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1. Discovery--pretrial order--statements
The trial court did not err in a prosecution for statutory rape and other sexual crimes by
allegedly admitting evidence in violation of another trial judge's pretrial order for the State to
turn over all discoverable material to defendant by 8 February 2005, because: (1) the prior trial
judge's order applied to the victim's direct statement to the prosecutor regarding what she told
her friend, but did not apply to any statements that her friend gave directly to the prosecutor; (2)
the State was not allowed to introduce the victim's direct statement to the prosecutor at trial as a
sanction for violating the requirements of the order; (3) N.C.G.S. § 15A-903(a)(1) applies only to
the files of law enforcement officers and prosecutors, but does not apply to evidence yet to be
discovered by the State; and (4) statements by the other victim and the victim's aunt were made
after 8 February 2005, and thus, fell beyond the scope of the order.
2. Indecent Liberties-_multiple counts based on single episode--double jeopardy
inapplicable
The trial court did not violate defendant's double jeopardy rights by entering judgment for
three counts of indecent liberties based on a single episode in spring 1994 that a minor victim
described in her testimony, because: (1) a defendant may be found guilty of multiple crimes
arising from the same conduct so long as each crime requires proof of an additional or separate
fact; (2) multiple sexual acts, even in a single encounter, may form the basis for multiple
indictments of indecent liberties; and (3) in the instant case, there was both touching and two
distinct sexual acts in a single encounter.
3. Criminal Law--denial of jury request to review testimony--trial court's exercise of
discretionary power
The trial court in a prosecution for statutory rape and other sexual crimes did not act
under a misapprehension of law by disavowing its authority to grant the jury's request to review
important testimony where the record shows that the trial court recognized the authority to order
the jury to reexamine testimony read back or transcribed, but in its discretion denied the jury's
request. N.C.G.S. § 15A-1233.
Attorney General Roy Cooper, by Assistant Attorney General R.
Kirk Randleman, for the State.
Appellate Defender Staples Hughes, by Assistant Appellate
Defender Katherine Jane Allen, for defendant-appellant.
CALABRIA, Judge.
John Austin James (the defendant) appeals from judgments
entered upon jury verdicts finding him guilty of statutory rape,
statutory sexual offense, second-degree rape, second-degree sexual
offense, attempted second-degree rape, felonious incest, indecent
liberties, and crime against nature. We find no error.
The defendant and his wife were married and had six children.
Five of the children were born during the marriage and the sixth
child, K.K. (K.K.), was his wife's child from a previous
relationship. On 3 February 2004, K.K., then 23-years old, told her
maternal aunt, Doris Bradshaw (Bradshaw) that the defendant had
sexually abused her over a period of six years, from the time she
was fourteen years old. She also told Bradshaw she was concerned
that her half-sister, N.F. (N.F.), might be suffering from the
same type of abuse. When K.K. communicated her concerns to N.F.,
N.F. confirmed she too was suffering abuse. Bradshaw took K.K. to
the police department, where K.K. described the abuse to
authorities. Police initiated an investigation into the allegations
and subsequently arrested the defendant for numerous acts of sexual
abuse against K.K. and N.F.
As a State's witness during defendant's trial in Mecklenburg
Superior Court, K.K. testified that the defendant sexually abused
her from 1994 until 2000, when she left the defendant's home. K.K.
stated the abuse included sexual intercourse, oral sex, and
inappropriate touching. Specifically, the defendant required
submission to sexual activity in order to receive privileges. [I]f my cousin wanted me to go [to] the movies
with her I would have to ask my step-dad, and
in order for me to be able to do things like
that I would have to do what he wanted to do,
sexual intercourse or something _ perform oral
sex on him or if he wanted to perform oral sex
on me. I would have to do it in order to go
somewhere like that.
K.K. testified that she was frequently abused in this manner,
approximately ten times a month, until she moved out of the home
in 2000. She stated the defendant further coerced her to submit to
his sexual demands by telling her there were Bible stories about
daughters sleeping with their fathers and threatened he could cheat
on K.K.'s mother with other women if she did not comply with his
demands.
At trial, N.F. testified that the defendant, her father,
sexually abused her for the last three years. She also described
how defendant granted privileges conditioned on her assent to his
sexual advances.
The jury returned verdicts finding the defendant guilty of one
count of statutory rape, one count of statutory sexual offense,
two counts of second-degree sexual offense, two counts of second-
degree rape, one count of attempted second-degree rape, five counts
of indecent liberties, one count of felonious incest, and one count
of crime against nature. Superior Court Judge J. Gentry Caudill
(Judge Caudill) then sentenced defendant on all his convictions
to a minimum term of 69 years and a maximum term of 81 years in the
North Carolina Department of Correction. From those judgments,
defendant appeals. [1] Defendant initially argues that Judge Caudill erred in
admitting evidence in violation of Judge Linwood D. Foust's (Judge
Foust) pre-trial order. Specifically, Judge Foust ordered the
State to turn over all discoverable material to the defendant by 8
February 2005. Defendant contends that the trial judge erred by
effectively overruling Judge Foust's order. We disagree.
I. K.K.'s statement to the State
Defendant correctly states that one Superior Court judge may
not overrule another Superior Court judge in the same case unless
the moving party demonstrates a substantial change in circumstances
from the time of the original ruling. State v. Woolridge, 357 N.C.
544, 549-50, 592 S.E.2d 191, 194 (2003). However, in the case sub
judice, Judge Caudill did not overrule Judge Foust.
Prior to Judge Foust's order, the prosecutor met with K.K. and
obtained a statement from her describing a discussion with a
friend. This statement to the prosecutor was the first time K.K.
had told anyone involved in the investigation about her
conversations with her friend. The identity of K.K.'s friend was
unknown until after 8 February 2005 when the State learned K.K.'s
friend's name was Regina Judge (Ms. Judge).
On 6 April 2005, the prosecutor sent an e-mail to defense
attorneys that Ms. Judge would be a witness for the State, that
K.K. had talked with her about the offenses, and that her testimony
would corroborate K.K.'s description of the offenses. After
receiving the 6 April e-mail, defense attorneys filed a motion for
sanctions. During the hearing to determine whether the State shouldbe sanctioned, the prosecutor gave the defendant a written summary
of Ms. Judge's oral statement. According to the summary, the
prosecutor informed the defendant that Ms. Judge would testify
about these confidential conversations with K.K.
At the sanction hearing, Judge Caudill found that K.K.'s
statement to the prosecutor was made prior to 8 February but Ms.
Judge's statement to the prosecutor was made after 8 February 2005.
Therefore, Judge Foust's order only applied to K.K.'s direct
statement to the prosecutor regarding what she told Ms. Judge but
did not apply to any statements that Ms. Judge gave directly to the
prosecutor. Since the State violated the requirements of Judge
Foust's order as to K.K.'s direct statement to the prosecutor, as
a sanction for this violation, the State was not allowed to
introduce K.K.'s direct statement to the prosecutor at trial.
According to Judge Caudill's order, the State was sanctioned and
therefore K.K. did not testify to statements she made to Ms. Judge
about the alleged offenses.
II. Ms. Judge's testimony
When the defendant files a motion seeking discovery, the court
must order the State to:
(1) Make available to the defendant the
complete files of all law enforcement and
prosecutorial agencies involved in the
investigation of the crimes committed or the
prosecution of the defendant. The term file
includes the defendant's statements, the
codefendants' statements, witness statements,
investigating officers' notes, results of
tests and examinations, or any other matter of
evidence obtained during the investigation of
the offenses alleged to have been committed by
the defendant.
N.C. Gen. Stat. § 15A-903(a)(1) (2005). This statute applies only
to the files of law enforcement officers and prosecutors, which
includes all existing evidence known by the State but does not
apply to evidence yet-to-be discovered by the State. Our statutes
inherently contemplate this scenario by imposing upon the State a
continuing duty to disclose any evidence or witnesses discovered
prior to or during trial. N.C. Gen. Stat. § 15A-907 (2005).
In Judge Caudill's order, he reminded the State of the
requirement under N.C. Gen. Stat. § 15A-903 to furnish the defense
with witness statements including oral statements in written
form. After 8 February, the prosecutor notified the defendant of
his intention to call a previously undisclosed witness, Ms. Judge,
and provided her statement in written form. Defendant objected to
Ms. Judge being called as a witness, and moved to bar her testimony
as a violation of Judge Foust's order. Judge Caudill heard
defendant's motion and ordered that this sanction did not apply to
Ms. Judge's statement to the prosecutor since that statement
occurred after the 8 February 2005 discovery deadline, a period not
covered by Judge Foust's order and more importantly, the
prosecutors were unaware that Ms. Judge would testify until after
the deadline.
III. Statements by N.F. and Bradshaw
Finally, the defendant asked the trial court to enforce Judge
Foust's order and to prohibit any testimony or evidence by N.F. or
Bradshaw. Judge Caudill found that the statements the State was
seeking to introduce were made by N.F. and Bradshaw to the Stateafter 8 February 2005. Judge Caudill concluded these statements
were made after 8 February 2005 and fell beyond the scope of Judge
Foust's order, therefore, Judge Foust's order and sanctions did not
apply. Accordingly, this argument that the trial judge overruled
Judge Foust's order is without merit.
[2] Defendant next argues that the trial court erred in
entering judgment for three counts of indecent liberties for a
single episode in spring 1994 that K.K. described in her testimony.
The jury convicted defendant of separate counts of indecent
liberties for touching and sucking K.K.'s breasts, performing oral
sex on her, and committing sexual intercourse with her. Defendant
contends that because these convictions arose from the same
assault, his constitutional right protecting him from double
jeopardy was violated. We disagree.
North Carolina General Statute . 14-202.1(a)(1) (2005) states:
(a) A person is guilty of taking indecent
liberties with children if, being 16 years of
age or more and at least five years older than
the child in question, he either:
(1) Willfully takes or attempts to take any
immoral, improper, or indecent liberties with
any child of either sex under the age of 16
years 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 of either sex under the age of 16 years.
Id. Both the fifth amendment to the United States Constitution and
article I, section 19 of the North Carolina Constitution prohibitmultiple punishments for the same offense absent clear legislative
intent to the contrary. State v. Etheridge, 319 N.C. 34, 50, 352
S.E.2d 673, 683 (1987).
Our courts consider the 'gravamen' or 'gist' of the statute
to determine whether it criminalizes a single wrong or multiple
discrete and separate wrongs. State v. Petty, 132 N.C. App. 453,
461, 512 S.E.2d 428, 434 (1999). Our courts have previously
addressed the gravamen of North Carolina's indecent liberties
statute.
The evil the legislature sought to prevent in
this context was the defendant's performance
of any immoral, improper, or indecent act in
the presence of a child for the purpose of
arousing or gratifying sexual desire.
Defendant's purpose for committing such act is
the gravamen of this offense; the particular
act performed is immaterial.
State v. Hartness, 326 N.C. 561, 567, 391 S.E.2d 177, 180 (1990).
Here, defendant's convictions for three counts of indecent
liberties occurred during the same transaction. He was found guilty
of violating the statute by fondling K.K.'s breasts, by performing
oral sex on her, and by forcing sexual intercourse upon her.
Our courts have previously held that a defendant may be found
guilty of multiple crimes arising from the same conduct so long as
each crime requires proof of an additional or separate fact.
Etheridge at 50, 352 S.E.2d at 683. Our Supreme Court recently
upheld a conviction involving three counts of indecent liberties
with respect to the same victim arising from three separate and
distinct encounters. State v. Lawrence, 360 N.C. 368, 627 S.E.2d609 (2006). In the case sub judice, the defendant committed a
single, continuous sexual assault against a single victim.
We recently considered a fact pattern similar to the case sub
judice in State v. Laney, 178 N.C. App. 337, 631 S.E.2d 522 (2006).
In Laney, the defendant was charged with two counts of indecent
liberties after defendant entered the victim's bedroom, pulled the
covers down and touched the victim's breast over her shirt, then
put his hand under the waistband of her pants, and finally touched
the victim over her pants. The Court reasoned the acts charged
both involved touching and were part of one transaction, and thus
constituted one count of indecent liberties, not two. The Court
distinguished Lawrence by noting that in Lawrence, the three acts
were three separate and distinct encounters, and not part of a
single transaction.
We note, however, that the Laney Court emphasized the sole act
alleged was touching, and not two distinct sexual acts. Id. at
340, 627 S.E.2d at 524. This language indicates that multiple
sexual acts, even in a single encounter, may form the basis for
multiple indictments for indecent liberties. Here, there was both
touching and two distinct sexual acts in a single encounter. The
indictments each spelled out a separate and distinct fact needed to
be proven by the State in order to gain a conviction, and the three
acts were distinct acts each constituting the crime of indecent
liberties. The distinctive character of the acts is not altered
because all three occurred within a short time span. As such, we
determine this case is distinguishable from Laney and conclude thatdefendant was properly found guilty of three counts of indecent
liberties with a minor.
[3] Defendant lastly argues that the trial court acted under
a misapprehension of law by disavowing its authority to grant the
jury's request to review important testimony. We determine that
this argument is unsupported by the record.
A judge's decision to allow jurors to reexamine evidence
admitted at trial is governed by N.C. Gen. Stat. . 15A-1233(2005),
which states in relevant part:
(a) If the jury after retiring for
deliberation requests a review of certain
testimony or other evidence, the jurors must
be conducted to the courtroom. The judge in
his discretion, after notice to the prosecutor
and defendant, may direct that requested parts
of the testimony be read to the jury and may
permit the jury to reexamine in open court the
requested materials admitted into evidence. In
his discretion the judge may also have the
jury review other evidence relating to the
same factual issue so as not to give undue
prominence to the evidence requested.
(b) Upon request by the jury and with consent
of all parties, the judge may in his
discretion permit the jury to take to the jury
room exhibits and writings which have been
received in evidence. If the judge permits the
jury to take to the jury room requested
exhibits and writings, he may have the jury
take additional material or first review other
evidence relating to the same issue so as not
to give undue prominence to the exhibits or
writings taken to the jury room. If the judge
permits an exhibit to be taken to the jury
room, he must, upon request, instruct the jury
not to conduct any experiments with the
exhibit.
Here, the trial court refused the jury's request to review the
testimony of social worker Christopher Ragsdale and Officer Walton,
stating:
. . . I would instruct you, or tell you, that
although the Court Reporter does make a record
of the testimony in the trial, it is not done
or not produced as the testimony is being
given _ and the term is that it is being done
in real time _ but rather is later prepared by
the Court Reporter. The Court Reporter takes
the record that he has made and reduces it to
a typed report, which takes some time. So I am
not going to stop your deliberations and send
him to type this transcript and come back at
some later time to present that to you.
So, in my discretion, I am not going to
supply you with transcripts of the testimony
but would instruct you to use your
recollection as to the testimony of those
other two witnesses, and the other witnesses
in the trial.
Defendant contends that this exchange shows the trial court did not
understand that it had the authority to allow the jury to reexamine
testimony, and that this misunderstanding prejudiced him. In
support, defendant cites State v. Barrow, 350 N.C. 640, 517 S.E.2d
374 (1999), and other cases in which the trial court failed to
realize that it had discretion to grant or deny a jury's request to
reexamine evidence. In Barrow, the trial court denied a jury's
request to reexamine testimony, stating that the court was without
the ability to present the jurors with a transcription of the
requested testimony. The Supreme Court recognized that the trial
court was unable to exercise its discretion because it failed to
understand that it had such discretion. Id.
However, the facts of this case are more analogous to State v.
Burgin, 313 N.C. 404, 329 S.E.2d 653 (1985), where a trial courtrecognized the authority to order the jury to reexamine testimony
read back or transcribed, but in its discretion denied the jury's
request. Here, the trial court noted that it would be time
consuming for the testimony to be transcribed, but never indicated
it lacked authority to order the court reporter to transcribe the
requested testimony. The trial court further noted that it was
denying the request at its discretion, which implies that the court
understood that it could have granted the request at its discretion
but chose not to do so. This is the distinguishing fact between the
Barrow line of cases and the Burgin line of cases, and places this
case squarely with the latter. As such, this assignment of error is
overruled.
No error.
Chief Judge MARTIN and Judge TYSON concur.
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