SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-6736-97T1
IN THE MATTER OF REGISTRANT
R.F.
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Argued and Decided: August 25, 1998
Remanded by the Supreme Court November 17, 1998
Briefs submitted on reconsideration: December 7, 1998
Decided: December 28, 1998
Before Judges Antell and Bilder
On reconsideration of order on appeal from Superior
Court, Law Division.
The opinion of the court was delivered by
ANTELL, P.J.A.D. (retired and temporarily assigned on recall)
By order dated July 2, 1998, pursuant to the Registration and
Community Notification Law, N.J.S.A. 2C:7-1, et seq. ("Megan's
Law"), the Law Division designated registrant a Tier II sex
offender and directed notification of his presence in the community
to twenty-five schools, agencies and community organizations in
nine different municipalities. Registrant appealed therefrom, and
on August 25, 1998, we summarily affirmed the Law Division's order
of July 2, 1998 designating registrant as a Tier II offender,
finding that determination to be supported by clear and convincing
evidence. We summarily reversed the Law Division's order to the
extent that it directed notification of registrant's presence to
the specified schools, agencies and community organizations. We
found that determination to be "unsupported by clear and convincing
evidence or by any finding that children being cared for therein
are likely to encounter registrant."
The State's petition for certification was granted on November
17, 1998 and the Supreme Court summarily remanded the matter to us
"for reconsideration of the issue of the scope of notification in
the light of respondent's history and personal circumstances
detailed in the record in this matter."
Registrant is a thirty-one year old male with a history of
behavior disorders going back to an early age. He was involved in
alcohol and drug abuse during his teenage years, has been
educationally classified as neurologically impaired and has been
found to have a "significantly lower than normal intelligence."
At the age of fourteen, registrant was taken by his mother to
a nearby Center for Mental Health following the discovery that
registrant had been fondling the genitals of his three-year old
female cousin. No formal charges were filed against registrant,
but the incident led to a period of psychotherapy which resulted in
only limited progress because of registrant's lack of interest and
full participation.
In January, 1991, when registrant was twenty-three years old,
the event occurred which led to his present classification as a sex
offender. Registrant was then living with his paramour, D.Z., and
her ten-year old son S.Z. On the night of January 26, D.Z. went
out for the evening and left the boy in registrant's care. While
S.Z. was lying on a couch watching television, registrant entered
the room and reclined on another couch. Shortly after, the
registrant left the room to change into his bathrobe and returned.
S.Z. then left the room and also returned wearing a pair of shorts
and a bathrobe. It was then that registrant took control over the
youngster, masturbated him and subjected him to acts of fellatio
and sodomy. According to registrant's Risk Assessment Score, the
attack was carried out by "threats and minor physical force."
The matter was called to the attention of the authorities and
sexual assault charges were filed against registrant. His
subsequent examination by Dr. Mark Frank, a principal clinical
psychologist at the Adult Diagnostic and Treatment Center,
disclosed that he is not a compulsive offender. Dr. Frank found
that "there is no clear indication that [R.F.] experiences a strong
pedophilic sexual arousal pattern or that he struggles with
irresistible urges to engage in such behavior." Based on this, he
concluded that registrant's criminal behavior was not driven by a
sexual compulsion.
On May 8, 1992, registrant was sentenced to a term of eight
years in the custody of the Department of Corrections with a parole
ineligibility period of three years. He was credited with 377 days
of jail time already served and served his detention at two
separate correctional facilities. In connection with his
application for parole in 1995 he was examined by Bruce Friedman,
LCSW, Director of the Center for Mental Health, on March 21, 1996.
That examiner opined that "factors that would indicate the
existence of a sexual disorder were marginal."
In preparation for this Megan's Law proceeding, registrant was
examined on June 22, 1998 by Dr. Paul Fulford, a licensed
psychologist. Dr. Fulford's report observes that there is "no
history of previous behaviors outside the family that would suggest
a deviant arousal pattern or overall risk to the community. His
main risk appears to be that of alcohol abuse." Dr. Fulford agreed
that registrant was at moderate risk of reoffending, but that since
"his risk is related to and triggered by the use of alcohol, which
he is abstaining from, the need for community notification does not
appear to be indicated." It is here relevant to note that
according to his Risk Assessment Score, registrant's substance
abuse is in remission.
His overall score of sixty-five places him in the upper range
of moderate risk to reoffend.
Arguing in favor of notification, the prosecutor omits few
details in acquainting us with registrant's sordid existence. It
is not a pretty picture. On that canvas we see his contempt for
authority, drug and alcohol abuse, sexual promiscuity, frequent
arrests for fighting, for drug possession and for other forms of
disorderly behavior. At the age of sixteen, he was the father of
two out-of-wedlock children. After separating from the mother of
those children, he married and fathered another child. The
marriage was short lived and he took up thereafter with another
woman, resulting in a third out-of-wedlock child. He is said to be
neglectful of his duty to support these children.
Registrant's squalid life style and failure to conform to
societal norms naturally excite one's punitive instincts. But the
judicial process has already administered appropriate punishment to
the registrant in a separate proceeding, and the constitutional
justification for Megan's Law rests on the belief that it is
intended as non-punitive, remedial legislation. E.B. v. Verniero,
119 F.3d 1077, 1097 (3d Cir. 1997); Doe v. Poritz,
142 N.J. 1, 73
(1995). We work within a well-defined context in which standards
of proof and procedure have been painstakingly formulated.
In this proceeding, it is the prosecutor's burden to prove by
clear and convincing evidence not only the degree of risk created
by registrant's presence in the community, but also the scope of
notification necessary to protect the members of the community
likely to encounter him.
Clear and convincing evidence is evidence upon which the trier
of fact can rest "a firm belief or conviction as to the truth of
the allegations sought to be established." Matter of Purrazzella,
134 N.J. 228, 240 (1993). It must be "so clear, direct and weighty
and convincing as to enable either a judge or jury to come to a
clear conviction, without hesitancy, of the truth of the precise
facts in issue." Matter of Seaman,
133 N.J. 67, 74 (1993). The
reasons for so high a standard of proof in Megan's Law proceedings
were carefully stated in E.B. v. Verniero, supra, at
119 F.3d 1110:
We have previously identified the private
and public interests at stake in a Megan's Law
proceeding. For present purposes, it is
important to add that the impact of an
erroneous determination on those interests is
significantly dissimilar. An erroneous
underestimation of an individual's
dangerousness will not necessarily result in
harm to protected groups. Registration alone,
which Megan's Law mandates regardless of an
offender's classification, allows law
enforcement officials to monitor offenders and
provides considerable disincentive to
offenders to commit criminal acts because of
the high likelihood of being apprehended. On
the other hand, an overestimation of an
individual's dangerousness will lead to
immediate and irreparable harm to the
offender: his conviction becomes public, he
is officially recorded as being a danger to
the community, and the veil of relative
anonymity behind which he might have existed
disappears.
Having noted the pertinent considerations, the court then posed the
following question and answer:
We must, therefore, ask whether the
preponderance of evidence standard, which
"allocates the risk of error nearly equally"
between an erroneous overestimation or
underestimation of a registrant's future
dangerousness, "reflect[s] properly the [ ]
relative severity" of these erroneous
outcomes. Id. at 766, 102 S.Ct. at 1401.
Addington [Addington v. Texas,
99 S.Ct. 1804,
60 L.Ed.2d 327 (1978)] supplies the answer.
Because "the possible injury to the individual
[registrant] is significantly greater than any
possible harm to the state," the registrant,
consistent with due process, cannot "be asked
to share equally with society the risk of
error." 441 U.S. at 427, 99 S.Ct. at 1809.
It necessarily follows that the Due Process
Clause requires that the state prove its case
by clear and convincing evidence in a Megan's
Law proceeding.
The holding in E.B. v. Verniero, supra, is summarized in the
Attorney General Guidelines for Law Enforcement for the
Implementation of Sex Offender Registration and Community
Notification Laws (hereinafter "Guidelines") as follows:
Also upholding the constitutionality of the
statute, the Third Circuit held that due
process requires a standard of proof of clear
and convincing evidence, with the burden of
persuasion on the State for the purpose of
determining the risk level of the offender,
the geographic area within which notice is to
occur and those to whom the notice will be
provided. The Supreme Court of New Jersey
incorporated these principles into the
judicial review procedures.
Accordingly, the Guidelines specify:
When it is determined that an offender
falls within the TIER II category, then
notification is to be provided to law
enforcement agencies and such community
organizations and educational institutions
which, by reference to the definitions set
forth in Section VI, are likely to encounter
the offender. The decision as to which groups
should appropriately be notified should be
made on a case by case basis, following
careful review. (Emphasis added).
At page 27 the Guidelines state:
Prosecutors should be prepared to set forth a
factual basis for scope of notification by any
means which will meet the burden of clear and
convincing evidence that the area designated
fulfills the requirement that these are the
persons and institutions likely to encounter
the offender.
The "likely to encounter" standard means that the community
organization or members of the community "are in a location or in
close geographic proximity to a location which the offender visits
or can be presumed to visit on a regular basis." Guidelines at 12.
In addition to geographic proximity the Guidelines also require
that there be a "fair chance to encounter" the offender. Ibid. By
this is meant that "the types of interaction which ordinarily occur
at that location and other attendant circumstances demonstrate that
contact with the offender is reasonably certain." Ibid. (emphasis
added).
The late Chief Justice wrote the following about notification
in Doe v. Poritz,
142 N.J. 1, 37 1995):
The factor that will ordinarily be critical
to a determination of "likely to encounter" is
geography--how close is the institution or
organization, in the case of Tier Two
notification, to the offender's residence or
place of work or school. In some
municipalities, not every institution or
organization that would otherwise qualify for
notification may be close enough to warrant
same, but in some cases, as suggested above,
institutions or organizations in other
municipalities may be close enough. The same
observations can be made for Tier Three
notification. We do not attempt to define the
area around the offender's residence or place
of work or school that may be included within
the notification process, and assume it may
differ from one locale to another. Depending
upon the particular offender, factors other
than geography may be considered if they are
relevant to the offender's likely whereabouts,
such as an offender's proclivity for certain
locations, and geographic considerations may
be affected by the nature of the offender's
characteristics and the institution in
question, e.g., a repetitive and compulsive
pedophile and a large elementary school.
As the thought expressed in the last sentence of the foregoing
excerpt suggests, the process of determining the proper scope of
notification is further refined in an important way by having
regard to the character of registrant's sexual offenses. Thus, the
Supreme Court had this to say in I/M/O Registrant G.B.,
147 N.J. 62, 83 (1996): "In cases of incest-type offenders, for example,
registrants may be able to show the normal Tier II or Tier III
notification is inappropriate, given the intrafamilial nature of
the offense."See footnote 1 In footnote 8 it wrote:
Even the State has recognized the
legitimacy of narrowly tailoring notification
in such circumstances. During a hearing in In
re E.W., the transcript of which was made part
of the record in this appeal, the State's
expert, Dr. Witt, commented that the issue of
incest, and the high scoring of incest
offenders in the Scale deeply troubled the
committee drafting the Scale. Dr. Witt
testified that "[t]he solution we would have
liked is that we would still rate them
wherever they fall, but the notification could
be more individually tailored to the
particular registrant."
The Guidelines obviously have this thought in mind: "When
determining the scope of notification, those members of the public
to whom the offender is a risk should be considered. This must
include reviewing the relationship between the offender and past
victims." Guidelines at 18 (emphasis added). On the following
page, the Guidelines furnish examples of instances when Tier II or
Tier III notification may be properly tailored. They specifically
state that if
"the offender's past victims are all members
of the immediate family or same household,
then it may be determined that the offender is
not a risk to community organizations or
schools which would otherwise receive
notification concerning a Tier II offender."
The concept of "same household" is treated in the following way:
Members of the same household will include the
children of any person living in the household
in which the offender lives or where the
offender has either full or part-time care or
legal responsibilities. Members of the same
household does not require a family
relationship. The focus should be on the
class of victims and the access to those
victims, as well as the relationship of trust
between victim and offender. Prosecutors
should give careful consideration to whether
the offender's acts were "predatory", in that
the offender intentionally placed himself or
herself in a household which included children
in order to have an opportunity to offend.
[Guidelines 19-20 (emphasis added).]
Applying the foregoing principles to the facts of record, we
find nothing to demonstrate clearly and convincingly that the
attendees of the schools and community organizations that are
within the scope of the notification provisions of the Law
Division's order are reasonably certain to encounter registrant or
that his presence in the community threatens them with a risk of
his reoffending. Nowhere are we shown evidence that any of these
agencies or organizations "are in a location or in close geographic
proximity to a location which the offender visits or can be
presumed to visit on a regular basis," (Guidelines at 11), a factor
which the Supreme Court has termed "critical." Doe v. Poritz,
supra, at 37.
Unable to show anything of record concerning the geographical
relationship between the listed schools and agencies, the
prosecutor suggests that such evidence is unnecessary since the Law
Division judge and trial counsel are all personally familiar with
the relevant locations. The prosecutor adds that the Law Division
judge "has essentially been taking judicial notice of these facts."
We reject the notion that the personal unrevealed knowledge of
the judge and counsel can substitute for clear and convincing
evidence as to material matters in dispute. If it were otherwise,
the record would be impervious to review. Further, even if such
vital matters could be the subject of judicial notice, our study of
the transcript leaves no doubt that the right to take judicial
notice was never exercised by the trial judge; nor was he ever
requested to do so.
We find nothing in the registrant's history and personal
circumstances that rises to the level of clear and convincing
evidence that he threatens the children attending the listed
schools. His two previous sex offenses, one in 1982, the other in
1991, while abhorrent, were committed upon two helpless children
who in one way or another were placed in his care, were members of
the same household as he and to whom he had easy and convenient
access. His acts arose from a trusting relationship between him
and his victims. They were not "predatory" in the sense of the
Guidelines that he placed himself in a household which included
these children in order to offend against them.
Nothing in the evidence suggests that he is given to prowling
schoolyards or other areas serving children.
We agree with the prosecutor that the circumstances of these
previous offenses give no assurance that he will not someday act
out in a more aggressive way against someone outside his household
or against someone older than his previous victimsSee footnote 2. But this
misconceives the test to be applied in fixing the scope of
notification. It wrongly supposes that it is registrant's burden
to prove that he is not a risk. As we have explained, the question
is whether these previous offenses furnish clear and convincing
evidence of a reasonable certainty that he is at moderate risk to
attack young children in the vicinity of their schools and
playgrounds.
We have not overlooked the prosecutor's extensive delineation
of registrant's wanton character, his past bouts with alcohol and
drugs, his successive unstable relationships with different women,
and his financial irresponsibility toward the four children he has
sired, mostly out-of-wedlock. But however disapproving we may be
of this, no coherent explanation is given as to how it clearly and
convincingly proves that he is likely to repeat his previous sexual
offenses in the physical area covered by the Law Division's order.
We conclude that the proofs do not support the scope of
notification directed by the Law Division's order of July 2, 1998.
Section VIIB of the Supreme Court's order of December 9, 1997
Amending its Procedure for Hearings on Objections to Megan's Law
Tier 2 and Tier 3 Classification and Manner of Notification
Determination provides:
B. Evidential Burden.
1. At the hearing, the prosecutor has the
burden of persuasion by clear and convincing
evidence as to both tier classification and
manner of notification.
2. The judge's determination that the burden
of persuasion has been met and justifies the
proposed classification and the manner of
proposed notification shall be supported by
findings of fact and statement of reasons.
See VIII below.
VIII
In all cases, the judge's final determination
including those based on registrant's default,
shall contain express findings of fact based
on the standard of clear and convincing
evidence that support the judge's conclusion
that the State either has or has not met its
burden of persuasion both as to tier
classification and manner of notification;
such findings shall also be specifically
included or expressly incorporated by
reference in the final order.
Although the Law Division's order of July 2, 1998 satisfies
the formality of reciting that the court determined by clear and
convincing evidence that registrant's classification and the scope
of the proposed notification are "proper", the judge's
"determination" after the hearing and the order are devoid of
findings. The prosecutor's brief speaks of the trial judge's "firm
conviction" that community notification should be authorized, but
nothing of the sort appears in the record. We find little more in
the trial judge's brief decision than an unexplained reference to
certain of the schools to which notification should be given.
Furthermore, it makes no reference to the standard of clear and
convincing evidence and contains no statement of reasons.
Absent findings, we may exercise our constitutionally
authorized original jurisdiction and make our own findings.
Farmingdale Realty Co. v. Borough of Farmingdale,
55 N.J. 103, 106
(1969); Esposito v. Esposito,
158 N.J. Super. 285, 291-92 (App.
Div. 1978); Motor Club Fire & Cas. Co. v. New Jersey Mfrs. Ins.
Co.,
135 N.J. Super. 362, 367-68 (App. Div. 1975), aff'd
71 N.J. 352 (1976), rev'd other grounds after reh.
73 N.J. 425 (1977); R.
2:10-5. It is particularly appropriate that we do so in this case
since the trial judge acted only on the basis of written reports,
took no live testimony and no credibility issues were presented for
resolution. We are at least as well positioned as the trial judge
to decide the factual issues.
It is impossible to determine from the evidence presented that
any of the community organizations, schools, day care centers, and
agencies chosen by the prosecutor for notification are in a
location, or in close geographic proximity to a location, which the
offender visits or can be presumed to visit on a regular basis.
Without such information, we cannot tailor the scope of
notification to the needs of the situation - even if it were clear
from the evidence that notification of any kind is necessary.
We do not infer from registrant's criminal history and
personal circumstances that his sexual proclivities are such that
the children in the care of the schools, agencies and community
organizations chosen for notification are likely targets of attack
by the registrant. The victims of his previous assaults were, for
practical purposes, members of his household who had been left in
his care, who were convenient and very vulnerable and whose
relationship to registrant was based on trust. We do not infer
that his presence in the same household was predatory in nature,
i.e., accomplished by him in order to have an opportunity to offend
upon the children.
In reaching our result, in addition to the nature of his
previous offenses and the fact that he has been free of any
encounters with law enforcement since his release from prison in
1995, we take into account the unrebutted opinions of the following
behavioral experts: (1) Dr. Mark Frank, a principal clinical
psychologist at the Adult Diagnostic & Testing Center who found "no
clear indication that [registrant] experiences a strong pedophilic
sexual arousal pattern or that he struggles with irresistible urges
to engage in such behavior; (2) the evaluation report of Bruce
Friedman, LCSW, Director of the Center for Mental Health, which
stated that "factors that would indicate the existence of a sexual
disorder were marginal"; (3) the report of Dr. Paul F. Fulford
stating that while registrant poses a moderate risk to reoffend,
there was "no history of previous behaviors outside the family that
would suggest a deviant arousal pattern or overall risk to the
community." Dr. Fulford added that since registrant's risk of
reoffense is related to "the use of alcohol, which he is abstaining
from, the need for community notification does not appear to be
indicated." As we noted earlier, registrant's Risk Assessment
Score shows that his use of drugs and alcohol is in remission and
we have been shown no reason to believe otherwise.
We gather from the expert's reports that registrant's sexual
misconduct was not of pathological origin and that he is able to
control his behavior.
Our conclusion is that the prosecutor has not shown by clear
and convincing evidence that the children attending the schools and
agencies and organizations specified in the Law Division's order
are reasonably certain to encounter registrant. This determination
was not rendered without appropriate deference to the Registrant
Risk Assessment Scale. This is a useful tool, though "not a
scientific device" to be rigidly followed in all cases. Matter of
C.A.,
146 N.J. 71, 108-109 (1996); Matter of E.I.,
300 N.J. Super. 519, 527 (App. Div. 1997). Thus, under the particular facts
presented, especially where registrant's offense "occurred in the
family home," Matter of Registrant G.B.,
147 N.J. 62, 82 (1996), we
feel constrained to reach our stated result.
It is emphasized that our decision is not to be taken as an
expression of confidence that registrant will not at some future
time reoffend. A forecast such as that lies beyond our power to
make and we are not called upon to do so. We decide only that
under the constitutionally mandated standards which govern our
determination, the asserted need for community notification has not
been demonstrated.
The prosecutor asks that in the event we adhere to our earlier
determination, we remand the matter to the Law Division with
directions on how to proceed. This request misapprehends the role
of a reviewing court. Registrant is entitled to a decision based
upon the record below which the prosecutor had every opportunity to
develop. We do not use our supervisory powers to guide the
proceedings to a preferred result.
After careful reconsideration, we reaffirm our previous order
of August 25, 1998 affirming so much of the Law Division's order as
designates registrant a Tier 2 offender and reversing so much of
that order as directs notification to the listed schools, community
organizations and agencies. The matter is remanded to the Law
Division for entry of an appropriate order.
Footnote: 1Significantly, this opinion was written before E.B. v. Verniero, supra, shifted the burden of proof to require the State to prove registrant's tier designation and the need for notification by clear and convincing evidence. Footnote: 2 The prosecutor puts it this way: "[This court's previous decision] proceeds from the foolhardy hypothesis that because R.F.'s only known victims were children who were temporarily household or family members, and who were under age eleven, that it follows, like night the day, that he is unlikely to harm children or women, unless they are under age eleven and/or are living with him."