STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
BARRY SHERMAN,
Defendant-Appellant.
Argued: February 9, 2004 - Decided: March 4, 2004
Before Judges Havey, Fall and Parrillo.
On appeal from the Superior Court of New Jersey, Law Division, Monmouth County,
Indictment Number 02-03-0527.
L. Barret Boss (Asbell Moffitt & Boss) of the Washington, D.C. bar, admitted
pro hac vice, and Robert S. Bonney, Jr. argued the cause for appellant
(Bonney, Epstein & Gilberti and Mr. Boss, attorneys; Henry W. Asbill, Mr. Boss,
Peter B. Paris and Mr. Bonney, on the brief).
Robert A. Honecker, First Assistant Prosecutor, argued the cause for respondent (John Kaye,
Monmouth County Prosecutor, attorney; Mr. Honecker, of counsel, and Mary R. Juliano, Assistant
Prosecutor, on the brief).
The opinion of the court was delivered by
FALL, J.A.D.
On November 8, 2001, defendant Barry Sherman abducted a six year-old female child
from in front of her home in Spring Lake for the purpose of
holding her for ransom, and kept the child in his mother's home in
Neptune City for approximately twenty-two hours, until abandoning his plan and dropping her
off in front of the Monmouth Mall in Eatontown. As instructed by defendant,
the child approached the first adults she encountered, identified herself, the police were
notified, and she was safely returned home. The only harm suffered by the
child was emotional and psychological in nature in the form of a post-traumatic
stress disorder.
Defendant was charged in Monmouth County Indictment Number 02-03-00527 with first-degree kidnapping, contrary
to N.J.S.A. 2C:13-1a (count one); third-degree criminal restraint, contrary to N.J.S.A. 2C:13-2a (count
two); two counts of second-degree endangering the welfare of a child, contrary to
N.J.S.A. 2C:24-4a (counts three and four); and third-degree terroristic threats, contrary to N.J.S.A.
2C:12-3a (count five).
After entering conditional pleas of guilty to first-degree kidnapping and to one count
of second-degree endangering the welfare of a child, defendant was sentenced to a
fifteen-year term of imprisonment on the kidnapping conviction, with an 85% period of
parole ineligibility pursuant to the No Early Release Act (NERA), N.J.S.A. 2C:43-7.2, and
to a consecutive term of seven years imprisonment on the endangering conviction. He
now appeals from his conviction on the first-degree kidnapping charge, and from the
sentence imposed on his second-degree conviction for endangering.
Under N.J.S.A. 2C:13-1c, kidnapping is a first-degree crime unless the "actor releases the
victim unharmed and in a safe place."
See footnote 1 This appeal requires us to primarily
address the following three issues concerning this so-called "released-unharmed" section of the kidnapping
statute: (1) whether psychological or emotional harm without bodily injury constitutes "harm" within
the intendment of that statutory provision; (2) whether the released unharmed provision of
N.J.S.A. 2C:13-1c is a "grading mechanism" or a "material element" of the crime
of first-degree kidnapping for which a culpability requirement adheres; and (3) where the
kidnapper releases the victim in a safe place, whether the Legislature intended to
make the crime of kidnapping a first-degree offense only if the defendant caused
the psychological or emotional harm beyond that harm caused by the kidnapping itself.
We must also address the issue of whether the trial court properly followed
applicable sentencing criteria and guidelines when imposing sentence on the second-degree endangering conviction.
In accordance with the Supreme Court's ruling in State v. Federico,
103 N.J. 169, 174-76 (1986), and our decision in State v. Casilla,
362 N.J. Super. 554, 566-67 (App. Div.), certif. denied,
178 N.J. 251 (2003), in order to
establish the crime of first-degree kidnapping against a kidnapper who has released the
victim prior to his or her apprehension, the State must prove beyond a
reasonable doubt that the victim had been harmed or had not been released
in a safe place. Thereby, disproving unharmed release is an element of the
offense of first-degree kidnapping. Ibid.
We hold that the concept of "harm," as embodied by the released unharmed
provision of N.J.S.A. 2C:13-1c, includes emotional or psychological harm suffered by the victim.
We also hold that disproving unharmed release is a "material" element of the
crime of first-degree kidnapping, requiring the State to prove that a defendant "knowingly"
harmed or "knowingly" released the victim in an unsafe place. We conclude that
the "harm" component of the unharmed release provision contained in N.J.S.A. 2C:13-1c focuses
on the conduct of the kidnapper during the purposeful removal and holding or
confining of the victim, as distinguished from the type of harm inherent in
every kidnapping. Therefore, when a victim is released in a safe place prior
to the kidnapper's apprehension, as here, in order to prove that the kidnapper
is guilty of first-degree kidnapping, the State must prove beyond a reasonable doubt
that the kidnapper knowingly caused physical, emotional or psychological harm to the victim.
We conclude that the trial court erred in denying defendant's motion seeking modification
of the model jury charge on the first-degree kidnapping charge to reflect these
requirements. Pursuant to the terms of the plea agreement, the matter is remanded
to the Law Division for defendant's entry of a substitute plea of guilty
to second-degree kidnapping and for sentencing thereon.
We reject defendant's argument that the trial court erred in concluding that the
unharmed release provisions of the kidnapping statute are not unconstitutionally vague, facially or
as applied. We also reject defendant's contention that the trial court erred in
denying his application to dismiss the first-degree kidnapping charge on the basis that
the grand jury proceedings were defective.
Our review of the sentence imposed on defendant's second-degree endangering conviction discloses that
the findings of the sentencing judge on the aggravating factors are not supported
by sufficient, credible evidence in the record. Accordingly, we are constrained to vacate
the sentence imposed on the endangering conviction and remand the matter to the
trial court for resentencing.
I.
We now examine the specific facts and circumstances of this case. Defendant signed
a lengthy and detailed confession in his handwriting, in which he explained that
he had been suffering from emotional distress and depression and had formulated a
plan to kidnap a child in order to obtain monies that would allow
him to purchase a sailboat and "'sail away' from his life and the
pain." Defendant, who lived with his mother in Neptune City, waited until his
mother went on an extended vacation to Spain before executing his plan. Defendant
determined that he would obtain a child from Spring Lake, a nearby community,
hold the child in his mother's home while she was away, tape a
ransom note to the flag pole on Third Avenue in Spring Lake, demand
that cash be deposited under a ramp to the beach in Ocean Grove,
and then drop the child off at a shopping mall once the ransom
had been paid. As part of his plan, about a week before the
kidnapping, defendant wrote a ransom note that asked for $175,000.
Defendant made several attempts to abduct a child but could not do it.
Then, on November 8, 2001, while driving "up and down the roads" in
Spring Lake, he saw "two little girls sitting outside a house." He parked
his vehicle, approached them, and told one, A.C., a six year-old child, that
"we're just going to go for a little ride." Despite A.C.'s screams, defendant
put her in his car and drove away. A.C. calmed down quickly after
he reassured her.
After abducting A.C., defendant brought the child to his mother's home, where A.C.
sat in the living room and watched cartoons. Defendant gave her Cheerios cereal,
apple juice and yogurt. Shortly thereafter, defendant put A.C. in a utility room
in which he had built a "fort" from cushions, and left the home
for approximately ten minutes to call the Spring Lake Police Department from a
public telephone at a nearby convenience store. Defendant spoke with Detective William Coyle
at approximately 12:48 p.m., advising him of the location of the ransom note.
The note provided instructions to the child's parents for delivering the ransom and
warned that if he was observed, apprehended, or interfered with, the child would
be immediately killed.
Approximately one hour later, defendant left the house again, driving to the Monmouth
Mall in Eatontown to make a second telephone call to the Spring Lake
Police Department, inquiring whether the ransom note had been found. That call was
placed at approximately 1:52 p.m. Prior to leaving the house to make that
call, defendant had again placed A.C. in the utility room; he was gone
from the house for approximately forty-five minutes.
Defendant had used the utility room twelve years earlier as a dark room
for developing photographs. A large plastic bottle of acetic acid, a chemical used
in developing film, which had not been used in twelve years, was located
on a counter in that room. The bottle had a "Danger, poison" warning
label, and defendant stipulated that this chemical "created a risk of serious bodily
injury to the child." However, defendant asserted he did not intend to create
any such risk.
The utility room had light and heat, and defendant provided A.C. with a
book, a game, and apple juice while he was gone. Defendant then closed
the door to the utility room and slid a couch in front of
it to prevent A.C. from leaving. On both occasions when he left A.C.
alone, the child was physically unharmed when he returned.
In the early evening hours of November 8th, defendant took A.C. upstairs, where
she slept on a chair and defendant slept on a sofa. On the
morning of November 9th, defendant decided to return the child. He drove the
child to the Monmouth Mall when it opened at approximately 10:00 a.m. Defendant
dropped A.C. off at the curb, told her to run to the first
adults she saw and tell them the police were looking for her, and
he then drove away.
Almost immediately thereafter, A.C. encountered a school teacher and her mother, who described
the child as neatly dressed, clean and calm, with no signs of physical
injury or emotional distress. They brought A.C. to the security office of the
Mall. Mall employees also described the child as composed and not in any
distress.
The police, who were called to the scene by the Mall employees, transported
A.C. to the Jersey Shore Medical Center, where she was reunited with her
parents, examined and found to be in good condition with no sign of
physical injury or emotional distress. In her statement to an FBI agent, A.C.
stated that "the man that took her treated her nicely." The parties stipulated
that the child did not suffer any physical injury as a result of
the kidnapping.
On November 10, 2001, a videotaped interview of A.C. was conducted by a
detective of the Monmouth County Prosecutor's Office who specialized in sex crimes and
children. On November 11, 2001, A.C. gave a description of defendant to State
Police sketch artists for completion of a composite drawing. On November 12, 2001,
Detective Coyle took A.C. to the neighborhood in Neptune City from which defendant
had placed the first telephone call. When A.C. saw defendant's home, she screamed,
"That's his house."
On November 12, 2001, defendant, who had contemplated suicide, drove to Sandy Hook
State Park, but could not remember what happened there. At that time, defendant
had not been identified as the kidnapper. He was discovered on the beach
in the Park in an unconscious and unresponsive state, and was transported by
ambulance to Monmouth Medical Center, where he was examined, found to be in
good health, but was unable to speak. When defendant's sister arrived at the
hospital, defendant wrote her a note stating that he was "the guy they're
looking for for the kidnapping of the little girl." At his request, defendant's
sister called the police, who responded to the hospital and obtained defendant's written
confession. Defendant accepted responsibility for his conduct and apologized to the child and
her family.
Following the kidnapping incident, A.C. developed severe anxiety and started having nightmares. In
January 2002, A.C. began therapy with Dr. Patricia Tistan, a psychologist, who diagnosed
the child as suffering from a post-traumatic stress disorder, characterized by withdrawal, nightmares,
anxiety, and a fear of being captured again. The child was seen by
Dr. Tistan on a regular basis through June 2002, at which point Dr.
Tistan noted improvement but concluded that the child could suffer a significant and
long-lasting effect from the kidnapping incident.
II.
Defendant filed motions seeking dismissal of the first-degree kidnapping charge contained in count
one of the indictment, contending: (1) that N.J.S.A. 2C:13-1c was unconstitutionally vague facially
and as applied to the facts of this case; and (2) that the
evidence presented to the grand jury had failed to demonstrate defendant's intent to
harm the victim. Defendant asserted that since he had released the victim unharmed
and in a safe place prior to his apprehension, his acts constituted second-degree
kidnapping, not first-degree kidnapping. Defendant argued that the kidnapping statute was impermissibly vague
because it failed to specify the meaning of the phrase "unharmed and in
a safe place[.]" See N.J.S.A. 2C:13-1c.
The motions were argued in the Law Division. The court entered separate orders
denying defendant's motions. With respect to defendant's arguments that the kidnapping statute was
void for vagueness, both facially and as applied, the judge stated in pertinent
part:
As applied in this circumstance, it's not void. It's not void for vagueness.
Now, the Legislature, when they used the word harm as I indicated earlier,
they didn't choose to use the words serious bodily injury, significant bodily injury
or bodily injury. They didn't choose to modify the word harm by the
words severe harm.
Although those terms are otherwise described in . . . State penal statutes[,]
. . . they intentionally chose not to do that. The Legislature intentionally
rejected the recommendations of the commission, [and the] recommendations in the Model Penal
Code.
* * * *
I am guided and I am bound by rulings of the Supreme Court.
[The prosecutor] is correct . . . that those cases in the Supreme
Court may not have arisen precisely in concert with the issue that we
have today. But the Supreme Court has, I think clearly indicated, whether it
be implicitly or explicitly, that emotional harm is sufficient to satisfy the statute.
That comports with the Dictionary definition which I had read earlier. They have
done that in a host of cases. In [Federico, supra, and] in [State
v. Johnson,
309 N.J. Super. 237 (App. Div.), certif. denied,
156 N.J. 387
(1998).] . . .
And I can't get away from the United State Supreme Court in the
matter of [Robinson v. United States,
324 U.S. 282,
65 S. Ct. 666,
89 L. Ed.2d 944 (1945)] where they were dealing with a non-permanent
injury, one that could resolve itself fairly quickly, determined that the statute, much
the same as here, in terms of unharmed, was not void for vagueness.
There is no basis for me to grant the defendant's application and accordingly,
I will deny it.
The motion judge also ruled that the proofs submitted to the grand jury
were sufficient to permit the jurors to conclude that in confining the victim
the defendant committed a purposeful act under the kidnapping statute. The judge stated
that the issue of what proofs would be required or what state of
mind the State must demonstrate to secure a conviction on the first-degree kidnapping
charge were questions to be dealt with by the trial judge.
Thereafter, defendant filed a motion in limine, seeking a jury instruction clarifying the
legal distinction between first- and second-degree kidnapping.
See footnote 2 Defendant sought modification of the model
jury charge on kidnapping in a manner that clarified the statutory standard for
reduction of the offense to a second-degree crime.
This motion was argued in the Law Division before a different motion judge.
Defense counsel contended that first-degree kidnapping required the State, in disproving unharmed release,
to establish beyond a reasonable doubt that the defendant had purposely harmed or
purposely left the victim in an unsafe place. Defendant argued that not releasing
the victim unharmed and in a safe place prior to his apprehension were
material elements of the offense of first-degree kidnapping, and are not simply "grading"
provisions. Defendant asserted that, as material elements of the crime, the jury must
be charged on the culpability requirement for establishing those elements beyond a reasonable
doubt.
The motion judge rejected the contention that the State must prove defendant acted
purposefully, or with any other level of culpability, with regard to the elements
of harm and safe place, stating "[t]hat's not substantiated in our law nor
in our model jury charge." The judge explained, as follows:
It's the position of the defense that these elements [of harm and safe
place] are elements of the offense of kidnapping. I totally disagree. . .
.
* * * *
It's quite clear in the reading of the statute that the unharmed and
safe place deal with the grading. It moves a first-degree kidnapping down to
a second-degree. So I really don't have a problem with that, and I
have reviewed again the model jury charge with regard to kidnapping, and that
is not part of our law.
It is not an element of the offense. It is a grading aspect
of the offense. True, the State must prove these elements beyond a reasonable
doubt to the jury in order for them to find whether or not
the victim was harmed or was not released in a safe place. That
burden is on the State. But that deals with the grading of the
offense, vis-à-vis the offense itself.
So with regard to that request to charge the jury, that request will
be denied.
The motion judge also ruled that the "harm" contemplated in the unharmed release
provision of the kidnapping statute,
N.J.S.A. 2C:13-1c, "encompasses not only physical harm, but
emotional harm." An order memorializing those rulings was entered on September 27, 2002.
Pursuant to a conditional plea agreement, defendant entered pleas of guilty on October
22, 2002 to the first-degree kidnapping charge on count one, and to the
second-degree endangering charge contained in count three of the indictment. The State agreed
that the only harm to the victim resulting from the kidnapping was her
post-traumatic stress disorder. The State agreed to seek dismissal of all other charges,
and to recommend a fifteen-year term of imprisonment on the kidnapping convictionsubject to
the parole disqualifier provisions of the No Early Release Act (NERA), N.J.S.A. 2C:43-7.2and
to imposition of a consecutive term of imprisonment on the endangering conviction up
to ten years, as determined by the court.
See footnote 3
The parties agreed that defendant would be permitted to appeal the denial of
his pre-trial motions pursuant to
Rule 3:9-3(f). The plea agreement provided that if
defendant was successful on appeal, he would be permitted to substitute a plea
of guilty to second-degree kidnapping, with new negotiations concerning appropriate sentencing recommendations. The
trial court accepted defendant's guilty pleas, conditioned upon his right to appeal from
the denial of his pre-trial motions.
On March 26, 2003, after hearing the testimony of A.C.'s mother on the
issue of the extent of harm suffered by the child and several impact
statements, the judge sentenced defendant to a fifteen-year term of imprisonment on the
first-degree kidnapping conviction, in accordance with the plea agreement, and to a consecutive
seven-year term of imprisonment on the child-endangerment conviction. Pursuant to NERA, the judgment
of conviction also required that defendant serve eighty-five percent of the term imposed
on the first-degree kidnapping conviction. Applicable mandatory fines and penalties were also imposed.
III.
Defendant contends that A.C.'s post-traumatic stress disorder did not constitute "harm" under N.J.S.A.
2C:13-1c, arguing that some emotional or psychological injury is inherent in every kidnapping.
Defendant asserted that if emotional or psychological injury is deemed sufficient to constitute
the "harm" required to render the kidnapping a first-degree crime, then "virtually every
kidnapping would be one of the first degree."
Defendant also contends that the trial court should have modified the model jury
charge to reflect that the "harm" or "unsafe place" provisions in N.J.S.A. 2C:13-1c
are elements of the offense of first-degree kidnapping and require a finding by
the jury that the State has proven beyond a reasonable doubt that defendant
had purposely caused such harm to the victim or had purposely released the
victim in an unsafe place. Defendant further argues that the unharmed release provisions
contained in N.J.S.A. 2C:13-1c are facially void for vagueness for failure to define
"harm" and "safe place," and are void for vagueness as applied by the
trial court.
We begin our analysis of these arguments with a discussion of the kidnapping
statute, N.J.S.A. 2C:13-1, which provides in pertinent part:
a. Holding for ransom, reward or as a hostage. A person is guilty
of kidnapping if he unlawfully removes another from the place where he is
found or if he unlawfully confines another with the purpose of holding that
person for ransom or reward or as a shield or hostage.
b. Holding for other purposes. A person is guilty of kidnapping if he
unlawfully removes another from his place of residence or business, or in a
substantial distance from the vicinity where he is found, or if he unlawfully
confines another for a substantial period of time, with any of the following
purposes:
(1) To facilitate commission of any crime or flight thereafter;
(2) To inflict bodily injury on or to terrorize the victim or
another;
(3) To interfere with the performance of any governmental or political function;
or
(4) To permanently deprive a parent, guardian or other lawful custodian of
custody of the victim.
c. Grading of kidnapping.
(1) Except as provided in paragraph (2) of this subsection, kidnapping is
a crime of the first degree and upon conviction thereof, a person may,
notwithstanding the provisions of paragraph (1) of subsection a. of N.J.S. 2C:43-6, be
sentenced to an ordinary term of imprisonment between 15 and 30 years. If
the actor releases the victim unharmed and in a safe place prior to
apprehension, it is a crime of the second degree .
(2) Kidnapping is a crime of the first degree and upon conviction
thereof, an actor shall be sentenced to a term of imprisonment by the
court, if the victim of the kidnapping is less than 16 years of
age and if during the kidnapping:
(a) A crime under N.J.S. 2C:14-2 or subsection a. of N.J.S. 2C:14-3
is committed against the victim;
(b) A crime under subsection b. of N.J.S. 2C:24-4 is committed against
the victim; or
(c) The actor sells or delivers the victim to another person for
pecuniary gain other than in circumstances which lead to the return of the
victim to a parent, guardian or other person responsible for the general supervision
of the victim.
Notwithstanding the provisions of paragraph (1) of subsection a. of N.J.S. 2C:43-6, the
term of imprisonment imposed under this paragraph shall be either a term of
25 years during which the actor shall not be eligible for parole, or
a specific term between 25 years and life imprisonment, of which the actor
shall serve 25 years before being eligible for parole, provided, however, that the
crime of kidnapping under this paragraph and underlying aggravating crimes listed in subparagraph
(a), (b) or (c) of this paragraph shall merge for purposes of sentencing.
If the actor is convicted of the criminal homicide of a victim of
a kidnapping under the provisions of chapter 11, any sentence imposed under the
provisions of this paragraph shall be served consecutively to any sentence imposed pursuant
to the provisions of chapter 11.
* * * *
[Emphasis added.]
Unless the provisions of N.J.S.A. 2C:13-1c(2) are applicable, the usual term of imprisonment
for a first-degree kidnapping offense is between fifteen and thirty years. N.J.S.A. 2C:13-1c(1).
For a second-degree crime it is between five and ten years. N.J.S.A. 2C:43-6a(2).
A court imposing a sentence of imprisonment for the crime of first-degree or
second-degree kidnapping shall fix a minimum term of 85% of the sentence imposed
under NERA, during which the defendant shall not be eligible for parole. See
N.J.S.A. 2C:43-7.2d(6). Additionally, the court must impose a five-year term of parole supervision
when the defendant is sentenced for a crime of the first degree and
to a three-year term of parole supervision if the defendant is convicted of
a second-degree crime. N.J.S.A. 2C:43-7.2c.
In order to convict for first-degree kidnapping, the State must prove beyond a
reasonable doubt that, prior to his or her apprehension, either the defendant failed
to release the victim unharmed or did not release the victim in a
safe place. Federico, supra, 103 N.J. at 174; Johnson, supra, 309 N.J. Super.
at 265; State v. Smith,
279 N.J. Super. 131, 140-41 (App. Div. 1995).
Stated another way, the State bears the burden of disproving unharmed release. Federico,
supra, 103 N.J. at 176. The Federico Court also concluded that proving beyond
a reasonable doubt either that the defendant did not release the victim unharmed,
or did not release the victim in a safe place prior to his
apprehension, is an element of the offense of first-degree kidnapping. Id. at 174-76.
It must also be noted the United States Supreme Court has held that,
in both federal and state criminal prosecutions, due process requires that "any fact
(other than prior conviction) that increases the maximum penalty for a crime must
be charged in an indictment, submitted to a jury, and proven beyond a
reasonable doubt." Apprendi v. New Jersey,
530 U.S. 466, 476,
120 S. Ct. 2348, 2355,
147 L. Ed.2d 435, 446 (2000). See also Jones v.
United States,
526 U.S. 227, 243 n.6,
119 S. Ct. 1215, 1224 n.6,
143 L. Ed.2d 311, 326 n.6 (1999) (noting that the constitutional safeguards
that mandate that principle "concern not the identity of the elements defining criminal
liability but only the required procedures for finding the facts that determine the
maximum permissible punishment; these are the safeguards going to the formality of notice,
the identity of the factfinder, and the burden of proof").
Recently, in Casilla, supra, 362 N.J. Super. at 566-67, we emphasized that a
guilty verdict for first-degree kidnapping cannot stand if the trial court fails to
instruct the jury on the State's burden of disproving unharmed release, stating:
N.J.S.A. 2C:13-1c(1) provides in pertinent part that "kidnapping is a crime of the
first degree . . . [but i]f the actor releases the victim unharmed
and in a safe place prior to apprehension, it is a crime of
the second degree." Under this provision, to prove first-degree kidnapping the State not
only has to establish the elements of kidnapping set forth in N.J.S.A. 2C:13-1a
or b but also "prove beyond a reasonable doubt either that the victim
was harmed or not released in a safe place prior to apprehension."
[Quoting Federico, supra, 103 N.J. at 174.]
In Casilla, supra, we concluded that the trial court had erred by instructing
"the jury that kidnapping has only two elementsone, unlawful removal of the victim
from the place where he was found or unlawful confinement of the victim
for a substantial period of time, and two, that the removal or confinement
was with the purpose of holding the victim for ransom or reward and/or
to inflict bodily injury upon him and/or terrorize him or another."
See footnote 4 362
N.J.
Super. at 567.
Here, the plea agreement states that "[t]he factual basis for the plea [was]
the trial court's ruling that any emotional and psychological harm to the victim
would suffice to constitute 'harm' for the purposes of the first degree statute."
(Emphasis added). Defendant argues that the term "harm" does not include "minimal" emotional
or psychological harm because such harm is inherent in every kidnapping. Here, however,
defendant's argument presupposes that A.C. did not suffer substantial emotional and psychological injury.
The overwhelming evidence in the record is to the contrary. A.C. has undergone
therapy and has been diagnosed as suffering from a post-traumatic stress disorder, characterized
by anxiety, nightmares and fear. Moreover, neither motion judge stated that a minimal
amount of harm was sufficient; rather, they ruled that the term "harm," as
used in N.J.S.A. 2C:13-1c, encompassed not only physical harm, but emotional harm as
well.
The motion judges correctly noted that in enacting N.J.S.A. 2C:13-1c, the Legislature did
not define "harm" to include only bodily injury. In State v. Tronchin,
223 N.J. Super. 586, 594 (App. Div. 1988), we concluded that the evidence of
kidnapping was insufficient under circumstances where the victim had initially agreed to go
with the defendant in his car, but he later sexually assaulted her. However,
in tacitly recognizing that emotional injury may constitute "harm," we "reject[ed] any contention
that [the victim] suffered neither physical nor emotional injury, and thus was released
unharmed." Id. at 594 n.4.
In People v. Nguyen,
997 P.2d 493, 501 (Cal. 2000), the California
Supreme Court considered whether the risk of harm required to elevate the offense
of kidnapping to commit robbery to aggravated kidnapping included psychological harm. The Court
found it significant that the Legislature had used the term "harm" instead of
"bodily harm," which it had used in another section of the kidnapping statute,
and concluded that "the legislature intended to target coerced movement resulting in an
increased risk either of grave physical injury or of mental terror." Ibid.
In other criminal contexts, our courts have held that the term "harm" is
not limited to physical harm. See State v. Kromphold,
162 N.J. 345, 357
(2000) (psychological harm is relevant in determining the "gravity and seriousness of harm
inflicted on the victim," an aggravating factor in sentencing under N.J.S.A. 2C:44-1a(2)); and
State v. M.L.,
253 N.J. Super. 13, 21 (App. Div. 1991) (ruling that
"a demonstration of actual physical harm" is not necessary for a conviction of
child endangerment under N.J.S.A. 2C:24-4a, which prohibits a caretaker from causing a "child
harm that would make the child an abused or neglected child"), certif. denied,
127 N.J. 560 (1992).
In Robinson, supra, 324 U.S. at 283, 65 S. Ct. at 667, 89
L. Ed. at 945, the United States Supreme Court interpreted the Federal Kidnapping
Act, which provided at that time that the death sentence would not be
imposed if the victim "has been liberated unharmed." The Court rejected the defendant's
argument that permanent injury to the victim was a prerequisite to the death
sentence, stating "[w]e find no justification whatever for grafting the word permanent onto
the language which Congress adopted." 324 U.S. at 285, 65 S. Ct. at
668, 89 L. Ed. at 947. As in Robinson, we find no justification
here for limiting the word "harm" to bodily harm when interpreting N.J.S.A. 2C:13-1c.
"[W]here the Legislature has carefully employed a term in one place and excluded
it in another, it shall not be implied where excluded." GE Solid State,
Inc. v. Director, Div. of Taxation,
132 N.J. 298, 308 (1993). Numerous sections
of the Code of Criminal Justice utilize the terms "serious bodily injury," see,
e.g., N.J.S.A. 2C:11-1; N.J.S.A. 2C:11-3; N.J.S.A. 2C:12-1; N.J.S.A 2C:13-2; N.J.S.A. 2C:15-1b; N.J.S.A. 2C:17-2,
or "bodily injury," see, e.g., N.J.S.A. 2C:11-1a; N.J.S.A. 2C:12-10b; N.J.S.A. 2C:13-5; N.J.S.A. 2C:15-1a;
and N.J.S.A. 2C:17-3. Moreover, N.J.S.A. 2C:1-2c provides that the provisions of the Code
of Criminal Justice "shall be construed according to the fair import of their
terms." It is clear that the Legislature did not intend that the term
"unharmed," as used in N.J.S.A. 2C:13-1c, be interpreted to mean only that the
victim suffered no bodily injury or no serious bodily injury.
Defendant asserts that the Legislature intended "to restrict the application of the extreme
kidnapping penalties to only the most heinous of cases." Defendant cites to the
Final Report of the New Jersey Criminal Law Revision Commission (Final Report), Vol.
II, Comment 7 on N.J.S.A. 2C:13-1, at 187 (1971), which states:
[T]he main justification for treating kidnapping as seriously as murder or aggravated rape
is the likelihood of a victim disappearing permanently during a kidnapping, without possibility
of proving murder. Accordingly, we propose to maximize the kidnapper's incentive to return
the victim alive, by making first degree penalties apply only when the victim
is not "released alive in a safe place."
[Quoting, Model Penal Code Tentative Draft 11 at 19-20 (1960).]
The Model Penal Code Tentative Draft described two lesser degrees of kidnapping, one
when the victim is released with substantial injuries and the other when the
victim is released unharmed or with minor harm. Ibid. The Model Penal Code
Tentative Draft stated, in pertinent part:
Certainly those formulations which authorize extreme penalties unless the victim is 'liberated unharmed'
are unsatisfactory . . . because they require that no harm whatever shall
have been done to the victim, and because they refer to the moment
of liberation without regard to the circumstances, which may be such as to
make serious harm or death quite likely.
[Ibid.]
The Criminal Law Revision Commission adopted this commentary but did not follow it,
a situation which defendant describes as "nonsensical." Instead of rejecting the "liberated unharmed"
provision suggested by the Model Penal Code Tentative Draft, and grading kidnappings according
to the amount of harm inflicted, the Commission proposed N.J.S.A. 2C:13-1c, as adopted,
providing that kidnapping is a crime of the first degree "unless the actor
voluntarily releases the victim unharmed and in a safe place prior to apprehension."
Final Report, supra, Vol. I, at 57. In contrast, the Model Penal Code,
§ 212.1(d) provides:
Kidnapping is a felony of the first degree unless the actor voluntarily releases
the victim alive and in a safe place prior to trial, in which
case it is a felony of the second degree.
[Emphasis added.]
The choice of the Commission and the Legislature to use the term "unharmed,"
directly contrary to the Commission's own Final Report commentary rejecting this term, does
not support defendant's argument that the legislative intent of the released unharmed provision
contained in N.J.S.A. 2C:13-1c was to act as a deterrent. The Final Report,
Vol. II, quoting the Model Penal Code Tentative Draft, explained that downgrading the
offense if the actor released the victim alive but injured would provide the
actor with an incentive to release the victim instead of killing her.
However, by choosing to downgrade the offense only if the victim is released
"unharmed," our Legislature has determined that the incentive to release the victim is
not as important as upgrading the offense of kidnapping in most cases. In
Robinson, supra, the Court rejected the deterrence argument, refusing to "expand the meaning
of the statute" in order to "magnify" the kidnapper's inducement to release the
victim. 325 U.S. at 284-85, 65 S. Ct. at 668, 89 L. Ed.
at 946. In State v. Masino,
94 N.J. 436, 446 (1983), the Court
noted the discrepancy between the Commission's commentary and the statute that had been
adopted and explained that "[i]t is evident that the legislature intended harsh treatment
for kidnappers." We conclude that the intended breadth of the deterrence incentive is
limited. It is not for us to modify the statute by adopting the
incentive or deterrence concepts set forth in the Final Report or in the
Model Penal Code.
We recognize that the Court, in Federico, supra, 103 N.J. at 175, announced
"concern about the potential for abusive prosecutions for first degree kidnapping." The Court
explained, as follows:
The thirty-year maximum sentence for first degree kidnapping, exceeded only by the maximum
punishment for murder, is warranted where the circumstances make the incident "specially terrifying
and dangerous."
[Quoting Final Report, supra, Vol. II, at 182-83.]
Although defendant's abduction and treatment of A.C. was not especially terrifying or dangerous,
as a young child, she was particularly vulnerable, and the emotional harm that
she sustained was substantial. The Court in Federico, supra, was only considering the
State's burden to disprove unharmed release as an element of first-degree kidnapping, 103
N.J. at 176, not whether a released victim's psychological or emotional harm would
be sufficient to disprove unharmed release.
Defendant also relies on People v. Schoenfeld,
168 Cal. Rptr. 762, 764-66 (Ct.
App. 1981), in which the defendants kidnapped a school bus full of children
and, after a trip of nearly twelve hours in two crowded vans without
food, water or restroom stops, imprisoned them in a buried furniture van, from
which they managed to escape. The California penal code provided for life imprisonment
without parole for kidnapping if the victim "suffers bodily harm." Id. at 768.
Some of the children suffered "minor cuts and bruises" and "insubstantial transient injuries,"
id. at 766, but the court held that their injuries were not sufficiently
substantial or serious to qualify as bodily harm under the statute. Id. at
770. The court explained that the imposition of the greater penalty when the
victim suffers injuries that are "almost necessarily an incident to every forcible kidnapping"
would not serve the purpose of either penalty-enhancement for "the more heinous crime"
or deterrence. Id. at 769. The court reasoned that if the minor bodily
injury inherent in most kidnappings warranted the more severe penalty, the kidnapper might
be motivated to kill the victim to avoid identification. Ibid.
Although that reasoning is persuasive, it does not justify changing the wording of
N.J.S.A. 2C:13-1c to require the absence of emotional as well as physical harm
to the victim for the kidnapping to be a second-degree offense. See Robinson,
supra, 324 U.S. at 285, 65 S. Ct. at 668, 89 L. Ed.
at 946. In Schoenfeld, the court explained:
[A]ll kidnappings involve some degree of suffering insofar as mental distress or emotional
harm is relatively manifested. If, as the People contend, such evidence alone .
. . is sufficient, then conceptually every forcible restraint would be automatically subject
to the augmented penalty without the essential showing of substantial bodily injury.
[168 Cal. Rptr. at 772.]
Here, however, the statutory test is different. N.J.S.A. 2C:13-1c requires that the victim
be released unharmed, whereas the California penal code required that the victim be
released without bodily harm. As a concurring justice in Schoenfeld stated, "[i]f the
Legislature had intended us to consider emotional distress and psychic damage in determining
whether bodily harm occurred, it could--it can and possibly should--say so. So far,
it has not." 168 Cal. Rptr. at 774. Our Legislature has used the
broader term "unharmed" without any limitation to bodily harm. The court in Nguyen,
supra, 997 P.
2d at 498, noted that the statutory provision interpreted in
Schoenfeld required "bodily harm," whereas the statute it was considering required "risk of
harm."
In summary, we find no error in the trial court's conclusion that "released
unharmed" under N.J.S.A. 2C:13-1c encompasses emotional and psychological harm.
IV.
Defendant also argues that the trial court's interpretation of N.J.S.A. 2C:13-1c to include
emotional harm renders it void for vagueness. We disagree.
"Clear and comprehensible legislation is a fundamental prerequisite of due process of law,
especially where criminal responsibility is involved. . . . Vague laws deprive citizens
of adequate notice of proscribed conduct, and fail to provide officials with guidelines
sufficient to prevent arbitrary and erratic enforcement." State v. Afanador,
134 N.J. 162,
170 (1993). The test for vagueness of a criminal act is whether people
"of common intelligence must necessarily guess at its meaning and differ as to
its application." State v. Mortimer,
135 N.J. 517, 532 (1994) (quoting Connally v.
Gen. Constr. Co.,
269 U.S. 385, 391,
46 S. Ct. 126, 127,
70 L. Ed. 322, 328 (1926)), cert. denied,
513 U.S. 970,
115 S. Ct. 440,
130 L. Ed.2d 351 (1994). Accordingly, one of the "general purposes
of the provisions governing the definition of offenses" is to "give fair warning
of the nature of the conduct proscribed and of the sentences authorized upon
conviction." N.J.S.A. 2C:1-2a(4).
A statute is vague on its face if "there is no conduct that
it proscribes with sufficient certainty." State v. Cameron,
100 N.J. 586, 593 (1985).
A statute is vague as applied if it "does not with sufficient clarity
prohibit the conduct against which it sought to be enforced." Ibid. Defendant contends
that N.J.S.A. 2C:13-1c is void both facially and as applied.
Defendant relies on the dissent of Justice Rutledge in Robinson, supra, 324 U.S.
at 286-93, 65 S. Ct. at 669-72, 89 L. Ed. at 947-51, concluding
that the word "unharmed" was not clear. Justice Rutledge questioned "[h]ow much injury,
and what kind, did Congress have in mind?" 324 U.S. at 288, 65
S. Ct. at 669, 89 L. Ed. at 948. He considered that a
kidnapper might hold the victim until an injury heals, in which case the
kidnapper would be rewarded "for prolonging the agony." Ibid.
Justice Rutledge accepted the petitioner's interpretation to avoid these problems, stating "[i]f the
single and vague word 'unharmed' is construed to mean absence of permanent injury
or grave injury, though not permanent, [the kidnapper] would have the hope, the
inducement that surrender might give escape from the maximum sentence." 324 U.S. at
291, 65 S. Ct. at 671, 89 L. Ed. at 950. According to
Justice Rutledge, any other interpretation would have made the imposition of the death
penalty depend on fortuitous circumstances, or would have induced the kidnapper to kill
the victim. Ibid.
However, the majority in Robinson declined to invalidate the kidnapping statute "on the
ground that there is uncertainty as to the precise meaning and scope of
the word 'unharmed.'" 324 U.S. at 285-86, 65 S. Ct. at 668, 89
L. Ed. at 947. The Court explained that, despite the uncertainties that "lurk"
in most words and phrases, Congress intended to allow the death penalty
under certain circumstances, for kidnappers who harm their victims. And we cannot doubt
that a kidnapper who violently struck the head of his victim with an
iron bar, as evidence showed that this petitioner did, comes within the group
Congress had in mind.
[324 U.S. at 286, 65 S. Ct. at 668-69, 89 L. Ed. at
947.]
We took the same approach in M.L., supra, 253 N.J. Super. at 29-31,
focusing on whether the allegedly vague prohibition covered the defendant's conduct, rather than
possible actions that had not occurred. We held that, regardless of whether other
acts of child neglect were criminal under N.J.S.A. 2C:24-4a, the defendant had left
her fifteen-month-old child home alone for four hours, thereby putting her at risk
and satisfying the definition of "harm" in the statute. Id. at 30-31. See
State v. Roth,
289 N.J. Super. 152, 162-63 (App. Div.) (rejecting a vagueness
challenge to the term "materially harm" in the theft-by-extortion statute, N.J.S.A. 2C:20-5), certif.
denied,
146 N.J. 68 (1996).
The "released unharmed" requirement of N.J.S.A. 2C:13-1c does not proscribe any specific conduct
of the defendant. The same actions constituting kidnapping might harm one victim but
not another. However, the Legislature in its discretion chose to upgrade the offense,
thereby increasing punishment, on the basis of harm to the victim. As the
State points out, it is appropriate to relate the punishment to the degree
of harm that the victim suffers. State v. DiFrisco,
142 N.J. 148, 160-61
(1995), cert. denied,
516 U.S. 1129,
116 S. Ct. 949,
133 L. Ed. 2d 873 (1996).
Here, A.C. suffered severe anxiety, nightmares, and an inability to socialize; she worried
that she would be "captured" again. Like the victim in Robinson supra, who
was struck on the head with an iron bar, 324 U.S. at 286,
65 S. Ct. at 668-69, 89 L. Ed. at 947, and like the
baby in M.L. supra, who was left alone, 253 N.J. Super. at 30-31,
A.C. was also harmed, despite the delayed manifestation of her symptoms. The meaning
of the term "unharmed" in N.J.S.A. 2C:13-1c is sufficiently certain and clear, and
its use "would not send the average citizen scrambling for a dictionary." Afanador,
supra, 134 N.J. at 171.
V.
Defendant contends that the trial court erred in denying his motion to dismiss
the count of the indictment charging him with first-degree kidnapping on the ground
that there was no evidence submitted to the grand jury that defendant had
intended to harm A.C. He also argues that the court erred in denying
his motion to charge the jury that, for a conviction for first degree
kidnapping, the State was required to prove beyond a reasonable doubt that defendant
intended to harm A.C.
Defendant reasons that since the released unharmed provision is a material element of
the offense of first-degree kidnapping, it is thus subject to a culpability requirement.
The State counters that the harm to the victim under N.J.S.A. 2C:13-1c is
not an element of the offense of kidnapping, but pertains only to the
grading of the offense, and thus culpability is not required.
In denying the motion to dismiss the first-degree kidnapping charge, the motion judge
found that the proofs submitted to the grand jury and the instructions given
were "more than sufficient." The judge declined to determine "what mind set the
State must demonstrate in order to secure a conviction," leaving that issue for
the trial judge. We find no error in that conclusion.
As we have noted, following that denial the defendant moved for an order
amending the model jury charge to reflect the released unharmed provisions contained in
N.J.S.A. 2C:13-1c as elements of the offense of first-degree kidnapping. In denying that
motion, the trial court concluded that "the unharmed and safe place" provisions of
the statute were "a grading aspect of the offense" and were not "an
element of the offense."
We conclude that the released unharmed provision of N.J.S.A. 2C:13-1c is an element
of kidnapping, despite its location in a separate subsection entitled "Grading of kidnapping."
An "element of an offense" means, in pertinent part,
(1) such conduct or (2) such attendant circumstances or (3) such a result
of action as
(a) Is included in the description of the forbidden conduct in the definition
of the offense;
* * * *
[N.J.S.A. 2C:1-14h.]
In Federico, supra, 103 N.J. at 174-76, the Court clearly concluded that disproving
unharmed release was an element of the crime of first-degree kidnapping, stating:
With respect to kidnapping, failing to release the victim constitutes forbidden conduct, N.J.S.A.
2C:1-14(h)(1)(a), or represents an attendant circumstance, N.J.S.A. 2C:1-14(h)(2)(a), that elevates the crime to
one of the first degree.
* * * *
In assaying the effect of the trial court's failure to charge the jury
that the State has the burden of proving unharmed release, we recognize that
the failure to charge the jury on an element of an offense is
presumed to be prejudicial error, even in the absence of a request by
defense counsel.
[Emphasis added (citations omitted).]
See also Casilla, supra, 362 N.J. Super. at 567 (kidnapping conviction reversed where
trial court instructed the jury, in accordance with the Model Charge, that the
offense of kidnapping had only two elements). Cf. State v. Smith,
279 N.J.
Super. 131, 138-42 (App. Div. 1995) (the provisions of N.J.S.A. 2C:13-1c(2), upgrading kidnapping
if the victim is under sixteen and the actor commits one of enumerated
offenses during the kidnapping, are elements of the offense which must be submitted
to the jury).
We also conclude that the released-unharmed provision is a "material element" of the
offense of first-degree kidnapping. "'Material element of an offense' means an element that
does not relate exclusively to the statute of limitations, jurisdiction, venue or to
any other matter similarly unconnected with (1) the harm or evil, incident to
the conduct, sought to be prevented by law defining the offense . .
. . " N.J.S.A. 2C:1-14i.
The release of a victim unharmed and in a safe place is connected
to the harm or evil that N.J.S.A. 2C:13-1 seeks to prevent: death or
injury to kidnapping victims. Federico, supra, 103 N.J. at 175; Final Report, supra,
Vol. II at 187.
Therefore, culpability is required for this material element of the offense. Indeed, "material
element" is defined in order to determine whether "the mental state for the
offense must apply." Cannel, New Jersey Criminal Code Annotated, comment 3 on N.J.S.A.
2C:1-14 (2003).
Moreover, "[e]xcept as provided in subsection c.(3) of this section, a person is
not guilty of an offense unless he acted purposely, knowingly, recklessly or negligently,
as the law may require, with respect to each material element of the
offense." N.J.S.A. 2C:2-2a (emphasis added). Therefore, culpability is required in disproving the material
element of unharmed release.
N.J.S.A. 2C:2-2c(3), entitled "Construction of statutes not stating culpability requirement," provides:
Although no culpable mental state is expressly designated in a statute defining an
offense, a culpable mental state may nevertheless be required for the commission of
such offense, or with respect to some or all of the material elements
thereof, if the proscribed conduct necessarily involves such culpable mental state. A statute
defining a crime, unless clearly indicating a legislative intent to impose strict liability,
should be construed as defining a crime with the culpability defined in paragraph
b.(2) of this section [knowingly]. This provision applies to offenses defined both within
and outside of this code.
Here, the released unharmed provision contained in N.J.S.A. 2C:13-1c does not necessarily proscribe
any specific conduct, but it is nevertheless a material element of the offense
as either forbidden conduct or an attendant circumstance under N.J.S.A. 2C:1-14h and -14i.
See Federico, supra, 103 N.J. at 174. Contrary to the State's argument that
defendant desires to rewrite the statute favorably to him, it is reasonable to
impose a culpability requirement because the definitions of the different degrees of culpability
cover attendant circumstances as well as the actor's actual conduct. See N.J.S.A. 2C:2-2b.
We conclude that a culpable state of mind is required in disproving the
released unharmed element of first-degree kidnapping, and the jury must be so instructed.
In interpreting N.J.S.A. 2C:13-1c, we find no basis for imposition of a
strict liability standard as urged by the State. The Legislature may impose strict
liability for crimes, regardless of the defendant's culpability or state of mind, as
it did, for example, in the Comprehensive Drug Reform Act, N.J.S.A. 2C:36-9a, specifying
that the actor is "strictly liable for a death which results" from taking
the controlled dangerous substance that the actor manufactured, distributed or dispensed. State v.
Maldonado,
137 N.J. 536, 547-56 (1994).
However, strict liability is disfavored. See Final Report, supra, Vol. II, comment 9
on N.J.S.A. 2C:2-2, at 47 ("[I]n the absence of minimal culpability, the law
has neither a deterrent nor corrective nor an incapacitative function to perform").
N.J.S.A. 2C:13-1 contains no legislative intent supporting imposition of strict liability for any
element of first-degree kidnapping. Thus, in accordance with N.J.S.A. 2C:2-2a and N.J.S.A. 2C:2-2c(3),
there must be some culpability requirement for the released unharmed element of the
offense of first-degree kidnapping.
Defendant argues that the required state of mind is "purposely," because the actor
must have "the purpose of holding [the victim] for ransom or reward or
as a shield or hostage." N.J.S.A. 2C:13-1a. In support of his position, defendant
cites to N.J.S.A. 2C:2-2c(1), entitled "Prescribed culpability requirement applies to all material elements[,]"
which provides:
When the law defining an offense prescribes the kind of culpability that is
sufficient for the commission of an offense, without distinguishing among the material elements
thereof, such provision shall apply to all of the material elements of the
offense, unless a contrary purpose plainly appears.
However, N.J.S.A. 2C:13-1 distinguishes among the material elements of the offense regarding culpability.
It requires a purpose to hold the victim for ransom, but it is
silent regarding the degree of culpability required for the other elements of the
offense. We conclude that the default mental state of "knowingly" should thus apply,
as prescribed by N.J.S.A. 2C:2-2c(3).
&n