SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-1553-95T4
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
TRACY SPENCER,
Defendant-Appellant.
Argued: February 9, 1999 - Decided: March 12,
1999
Before Judges Pressler, Kleiner and Steinberg.
On appeal from the Superior Court of New
Jersey, Law Division, Hudson County.
James K. Smith, Jr., Assistant Deputy Public
Defender, argued the cause for appellant
(Ivelisse Torres, Public Defender, attorney;
Mr. Smith, of counsel and on the brief).
Jordana Jakubovic, Deputy Attorney General,
argued the cause for respondent (Peter
Verniero, Attorney General, attorney; Ms.
Jakubovic, of counsel and on the brief).
The opinion of the court was delivered by
STEINBERG, J.A.D.
Following a trial by jury, defendant Tracy Spencer was found
guilty of first-degree aggravated manslaughter, (N.J.S.A. 2C:11-4(a)) as a lesser-included offense of first-degree murder,
(N.J.S.A. 2C:11-3(a)(1) and (2)) (count one); felony murder,
(N.J.S.A. 2C:11-3(a)(3)) (count two); first-degree aggravated
sexual assault, (N.J.S.A. 2C:14-2(a)(1)) (count three); and first-degree aggravated sexual assault, (N.J.S.A. 2C:14-2(a)(6)) (count
four). The trial judge merged counts one, three, and four into
count two and sentenced defendant to life in prison, with a thirty-year period of parole ineligibility. In addition, the judge
imposed a Violent Crimes Compensation Board Penalty of $100.
Defendant appeals. We reverse.
After defendant's release from prison in October 1988, he
resumed his relationship with D.C., the mother of his daughter,
Y.C., born March 17, 1988. Although D.C. had primary custody of
Y.C. she permitted defendant to take the baby home to his mother's
house one night every other weekend. On Friday, March 10, 1989,
D.C. spent most of the day driving around with defendant. They
returned to D.C.'s house at approximately 10:00 p.m. Before D.C.
exited the car, defendant asked if Y.C. could spend the night with
him, promising to take the baby straight home to his mother's
house. D.C. agreed and went inside to retrieve Y.C.
When D.C. went inside the home to retrieve Y.C., her brother,
L.C. told her not to give Y.C. to defendant. When D.C. refused to
listen to him, L.C. went out and spoke directly to defendant. L.C.
informed defendant that he had learned from defendant's sister what
he was doing to the baby and cautioned defendant to take better
care of Y.C.
The following evening, March 11, 1989, defendant appeared at
D.C.'s house at approximately 7:30 p.m. He told her that his
mother had taken Y.C. to church and asked if she wanted to go out.
After D.C. agreed, defendant informed her that he would be back to
pick her up at 9:30 p.m. However, he never returned. She was able
to locate defendant at his cousin's apartment and thereafter
defendant and D.C. went out together. Defendant advised her that
he planned on returning Y.C. the following afternoon.
The next day, Sunday, March 12, 1989, D.C. called defendant's
house at noontime and asked defendant's half-brother Pete if he had
seen Y.C. When Pete replied that he had not, and that defendant
was asleep, she insisted that he wake defendant. Defendant came to
the phone and informed D.C. that Y.C. was in his room asleep and
that he would return her to D.C. at 3:00 p.m. However, at 3:30
p.m. defendant called and said that he was helping his cousin move
furniture and that he would bring Y.C. home as soon as he was
through. When she did not hear from defendant by 7:00 p.m., D.C.
went to defendant's cousin's apartment and was told that defendant
had gone to New York. D.C. then called defendant's house in an
effort to get more information but was unable to learn anything
further about his whereabouts.
The next day, Monday, March 13, 1989, D.C. again called
defendant's house. His family said they had not seen him and D.C.
decided to go out looking for him. She was unsuccessful and went
to the local police station at approximately 7:30 p.m. to report
Y.C. missing. However, the police advised her that they would not
fill out a missing persons report since defendant was the father.
She was further advised that defendant's mother would have to come
in and fill out a missing persons report on him, and then she could
fill out a missing persons report for Y.C.
The next day, Tuesday, March 14, 1989, D.C. and defendant's
mother went to the police station and met with Sergeant Joseph
Tamburelli. According to Tamburelli, defendant's mother gave him
permission to search the back yard and basement of her home.
Accordingly, he obtained a picture of defendant and went to the
home with Sergeant Donald Guth. Finding that the door to the house
was unlocked, Tamburelli and Guth entered and went to the basement
which was unfinished and contained old furniture and debris. Using
a flashlight, Tamburelli approached a tall wooden chest and opened
two mirrored doors, revealing a pile of clothes. He pulled two or
three items off of the pile and discovered the body of Y.C. lying
face-down. He rolled the baby over on her side and determined she
was dead.
Shortly thereafter, the officers were joined in the basement
by Investigator Charles Russo of the Essex County Prosecutor's
Office. Russo noticed a flat piece of metal lying on the floor
approximately three feet away from the baby. He determined that
this piece of metal was a furnace cover on which there were legible
fingerprints and what looked like recent footprints.
Russo obtained consent from defendant's mother to search the
remainder of the house. While searching defendant's bedroom, Russo
found a small glass vial containing a white powdery residue which
proved to be .01 grams of cocaine. He also retrieved a bed sheet
and mattress cover from defendant's bed. Later testing revealed
that there were five semen stains on the sheet, but no blood.
Meanwhile, Tamburelli and Detective William Moffitt continued
to search unsuccessfully for defendant. Ultimately, on Friday,
March 17, 1989, Moffitt was advised that defendant had turned
himself in to the police station. Defendant was advised of his
Miranda rightsSee footnote 1, both orally and in writing, and he agreed to give
a statement. In that statement defendant admitted using drugs for
several hours on two days with Y.C. in his custody. He said that
on the second day he was driving Y.C. home to D.C. when he decided
to stop in order to buy some cigarettes. He said he got out of the
car holding Y.C. and accidentally closed the door on his hand
causing him to drop her. She hit the ground head-first and started
to cry and then went into convulsions and began foaming at the
mouth. According to defendant, he believed Y.C. was having
seizures and immediately looked for something to stick in her
mouth. He pulled the car key from the ignition and used it to
press down on the sides of Y.C.'s mouth. He stated that Y.C.
continued to cry but stopped foaming at the mouth. However,
eventually Y.C. shook and then was still. Defendant began to
"suck" on Y.C.'s cheeks, hoping that this would make her cry as
usual, but she did not respond. According to defendant, this
"sucking" caused Y.C. to suffer facial bruises.
Defendant also said that once he realized that Y.C. was not
breathing, he began breathing into her mouth and pushing on her
chest. He heard air come back out through her mouth and thought
that she was alive. He brought her home, cleaned her off, but
noticed she was not moving, and decided to hide her in the
basement. In the basement, he changed her diaper and noticed that
it contained a mixture of blood and diarrhea. He said he was not
sure if she was dead or alive and became frightened and decided to
smoke some crack.
Defendant was arrested and spent the weekend of March 18-19,
1989, in the Hudson County Jail. On the morning of Monday, March
20, Moffitt obtained an order allowing him to take hair, blood, and
saliva samples from defendant. Moffitt and another detective went
to the holding cell at the Central Judicial Processing (CJP) CourtSee footnote 2
where defendant was waiting to appear before a judge and took him
to the hospital where the samples were taken. On the way to the
hospital defendant remarked that people were saying that the baby
died of injuries, "where in fact it had died from suffocation". As
they returned to the parking ramp for CJP defendant told the
detectives he wanted to return to the Homicide Office to
"straighten out this whole matter". Defendant then gave a second
taped statement. In that statement defendant said that he dropped
the baby on the first night when he was out "getting high". He
stated that after being dropped she started crying "and I was
hittin' on her and she kept crying and wouldn't shut up". He
explained that he hit Y.C. in the face with his open hand and
eventually she stopped crying and did not respond at any point
thereafter. When he took her home and "was laying in bed with her"
he saw that "she wouldn't move or anything" and was "either dead or
unconscious". He then took her "downstairs in the basement to hide
her from everybody" because he was frightened. He admitted that
the baby was "[s]odomized, in her rectum, by my finger and that is
it. All of it and I'm finished". He denied any other act of
sexual penetration with Y.C. He said he was not sure if she was
dead or alive when the act of penetration occurred adding "she was
in a coma".
No semen was found in any of Y.C.'s body cavities or on any of
her clothing. However, blood was found on the inside of her hat
and in three separate locations on her diaper. One of the footwear
impressions found on the furnace cover was found to be consistent
with the tread on defendant's left sneaker.
In this appeal defendant raises the following issues:
POINT I THE DEFENDANT'S RIGHTS TO CONFRONT
THE WITNESSES AGAINST HIM AND TO A
FAIR TRIAL WERE VIOLATED WHEN THE
TRIAL COURT ALLOWED THE PROSECUTOR
TO INTRODUCE STATEMENTS OF PERSONS
WHO DID NOT TESTIFY AS SUBSTANTIVE
EVIDENCE OF GUILT UNDER N.J.R.E.
705.
A. The Prosecutor Was Allowed, Over
Objection, To Use A Report Written
By Dr. DiMaio, Who Did Not Testify,
As Substantive Evidence Of The Cause
Of The Injuries To The Victim.
B. The Prosecutor Was Allowed To Ask
Dr. Teich About Unsubstantiated
Allegations That Defendant Had Had
Sex With A Jail Guard While
Incarcerated.
C. Legal Argument.
POINT II THE TRIAL COURT ERRED IN ALLOWING
LEROY CODY TO TESTIFY ABOUT HEARSAY
ALLEGATIONS THAT DEFENDANT HAD BEEN
MISTREATING HIS CHILD, AND THEN IN
REFUSING TO ALLOW DEFENSE COUNSEL TO
CROSS-EXAMINE MR. CODY ABOUT HIS
ALLEGED ATTEMPT TO HAVE DEFENDANT
KILLED.
POINT III THE TRIAL COURT'S INSTRUCTIONS ON
FELONY MURDER AND AGGRAVATED SEXUAL
ASSAULT WERE ERRONEOUS INSOFAR AS
THEY (1) FAILED TO MAKE CLEAR THAT
DEFENDANT COULD NOT SEXUALLY ASSAULT
A DEAD BODY UNLESS THE KILLING AND
THE SEXUAL ASSAULT WERE PART OF A
CONTINUOUS TRANSACTION; AND (2)
INCORRECTLY TOLD THE JURY THAT THEY
COULD CONVICT DEFENDANT OF FELONY
MURDER IF HE HAD KILLED THE VICTIM
DURING THE COURSE OF THE SEXUAL
ASSAULT OR ITS "CONCEALMENT
EFFORTS," WHILE FAILING TO STATE
THAT "IMMEDIATE FLIGHT" ENDS WHEN
THE DEFENDANT REACHES A PLACE OF
TEMPORARY SAFETY. (Not Raised
Below).
A. Introduction.
B. Sexual Penetration Of A Dead Body.
C. Killings Done During The
"Concealment" Of The Felony.
We agree with defendant that the trial judge committed
reversible error when he allowed the prosecutor to question
defendant's expert pathologist about the report of a forensic
pathologist who had been retained by the defense but who was not
called to testify at trial. We conclude that that error requires
a reversal of defendant's convictions.
The trial involved the classic confrontation between two
expert forensic pathologists. The State relied upon Dr. Geetha
Natarajan who was the Acting State Medical Examiner. She performed
an autopsy on Y.C.'s body on the day it was discovered and
concluded that the baby had been dead for quite some time. She
observed that the top of Y.C.'s head, along with her forehead,
right lower eyelid, right jaw bone, entire left cheek area, lips,
as well as the area between her shoulder blades, were bruised. She
also noted that Y.C.'s brain was swollen with attendant hemorrhage.
Due to the absence of abrasion and the presence of a circular
pattern consistent with a knuckle imprint within the left cheek
bruising, she opined that Y.C. had been struck by a hand or fist
as opposed to being dropped. She also concluded that Y.C. had been
alive at the time all of her injuries were inflicted and that she
had died from the effects of this blunt force trauma.
Dr. Natarajan also noticed that Y.C.'s jaw bone had been
fractured on both sides and that there was moderate to severe
swelling and reddening in her anus, which was dilated, together
with related hemorrhage in certain portions of her rectum. Based
upon the location of the jaw bone fractures and the fact that they
were vertical in nature, Natarajan concluded that someone had
attempted to open Y.C.'s mouth too far by exerting a thrusting
downward pressure. Natarajan was also of the opinion that someone
had tried to thrust or push a foreign object, such as a finger,
through Y.C.'s rectal opening. Natarajan believed that Y.C. had
been alive when this attempt was made based upon the location of
the swelling and the hemorrhage.See footnote 3
After defendant's arrest, the Office of the Public Defender
consulted Dr. Dominick DiMaio and asked that he review Natarajan's
findings. DiMaio issued a one-page report that indicated that he
reviewed "various reports", but did not suggest that he had
examined the autopsy photographs or the tissue samples.
Nevertheless, DiMaio concluded (1) that the injuries to the child's
face and head were consistent with having been struck by an open
hand and fist; and (2) that "the anal injuries were not due to
insertion of a finger" but were "most consistent with sodomy due to
insertion of a penis or foreign body".
After defendant obtained private counsel, his new attorney
elected not to use DiMaio and instead retained Dr. Claus Speth, a
forensic pathologist, who eventually prepared a forty-page report,
and testified for defendant at trial. In that report he indicated
that he had been given DiMaio's report and he outlined DiMaio's
findings. He did not mention DiMaio's report in his direct
testimony.
Speth had previously been the Gloucester County Medical
Examiner. However, he admitted on cross-examination during voir
dire concerning his qualifications that his eligibility to work as
a medical examiner had been withdrawn in 1992 because of alleged
deficiencies in the performance of his duties in that office. He
testified that he had denied the allegations of wrongdoing, had
asked for a hearing, and the matter was in litigation.
On direct examination Speth disagreed with Natarajan's
conclusions. He rejected her conclusion that Y.C. had sustained an
injury to the top of her head and that her forehead injury was an
impact injury. He concluded that the marks on Y.C.'s left cheek
were actually due to pressure from lying face-down and
decomposition rather than from a blow to the face. He opined that
Y.C.'s jaw bone fractures could have occurred as a result of a
forceful opening of her mouth. He expressed his belief that the
fractures were really "green stick fractures" which resulted from
defendant either falling or rolling on top of Y.C. He rejected
Natarajan's conclusion that an object had been forcefully put in
Y.C.'s anus. He concluded that while Y.C. had sustained some
injuries, it did not appear that these injuries had resulted from
having been beaten or that they had caused her death. He suggested
that Y.C.'s injuries were more consistent with being crushed,
insisting that there was no evidence that she had been dropped. He
opined that the actual cause of death was dehydration, coupled with
injuries of a non-lethal nature.
At the outset of his cross-examination of Speth, the
prosecutor asked whether DiMaio had reviewed Natarajan's autopsy
report and agreed with her conclusions. Defense counsel
immediately objected, asserting at sidebar that Speth did not rely
upon DiMaio's report in reaching his conclusions and that it was
"otherwise non-discoverable material". Defense counsel conceded
that Speth had mentioned DiMaio's findings and conclusions in his
report. Accordingly, the trial judge permitted the cross-examination. Thereafter, the prosecutor elicited from Speth the
fact that DiMaio was the former Chief of the New York City Medical
Examiner's Office; was the Chief of the Brooklyn Office for a
number of years; and that DiMaio had been retained by defendant's
first attorney to review Natarajan's conclusions. In cross-examining Speth, the prosecutor then elicited from him DiMaio's
conclusions, which we have already described. The prosecutor
concluded his questioning of Speth by having him acknowledge that
DiMaio and DiMaio's son had written a "[v]ery respected, excellent"
book on pathology.
The prosecutor subsequently revisited the subject of DiMaio's
report during his summation as follows:
So Dr. DiMaio ... agrees with everything Dr.
Natarajan says. He wrote the book on forensic
pathology or a book well-respected, says Dr.
Speth, the Chief Medical Examiner in Brooklyn,
New York, for a number of years, the Chief of
the New York City Medical Examiner's Office.
Dr. Speth, the Shell Answer Man, has an answer
for everything, says that it was all politics
but, at least, he was the acting or was the
head for some period of time for New York
City.
The rectum, Dr. DiMaio, consistent with a
large object like the penis going into the
rectum. Dr. Speth says this thing about some
piece of tissue that he doesn't see injury to
five years later looking at the pictures,
although he did say, ... he said maybe the
pinky could go in there without injuring that.
Okay?
Dr. Natarajan saw the body, she had no axe to
grind ...
And you saw the photos. Sometimes juries
don't see the photos like this. But when an
autopsy is contested, you see these things.
You will see bone, it's bone, bone, and you
will see the crack. Who do you believe what
happened to that jaw? I don't mean to be
silly or anything but who would you buy a used
car from, Dr. Speth, the suspended guy,See footnote 4 or
Dr. Natarajan, the Acting State Medical
Examiner and Dr. DiMaio, the former Chief of
the New York City Medical Examiner's Office?
We conclude that the prosecutor's cross-examination of Speth
which elicited for the jury the opinion of DiMaio, who did not
testify and was not subjected to cross-examination, coupled with
the improper use of that cross-examination on his summation
deprived defendant not only of his constitutional right to confront
a witness, but also his constitutional right to a fair trial.
Accordingly, we reverse.
Expert testimony is authorized where scientific or specialized
knowledge will assist the trier of fact to determine a fact in
issue. See N.J.R.E. 702; State v. Clowney, 299 N.J. Super. 1, 19
(App. Div.), certif. denied,
151 N.J. 77 (1997). The very premise
which makes expert testimony admissible, namely its esoteric,
abstruse, and special nature, subjects it to legitimately expansive
cross-examination in order to enable the jury to assess its
soundness. State v. Clowney, supra, 299 N.J. Super. at 19.
Accordingly, on cross-examination, an expert may be required to
disclose the underlying facts or data upon which he relied. State
v. Pennington,
119 N.J. 547, 583 (1990). See also N.J.R.E. 705.
This disclosure requirement also extends to inadmissible evidence
such as hearsay, upon which experts are permitted to rely provided
the evidence is "of a type reasonably relied upon by experts in a
particular field in forming opinions upon the subject" at issue.
N.J.R.E. 703. However, hearsay evidence not relied upon by an
expert may not be employed on cross-examination. See State v.
Pennington, supra, 119 N.J. at 583. Moreover, although the cross-examiner may inquire as to whether the expert relied upon certain
hearsay evidence, upon receipt of a negative response, the details
of that particular evidence may not be used as the basis for
further cross-examination. Ibid. The mere fact that Speth, in his
report, mentioned DiMaio's findings and conclusions did not render
the contents of DiMaio's report admissible in view of Speth's
testimony that he disagreed with them and did not rely upon them
in reaching his own conclusions. Nonetheless, through the vehicle
of cross-examination Speth was improperly required to inform the
jury of hearsay it was not otherwise permitted to hear. See State
v. Burris,
298 N.J. Super. 505, 512 (App. Div. 1997).
We reject the State's argument that DiMaio's report was not
hearsay since it was not offered for the truth of the matter
asserted, but rather only to impeach the credibility of the witness
by virtue of its simple existence. See N.J.R.E. 801(c). Not only
did the prosecutor by that device elicit the contents of DiMaio's
report, but he also brought out the fact that DiMaio's conclusions
agreed with Natarajan's. In addition, on summation, he stressed
the qualifications of DiMaio and compared them with Speth's
qualifications and status, including his current status. We regard
the prosecutor's action as having unfairly and improperly
undermined Speth's testimony.
We conclude that the improper cross-examination of Speth which
brought to the attention of the jury the opinion of DiMaio, who did
not testify and which was consistent with the State's expert, had
the clear capacity to unfairly tip the scales in favor of the
State, particularly in light of the prosecutor's summation that
highlighted the differences between the eminent qualifications of
DiMaio and the then current status of Speth.
In addition, although not argued by defendant on appeal, we
conclude that the State's improper use of DiMaio's report subverted
defendant's right to the effective assistance of counsel guaranteed
him by the Sixth Amendment of the United States Constitution and by
Art. I, par. 10 of the New Jersey Constitution and independently
necessitates reversal of defendant's convictions. The
constitutional right to counsel comprehends the right to the
effective assistance of counsel. State v. Mingo,
77 N.J. 576, 581
(1978). To safeguard the ability of an attorney to provide
effective assistance to his client it is essential that he be
permitted full investigative latitude in attempting to develop a
meritorious defense for his client. Id. at 582. That latitude is
circumscribed if defense counsel must risk a potentially crippling
revelation to the State, by way of discovery, of information
uncovered in the course of investigation which counsel does not
intend to use at trial. Ibid. Accordingly, a defense attorney
must have the right to seek out expert evidence without risking its
disclosure to the State if the expert's opinion turns out to be
unfavorable to the defense. Ibid. Although we cannot discern from
the record how the State obtained the report of DiMaio, that fact
is of no consequence since the right to the effective assistance of
counsel is clearly subverted if an expert report obtained for
defense purposes by defense counsel is discovered by the State and
utilized by it, either directly or indirectly, at trial, when the
expert was not used by defendant at trial. Id. at 584. In
objecting to the cross-examination of Speth regarding DiMaio's
conclusion, defense counsel correctly argued that DiMaio's report
was not discoverable since he did not intend to use DiMaio at
trial. See Id. at 586. The rule declaring reports of experts
consulted by defendants in a criminal prosecution immune from
discovery and testimony when the expert will not testify as a
witness for the defense and whose report will not be utilized as
evidence is designed to provide effective representation by
affording counsel the utmost freedom in seeking the guidance of an
expert without fear that any unfavorable material so obtained will
be used against defendant. Id. at 587. Likewise, here,
defendant's right to the effective assistance of counsel was
undermined when the State was improperly permitted to cross-examine
Speth regarding DiMaio's report and to further comment upon it in
summation. To hold otherwise might discourage counsel from seeking
expert assistance. Accordingly, we conclude that the protection
from the unwarranted disclosure or use of the report of an expert
consulted by defense counsel which will not be used by defendant at
trial is an indispensable element of defendant's constitutional
right to the effective assistance of counsel. Ibid. See also
State v. Williams,
80 N.J. 472, 478-79 (1979) (trial judge
committed reversible error in granting the State's motion to
discover photographs used and memoranda made of interviews between
defense counsel and the victim during which the victim identified
a photograph of defendant where defense counsel did not intend to
use the inculpatory information at trial; such compelled discovery
violated defendant's right to the effective assistance of counsel).
Although we have concluded that defendant's convictions must
be reversed, we consider the remaining issues raised by defendant
on appeal for guidance of the parties on retrial.
In support of the defenses of insanity and diminished
capacity, defendant called a psychiatrist, Dr. Stephen Teich, as a
witness. Based upon his evaluation, Teich testified that at the
time of Y.C.'s death, defendant was limited by his low IQ and was
also suffering from a mental illness which interfered with his
thinking, such that he did not know right from wrong and could not
make appropriate judgments concerning his behavior. Teich was also
of the opinion that defendant was depressed and suffering from
chronic post-traumatic stress disorder. In attempting to challenge
the validity of Teich's conclusion that defendant suffered from
severe depression, the prosecutor asked Teich whether he was aware
of reports that defendant was having sexual relations in jail with
a female officer. The cross-examination was improper. Although
counsel is customarily given considerable latitude in the cross-examination of witnesses, that latitude is subject to limits
reasonably imposed by the trial court in the exercise of its sound
discretion. See State v. Rose,
112 N.J. 454, 499 (1988). There
was no indication that Teich relied on that information in coming
to his conclusions. An expert may be asked on cross-examination to
disclose the underlying facts or data he relied upon. N.J.R.E.
705. However, as discussed above, hearsay evidence which has not
been relied upon by the expert may not be employed on cross-examination. See State v. Rose, supra, 112 N.J. at 499-500. In
addition, the cross-examination is improper if it is unrelated to
the expert's opinion or to the material upon which the expert has
relied, is not based on evidence in the record, and the prosecutor
has made no proffer that he could prove the underlying events. See
State v. Pennington, supra, 119 N.J. at 578. Of course, even if
the cross-examiner makes a proffer of the facts he intends to
prove, those facts must be relevant. On remand the prosecutor
shall not cross-examine defendant's experts about the details of
incidents on which the experts did not rely. The prosecutor may
elicit whether the expert relied on any such evidence, but in the
face of a denial, may not use the details of that evidence as the
basis of further cross-examination. Id. at 583.
We next consider defendants contention that he was unduly
prejudiced when the trial court permitted L.C. to present hearsay
evidence regarding defendant's alleged prior mistreatment of Y.C.
Additionally, defendant contends that this error was compounded
when the trial judge later refused to permit defense counsel, in an
effort to demonstrate L.C.'s bias against defendant, to question
L.C. regarding his efforts to have defendant killed by a fellow
inmate. Before L.C. took the stand, defense counsel advised the
judge that he objected to any mention of an argument between L.C.
and defendant regarding Y.C.'s care. The argument occurred on the
night defendant took the child from D.C. At a sidebar conference
regarding the objection, the prosecutor indicated that the witness
would say "that he had heard that the baby was being mistreated by
[defendant]". The judge ruled that testimony inadmissible. The
prosecutor acquiesced in that ruling and then indicated that he
wished to bring out the fact that L.C. and defendant had an
argument and that L.C. told defendant "to take care of the baby,
better care of the baby". The judge indicated he would allow that
testimony.
However, during direct examination of L.C. after he testified
that defendant came to the home to pick up the baby he said he went
outside and "had words with him." The following exchange occurred:
Prosecutor: And just tell us what you said to
him?
L.C.: I had told him that I found out what he
was doing to the baby by his sister.
The Court: No, no. Don't tell us anything
but what the prosecutor just asked. He said:
Tell us what you said to him.
L.C.: That is what I am telling him what I
said to him.
Prosecutor: Did you tell him to do anything
or not to do anything?
L.C.: No. When he, what I say to him, I told
him out what his sister ...
Prosecutor: Don't tell us ... just tell us
... did you tell him to do anything or not to
do anything?
L.C.: No, I didn't tell him to do nothing.
Prosecutor: If I could lead here, judge?
The Court: Ask the question and I will rule
on it.
Prosecutor: OK.
Prosecutor: Did you tell him to take better
care of the baby?
The Court: I will allow that question.
L.C.: Yes.
Just before defense counsel began his cross-examination of
L.C., he advised the court that he intended to ask the witness
whether he had attempted to arrange a contract with William Adams
to have defendant killed while in jail. Defense counsel explained
that he had learned of L.C.'s efforts in this regard from defendant
who claimed to have discussed the matter with Adams, a fellow
inmate awaiting trial on pending murder charges. Although defense
counsel insisted that he had a good faith basis to impeach L.C. in
this matter, the trial judge disagreed and refused to permit the
question. Significantly, defense counsel did not state that Adams
would testify on behalf of defendant.
The trial judge correctly sustained defendant's objection to
testimony from L.C. as to information he received from defendant's
sister regarding prior mistreatment of Y.C. That testimony was
inadmissible hearsay which was offered to prove the truth of the
matter allegedly asserted by defendant's sister. See N.J.R.E.
801(c). A specific hearsay statement is not always required in
order to implicate the rule against hearsay evidence. If the
evidence elicited tends to create an impermissible inference of
guilt based upon a statement made by someone other than a witness
at the trial it is inadmissible. See State v. Bankston,
63 N.J. 263, 271 (1973); State v. Torres,
313 N.J. Super. 129, 157 (App.
Div. 1998). On retrial we direct that the prosecutor not attempt
to elicit this inadmissible hearsay through L.C. Moreover, we
conclude that the testimony of L.C. that he told defendant to take
better care of the baby is irrelevant and should not be elicited,
particularly since the question suggests that L.C. is aware of
information not placed in evidence which would suggest mistreatment
of the child by defendant.
In addition, we agree with the trial judge that the proposed
cross-examination of L.C. regarding efforts he may have made to
have defendant killed by a fellow inmate was inadmissible. Without
question a defendant must be given the opportunity through
effective cross-examination to show bias on the part of an adverse
witness. See State v. Sugar,
100 N.J. 214, 230 (1985). Although
the right to effective cross-examination to test for bias at a
criminal trial is indispensable, ibid., it is not without
limitations. The cross-examiner does not have a license to roam at
will under the guise of impeaching the witness. State v. Pontery,
19 N.J. 457, 473 (1955). For example, the cross-examiner may not
ask a potentially inflammatory question without a good faith basis
to support the question. The question must be based upon facts in
evidence or based upon a proffer by the cross-examiner indicating
his ability to prove the facts contained in the question. See
State v. Rose, supra, 112 N.J. at 500. The reason for this rule is
that the question of the cross-examiner is not evidence and yet
suggests the existence of evidence tending to show bias which is
not properly before the jury. Accordingly, on retrial, if L.C.
testifies, defendant shall not be permitted to cross-examine him
regarding attempts to hire Adams to kill defendant unless he is
prepared to prove that fact through the testimony of Adams or other
competent evidence.
We next consider defendant's contentions, raised for the first
time on appeal, that the trial judge committed reversible error by
failing to properly charge the jury on both aggravated sexual
assault and felony murder. According to defendant, based upon the
evidence presented, the judge should have instructed the jury to
acquit defendant of both aggravated sexual assault and felony
murder if the evidence raised a reasonable doubt that the sexual
penetration occurred hours after Y.C. was killed. Natarajan
testified that Y.C. was alive at the time the injuries to her anus
and rectum were inflicted. At trial it was defendant's position
that there was no sexual assault. In light of that fact, in the
absence of a request from counsel, we conclude that the trial judge
did not err in not instructing the jury that it may not convict
defendant of aggravated sexual assault and felony murder if it had
a reasonable doubt that the sexual penetration occurred hours after
death. That instruction was not clearly indicated by the evidence.
See State v. Grunow,
102 N.J. 133, 148 (1986). Moreover, such an
instruction may have preempted defense counsel's strategic and
tactical decision and possibly prejudiced defendant's chances of an
acquittal. See State v. Perry,
124 N.J. 128, 162 (1991). However,
we observe that in defendant's second statement to the police he
said he was not sure Y.C. was alive when the sexual assault took
place. We have recently held that a rape-murder victim must be
alive at the time the assaultive behavior begins in order to
support a conviction of aggravated sexual assault or felony murder
predicated upon that aggravated sexual assault. See State v.
Jones,
308 N.J. Super. 174, 189 (App. Div.), certif. denied,
156 N.J. 380 (1998). However, the victim need not be alive at the time
of penetration. Ibid. When a sexual assault is committed as part
of one continuous transaction, the status of the victim at the time
of penetration is irrelevant. Id. at 189-90. The prosecution must
show that the victim was alive when the series of assaults began
which ultimately resulted in the act of sexual penetration charged,
but need not show that the victim was still alive at the completion
of the sequence of events. Id. at 190. The mere fact that the
victim might have been dead by the time the act of penetration
occurred does not detract from the actor's culpability provided the
sexual assault is part of a continuous transaction. Id. at 189-90.
On retrial, if defendant so requests, the trial judge should
instruct the jury that in order to convict for felony murder or
aggravated sexual assault or sexual assault, the victim must have
been alive at the time the assaultive behavior began, but not
necessarily at the time of penetration. See State v. Jones, supra.
Finally, we consider defendant's contention, again raised for
the first time on appeal, that the jury charge on felony murder was
overbroad and that the jury should have been instructed that it
could not convict defendant of felony murder if it found that he
killed Y.C. after reaching a place of temporary safety. The trial
judge instructed the jury that in order to convict defendant of
felony murder, the State had to prove beyond a reasonable doubt:
1. That on or about March 10, 1989, the
defendant was engaged in the commission of or
attempt to commit or flight after committing
or attempting to commit the crime of
aggravated sexual assault;
2. The death of [Y.C.] was caused by the
defendant; and
3. That the death of [Y.C.] was caused at
some time within the course of the commission
of that crime including its aftermath of
flight and concealment efforts.
According to our felony murder statute, an individual who is
engaged in the commission of, or an attempt to commit, or flight
after committing or attempting to commit ... sexual assault, and in
the course of such crime or of immediate flight therefrom ...
causes the death of a person is guilty of felony murder. See
N.J.S.A. 2C:11-3(a)(3). Defendant contends that to the extent that
the jury instruction would allow a defendant to be convicted of a
killing done in the "aftermath of flight and concealment efforts",
it is legally erroneous since it extends criminal liability beyond
the defendant's "immediate flight" from the sexual assault and
permits the jury to convict defendant if he was still involved in
"the aftermath of flight and concealment efforts". Defendant
contends that felony murder does not extend to the "aftermaths of
flight and concealment" of the crime. Defendant also contends that
he cannot be deemed to be in immediate flight after the commission
of the offense if he has reached a place of temporary safety before
the killing. We reject both contentions.
We agree with defendant that N.J.S.A. 2C:11-3(a)(3) does not
specifically define felony murder as a homicide committed during
any "concealment efforts" undertaken after the commission of a
predicate offense. Such specific language was also not
incorporated into N.J.S.A. 2A:113-2 which is the precursor statute
to N.J.S.A. 2C:11-3(a)(3). Nevertheless, case law interpreting
that statute recognized that a killing which occurred within the
course of committing the predicate offense, including its
aftermaths of escape and concealment efforts, constituted felony
murder if they were so closely connected with the offense as to be
a part of the res gestae. See State v. Artis,
57 N.J. 24, 32
(1970); State v. Holland,
59 N.J. 451, 458 (1971); State v. Gimbel,
107 N.J.L. 235, 241 (E & A 1930); and State v. Turco,
99 N.J.L. 96,
102 (E & A 1923). When the predicate offense and the murder are
closely connected in point of time, place and causal connection and
are integral parts of one continuous transaction, the actor may be
found to be engaged in the course of committing, or attempting to
commit the predicate offense or in immediate flight thereafter so
as to justify a conviction for felony murder. See State v.
Mirault,
92 N.J. 492, 500 (1983). We recognize that in dictum in
Mirault, supra, the Supreme Court suggested that in a felony murder
case related to robbery the actor may no longer be in immediate
flight if he has reached a point of at least temporary safety.
However, we conclude that that is just one factor for the jury to
consider in determining whether they are satisfied beyond a
reasonable doubt that the homicide occurred while the actor was
engaged in the commission of, or an attempt to commit the predicate
offense, or in immediate flight therefrom. For example, if a
person kidnaps a victim in New Jersey and immediately transports
the victim to New York to escape and forces the victim into a hotel
room where he assaults and kills the victim, can it reasonably be
argued that he is not in immediate flight after the commission of
the offense because the hotel room constitutes a place of temporary
safety. We think not. Here, although defendant's home could be
considered a place of temporary safety, the fact remains that the
victim remained in his custody at all times prior to her death. On
retrial, the trial judge should tailor the charge to the facts of
the case.See footnote 5 At retrial, the trial judge must instruct the jury that
in order to conclude that the death occurred during the course of
the commission, or attempt to commit the predicate offense, or in
immediate flight thereafter, the jury must unanimously conclude
beyond a reasonable doubt that the predicate offense and the
homicide are so closely connected in point of time, place and
causal connection that they are integral parts of one continuous
transaction. Moreover, the trial judge must also instruct the jury
that it may not convict defendant of felony murder unless they also
convict defendant of the predicate offense or an attempt to commit
the predicate offense. See State v. Grey,
147 N.J. 4, 16 (1996).
Reversed and remanded for a new trial on all counts.
Footnote: 1Miranda v. Arizona, 451 U.S. 436, 96 S.Ct. 1602, 16 L.Ed.2d 694 (1966). Footnote: 2Central Judicial Processing Courts exist in some counties. In CJP all first appearances required by R. 3:4-1(c) and R. 3:4-2 are conducted before a single judge regardless of which municipality the offense occurred. Footnote: 3Ricardo Gonzales, an investigator with the Public Defender's Office, testified at trial that he met with Natarajan who stated she was unable to tell whether the sexual assault or the blunt force trauma had occurred first. Additionally, he said that she could not state with any degree of certainty how much time elapsed between the sexual assault and the blunt force trauma. Footnote: 4The reference to Dr. Speth as being suspended was the subject of an extensive in limine hearing where it was agreed that Dr. Speth's status would not be referred to as a suspension. Footnote: 5It would be extremely helpful if the parties would submit written requests to charge pursuant to R. 1:8-7(a) and suggest proposed charges based upon the evidence at a charge conference pursuant to R. 1:8-7(b).