Link to original WordPerfect file
Link to PDF file
How to access the above link?
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
print version appearing in the North Carolina Reports and North Carolina Court of Appeals Reports, the latest print version is to be considered authoritative.
STATE OF NORTH CAROLINA v. MARLON RIO MASSEY
NO. COA04-1443
Filed: 1 November 2005
1. Sexual Offenses--short-form indictments--minor victim--sufficiency of charges
The short-form indictments used to charge defendant with multiple counts of first-degree
sexual offense with a child under thirteen, multiple counts of felonious sexual act with a minor
over whom he assumed the position of parent residing in the home, and multiple counts of
indecent liberties were not defective, because: (1) the first-degree sex offense indictments match
the form required by N.C.G.S. § 15-144.2(b); (2) the sex offense in a parental role indictments
match the language of N.C.G.S. § 14-27.7; (3) the indecent liberties indictments match the
wording of N.C.G.S. § 14-202.1; and (4) the indictments were sufficient to inform defendant of
the charges against him, and defendant has not shown deprivation of his ability to prepare a
defense due to a lack of specificity in the indictments.
2. Indictment and Information--variance between allegation and proof as to time--
child sex abuse--statute of limitations not involved
The trial court did not improperly instruct the jury on theories of guilt not alleged in
indictments for sexual offenses against a child when the date and time periods in the instructions
were not specified in the indictments because: (1) the fact that a crime was committed on a date
other than that which is alleged in the indictment is not a fatal variance between allegation and
proof where no statute of limitations is involved such as in child sex abuse cases; and (2) the trial
court did not instruct on a different theory or under a different statute, and the indictments gave
defendant sufficient notice of the charges against him.
3. Sexual Offenses--multiple crimes--instructions--elements
The trial court did not commit plain error in a prosecution for sexual offenses by a person
in a parental role and indecent liberties by failing to specifically instruct the jury on the elements of
each offense on each date alleged where the court gave the pattern jury instructions for the
alleged sexual offenses by a person in a parental role and distinguished those counts by assigning
them different locations according to the victim's testimony, and the court also gave the pattern
jury instructions for indecent liberties and then repeatedly instructed the jury that it had to find
"separate and distinct acts" for the various counts.
4. Constitutional Law--right to unanimous verdict--multiple sexual offenses with child
Defendant's right to a unanimous verdict was not violated with respect to convictions on
five counts of first-degree sexual offense with a child under thirteen where the instructions and
verdict sheets contained specific references to the date, act and location of each of the alleged
acts, and it was possible from those references to determine which of defendant's five convictions
correspond to the acts testified to at trial.
5. Constitutional Law--right to unanimous verdict--multiple sexual offenses in parental
role
Defendant's right to a unanimous verdict was not violated with respect to convictions on
two of the ten counts of sexual offense by a person in a parental role where there was sufficient
evidence to support convictions for acts occurring in two different locations, and the trial court's
disjunctive instruction allowed different sexual acts to be considered as alternate means by whichthe State proved a single offense. However, defendant's right to a unanimous verdict was denied
with respect to convictions on eight counts of sexual offense by a person in a parental role where
it is impossible to relate the charges in the verdict sheets to specific instances because the verdict
sheets did not associate an offense with a given incident.
6. Constitutional Law--right to unanimous verdict--multiple indecent liberties offenses
Defendant's right to a unanimous verdict was denied with respect to convictions on four
counts of indecent liberties, even though defendant was charged with only four counts of indecent
liberties, where the State presented evidence of more than four incidents of indecent liberties;
although the trial court instructed the jury to consider each count a separate and distinct act, the
instructions made no further attempt to distinguish among the counts; and it is therefore
impossible to determine whether each juror had in mind the same four incidents when voting to
convict defendant.
7. Sentencing --aggravating factors--failure to submit to jury--Blakely error
The trial court erred by imposing aggravated sentences on defendant for multiple counts
of first-degree sexual offense with a child under thirteen, multiple counts of felonious sexual acts
with a minor over whom he assumed the position of parent residing in the home, and multiple
counts of indecent liberties by finding as an aggravating factor that defendant took advantage of a
position of trust or confidence to commit the offense without submitting this finding to the jury,
and defendant is entitled to a new sentencing hearing.
8. Sentencing--aggravating factor--consolidated judgment--most serious offense
The trial court did not improperly aggravate defendant's sentence by an aggravating factor
based upon the same evidence used to prove an element of sexual offense by a person in a
parental role where defendant's convictions for that offense were consolidated for judgment with
convictions for first-degree sexual offense with a child under thirteen; aggravating factors applied
to a sentence for a consolidated judgment apply only to the most serious offense in that judgment,
which was the first-degree sexual offense; and defendant's sentence was thus not derived from
sexual offense by a person in a parental role because it was not the most serious offense in the
consolidated judgment.
Judge BRYANT concurring in part and dissenting in part.
Appeal by defendant from judgments entered 22 April 2004 by
Judge William Z. Wood, Jr. in Forsyth County Superior Court. Heard
in the Court of Appeals 22 August 2005.
Roy A. Cooper, III, Attorney General, by Anne M. Middleton,
Assistant Attorney General, for the State.
Stubbs, Cole, Breedlove, Prentis & Biggs, PLLC, by C. Scott
Holmes, for defendant-appellant.
MARTIN, Chief Judge.
Defendant was convicted of five counts of first-degree sexual
offense with a child under 13, ten counts of felonious sexual act
with a minor over whom he assumed the position of parent residing
in the home, and four counts of indecent liberties. These verdicts
were consolidated for sentencing, and defendant received five
consecutive sentences of a minimum of 275 months and a maximum of
339 months. After careful review of the record, we find no error
as to defendant's conviction of five counts of first-degree sexual
offense and two counts of felonious sexual act with a minor.
However, we must reverse his remaining convictions of felonious
sexual act with a minor and indecent liberties convictions, and
remand the case for a new trial.
The State presented evidence at trial which tended to show the
following: in July 2000, defendant moved in with H.J., her mother
Rebecca, and half sister A.T. H.J. was six years old at that time.
It was agreed that defendant would be treated as a stepfather.
H.J. testified that when she was eight, in September 2002, shortly
after the birth of her brother, defendant made her pull off her
clothes and get in her mother's bed with him. He would turn her on
her side and stick his thing in [her] backside, and that this
happened about twenty times. She testified that by his thing she
meant defendant's penis.
She further testified that he would touch her breasts, that
before he put his thing in her backside he would lick his
fingers and touch her backside, and that the same thing would
happen in the living room as well as the bedroom. H.J. stated thathe asked her to lick his penis, but she refused, and that he licked
her breasts and on her front part. She also explained that
sometimes these acts also occurred in the living room on Sunday,
when the race would be on television. H.J. testified that
defendant licked her twice, but that it was not at the same time he
was putting his thing in her backside, but afterwards. She
explained that her mom found out on 5 June 2003 when A.T. saw
defendant holding on to her, and told Rebecca, who then talked to
H.J. Subsequently, H.J. talked to the sheriffs and went to the
hospital for an examination.
Sara Ehlers Dentel, a forensic nurse examiner, testified that
she completed a rape kit on H.J. and took photographs of H.J's
vaginal and rectal areas. During her examination, she found what
appeared to be bruising and ulcerations inside H.J's rectum
consistent with H.J.'s statements.
Detective Arnette Miles testified that she interviewed H.J.
regarding the allegations, and H.J. told her that defendant put
his thing in her backside in the master bedroom; that he had
licked her vagina twice; that, sometimes prior to placing his
thing in her butt, he would spit on his hands and digitally
penetrate her; and that on several occasions defendant also did
this in the living room on the couch. After taking this statement,
Detective Miles testified that she traveled with two other officers
to H.J.'s home, where they questioned defendant. After initially
denying the allegations, they again asked defendant if he did it,
and defendant began to cry and nodded his head affirmatively. Miles testified that defendant gave a statement that prior to
5 June 2003, he had sodomized H.J. at least six times. Miles
explained that defendant stated that he had licked H.J. two or
three times, that H.J. had licked his penis, but he could not
remember how many times, and that sometimes this had taken place in
the master bedroom and sometimes in the living room on the couch.
Agent Suzi Barker, forensic biologist with the State Bureau of
Investigation, testified there was semen found on the panties worn
by H.J. on 5 June 2003. Agent Brenda Bisset, a forensic DNA
examiner, testified that the DNA profile from this semen matched
the DNA profile obtained from defendant. Defendant offered no
evidence.
________________________
On appeal, defendant brings forward assignments of error
regarding 1) the sufficiency of the short form indictments; 2) the
trial court's failure to completely instruct the jury concerning
several of the counts in the indictments; 3) the trial court's
instructions were based on theories not alleged in the indictments;
4) the deprivation of his constitutional right to jury unanimity
due to jury instructions that resulted in ambiguous verdicts; and
5) the violation of his constitutional right to a jury regarding
his sentencing in the aggravated range. We address each of these
arguments in turn.
I.
[1] Defendant contends the short-form indictments returned in
these cases were defective because they failed to allege all the
essential elements of the charges. This argument is without merit. Indictments must be sufficient to put defendant on notice of the
charges.
State v. Kennedy, 320 N.C. 20, 24, 357 S.E.2d 359, 362
(1987). An indictment is constitutionally sufficient if it
apprises the defendant of the charge against him with enough
certainty to enable him to prepare his defense and to protect him
from subsequent prosecution for the same offense.
State v.
McGriff, 151 N.C. App. 631, 634, 566 S.E.2d 776, 778 (2002)
(internal citations omitted).
In child sex abuse cases, due to the uncertainty of children
regarding dates and times, courts are lenient regarding differences
between alleged dates and those presented at trial.
Id. at 635,
566 S.E.2d at 779. To show prejudice from such leniency, we
require that defendants show a deprivation of their defense due to
lack of specificity.
Id. Moreover, even though short-form
indictments do not list all of the elements of a particular crime,
their use as charging instruments for statutory sex offense has
been authorized by the legislature.
State v. Miller, 159 N.C. App.
608, 613, 583 S.E.2d 620, 623 (2003),
aff'd, 358 N.C. 133, 591
S.E.2d 520 (2004). In general, an indictment couched in the
language of the statute is sufficient to charge the statutory
offense,
and need only allege the ultimate facts constituting the
elements of the criminal offense and that evidentiary matters need
not be alleged.
State v. Blackmon, 130 N.C. App. 692, 699, 507
S.E.2d 42, 46,
cert. denied, 349 N.C. 531, 526 S.E.2d 470 (1998).
Here, the first-degree sex offense indictments match the form
required by N.C. Gen. Stat. § 15-144.2(b); the sex offense in a
parental role indictments match the language of N.C. Gen. Stat. §14-27.7; and the indecent liberties indictments match the wording
of N.C. Gen. Stat. § 14-202.1. Therefore, they are sufficient to
inform the defendant of the charges against him. In addition,
defendant has not shown deprivation of his ability to prepare a
defense due to a lack of specificity in the indictments.
Accordingly, this assignment of error is overruled.
II.
[2] Defendant also maintains the trial court erred by
instructing jury on theories of guilt not alleged in the indictment
because the date and time periods in the jury instructions were not
specified in the indictments. We disagree.
The fact that a crime was committed on a date other than that
which is alleged in the indictment is not fatal and a variance
between allegation and proof as to time is not material where no
statute of limitations is involved, Blackmon, 130 N.C. App. at
697, 507 S.E.2d at 45 (internal citations omitted) (date range
between 1 January and 12 September 1994), as long as the defendant
has an opportunity to present an adequate defense. McGriff, 151
N.C. App. at 637, 566 S.E.2d at 780 (date between 1 December 1998
and 27 January 1999 not prejudicial).
Here, the trial court did not instruct on a different theory,
or under a different statute. Cf. State v. Lawrence, 170 N.C. App.
200, 206, 612 S.E.2d 678, 683 (2005), temp. stay allowed, 359 N.C.
640, 615 S.E.2d 662 (2005) (Lawrence II, a case unrelated to
Lawrence I) (instruction based on theory that sex offense was
against a victim under the age of 13, but indictments alleged
theory of forcible offense); State v. Bowen, 139 N.C. App. 18, 24,533 S.E.2d 248, 252 (2000) (holding that the trial judge, by his
failure to submit the proper jury instructions for the three counts
of first degree (forcible) sexual offense against defendant,
effectively dismissed those charges). Since we have already
determined that the indictments were sufficient to put defendant on
notice of the charges against him, and since the lack of
specificity as to time when dealing with child sex abuse cases is
not fatal, this argument is overruled. See, e.g., Blackmon, 130
N.C. App. at 697, 507 S.E.2d at 46.
III.
[3] Defendant next argues that the trial court effectively
dismissed the indictments by failing to completely and specifically
instruct the jury as to certain counts. He maintains that the
trial court failed to instruct the jury on the necessary elements
for sex offense against a minor by a person in a parental role
(counts two and three in 03 CRS 56202), and on the necessary
elements of indecent liberties (count three in 03 CRS 56205 and
count two in 03 CRS 56207).
[A] trial judge who instructs on a different charge than the
one defendant is indicted on, has essentially dismissed the
indictment. Bowen, 139 N.C. App. at 26, 533 S.E.2d at 253
(instructing the jury on statutory sex offense when defendant
indicted for forcible first-degree sex offense). The trial court,
however, does not have to instruct on each count separately. See
State v. Parker, 119 N.C. App. 328, 339, 459 S.E.2d 9, 15 (1995)
(holding that trial court did not err in refusing to charge the
jury separately on each count of the indictments, becauseconsidered contextually, the instructions made it clear that each
charge should be considered separately). A trial court's failure
to specifically instruct the jury as to the elements of each
offense on each date . . . [is] not plain error. State v. Evans,
162 N.C. App. 540, 544, 591 S.E.2d 564, 566 (2004).
Defendant did not object to the jury instructions at trial,
and so alleges plain error. When a defendant alleges plain error,
we must examine the whole record to determine if the error is so
basic and prejudicial that it amounts to fundamental error, or
whether the jury's finding of guilt was influenced by the mistaken
instruction. State v. Carrigan, 161 N.C. App. 256, 262-63, 589
S.E.2d 134, 139 (2003), disc. review denied, 358 N.C. 237, 593
S.E.2d 784 (2004).
For the first count complained of by defendant, the trial
court instructed the jury following the pattern jury instruction
for feloniously engaging in a sexual act, anal intercourse, in the
master bedroom with a minor, over whom the Defendant had assumed a
position of a parent residing in the home. After reciting the
pattern charge as to count one, locating the acts in the master
bedroom, the trial court stated:
As to count two, . . . the State must prove
from the evidence beyond a reasonable doubt
that the sexual act took place in the living
room. If the State fails to prove that it
took place in the living room then you must
find the Defendant not guilty. As to count
three of this charge, the State again has the
burden of proving that this sexual act took
place in the master bedroom. If the State
fails to prove this from the evidence beyond a
reasonable doubt then you must find the
Defendant not guilty.
Regarding three of the counts of indecent liberties, counts
two and three of 03 CRS 56205 and count two of 03 CRS 56207, the
trial court again gave the pattern jury instruction, and then
instructed:
As to count three of case No. 03 CRS 56205,
again, you must determine whether or not the
Defendant is guilty of taking indecent
liberties with a child. You must consider
this as a separate and distinct act, separate
from the other charges in this case. I've
defined . . . the charge of taking indecent
liberties with a child and . . . if you find
that the State has proved this [sic] these
three things from the evidence beyond a
reasonable doubt then it would be your duty to
return a verdict of guilty of this count three
of case No. 03 CRS 56205. However, . . . if
you have a reasonable doubt as to one or more
of those things then it would be your duty to
return a verdict of not guilty. But the law is
the same, I'm not going to go through it again
as to that.
Concerning 03 CRS 56207, counts one and two, the trial court
instructed that each count must be considered a separate and
distinct act and informed the jury that they would also consider
the same law as to count two. I'm not going to go through the
definition of an indecent liberty again, you have heard it twice,
but apply that law to count two, decide that as a separate and
distinct act. Moreover, before the final mandate, the trial court
noted that the State bore the burden of proof, and in an abundance
of caution, reiterated the importance of considering each count of
each case as a separate and distinct act.
The trial court did not commit plain error by refusing to
specifically reiterate the instructions for each factually similar
offense on a different date. Evans, 162 N.C. App. at 544, 591S.E.2d at 566. Nor do we believe that had the trial court
specifically instructed the jury on each count, the jurors would
have reached a different result. Carrigan, 161 N.C. App. at 263,
589 S.E.2d at 139. The trial court gave the pattern jury
instructions for the alleged sex offenses in a parental role, and
distinguished those counts by assigning them different locations,
according to H.J.'s testimony. The trial court also gave the
pattern jury instructions for indecent liberties and then
repeatedly instructed the jury that it had to find separate and
distinct act[s] for the various counts. Any error in these
instructions does not rise to the level of plain error, and this
assignment of error is overruled.
IV.
Defendant next argues that his right to a unanimous verdict
was violated because it is unclear which criminal offenses the jury
believed he committed. There is some merit to these contentions.
Under the North Carolina Constitution, [n]o person shall be
convicted of any crime but by the unanimous verdict of a jury in
open court. N.C. Const. art. 1, § 24; N.C. Gen. Stat. §
15A-1237(b) (2003). Jury instructions that allow the jury to
convict a defendant without requiring unanimity on the issue of
which criminal offense the defendant committed may compromise the
right to a unanimous verdict. State v. Petty, 132 N.C. App. 453,
460, 512 S.E.2d 428, 433, disc. review denied, 350 N.C. 598, 537
S.E.2d 490 (1999). [A] disjunctive instruction, which allows the
jury to find a defendant guilty if he commits either of two
underlying acts, either of which is itself a separate offense, isfatally ambiguous because it is impossible to determine whether the
jury unanimously found that the defendant committed one particular
offense. State v. Lyons, 330 N.C. 298, 302-03, 412 S.E.2d 308,
312 (1991). When the defendant presents a question of jury
unanimity, we examine the evidence, the charge, the instructions
and the verdict to determine whether any ambiguity as to unanimity
has been removed. Petty, 132 N.C. App. at 461-62, 512 S.E.2d at
434.
There is 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. State v. Lawrence, 165 N.C. App. 548, 560, 599 S.E.2d 87,
96, temp. stay allowed, 359 N.C. 73, 603 S.E.2d 885 (2004), disc.
review allowed, 359 N.C. 413, 612 S.E.2d 634 (2005) (Lawrence I)
(neither the indictments, verdict sheets, nor the trial court's
instructions, associated a given verdict sheet or indictment with
any particular incident); State v. Wiggins, 161 N.C. App. 583,
592-93, 589 S.E.2d 402, 409 (2003), disc. review denied, 358 N.C.
241, 594 S.E.2d 34 (2004) (no unanimity problem where jury
instructions and verdict sheets differentiated by applicable
indictment number). Furthermore, our Supreme Court has found no
error 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. Kennedy, 320 N.C. at 25, 357 S.E.2d at 362.
[4] Defendant was convicted of five counts of first-degree
sexual offense with a child under thirteen, ten counts of felonioussexual act with a minor over whom he assumed the position of a
parent residing in the home, and four counts of indecent liberties.
We begin by addressing the charges of first-degree sexual offense.
First-degree sexual offense is a sexual act: (1) 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[.]
N.C. Gen. Stat. § 14-27.4(a)(1) (2003). A sexual act includes
cunnilingus . . . [and] the penetration, however slight, by any
object into the genital or anal opening of another person's
body[.] Id. § 14-27.1(4).
An examination of the record reveals that the jury
instructions and verdicts contain specific references to the date,
act, and location of the alleged acts. From these references, it
is possible to determine which of defendant's five convictions
correspond to the possible acts testified to at trial.
In 03 CRS 56199, defendant was found guilty of three counts of
first-degree sexual offense. The verdict sheet reflects that the
first conviction was for acts occurring on June 5, 2003 and the
jury instruction includes both this date and the specific act _
anal intercourse. This instruction was supported by trial
testimony that on 5 June 2003, H.J.'s sister saw defendant holding
on to H.J. The second conviction was for a first-degree sexual
offense in the living room between 9-4-02 and 6-4-03 and the jury
instructions also include this date range, location, and specific
sexual act. H.J. testified that the many of the possible acts had
occurred in the living room. The third count was identical to the
second except that the location on the verdict sheet and in theinstructions was the master bedroom; there was corresponding
testimony from H.J. that some offenses had occurred in the bedroom.
In 03 CRS 56200, defendant was found guilty of first-degree
sexual offense by cunnilingus and the trial judge properly
referenced this in his instructions. H.J. testified that defendant
licked her on her front part, and defendant himself stated that
he had licked H.J. on several occasions. The risk that the jury
would confuse this charge of first-degree sexual assault by
cunnilingus with the previous counts was obviated by the trial
court's instructions that as to the previous incidents, a sexual
act means anal intercourse. Furthermore, H.J. testified that
defendant licked her at a different time than defendant sodomized
her.
Finally, defendant was found guilty of first-degree sexual
offense in the living room while the Defendant was watching the
race. Both the jury instructions and H.J.'s testimony reference
the race on television at the time of this offense. Again, this
count is distinguishable from the earlier count of first-degree
sexual offense in the living room. H.J. testified to multiple
acts, some of which occurred in the living room. Defendant also
stated that the alleged acts sometimes took place in the living
room. The testimony and jury instructions indicate multiple acts
in the living room, one of which took place while a race was on
television.
In sum, the charges in the verdict sheet can be related to
specific acts, each of which was the basis for a charge of first-
degree sexual offense. These instances are not alleged to haveoccurred within the same transaction but, rather, were separate
and distinct acts occurring at different times and places, each of
which forms the basis for charging the defendant with a separate
count of first-degree sexual offense. Lawrence II, 170 N.C. App.
at 210, 612 S.E.2d at 685. Additionally, the trial court's
instructions limited the jury's consideration of the first-degree
sexual offenses by date, act, and location as reflected by the
testimony and verdict sheets. Given the longstanding presumption
that a jury follows the instructions given by the trial court, see,
e.g., State v. Wiley, 355 N.C. 592, 637, 565 S.E.2d 22, 52 (2002),
cert. denied, 537 U.S. 1117, 154 L. Ed. 2d 795 (2003), and based on
the foregoing analysis of the verdict sheets, jury instructions,
and testimony, we can determine that the jury unanimously convicted
defendant of particular crimes. Kennedy, 320 N.C. at 25, 357
S.E.2d at 362. We affirm defendant's convictions for five counts
of first-degree sexual offense.
[5] Defendant was also convicted of ten counts of felonious
sexual act with a minor over whom he assumed the position of parent
residing in the home in violation of N.C. Gen. Stat. § 14-27.7(a).
Since the nature of the verdict and the charge given to the jury on
these counts differed significantly from the verdict and
instructions pertaining to first degree sexual offense, we must
grant defendant a new trial upon eight of these charges because,
after examining the verdict sheets and the instructions, we cannot
determine which specific acts each juror had in mind when voting to
convict defendant of sex offense in a parental role. Lawrence I,
165 N.C. App. at 563, 599 S.E.2d at 98. The proffered testimony was in the form of generic
testimony, and 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. Lawrence I, 165 N.C. App. at
557, 599 S.E.2d at 94; see also State v. Bates, 172 N.C. App. 27,
35, 616 S.E.2d 280, 287 (2005) temp. stay allowed, 360 N.C. 67 ___
S.E.2d ___, (2005) (generic testimony was sufficient to support a
single additional charge and conviction of first-degree sexual
offense); Wiggins, 161 N.C. App. at 593, 589 S.E.2d at 409
(upholding a conviction for second-degree rape based on generic
testimony).
In this case, there was generic testimony about alleged
incidents in the bedroom and living room, by anal intercourse and
by cunnilingus. For example, H.J. testified about alleged acts
that would happen and things that defendant would do
sometimes, occurring in the living room and in the bedroom, and
defendant made similar statements. This testimony is sufficient to
support an additional charge and conviction of feloniously engaging
in a sexual act in the master bedroom with a minor over whom
defendant had assumed the position of a parent residing in the home
by both cunnilingus and anal intercourse (count one of 03 CRS
56203), and a similar additional conviction for the same acts in
the living room (count one of 03 CRS 56205). There is no issue as
to unanimity because the disjunctive instruction allows these acts
to be considered as alternate means by which the State proved the
single criminal offenses. Lawrence I, 165 N.C. App. at 557, 599
S.E.2d at 94-95. As to the eight remaining counts (three in 03 CRS 56202, two
in 03 CRS 56203, and three in CRS 56204) where the jury found the
defendant guilty of identical instances of anal intercourse in the
master bedroom or living room, it is impossible to relate the
charges in the verdict sheets to specific instances because the
verdict sheets did not associate an offense with a given incident.
Id. at 563, 599 S.E.2d at 98. Since we cannot determine whether
the jury unanimously convicted defendant based on specific acts, we
must grant a new trial upon the remaining eight counts of felonious
sexual act with a minor.
[6] Finally, we examine defendant's convictions for indecent
liberties. In 03 CRS 56205 and 03 CRS 56207, defendant was
convicted of four counts of taking indecent liberties with a child.
A person is guilty of taking indecent
liberties with children if, . . . he either:
(1) Willfully takes or attempts to take
any immoral, improper, or indecent
liberties with any child . . . for the
purpose of arousing or gratifying sexual
desire; or
(2) Willfully commits or attempts to
commit any lewd or lascivious act upon or
with the body or any part or member of
the body of any child . . .
N.C. Gen. Stat. § 14-202.1(a)(2003). It is well settled that
indecent liberties do not merge with or are not lesser included
offenses of sexual offense. Lawrence II, 170 N.C. App. at 214, 612
S.E.2d at 687. Furthermore, evidence of one incident of rape or
sexual offense may support a conviction for indecent liberties as
well. Id. When there is evidence of a greater number of offenses
than there are charges against a defendant, concerns over unanimity
arise, Lawrence I, 165 N.C. App. at 558, 599 S.E.2d at 94, becausethere is a risk that the jury will return guilty verdicts without
agreeing upon a defendant's guilt regarding particular criminal
acts. State v. Holden, 160 N.C. App. 503, 507, 586 S.E.2d 513, 517
(2003), aff'd without precedential value, 359 N.C. 60, 602 S.E.2d
360 (2004).
Based on the record in this case, we are unable to ascertain
which particular evidence was the basis for the jury's verdicts
because, although defendant was only charged with four counts of
indecent liberties, the State presented evidence of more than four
incidents of indecent liberties. Defendant's own statement
indicated that he had sodomized H.J. at least six times, that he
licked her two or three times, and that H.J. had licked his penis
an unknown number of times, and there was evidence of fondling and
digital penetration as well. Although the trial judge instructed
the jury to consider each count of indecent liberties a separate
and distinct act, the instructions made no further attempts to
distinguish among the counts. Holden, 160 N.C. App. at 508, 586
S.E.2d at 517. It is therefore impossible for us to determine
whether each juror had in mind the same four incidents when voting
to convict defendant. The risk of ambiguity as to unanimity has
not been removed. See Petty, 132 N.C. App. at 461-62, 512 S.E.2d
at 434 (distinguishing between disparate crimes and alternate ways
of showing the commission of a crime). Since defendant's right to
a unanimous verdict has been jeopardized, we must grant a new trial
upon the four convictions of indecent liberties as well.
V.
[7] Defendant's final argument is that the trial court
erroneously found a factor in aggravation, violating his right to
a jury trial pursuant to
Blakely v. Washington, 542 U.S. ___, 159
L. Ed.2d 403 (2004). We agree. The trial court found as an
aggravating factor that defendant took advantage of a position of
trust or confidence to commit the offense. A defendant's Sixth
Amendment right to a jury trial is violated by judicial findings of
such aggravating factors pursuant to North Carolina's Structured
Sentencing Act, specifically N.C. Gen. Stat. § 15A-1340.16(a), (b),
and (c).
State v. Lewis, 172 N.C. App. 97, 107, 616 S.E.2d 1, 7-8
(2005). Our North Carolina Supreme Court applied the rule in
Blakely to our structured sentencing scheme and determined that
statutory maximum is equivalent to presumptive range.
Id.
Since a jury did not find the aggravating factor beyond a
reasonable doubt, this constitutes structural error, reversible
per
se, under
State v. Allen, 359 N.C. 425, 444, 615 S.E.2d 256, 267
(2005), and we must grant the defendant a new sentencing hearing.
[8] Defendant further maintains that the trial court
erroneously aggravated his sentence because the aggravating factor
was based on the same evidence used to prove an element of the
offense of sexual activity in a parental role. This argument is
misplaced. Defendant's sexual offense by a person in a parental
role convictions were consolidated for judgment with the first-
degree sex offense charges. Our Supreme Court held in
State v.
Tucker, that the trial judge is required by the Structured
Sentencing Act to enter judgment on a sentence for the most serious
offense in a consolidated judgment, aggravating factors applied tothe sentence for a consolidated judgment will only apply to the
most serious offense in that judgment.
357 N.C. 633, 637, 588
S.E.2d 853, 855 (2003).
Here, as in
Tucker, the defendant's sentence was not derived
from sexual offense by a person in a parental role because it was
not the most serious offense in the consolidated judgment.
Id. at
639, 588 S.E.2d at 857. Therefore, it was not erroneous to apply
the aggravating factors to the consolidated judgment.
03 CRS 56199 First-Degree Sexual Offense No error in the
trial, remanded for a new sentencing hearing.
03 CRS 56199 First-Degree Sexual Offense No error in the
trial, remanded for a new sentencing hearing.
03 CRS 56199 First-Degree Sexual Offense No error in the
trial, remanded for a new sentencing hearing.
03 CRS 56200 First-Degree Sexual Offense No error in the
trial, remanded for a new sentencing hearing.
03 CRS 56200 First-Degree Sexual Offense No error in the
trial, remanded for a new sentencing hearing.
03 CRS 56203 Sex Offense - Parental Role No error in the
trial, remanded for a new sentencing hearing.
03 CRS 56205 Sex Offense - Parental Role No error in the
trial, remanded for a new sentencing hearing.
03 CRS 56202 Sex Offense - Parental Role New Trial
03 CRS 56202 Sex Offense - Parental Role New Trial
03 CRS 56202 Sex Offense - Parental Role New Trial
03 CRS 56203 Sex Offense - Parental Role New Trial
03 CRS 56203 Sex Offense - Parental Role New Trial 03 CRS 56204 Sex Offense - Parental Role New Trial
03 CRS 56204 Sex Offense - Parental Role New Trial
03 CRS 56204 Sex Offense - Parental Role New Trial
03 CRS 56205 Indecent Liberties New Trial
03 CRS 56205 Indecent Liberties New Trial
03 CRS 56207 Indecent Liberties New Trial
03 CRS 56207 Indecent Liberties New Trial
Judge GEER concurs.
Judge BRYANT concurs in part and dissents in part in a
seperate opinion.
BRYANT, Judge, concurring in part, dissenting in part.
I concur in the portion of the majority opinion finding no
error as to defendant's conviction of five counts of first degree
sexual offense and two counts of felonious sexual act with a minor.
However, I disagree and therefore respectfully dissent from the
majority opinion remanding for a new trial the remaining
convictions consisting of eight counts of felonious sexual act with
a minor (also referred to as sex offense in a parental role) and
four counts of taking indecent liberties with a minor.
The majority opinion acknowledges the trial court did not err
in its instructions to the jury as to the charges of sexual offense
in a parental role and indecent liberties. The trial court used
the pattern jury instructions and distinguished by location each of
the counts of sexual offense in a parental role and repeatedly
instructed the jury it must find separate and distinct acts for
each of the counts of indecent liberties. Nevertheless, the majority, finding merit in defendant's
contention that his right to a unanimous jury verdict was violated
because it is unclear which criminal offenses the jury believed he
committed, goes on to hold that because we cannot determine which
specific instances of abuse each juror had in mind when voting to
convict defendant, defendant must be granted a new trial on eight
of the counts of sex offense in a parental role and on all four
counts of indecent liberties. The majority seems to draw a
distinction between those counts in which the verdict sheets
indicate a specific incident (e.g. anal intercourse in the master
bedroom) and counts where no other information is listed on the
verdict sheets. However, our statutes do not specify what
constitutes a proper verdict sheet[,] . . . [n]or have our Courts
required the verdict forms to match the specificity expected of the
indictment. State v. Floyd, 148 N.C. App. 290, 295, 558 S.E.2d
237, 240-41 (2002). A verdict is deemed sufficient if it can be
properly understood by reference to the indictment, evidence and
jury instructions. State v. Connard, 81 N.C. App. 327, 336, 344
S.E.2d 568, 574 (1986), aff'd, 319 N.C. 392, 354 S.E.2d 238 (1987)
(per curiam).
Defendant was convicted of five counts of first degree sexual
offense, four counts of indecent liberties and ten counts of felony
sex offense in a parental role. The evidence at trial showed that
from mid September 2002 (less than one month after the child
victim's younger brother was born) until 5 June 2003, the defendant
engaged in anal intercourse with the child victim, his step
daughter, as many as fifty (50) times, anytime he got a chance. According to the child it happened as many as thirty times in the
master bedroom and as many as twenty times in the living room. The
evidence showed defendant licked his fingers and put them in the
child's backside prior to anal intercourse. The evidence further
showed the defendant on at least one occasion touched her breast
and licked her breast, and at least three times, licked her vaginal
area. The jury heard evidence of defendant's statement admitting
to engaging in anal intercourse with the victim at least six times
before 5 June 2003, and to licking her vagina at least two or
three times. On 5 June 2003, after the victim's sibling saw
defendant holding the child victim, the child was taken to the
doctor, examined and determined to have anal bruising and anal
ulcerations. Fluid found on the back side of the victim's panties
was identified as sperm, subjected to DNA analysis, and determined
to be that of the defendant.
I would submit that this evidence is more than sufficient to
support each and every jury verdict in this case. The majority
opinion and some of the cases cited therein seem to suggest that
where, as here, the evidence reveals a greater number of separate
criminal offenses than there are charges submitted to the jury,
there is in essence, a per se violation of defendant's right to a
unanimous jury. See State v. Bates, 172 N.C. App. 27, ___ S.E.2d
___ (2005) temp. stay allowed, 360 N.C. 537, ___ S.E.2d ___, 2005
N.C. LEXIS 861 (2005) and State v. Lawrence, 170 N.C. App. 200, 612
S.E.2d 678 (J. Bryant concurring in part and dissenting in part)
temp. stay allowed, 359 N.C. 640, 615 S.E.2d 662, 2005 N.C. LEXIS
604 (2005). Analyzing criminal cases in this manner would tend toextend the concept of unanimity far beyond what is reasonable for
child sexual abuse cases in general and in this case in particular.
Here we have a jury that was properly instructed by the court.
During deliberations, this jury made only one request for testimony
regarding one incident. The jury deliberated less than two hours
before reaching unanimous verdicts on nineteen of twenty counts of
sexual acts upon the child victim. Absent any indication the jury
was confused or misunderstood the trial court's instructions I
cannot agree to overturn these unanimous jury verdicts which
overwhelmingly appear to be based on the evidence presented at
trial and on properly given instructions. The courts properly
presume that jurors pay close attention to the instructions of the
trial judge in criminal cases and that they undertake to
understand, comprehend, and follow the instructions as given.
State v. Nicholson, 355 N.C. 1, 60, 558 S.E.2d 109, 148, cert.
denied, 537 U.S. 845, 154 L. Ed. 2d 71 (2002)(citation omitted). As
our Supreme Court has stated, these instructions, when read as a
whole, required a verdict of not guilty if all twelve jurors were
not satisfied beyond a reasonable doubt that the defendant engaged
in an unlawful sexual act. . . [and there is] nothing in the record
indicat[ing] any confusion, misunderstanding, or disagreement among
the members of the jury which would indicate a lack of unanimity.
Hartness, 326 N.C. at 565, 391 S.E.2d at 179.
. . .
In the instant case defendant has failed to
show a lack of unanimity in the jury verdicts.
There must be more than a possibility of a
non-unanimous verdict to overturn a unanimous
jury verdict. We cannot decide cases based on
speculation of what might have been. Perhaps
the greatest danger posed by the majority
opinion is that it would allow a convicted
defendant to speculate on appeal, as to what a
jury might have done during the course of
deliberations at trial and with no indication
the jury struggled with unanimity issues,
grant defendant a new trial based on
speculation. The burden is on defendant to
show prejudicial error in order to have his
conviction reversed and a new trial granted.
Here, the evidence of record shows the jurywas instructed on the law by the trial court,
the jury was presented with a total of [20]
separate verdicts [] as to three specific
types of sexual crimes . . . and in a [very]
short time the jury convicted defendant [of 19
of the 20 counts] in unanimous verdicts.
State v. Lawrence, 170 N.C. App. at 222, 612 S.E.2d at 691-92
(Bryant, J., dissenting).
Just as in Lawrence, I cannot find that a danger of lack of
unanimity arises from the verdicts in the instant case. I believe
this defendant received a fair trial, free from prejudicial error
as rendered by a unanimous jury in open court. I would hold no
error as to all convictions in this case, including all counts of
Sexual Offense in a Parental Role and Taking Indecent Liberties
with a Minor.
*** Converted from WordPerfect ***