State v. Diaz
State v. Diaz
Opinion
**494
This case is before us pursuant to the State's petition in the alternative for discretionary review
1
of the Court of Appeals' opinion which granted defendant a new trial on his abduction of a child and statutory rape charges after determining that he was prejudiced by the trial court's decision to allow his affidavit of indigency to be admitted to prove
*534
his age-an element of the charges-in violation of his constitutional right against self-incrimination.
State v. Diaz
,
... the Court of Appeals err[ed] when it ... held there was a self-incrimination clause violation where a form filled out by the defendant was admitted into evidence to show the defendant's age which was an element of his crimes, when the defendant's age was testified to without objection by uncontroverted testimony by the victim who lived in the same household.
We conclude that admission of the affidavit was in error; however, because the trial court's error in allowing the affidavit of indigency to be **495 admitted was harmless beyond a reasonable doubt, we affirm the Court of Appeals' opinion in part and reverse it in part. 2
I. Factual and Procedural Background
At trial, the State offered the only evidence. The factual background of this case was established mainly through the testimony of the juvenile victim, Julie. 3 Julie's testimony tended to show the following.
Defendant and Julie met and began dating in the "late fall, early winter" of 2014. At the time they met, Julie was a freshman in high school and defendant was a senior at the same high school. Julie was fourteen years old, and she would not turn fifteen until 21 July 2015. Defendant told Julie that he was eighteen, but Julie later found out that he was nineteen. Julie testified that defendant's birthdate was 26 November 1995. On cross-examination, Julie testified that she never saw defendant's driver's license, birth certificate, or passport.
After they met, Julie and defendant began "talking." However, at the end of January 2015, Julie and defendant began skipping school to have sex at defendant's house. The two continued having sex through April of 2015. Julie testified that she wanted to have sex with defendant all "but the first time."
At one point in March or April of 2015, defendant asked Julie if he could record them while they were having sex. Julie testified that defendant's request was unexpected and that although she initially did not object to it, she was later worried that defendant might "use[ ] [i]t to manipulate [her]." Defendant made four separate recordings and the trial court admitted all of them into evidence.
On 14 April 2015, Julie and defendant left North Carolina. Julie testified that although it was defendant's idea to leave North Carolina, she agreed to leave with him because: (1) she thought she was in love with him; (2) he told her that she would never see him again if she did not come with him; and (3) she was scared that he was going to use the recordings that he took of them having sex to manipulate her to go with him. Julie ultimately testified on cross-examination that although, in her view, defendant did not force her to leave with him, she "felt forced."
**496 After leaving North Carolina, defendant and Julie first went to defendant's uncle's house in New Mexico. Defendant's uncle, however, "didn't help [them]." He told them that they needed to "go back and do things right." He also told Julie that she needed to call her mother. Julie did so, but she did not tell her mother where her and defendant were.
After leaving defendant's uncle's house, Julie and defendant went to Broken Arrow, Oklahoma. Julie testified that they "tried to get settled" there. They got an apartment together, and both she and defendant found jobs. Julie testified that at that point, the two were "[b]asically starting a new life" and "helping each other out." Julie testified that although she was "in favor of being out" in Oklahoma, she "kind of wanted to go back." Julie and defendant were away from North Carolina for about a month in total before *535 U.S. Marshals found them in Oklahoma. Once they were found, U.S. Marshals arranged for Julie to return home to Greenville, N.C., on a flight from Oklahoma to Charlotte. Julie had no interaction with defendant after she returned home.
On 2 June 2015, Julie made a written statement to one of the U.S. Marshals who picked her up at the airport in Charlotte. Julie testified at trial that she still loved defendant and felt like she had to protect him at the time that she wrote the statement. The statement tended to: (1) contradict Julie's trial testimony that it was defendant who came up with the idea to record them having sex back in March or April; and (2) demonstrate that defendant was willing to take Julie back home if she wanted to go back.
On 14 September 2015, defendant was indicted for: (1) one count of abduction of a child under N.C.G.S. § 14-41 ; (2) three counts of statutory rape under then N.C.G.S. § 14-27.7A(b) ; 4 and (3) four counts of first-degree sexual exploitation of a minor under N.C.G.S. § 14-190.16.
On 6 October 2015, defendant completed and signed an affidavit of indigency so that a court-appointed attorney could be assigned to his case. Within the sworn affidavit, defendant listed his date of birth as 20 November 1995.
**497 Defendant's trial began on 16 May 2016. At trial, Julie testified to the facts stated herein. 5 At the end of Julie's testimony, the State offered as evidence a copy of defendant's affidavit of indigency. The State asserted that the affidavit was a self-authenticating document under Rule 902 of the North Carolina Rules of Evidence. Defendant objected to the admission of the affidavit on the grounds of "relevance, due process, hearsay, confrontation." The trial court ruled that the affidavit was admissible because under " Rule 902 Rules of Evidence, it is a self-authenticating document." The trial court then allowed the State to publish the affidavit to the jury. At the close of the State's evidence, defendant moved to dismiss all charges. The trial court denied defendant's motion to dismiss.
The jury found defendant guilty of the following: (1) one count of abduction of a child, (2) three counts of statutory rape; and (3) four counts of second-degree sexual exploitation. At sentencing, the trial court sentenced defendant as a prior record level I offender. The court consolidated sentencing for defendant's abduction of a child and statutory rape convictions and sentenced him to a term of 65 to 138 months in prison. The trial court also ordered defendant to pay $1,054.51 in restitution as a civil judgment. Further, the trial court sentenced defendant to consecutive, suspended terms of 25 to 90 months in prison for each second-degree sexual exploitation conviction. Lastly, the court ordered 36 months of supervised probation for each second-degree sexual exploitation conviction. Defendant entered his notice of appeal on 19 May 2016.
The Court of Appeals granted defendant a new trial on his abduction of a child and statutory rape charges.
Diaz
,
Second, the Court of Appeals concluded that the trial court's constitutional error in admitting the affidavit of indigency was not harmless beyond a reasonable doubt under N.C.G.S. § 15A-1443(b) because:
Julie's testimony about Defendant's date of birth was incorrect. Julie testified Defendant was born on 26 November 1995, but the affidavit reflects that Defendant was born on 20 November 1995. Additionally, as evinced through cross-examination, Julie did not testify regarding a basis for her knowledge. Julie had never seen an official document showing Defendant's correct date of birth or age.
Diaz
,
We allowed the State's petition in the alternative for discretionary review on 9 May 2018 and now review whether the Court of Appeals erred in concluding that: (1) the trial court erred when it admitted defendant's affidavit of indigency into evidence,
II. Analysis
Because we conclude that the trial court's error in admitting the affidavit of indigency was harmless beyond a reasonable doubt, we affirm the decision of the Court of Appeals in part and reverse it in part.
"It is well settled that de novo review is ordinarily appropriate in cases where constitutional rights are implicated."
Piedmont Triad Regional Water Auth. v. Sumner Hills Inc.
,
**499 A. Whether the Court of Appeals erred in concluding that the trial court committed constitutional error when it admitted defendant's affidavit of indigency into evidence.
Under the Sixth Amendment to the United States Constitution, an indigent defendant has a right to the assistance of counsel, and this right has been extended to indigent defendants in state courts by the Fourteenth Amendment.
Gideon v. Wainwright
,
Under the Fifth Amendment to the United States Constitution,
6
individuals "shall [not] be compelled in any criminal case to be witness[es] against [themselves]."
Pennsylvania v. Muniz
,
In considering the "purposes of the [Fifth Amendment] privilege,"
id.
at 595,
"It is consistent with the history of and the policies underlying the Self-Incrimination Clause to hold that the privilege may be asserted only to resist compelled explicit or implicit disclosures of incriminating information."
Id.
at 212,
"[a] defendant is 'compelled' to testify in support of a motion to suppress only in the sense that if he refrains from testifying he will have to forgo a benefit, and testimony is not always involuntary as a matter of law simply because it is given to obtain a benefit. However, the assumption which underlies this reasoning is that the defendant has **501 a choice: he may refuse to testify and give up the benefit. When this assumption is applied to a situation in which the 'benefit' to be gained is that afforded by another provision of the Bill of Rights, an undeniable tension is created. Thus, in this case [defendant] was obliged either to give up what he believed, with advice of counsel, to be a valid Fourth Amendment claim or, in legal effect, to waive his Fifth Amendment privilege against self-incrimination."
Here, we affirm the Court of Appeals' conclusion that the trial court committed constitutional
*538
error when it admitted defendant's affidavit of indigency into evidence. In doing so, the trial court required defendant "to surrender one constitutional right," his Fifth Amendment right against compelled self-incrimination, "in order to assert another," his right to the assistance of counsel as an indigent defendant under the Sixth Amendment.
White
,
Specifically, as an indigent person, defendant had a constitutional right to the assistance of counsel in state court.
Gideon
,
Additionally, by completing the affidavit of indigency, defendant also implicated his Fifth Amendment right to be free from compulsory self-incrimination. Specifically, "on the facts and circumstances of th[is] particular case," defendant's communication on his affidavit of indigency that his birthdate is "11/20/95," is testimonial.
Doe
,
**502
Muniz,
Second, defendant's sworn statement, N.C.G.S. § 7A-456(a), as to his age on his affidavit of indigency, if asked of him as "a sworn suspect during a criminal trial, [w]ould place [him] in the 'cruel trilemma' "
Muniz
,
In addition to the above, defendant's statement of his date of birth on his affidavit of indigency was testimonial "on the facts and circumstances of th[is] particular case,"
Doe
,
That defendant's statement was testimonial is not the end of the analysis; in order to implicate his Fifth Amendment right, it must also have been compelled.
Doe
,
Accordingly, by allowing defendant's affidavit of indigency to be admitted into evidence here, the trial court committed constitutional error by "requir[ing] [defendant] to surrender one constitutional right in order to assert another."
White
,
**504
The State's argument to the contrary that this case is governed by our prior decision in
State v. Banks
,
Our decision in
Banks
is inapplicable here because
Banks
dealt with a wholly separate basis for concluding that a defendant was compelled to give incriminating testimony. Here, we are not concerned with-and we make no conclusions in regard to-whether defendant was compelled to state his birthdate on his affidavit of indigency because he was being interrogated while under police custody as was the case in
Miranda v. Arizona
,
B. Whether the Court of Appeals erred in concluding that the trial court's error was not harmless beyond a reasonable doubt.
In his brief, defendant argues that forcing a defendant to choose between constitutional rights under Simmons and White constitutes reversible error.
"A violation of the defendant's rights under the Constitution of the United States is prejudicial unless the appellate court finds that it was harmless beyond a reasonable doubt. The burden is upon the State to demonstrate, beyond a reasonable doubt, that the error was harmless." N.C.G.S. § 15A-1443(b) (2017). A constitutional error is not harmless beyond a reasonable doubt if "there is a reasonable possibility that the evidence complained of might have contributed to the conviction."
State v. Soyars
,
Here, the Court of Appeals concluded that the error in admitting defendant's affidavit of indigency was not harmless beyond a reasonable doubt because "Julie's testimony about Defendant's date of birth was incorrect," and "as evinced through cross-examination, Julie did not testify regarding a basis for her knowledge. Julie had never seen an official document showing Defendant's correct date of birth or age."
Diaz
,
*541
**506
Here we conclude that there is no "reasonable possibility" that the admission of defendant's affidavit of indigency "might have contributed to the conviction."
Soyars
,
Before analyzing the evidence of defendant's age offered at trial, we must clarify, under North Carolina law: (1) what it means for the State to be required to prove a defendant's age; and (2) what evidence is competent to prove a defendant's age. First, "when the fact that [a defendant] was at the time in question over a certain age is one of the essential elements to be proved by the State," the State "must prove only that [the defendant] was at the time of the offense charged over [that age]."
Banks
,
Here, neither defendant's charge of abducting a child nor his charge of statutory rape required the State to prove his exact age. Specifically, with regard to the abduction of a child charge, the State only had to prove that defendant was at least four years older than Julie when she was a minor.
See
N.C.G.S. § 14-41(a). With regard to defendant's statutory rape charge, the State only had to prove that defendant was "more than four but less than six years older than" Julie when she was "13, 14, or 15 years old."
Having clarified what the State was required to prove at trial, we now turn to the issue of what evidence is competent to establish the age of a person. The Court of Appeals seems to have concluded that the admission of defendant's affidavit of indigency was not harmless beyond a reasonable doubt on account of the fact that Julie's testimony as to defendant's age could not have been competent because she never saw "an official document showing Defendant's correct date of birth or age."
See
Here, there is an even stronger argument than in
Banks
that Julie's testimony "was rationally based on her perception[s]" of defendant. N.C. R. Evid. 701. Specifically, Julie attended the same high school as defendant where, at the time, she was a member of the freshman class, and he was a member of the senior class. They engaged in an intimate relationship that lasted for several months, including a few weeks during which they "basically start[ed] a new life" together in Oklahoma. As a result, Julie had even more of an opportunity to form a rational opinion
*542
as to defendant's age than the deputy in
Banks
who only observed the defendant in that case for the duration of the booking process and while the defendant was in the courtroom.
Banks
,
Having clarified that the State was not required to prove defendant's date of birth at trial, and that Julie's opinion testimony was competent as to the issue of defendant's age, we now turn to analyzing the evidence admitted at trial as to defendant's age in order to determine whether the admission of his affidavit of indigency was harmless beyond a reasonable doubt. We conclude that there is no "reasonable possibility that [defendant's affidavit of indigency] might have contributed to [his] conviction[s],"
Soyars
,
Accordingly, we reverse the conclusion of the Court of Appeals that the trial court's error in admitting defendant's affidavit of indigency was not harmless beyond a reasonable doubt.
Diaz
,
III. Conclusion
Because we conclude that the trial court's constitutional error in admitting defendant's affidavit of indigency into evidence was harmless beyond a reasonable doubt, we affirm in part and reverse in part the ruling of the Court of Appeals.
AFFIRMED IN PART; REVERSED IN PART.
The State's notice of appeal based upon a constitutional question was dismissed ex mero motu on 9 May 2018.
We are not reviewing the Court of Appeals' conclusions as to: (1) the amount of defendant's bond on the affidavit of indigency,
Diaz
,
The Court of Appeals used this pseudonym in order to protect the identity of the juvenile.
Diaz
,
Now amended and recodified as N.C.G.S. § 14-27.25.
See
An Act to Enact the Women and Children's Protection Act of 2015, S.L. 2015-62, § 1(a),
The State also offered testimony from Julie's mother.
The Fifth Amendment is applicable to the States through the Fourteenth Amendment under
Malloy v. Hogan
,
The defendant in
Banks
also challenged the admission of the deputy's testimony because the State failed to disclose the statement during voluntary discovery.
Banks
,
Per defendant's indictments, the relevant date for the abduction of a child charge is "on or about" 14 April 2015. The relevant dates for the statutory rape charges are: (1) "on or about" 14 April 2015; (2) between 1 March 2015 and 15 March 2015; and (3) between 16 March 2015 and 31 March 2015.
Reference
- Full Case Name
- STATE of North Carolina v. Raul Pachicano DIAZ
- Cited By
- 9 cases
- Status
- Published
- Syllabus
- Whether a nineteen-year-old defendant should receive a new trial after being convicted of child abduction and statutory rape of a fourteen-year-old girl whether the trial court committed prejudicial error by admitting a copy of defendant's affidavit of indigency at trial, thereby establishing defendant's age, which was an essential element of these offenses.