NOT FOR PUBLICATION WITHOUT THE
APPROVAL OF THE APPELLATE DIVISION
SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
DOCKET NO. A-0
IN THE MATTER OF READOPTION WITH
AMENDMENTS OF DEATH PENALTY REGULATIONS
N.J.A.C. 10A:23, BY THE NEW JERSEY
DEPARTMENT OF CORRECTIONS
________________________________________________________________
Argued February 3, 2004 - Decided February 20, 2004
Before Judges Pressler, Ciancia and Alley.
On appeal from the New Jersey Department of
Corrections and from the Superior Court of
New Jersey, Law Division, Mercer County,
MER-L-1740-02.
Kevin D. Walsh argued the cause for appellant/
cross-respondent New Jerseyans for a Death Penalty
Moratorium.
David M. Ragonese, Deputy Attorney General,
argued the cause for respondent/cross-appellant
Department of Corrections (Peter C. Harvey,
Attorney General, attorney; Patrick DeAlmeida,
Deputy Attorney General, of counsel; Mr. Ragonese,
on the brief).
The opinion of the court was delivered by
PRESSLER, P.J.A.D.
N.J.S.A. 2C:49-1 to -12 prescribes the procedures for carrying out a sentence of
death by lethal injection. N.J.S.A. 2C:49-11 authorizes the Department of Corrections (DOC) to
adopt rules and regulations to implement the statute. The DOC did so, first
by promulgating an administrative policy and thereafter by the adoption and readoptions
See footnote 1 of
regulations pursuant to the Administrative Procedure Act,
N.J.S.A. 52:14B-1, et seq. The regulations,
codified as Chapter 23 of Title 10A of the New Jersey Administrative Code,
were adopted in 1986, readopted with some amendment in 1992, again readopted with
some amendment in 1996, and most recently readopted with some amendment in 2001.
Appellant New Jerseyans for a Death Penalty Moratorium challenges the current regulations contending
that they violate the cruel and unusual punishment proscriptions as well as the
free speech guarantees of both the Federal and State Constitutions. In bringing this
challenge, appellant sought a number of documents from DOC which DOC claimed to
be privileged. By limited-remand order of this court, the claims of privilege were
adjudicated by the Law Division and upheld as to some documents and rejected
as to others. Before us now are appellant's challenge to the regulations and
the appeal and cross-appeal by appellant and DOC from privilege rulings adverse to
each.
I
We address first the challenge to the regulations. Our consideration is guided by
the general proposition that rules and regulations adopted by an administrative agency are
presumed reasonable and are required to be sustained if neither arbitrary nor unreasonable
to the end that the agency's statutory grant be liberally construed to effectuate
the legislative purpose.
See, e.g.,
In re N.J. American Water Co.,
169 N.J. 181, 188 (2001);
Abbott by Abbott v. Burke,
149 N.J. 145, 174 (1997);
L.T. v. N.J. Dept. of Human Services,
134 N.J. 304, 320-321 (1993);
In
re Commissioner's Failure,
358 N.J. Super. 135, 149 (App. Div. 2003). Accordingly, judicial
review is limited to these three inquiries: (1) whether the administrative action violates
express or implied legislative policies, (2) whether there is substantial evidence in the
record to support the agency's actions, and (3) whether the agency clearly erred
in reaching a conclusion unsupported by relevant factors.
Matter of Musick,
143 N.J. 206, 216 (1996).
See also In re Distribution of Liquid Assets,
168 N.J. 1, 10-11 (2001);
R & R Marketing L.L.C. v. Brown-Forman Corp.,
158 N.J. 170, 175 (1999);
Public Serv. Elec. and Gas Co. v. State Dept. of
Envtl. Protect.
101 N.J. 95, 103 (1985).
As we review this record, we think it clear that the main thrust
of appellant's cruel and unusual argument is addressed not to the regulations it
challenges but to the statutory authorization of capital punishment. We do not regard
ourselves as being at liberty to revisit that legislative decision in view of
the Supreme Court's repeated reaffirmation that, conceptually at least, capital punishment, if attended
by mandated and appropriate adjudicative safeguards, does not violate the constitutional proscription.
See,
e.g.,
State v. Koskovich,
168 N.J. 448, 541 (2001);
State v. Loftin,
146 N.J. 295, 333 (1996);
State v. Hightower,
146 N.J. 239, 252 (1996);
State
v. Martini,
139 N.J. 3, 20-21 (1994);
State v. Ramseur,
106 N.J. 123,
168-175 (1987),
cert. denied,
508 U.S. 947,
113 S. Ct. 2433,
124 L.
Ed.2d 653 (1993). Nevertheless, we are satisfied that the cruel and unusual
ban does have significant relevance in evaluating the validity's of the DOC's lethal-injection
regulations. That is to say, as Chief Justice Wilentz made clear in
Ramseur,
supra,
106 N.J. 171-172, the Court's first consideration of the constitutionality of the
death penalty since its reintroduction in 1982, the test of cruel and unusual
punishment is, in the end, informed simply by evolving, contemporary, community standards of
decency and morality.
See footnote 2
See also generally the concurring and dissenting opinion of Justice
Long in
State v. Koskovich,
supra, 168
N.J. at 575. We are, therefore,
satisfied that in dealing with the issue of whether the regulations comport with
and effectuate legislative policy in having reenacted the death penalty, we must consider
their consistency not only with the statutory mandate but also with contemporary standards
of decency and morality as well. It is in that context that we
evaluate the adequacy of the administrative record to support DOC's decision-making.
So viewed, we have concluded that because they lack evidential and reasoned support
in this record, several of the regulations challenged by appellant appear to be
arbitrary and unreasonable. We cannot, however, determine from this record whether there is
indeed available rational support for them that was considered but unexpressed by DOC.
Because of the patent gravity of the life and death issues implicated by
the regulations, we have concluded that rather than simply striking down those regulations,
DOC should have the opportunity to give them further consideration, by additional hearings
if necessary, and to articulate, if it is able to do so, a
supporting basis for those determinations. In the meantime, however, we are satisfied that
the regulations as a whole, as they now stand, may not be implemented
by the carrying out of a death sentence.
We address first the appellant's challenges in which we find merit. To begin
with, appellant challenges the deletion from the 2001 regulations of the previous requirement
that during the execution, there be available an emergency cart containing "such equipment,
supplies and medications as may be needed to revive the inmate in the
event a last minute Stay of Execution is imposed ..."
N.J.A.C. 10A:23-2.12(b) (repealed
by
R. 2001, d. 315). A requirement that the inmate have a cardiac
monitor was also then deleted. DOC explained the deletion of these requirements simply
by noting that "an emergency cart located at the exterior wall of the
execution chamber is neither mandated nor operationally appropriate."
33 N.J.R. 2991. It also
noted that inmates who had been sedated but not yet lethally injected would
be able to be revived without the need for the cart. It appears
that in this regard DOC was relying on its assumption that once the
lethal injection has been administered, its effects are irreversible. That, at least, is
how we interpret its tautological explanation that "the execution substances, when injected into
the person sentenced to death, are lethal...."
33 N.J.R. 2013. The irreversibility of
the lethal injection may, indeed, be a fact that is medically sound, but
without an expressed reasoned medical opinion, that cannot be assumed to be true,
and medical opinion might, in fact, suggest the contrary. This is particularly so
in view of information collected by DOC from other jurisdictions showing that death
is not instantaneous but may take up to thirty minutes. Our concern is
that DOC itself does not have medical expertise, and nothing in the record
suggests medical consultation and opinion on the reversibility issue or, indeed, whether there
are any appropriate lethal drugs whose effects might be reversible.
We think it plain that an inmate who is being executed in error
because a stay of execution has been issued after the injection is administered
is wrongfully deprived of due process and fundamental fairness, to say nothing of
life itself, if the State does not take every feasible and possible step
to correct that error. Simply assuming irreversibility without an articulated medical basis is
not enough. We appreciate that the grant of a stay of execution communicated
to prison authorities after the lethal injection has been administered is not a
likely event. It can, however, happen. It is a foreseeable occurrence. And should
it occur, there can be no justification for depriving that inmate a chance
at life, if there indeed is chance, and we are confident that contemporary
standards of decency and morality would dictate that that chance be accorded. Consequently,
unless and until DOC comes forward with strong medical evidence that there is
no possibility of reversibility and no other suitable drugs whose effect is reversible,
we are persuaded that a death sentence cannot be carried out under these
regulations.
Appellant's free speech-free press argument is based on several of the provisions of
the regulations, namely,
N.J.A.C. 10A:23-2.2(b)(3)(iv), forbidding "contact of any kind ... between the
person sentenced to death and any member of the news media";
N.J.A.C. 10A:23-2.5,
imposing a blanket prohibition on filming of the execution, irrespective of by whom
filmed and whether or not the film is ever displayed; and the implementation,
by DOC protocol, of the regulation dealing with media witnesses to the execution,
N.J.A.C. 10A:23-2.4(h) and (i), permitting media witnessing only after the inmate is strapped
to the gurney and the intravenous lines connected to him. DOC asserts that
these limitations are justified by considerations of the inmate's privacy, legitimate penological objectives,
and the security and safety needs of the correctional institution. The inmate-privacy suggestion
is easily dealt with. The inmate can be given the choice of whether
he wishes to speak to the press or have the execution filmed or
have it witnessed by the media at some point prior to being strapped
to the gurney and the intravenous lines connected. The free-speech concern is not,
of course, implicated unless the inmate wishes to speak with the media, and
any conflict between the inmate's right of privacy and the right of the
press to fully witness and document the execution process simply does not arise
where the prohibition on the press is absolute irrespective of the consent or
acquiescence of the inmate and his family.
With respect to institutional safety and security, we appreciate that these concerns, when
legitimate and having a rational nexus to governmental interest, normally afford an adequate
justification for infringement upon the right of both free speech and free press.
See generally Turner v. Safley,
482 U.S. 78, 89,
107 S. Ct. 2254,
2261,
96 L. Ed.2d 64, 79 (1987);
In re Rules Adoption Regarding
Inmate Mail,
120 N.J. 137, 147-154 (1990). Our difficulty is that we see
nothing in this record supporting DOC's assertion that penological objectives and safety concerns
are genuinely served by these restrictions. We do not foreclose DOC's opportunity to
develop a record that will somehow point to a rational connection between these
infringements and legitimate justification therefor, but we do not find them in the
mere recital of the shibboleth that the safety, security and orderly operation of
the Capital Sentencing Unit require these restrictions.
There is, on the other hand, a significant public interest to be served
by inmate opportunity for self-expression and as full a media coverage as is
consistent with legitimate institutional concerns for safety, security and penological objectives. It is
one thing for proponents and opponents to talk about capital punishment as an
abstract proposition. It is quite another to see it carried out. Contemporary and
evolving community standards of decency and morality are not reliably developed in a
vacuum and under sanitized conditions, but rather should be based on an appreciation
by the community of just what is involved, in human terms and in
terms of decency and morality, in the State's putting a person to death.
We do not believe that this is a matter of voyeurism. We believe,
to the contrary, that it is a matter of demonstrating to the public
the reality of the choices it makes. We therefore conclude that before DOC
can deprive the inmate of his right to be heard, and before it
can deprive the press of the right to report in detail on the
execution process, and before it can deprive the public of the right to
know how the process is actually carried out and what its implications are,
it must show with some degree of specificity how its legitimate concerns for
institutional safety and security and penological objectives are advanced by the restrictions of
the regulations.
We have considered appellant's remaining challenges to the regulations, and conclude that as
long as capital punishment by lethal injection remains a constitutionally unobjectionable legislative choice,
the regulations are reasonably based on adequate evidential support and are consistent with
the legislative objectives. With respect to the type of drugs and their amount
to be used in the lethal injection, the DOC has continually expressed concern
that the execution be carried out as painlessly and humanely as possible, and
those concerns have dictated its choice of drugs within the parameters of
N.J.S.A.
2C:49-2, a choice which is a matter of some discretion pursuant to
N.J.S.A.
2C:49-3(a), which leaves to the DOC the determination of "the substances ... to
be used in an execution." Appellant's concern that the lethal injection technique might
cause unnecessary pain and suffering not contemplated by the Legislature or the DOC
because of an idiosyncratic response by the inmate or a so-called botched execution
or because the injection is not administered by a physician are functions not
of the regulations but of the capital punishment statute itself. Given the underlying
adjudicated constitutionality thereof, we cannot say that the regulations fail reasonably to implement
the statute.
Appellant also objects to the regulations based on its assertion that the procedures
are derived from recommendations of Fred Leuchter, who, it claims, is unqualified by
education for that task and who, if not himself a Neo-Nazi, has given
support to the more outrageous claims of Neo-Nazis. Not only do we conclude
that the personal beliefs of Leuchter are irrelevant, but beyond that, the record
demonstrates that in the two decades during which DOC has worked on lethal-injection
procedures, it has consulted with many other sources. These are not Neo-Nazi inspired
regulations.
We also reject appellant's contention that DOC failed to do a federal standards
analysis as required by the Administrative Procedure Act,
N.J.S.A. 52:14B-22 to -24, and
N.J.A.C. 1:30-5.1(c)(4). Our review of the record persuades us that DOC's federal-standard statements
were adequate to comply with this obligation.
See
33 N.J.R. 2013, 2992. Nor
do we find the regulations invalid because of DOC's admitted failure to retain
a copy of each and every document on which it ever relied in
the drafting of the regulations. Its retention of records and documents was, in
our view, adequate to satisfy the requirements of
N.J.A.C. 1:30-5.6. Finally, we have
carefully considered the balance of appellant's challenges, and we are satisfied that they
too are really challenges to capital punishment by lethal injection and not to
the procedural prescriptions of the regulations.
II
We now address the claim of privilege. As we pointed out, DOC resisted
much of appellant's broad discovery demand on grounds of privilege or right to
confidentiality, and on appellant's motion for relief, we remanded to the trial court
for determination, document by document. The privilege was sustained as to some documents
and not as to others. Appellant appeals from all the rulings adverse to
it, and DOC cross-appeals from some but not all of the rulings rejecting
the privilege claim. As to material disputed on appeal, the trial court ordered
a stay pending appeal, and it has been filed with us as a
sealed and confidential appendix in two volumes. The documents in Volume I had
been generally withheld in their entirety by DOC and those in Volume II
were produced by DOC in redacted form. We refer to DOC's numbering system
in our conclusions.
In general terms, DOC asserts that the documents it has withheld or redacted
and as to whose discovery it continues to object are entitled to the
pre-decisional deliberative-process privilege or are protected from disclosure by both the Open Public
Records Act (OPRA),
N.J.S.A. 47:1A-1 to -13, or the common law or both.
With respect to the deliberative-process privilege, we are guided by the Supreme Court's
explication in
In re Liq. of Integrity Ins. Co.,
165 N.J. 75, 83-88
(2000). In sum, the governmental entity claiming the privilege bears the burden of
establishing that the document in question was in fact pre-decisional and that it
is "deliberative in nature, containing opinions, recommendations, or advice about agency policies." I
d.
at 84-5. Moreover, "[p]urely factual material that does not reflect deliberative processes is
not protected."
Id. at 85. If the government meets this burden, the party
seeking discovery is able to overcome the resulting presumption against disclosure by demonstrating
a need that overrides the government interest in non-disclosure.
Id. at 85. In
applying the balancing test between a party's need and the strong public interest
in non-disclosure, the court must consider the following factors: "1) the relevance of
the evidence; (2) the availability of other evidence; 3) the government's role in
the litigation; and 4) the extent to which disclosure would hinder frank and
independent discussion regarding contemplated policies and decisions."
Id. at 85-86.
As to OPRA, DOC relies on that provision of
N.J.S.A. 47:1A-1.1, which excepts
"inter-agency or intra-agency advisory, consultative, or deliberative material" from the definition of government
records required to be disclosed, and on
N.J.S.A. 47:1A-1, which requires government, the
Act notwithstanding, to protect "the citizen's reasonable expectation of privacy." DOC also relies
on regulations,
N.J.A.C. 10A:22-2.3 protecting designated DOC records.
See also N.J.A.C. 10A:22-2.3(a)(7). Finally,
OPRA speaks to the common-law right of access to public documents, providing that
"it shall [not] be construed as limiting the common law right of access
to a government record...."
N.J.S.A. 47:1A-8. It is, moreover, well established that the
claims of common-law right of access require a balancing between the individuals right
to access and the public's interest in confidentiality.
See, e.g.,
Loigman v. Kimmelman,
102 N.J. 98, 104 (1986);
McClain v. College Hosp.,
99 N.J. 346, 354-355
(1985).
With respect to the relationship between OPRA and the common-law right of access,
N.J.S.A. 47:1A-9(b) provides that nothing in the Act shall be deemed to "abrogate
or erode any executive or legislative privilege or grant of confidentiality heretofore established
or recognized by the Constitution of this State, statute, court rule or judicial
case law, which privilege or grant of confidentiality may duly be claimed to
restrict public access to a public record or government record." The plain import
of this provision, in our view, is that OPRA notwithstanding, the government may
seek to withhold any public record subject to the common-law balancing test by
claiming that the public interest for confidentiality outweighs the private right to access
just as the citizen is entitled, pursuant to
N.J.S.A. 47:1A-8, to claim that
its right is superior to the public interest in confidentiality.
We consider appellant's right of access to the documents in dispute, all of
which we have reviewed under seal, according to the foregoing principles and statutory
provisions.
[The following portion of the opinion in which the court reviewed the privilege
rulings document by document has been omitted at the court's request.]
Finally, there were missing documents as to which the trial court directed that
if they were found and released, DOC should so advise the court, and
if found and withheld, the court be provided with the reasons for non-disclosure.
There is nothing in the record to suggest that there were any further
advisories to the court or that either party took action. We remand to
the trial court to make a final determination as to the existence of
these documents and, if found, their discoverability by appellant.
III
To summarize, with respect to the challenge to the regulations themselves, we remand
to the DOC for further consideration consistent with this opinion, and we stay
the implementation of the regulations until that reconsideration has been completed. As to
the privilege claims, we remand to the trial court for entry of an
amended order consistent with this opinion and for a further hearing, as required
by this opinion, respecting the missing documents. We further direct that the trial
court complete its proceedings respecting the missing documents prior to further proceedings by
the DOC. We do not retain jurisdiction.
Footnote: 1Each set of regulations carried an expiration date. The current regulations are due
to expire on August 9, 2006.
Footnote: 2
The tripartite test of cruel and unusual has been expressed in terms of
contemporary standards of decency, the proportionality between the punishment and the nature of
the offense and whether the punishment exceeds what is necessary to achieve legitimate
penological objectives.
See, e.g., Gregg v. Georgia,
428 U.S. 153, 168-187,
96 S.
Ct. 2909, 2922-2932,
49 L. Ed.2d 859, 871-883 (1976); Trop v. Dulles,
356 U.S. 86, 100,
78 S. Ct. 590, 597-598,
2 L. Ed.2d 630, 642 (1958).