State v. White
State v. White
Opinion of the Court
**249The sole question presented by this appeal is whether the superseding indictment upon which defendant was tried and convicted was facially defective, and thus failed to establish jurisdiction in the trial court, because it identified the alleged victim only as "Victim #1." For the reasons stated below, we hold that an indictment identifying the alleged victim only as "Victim #1" fails to satisfy the statutory requirement that the indictment name the victim; and, therefore, the indictment is facially invalid. As a result, the trial court's judgment must be vacated.
Background
Beginning in December 2010, the victim, Hannah,
**250The case was tried at the 31 August 2015 session of Superior Court, Graham County, with the Honorable J. Thomas Davis presiding. On 9 September 2015, the jury returned a verdict finding defendant guilty of sexual offense with a child by an adult offender. The trial court imposed an active sentence of 300 to 369 months of imprisonment. On 17 October 2017, the Court of Appeals affirmed defendant's conviction in an unpublished opinion, State v. White , --- N.C. App. ----,
Before the Court of Appeals, defendant argued that the superseding indictment upon which he was convicted was invalid because it identified the victim as "Victim #1" rather than naming the victim as the short-form indictment statute for the offense directs. White ,
*82Analysis
"A defendant can challenge the facial validity of an indictment at any time, and a conviction based on an invalid indictment must be vacated." State v. Campbell,
"[A] valid bill of indictment is essential to the jurisdiction of the trial court to try an accused for a felony." State v. Rankin ,
The General Assembly has the power "to relieve the State of the common law requirement that every element of the offense be alleged" in an indictment, State v. Lowe ,
Use of the Phrase "Victim #1" Does Not Constitute "Naming the Victim."
"The goal of statutory interpretation is to determine the meaning that the legislature intended upon the statute's enactment." Rankin ,
Subsection 15-144.2(b) of the North Carolina General Statutes states:
If the victim is a person under the age of 13 years, it is sufficient to allege that the defendant unlawfully, willfully, and feloniously did engage in a sex offense with a child under the age of 13 years, naming the child , and concluding as required by law. Any bill of indictment containing the averments and allegations named in this section is good and sufficient in law as an indictment for a sex offense against a child under the age of 13 years and all lesser included offenses.
**252N.C.G.S. § 15-144.2(b) (Supp. 2018) (emphasis added). The statutory language is clear and unambiguous: it requires that the child be named as part of the allegations in the indictment. In common understanding, to name someone is to identify that person in a way that is unique to that individual and enables others to distinguish between the named person and all other people. The *83phrase "Victim #1" does not distinguish this victim from other children or victims.
In holding that "naming the victim" could be satisfied by use of "Victim #1," the Court of Appeals relied on State v. McKoy . There the court evaluated the sufficiency of a short-form indictment for second-degree rape, which identified the victim by the initials "RTB." McKoy ,
The State points to the North Carolina Rules of Appellate Procedure and various provisions in the North Carolina General Statutes regarding juvenile offenders as evidence of a preference for protecting the privacy of minors. These comparisons are inapt.
It is true that this Court has created rules for the protection of juvenile victims' identities in documents filed in the Appellate Division. See, e.g. , N.C. R. App. P. 42(b), https://www.nccourts.gov/assets/inline-files/North-Carolina-Rules-of-Appellate-Procedure-Codified-7-January-2019.pdf?U4QsCKDrkl0LSp9BdSHmngXdzgDylUGf (mandating that, in appeals from juvenile proceedings, counsel must use "initials or a pseudonym instead of the minor's name" in briefs, motions, and petitions filed in certain matters, including appeals "that involve a sexual offense committed **253against a minor"). This Court has the authority to promulgate rules for the appellate courts. It does not, however, have the authority to rewrite statutes to implement its own policy preferences.
Additionally, the State cites statutes enacted to keep juveniles' records confidential. See N.C.G.S. § 7B-2901 (2017) (governing the maintenance under seal of records pertaining to reports of juvenile abuse, neglect, and dependency);
Adopting the State's interpretation that "Victim #1" is sufficient to name the victim would frustrate the purpose of the statute and render useless the phrase "naming the victim." See Porsh Builders, Inc. v. City of Winston-Salem ,
Facial Validity is Determined by Evaluating Only the Allegations in the Criminal Pleading.
We turn now to the question of whether a court may supplement the allegations in an *84indictment by referring to extrinsic evidence. The Court of Appeals relied upon our opinion in State v. Ellis to conclude that reference to various record documents and trial evidence to supplement a missing material allegation in an indictment is permissible.
In Ellis the defendant was convicted upon an indictment charging injury to personal property after, in the course of committing larceny at an electrical substation on the campus of North Carolina State University (NCSU), he damaged copper wire located on the property. Ellis , 368 N.C. at 342-43,
The Court of Appeals in the instant case relied on Ellis for the proposition that a court may look outside the four corners of the indictment for information that can be used to supplement the missing essential element in the indictment. White ,
This Court made clear in Ellis that facial validity "should be judged based solely upon the language of the criminal pleading in question without giving any consideration to the evidence that is ultimately offered in support of the accusation contained in that pleading." Id. at 347,
Here, the dissent agrees with the Court of Appeals' conclusion that the arrest warrant, original indictment, and proceedings at trial may be considered in evaluating whether a defendant had sufficient notice of the crime charged, with Ellis providing the legal authority for the consideration of these additional materials. The additional information upon which Ellis relies, which consists of the statutory provision setting out the inherent authority of NCSU to own property, is fundamentally **255different than the additional case-specific factual material upon which the Court of Appeals and the dissent rely. Ultimately, Ellis stands for the proposition that one determines the facial validity of an indictment by examining the four corners of the charging instrument in light of the applicable law without making any reference to additional factual information contained elsewhere in the record like that upon which the Court of Appeals and our dissenting colleagues rely.
We recognize the compelling public policy concerns that motivate the State and our courts to protect victims' identities. Protecting a victim's identity from the public increases privacy and safety, and encourages overall reporting of sexual assaults. Public access to a victim's identity often leads to *85inquiries and commentary from the community or media, compromising victim privacy. See Daniel M. Murdock, Comment, A Compelling State Interest: Constructing a Statutory Framework for Protecting the Identity of Rape Victims ,
It is within the purview of the General Assembly to mandate that the victim's identifying information be redacted from documents generated in sexual assault prosecutions, a measure that many other states have taken.
Because the Court of Appeals erred when it held that "Victim #1" constituted "naming the victim" as contemplated by the short-form indictment statute, and because the court referred to and relied on record documents and trial evidence to supplement the faulty indictment, we reverse the decision below and remand this case to the Court of Appeals for further remand to the trial court with instructions to vacate the trial court's judgment.
REVERSED AND REMANDED.
Justice DAVIS did not participate in the consideration or decision of this case.
The victim will be referred to as Hannah, a pseudonym to protect the child's privacy.
See, e.g. ,
Dissenting Opinion
While I agree with my learned colleagues in the majority that N.C.G.S. § 15-144.2(b) (2017) expressly requires that a short-form indictment must **257name the alleged child victim in a sex offense that is charged pursuant *86to this statute in order for the indictment to be facially valid, I firmly disagree with them that the superseding indictment upon which defendant was found guilty in this case failed to comport with the statute's requirements. In light of the facts and circumstances of this particular case, the majority unfortunately places the fundamental right of a criminal defendant to have sufficient notice of the charges lodged against him and the State's laudable aim to protect the identity of a minor who is the alleged victim of a sex crime on an unnecessary collision course based upon a narrow and rigid interpretation of the applicable law. I embrace the fundamental reasoning of the Court of Appeals in this case and would arrive at its same outcome.
North Carolina General Statutes section 15-144.2(b), in delineating the essentials of a short-form indictment for a sex offense, states in pertinent part:
(b) If the victim is a person under the age of 13 years, it is sufficient to allege that the defendant unlawfully, willfully, and feloniously did engage in a sex offense with a child under the age of 13 years, naming the child , and concluding as aforesaid [in subsection (a) ].
N.C.G.S. § 15-144.2(b) (Supp. 2018) (emphasis added). N.C.G.S. § 14-27.4A(a) (now recodified as N.C.G.S. § 14-27.28 (2015) established:
(a) A person is guilty of statutory sexual offense with a child by an adult if the person is at least 18 years of age and engages in a sexual act with a victim who is a child under the age of 13 years.
While an indictment is defined in N.C.G.S. § 15A-641(a), the operation of a superseding indictment in conjunction with the original indictment which it supplants is addressed in N.C.G.S. § 15A-646. "Every criminal proceeding by indictment is sufficient in form for all intents and purposes if it expresses the charge against the defendant in a plain, intelligible, and explicit manner; and the same shall not be quashed, nor the judgment thereon stayed, by reason of any informality or refinement, if in the bill or proceeding, sufficient matter appears to enable the court to proceed to judgment." N.C.G.S. § 15-153 (2013), quoted in State v. Williams ,
In the present case, the original indictment charged defendant with a sex offense committed against a minor child in violation of N.C.G.S. § 14-27.4A(a). The minor child was accurately identified in the indictment as the alleged victim by her first and last names. This disclosure of the first and last name of the alleged victim also appeared in the arrest warrant that was issued for defendant and which served as a preface for defendant's subsequent indictment. At this stage in defendant's criminal proceedings, he had been clearly apprised of the identity of his alleged child victim through each of the two critical criminal procedural stages of arrest and indictment. Upon the State's determination to successfully seek a superseding indictment from a grand jury renewing the same charge that appeared in the original indictment with the alleged victim's first and last name, and altering the dates of the alleged offenses in order to be consistent with the time period shown in the arrest warrant that also bore the alleged victim's first and last name, the State deemed it prudent to refer to the alleged child victim in the superseding short-form indictment authorized by N.C.G.S. § 15-144.2(b) merely as "Victim #1." This approach was an obvious effort employed by the State to protect the alleged victim's identity in light of the apparent satisfaction of its constitutional duty, as enacted in the cited *87statutory law and consistently interpreted by this Court in such cases as Williams , Freeman , and Coker , to apprise defendant of the charged sex offenses against him with enough certainty to enable him to prepare his defense and to protect him from subsequent prosecution for the same offenses.
The effectiveness and sufficiency of the notice given to defendant as to the identity of "Victim #1" in the superseding indictment, based upon the alleged victim's name being divulged in the original indictment, is readily apparent from the procedural and substantive circumstances at the trial level. As the Court of Appeals astutely noted in its rendered opinion, the superseding indictment was filed in the same criminal case bearing the same file number as the warrant and original indictment; the dismissal filed by the State to dispose of the original indictment upon **259the introduction of the superseding indictment expressly noted that the only substantive changes between the two charging instruments were a correction of the dates of offense and an increase in the level of the charged felony; defendant did not contend at any point during his trial that the identity of the alleged victim was in question or that he faced any difficulty in preparing his defense. With this confluence of constitutional law, statutory law, and appellate case law readily flowing with the particular facts and circumstances contained in the instant case, I agree with the conclusion of the lower appellate court that defendant was given sufficient notice as to the identity of the alleged child victim and that nothing in the record demonstrates that such notice was affected by the superseding indictment.
The majority's restricted view of the properness of the superseding indictment in the case at bar is further displayed by its application of the Court's decision in State v. Ellis ,
For the reasons stated, I would modify and affirm the opinion of the Court of Appeals in this case.
Justice NEWBY joins in this dissenting opinion.
Dissenting Opinion
I fully join Justice Morgan's dissent in this case. I write separately to explain that I also dissent on the basis of the rationale stated in the dissenting opinion in State v. Rankin , --- N.C. ----, ----,
The purpose of an indictment is to notify the defendant of the charges against him and to protect him against being tried twice for the same offense (double jeopardy). Here the indictment fulfilled those purposes as defendant was fully aware of the charges against him. He confessed to his wrongful conduct. He was tried and convicted; jeopardy attached. Yet, based on archaic decisions predating notice pleading under the Criminal Procedure Act, the majority concludes defendant's indictment is technically inadequate. Once again, a child victim must endure the emotional distress and indignities of another trial because of a purely legal technicality. It is this type of legal gamesmanship which leads to cynicism about whether justice prevails in our criminal justice system.
Reference
- Full Case Name
- STATE of North Carolina v. Michael Lee WHITE
- Cited By
- 42 cases
- Status
- Published
- Syllabus
- Appeal from conviction for child sex offense whether the superseding short-form indictment charging defendant was facially defective because it did not refer to the alleged victim by name.