that the defendant possessed
photographs depicting him in women's clothing, dildos, lubricants,
vibrators and two sexually-oriented books, was not properly
admitted to show proof of intent, preparation, plan, knowledge and
absence of mistake, in sexual offense case involving seven-year-old
victim);
State v. Maxwell, 96 N.C. App. 19, 24, 384 S.E.2d 553,
556-57 (1989) (evidence that the defendant frequently appeared nude
in front of his children and fondled himself in presence of his
adopted daughter was not properly admitted to show defendant's plan
or scheme to take advantage of his adopted daughter, where there
was evidence that defendant regarded nudity as normal and the
only testimony involving defendant fondling himself in front of his
adopted daughter also revealed that defendant attempted to hide
this behavior from her).
Relying on these cases, this Court gleaned the rule that
evidence of a defendant's mere possession of pornography is not
relevant where, as in the
Smith case, the pornography is general in
nature, is not in any way related to the offense, and is not used
in the commission of the offense: [E]vidence of defendant'spossession of pornographic materials, without any evidence that
defendant had viewed the pornographic materials with the victim, or
any evidence that defendant had asked the victim to look at
pornographic materials other than the victim's mere speculation,
was not relevant to proving defendant committed the alleged
offenses in the instant case and should not have been admitted by
the trial court.
Smith, 152 N.C. App. at 522-23, 568 S.E.2d at
294-95. Stated differently, the evidence of pornography in
Smith
was not relevant under the Rules of Evidence, directly or as
interpreted in
Rael and
Williams.
However, I do not agree with the majority that
Smith
establishes a far broader rule which proscribes admission of the
evidence at issue in the case
sub judice. Rather, in my view,
Smith and the cases it cites require the courts to review each
piece of evidence in the context of the case in which it is
presented. In the instant case, I conclude that the evidence of
defendant's possession of pornography is probative of a matter at
issue in defendant's trial.
As a general rule, evidence of a defendant's prior conduct,
such as the possession of pornographic videos and magazines, is not
admissible to prove the character of the defendant in order to show
that the defendant acted in conformity therewith on a particular
occasion.
Smith, 152 N.C. App. at 521, 568 S.E.2d at 294 (citing
N.C. R. Evid. 404(b)). However, such evidence of prior conduct is
admissible so long as it is relevant to some purpose other than to
show the character of the defendant and the defendant's propensity
for the type of conduct for which he is being tried.
Id. (citing,
inter alia,
Rael and
Doisey). Examples of such proper purposes
include 'proof of motive, opportunity, intent, preparation, plan,
knowledge, identity, or absence of mistake, entrapment, or
accident.'
Id. (quoting N.C. R. Evid. 404(b)). Thus, as the
majority properly notes, [o]nly those acts which follow the
rationale of [Rule 404(b)], with a relevant purpose other than to
show that defendant had the disposition to commit the alleged
crime, are admissible under the rule.
In the instant case, the evidence with respect to pornographic
videotapes falls into two categories: (1) the photographic
depictions on the sleeve of a pornographic videotape possessed by
defendant entitled Little Pussy
(See footnote 2)
and (2) testimony by PB's mother
that
defendant possessed three or four pornographic videos,
including the one at issue
.
In my view, neither is made
inadmissible by operation of Rule 404(b).
Photographic Depictions on Sleeve of
the Pornographic Videotape
The evidence in question with respect to the videotape
involves a cardboard sleeve containing nude images of females who
appear to be in their early teens; at least one female is partially
clothed in a plaid skirt and small tank-top; some of the females
are engaged in sexual acts with adult men. The sleeve also
contains writing which characterizes the females' bodies as tight
and their genitalia as bare. Although the jury did not watch the
videotape, it did view this cardboard sleeve. The trial court, after considering the arguments of counsel,
made a finding that the photographic depictions on the videotape
sleeve had legal relevance and admitted the sleeve. Cursory
examination of the exhibit reveals that a reasonable jury could
properly infer that the photos on the sleeve depict
young preteen
girls. Defendant stood accused of sexually assaulting a
young
preteen girl. PB testified that defendant denied the inappropriate
touching but told her that, if he had done it in his sleep, he was
sorry. PB's mother testified that defendant said something similar
to her. Thus, there was some evidence of mistake, accident, or
absence of intent
. Defendant's possession of the videotape, which
was encased in a sleeve depicting photographic images involving
young girls constitutes an act that can be probative of
defendant's sexual interest in young girls, which tends to prove
intent, and/or absence of mistake or accident under Rule 404(b).
(See footnote 3)
Given the obvious connection between the photographic images and
the issues presented to the jury, together with the allowances of
Rule 404(b) and our responsibility to give deferential appellate
review to evidentiary rulings,
I cannot agree the court erred in
admitting the photographic images on the sleeve of the videotape.
(See footnote 4)
See State v. Wallace, 104 N.C. App. 498, 502, 410 S.E.2d 226, 228(1991) ([E]ven though a trial court's rulings on relevancy
technically are not discretionary and therefore are not reviewed
under the abuse of discretion standard applicable to Rule 403, such
rulings are given great deference on appeal.)
Testimony of PB's Mother
Additional evidence was provided by PB's mother, who testified
to circumstances that established defendant was the individual who
purchased and possessed the videotape at issue. To accomplish
this, she necessarily had to explain how the videotape was
maintained with several others in the household. In addition, the
mother testified as to how she came into possession of the
videotape; when she provided it to the District Attorney's Office;
and that the videotape was in fact the same one she had voiced
concerns to defendant about in the past. On direct examination
PB's mother testified as follows:
PROSECUTOR: When he brought [the videotape] in
the home, you questioned him about it. What
did you say about it? What did you ask him
about it?
WITNESS: I asked him wasn't it about young
girls.
PROSECUTOR: And what did he say to you?
WITNESS: Teenagers. He said, well, you have to
be 18 to be in these kind of movies, it wasn't
teenagers, it was 18 and above.
She explained that she only provided the one videotape to the
prosecutor because it was the only one that depicted such young
girls; and that none of her children, including PB, were allowed to
watch any of the videotapes and she never observed them doing so.
PB's mother also provided evidence that defendant obtained the
videotape after he allegedly assaulted PB.
Thus, the record reveals that the clear import of all the
testimony concerning the three or four videotapes was to establish
that the pornographic videotape with the sleeve depicting young
girls was, in fact, one of the ones purchased and possessed by
defendant.
The whole point of allowing PB's mother to testify that
defendant possessed three or four pornographic videotapes was to
establish the circumstances surrounding the videotape at issue;
this does not violate the Rules of Evidence. Indeed, trial courts
necessarily have discretion to determine, on a case-by-case basis,
the extent to which jurors can properly be informed about where,
how, and under what circumstances the accused possessed such
photographic depictions
. The trial court was not required, for
example, to reduce the depictions to xeroxed images on paper and
preclude any further information concerning their origin.
For the sake of clarity, I note that with respect to both the
videotape sleeve which was shown to the jury and the testimony of
PB's mother concerning defendant's possession of pornography, the
purpose of admitting this evidence is not, as the majority
contends, limited to showing that defendant has the propensity to
commit the offense for which he is charged. Rather, the videotape
with young girls on the sleeve, which defendant obtained after
his alleged assault on PB, is probative that defendant's alleged
inappropriate touching of PB, a young preteen girl, was not done by
accident, by mistake or with a lack of intent. The testimony of
PB's mother is probative of defendant's ownership of the videotape,although her testimony made brief mention of additional pornography
in defendant's possession. Therefore, Smith, Doisey, and Maxwell,
all of which dealt with other acts with no nexus at all to the
offense for which those defendants were on trial, are not, as the
majority contends, dispositive here.
Accordingly, I disagree with the majority's holding that the
evidence presented concerning
defendant's possession of pornography
is inadmissible.
(See footnote 5)
While generalized testimony that an accused
possessed pornography might be legally unhelpful and violative of
Rule 403 without some connection or association with a valid
evidentiary issue for the trier of fact, the evidence concerning
pornography at issue in the present case does not fall into such a
category.
Footnote: 1 The dissent attempts to draw a distinction between the
picture depicted on the sleeve/jacket of the videotape and the
contents of the videotape. Only the sleeve/jacket of the
videotape was admitted at trial. As a video is nothing more than
a series of still photos which when viewed in motion become
motion pictures (as they are now classically termed), the same
legal rules apply to both the still and the motion pictures.
Footnote: 2
The majority posits that the jury should likely be
instructed on unconsciousness/diminished capacity, but would
nonetheless preclude evidence tending to show that the actions of
defendant were associated with an exercise of volition.
Footnote: 4
I cannot accept that
visual depictions of young children
possessed by those charged with sexual offenses are,
ipso facto,
inadmissible in prosecutions simply because they are part and
parcel of a videotape. There is no authority to suggest that
visual depictions _ the gravamen of what the prosecutor sought to
admit _ cannot be probative in such prosecutions.
Footnote: 5
Furthermore, I do not discern the necessity of addressing
the issues concerning the mother's testimony or the photographic
depictions on the videotape sleeve, not only because defendant
will receive the benefit of a new trial, but because defense
counsel
thoroughly cross examined PB's mother concerning
everything defendant now complains of on appeal.
See State v.
Alford, 339 N.C. 562, 570, 453 S.E.2d 512, 516 (1995) (holding
that, even though defendant objected to evidence, he waived his
objection by later cross-examining [the witness] about this same
evidence).
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