SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
DOCKET NO.
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
LORENZO HOLDEN,
Defendant-Appellant.
________________________________________________________________
Argued October 28, 2003 - Decided December 9, 2003
Before Judges Stern, A.A. Rodríguez
and Lefelt.
On appeal from the Superior Court of
New Jersey, Law Division, Essex
County, Indictment No. 01-03-1103.
Linda Mehling, Assistant Public
Defendant, argued the cause for
appellant (Yvonne Smith Segars,
Public Defender, attorney; Ms.
Mehling, of counsel and on the brief).
Kenneth P. Ply, Special Deputy
Attorney General, argued the cause
for respondent (Donald C. Campolo,
Acting Essex County Prosecutor,
attorney; Mr. Ply, of counsel and
on the brief).
The opinion of the court was delivered by
LEFELT, J.A.D.
Defendant Lorenzo Holden is serving two concurrent eight-year prison terms, with four years
of parole ineligibility, for possession with intent to distribute cocaine and possession of
a gun while committing a drug offense enumerated in N.J.S.A. 2C:39-4.1. The State
appealed, claiming that the trial judge's concurrent sentences violated the mandatory consecutive sentence
provision of N.J.S.A. 2C:39-4.1. Defendant cross-appealed, raising three points, arguing that the trial
court committed plain error by instructing the jury it could convict defendant of
N.J.S.A. 2C:39-4.1 if he possessed a firearm while merely possessing cocaine, which is
not one of the offenses enumerated in the statute; the prosecutor's impeachment of
a defense witness with pre-trial silence violated defendant's right to a fair trial;
and the non-merger and consecutive-sentence provisions of N.J.S.A. 2C:39-4.1 violate the State Constitution.
See footnote 1
We reject defendant's argument regarding the prosecutor's impeachment of a defense witness, but
find merit in defendant's argument that his
N.J.S.A. 2C:39-4.1 conviction and sentence must
be reversed because of the judge's jury instructions. Consequently, defendant's constitutional issue and
the related sentencing issue raised by the State in its appeal are moot.
I.
Because the issues pressed on appeal pertain to testimony by one of defendant's
witnesses and the judge's charge and sentence, we need not recount in any
detail the facts leading to defendant's arrest and prosecution. It is sufficient to
summarize that the charges brought against defendant were developed by Newark police officers
who did "a walk through" a three-story multi-family apartment building searching for "any
ongoing narcotic activity." The officers claimed to have seen defendant in possession of
cocaine in sufficient quantities to warrant an inference of distribution. Upon his arrest,
defendant was searched and, according to the police, they discovered in his pants
$120 and a .38 revolver with five bullets, three of which were hollow
points.
According to defendant and his three witnesses, he possessed neither drugs nor a
weapon. Defendant testified the officers never told him at the scene why he
was being arrested and arrested him for no reason whatsoever. He learned he
was being charged with possession of a handgun at police headquarters, when an
officer displayed a gun and said it belonged to defendant. Defendant offered no
explanation of why the officers might frame him.
At trial, the State asked the following series of questions, without objection, of
defendant's seventeen-year-old witness who had corroborated defendant's testimony about the unjustified arrest:
Q: After this happened did you contact anybody?
A: No, I did not.
Q: Did you complain to anybody?
A: No, I did not.
Q: You didn't contact the Newark police
department?
A: No, I did not.
Q: Did you contact internal affairs?
A: No, I did not.
Q: Did you contact your office?
A: No, I did not.
Q: And the police let you go?
A: Yes.
Q: But the police arrested Mr. Holden?
A: Yes.
The prosecutor never mentioned this testimony in his summation. The defense attorney never
mentioned this testimony in her summation either, and did not seek to rehabilitate
the witness during re-direct.
During the judge's charge to the jury on N.J.S.A. 2C:39-4.1, he explained that
the State must first prove that defendant possessed the firearm. Second, the judge
told the jury the State had to prove "beyond a reasonable doubt that
the defendant was engaged in the violation of certain drug laws and in
this case the drug law[s] that they charge is the possession of controlled
dangerous substance, possession with intent to distribute the controlled dangerous substance." Immediately thereafter,
the judge indicated that to establish these violations, "the State must prove beyond
a reasonable doubt the exact same elements that I previously outlined for you
with regards to count 1 [which was possession of a controlled dangerous substance]
and 2 [which was possession with intent to distribute a controlled dangerous substance]
of the indictment." The judge also told the jury that "the State need
only prove beyond a reasonable doubt that the defendant violated one of the
laws in question, not both." The judge made clear that the jury could
convict the defendant if the State proved that defendant "possessed the handgun and
that while he possessed it he was in the process of violating one
of the 2 referred to laws -- drug laws -- possession and possession
with intent."
The jury convicted defendant of third-degree possession of cocaine, N.J.S.A. 2C:35-10(a)(1); third-degree possession
of cocaine with intent to distribute, N.J.S.A. 2C:35-5; third-degree possession of a handgun
without a permit, N.J.S.A. 2C:39-5(b); second-degree possession of a firearm while committing a
designated drug offense, N.J.S.A. 2C:39-4.1; and fourth-degree possession of hollow-point bullets, N.J.S.A. 2C:39-3(f).
After receiving the jury's verdict, defendant also pled guilty to second-degree possession of
a firearm by a convicted felon, N.J.S.A. 2C:39-7(b).
At sentencing, the trial judge merged the convictions for possessing cocaine, possessing a
handgun without a permit, and possessing hollow point bullets into the convictions for
possession of cocaine with intent to distribute and possession of a firearm while
committing a designated drug offense. The judge granted the State's motion for an
extended term and then sentenced defendant to an extended term of eight years
with four years of parole ineligibility for the third-degree possession of cocaine with
intent to distribute conviction and a regular term of eight years with four
years of parole ineligibility for the second-degree possession of a firearm while committing
a designated drug offense conviction, to be served concurrently. For possessing a firearm
by a convicted felon, the judge sentenced defendant to imprisonment for another concurrent
eight years.
After the judge imposed the three concurrent eight-year terms, the prosecutor pointed out
that N.J.S.A. 2C:39-4.1(d) requires the imposition of a mandatory consecutive term. The trial
judge responded: "I'm running it concurrent. If you don't like it, you take
an appeal."
II.
We first address defendant's argument that it was plain error for the trial
court to allow the prosecutor to utilize pre-trial silence to impeach a defense
witness's testimony. As indicated above, after defendant's seventeen-year-old witness testified that he had
observed the police arrest defendant for no reason at all, the prosecutor questioned
why the witness had not come forward with this information before defendant's trial.
Our Supreme Court, in the context of an alibi witness, has recognized "situations
. . . where the natural response of a person in possession of
exculpatory information would be to come forward in order to avoid a mistaken
prosecution of a relative or a friend." State v. Silva,
131 N.J. 438,
446 (1993) (permitting cross-examination of defendant's sister for failing to come forward with
alibi information for some five months after defendant was arrested). If such a
witness fails to come forward, "when it would have been natural to do
so," doubt would be cast on the truth of the witness's trial testimony.
Ibid. "A witness's silence in such circumstances is akin to a witness's 'prior
inconsistent statement,' and, therefore, has probative value." Ibid. (quoting Commonwealth v. Brown,
416 N.E.2d 218, 224 (Mass. 1981)); N.J.R.E. 20; N.J.R.E. 22.
It is also true that there are some situations when silence has no
real probative value because it was natural for the witness to not offer
exculpatory evidence to the police. Silva, supra, 131 N.J. at 447. For example,
someone might believe that it would be futile to disclose the information they
have. Ibid. Or, as another example, a witness might not volunteer information if
the witness did not sufficiently understand the charges against defendant to know that
he or she had exculpatory information. Ibid. The Court explained that "[i]n [those]
circumstances, the witness's failure to speak is perfectly consistent with his trial testimony."
Id. at 446-47.
Because such cross-examination would be appropriate in some circumstances, but not others, a
proper foundation must first be "laid by asking whether 'the witness was aware
of the nature of the charges pending against the defendant, had reason to
know he had exculpatory information, had a reasonable motive to act to exonerate
the defendant, [and] was familiar with the means to make the information available
to law enforcement authorities.'" Id. at 447-48 (quoting State v. Silva,
252 N.J.
Super. 622, 629 (App. Div. 1991), aff'd and remanded by Silva, supra,
131 N.J. 438 (1993)).
In State v. Perez,
304 N.J. Super. 609, 611 (App. Div. 1997), the
State's proofs showed defendant sold cocaine to an undercover officer outside his home.
At trial, defendant's aunt testified, as an alibi witness, that she was watching
a movie with defendant "when the police stormed in, arrested defendant, and searched"
the house, and that defendant was in the house the entire time. Id.
at 611-12. Applying Silva, we permitted cross-examination regarding the alibi witness's pre-trial silence
because defendant's aunt claimed to know of the unjust arrest and it would
have been natural for her to come forward with this information before her
nephew's trial. Id. at 612-13.
The issue on appeal involves cross-examination of a regular defense witness and not
of an alibi witness as in Silva and Perez. This distinction, however, should
not make a difference. The rationale of the alibi witness cases can be
applied to any defense witness who has exculpatory information. As the Supreme Court
indicated in State v. Silva, "'although the fact of a witness' prior silence
may be of low probative worth in many cases, we see no sound
reason flatly to prohibit this type of cross-examination of a defense witness in
all criminal proceedings.'" Silva, supra, 131 N.J. at 447 (quoting People v. Dawson,
406 N.E.2d 771, 778 (N.Y. App. Div. 1980)(citations omitted)).
Here, the State concedes the prosecutor did not ask the proper foundation questions
as specifically set forth in Silva, but the State argues that the failure
was not plain error. R. 2:10-2. In considering this argument, we note that
defendant's counsel did not object to the cross-examination. The failure to object leads
us to conclude that counsel "did not in the atmosphere of the trial
think [the examination] out of bounds." State v. Johnson,
31 N.J. 489, 511
(1960).
The cross-examination itself was brief and neither counsel argued the witness's failure-to-come-forward in
summation. Defense counsel also did not ask for a jury instruction that defense
witnesses had no duty to come forward with exculpatory evidence, as was requested
in Silva, supra, 131 N.J. at 442-43.
In addition, defendant had two other witnesses, besides the witness who was impeached,
who offered testimony contradictory to the police officers' testimony. Although one of these
witnesses gave a formal statement to defense counsel almost three months after defendant's
arrest, the prosecutor did not seek to impeach any of these witnesses with
their pretrial silence or the delay in coming forward.
Moreover, defendant admits that several of the foundational elements were established at trial.
The seventeen-year-old witness was aware of the charges against defendant, knew he had
exculpatory information, and had a reason to exonerate defendant. In addition, we can
infer that a seventeen-year-old high school senior would probably know how to report
police misconduct. Accordingly, we cannot conclude that the cross-examination as occurred herein was
clearly capable of causing an unjust result. R. 2:10-2; State v. Chew,
150 N.J. 30, 82 (1997), cert. denied,
528 U.S. 1052,
120 S. Ct. 593,
145 L. Ed.2d 493 (1999).
III.
We move on to discuss the judge's jury charge on N.J.S.A. 2C:39-4.1. The
statute provides in pertinent part that a person would be guilty of a
second-degree crime for having "in his [or her] possession any firearm while in
the course of committing, attempting to commit, or conspiring to commit a violation
of [various drug offenses, including N.J.S.A. 2C:35-3, N.J.S.A. 2C:35-4, N.J.S.A. 2C:35-5, N.J.S.A. 2C:35-5.2,
N.J.S.A. 2C:35-5.3, N.J.S.A. 2C:35-6, N.J.S.A. 2C:35-7, N.J.S.A. 2C:35-7.1, N.J.S.A. 2C:35-11, or N.J.S.A. 2C:16-1].
The trial judge instructed that defendant could be found guilty of N.J.S.A. 2C:39-4.1,
if the jury found that defendant possessed a firearm while in the course
of possessing a controlled dangerous substance or possessing a controlled dangerous substance with
intent to distribute. Simple possession of a controlled dangerous substance such as cocaine
is a violation of N.J.S.A. 2C:35-10(a)(1), and is not one of the drug
offenses enumerated in N.J.S.A. 2C:39-4.1. Thus the judge's charge on N.J.S.A. 2C:39-4.1 was
erroneous.
The State argues that the error was rendered harmless beyond any reasonable doubt
by the jury's verdict finding defendant guilty of possessing cocaine with intent to
distribute, in violation of N.J.S.A. 2C:35-5, which is one of the enumerated drug
offense in N.J.S.A. 2C:39-4.1. We disagree and are constrained to reverse defendant's conviction
and sentence for this offense.
Correct jury charges are essential to a fair trial and failure to provide
a clear and correct charge may constitute plain error. E.g., State v. Koskovich,
168 N.J. 488, 507 (2001). In appropriate situations an omission or mistake in
a jury charge may be deemed harmless. State v. Wallace,
158 N.J. 552,
558-60 (1999). But, because accurate jury instructions are so important, erroneous instructions in
criminal cases are virtually always regarded as "poor candidates for rehabilitation under the
harmless error philosophy." State v. Simon,
79 N.J. 191, 206 (1979).
"[P]roper explanation of the elements of a crime is especially crucial to the
satisfaction of a criminal defendant's due process rights." State v. Burgess,
154 N.J. 181, 185 (1998). "[O]ur case law requires the jury to find all the
elements of an offense with specific reference to that offense." State v. Casilla,
362 N.J. Super. 554, 567 (App. Div. 2003). That is why "[w]e have
consistently held that incorrect charges on substantive elements of a crime constitute reversible
error." State v. Rhett,
127 N.J. 3, 7 (1992); State v. Martin,
119 N.J. 2, 15 (1990)("So critical is the need for accuracy that erroneous instructions
on material points are presumed to be reversible error."); State v. Vick,
117 N.J. 288, 289 (1989) (Erroneous jury instructions on elements of a crime "are
almost invariably regarded as prejudicial.").
In State v. Vick, defendant was charged with possession of a weapon without
a permit and the trial judge failed to instruct the jury that the
State had to prove that the defendant did not have a license to
carry the gun. Id. at 290. We found the error to be harmless
because "absence of a permit was inherent in the defense" and the jury
must have understood the State's burden of proof. Id. at 290. The Supreme
Court reversed because the judge's error called into question defendant's right to trial
by jury, which requires a jury to find the essential elements of the
charge even if the omitted finding was obvious. Id. at 291.
In State v. Frederico,
103 N.J. 169 (1986), the jury convicted defendant of
kidnapping and the judge imposed a sentence for first-degree kidnapping, but the judge
never told the jury to determine whether the victim was released unharmed, an
element which if found, would reduce first-degree kidnapping to second-degree. Id. at 172-76.
Because the jury did not deliberate on this element of the crime charged,
the Court reversed the defendant's kidnapping conviction. Id. at 176-77. Significantly, the State
urged the Court to "mold the verdict to constitute a conviction for second-degree
kidnapping" because the jury implicitly found the essential elements of that crime. Ibid.
The Court refused. It explained that to do so "would force us to
speculate about how the jury would have determined the matter if it had
been properly charged." Id. at 177.
The State relies primarily on Wallace, supra, 158 N.J. at 558-60, for its
contention that the judge's failure in this case was only harmless error. Wallace,
while fleeing from the police, committed numerous motor vehicle violations in urban areas
at times when people were likely to be in the area. Id. at
554-55. Defendant was charged with second-degree eluding, under N.J.S.A. 2C:29-2(b), because the State
contended that defendant's flight or attempt to elude created "a risk of death
or injury to any person." Wallace, supra, 158 N.J. at 558.
The trial court in Wallace failed to define injury in the jury charge,
but the Supreme Court found this error to be harmless. Ibid. The Supreme
Court explained that "[t]he case was tried on the theory that because defendant
violated our traffic laws, his eluding created a rebuttable inference that the flight
or attempt to elude posed a risk of death or injury to any
person within the meaning of N.J.S.A. 2C:29-2b." Ibid. The trial court had informed
the jury about the rebuttable inference in N.J.S.A. 2C:29-2(b), that one whose driving
violated certain traffic laws could be found to have created a "risk of
death or injury to any person." Id. at 558-59. Moreover, the judge instructed
the jury on each element of the motor vehicle offenses with which the
defendant had been charged. Ibid. The jury found defendant guilty of these motor
vehicle offenses. Ibid. Because the jury was properly instructed about the inference and
because it found defendant guilty of the various traffic offenses, any error in
the charge was cured, and was therefore harmless. Id. at 559-60.
Here, unlike in Wallace, the jury was not accurately instructed on the elements
the State had to prove to establish defendant's guilt of N.J.S.A. 2C:39-4.1. Under
the charge as given, defendant could have been convicted of the offense because
the jury believed that he possessed a gun while merely possessing cocaine, which
is a result that is in direct conflict with the statute.
Even though the jury found defendant guilty of possession with intent to distribute,
we have no way of knowing whether the jury would have convicted defendant
of possessing the handgun while he possessed the cocaine with intent to distribute.
A jury is free in most cases to return verdicts that are internally
inconsistent, or to reject evidence that has not been challenged. State v. Ragland,
105 N.J. 189, 195 (1986). As we pointed out in Casilla, Ragland "held
that it was reversible error even to remind a jury that it had
already found an element of an offense in connection with another charge against
the defendant." Casilla, supra, 362 N.J. Super. at 568; see also State v.
Ingenito,
87 N.J. 204, 216-17 (1981) (applying collateral estoppel affirmatively against a defendant
violates defendant's right to trial by jury).
There is "no way to conclude that a trial can be constitutionally fair
when the State is not required to prove, over the defendant's objection, the
essential elements of the offense charged. The requirement is so basic and so
fundamental that it admits of no exception no matter how inconsequential the circumstances."
Vick, supra, 117 N.J. at 293. This is true, even when the defendant
does not object at the trial court level, but rather charges plain error
on appeal. Frederico, supra, 103 N.J. at 176 ("[A] mandatory duty exists on
the part of the trial judge to instruct the jury as to the
fundamental principles of law which control the case. . . . [a]nd the
duty is not affected by the failure of a party to request that
it be discharged."); see also Burgess, supra, 154 N.J. at 186; State v.
Afanador,
151 N.J. 41, 56 (1997). "Failure to instruct the jury as to
an element of the crime ordinarily constitutes reversible error." State v. Castaldo,
271 N.J. Super. 254, 258 (App. Div. 1994). The judge "must always charge on
the elements of a crime." State v. Jordan,
147 N.J. 409, 423 (1997).
We acknowledge that had the jury been properly instructed, it would be, on
this record, highly unlikely for the jury to find defendant not guilty of
violating N.J.S.A. 2C:39-4.1. Nevertheless, in the absence of a clear and accurate charge
on the elements of the crime, we are speculating on exactly what the
jury might have done had they been properly instructed. We cannot say that
the jury deliberated on and found that defendant possessed the weapon while he
also possessed cocaine with intent to distribute the drug, the essential elements of
N.J.S.A. 2C:39-4.1.
While the jury separately found defendant guilty of possessing cocaine with intent to
distribute, it did not make that finding in conjunction with the N.J.S.A. 2C:39-4.1
charge. See Casilla, supra, 362 N.J. Super. at 569. We must not speculate
or "substitute our interpretation of the verdict for the jury's own." State v.
Grey,
147 N.J. 4, 15 (1996). "Our respect for the unique role of
the jury in criminal cases precludes us from trying to salvage the conviction
by tampering with the jury's deliberations." Federico, supra, 103 N.J. at 177.
Because we cannot definitively say that the jury concluded that the State proved
each element of the offense under N.J.S.A. 2C:39-4.1 beyond a reasonable doubt, we
are constrained under our existing law to reverse the conviction.
IV.
N.J.S.A. 2C:39-4.1(d) provides that "[n]otwithstanding the provisions of N.J.S.[A.] 2C:1-8 [the merger provision]
or any other provision of law, a conviction arising under this section shall
not merge with a conviction for a violation of [the enumerated drug offenses]
. . . referred to in this section nor shall any conviction under
those sections merge with a conviction under this section." The statute further requires
that "the sentence imposed upon a violation of this section shall be ordered
to be served consecutively to that imposed for any conviction for a violation
of any of the [enumerated drug offenses]."
Our reversal of defendant's N.J.S.A. 2C:39-4.1 conviction and sentence, however, moots the State's
appeal that the trial judge also erred by not making defendant's sentence under
this statute consecutive. Defendant's argument that consecutive sentences would not be proper because
the mandatory non-waiver and consecutive sentence requirements of N.J.S.A. 2C:39-4.1 are unconstitutional is
also moot.
In connection with the consecutive sentence argument, we add only that in this
case the trial court imposed concurrent sentences despite the statute's specific directive to
impose consecutive sentences. Should any trial court deviate from the clear language of
a statute, the judge is professionally compelled to articulate reasons for this action.
It is not acceptable to simply instruct objecting litigants "to appeal."
We therefore dismiss the State's appeal as moot, and on defendant's cross-appeal, we
remand this matter for a new trial on firearm possession under N.J.S.A. 2C:39-4.1.
Defendant's remaining convictions and sentence, including the extended sentence for possession of cocaine
with intent to distribute, are unaffected by this decision and are affirmed.
Affirmed in part, reversed in part and remanded for a new trial on
N.J.S.A. 2C:39-4.1.
Footnote: 1
Defendant phrased the three points as follows:
Point I. The instruction on count six, which charged defendant with possessing a
weapon while committing an enumerated offense, was fatally defective because it erroneously told
the jury to convict the defendant if it found that he committed the
crime of possession of a controlled dangerous substance, which is not one of
the enumerated offenses. (Not raised below.)
Point II. The trial court violated defendant's right to a fair trial by
allowing the prosecutor, in violation of
State v. Silva,
131 N.J. 438 (1993),
to impeach a defense witness with his pre-trial silence (Not raised below).
Point III. Because the non-merger provision of N.J.S.A. 2C:39-4.1 violates the due process
and double jeopardy provisions of the state constitution, the sentence under that count
must be vacated.