SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
DOCKET NO. A-3201-96T2
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
L. P.,
Defendant-Appellant.
_________________________________________________________________
Submitted January 16, 2001 - Decided March 16, 2001
Before Judges Havey, Wefing and Lefelt.
On appeal from the Superior Court of
New Jersey, Law Division, Mercer
County, Docket No. 95-02-0257.
Espey & Szabo, attorneys for appellant
(Robert A. Obler, of counsel, Mr. Obler
and Helen E. Szabo, on the brief).
John J. Farmer, Jr., Attorney General,
attorney for respondent (Marcy H.
Speiser, Deputy Attorney General, of
counsel and on the brief).
The opinion of the court was delivered by
LEFELT, J.A.D.
A Mercer County jury convicted defendant L.P. of two counts
of first-degree aggravated assault and of endangering a child's
welfare for sexually penetrating his niece, Lucy (a fictitious
name), during two separate time periods when Lucy was less than
thirteen years old and when she was older than thirteen but less
than sixteen. N.J.S.A. 2C:14-2(a); N.J.S.A. 2C:24-4(a). While
defendant's assaults preceded and included the time periods for
which L.P. was indicted and convicted, he was charged solely with
those assaults commencing on the date of his eighteenth birthday.
After merging the endangering convictions into the aggravated
assaults, Judge Sapp-Peterson sentenced defendant to two
consecutive sixteen-year terms of imprisonment.
Defendant appealed, challenging his convictions and
sentence. The most troubling trial error alleged by defendant
relates to the State presenting evidence that defendant sexually
abused Lucy before the two periods charged in the indictment.
After considering this allegation together with all other alleged
points of error, however, we nevertheless affirm.
Defendant's niece, Lucy, was twenty-five years old at the
time of trial. When Lucy was eight years old and defendant was
fifteen or sixteen, in about 1979, she alleged that the assaults
began. They began at her grandmother's house, where her uncle
lived, during a six-month period when she and her family were
temporarily living with her grandmother.
One evening after dinner, Lucy was having a bath when
defendant entered the bathroom and asked if he could wash her
back. She agreed and, after washing her back, defendant touched
her vagina and chest. Lucy was "shooken" and called for her
grandmother, who came into the room. Defendant left the bathroom
but Lucy did not tell her grandmother what defendant had done
because she "was scared" and "really wasn't sure what happened"
to her. Her grandmother was the only other adult in the house at
the time.
The next assault occurred the following weekend. While at
her grandmother's home, Lucy slept in her grandmother's bedroom.
She went to bed at her usual time of 8:00 p.m. Her grandmother
was downstairs watching television. Defendant came into the room
five minutes later, gave her a hug, told her "it was allright,"
and put his hand in her vagina. He licked his hand, and then
climbed on top of her and "raped" her. She begged him to stop
and told him he was hurting her. Defendant responded that he was
going to "pee" inside her, which he did. Then he got up, telling
Lucy that if she told anybody, he would say it was her fault. He
threatened to hurt Lucy, and her mother and father. Lucy did not
tell her grandmother what happened when her grandmother came up
to sleep because she believed defendant's threats.
The next day Lucy found "a lot" of dried blood on her
underwear and legs when she went to the bathroom. Her vaginal
area was "burning," and "hurt" and "felt like it had been torn."
She called down to her grandmother and told her about the blood.
Her grandmother just told her to "put on a pad." Lucy trusted
her grandmother and "thought the world of her." That night, Lucy
told her mother about the blood. Lucy testified that her mother
said the "[s]ame thing my grandmother did, to put on a pad."
(Lucy did not actually begin menstruating until she was
fourteen.)
On another weekend shortly after these incidents, Lucy was
playing in the basement and defendant came downstairs. He laid
her down on a pile of clothes and raped her again. Lucy
testified: "I was screaming, and I was telling him no, and he
just kept going and going. Then he said he was going to pee and
he got up off me and that was it, and he always reminded me that,
remember what [he] said, and then [']you're my girl[']." Lucy
believed that no one else was in the house because she was
screaming and no one came to help her.
After six months, Lucy's family moved to nearby Hamilton.
Lucy's parents would drop off Lucy and one of her brothers at her
grandmother's home for an overnight stay, every Friday and Sunday
when they went bowling. The children also stayed at her
grandmother's home when Lucy's parents went to weddings or other
events of that nature. This arrangement continued until Lucy was
twelve or thirteen when, first, her other grandmother, and then
her other uncle, moved into Lucy's home and took over babysitting
responsibilities.
The assaults occurred every weekend that Lucy was at her
grandmother's house, about fifty times, until she was twelve
years old. Defendant would penetrate her and ejaculate each
time, telling her he was going to "pee" inside her. Most of the
assaults occurred in Lucy's grandmother's room, just after Lucy
went to bed, or in the bathroom. Her grandmother would be in the
kitchen or living room downstairs. On occasion, they could hear
her grandmother coming upstairs, and defendant would get out of
bed and run into the bathroom.
Defendant "was very dirty" and smelled "really bad," like
alcohol or "dirty feet." He had "green teeth" and Lucy would
turn away when he tried to kiss her. He covered her face with
his hand or a pillow if she yelled or screamed during the rapes.
After the rapes, defendant would go into the bathroom.
When Lucy would tell him to stop, defendant told her "to be
quiet." Eventually, Lucy "just let it happen" because she knew
she "couldn't do anything to stop him." She "use[d] to stare off
at whatever was there . . . the closet door or the window, just
trying to . . . make time go by faster." After the assaults,
defendant would tell Lucy that she "was his girl," kiss her on
the head, and "walk out like nothing ever happened." Around the
age of twelve, Lucy stopped sleeping at her grandmother's house.
In August or September 1986, however, when she was fifteen,
Lucy stayed with her grandmother while her family went on a
camping trip. Lucy fell asleep on the couch. Defendant came
home at around 11:00 p.m., smelling of alcohol, and he lay next
to her. Lucy pushed defendant off the couch, but he got up,
unbuttoned her jeans, and raped her. She struggled in the
beginning, but after a while she "just let it happen" because,
she said, "I knew there was nothing I could do to stop him
because I could never stop him before."
Lucy complained about this last incident to her boyfriend at
the time, T.S. She told T.S. "everything that was done to me"
and specifically described the latest incident. T.S. became very
upset and subsequently confronted defendant about the rape.
According to Lucy, defendant assured T.S. that "it would never
happen again." Lucy did not inform the police because she was
still afraid of defendant and "figured [T.S.] took care of it and
everything was going to be fine." She dated T.S. for another
seven months.
When Lucy was sixteen, she told A.M., her best friend at the
time, about the abuse, and that T.S. promised "nothing would ever
happen" to her, but she was unable to rid herself of the
memories. About three months later, when she was seventeen, Lucy
told M.P., her teacher, about the abuse. He told her that she
should call the police and tell her parents, but she "wasn't
ready to deal with all of that." Nonetheless, shortly
thereafter, Lucy told her mother that defendant had raped her and
she "couldn't deal with it alone anymore." Lucy's mother wanted
to confront her grandmother, but Lucy did not want her
grandmother to know because she was afraid of ruining their
relationship. Her mother suggested that Lucy tell her father,
which she did immediately thereafter.
Lucy went away to culinary arts school in Atlantic County.
One night when she was eighteen or nineteen years old and away at
school, Lucy "was having a few drinks" and took a Valium to calm
down because she had become very upset thinking about the abuse.
She called defendant and he remembered what he did to her when
she was younger. Lucy thought that defendant's admission would
put her mind at ease, but it did not.
When she was twenty-one years old, Lucy moved to Trenton,
near her grandmother's home. She often drove by her
grandmother's house and one day saw a little girl at the house.
She became concerned about the little girl and told the girl's
mother, defendant's girlfriend, about her concerns and that she
had been abused. A few days later, Lucy called a number she saw
in a public service announcement about child abuse.
As a result of her call, Lucy received an angry telephone
call from her grandmother. Defendant also called her and he
seemed "angry" and "scared at the same time."
A couple of days later, Lucy went to the Trenton police with
A.M. She told the police that she had been abused when she was
younger, and that she was worried about defendant's girlfriend's
daughter.
Defendant was arrested and in due course came to trial.
After being convicted and sentenced, he appealed to this court.
In his appeal, the defendant raised the following six points for
our consideration:
POINT I TRIAL COUNSEL'S ELICITING EXPERT TESTIMONY
REGARDING THE EXTREME RARITY OF FALSE CHILD
SEXUAL ABUSE ALLEGATIONS, WHOSE OCCURRENCE
WAS LIMITED TO MATRIMONIAL MATTERS AND
FAILURE TO PRODUCE A DEFENSE TO COUNTER THE
STATE'S EXPERT'S TESTIMONY, THE PROSECUTOR'S
TRACKING THE EXPERT'S TESTIMONY WITH FACTUAL
DETAILS OF THE VICTIM'S ACCOUNT AND OTHER
RELATED ERRORS DENIED DEFENDANT THE RIGHT TO
A FAIR TRIAL AND THE EFFECTIVE ASSISTANCE OF
COUNSEL UNDER THE FEDERAL AND STATE
CONSTITUTIONS (partially raised below).
POINT II THE TRIAL COURT'S EXCLUSION OF EVIDENCE OF
THE VICTIM'S PRIOR SEXUAL CONDUCT AND
PRECLUSION OF HER ARREST AND PROBATIONARY
STATUS RESULTING FROM HER EARLIER FALSE CLAIM
OF RAPE BY ANOTHER VIOLATED DEFENDANT'S
FEDERAL AND STATE CONSTITUTIONAL
CONFRONTATION, CROSS EXAMINATION AND FAIR
TRIAL RIGHTS.
POINT III THE STATE IMPROPERLY PRESENTED TESTIMONY BY A
FRESH COMPLAINT WITNESS THAT VOUCHED FOR THE
CREDIBILITY AND THE VERACITY OF THE VICTIM
AND DEFENSE COUNSEL WAS INEFFECTIVE IN
ELICITING TESTIMONY FROM THE STATE'S FRESH
COMPLAINT WITNESS THAT THE VICTIM WAS A
TRUTHFUL PERSON (not raised below).
POINT IV TRIAL COUNSEL WAS INEFFECTIVE IN FAILING TO
PRESENT EXPERT TESTIMONY REGARDING THE EFFECT
OF ALCOHOL AND ANTI-DEPRESSANTS ON THE MEMORY
OF THE VICTIM, THEREBY DENYING DEFENDANT THE
RIGHT TO A FAIR TRIAL AND TO THE EFFECTIVE
ASSISTANCE OF COUNSEL IN VIOLATION OF THE
FEDERAL AND STATE CONSTITUTIONS (not raised
below).
POINT V THE TRIAL COURT IMPROPERLY ADMITTED
PREJUDICIAL OTHER CRIMES EVIDENCE UNDER THE
GUISE OF RES GESTAE TESTIMONY, FAILED TO
CONDUCT THE REQUISITE HEARING AND TO GIVE THE
APPROPRIATE LIMITING INSTRUCTIONS.
POINT VI THE LOWER COURT'S SENTENCE TO CONSECUTIVE
TERMS OF IMPRISONMENT CUMULATING 32 YEARS,
WHICH EXCEEDED THE PRESUMPTIVE TERM AND ITS
REFUSAL TO SENTENCE DEFENDANT TO ONE DEGREE
LOWER WERE NOT IN ACCORDANCE WITH THE
SENTENCING GUIDELINES OF THE CODE.
I.
In our view, the most troublesome issue raised by defendant
is contained in Point V. Defendant complains that the trial
court admitted evidence of defendant's sexual assaults upon Lucy
that were committed before the dates charged in the indictment.
He contends that the acts were too distant in time to comprise
res gestae evidence, and moreover, the evidence was inadmissible
under N.J.R.E. 404(b), as other-crimes evidence. Moreover,
defendant contends that the court's failure to conduct a hearing
to determine admissibility under N.J.R.E. 404(b), and its failure
to provide pertinent limiting instructions were reversible
errors.
Evidence of "other crimes, wrongs, or acts" may not be
introduced "to prove the disposition of a person in order to show
that he acted in conformity therewith. Such evidence may be
admitted for other purposes, such as proof of motive,
opportunity, intent, preparation, plan, knowledge, identity or
absence of mistake or accident when such matters are relevant to
a material issue in dispute." N.J.R.E. 404(b).
Obviously, this type of evidence while probative is also
quite prejudicial, creating difficulties for any jury attempting
to discern its proper use. State v. Stevens,
115 N.J. 289, 309
(1989). Consequently, "trial courts should take pains to
instruct juries carefully and comprehensively" on the limited use
of such evidence "with ample reference to the specific evidence
and issues" present in the case. Ibid. The trial judge
instructed the jury during her final charge in this case as
follows:
Additionally, the Court points out to
you that with respect to Counts 1 and 2 you
have heard testimony as to alleged acts of
sexual assault committed by the defendant,
[L.P.], against [Lucy] prior to the dates
alleged in Counts 1 and 2.
Again, these two counts allege that the
defendant committed acts of aggravated sexual
assault and endangering the welfare of a
child between August 19th, 1982 and February
18th, 1984. You will recall that you have
heard testimony from [Lucy] regarding
incidents of aggravated sexual assault dating
ack to 1979. This testimony was permitted
for the sole purpose of relaying to you the
entire background and circumstances
surrounding the allegations contained in
Counts 1 and 2.
However, in order to find the defendant
guilty of Counts 1 and 2 of the indictment,
you, the jurors, must be convinced beyond a
reasonable doubt that the crimes alleged in
these counts actually occurred during the
time period between August 19th, 1982 and
February 18th, 1984.
Defendant is correct that, even if evidence of defendant's
assault of the victim before his eighteenth birthday constituted
admissible other-crimes evidence, these instructions were
insufficient to direct the jury on the permissible use of that
evidence. At no point was the jury cautioned that it could not
use the testimony concerning the earlier, uncharged assaults to
establish defendant's criminal predisposition. State v. G.S.,
145 N.J. 460, 474 (1996); State v. Stevens, supra, 115 N.J. at
309.
To the contrary, by informing the jury that the testimony
provided "background" for the charges at issue, the court invited
the jury to rely on the uncharged assaults to support the
conclusion of guilt. Thus, the jury instruction was insufficient
to protect defendant's right to a fair trial assuming that
evidence of the earlier assaults constituted admissible other-
crimes evidence.
In contrast to other-crimes evidence, however, res gestae
evidence relates directly to the crime for which a defendant is
being tried, rather than involving a separate crime. State v.
Martini,
131 N.J. 176, 242 (1993), cert. denied,
516 U.S. 875,
116 S. Ct. 203,
133 L. Ed.2d 137 (1995). "[I]ts admission
serves to paint a complete picture of the relevant criminal
transaction." Ibid. Thus, evidence of conduct occurring "during
the same time frame as the crime charged in the indictment will
not be excluded if the evidence establishes the context of the
criminal event, explains the nature of, or presents the full
picture of the crime to the jury." State v. Cherry,
289 N.J.
Super. 503, 522 (App. Div. 1995). Instructing the jury on the
limited uses of other-crimes evidence is unnecessary when
evidence of uncharged conduct is admitted as part of the res
gestae of the crime. State v. Martini, supra, 131 N.J. at 242.
Here, however, the circumstances are unlike typical res
gestae cases. The typical cases generally involve much shorter
time periods, and an identifiable, overriding objective that ties
together disparate conduct. For example, the Court found that
excluding as other-crimes evidence an uncharged theft of the
victim's car during a kidnaping and murder, and threats against
the victim's wife would be "ridiculous." State v. Martini,
supra, 131 N.J. at 240-42. The conduct was "part and parcel" of
the kidnaping. Id. at 240. Although the threats and the theft
occurred some hours after the initial kidnaping, they were
undertaken as part of the defendant's attempt to obtain money
from the victim in exchange for his safe return. Id. at 192-96.
In a prosecution for cocaine distribution, testimony
concerning drug transactions observed by the police within
twenty-five minutes to one hour of the sales for which the
defendant was tried was res gestae evidence. State v. Ortiz,
253 N.J. Super. 239, 244 (App. Div.), certif. denied,
130 N.J. 6
(1992). The evidence involved the same criminal event and served
to explain the context of the case. Ibid. Although the prior
sales may have been to different individuals, they occurred in a
similar location and within a brief time of the sales for which
the defendant was arrested. Ibid.
We also found that the res gestae of a police officer's
murder outside a bar encompassed evidence that earlier the same
day the defendant and others had discussed robbing the bar that
evening. State v. Cherry, supra, 289 N.J. Super. at 521-522.
In this case, not only did all uncharged conduct fall
outside the time frame of the indicted offenses, but also the
earliest assaults about which Lucy testified occurred several
years before the dates included in the indictment. In other
cases involving repeated assaults on the same victim, New Jersey
courts have concluded that testimony about the earlier assaults
constituted other-crimes evidence.
For example, State v. G.S., supra, 145 N.J. at 462-64, also
involved repeated sexual assaults against a young child. The
defendant was indicted for conduct that commenced in the spring
of 1984, when the victim was twelve years old, and continued
until February 1987. State v. G.S.,
278 N.J. Super. 151, 159
(App. Div. 1994), rev'd,
145 N.J. 460, 476 (1996). At trial, the
prosecutor presented evidence that several years earlier, in
1982, the victim had accused the defendant of touching her
genital area inappropriately and making her lie on a bed naked
while he stared at her. State v. G.S., supra, 145 N.J. at 462-
63. She was placed with foster parents, and the defendant was
charged with endangering the welfare of a child, but the charges
were dismissed after he entered a pretrial intervention program.
Id. at 463. The victim's mother disbelieved her, and she later
recanted and was returned to her home. Ibid. Six months later,
in 1983, the molestation resumed and continued until 1987 on an
escalated basis that included regular acts of intercourse. Id.
at 463. We concluded that the earlier molestations constituted
other-crimes evidence, and the Supreme Court impliedly agreed.
Id. at 469.
In State v. Bragg,
295 N.J. Super. 459, 467-69 (App. Div.
1996), defendant was charged with kidnaping and assaulting his
former girlfriend. The indictment charged defendant with
offenses that occurred on June 27 and 28, 1993. Id. at 462. At
trial, however, the victim testified "in graphic detail"
concerning "numerous prior occasions" during which the defendant
had committed acts of physical violence against her. Id. at 462-
63. We reversed because the evidence was inadmissible as "proof
of plan," one of the purposes listed in the trial court's
instruction, and the jury instruction on the use of this other-
crimes evidence was inadequate. Id. at 468.
The circumstances of Bragg and G.S. are distinguishable from
the current case, however. Each involved evidence that described
other crimes, rather than other acts pertaining to the crime for
which those defendants were charged. More significantly, in both
cases there was a definite break between the conduct described in
the other-crimes evidence and that for which the defendant was
charged.
In G.S., the molestations stopped during the period when the
victim was removed from her home and authorities became involved.
In Bragg, the two-day kidnaping and the assaults that occurred
during that period were distinct from the previous beatings to
which the victim testified. In both G.S. and Bragg, the evidence
of previous assaults more closely fell into the other-crimes
category than res gestae evidence of the crime for which
defendant was being tried.
In this case, no easy delineation can be made between any of
the assaults. Once begun, the conduct continued against the same
victim in the same manner until February 1984 when it ceased to
occur on a regular basis, resuming only in 1986 or 1987. The
assaults that occurred years before the dates in the indictment
related a continuing course of conduct against the same victim as
she grew older.
Other courts have recognized that the nature of child abuse
prosecutions makes it difficult in some cases to extricate
evidence of other uncharged conduct from testimony about abuse.
State v. Black,
757 So.2d 887, 891 (La. Ct. App. 2000) (evidence
of other acts of sexual abuse committed upon eleven-year-old
child "were so inextricably included in the victim's testimony
and first report that they could not reasonably have been
excluded"); State v. Myrick,
531 S.E.2d 766, 768 (Ga. Ct. App.
2000) (medical evidence of sexual intercourse in prosecution for
child molestation was properly admitted as res gestae evidence
because it formed "a continuous course of conduct that's so
interrelated with the other activity, it would be difficult to
separate").
There are several reasons why we have concluded that the
evidence of the prior assaults must be considered res gestae in
this case. If the prior instances of abuse were excluded, Lucy
would have been required to recall that a specific assault
occurred after defendant's eighteenth birthday, or on a
particular day that fell after that event, such as her own
twelfth birthday. Young children often "do not think in terms
of dates or time spans." In re K.A.W.,
104 N.J. 112, 118 (1986).
Given the regularity and frequency with which the assaults
occurred, it would have been highly improbable to expect the
victim to differentiate the details of the thirtieth rape from
the fortieth.
In addition, unlike the circumstances of G.S., here the
young victim's experience began with the most traumatic rape, and
continued in the same manner. Under those circumstances, it is
reasonable to expect that her clearest memories of a particular
instance of abuse involved the initial assaults, and that she
would grow increasingly less able to differentiate and recall
specifics as the same traumatic events were repeated numerous
times.
Most significantly, the testimony about the earliest attacks
was critical to the jury's understanding of the facts and context
of the crime. The jury was entitled to the whole picture in
order to understand her inability to disclose the assaults at an
earlier age, especially because defendant was not an authority
figure in her life. Defendant had little or no coercive
authority over the victim.
But, because the victim was able to explain she was only
eight years old when the assaults started, and that her first
complaints were met with the callous instruction "to wear a pad,"
the jury was better able to understand the victim's helplessness
and inability to report the assaults as the years passed. A jury
unaware of the history reasonably could conclude that a twelve-
or thirteen-year-old girl would have understood the nature and
impropriety of defendant's conduct and be expected either to have
forcefully resisted him or to have approached another adult soon
after the first attacks. The earlier evidence was essential to
explain the victim's sense of extreme helplessness in the face of
defendant's repeated assaults. In essence, the assaults
constituted a continuous unbroken chain of events that would be
most difficult and unnatural to separate.
In addition, the testimony also permitted the jury to
understand that the abuse commenced during a period when
defendant's access to the victim was enhanced by the fact that
she was living in his house. By the time she became a visitor,
which necessarily restricted defendant's opportunities and
increased the likelihood of adult interference, the modus
operandi had been established and the victim's feelings of
helplessness engendered, making the crimes easier to accomplish.
Thus, although the testimony was atypical res gestae
evidence, it was essential in this case to explain the context of
the crime and the victim's failure to complain until years after
the assaults of 1982 to 1984. Furthermore, this evidence was
presented quite differently from most "other-crimes" situations.
Here, Lucy testified specifically about the first three
incidents of abuse when she was eight-years old. She then
generally indicated that similar abuse continued until she was
twelve. She explained, for example, that "[a]bout 50" other
incidents occurred. She testified that "it . . . happened in the
attic, it happened in the basement, it happened in my
grandmother's room. It happened in the bathroom a lot of times.
. . . He would penetrate me, and he would ejaculate every time.
. . . [I]t happened when I was either getting a bath or it would
happen after I went to bed." Then, Lucy testified specifically
about the last incident when she was fifteen-years old. The
evidence was thus presented as a continuous series of events that
the defendant forced Lucy to endure.
Given the manner in which this proof was presented, we agree
with the prosecutor who said "that this jury [was] going to . . .
either believe that it happened during this entire period or it
didn't happen at all." The testimony about the earlier abuse did
not unjustly prejudice the time period for which defendant was
indicted, because the evidence was presented as a seamless series
of acts. Accordingly, we conclude that the trial judge did not
err when she admitted this evidence as res gestae rather than
other-crimes evidence.
[The remaining sections of this opinion have been redacted
for publication purposes. See R. 1:3-3.]