SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-4084-98T4
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
BRIAN A. WORTHY,
Defendant-Appellant.
Submitted February 14, 2000 - Decided March
8, 2000
Before Judges Havey, Keefe and A.A.
Rodríguez.
On appeal from Superior Court of New Jersey,
Law Division, Ocean County.
Ivelisse Torres, Public Defender of New
Jersey, attorney for appellant (Robert L.
Sloan, Assistant Deputy Public Defender, of
counsel and on the brief).
John J. Farmer, Jr., Attorney General of New
Jersey, attorney for respondent (Teresa A.
Blair, Deputy Attorney General, of counsel
and on the brief).
The opinion of the court was delivered by
HAVEY, P.J.A.D.
Defendant was convicted by a jury of third-degree criminal
restraint pursuant to N.J.S.A. 2C:13-2, which provides in
pertinent part that "[a] person commits a crime of the third
degree if he knowingly: a. Restrains another unlawfully in
circumstances exposing the other to risk of serious bodily injury
. . . ." We agree with defendant that the jury instruction given
here did not make clear that the requisite mental state of
"knowledge" applies to all material elements of the offense,
including the risk of serious bodily injury to the victim. We
therefore reverse and remand for further proceedings.See footnote 11
The State presented evidence that sixteen-year old K.B., the
alleged victim, had been defendant's friend since her childhood.
During their long friendship, they communicated daily. They
"went for rides" and defendant often took K.B. shopping.
On November 28, 1996, at approximately 11:30 p.m., K.B. and
her friend, Wakeen Conover, walked towards Conover's vehicle,
which was parked in front of K.B.'s sister's house on James
Street in Lakewood. K.B. got into the passenger seat of the
vehicle. When defendant suddenly appeared and got into the
driver's seat, Conover ran back into the house. K.B. testified
that she attempted to jump out of the vehicle, but was restrained
by defendant. Defendant then drove the vehicle away at
approximately thirty-five to forty miles per hour while K.B.'s
feet were scraping along the street.
K.B.'s brother chased defendant in his own vehicle.
According to Brown, during the chase his vehicle reached a speed
of up to fifty-five miles per hour. He testified that
defendant's vehicle made a "sharp" turn "all the way in the other
lane" before coming to a stop.
According to K.B., during the chase she asked to be returned
to her sister's home. Defendant responded that he would do so
once her brother-in-law, who was also following them, stopped the
chase. K.B. testified that defendant proceeded throughout the
neighborhood at approximately twenty-five to thirty miles per
hour for approximately thirty minutes. Defendant was "calm" and
"under control" and insisted that he intended to return K.B. to
her sister's home.
Eventually, defendant stopped the vehicle one block behind
K.B.'s sister's home. Defendant and K.B. then walked around the
neighborhood with defendant holding K.B.'s hand. Her attempts to
run away were unsuccessful. They returned to the vehicle, drove
by K.B.'s sister's home and noticed that police officers were
present. Defendant then parked one block from K.B.'s sister's
house and walked away.
K.B. acknowledged that she was testifying because her
parents threatened that if she did not, a warrant would be issued
for her arrest. She admitted that on the day of the episode she
had been with defendant earlier and that defendant had paged her
on her beeper. She also acknowledged that after the episode she
explained to the police and the prosecutor's office that
defendant had not threatened her or forced her "to do anything"
while they were in the vehicle.
Defendant testified that on the day of the incident K.B.
attempted to page him. She later called him and gave him
directions to her sister's house. When defendant arrived at the
house, he got into Conover's vehicle with K.B. The vehicle was
running and in gear and began to "buck just like a horse" while
his left leg was still outside the vehicle. He asked K.B. to get
into the car and close the door for her safety. During the
"bucking," the vehicle did not exceed seven miles per hour.
While driving through the neighborhood, a relative of
defendant told him that the police were looking for him. When he
proceeded toward K.B.'s sister's house, K.B. told him not to
stop. He therefore parked the vehicle one block from the house,
walked away and presented himself to the Lakewood Police
Department.
The trial court instructed the jury as follows:
Now, Mr. Worthy is accused of violating
a statute which reads in pertinent part as
follows:
A person is guilty of criminal restraint
if he knowingly restrains another unlawfully
in circumstances exposing the other to the
risk of serious bodily injury.
In order for you to find Mr. Worthy
guilty of this offense, the State must prove
the essential elements of the offense beyond
a reasonable doubt, and those essential
elements are as follows:
One, the State must prove that Brian
Worthy knowingly restrained [K.B.];
And, two, that the restraint was known
by Brian Worthy to be unlawful;
And, three, the restraint was under
circumstances exposing [K.B.] to the risk of
serious bodily injury.
Now, I've used the terms restraint,
knowingly, unlawfully, and serious bodily
injury.
After defining "knowingly," the court summarized as follows:
[T]he State must prove the following elements
beyond a reasonable doubt:
One, that Mr. Worthy knowingly
restrained [K.B.].
Restraint means to confine, limit, or
restrict one's liberty;
Two, that the restraint was known by
Mr. Worthy to be unlawful. The term unlawful
means it was accomplished by restraint, by
force, threat, or deception;
And, three, that the restraint was under
circumstances exposing [K.B.] to the risk of
serious bodily injury.
[Emphasis added.]
At the close of the instruction, defense counsel took issue
with the trial court's failure to make clear that the requisite
mental state of knowledge applied to all three elements. He
argued:
When you were discussing the element of
criminal restraint, you read a charge saying
that he has to knowingly restrain, that the
restraint was known to be unlawful, and then
you talked about whether the restraint was
under circumstances that exposed [K.B.] to
the risk of serious bodily injury.
It appeared to me that _ _ that the
circumstances exposed . . . [K.B.] to serious
bodily injury wasn't contained in there. It
sounded as though knowledge is only required
on two of the three elements, and I think
you've got to show that he knowingly did all
three.
The court responded:
I don't think that it requires that he
knowingly exposed her to serious bodily
injury, only that he acted knowingly with
respect to the restraint, exposing her to
serious bodily injury.
I listened to your summation, but I
don't find necessarily that I have to
affirmatively charge that he knew he was
exposing her to serious bodily injury, only
whether he acted unlawfully and restrained
her under circumstances. So I have modeled
my instructions around the model jury charge
and I believe that would encompass what I
think the jury should be charged.
During deliberations the jury asked for a recharge on the
three elements of criminal restraint. The jury also asked for a
recharge on the definition of false imprisonment, N.J.S.A. 2C:13
3, which had been charged as a lesser-included offense. The
court repeated the elements of criminal restraint as previously
given. Defense counsel repeated his objection, arguing that it
was his view that the model jury charge followed by the trial
court did not make clear that the mental state of "knowledge"
applied to all elements of the offense. The court noted the
objection and overruled it.
We agree with defendant that the jury instruction was
erroneous and a reversal is required. As noted earlier, the
criminal restraint statute provides that "[a] person commits a
crime of the third degree if he knowingly: a. Restrains another
unlawfully in circumstances exposing the other to risk of serious
bodily injury . . . ." (Emphasis added). Because "knowingly" is
part of the introductory sentence of the statute, the Legislature
no doubt intended that the "knowing" mental state applies to each
of the elements in subparagraph a; that is, he knowingly
restrains, he knows the restraint is unlawful, and knows that the
restraint is under circumstances exposing the victim to serious
bodily injury.
The Legislature's intent is also clear from the legislative
history of the statute. According to the Model Penal Code, after
which our criminal restraint statute is modeled, criminal
restraint was intended to provide an "intermediate offense
between kidnapping and false imprisonment." Model Penal Code
§ 212.2 comment 2 (Official Draft and Revised Comments 1980).
The offense is distinguished from kidnapping "either by the lack
of substantial removal or confinement, as required for the
greater offense, or by the absence of any of the specified
kidnapping purposes." Ibid. It is distinguished from false
imprisonment in that criminal restraint requires that the
unlawful restraint occur under circumstances creating a risk of
serious harm. Ibid. See also II New Jersey Penal Code § 2C:13-2
comment 1 (Final Report of the New Jersey Criminal Law Revision
Comm'n 1971); State v. Brent,
137 N.J. 107, 121 (1994). The
Model Penal Code's formulation is intended to punish "one who is
aware of the risk" involved. Model Penal Code, supra, at § 212.2
comment 2 (emphasis added). Consequently, "[s]ection 212.2
requires proof that the accused acted knowingly. Thus [the
actor] must have been aware that he was restraining his victim,
that the restraint was unlawful, and that it exposed the victim
to physical danger." Ibid. (emphasis added). See also Key v.
State,
463 A.2d 633, 641 (Del. 1983) (Criminal restraint
"requires the defendant to have acted knowingly, and he must do
so with respect to all elements of the offense.").
Further, any ambiguity as to whether "knowingly" was
intended to apply to each element of the offense is clarified by
reference to other provisions of the Criminal Code. N.J.S.A.
2C:2-2a provides that "[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." (Emphasis added).
In addition, N.J.S.A. 2C:2-2c(1) provides that "[w]hen 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 the material elements of the
offense, unless a contrary purpose plainly appears." (Emphasis
added). Subparagraph 2c(1) was intended to "assist in
resolution" of precisely the type of ambiguity we have here,
namely "the statement of a particular culpability requirement in
the definition of an offense in such a way that it is unclear
whether the requirement applies to all the elements of the
offense or only to the element that is immediately introduced."
II New Jersey Penal Code, supra, at § 2C:2-2 comment 7. Thus,
[t]he Code proceeds in the view that if a
particular kind of culpability has been
articulated at all by the Legislature, as
sufficient with respect to any element of the
offense, the normal probability is that it
was designed to apply to all material
elements. Hence this construction is
required, unless a "contrary purpose plainly
appears." When a distinction is intended, as
it often is, proper drafting ought to make it
clear.
[Ibid. ]
See also Cannel, New Jersey Criminal Code Annotated, comment 7 on
N.J.S.A. 2C:2-2 (2000). This approach is consistent with the
established rule of construction providing that courts are
"enjoined to construe penal statutes strictly and to construe
ambiguous language against the State." State v. Galloway,
133 N.J. 631, 658-59 (1993). We therefore hold that a jury
instruction on criminal restraint must make clear that the mental
state of knowledge applies to all material elements of the
offense, including the risk of serious bodily injury to the
victim.
The State argues that, when the jury charge is read as a
whole,
there is no question that the jurors were
aware that "knowingly" applied to all three
elements of the offense. While the culpable
state of mind of "knowingly" was not
explicitly stated with the third element
regarding defendant's exposing the victim to
the risk of serious bodily injury, it is
evident from the charge as a whole that it
was intended to apply to all three elements.
We disagree.
"An essential ingredient of a fair trial is that a jury
receive adequate and understandable instructions." State v.
Afanador,
151 N.J. 41, 54 (1997); State v. Martini (Martini I),
131 N.J. 176, 271 (1993). As the Court stated in State v.
Martin,
119 N.J. 2, 15 (1990), "A charge is a road map to guide
the jury, and without an appropriate charge a jury can take a
wrong turn in its deliberations." Therefore, because the need
for accuracy is critical, "erroneous instructions on material
points are presumed to be reversible error," ibid., and are
ordinarily considered "poor candidates for rehabilitation under
the harmless error philosophy." State v. Simon,
79 N.J. 191, 206
(1979). See also State v. Clausell,
121 N.J. 298, 317 (1990)
(holding that it was reversible error where trial court, on a
charge of aggravated assault, N.J.S.A. 2C:12-1b(4), defined
"knowing" conduct but "suggested that defendant had to know
merely that he was pointing a gun, not that he had to know he was
pointing it at or towards a person").
Here, it is significant that during the jury charge the
trial court separated the three elements of criminal restraint,
stating on two occasions that the State must prove that: (1)
defendant "knowingly" restrained the victim; (2) the restraint
was "known" by defendant to be unlawful; and (3) the restraint
was under circumstances exposing the victim to serious bodily
injury. The emphasis on the mental state of "knowing" as to the
first two elements and not the third had the clear capacity to
persuade the jury that the defendant need not have knowingly
exposed K.B. to the risk of serious bodily injury. The risk of
confusion is underscored by the fact that the jury, during
deliberations, requested a read-back of the elements of the
offense.
With a proper instruction the jury could well have found
that defendant's conduct constituted a knowing and unlawful
restraint, but that he had not knowingly exposed the victim to
the risk of serious bodily injury. "A person acts knowingly with
respect to a result of his conduct if he is aware that it is
practically certain that his conduct will cause such a result."
N.J.S.A. 2C:2-2b(2). Defendant testified that when he entered
the vehicle it was already in gear. It began to "buck just like
a horse" while his left leg was still outside the vehicle. He
then asked K.B. to "[s]hut the door. You're going to hurt
yourself[,]" suggesting concern for her safety because of the
erratic nature of the vehicle's movement. According to
defendant, at the time the vehicle was "buck[ing]" he was
proceeding at approximately six to seven miles per hour and
during the ensuing drive he was proceeding at approximately
twenty miles per hour before he dropped off K.B. K.B. testified
that attempted to explain to the police that defendant had not
threatened her or forced her "to do anything." On these facts,
the jury may have concluded defendant was not aware that it "was
practically certain" that his conduct exposed K.B. to the risk of
serious bodily injury.
Reversed and remanded for a new trial.
Footnote: 1 1The court granted the State's motion to sentence defendant
to an extended term pursuant to N.J.S.A. 2C:43-7 and N.J.S.A.
2C:44-3, and sentenced defendant to a term of eight years, with a
three-year period of parole ineligibility. Because we reverse
the convictions, we do not address the sentencing issues raised
by defendant.