Plaintiff-Respondent,
v.
FRANCIS R. VALENTINE, JR.,
Defendant-Appellant.
__________________________________________________
Submitted December 8, 2004 - Decided January 14, 2005
Before Judges Fall, Payne and C.S. Fisher.
On appeal from Superior Court of New Jersey, Law Division, Middlesex County, Municipal
Appeal No. 34-2003.
Thomas J. Buck, attorney for appellant.
Bruce J. Kaplan, Middlesex County Prose-cutor, attorney for respondent (Simon Louis Rosenbach, Assistant
Prosecutor, of counsel and on the brief).
The opinion of the court was delivered by
FISHER, J.A.D.
Defendant seeks reversal of his conviction of simple assault because the private attorney
who prosecuted the case in municipal court failed to file a certification, required
by R. 7:8-7(b), that would address the concerns expressed in State v. Storm,
141 N.J. 245 (1995), thus precluding the municipal judge from determining whether there
was "good cause" for the private prosecution. We reject the State's argument that
defendant's failure to show he was prejudiced may excuse this structural defect in
the municipal proceedings, and reverse.
II. THE CONVICTION VIOLATES THE HOLDING OF [STATE v. STORM] WHICH STRICTLY LIMITS
THE APPEARANCES OF PRIVATE PROSECUTORS IN THIS STATE.
For a municipal court to provide an effective forum, both the complainant and
the defendant must trust the impartiality of the proceedings. To earn that trust,
the prosecutor, like the judge, must be impartial. Inevitably, private prosecutions undermine confidence
in the integrity of the proceedings.
[Storm, supra, 141 N.J. at 254 (emphasis added).]
The Storm decision was followed by the Court's creation, through its rule-making authority,
of a process by which the propriety of private prosecutions could be assessed.
In adopting R. 7:8-7(b), the Court lodged the obligation to insure the impartiality
of private prosecutions, in the first instance, with municipal judges. That is, the
rule indicates that the municipal court "may permit a private prosecutor to represent
the government," but the manner in which that decision may be made is
circumscribed:
A prosecutor may, however, be so permitted only if the court has first
reviewed the attorney certification submitted on a form prescribed by the Administrative Director
of the Courts, ruled on the contents of the certification, and granted the
attorney's motion to act as private prosecutor for good cause shown. The finding
of good cause shall be made on the record.
[R. 7:8-7(b) (emphasis added).]
Here, the parties concede that an attorney certification was never submitted.
See footnote 2
Accordingly, the
municipal judge was unable to perform the gate-keeping function required by Storm and
R. 7:8-7(b). In light of the acknowledged failure of the private prosecutor to
commence this process, and in light of the municipal judge's failure to insure
its commencement, we conclude that the plain meaning of R. 7:8-7(b) requires that
the conviction cannot stand.
To avoid this result, the State argues that a failure to comply with
R. 7:8-7(b) "need not be fatal," and that, when there has been no
objection or prejudice, citing State v. Walsh,
360 N.J. Super. 208, 212 (App.
Div. 2003), the failure to comply may be overlooked. We would also observe
that in the period following Storm, but before adoption of R. 7:8-7(b), we
held that the lack of a "showing of any prejudice to defendant from
the failure to follow the letter of Storm," permitted a finding that the
failure to comply was harmless. State v. Lazarchick,
314 N.J. Super. 500, 514
(App. Div.), certif. denied,
157 N.J. 546 (1998). Since Walsh contains only dicta
in this regard,
See footnote 3
and since we view Lazarchick's holding as limited to matters
that preceded the adoption of R. 7:8-7(b), we find no persuasive support for
the harmless error approach adopted by the Law Division judge, and we reject
the State's invitation to adopt the same or similar approach to municipal prosecutions
occurring after the Supreme Court's adoption of R. 7:8-7(b).
A plain reading of R. 7:8-7(b) does not permit an interpretation that its
application is discretionary. The rule does not state that a private prosecutor "may"
submit such a certification or that the municipal judge "may" review it. Instead,
the rule states that a private attorney may be permitted to prosecute the
matter "only if" the court has reviewed the certification, ruled on its contents,
and granted the motion "for good cause shown." Whether defendant has objected to,
or will be prejudiced by, the private prosecution may be matters that the
municipal judge may weigh in determining whether to grant or deny the request.
But the fact that the municipal judge may have discretion in passing on
the merits of the application does not mean, and the rule does not
so intimate, that the procedure itself is discretionary.
We emphasize our Supreme Court's holding that a private prosecution "inevitably" calls into
question the public's confidence in the impartiality and integrity of municipal prosecutions. Storm,
supra, 141 N.J. at 254. Accordingly, a private prosecutor's failure to comply with
R. 7:8-7(b), that has the effect of precluding the municipal judge's assessment of
Storm's concerns, creates a structural rift in the framework of the entire judicial
process that cannot be viewed as harmless. State v. Cuccio,
350 N.J. Super. 248, 261 (App. Div.), certif. denied,
174 N.J. 43 (2002). Such a fundamental
defect cannot be excused merely because the accused has suffered no ostensible prejudice
nor may it be waived because the accused has not objected. See, e.g.,
State v. Brown,
362 N.J. Super. 180, 189 (App. Div. 2003) (readback of
testimony in the absence of defendant contrary to R. 3:16(b) required reversal absent
a showing of prejudice); State v. Cuccio, supra, 350 N.J. Super. at 261-65
(barring public from the courtroom during jury selection without compelling justification constituted a
violation of defendant's right to public trial mandating reversal).
The absence of the procedures required by R. 7:8-7(b) creates a defect that
strikes at the heart of the integrity of what the Court has described
as "the people's court." Storm, supra, 141 N.J. at 254. The rule concerns
itself with far more than the fairness of one particular adjudication of guilt.
It was created to guarantee the actual and perceived impartiality of the system
that produced that adjudication. That was the basis for the Court's decision in
Storm, and it is the basis for our determination that the alleged lack
of prejudice to defendant in this case is irrelevant and cannot excuse the
private prosecutor's failure to comply, or the municipal judge's failure to compel compliance,
with R. 7:8-7(b).
Reversed. Should there be an attempt to further prosecute defendant on these charges,
there must first be compliance with the proceedings required by R. 7:8-7(b).
Footnote: 1
The State concedes this point in its appeal brief: "Under R. 7:8-7(b), a
private prosecution is permitted only after counsel submits the certification on a prescribed
form, the municipal court grants the application for good cause shown, and the
municipal court places the reasons supporting its finding of good cause on the
record. None of these things happened in this case."
Footnote: 2
The form prescribed by the Administrative Director of the Courts requires that the
attorney, among other things, certify (1) that there is no actual conflict of
interest arising from representation of the complaining witness (or, if there is, to
explain it), (2) that the municipal prosecutor has elected not to conduct the
prosecution, (3) whether defendant is expected to be represented by counsel, (4) that
"[t]here is no civil litigation, existing or anticipated, between the complaining witness and
the defendant concerning the same or similar facts as are contained in the
complaint," (5) that the complaining witness has been informed, in the event of
civil litigation, that neither the certifying attorney nor any firm member will undertake
the complaining witness's representation in that matter, and (6) that there are "no
other facts that could reasonably affect the impartiality of the private prosecutor and
the fairness of the proceedings or otherwise create an appearance of impropriety."
Footnote: 3
While it is stated in Walsh that the failure to comply with R.
7:8-7(b) might not be "controlling where there was no objection or no prejudice,"
we went on to reverse the conviction on its merits. Accordingly, the comments
in Walsh relied upon by the State are dicta. See also State v.
Ishaque,
312 N.J. Super. 207, 209 (Law Div. 1997), where the Law Division
judge observed that the proceedings required by R. 7:8-7(b) were not followed in
the municipal court but declined to consider that failure's impact because the issue
was not raised in the appeal to the Law Division.