SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
DOCKET NO. A-4571-01T1
STATE OF NEW JERSEY
IN THE INTEREST OF
C.D. AND P.G.,
Juveniles.
_______________________________________________________________
Submitted September 9, 2002 - Decided
October 21, 2002
Before Judges Havey, Wells and Payne.
On appeal from Superior Court of New Jersey,
Chancery Division, Family Part, Essex County,
Docket Nos. FJ-07-4413-02 (C.D.) and FJ-07-
4497-02 (P.G.).
Donald C. Campolo, Acting Essex County
Prosecutor, attorney for appellant State of
New Jersey (Joan E. Love, Special Deputy
Attorney General, on the brief).
Peter A. Garcia, Acting Public Defender,
attorney for respondents C.D. and P.G.
(Michael O'Connor, Assistant Deputy Public
Defender, on the brief).
The opinion of the court was delivered by
WELLS, J.A.D.
In these juvenile delinquency cases against C.D. and P.G., the
State appeals, upon leave granted, from an interlocutory ruling of
the trial court which held that Newark Police Department Forensic
Laboratory Certificates of Analysis were inadmissable at trial
without the production of the laboratory technician who signed the
certificates. The judge consolidated the cases for purposes of her
consideration and ruling on the admissibility of the certificates,
apparently, because the cases arose at the same time and involved
the same issue. They are otherwise unrelated.
C.D. and P.G., both juveniles, were arrested within a week of
each other and charged in separate juvenile complaints with
possession of heroin and cocaine, in violation of N.J.S.A. 2C:35-
10; possession of the same drugs with intent to distribute, in
violation of N.J.S.A. 2C:35-5; and possession of the same drugs
with intent to distribute within 1000 feet of a school, in
violation of N.J.S.A. 2C:35-7. P.G., who was arrested with a co-
defendant, was also charged with conspiracy, in violation of
N.J.S.A. 2C:5-2. In both cases, the police seized bags or other
containers and a number of smaller glassine envelopes containing
suspected narcotics.
These bags, containers, glassine envelopes and their contents
were transported to the Newark Police Department Forensic
Laboratory for testing. In due course, the laboratory returned to
the prosecutor's office in each case a pre-printed form of sworn
certificate which, in a check-off format, certified what specimens
had been received for testing, the test or tests that had been
performed, and the instruments used. The certificate states:
These instrument(s) were routinely serviced
and were functioning properly on the date of
analysis. My conclusions are based on my
results of the above tests. The test
procedures used are accurate, reliable,
objective in nature, and performed on a
routine basis within the laboratory.
Following that statement, the certificate lists the
identifying lab number, the weight and kind of drug found by the
test and its controlled dangerous schedule number, as set forth in
N.J.S.A. 24:21-5 to -8, under four column headings labeled "Lab
No.," "Net Weight," "Found" and "Sch." The certificate provides a
line for the certifying technician to sign. Additionally, by
either checking off or filling in blanks, the technician describes
his academic degree, the subject in which that degree was awarded,
the college that issued his degree, and the number of occasions he
has performed such tests for submission to various courts or other
entities and testified before them.
In both of the present cases, the certificates appear regular
on their face in form, were completely filled in or checked off
appropriately, and bore the technician's signature and the
signature and stamp of a notary public.
On March 4, 2002 and March 6, 2002, by formal notice pursuant
to N.J.S.A. 2C:35-19(c), the Essex County Prosecutor notified
counsel for the juveniles of his intent to "proffer a Certificate
of Chemical Analysis and accompanying reports relating to the
analysis in question, in the above captioned matter." In each case
the notice attached a copy of the certificate described above. No
accompanying reports were attached. On March 18, 2002, by formal
notice captioned "Notice of Objection to Admission into Evidence of
Laboratory Certificate Pursuant to 2C:35-19(c)," defense counsel
gave notice of his objection to the prosecutor's proffer. That
objection stated:
1. The State has failed to present any
evidence regarding the degree of
complexity of the tests conducted by the
chemist, the relative objectivity or
subjectivity of the test results, i.e.
the state has failed to include the
reports relating to the analysis in
question. State v. Matulewicz,
101 N.J. 27 (1985), State v. Miller, N.J.
(2002)(A-94-00).
2. The composition, quality or quantity of
the substance submitted to the laboratory
for analysis will be contested at trial.
3. The juvenile has a right under the
"Confrontation Clause" to cross-examine
the state chemist at trial. U.S. Const.
Amend. VI; N.J. Const. art 1 S 10 (1947).
State In the Interest of J.H.,
244 N.J.
Super. 207 (App. Div. 1990).
We further note that the parties agree that prior to defense
counsel's formal written objection, he indicated verbally on March
13, 2002, at a case status conference in the presence of the judge,
that he intended to object to the State's proffer of the
certificates.
Given this exchange of notices, the judge held two hearings,
one in each case, to determine the admissibility of the
certificates as she was required to do under N.J.S.A. 2C:35-19(c).
The State argued that the defense counsel's notice was beyond the
ten day period for objecting under the statute. In addition, the
State argued that the certificates were regular on their face in
form and content, and therefore, were admissible in evidence. The
defense argued that the Certificates omitted the nature or
condition of the laboratory equipment. See N.J.S.A. 2C:35-19(b).
The defense also argued that the State had not established the
reliability of the scientific methodology underlying the tests or
the conditions of cleanliness in the laboratory and other like
factors which might affect the test results.
The judge was clearly troubled by what she perceived as a
conflict between two cases decided just before her ruling, State v.
Miller,
170 N.J. 417 (2002) and State v. Simbara,
348 N.J. Super. 213 (App. Div. 2002), leave to appeal granted,
172 N.J. 174 (2002).
Thus, she first held that N.J.S.A. 2C:35-19 is a rule of procedure
and not one of evidence. She then stated:
What must also be made clear is that, after
the defense objects, N.J.S.A. 2C:35-19 no
longer applies. Instead, the laboratory
certificates are subject to the Rules of
Evidence, consistent with the Confrontation
Clause of the Sixth Amendment. This is what
saves the statute from constitutional
infirmity, as discussed in Miller.
The judge then discussed the State's argument which relied on
Simbara. She concluded:
This court respectfully disagrees with the
Simbara court's reading of Miller. This court
understands Miller to require that after the
defense objects to the proffer of a laboratory
certificate, the State must either present
trial testimony or show at a hearing before
trial that the proffered laboratory
certificate demonstrates sufficient indicia of
reliability and trustworthiness to justify its
admission as evidence. A showing that the
laboratory certificate conforms to the
requirements of N.J.S.A. 2C:35-19, by itself,
is insufficient to meet that standard.
We further note that the judge expressed concern that the
State had not supplied any underlying reports with the
certificates. In a footnote, the judge ruled that because the
State was verbally advised of the defense's objection, it was not
prejudiced by the late filing of the written defense objection and
that the objection was sufficient to warrant a hearing under the
statute. The judge's order denied the State's application to admit
the certificates without the testimony of the lab chemist.
We agree in part and disagree in part and remand for a new
hearing. We agree with the judge's conclusion that the defense's
late written objection did not prejudice the State and that its
objection properly invoked the hearing under N.J.S.A. 2C:35-19,
even though the notice was two days late. Given the constitutional
implications of the statute as described in Miller, supra, 170 N.J.
at 425-26, the significant right of confrontation could not be
sacrificed to such a brief delay in the formality of filing an
objection, particularly where the State had actual notice that an
objection to the certificates was forthcoming.
Secondly, we also agree with the judge that once the defense
has objected, N.J.S.A. 2C:35-19 itself vanishes as a determinative
to admissibility in evidence of the laboratory certificate. The
statute does not fall into an exception to the hearsay rule. Id.
at 430. On the contrary, the hearing offered by the statute simply
gives the state a pre-trial opportunity to attempt to secure the
admissibility of the certificate without the live testimony of the
forensic chemist under the Rules of Evidence and the cases
construing those rules. Otherwise, it may proceed to trial and
produce the chemist as a witness.
We further share the judge's concern about the lack of
reports accompanying the certificates. Clearly, if the laboratory
provided the prosecutor's office with such reports in addition to
the certificates, it also had a duty to serve them on the defense.
However, in this case despite the reference to reports in the
prosecutor's notice, we are satisfied that no such reports were
actually produced or provided by the lab. Accordingly, the failure
to serve reports in this case does not bear on the issue of their
admissibility.
It is at the point of her dispositive ruling that the
certificates were inadmissible that we part company with the trial
judge. It was the purpose of the Miller Court to preserve the
statute against its constitutional infirmities, but, at the same
time, not to vitiate its salutary purpose
to cull out the cases that may require live
testimony from, in our experience, the vast
majority of cases in which the defendant does
not oppose the admission of the lab
certificate either because the focus of the
defense is otherwise or because he or she may
not wish to suffer the piling-on effect of a
live witness when there is no true contest
over the nature of the tested substance.
[Id. at 431.]
Thus, we do not read Miller as requiring the testimony of the
forensic chemist who performed the tests in every case where the
defense objects, provided the proffered certificate meets the
criteria of admissibility under either N.J.R.E. 803(c)(6) or
N.J.R.E. 803(c)(8). Indeed, the Miller Court stated:
In State v. Matulewicz, supra, we detailed the
way in which the proponent of a lab report
could invoke the protection of two firmly-
rooted hearsay exceptions, namely, the
business entries exception (N.J.R.E.
803(c)(6)) and the public records exception
(N.J.R.E. 803(c)(8)), thus avoiding Confronta-
tion Clause concerns.
[Id. at 426.]
By referring to Matulewicz, the Miller Court pointed to the
leading case describing the necessary foundational proofs under
which a laboratory certificate may be admitted. Such certificates
are clearly not self-proving. To the extent that another panel of
this Court may have suggested that they are, we respectfully
disagree. See Simbara, supra, 348 N.J. Super. at 219-20. Thus,
a witness who is generally familiar with current regulations
applicable to the management of the laboratory; its practices and
procedures; the nature, age, and condition of the testing
instruments used; the form of certificate in question; and the
other facts highlighted in Matulewicz should be called upon to
testify at the hearing. This witness should testify as to those
foundational facts which might reasonably lead to the conclusion
that the methods and practices of the lab produce reliable and
trustworthy test results on the specimens provided. If the court
finds that those kinds of foundational facts regarding the
trustworthiness of the certificate have been established, it may
admit the certificate for the truth of its content without the
testimony of the chemist who performed the tests and signed the
certificate. See N.J.R.E. 803(c)(6); N.J.R.E. 803(c)(8).
Certificates admitted upon such a ruling do not raise confrontation
issues since they bear the imprimatur of reliability. The Miller
Court stated:
Most importantly, regardless of the particular
hearsay exception involved, 'concern for
reliability remains paramount' in such
determinations. Ibid.; see also Paul C.
Giannelli, The Admissibility of Laboratory
Reports in Criminal Trials: The Reliability of
Scientific Proof,
49 Ohio St. L.J. 671, 700
(1988) ('The routine admission of laboratory
reports can be justified only if the
presumption of reliability that generally
attaches to business and, public records also
applies to the reports.')
[Miller, supra, 170 N.J. at 426-27.]
In this case no such witness was called and the judge, based
on merely the format of the certificate, ruled against their
admissibility. In her view, the check-off and fill-in-the-blank,
pre-printed form Certificates were insufficient to justify
admissibility. However, the ease with which these certificates
are prepared is not a criteria for their admissibility. If the
certificate was made in the regular course of business; it was the
regular business of the lab to make such reports; and the sources
of information or the method, purpose, or circumstances of
preparation indicates that the certificate is trustworthy, it is
admissible regardless of its format. See N.J.R.E. 803(c)(6).
Analogous foundational facts should also be elicited from a
knowledgeable witness if the certificates are proffered under
N.J.R.E. 803(c)(8).
In this case, no record upon which to assess the judge's
decision denying admissibility was developed by the parties. No
foundational witness was called, nor were other facts introduced
from which a reasoned judgment could be made under the Evidence
Rules as to the trustworthiness of the proffered certificates.
Accordingly, we are constrained to remand to the trial court for
a new hearing.
We mention one further issue. We do not believe the notice
and demand procedure of N.J.S.A. 2C:19-35(c) is a proper vehicle
for raising issues about the general scientific reliability of the
chemical tests themselves, the science underlying the tests, the
technological accuracy of the instruments upon which the tests are
performed, or other such fundamental concerns. Those kinds of
contentions raise much more complex and sophisticated factual and
legal issues under N.J.R.E. 702 that are simply not the purpose of
the statute to cull out. See generally Rubanick v. Witco Chemical
Corp.,
125 N.J. 421 (1991); State v. Spann,
130 N.J. 484, 508-11
(1993).
It is our understanding that, in general, the tests in these
cases and the instruments used to perform them have long been
standardized and are generally recognized in the scientific
community as routine and reliable. They are tests which simply
determine the composition, quality, and quantity of the alleged
prohibited substances. See Miller, supra,
170 N.J. 426. If it is,
indeed, the basic science underlying the tests, the technological
accuracy of instruments on which the tests are performed, or the
interplay between the raw test results and any exercise in judgment
of the chemist in determining the final test results that defense
counsel wishes to raise, these are matters that must be raised by
motion in accord with the Rules of Court, and, if required,
considered at a N.J.R.E. Rule 104 hearing.
Reversed and remanded for further proceedings consistent with
this opinion. We do not retain jurisdiction.