SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-4132-98T3
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
PAUL RAYMOND HORTON,
Defendant-Appellant.
_________________________________________________________________
Argued March 29, 2000 - Decided May 19, 2000
Before Judges Brochin and Eichen.
On appeal from Superior Court of
New Jersey, Law Division, Burlington
County.
Edward J. Crisonino argued the cause for
appellant.
Christine A. Hoffman, Assistant Prosecutor,
argued the cause for respondent (Robert D.
Bernardi, Burlington County Prosecutor,
attorney; Ms. Hoffman, of counsel and on
the brief).
The opinion of the court was delivered by
BROCHIN, J.A.D.
On September 21, 1995, defendant Paul Raymond Horton pleaded
guilty pursuant to a plea agreement to a one-count accusation
which charged him with third-degree endangering the welfare of a
child (N.J.S.A. 2C:24-4(a)). In providing the factual basis for
his plea, defendant, who was then sixty-nine years old, testified
that he had touched a girl who was under the age of sixteen in
the area of her breasts for the purpose of sexually gratifying
himself.
The assistant prosecutor who appeared for the State
described the plea agreement with defendant as follows:
[I]n exchange for waiver of indictment and
plea of guilty to that . . . one count
accusation, it's the State's recommendation
that the defendant be sentenced to 364 days
in the Burlington County Jail to be served on
weekends and also to be placed on probation.
The terms and conditions of which would be in
. . . the sentencing Court's discretion.
This sentencing recommendation is the same as that stated in the
plea form signed by defendant. In response to questions from the
judge who took defendant's plea, defendant acknowledged he
understood that his plea would subject him to imprisonment for up
to five years, to a fine of up to $25,000, and to "certain other
requirements that may be imposed upon you by what is commonly
known as the Megan's law," including the requirement "to register
with the Burlington County Prosecutor's Office." The judge asked
defendant's attorney whether he had "go[ne] through this" with
defendant. After the attorney assured the court, "Yes, we did,"
the colloquy between the court and defendant continued as
follows:
Q. You understand you're going to have to
register?
A. Yes, I understand that.
Q. All right. And that once you have
registered, the Prosecutor's Office will make
a determination of what level of
notification, if any, is necessary?
A. Yes.
Q. And that depending upon what level of . .
. notification is necessary, it's possible
that community groups and other public notice
may be given?
A. Yes.
Q. And do you also understand that once the
Prosecutor's Office has made that
determination, you are entitled to ask for a
hearing on whether the determination is
appropriate and proper?
A. Yes.
Q. And that you may, in fact, be subject to
community supervision?
A. Yes.
Defendant was sentenced on January 12, 1996. The judgment
of conviction entered on January 12, 1996, reads as follows:
Defendant is sentenced to Probation for
a period of two (2) years with the following
conditions:
Defendant shall serve 180 days on
weekends in the Burlington County Jail;
credit of 2 days;
Defendant to continue counseling with
Ken Singer, LCSW until Mr. Singer feels no
longer needed; defendant to follow all
recommendations;
Defendant is to have no unsupervised
contact with children under the age of 16
yrs.
No transcript of the sentencing has been furnished to us.See footnote 11
Defendant completed his counseling with Mr. Singer on August
20, 1997. He finished serving his jail time on September 30,
1995, and his probation on January 12, 1998.
On April 15, 1997, the chairperson of the State Parole Board
wrote the sentencing judge requesting the court to "advise
whether the sentence imposed by you was required to include a
special sentence of community supervision for life pursuant to
N.J.S.A. 2C:43-6.4"See footnote 22 because defendant had committed his sexual
offense after October 31, 1994, the effective date of that
statute. Letters from the Parole Board to the sentencing judge
dated July 17, 1997, October 30, 1997,See footnote 33 January 22, 1998, and
July 21, 1998, reiterated the request.
By a notice of motion dated July 24, 1997, the prosecutor
moved to amend defendant's judgment of conviction "to reflect the
imposition of community supervision for life." Defendant cross
moved to set aside his plea agreement if the State's motion to
amend the judgment was granted. The motions were argued July 29,
1997. No decision was announced until January 25, 1999, when the
sentencing judge issued a letter opinion which directed amendment
of the judgment of conviction to include a provision of community
supervision for life. No mention was made of defendant's
conditional cross-motion to withdraw his guilty plea. However,
the implication of the court's opinion is that the cross-motion
was denied. An amended judgment of conviction was entered on
January 27, 1999, reiterating the previously imposed provisions
of defendant's sentence and, in addition, sentencing him to
community supervision for life.
Defendant has appealed. He argues that "[n]o court rule
allows for amending a sentence eighteen months after it is
entered to impose a term of lifetime parole"; "[p]lacing the
defendant on parole for life violates double jeopardy"; and
"[t]he defendant should have been allowed to withdraw his guilty
plea."
We agree with the State that a court has the inherent power
to correct an illegal sentence even though there is no rule
expressly authorizing it. See State v. Jurcsek,
247 N.J. Super. 102, 111 n.3 (App. Div.), certif. denied,
126 N.J. 333 (1991);
State v. Kirk,
243 N.J. Super. 636, 643 (App. Div. 1990); State
v. Paladino,
203 N.J. Super. 537, 549 (App. Div. 1985). We turn,
therefore, to the questions whether, in the particular
circumstances of this case, the exercise of that power to impose
community supervision for life is prohibited by considerations of
double jeopardy or of fundamental fairness. The following cases
shed light on that issue.
In State v. Baker,
270 N.J. Super. 55 (App. Div.), aff'd
o.b.,
138 N.J. 89 (1994), Baker was convicted of robbery,
attempted kidnaping, kidnaping, and aggravated sexual assault.
One month before Baker committed these crimes, an amendment of
the kidnaping statute increased the sentence to twenty-five
years' imprisonment without parole eligibility or a specific term
between twenty-five years' imprisonment and imprisonment for
life, with twenty-five years of parole ineligibility, if the
victim suffered a sexual assault during the kidnaping and was
less than sixteen years old. Baker's victim was less than
sixteen years old. But, the amendment was not called to the
attention of the sentencing judge. He sentenced Baker to an
aggregate term of twenty-seven years' imprisonment with eleven
years' parole ineligibility. Baker appealed his conviction. His
notice was late, but we granted leave to appeal nunc pro tunc.
Thirteen months later, the State moved for leave to file an out
of-time cross-appeal from the illegal sentence and we granted its
motion. In an unreported opinion, we affirmed defendant's
conviction and remanded the case to the Law Division for re
sentencing according to the amended statute. On remand, Baker
was sentenced to an aggregate term of twenty-five years'
imprisonment without eligibility for parole. His motion for
post-conviction relief on the ground of inadequate assistance of
counsel was denied. He appealed to us from that denial and from
the re-sentencing, arguing that the twenty-five year term of
imprisonment without parole eligibility, which more than doubled
the term of parole ineligibility originally imposed, violated the
double jeopardy clauses and the due process guarantees of the
Federal and State Constitutions. We affirmed.
We summarized the applicable law as follows:
Generally, jeopardy attaches once a
defendant commences serving a term of
imprisonment. State v. Ryan,
86 N.J. 1, 10,
429 A.2d 332, cert. denied,
454 U.S. 880,
102 S. Ct. 363,
70 L. Ed.2d 190 (1981).
Consequently, a defendant who has begun to
serve a sentence ordinarily may not be
resentenced to an increased term, including
any increase in a period of parole
ineligibility. See State v. Cruz,
125 N.J. 550, 559-63,
593 A.2d 1169 (1991). However,
if the original sentence imposed upon a
defendant is illegal, the sentence may be
corrected at any time, even if this requires
an increase in the term of imprisonment.
Bozza v. United States,
330 U.S. 160,
67 S.
Ct. 645,
91 L. Ed. 818 (1947); State v. Kirk,
243 N.J. Super. 636, 641-45,
581 A.2d 115
(App. Div. 1990); State v. Sheppard,
125 N.J.
Super. 332, 336,
310 A.2d 731 (App. Div.),
certif. denied,
64 N.J. 318,
315 A.2d 407
(1973).
[State v. Baker, supra, 270 N.J. Super. at
72.]
See also United States v. DiFrancesco,
449 U.S. 117, 134,
101 S.
Ct. 426, 436,
66 L. Ed.2d 328, 344 (1980) ("[A] sentence does
not have the qualities of constitutional finality that attend an
acquittal.").
We stated, "[W]e find no basis in federal case law to
conclude that a twenty month delay by the government in seeking
to correct an illegal sentence . . . forecloses a court from
imposing a statutorily mandated sentence," State v. Baker, supra,
270 N.J. Super. at 74, and we ruled that New Jersey law was also
no bar to increasing Baker's sentence. Id. at 74-76. In
language that is applicable to the present case, we said:
We would frustrate this legislative directive
[to impose the more severe sentence] if we
were to conclude that defendant may avoid the
statutorily required minimum sentence because
the trial court, unaware of the recent
legislative amendment, initially failed to
impose the mandated period of parole
ineligibility, and the prosecuting
authorities, also unaware of the amendment,
failed to challenge the sentence for more
than a year-and-a-half. Under these
circumstances, we conclude that even if
defendant had a subjective expectation of the
finality of his original sentence, it would
not be a "legitimate" expectation entitled to
protection under the Double Jeopardy Clauses
of the State and Federal Constitutions
because it would be inconsistent with the
statutorily mandated minimum sentence.
[Id. at 76-77.]
Our Supreme Court affirmed on the basis of this court's majority
opinion.See footnote 44 State v. Baker,
138 N.J. 89 (1994).
In State v. Eigenmann,
280 N.J. Super. 331 (App. Div. 1995),
we affirmed the increase of a defendant's sentence after he had
finished serving the illegal sentence originally imposed.
Eigenmann was found guilty of first-degree aggravated sexual
assault, simple assault and third-degree terroristic threats. He
was sentenced as a young adult offender (N.J.S.A. 2C:43-5) to
twenty-eight months' confinement. The State appealed, contending
that the sentences were illegal. In an unreported opinion, we
agreed with the State, holding that the court could not lawfully
impose less than five-year indeterminate terms on the first- and
third-degree convictions, and we remanded the case for re
sentencing. Id. at 334. When the matter ultimately came before
a Law Division judge for resentencing, Eigenmann had fully served
his twenty-eight month sentence. Ibid.
He argued to the sentencing judge that double jeopardy
barred any additional time and, alternatively, that any
additional aggregate sentence could not exceed five years. The
sentencing judge, however, sentenced him as an adult to
concurrent fifteen-year terms. Citing State v. Baker, supra, 270
N.J. Super. at 74-77, we declared that Eigenmann was "in no
position to dispute that his illegal 28-month sentence could be
increased after he had begun serving that term." State v.
Eigenmann, supra, 280 N.J. Super. at 337. We held that, although
an erroneous exercise of sentencing discretion could not be
corrected to a defendant's disadvantage after he had begun
serving his sentence, id. at 339 (citing State v. Towey,
244 N.J.
Super. 582 (App. Div.), certif. denied,
122 N.J. 159 (1990)), an
illegal sentence could be corrected by increasing it, even after
served. Therefore, Eigenmann's right to protection against
double jeopardy required him to be resentenced as a young adult
offender because his original sentence as a young adult offender
was a legal sentence, but that his twenty-eight month term of
imprisonment was properly increased to five years because that
was the minimum legal, applicable term of incarceration. State
v. Eigenmann, supra, 280 N.J. Super. at 346-48. We stated,
"[O]nce service of the sentence commenced, the lawful
discretionary elements of the sentence_no matter how
thoughtlessly or erroneously conceived_could not be made more
burdensome." Id. at 348. Accordingly, we remanded the case to
sentence Eigenmann as a young adult offender to concurrent
indeterminate terms of five years each. Ibid.See footnote 55
In State v. Tavares,
286 N.J. Super. 610, 612 (App. Div.),
certif. denied,
144 N.J. 376 (1996), Tavares pleaded guilty to
two counts of second-degree sexual assault by virtue of sexual
contact with children under thirteen years of age. His plea was
entered October 28, 1991 in accordance with a plea bargain by
which the prosecutor undertook to recommend that he receive two
consecutive sentences, each for eight years with three years'
parole ineligibility. He was found subject to confinement to the
Adult Diagnostic Treatment Center at Avenel, N.J.S.A. 2C:47-3,
and he was sentenced to two indeterminate terms of not more than
eight years each at that institution. He appealed. In an order
dated May 11, 1994, we held that the sentence to indeterminate
terms at Avenel was not authorized by law. Id. at 613. We
added:
Although we find that the imposition of
consecutive terms to Avenel does not violate
State v. Yarbough, [
100 N.J. 627 (1985),
cert. denied,
475 U.S. 1014,
106 S. Ct. 1193,
89 L. Ed.2d 308 (1986),] we caution the
judge to explore the consequences of imposing
two Avenel terms for a fixed number of years,
to determine whether the result is in keeping
with the judge's sentencing goals.
[State v. Tavares, supra, 286 N.J. Super. at
613.]
Without notice or a hearing, the sentencing judge entered an
amended judgment on June 13, 1994, sentencing Tavares to two
concurrent eight-year terms at Avenel. On October 28, 1994, the
State moved for reconsideration of the amended sentence, arguing
that the sentence, although within statutory limits, was
"illegal" and therefore subject to be increased, because it had
been entered in chambers, without notice to the State. That
motion was argued January 20, 1995. The sentencing judge
declined to change the sentence and the State appealed. Id. at
615. Tavares had been serving his sentence since June 13, 1994,
without a stay.
On appeal, we held that the sentencing procedure had been
improper. Id. at 616. Because we had remanded for re
sentencing, and not to enter a specific sentence in accordance
with our directions, the court should have conducted sentencing
procedures anew, including a hearing on notice in open court.
Ibid. For the purpose of our decision, we assumed that the
improper sentencing procedure had made the sentence itself
"illegal" so that the protection against double jeopardy did not
preclude modifying the sentence to Tavares's disadvantage. Id.
at 619. We concluded:
[E]ven assuming that the sentence is
"illegal," the State had an obligation to
raise the issue in a timely fashion. The
State could not wait, as it did, for four
months after learning of the irregularity
while defendant was serving his sentence.
While an "illegal" sentence is "correctable
at any time," the State has an obligation to
move quickly when asserting an "illegality"
because the defendant has an expectation of
finality of a sentence within the parameters
of statutory limits (at least in the absence
of some appeal or post-conviction proceeding
pending on his or her application). Here the
State waited over four months after learning
of the remand sentence before taking any
action to correct what it now contends to
have been a fundamental injustice. But cf.
R. 1:7-4; 2:4-1(a). Even though the State
did not know about the defendant's
resentencing when it occurred, it is
uncontested that the prosecuting attorney
learned of the new sentence in June 1994,
shortly after it was imposed, but did not
file a "motion for reconsideration" for more
than four months thereafter. This was far
too late.
[Ibid. (citations omitted).]
Significantly for the present case, we then continued as
follows:
In concluding that the State's
application was untimely, we emphasize the
nature of the "illegality" asserted. . . .
[T]he State does not contend that the
sentence was unauthorized by the governing
statute or even violated the negotiated plea
agreement. Accordingly, we need not address
what action a court can take on the
prosecutor's application, or sua sponte,
whenever it learns that the sentence does not
conform with the minimum requirements of the
governing statute.
[Id. at 619-20.]
Upon that basis, we dismissed the appeal. Id. at 620.
We conclude that the present case is governed by State v.
Baker,
270 N.J. Super. 55, (App. Div.), aff'd o.b.,
138 N.J. 89
(1994), and State v. Eigenmann, supra,
280 N.J. Super. 331, and
not by State v. Tavares, supra,
286 N.J. Super. 610. Horton's
original sentence was illegal, not because of any procedural
irregularity in the manner in which it was imposed, but because
N.J.S.A. 2C:43-6.4(a) mandates sentencing someone convicted of
endangering the welfare of a child by engaging in sexual conduct
which would impair or debauch the morals of the child to
community supervision for life. We are of the view that under
these circumstances, the lapse of time between defendant's
original sentencing and the correction of that sentence does not
entitle him to avoid the Legislature's sentencing mandate. We
therefore hold that re-sentencing defendant to impose community
supervision for life does not offend either the constitutional
prohibitions against double jeopardy or any considerations of
fundamental fairness generated by the lapse of time.
As an alternative to his contention that re-sentencing is
barred, defendant argues that he should be permitted to withdraw
his guilty plea because he "was not told by the Court, nor is it
mentioned in his plea agreement, that he would be placed on
parole for the rest of his life as a result of his guilty plea."
The record shows that the court did tell defendant before
accepting his plea that "you may, in fact, be subject to
community supervision." But the record does not contain either
an explanation that "community supervision" means parole for life
or an indication that lifetime parole is mandatory. In fact, the
court's colloquy with defendant implies that whether or not
community supervision will be imposed depends upon a
determination by the prosecutor, which could be contested at a
hearing.
Defendant's counsel before our court also represented him in
connection with his plea bargain and the entry of his guilty
plea. Defense counsel represented to us that when the plea
bargain was reached he did not know and therefore did not inform
defendant that defendant would be subject to lifetime parole.
The assistant prosecutor who argued for the State conceded that
if defendant was not advised before pleading that he would be
subject to lifetime parole, he would be entitled to withdraw his
guilty plea.See footnote 66 See State v. Garcia,
320 N.J. Super. 332, 339
(App. Div. 1999) (attorney who failed to inform his alien client
that guilty plea would subject him to incarceration for an
indefinite period because Cuba would not accept return of
deported nationals rendered ineffective assistance); cf. State v.
Howard,
110 N.J. 113, 122 (1998); State v. Kovack,
91 N.J. 476,
482-84 (1982); State v. Nichols,
71 N.J. 358, 361 (1976).
"To vacate the plea, defendant must show not only that he
was misinformed of the terms of the agreement or that the
sentence violated his reasonable expectations, but also that he
is prejudiced by enforcement of the agreement." State v. Howard,
supra, 110 N.J. at 123. That means, the Supreme Court explained,
"the plea will not be vacated if knowledge of the consequences
would not have made any difference in the defendant's decision to
plead." Ibid. Despite defendant's counsel's representation, the
State may, of course, dispute defendant's contention that
defendant was not advised of the consequences of his plea and may
attempt to prove that he would have pleaded guilty even if he had
been properly advised. An evidentiary hearing is therefore
necessary. A determination whether or not the amended judgment
of conviction should be vacated, or what other relief, if any,
should be granted to defendant, must await the results of that
hearing.
This matter is therefore remanded to the Law Division for
further proceedings not inconsistent with this opinion. We do
not retain jurisdiction.
Footnote: 1 1 During argument of the motion and cross-motion which
resulted in the order that is the subject of the present appeal,
the assistant prosecutor stated that she did not have the
sentencing transcript available because it had not been ordered.
Both parties are apparently content to assume that the judgment
of conviction is consistent with the transcript.
Footnote: 2 2 a. Notwithstanding any provision of law to
the contrary, a court imposing sentence on a
person who has been convicted of aggravated
sexual assault, sexual assault, aggravated
criminal sexual contact, kidnapping pursuant
to paragraph (2) of subsection c. of N.J.S.
2C:13-1, endangering the welfare of a child
by engaging in sexual conduct which would
impair or debauch the morals of the child
pursuant to subsection a. of N.J.S. 2C:24-4,
luring or an attempt to commit any such
offense shall include, in addition to any
sentence authorized by this Code, a special
sentence of community supervision for life.
b. The special sentence of community
supervision required by this section shall
commence upon completion of the sentence
imposed pursuant to other applicable
provisions of the Code of Criminal Justice.
Persons serving a special sentence of
community supervision shall be supervised as
if on parole and subject to conditions
appropriate to protect the public and foster
rehabilitation.
Footnote: 3 3 No copies of the July 17, 1997 and October 30, 1997,
letters are included in the appendices supplied to us. However,
letters of those dates are referred to in the January 22, 1998,
letter.
Footnote: 4 4 Following the affirmance of our decision, Baker applied
for a writ of habeas corpus from the Federal District Court and,
upon denial of his application, appealed to the United States
Court of Appeals for the Third Circuit. Baker v. Barbo,
177 F.3d 149 (3d Cir.), cert. denied, __ U.S. __,
120 S. Ct. 261,
145 L.
Ed.2d 219 (1999). The Third Circuit affirmed. Ibid.
Footnote: 5 5 For Federal cases holding that a defendant's having fully served an illegal sentence does not bar the Government's appeal and the imposition of a more onerous, legal sentence, see, e.g., United States v. McClain, 133 F.3d 1191 (9th Cir.), cert. denied, 524 U.S. 960, 118 S. Ct. 2386, 141 L. Ed.2d 752 (1998); United States v. Edmonson, 792 F.2d 1492 (9th Cir. 1986), cert. denied, 479 U.S. 1037, 107 S. Ct. 892, 93 L. Ed.2d 844 (1987); Llerena v. United States, 508 F.2d 78 (5th Cir. 1975). See also Lee R. Russ, Annotation, Power of Court to Increase Severity of Unlawful Sentence_Modern Status, 28 A.L.R.4th 147 (1984). Footnote: 6 6 In response to our specific inquiry, the assistant prosecutor assured us that she was authorized to make that concession.