STATE OF NEW JERSEY,
v.
MICHAEL RUSSELL,
Defendant-Appellant.
_________________________________________________
Submitted December 7, 2005 - Decided
Before Judges Skillman, Axelrad and Payne.
On appeal from Superior Court of New
Jersey, Law Division, Warren County,
02-10-0408.
Yvonne Smith Segars, Public Defender,
attorney for appellant (William Welaj,
Designated Counsel and on the brief).
Thomas S. Ferguson, Warren County
Prosecutor, attorney for respondent
(Tara J. Kirkendall, Assistant
Prosecutor, of counsel).
The opinion of the court was delivered by
PAYNE, J.A.D.
Defendant Michael Russell appeals his conviction for second-degree conspiracy to commit robbery, N.J.S.A.
2C:5-2 and 2C:15-1 (count one), third-degree conspiracy to commit burglary, N.J.S.A. 2C:5-2 and
2C:18-2 (count two), first-degree robbery, N.J.S.A. 2C:2-6 and 2C:15-1 (count three), second- and
third-degree burglary, N.J.S.A. 2C:2-6 and 2C:18-2 (count four), third-degree terroristic threats, N.J.S.A. 2C:12-3b
(count five), third-degree possession of a weapon, a knife, for an unlawful purpose,
N.J.S.A. 2C:39-4d (count six), unlawful possession of a knife, N.J.S.A. 2C:39-5d (count seven),
second-degree aggravated assault with a knife, N.J.S.A. 2C:12-1b(1) (count eight), and third-degree aggravated
assault with a knife, N.J.S.A. 2C:12-1b(2)(count nine). He also appeals his sentence of
fifteen years in custody with an eighty-five percent parole disqualifier pursuant to the
No Early Release Act (NERA), N.J.S.A. 2C:43-7.2, on count three (first-degree robbery) and
concurrent five-year terms on counts four (second-degree burglary), five (third-degree terroristic threats), six
(third-degree possession of a weapon for an unlawful purpose), eight (second-degree aggravated assault),
and nine (third-degree aggravated assault).
Defendant makes the following arguments:
POINT I
THE TRIAL COURT ERRED IN DENYING DEFENSE COUNSEL'S REQUEST TO INSTRUCT THE JURY
REGARDING THE DEFENSE OF RENUNCIATION.
POINT II
THE TRIAL COURT ERRED IN DENYING DEFENSE COUNSEL'S MOTION FOR A MISTRIAL AS
A RESULT OF THE TRIAL COURT'S RULING PERMITTING THE CO-DEFENDANT TO TESTIFY AS
A STATE'S WITNESS WHILE APEARING IN PRISON CLOTHING, HANDCUFFS AND LEG SHACKLES.
POINT III
THE TRIAL COURT ERRED IN DENYING DEFENSE COUNSEL'S MOTION FOR A NEW TRIAL
ON THE BASIS THAT CERTAIN JURORS WERE ADVERSELY AFFECTED AS THE RESULT OF
CONDUCT THEY OBSERVED WHICH OCCURRED OUTSIDE THE COURT ROOM DURING DELIBERATIONS.
POINT IV
THE DEFENDANT WAS DENIED HIS RIGHT TO A FAIR TRIAL AS A RESULT
OF TESTIMONY BY A STATE'S WITNESS INFERENTIALLY CONNECTING THE DEFENDANT WITH PRIOR CRIMINAL
CONDUCT.
(Not Raised Below.)
POINT V
THE TRIAL COURT ERRED BY FAILING TO MERGE COUNT VI (POSSESSION OF A
WEAPON FOR AN UNLAWFUL PURPOSE) INTO COUNTS VII AND IX (SECOND DEGREE AGGRAVATED
ASSAULT AND THIRD DEGREE AGGRAVATED ASSAULT), AND FURTHER ERRED BY FAILING TO MERGE
COUNT V (TERRORISTIC THREATS) AS WELL AS COUNTS VII AND IX INTO COUNT
I (FIRST DEGREE ROBBERY).
(Partially Raised Below.)
POINT VI
THE SENTENCE IMPOSED WAS MANIFESTLY EXCESSIVE.
We reverse, because we find that the appearance before the jury of a
witness for the prosecution (defendant's alleged co-conspirator) in handcuffs and leg shackles, in
the absence of an evidentiary record establishing that security concerns posed by the
witness outweighed the potential prejudice caused by his appearance in restraints, denied defendant
his right to a fair trial under the Federal and New Jersey Constitutions.
[Roberts, supra, 86 N.J. Super. at 168.]
We extended our holding to defendant's only witness in
State v. Smith,
346 N.J. Super. 233 (App. Div. 2002), observing that "[w]hile
shackling a defense witness is not the exact equivalent of shackling the defendant,
in some circumstances
. . . the resulting prejudice can be equally detrimental." Id. at 239.
We noted that our determination accorded with the American Bar Association's Standards for
Criminal Justice, which provide:
(b) The court should not permit a defendant or witness to appear at
trial in the distinctive attire of a prisoner, unless waived by defendant.
(c) No defendant should be removed from the courtroom, nor should defendants and
witnesses be subject to physical restraint while in court unless the court has
found such restraint necessary to maintain order.
(d) . . . Whenever physical restraint or removal of a defendant or
witness occurs in the presence of jurors trying the case, the court should
instruct those jurors that such restraint or removal is not to be considered
in assessing the proof and determining guilt.
[Smith, supra, at 239-40 (quoting Control, Restraint or Removal of Defendants and Witnesses,
A.B.A. Standards for Criminal Justice 15-3.2 (3d ed. 1996) (emphasis added in Smith).]
Additionally, in Smith we found that the balancing of the need for courtroom
security against the potential prejudice of the restraints and the procedures adopted for
that determination that we had recognized in earlier decisions regarding defendants applied equally
to their witnesses, as did the need for jury instruction if the court
found it necessary for a witness to testify while in restraints. Id. at
240-41. Although we hypothesized that the testimony of certain defense witnesses could be
found so peripheral to issues of guilt or innocence that the appearance of
a witness in prison garb and restraints did not constitute reversible error, we
found such error to exist in Smith, since the witness at issue was
the only independent person to testify to defendant's innocence of the crime for
which he was charged. Id. at 240-41.
Smith was followed in short order by the Supreme Court's decision in Artwell,
supra,
177 N.J. 526, holding that a defense witness could not be required
to appear in restraints, without a demonstration of their necessity, or in prison
garb. Artwell was decided within a week after the conclusion of defendant's trial.
Although it was cited as precedent by defense counsel in his motion for
a new trial, the court distinguished that precedent because the Supreme Court's decision
concerned a defense, not a prosecution witness.
We find the trial court's distinction as applied to this case to be
illusory. It must be recalled that defendant was accused of a crime of
violence. Muhammad, a State's witness, had been charged as defendant's co-conspirator in that
same crime. At trial, he testified that the two entered a house for
the purpose of robbery; they were discovered; defendant pulled a knife and while
thus armed engaged in a struggle with a male apartment resident; defendant made
a demand for "the shit;" and defendant was identified by the apartment's female
occupant as "Twiz." Muhammad also testified to defendant's inquiry, after they had run
from the apartment, whether he "want[ed] to go back and finish the job."
During the course of his direct testimony, Muhammad's plea of guilty to conspiracy
to commit second-degree burglary and to hindering apprehension, his potential sentence of six
years in custody subject to NERA, the fact that the sentence was conditioned
upon Muhammad's truthful testimony at trial, and the fact that Muhammad awaited sentencing
was disclosed to the jury. Additionally the jury was apprised of Muhammad's prior
convictions on two occasions for possession of drugs and his convictions for tampering
with evidence, for receipt of stolen property, and for endangering the welfare of
a child. Nonetheless, the Court in Artwell has observed that: "Even in those
instances when the prosecution demonstrates a witness's criminal history to the jury by
the entry of a conviction into evidence, that fact does not mitigate the
additional harm caused by the sight of defendant's witness in restraints." 177 N.J.
at 536. The fact of a witness' incarceration does not "imply that he
[is] violent and ha[s] to be restrained in the jury's presence." Damon, supra,
286 N.J. Super. at 498.
In the case of a defense witness, the Artwell Court's concern was that
the fact of restraints would diminish the credibility of the witness in the
jury's view. 177 N.J. at 537. That concern may have less direct significance
to the defendant here. Nonetheless, the court as an legal institution must be
concerned when the import of the testimony of any witness, whether on behalf
of the defense or the prosecution, can be judged in part by the
witness' status, rather than solely by its content and credibility.
Further, as Justice Brennan has recognized in a concurring opinion, shackling "offends not
only judicial dignity and decorum, but also that respect for the individual which
is the lifeblood of the law. Illinois v. Allen,
397 U.S. 337, 350-51,
90 S. Ct. 1057, 1064,
25 L. Ed.2d 353, 363 (1970). The
restraints upon Muhammad served to de-individualize him, permitting the jury to consider him
simply as one of the "criminal class." Transference of this mind-set to defendant
at a time when the presumption of innocence applied to him would be
wholly inappropriate and fundamentally unfair.
Of additional significance, the existence of restraints necessarily conveyed the impression that the
judge regarded Muhammad "as a dangerous man, and one not to be trusted,
even under the surveillance of officers." Artwell, supra, 177 N.J. at 534 (quoting
Kennedy v. Cardwell,
487 F.2d 101, 106 (6th Cir. 1973), cert. denied,
416 U.S. 959,
94 S. Ct. 1976,
40 L. Ed.2d 310 (1974), quoting
Kring, supra, 64 Mo. at 592-93).
This is not a case such as we hypothesized in Smith in which
the testimony of the restrained witness was insignificant to the outcome. Although both
victims of the crime testified to defendant's conduct, Muhammad's testimony provided crucial corroboration
of defendant's actions and intent. That defendant's co-conspirator could be perceived by a
jury to have had a inherently violent nature or to have committed a
crime with defendant of sufficient violence to require restraints cannot be considered a
de minimis concern in this circumstance. As the Artwell Court expressed it, the
display of Muhammad in handcuffs and leg shackles "presented defendant as one who
associates with individuals of questionable" and indeed dangerous character in a dangerous enterprise.
Id. at 538.
Moreover, Artwell affirmed the principle that "the trial court may subject a witness
to physical restraint only when it 'has reason to believe it is necessary
to maintain the security of the courtroom.'" Id. at 537 (quoting Harrell v.
Israel,
672 F.2d 632, 635 (7th Cir. 1982)). And to make that determination,
the court must "hold a hearing, however informal, and state on the record
out of the jury's presence [its] reasons for shackling the [witness], whether they
are based on evidence from trial, information obtained from criminal records, or statements
made by law enforcement officers." Ibid. (quoting Damon, supra, 286 N.J. Super. at
499). As stated by the Artwell Court, the trial court should consider, among
other things,
(1) the seriousness of the present charge, (2) the person's character, (3) the
person's past record, (4) past escapes by the person, (5) attempted escapes by
the person, (6) evidence the person is planning an escape, (7) threats of
harm to others, (8) threats to cause disturbance, (9) evidence the person is
bent on self-destruction, (10) risk of mob violence, (11) risk of attempted revenge
by victim's family, [and] (12) other offenders still at large, . . .
[Id. at 538 (quoting State ex rel. McMannis v. Mohn,
254 S.E.2d 805,
810 n.7 (1979) (quoting A.B.A. Advisory Committee on the Criminal Trial, Standards Relating
to Trial by Jury (Approved Draft 1968), at 96 n.9), cert. denied,
464 U.S. 831,
104 S. Ct. 110,
78 L. Ed.2d 112 (1983).]
The necessity of a jury instruction when restraints are ordered, following a hearing,
was also affirmed by the Artwell Court. Ibid.
As a final matter, the Court in Artwell additionally found the requirement that
a prisoner testify in prison garb, unlike restraints, can further no vital State
interest. Id. at 539 (citing State v. Maisonet,
166 N.J. 9, 17 (2001)).
Instead, among other things, it "suggest[s] defendant's guilt by association." Ibid.; see also
Estelle v. Williams, supra,
425 U.S. 501,
96 S. Ct. 1691,
48 L.
Ed.2d 126; State v. Carrion-Collazo,
221 N.J. Super. 103 (App. Div. 1987),
certif. denied,
110 N.J. 171 (1988). Accordingly, the Artwell Court held that "going
forward, a trial court may not require a defendant's witness to appear at
trial in prison garb." 177 N.J. at 539.
In the present case, the trial judge did not establish the need for
restraints as Artwell and the decisions that preceded it require, but instead surrendered
his discretion to the sheriff's officers in the courtroom. When presented with the
choice of summoning additional officers or imposing restraints, the judge without further discussion
chose the latter. When a similar circumstance arose in the context of restraint
of a defendant in Damon, we stated:
It was inexcusable for the trial judge to require petitioner to remain handcuffed
in the presence of the jury merely because there was a shortage of
courtroom security personnel. A trial judge should not surrender the control of his
or her courtroom to a claimed need for courtroom security at the sacrifice
of petitioner's right to a fair trial. Security measures should have been established
which would have permitted petitioner to appear in the presence of the jury
without handcuffs.
[286 N.J. Super. at 497-98.]
When a risk exists that the jury will render its decision on a
basis other than the evidence, such as here, "defendant's right to a fair
trial requires that the risk be justified by an essential state interest." Artwell,
supra, 177 N.J. at 538. If a record had established the need for
the restraints, they could in a proper exercise of discretion have been ordered.
Ibid. However, the absence of record requires that we reverse defendant's conviction. For
the reasons that we have previously discussed, we apply Artwell's holding regarding prison
clothing, as well, to any State's witness in a future trial in this
case.
We note that conclusions similar to ours with respect to prison garb and
restraints upon State's witnesses have been accepted by the Washington Supreme Court in
its lengthy opinion in Washington v. Rodriguez,
45 P.3d 541 (2001), a case
cited favorably in Artwell in connection with its discussion of defense witnesses. 177
N.J. at 536.
See footnote 4
In Rodriguez, which like the present matter concerned a participant
in the crime who testified pursuant to a plea agreement against the defendant
while in prison garb, handcuffs and leg shackles, the Court held that "[t]o
fully protect the defendant against being convicted by impermissible factors rather than solely
by the evidence, the rule against physical restraints, without a showing of necessity,
must apply to all inmate witnesses." 45 P.
3d at 545.
See footnote 5
The Court advanced,
as a reason for the prohibition of prison garb and restraints other than
the effect on the witness' credibility, the fact that:
The witness in this case, while clad in clothing clearly denoting guilt and
his status as a prisoner, testified to a criminal association with the defendant.
This associated guilt and prisoner status had the potential to prejudice the presumption
of innocence to which the defendant was entitled.
[Id. at 544.]
Similarly, Muhammad's appearance undeniably prejudiced defendant, since it provided visual reinforcement to other
evidence of his guilt, and suggested to the jury that the State regarded
the crime committed to have been of sufficient violence to justify the use
of substantial and cumbersome restraints. Reversal is thus required.
Reversed and remanded for a new trial.
Footnote: 1
The charge was not requested, and thus its absence must be judged
by a plain error standard.
Footnote: 2
See, e.g., State v. Mance,
300 N.J. Super. 37, 51 (App. Div.
1997) (permitting restraints).
Footnote: 3
The County Sheriff has statutory responsibility to provide security for the criminal
courts "in the manner established by the assignment judge in the county." N.J.S.A.
2B:6-1d. "Thus, although the Sheriff is the presumed expert in these matters and
has primary responsibility to provide for security, it is the non-delegable duty of
a trial court ultimately to approve such measures consistent with constitutional protections to
which all defendants are entitled." Zhu, supra, 165 N.J. at 557.
Footnote: 4
Rodriguez is one of the few decisions to discuss this issue in
any detail. In the following cases, the appearance of a prosecution witness in
prison garb was permitted with little analysis. United States v. Brooks,
125 F.3d 484 (7th Cir. 1997) (judge did not abuse discretion in denying mistrial when
it was clear that State's witness was incarcerated for an unrelated crime); Cook
v. Beto,
425 F.2d 1066 (5th Cir.) (with no substantive discussion, holding that
habeas corpus relief was not required because defendant suffered no prejudice when his
co-defendant was brought into the court room for identification in prison clothing), cert.
denied,
400 U.S. 944,
91 S. Ct. 248,
27 L. Ed.2d 249
(1970); People v. Walters,
796 P.2d 13 (Colo. App. 1990) (permitting prosecution witness
to appear in prison clothing over defendant's objection does not constitute prejudicial error),
cert. denied, 1
990 Colo. LEXIS 501 (1990); State v. Charron,
743 S.W.2d 435 (Mo. App. 1987) (objection to co-defendant's appearance in prison garb waived); People
v. Sledge,
416 N.E.2d 412 (Ill. App. 1981) (holding without discussion that defendant
was not prejudiced by fact that witness for the State wore jail clothing
when called to testify); State v. Naples,
114 N.E.2d 302 (Ohio App.) (that
the State called co-defendant to testify in jail clothes did not constitute reversible
error), app. dismissed,
108 N.E.2d 280 (1952). Contra, see State v. Yates,
381 A.2d 536 (Ct. 1977) (recognizing potential for prejudice in prison attire but finding
it nullified by witnesses' own testimony regarding their prior felony convictions and their
experiences in prison). See also Michelle Migdal Gee, Annotation, Propriety and Prejudicial Effect
of Witness Testifying While in Prison Attire,
16 A.L.R. 4th 1356 (1982; updated
May 2001).
Footnote: 5
The Rodriguez Court affirmed defendant's conviction, but only because it found that
the defendant did not object to the witness' appearance and failed to demonstrate
that only a new trial could have cured the prejudice caused by it.
Ibid.
A-