Appeal by defendant from judgments entered 9 July 2002 by
Judge Jerry R. Tillett in Camden County Superior Court. Heard in
the Court of Appeals 4 February 2004.
Attorney General Roy Cooper, by Special Deputy Attorney
General Ellen B. Scouten, for the State.
Rudolf Maher Widenhouse & Fialko, by Andrew G. Schopler, for
defendant-appellant.
LEVINSON, Judge.
On 9 July 2002 Gary Lawrence, Jr., (defendant) was convicted
of four counts of second degree rape, ten counts of second degree
sex offense, and two counts of indecent liberties. The alleged
offenses were committed against three of defendant's four children:
C.L., S.L., and G.L. Defendant was tried upon indictments returned
by Camden, Currituck, and Pasquotank Counties, where the offenses
were alleged to have occurred on various dates ranging from seven
to ten years prior to trial.
Evidence presented by the State is summarized, in pertinent
part, as follows: C.L. testified that she and her twin sister,
S.L., were born in 1978 and were the oldest of defendant's four
children. The Lawrence family lived in Currituck County, North
Carolina, from the time C.L. was about two years old until she was
fifteen. When she was about ten or eleven years old, the defendant
started having explicit discussions with her about sex, and would
touch her breasts and pubic area to see if she had started to
develop. When she was eleven or twelve years old, defendant
conducted a group session with his four children in which he taught
them how to masturbate, rubbing each child's genitals anddemonstrating on himself. In addition, defendant often masturbated
in the living room, in front of his children.
C.L. lost her virginity to defendant when she was 12½ years
old. Defendant, who was a long distance truck driver, took C.L.
with him on a truck trip of several weeks. While they were on the
road, defendant gave C.L. wine coolers, told her he wanted to take
her innocence, then had oral sex and vaginal intercourse with her.
After this, C.L. and her father had sex on many occasions over the
next two years. She described several specific instances of sexual
activity, including oral sex, digital penetration, penetration with
objects, vaginal intercourse, and watching pornographic videos
together. In time, C.L. fell in love with defendant, and felt that
she, rather than her mother, was his wife.
In 1993, when C.L. was in the ninth grade, her parents
separated and the four children moved to Camden County with
defendant. C.L., who was then 15 years old, decided to end the
sexual relationship with her father. Although there were several
more incidents that fall, C.L. was able to end the sexual activity
between them before she was sixteen. During this period, defendant
was drinking heavily and was aggressive and abusive towards his
children. Following a family brawl resulting in the police and DSS
being called, C.L. and S.L. moved out of their father's house.
C.L. testified that she never lived with defendant after that, and
had seen him only a few times since 1995.
C.L.'s twin sister, S.L., offered testimony that tended to
corroborate that of C.L. S.L. also testified concerning the
explicit sexual discussions with her father starting when she was11 years old, his genital inspections to determine if the twins
were still virgins, the group masturbation lesson, and several
occasions when defendant showered with S.L. and C.L. and washed
their genitals. S.L. testified that she too had lost her virginity
to her father while on a long distance truck trip. She described
several incidents in which the defendant performed oral, anal, or
vaginal sexual acts with her. Like C.L., S.L. succeeded in ending
the sexual activity with defendant shortly before turning 16.
S. McKoy, the fourth of defendant's children, testified that
she had been present at the group masturbation session, and had
experienced inappropriate touching by defendant, ostensibly to
check her development. However, she testified that defendant had
not engaged in any other sexual activity with her, and defendant
was not charged with any sexual offenses against S. McKoy.
G.L., defendant's only son, corroborated his siblings'
testimony regarding defendant's masturbation in the living room in
view of other family members, the group masturbation session, and
defendant's inappropriate touching of his daughters' genitals.
G.L. heard defendant say on several occasions that if anyone was
going to take C.L.'s and S.L.'s virginity, it would be him. G.L.
also testified that when he and his sisters lived with defendant in
Camden County, defendant was often drunk and abusive, and that on
at least one occasion he heard S.L. crying in defendant's bedroom.
In 1995, at a time when C.L., S.L, and S. McKoy were living
with their mother, G.L. and defendant lived on a sailboat which was
docked in Pasquotank County. G.L. was 14 years old at this time.
He testified that during the months they lived on the sailboattogether defendant repeatedly engaged him in acts of oral and anal
sex. He described several incidents in detail, in each of which
defendant had provided him with alcohol, played a pornographic
video, and then secured G.L.'s acquiescence in particular acts of
anal or oral sex.
Defendant testified on his own behalf. He acknowledged having
explicit sexual conversations with his children, and having sex
toys and pornographic videos at home. He also admitted taking C.L.
and S.L. on overnight truck trips, and conducting a group
masturbation lesson with his children, although he denied
touching them or stimulating himself during this session.
Defendant further admitted that, while living in Camden County, he
was depressed and drank to excess, and that during the fight that
led to C.L. and S.L. moving out he had backhanded S.L., and had
popped C.L. Defendant testified that he had evicted S.L. and
C.L. from the house after this incident because they were beyond
his control.
However, defendant denied ever having sex with any of his
children, showering with them, touching their genitals, showing
them pornographic videos, giving them alcohol, masturbating in
front of them, stating that he would be the one to take the
twins' virginity, or engaging in any sexual activity with C.L.,
S.L., or G.L. He testified that he believed S.L. had organized the
State's witnesses to offer false testimony as part of a conspiracy
to get even with him for evicting her and C.L. from the house in
1995, seven years earlier.
Following trial, defendant was convicted of all charges andwas sentenced to consecutive prison terms totaling 308 to 324
years. From these convictions and judgments, defendant appeals.
[1] Defendant argues first that the trial court erred by
excluding evidence pertaining to certain incidents occurring
between C.L., S.L., or G.L. and persons other than the defendant.
He argues that, because he was charged with offenses alleged to
have occurred between seven and eleven years before trial, the
crux of [his] defense was that his children's years of silence as
to these charges indicated that the allegations were the result of
fantasy or fabrication. On this basis, defendant contends the
court erred by excluding evidence that the complaining witnesses
had made timely accusations or reports against a host of alleged
offenders. He further asserts that the trial court's error was
compounded by the prosecutor's closing argument that the
complainants had delayed reporting the alleged incidents for years
out of shame and embarrassment. Defendant argues that the trial
court's exclusion of this evidence effectively prevented him from
exercising his constitutional right to present a defense, and
constitutes reversible error. We disagree.
Defendant is correct that a criminal defendant's right to
present to the jury his version of the facts is a fundamental
element of due process of law, guaranteed by the Sixth and
Fourteenth Amendments to the federal Constitution and by Article I,
Sections 19 and 23 of the North Carolina Constitution. State v.
Miller, 344 N.C. 658, 673, 477 S.E.2d 915, 924 (1996) (citation
omitted). However, [l]ike all evidence offered at trial, . . .evidence offered to support a defense must be relevant to be
admissible. N.C.G.S. § 8C-1, Rule 402 [(2003)]. State v. Fair,
354 N.C. 131, 150, 557 S.E.2d 500, 515 (2001).
N.C.G.S. § 8C-1, Rule 401 (2003) defines relevant evidence as
evidence having any tendency to make the existence of any fact
that is of consequence to the determination of the action more
probable or less probable than it would be without the evidence.
Although '[the] trial court's rulings on relevancy technically are
not discretionary and therefore are not reviewed under the abuse of
discretion standard . . . such rulings are given great deference on
appeal.' Dunn v. Custer, 162 N.C. App. 259, 266, 591 S.E.2d 11,
17 (2004) (quoting State v. Wallace, 104 N.C. App. 498, 502, 410
S.E.2d 226, 228 (1991)). Further, even if relevant, evidence may
be excluded if the trial court determines that 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.G.S. § 8C-1, Rule 403
(2003). Whether to exclude relevant evidence pursuant to Rule 403
is a decision within the trial court's discretion and will remain
undisturbed on appeal absent a showing that an abuse of discretion
occurred. State v. Ward, 354 N.C. 231, 264, 555 S.E.2d 251, 272
(2001) (citation omitted).
In the instant case, the record shows that both the State and
defendant offered evidence of earlier investigations, allegations,
and accusations by the complainants. Evidence was offered
regarding numerous reports to DSS between 1982 and 1997, allegingabuse and neglect, and of the subsequent DSS investigations. In
addition, the State and defendant stipulated that between 1982 and
1997 DSS conducted fifteen separate investigations of the Lawrence
household, pursuant to allegations of abuse and neglect, and that
during these investigations none of the children had reported
sexual abuse by their father. Other evidence was offered regarding
criminal charges brought against a Jacob Banks in 1987 for sexual
offenses against C.L. and S.L., and about the resultant trial. The
State's witnesses, particularly C.L. and S.L., were also cross-
examined extensively about 1994 criminal charges that were brought
against the twins' uncle, Gene Smith, for sexual offenses against
both girls. Dean Cartwright testified that in 1994 he was a deputy
sheriff with the Currituck County Sheriff's Department. When he
interviewed C.L. and S.L. in 1994 regarding sexual abuse committed
by Smith, neither girl reported that the defendant had also abused
them. Other testimony was presented from S.L.'s and C.L.'s high
school boyfriends pertaining to accusations each girl had made
about defendant after they left home, and from relatives of C.L.
and S.L. in whom they had later confided information about the
defendant's sexual abuse.
The record shows that the trial court admitted evidence of all
the earlier incidents or accusations offered by either defendant or
the State, provided that the events or accusations at issue had
occurred either during the same general time period as the charged
offenses, or at least before the complainants reported defendant to
law enforcement authorities. The only accusations that the trial
court excluded were those allegedly occurring between 1999 and2001, long after the 1991-1994 time period of the charged offenses,
and when the complainants were young adults. Defendant asserts
only one basis for the relevance of these incidents - that the
prompt reporting of these incidents tends to discredit the State's
argument that the complainants delayed reporting defendant out of
fear, shame, or embarrassment. However, defendant does not
articulate a connection between the failure of a scared thirteen
year old child to report her father's abuse and the fact that, as
a young woman of twenty, she reported a crime committed by a non-
family member to law enforcement authorities. The trial court
ruled that this evidence was not relevant to any issue in the case.
Giving due deference to the trial court's determination in this
regard, we conclude that the trial court did not err by excluding
certain evidence of allegations made by the complainants many years
after the subject offenses. We further conclude that the trial
court's rulings did not prevent or impede the defendant's ability
to present a defense to the charges, as defendant was able to
introduce ample evidence of reports and accusations made during the
time period of the alleged offenses. This assignment of error is
overruled.
[2] Defendant argues next that the charges of second-degree
rape and second-degree sexual offense should have been dismissed
for failure of the State to prove lack of consent by the
complainants to sexual activity with their father. We disagree.
The elements of second-degree sexual offense are: (1) a
person engages in a sexual act; (2) with another person; and (3)the act is by force and against the person's will. See N.C.G.S. §
14-27.5(a) [(2003)]. State v. Tucker, 154 N.C. App. 653, 655, 573
S.E.2d 197, 199 (2002), disc. review denied, 356 N.C. 691, 578
S.E.2d 597 (2003). The elements of second-degree rape are that
the defendant (1) engage in vaginal intercourse with the victim;
(2) by force; and (3) against the victim's will. N.C. Gen. Stat.
§ 14-27.3 [(2003)]. State v. Scercy, 159 N.C. App. 344, 352, 583
S.E.2d 339, 344, disc. review denied, 357 N.C. 581, 589 S.E.2d 363
(2003). Defendant argues that the State failed to offer evidence
of force. He contends that the complainants' testimony was that
each of them had voluntarily consented to have sex with their
father. On this basis he asserts that the State failed to
establish that the sexual activity between defendant the
complainants was other than consensual. This argument is without
merit.
The element of force may be established by evidence of
constructive force:
Constructive force, applied through fear,
fright, or coercion, suffices to establish the
element of force in second-degree rape. It may
be demonstrated by proof that the defendant
acted so as, in the totality of the
circumstances, to create the reasonable
inference that the purpose of such acts was to
compel the victim to submit to sexual
intercourse.
Scercy, 159 N.C. App. At 352, 583 S.E.2d at 344 (citing State v.
Etheridge, 319 N.C. 34, 45, 352 S.E.2d 673, 680 (1987)). In
Etheridge, the North Carolina Supreme Court held that evidence of
constructive force did not necessarily require proof of actual
physical threats where the defendant was the victim's parent: Sexual activity between a parent and a minor
child is not comparable to sexual activity
between two adults[.] . . . The youth and
vulnerability of children, coupled with the
power inherent in a parent's position of
authority, creates a unique situation of
dominance and control in which explicit
threats and displays of force are not
necessary to effect the abuser's purpose. . .
. The child's knowledge of his father's power
may alone induce fear sufficient to overcome
his will to resist[.] . . . [T]he parent
wields authority as another assailant might
wield a weapon.
Id. at 47-48, 352 S.E.2d at 681-82. We also note that the line of
cases relied upon by defendant was expressly overruled in
Etheridge.
In the instant case, C.L. testified that she and her siblings
were subjected to physical and verbal abuse, slapped by their
parents, and deprived of food. She submitted to defendant's
advances because it raised her rank in the family, so that she
wasn't getting beat as often. She was frightened of defendant,
who was often angry and aggressive, and who threatened to hunt her
down and kill her if she ever revealed their sexual activity.
S.L.'s testimony was that she was hit a lot more than C.L., and
that when several investigations by DSS did not lead to
improvements at home, she despaired of getting outside help to stop
her father's sexual abuse. She also testified that she delayed
reporting defendant out of fear. In addition, both girls testified
that they were given alcohol before their first act of intercourse
with defendant. G.L. testified that defendant had punched him in
the mouth, and that he was fearful of being hit or punched if he
resisted or told anyone about defendant's abuse. Defendant also
provided G.L. with alcohol, beginning at age six, and got him drunkbefore their sexual activities.
In the instant case, all three of the complainants testified
that they were frightened of defendant, were subjected to physical
abuse at home, and that defendant performed sexual acts on each
one, notwithstanding the victim's pain or tears. We conclude that
the State presented ample evidence of constructive force. This
assignment of error is overruled.
[3] Defendant argues next that his convictions must be
reversed on the grounds that he was deprived of the right to a
unanimous verdict. We conclude this argument has some merit.
A criminal defendant's right to a unanimous jury verdict is
guaranteed by the North Carolina Constitution.
See N.C. Const. art
I, § 24, and N.C.G.S. § 15A-1237(b) (2003). To convict a
defendant, the jurors must unanimously agree that the State has
proven beyond a reasonable doubt each and every essential element
of the crime charged.
State v. Jordan, 305 N.C. 274, 279, 287
S.E.2d 827, 831 (1982). Further, the failure to object to alleged
errors by the trial court that violate a defendant's right to a
unanimous verdict does not waive his right to raise the question on
appeal.
State v. Ashe, 314 N.C. 28, 39, 331 S.E.2d 652, 659
(1985)).
Our determination of whether the trial court's instructions to
the jury violate the right to a unanimous verdict requires us to
examine the verdict, the charge, the jury instructions, and the
evidence to determine whether any ambiguity as to unanimity hasbeen removed.
State v. Petty, 132 N.C. App. 453, 461-62, 512
S.E.2d 428, 434 (1999). A defendant's right to a unanimous verdict
may be compromised by jury instructions that allow the jury to
convict a defendant without requiring unanimity on the issue of
which criminal offense the defendant committed.
State v. Diaz, 317
N.C. 545, 346 S.E.2d 488 (1986).
We find it useful to review several scenarios, each with some
relevance to the instant case, in which the issue of jury unanimity
commonly arises in child sex offense cases. The first of these
occurs when a young child is abused by an abuser residing with the
child. . . [who] perpetuate[s] the abuse so frequently . . . that
the young child loses any frame of reference in which to
compartmentalize the abuse into distinct and separate transactions.
Such evidence of abuse has been termed generic evidence.
R.L.G.
v. State, 712 So. 2d 348, 356 (1997) (internal quotation marks
omitted). The victim's generic testimony may describe a
pattern
of abuse (every time mama went to the store) rather than specific
incidents (after the July 4th parade). Thus, a concern arises
because the jury is not presented with a specific act upon which
they unanimously may agree.
In response to this recurring problem, several jurisdictions
have enacted criminal statutes that do not require evidence of
particular incidents for prosecution.
See, e.g., State v. Fortier,
146 N.H. 784, 789-90, 780 A.2d 1243, 1249-50 (2001) (A continuous
course of conduct crime, however, does not require jury unanimity
on any specific, discrete act . . . [l]ike other jurisdictions thathave adopted pattern statutes . . . our legislature created [this
statute] to respond to the legitimate concern that many young
victims, who have been subject to repeated, numerous incidents of
sexual assault over a period of time by the same assailant, are
unable to identify discrete acts of molestation.). The North
Carolina legislature has not adopted a statute criminalizing an
ongoing pattern of sexual abuse when the victim is unable to
reconstruct the specific circumstances of any one incident. In at
least one case,
State v. Wiggins, 161 N.C. App. 583, 589 S.E.2d 402
(2003), this Court upheld a conviction for second degree rape that
was apparently based upon such generic testimony. However, there
is no apparent statutory or common law authority that would permit
the return of more than one indictment based on the same generic
testimony. That is, there are no cases upholding two or more
convictions, all based on generic testimony that,
e.g., he
sexually assaulted me at least once a week for several months.
Another source of concern stems from jury instructions that
are delivered disjunctively and authorize conviction upon a finding
that the defendant
engaged in
either X or Y behavior. In this
regard, our jurisprudence has drawn a distinction between
disjunctive instructions on alternative
means of committing an
offense, and alternative
separate criminal offenses:
[A] disjunctive instruction, which allows the
jury to find a defendant guilty if he commits
either of two underlying acts,
either of which
is in itself a separate offense, is fatally
ambiguous because it is impossible to
determine whether the jury unanimously found
that the defendant committed one particular
offense. . . . [I]f the trial court merelyinstructs the jury disjunctively as to various
alternative acts
which will establish an
element of the offense, the requirement of
unanimity is satisfied.
State v. Lyons, 330 N.C. 298, 302-03, 412 S.E.2d 308, 312 (1991).
Thus, in [
State v.]
Diaz, [317 N.C. 545, 346 S.E.2d 488 (1986)],
the Court held that a disjunctive instruction resulted in an
ambiguous verdict since the Court would not determine whether the
jury unanimously convicted the defendant of a particular crime
where each activity instructed on constituted a separate, discrete
offense[.]
State v. Alford, 339 N.C. 562 576-77, 453 S.E.2d 512,
520 (1995).
In the context of cases wherein a defendant is charged with a
single sexual offense, but the evidence supports more than one type
of sexual act, our appellate courts have held that a jury need not
be unanimous as to which of several sex acts it finds to support a
conviction for indecent liberties[,] as the particular sex acts
are considered alternative means of committing the offense, rather
than separate offenses.
State v. McCarroll, 336 N.C. 559, 566, 445
S.E.2d 18, 22 (1994) (citing
State v. McCarty, 326 N.C. 782, 392
S.E.2d 359 (1990)). The same reasoning has been applied to charges
of first degree sexual offense. This Court has noted that our
Supreme Court's determination that first-degree sexual offense is
a single wrong for unanimity purposes requires us to conclude that
charging a defendant with a separate count of first-degree sexual
offense for each alternative sexual act performed in a single
transaction would result in a multiplicious indictment.
Petty,id. Thus, where a defendant is charged with first or second degree
sexual offense, based upon evidence that he engaged in several
sexual acts during a single incident, these acts should be
considered by the jury as being alternative means by which the
State may prove the sexual act element of
a single criminal
offense.
Jury unanimity is also at issue when evidence is presented of
a greater number of separate criminal offenses than the defendant
is charged with.
See State v. Holden, 160 N.C. App. 503, 586
S.E.2d 513 (2003). In
Holden, the jury convicted defendant of two
counts of rape, following presentation of evidence of at least five
separate incidents. This Court noted that the trial court's
instructions made no attempt to distinguish among the offenses
and held that:
[T]he effect of the instruction in the case
sub judice is to permit the jury to return
guilty verdicts without agreeing . . . on
which two particular incidents of statutory
rape defendant was guilty [of.] . . . Thus,
without any instruction differentiating
between the multiple counts, it was possible
for a jury to return a verdict of guilty of
two counts of statutory rape with some jurors
believing defendant guilty of the incidents in
the van, and others believing defendant guilty
of two incidents at the victim's grandmother's
house, or any number of other combinations.
Id. at 508, 586 S.E.2d at 517.
There are several ways to protect a defendant's right to a
unanimous verdict when the evidence might support more separate
offenses than the number of verdict sheets submitted to the jury.
Unanimity is assured if before the jury begins its deliberationsthe State elects which particular criminal offense it will proceed
on for a given indictment or verdict sheet. Or, where there is
evidence of several incidents, any one of which might support
conviction of a separate criminal offense, the trial court may
protect the defendant's right to a unanimous verdict by instructing
the jury that they must be unanimous as to the particular criminal
offense that the defendant committed. Accordingly, the North
Carolina Supreme Court has found no violation of the defendant's
right to a unanimous verdict where the trial judge submitted a
specific instruction with respect to unanimity of verdict as to
each indictment and also assigned correlating specific alleged acts
of sexual offense to each indictment.
State v. Kennedy, 320 N.C.
20, 25, 357 S.E.2d 359, 362 (1987).
In the vast majority of jurisdictions that have analyzed this
issue, these two mechanisms for protecting the right to a unanimous
verdict are characterized as the either-or rule. That is, when
there is evidence of a greater number of separate criminal offenses
than the number of counts submitted to the jury,
either the State
must elect one offense per charge,
or the trial court must instruct
the jury that they are required to agree unanimously on the offense
committed. A leading case on the either/or rule is
State v.
Petrich, 101 Wash.2d 566, 572, 683 P.2d 173, 178 (1984):
When the evidence indicates that several
distinct criminal acts have been committed, .
. . jury unanimity must be protected. . . .
The State may, in its discretion, elect the
act upon which it will rely for conviction.
Alternatively, if the jury is instructed that
all 12 jurors must agree that the same
underlying criminal act has been proved beyonda reasonable doubt, a unanimous verdict on one
criminal act will be assured. When the State
chooses not to elect, this jury instruction
must be given to ensure the jury's
understanding of the unanimity requirement.
See also, e.g., State v. Arceo, 84 Haw. 1, 32-33, 928 P.2d 843,
874-75 (Haw. 1996):
[W]hen separate and distinct culpable acts are
subsumed within a single count charging a
sexual assault . . . the defendant's
constitutional right to a unanimous verdict is
violated unless . . . (1) at or before the
close of its case-in-chief, the prosecution is
required to elect the specific act upon which
it is relying to establish the conduct
element of the charged offense; or (2) the
trial court . . . advises the jury that all
twelve of its members must agree that the same
underlying criminal act has been proved beyond
a reasonable doubt.
Although North Carolina has never adopted the either/or rule
per se, our appellate cases have employed similar reasoning, and
found no violation of a defendant's right to a unanimous verdict
unless the evidence reveals a greater number of separate criminal
offenses than the number of charges submitted to the jury. For
example, in
State v. Wiggins, 161 N.C. App. 583, 589 S.E.2d 402
(2003), the defendant was convicted of two counts of sexual
offense, and five counts of statutory rape. As in the instant
case, neither the indictments, verdict sheets, nor the trial
court's instructions, associated a given verdict sheet or
indictment with any particular incident. The victim testified at
trial to two specific incidents of sexual offense and four distinct
instances of statutory rape. Significantly, the victim testified
to only one sexual act in each incident. In this factual context,the Court noted that as regards the charges of sexual offense,
since [the victim] testified to only two incidents qualifying as
statutory sexual offenses under section 14-27.7A(a), there was no
possibility the jury could not have been unanimous in its vote on
these two offenses. The Court also held that as the victim
testified to four specific occasions she could describe in detail
during which defendant had sexual intercourse with her[,]
defendant's conviction of four counts of rape did not violate
defendant's right to a unanimous verdict.
(See footnote 1)
Id. at 593, 589 S.E.2d
at 409.
Defendant herein was indicted for sixteen offenses in three
counties, as follows:
1. Currituck County, victim C.L.: two charges of second-
degree rape, one charge second-degree sex offense.
2. Currituck County, victim S.L.: two charges of second-
degree sex offense, one charge second-degree rape, one
charge indecent liberties.
3. Camden County, victim C.L.: one charge of second-degree
rape, one charge second-degree sex offense, one charge
indecent liberties.
4. Camden County, victim S.L.: one charge second-degree
sex offense.
5. Pasquotank County, victim G.L.: five charges of
second-degree sex offense.
Under N.C.G.S. § § 14-27.5 (a)(1) (2003), a person commits a
second degree sex offense if he engages in a sexual act withanother person by force and against the will of the other
person[.] A sexual act includes cunnilingus, fellatio,
analingus, or anal intercourse, . . . [and] also means the
penetration, however slight, by any object into the genital or anal
opening of another person's body[.] N.C.G.S. § 14-27.1(4) (2003).
Comparison of the evidence adduced at trial with the charges
brought against defendant reveals that, with regards to the charges
of second-degree sex offense, the defendant's right to a unanimous
verdict was compromised. In making this determination, we have not
considered evidence that was admitted under North Carolina Rules of
Evidence 404(b) for the limited purpose of shedding light on the
defendant's motive and intent. As regards two categories of
charges, there was evidence of a greater number of offenses than
the number of charges: (1) the five charges of second-degree sex
offense committed against G.L., arising in Pasquotank County; and
(2) the single charge of second-degree sex offense committed
against C.L. in Currituck County. Additionally, with regard to the
charges of second-degree sex offense committed against each of the
three victims, the jury was permitted to consider evidence of
various sexual acts without any instruction from the court on which
acts should be grouped together and evaluated as alternative means
to establish the sexual act element of a given individual
criminal offense.
C.L. testified that on one occasion in Currituck County,
defendant woke her up in the middle of the night, took her
downstairs to watch a pornographic movie, and performed oral sex onher. She testified that on another occasion, defendant asked her
to stay home from school. During the course of that day, defendant
pour[ed] wine in [her] vagina and then performed oral sex.
Later, he penetrated her digitally, and applied mineral oil to her
vagina, before massaging her with an electric vibrator. Defendant
was charged with only one second degree sex offense against C.L. in
Currituck County. However, even if we consider certain of the
defendant's actions to comprise a continuous single offense (e.g.,
pouring wine into C.L.'s vagina, and then performing oral sex) the
evidence clearly showed more than one separate incident, each of
which was a separate criminal offense. Further, each incident
involved multiple sexual acts. Thus, one juror might consider the
sexual act element to be satisfied by evidence pertaining to one
incident, while another juror based his verdict on evidence from a
different transaction.
Defendant was also charged with committing five second-degree
sex offenses against G.L., all in Pasquotank County. G.L.
testified about no fewer than six individual incidents involving
acts of anal or oral sex performed on or by the defendant. In most
of these incidents, there was evidence of several types of sexual
activity occurring in one incident, such as oral sex, anal sex, and
attempted anal penetration. G.L.
also offered generic testimony
that the defendant committed many other second-degree sex offenses
against him, both oral and anal sex, but that it had happened so
many times he could not single out any other particular instances.
Again, the jury was not instructed as to: (1) not returning morethan one verdict based on G.L.'s generic testimony that there
were numerous other incidents; (2) the need to consider various
sexual acts occurring in one incident, not as separate criminal
offenses, but as alternative means of establishing the sexual act
element of a single offense; or (3) the need for unanimity on a
specific sexual incident.
S.L. testified regarding an incident of sexual abuse occurring
after a truck trip with the defendant. Evidence was presented that
during this incident the defendant engaged in digital penetration,
oral sex, and the application of a lubricant on S.L.'s external
genitalia and in her vagina. On the basis of this testimony, the
defendant was convicted of
two counts of second-degree sexual
offense. However, each of the alleged sexual acts occurred during
the same incident, and were alternative means of establishing the
element of commission of a sexual act. North Carolina case law
suggests that, for a given second-degree sexual offense, the jury
need not be unanimous as to which sexual act the defendant
committed, provided they are unanimously agreed that the defendant
committed one or another of the alleged sexual acts. However, as
the jury was
not instructed that they must be unanimous on the
particular act committed, evidence of several different sexual acts
must be considered as alternative means to establish an element of
a single criminal offense. Accordingly, while we may safely
conclude that the jury unanimously agreed on defendant's commission
of one second degree sexual offense, the second conviction must be
reversed. We conclude that as regards the charges of second degree
sexual offense against C.L. in Currituck County, and against G.L.
in Pasquotank County, there was evidence of a greater number of
separate criminal offenses than were submitted to the jury.
Regarding charges of sexual offense against G.L., there was also
generic testimony, with no accompanying instructions on limiting
its consideration to one criminal offense. Regarding charges of
second-degree sex offense committed against all three victims, the
jury was allowed to consider evidence of numerous criminal sexual
acts with no guidance on separating them into separate criminal
offenses. Further, although the indictments and verdict sheets
were validly drawn, they did not remove the ambiguity in the jury's
verdict. None of the verdict sheets associated the offense number
with a given incident or separate criminal offense. Nor did the
trial court's instructions make any attempt to separate the
individual criminal offenses, or guide the jury to identify a given
verdict sheet with a corresponding instance of alleged sexual
abuse. We conclude, upon review of the charges, the evidence, and
the jury instructions, that the jury's verdicts of guilty are
ambiguous as regards the charge of second-degree sex offense
against C.L. in Currituck County, the five charges of second-degree
sex offense against G.L. in Pasquotank County, and one of the
charges of second-degree sex offense against S.L. in Currituck
County.
We have reviewed defendant's remaining arguments and find them
to be without merit. For the reasons discussed above, we concludethat defendant's convictions in cases Currituck County 01-CRS-212,
and 219, and Pasquotank County 02-CRS-1331 through 1335, must be
reversed. We find no error in defendant's nine other convictions.
Reversed in part; No error in part.
Judges HUNTER and McCULLOUGH concur.
Footnote: 1