SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-825-96T4
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
CAROLYN PEARSON,
Defendant-Appellant.
___________________________________
Submitted December 15, 1998 - Decided February 4,
1999
Before Judges Muir, Jr., Keefe and Eichen.
On appeal from the Superior Court of New
Jersey, Law Division, Hudson County.
Ivelisse Torres, Public Defender, attorney for
appellant (Brian McCormack, Designated
Counsel, of counsel and on the brief).
Peter Verniero, Attorney General, attorney for
respondent (Bennett A. Barlyn, Deputy Attorney
General, of counsel and on the brief).
The opinion of the court was delivered by
EICHEN, J.A.D.
Defendant was found guilty by a jury of fourth degree child
abuse, N.J.S.A. 9:6-1 and 9:6-3 (counts one and two); second degree
endangering the welfare of a child, N.J.S.A. 2C:24-4a (count
three); and first degree aggravated manslaughter, as a lesser
included offense of a charge of first degree murder of her four
month old son, N.J.S.A. 2C:11-4a (count four). The jury acquitted
defendant of first degree murder. The trial judge merged counts
one and two into count three and sentenced defendant to thirty
years in prison with a fifteen-year period of parole ineligibility
on the aggravated manslaughter conviction and a concurrent ten-year
term with five years parole ineligibility on the endangering the
welfare of a child conviction. Appropriate fines and penalties
were also imposed.
On appeal, defendant raises the following issues:
POINT I
DEFENDANT'S TAPED STATEMENT VIOLATED THE
HOLDING OF MIRANDA v. ARIZONA.See footnote 1
POINT II
COUNSEL'S FAILURE TO PRESENT A DEFENSE ON
BATTERED WOMEN SYNDROME CONSTITUTED
INEFFECTIVE ASSISTANCE OF COUNSEL. (Not
raised below.)
POINT III
THE COURT ABUSED ITS DISCRETION WHEN IT
SENTENCED THE DEFENDANT.
A. THE TRIAL COURT FAILED TO APPLY MITIGATING
FACTORS.
1. MITIGATING FACTOR (11) "HARDSHIP."
2. MITIGATING FACTOR (4) "GROUND EXCUSING
DEFENDANT'S CONDUCT THOUGH NOT
ESTABLISHING A DEFENSE."
3. MITIGATING FACTOR (9) "DEFENDANT'S
CHARACTER AND ATTITUDE INDICATE THEY ARE
UNLIKELY TO COMMIT ANOTHER OFFENSE."
4. MITIGATING FACTOR (8) "CIRCUMSTANCES
UNLIKELY TO RECUR."
B. THE COURT FAILED TO APPLY OR BALANCE
AGGRAVATING AND MITIGATING FACTORS WHEN IT
IMPOSED A MAXIMUM PERIOD OF PAROLE
INELIGIBILITY.
C. THE TRIAL COURT'S SENTENCE VIOLATED THE
HOLDING OF STATE v. ROACH.See footnote 2
Our review of the record satisfies us that defendant's
convictions must be reversed and the matter remanded for a new
trial because the statement defendant gave to investigators at the
Hudson County Prosecutor's Office was given in violation of her
Miranda rights and because we are not convinced that the improper
admission of the statement can be viewed as harmless error. In
light of our decision, we find it unnecessary to address the issues
raised in Points II and III of defendant's brief.
These are the relevant facts. On Monday, April 4, 1994, at
approximately 8:30 a.m., Investigator John Appleyard and
Investigator Anthony Strivolino of the Hudson County Prosecutor's
Office arrived at an apartment in Jersey City on the report of a
suspicious death. Investigator Appleyard testified that when he
arrived at the apartment the police were present and he was
escorted to a front room where he observed a dead male infant lying
in a child's car seat. The investigator described the corpse as "a
little in rough shape physically. He had what appeared to be a
couple of bruises on the forehead, some drooping skin. He looked
very thin." Present in the apartment were defendant, who was the
infant's mother and her mother; an elderly female neighbor; and
three of defendant's four other children, all of whom were under
the age of five. The father, co-defendant Philip Carter, was not
there.See footnote 3 The investigator testified that defendant was crying and
appeared "distraught." He stated that defendant told him she had
last fed the infant on Sunday around 7:30 a.m. and last saw him
alive between noon and 1:00 p.m. on Sunday afternoon. She told the
investigator that she left the infant in Carter's care while she
slept and that when she awoke, at about 11:00 p.m. on Sunday night,
she looked in on the child and then went downstairs to a neighbor
where she remained until 7:30 a.m. Monday morning. She explained
that she expected Carter to care for the child if he woke up. When
defendant returned to the apartment and went to check on the infant
at around 7:30 a.m. on Monday, he felt cold and stiff.
An autopsy conducted by the State Medical Examiner's Office
between 1:00 p.m. and 5:00 p.m. that day reported the immediate
cause of death as "battered child syndrome with blunt impact
cranial[,] cerebral[,] and cervical injuries"; "dehydration"' and
"extreme emaciation due to lack of food." The medical examiner
testified that the corpse was in "very poor physical condition with
evidence of chronic trauma," including head and neck injuries. The
medical examiner also described the infant as looking like "an
African kid you see in magazines from a Third World country, like
victims of starvation.... He looked kind of like an old man more
than he looked like a baby." Although he was unable to state the
exact time of death, he did state that the infant died as the
result of "[t]he combination of anatomical findings."
At the apartment, Investigator Appleyard questioned defendant
as to why there was no infant formula. He testified that defendant
had told him she had recently received a case of formula from a
public assistance program known as "WIC,"See footnote 4 but he did not find any.
The investigator stated that defendant attempted to rationalize the
situation by explaining that she used Carnation evaporated milk
when she ran out of formula. Investigator Appleyard described the
apartment and defendant's children as filthy, noting there was only
one dirty crib which apparently was used by the one year old child.
After about an hour and one-half, Investigator Appleyard asked
defendant to accompany him to the Hudson County Prosecutor's
Office, and she agreed to do so. He did not advise her that she
was free to refuse his request.See footnote 5
At 9:45 a.m., Investigators Appleyard and Strivolino put
defendant in the back of their unmarked vehicle and drove her to
the prosecutor's office where, at approximately 10:00 a.m., she was
placed in a ten-by-ten-foot room in the homicide unit for further
questioning. Defendant remained alone in the room for more than an
hour before the questioning began. Thereafter, Investigators
Appleyard and Strivolino seated themselves on either side of her
and conducted a preliminary interview. Defendant then took the
oath and gave a formal tape-recorded statement. The taped
statement, comprising twenty-five pages of transcribed questions
and answers, was recorded between 11:35 and 11:59 a.m. In the
statement, defendant denied that she had physically abused the
infant. She stated that the child had been born addicted to
cocaine,See footnote 6 but when specifically asked whether she "[did] cocaine"
on Sunday, she responded "no." She did, however, admit that she
and co-defendant occasionally inhaled cocaine and that she had used
the drug on the Thursday preceding the infant's death. She also
admitted to drinking alcohol.
At no time was defendant told that her presence at the
prosecutor's office was voluntary or that she was free to leave.
Nor was she advised of her Miranda rights. Even after giving her
statement, she was not told she could leave, and in fact, she
remained in the prosecutor's office until she was formally arrested
later that day, presumably after the medical examiner reported the
autopsy results.
Investigator Appleyard testified that he took defendant to the
prosecutor's office because he wished to question her further and
it was too chaotic to continue the questioning in the apartment.
He also indicated that he did not consider defendant to be "a
suspect" inasmuch as the infant's death might have been a SIDS
death.See footnote 7 Additionally, he noted that at the end of the interview
defendant answered "no" to the question of whether any pressure or
coercion was used to force or compel her to give the statement.
At the conclusion of the Miranda hearing, the trial judge
determined that defendant's statements should be admitted despite
the investigator's failure to give defendant Miranda warnings. The
court concluded that Miranda did not apply here because defendant
was not in custody and was free to leave at any time during the
interview. He determined that the interview was held at a time
when it was not clear to the investigator whether he was
investigating a homicide or an accidental death and therefore
defendant was not a "suspect" in a homicide. Although the court
acknowledged that the infant appeared to be "in a state of
dehydration and malnutrition," it nonetheless concluded that there
was nothing to suggest to the investigator, not even a "hint," that
there was "mistreatment by the mother and a homicide," and
concluded that Investigator Appleyard was "not asking questions [in
the apartment] to determine that [she was] a suspect." The court
then indicated that defendant's statements were voluntary and not
coerced and therefore would be admitted into evidence.
It is well settled that Miranda warnings are required when a
person is subject to "custodial interrogation." Miranda v.
Arizona,
384 U.S. 436, 444,
86 S. Ct. 1602, 1612,
16 L. Ed.2d 694,
706 (1966). "Custodial interrogation" means "questioning initiated
by law enforcement officers after a person has been taken into
custody or otherwise deprived of his freedom of action in any
significant way." Ibid. Absent Miranda warnings, statements made
by a defendant in custody, whether exculpatory or inculpatory, may
not be used in the prosecutor's case-in-chief. State v. Hartley,
103 N.J. 252, 275 (1986).
"Miranda turns on the potentially inquisitorial nature of
police questioning and the inherent psychological pressure on a
suspect in custody." State v. P.Z.,
152 N.J. 86, 102 (1997)
(citing Miranda, supra, 384 U.S. at 445-58, 86 S. Ct. at 1612-19,
16 L. Ed.
2d at 707-14)). Moreover, it "[is] the compulsive aspect
of custodial interrogation, and not the strength or content of the
government's suspicions at the time the questioning [is] conducted"
which implicates the Miranda requirements. Stansbury v.
California,
511 U.S. 318, 323,
114 S. Ct. 1526, 1529,
128 L. Ed.2d 293, 299 (1994) (quoting Beckwith v. United States,
425 U.S. 341,
346,
96 S. Ct. 1612, 1616,
48 L. Ed.2d 1, 7 (1976)). Indeed,
unless the officer's beliefs are conveyed in some way to the person
being interrogated or interviewed, they do not affect the Miranda
custody inquiry; a law enforcement officer's beliefs are "relevant
only to the extent they influence[] the objective conditions
surrounding [the] interrogation" and "would affect how a reasonable
person in the position of the individual being questioned would
gauge the breadth of his or her `freedom of action.'" Id. at 325,
114 S. Ct. at 1530, 128 L. Ed.
2d at 300 (quoting Berkemer v.
McCarty,
468 U.S. 420, 440,
104 S. Ct. 3138, 3150,
82 L. Ed 2d
317, 335 (1984)). Hence, subjective beliefs may be only one among
many factors bearing upon the determination of whether an
individual is in custody. Ibid.
Hence, the test is an objective one which focuses on the
totality of the circumstances. Ibid.; see also P.Z., supra, 152
N.J. at 102-03. Those circumstances include the time and place of
the interrogation, the length of the interrogation, the nature of
the questions, the conduct of the police, the status of the
interrogator, the status of the suspect, and other such factors.
See P.Z., supra, 152 N.J. at 103; State v. McLaughlin,
310 N.J.
Super. 242, 252 (App. Div.), certif. denied,
156 N.J. 381 (1998);
State v. Coburn,
221 N.J. Super. 586, 595-96 (App. Div. 1987),
certif. denied,
110 N.J. 300 (1988).
In State v. Coburn, we explained that "the standard is the
objective reasonable man test." 221 N.J. Super. at 596. There, we
indicated that "custody exists if the action of the interrogating
officers and the surrounding circumstances, fairly construed, would
reasonably lead a detainee to believe he could not leave freely."
Ibid.; accord State v. O'Loughlin,
270 N.J. Super. 472, 477 (App.
Div. 1994). Accordingly, courts are directed always to apply a
case-by-case approach in which the totality of the circumstances
are examined in determining whether a "custodial interrogation" has
occurred. O'Loughlin, supra, 270 N.J. Super. at 477; State v.
Godfrey,
131 N.J. Super. 168, 177 (App. Div. 1974), aff'd o.b.,
67 N.J. 267 (1975).
In this case, from the outset of the investigation both the
investigators and defendant had to have been aware that the infant
expired under suspicious circumstances. The dead infant appeared
emaciated, dehydrated and bruised. Just observing the corpse
revealed the child had suffered severely at the hands of his
supposed caretakers. Indeed, the medical examiner compared him to
a third-world victim of starvation. Investigator Appleyard had
seen the infant's pitiable condition and the deplorable state of
the apartment. He also knew that defendant was the infant's mother
and the person charged with his care and well-being. Thus, it
strains credulity to conclude, as the trial court did here, that
Investigator Appleyard believed that the infant's death was
accidental; rather, it had to be apparent to both defendant and the
investigator that defendant had contributed to his death in some
respect. In deciding whether defendant was free to leave the
prosecutor's office, the trial court placed too much emphasis on
the investigator's subjective belief that the infant might have
died of SIDS or some other accidental cause. As previously noted,
it is not the subjective views of the interrogator that governs the
determination of "custody," but the objective surrounding
circumstances that are determinative. Stansbury, supra, 511 U.S.
at 323, 114 S. Ct. at 1529, 128 L. Ed.
2d at 298.
Those circumstances here included the horrific condition of
the dead infant, as well as the inherently coercive physical
environment of the prosecutor's office, the length of time
defendant remained at the office, and the nature of the questions
put to defendant. These were such that a reasonable person in
defendant's position would have realized she was a target of the
prosecutor's investigation and was not free to leave.
Defendant was placed in a small room alone where she remained
unattended for an hour before any questioning began. She was then
joined by two investigators who sat on either side of her,
interviewing her for more than one-half hour before she gave a
formal statement. Additionally, before the questioning began,
defendant was warned of the solemnity of the oath, was sworn to
tell the truth, and was then asked questions designed to elicit
incriminating responses concerning the infant's care and
defendant's alcohol and cocaine use at or about the time the infant
expired.
In these circumstances, we are persuaded that the court erred
in admitting the statement. Defendant was "in custody" and was
therefore entitled to Miranda warnings before she was interrogated.
As a result, defendant's statement to the investigators at the
prosecutor's office should have been excluded.
This finding of a Miranda violation does not end our inquiry,
however. We must examine the consequences that flow from that
violation. If the admission of defendant's unwarned statement had
the clear capacity to cause an unfair result, then the convictions
must be reversed and a new trial ordered. In other words, we must
determine whether the erroneous admission of defendant's
incriminating statement was harmless beyond a reasonable doubt.
See State v. McCloskey,
90 N.J. 18, 29 (1982) (applying harmless
error standard to determine whether reversal was required when
statement was admitted against defendant in violation of his
constitutional right against self-incrimination); see also State v.
Spruell,
121 N.J. 32, 42-43 (1990) (observing that regardless of
whether an error is of constitutional dimension, "[t]he ultimate
inquiry [must] focus[] on the possibility of injustice `sufficient
to raise a reasonable doubt as to whether the error led the jury to
a result it otherwise might not have reached.'" (citation
omitted)).
In this case, the jury convicted defendant of aggravated
manslaughter, rejecting the lesser included offense of reckless
manslaughter. N.J.S.A. 2C:11-4a provides that a person is guilty
of aggravated manslaughter when he or she "recklessly causes death
under circumstances manifesting extreme indifference to human
life." In contrast, a conviction for reckless manslaughter
requires only that the conduct causing death be committed
"recklessly." N.J.S.A. 2C:11-4b(1). Recklessness under
circumstances "manifesting extreme indifference to the value of
human life ... is significantly more serious than ordinary reckless
conduct." State v. Farrell,
250 N.J. Super. 386, 390 (App. Div.
1991). The higher degree of recklessness involves not just a
possibility that death will occur, but a probability of its
occurrence. State v. Curtis,
195 N.J. Super. 354, 364-65 (App.
Div.), certif. denied,
99 N.J. 212 (1984). Thus, to convict a
defendant of aggravated manslaughter, the State must prove not only
that the defendant acted recklessly but also that he acted "under
circumstances manifesting extreme indifference to human life."
N.J.S.A. 2C:11-4a.
This additional element focuses on the circumstances under
which the defendant acted, rather than the defendant's state of
mind. Curtis, supra, 195 N.J. Super. at 364-65; see also State v.
Saunders,
277 N.J. Super. 322, 326 (App. Div. 1994), certif.
denied,
139 N.J. 442 (1995). If the defendant's actions created a
probability as opposed to the mere possibility of death in light of
the attendant circumstances, then the defendant is deemed to have
acted with extreme indifference to human life. Curtis, supra, 195
N.J. Super. at 364.
We are convinced that, given the evidence of the infant's
pitiable condition, the improperly admitted evidence of defendant's
use of cocaine near the time of the infant's demise had to have
contributed to the jury's conclusion that defendant acted with
"extreme indifference to human life," resulting in her conviction
for aggravated manslaughter. See N.J.S.A. 2C:11-4a. That this
evidence was capable of having such an effect is reflected in the
prosecutor's argument in summation which drew a connection between
defendant's "chronic" drug habit, the suspicious disappearance of
the free infant formula provided by WIC, implying it had been sold
to obtain money to buy drugs, and the child's physical condition
and resulting death. Without the improperly admitted evidence of
recent cocaine use and the prejudicial inferences that a jury could
reasonably have drawn from the missing formula, we cannot state
that a jury would have found defendant guilty of aggravated
manslaughter beyond a reasonable doubt. The jury would have to
have concluded that defendant's recklessness was so "extreme" that
defendant "did not care whether [her son] lived or died." Curtis,
supra, 195 N.J. Super. at 367.
Notably, defendant moved to redact those damaging portions of
the statement, but the trial court rejected defendant's motion.
Had the court acceded to the request, the error might well have
been viewed as harmless. We recognize the jury knew defendant had
used cocaine in the past, as reflected by her trial stipulation
that the infant was born addicted to the drug, but the evidence
depicting defendant as an ongoing drug addict creates a "reasonable
possibility" that the evidence of her recent use contributed to the
conviction. See State v. Macon,
57 N.J. 325, 339 (1971). Hence,
the error in admitting the statement during the State's case-in-chief contrary to Miranda's requirements cannot be condoned as
harmless error. There is a strong "possibility of injustice,
`sufficient to raise a reasonable doubt as to whether the error led
the jury to a result it otherwise might not have reached.'"
Spruell, supra, 121 N.J. at 43 (quoting Melvin, supra, 65 N.J. at
18-19). Accordingly, we are convinced defendant was denied "a fair
trial and a fair decision on the merits." Macon, supra, 57 N.J. at
338.
The judgment of conviction is reversed, and the matter is
remanded for a new trial.
Footnote: 1 Miranda v. Arizona, 384 U.S. 436, 478-79, 86 S. Ct. 1602, 1630, 16 L. Ed.2d 694, 726 (1966). Footnote: 2 State v. Roach, 146 N.J. 208, cert. denied, 117 S. Ct. 540, 136 L. Ed.2d 424 (1996). Footnote: 3 Defendant and co-defendant Philip Carter were charged in a single indictment. Their trials were severed. Subsequently, Carter pleaded guilty to one count of aggravated manslaughter and, in accordance with the plea agreement, received a sentence of twenty years with parole eligibility to be determined by the State Parole Board. Footnote: 4 "WIC" is a supplemental feeding program for women, infants and children on public assistance. At trial, a WIC representative confirmed that defendant had recently received formula. Footnote: 5 Defendant does not contend that she was entitled to Miranda warnings before being questioned in the apartment. Footnote: 6 Although defendant did not testify at trial, she stipulated that the infant had been born addicted to cocaine. Significantly, she did not stipulate to any drug use after the infant's birth. Footnote: 7 "SIDS" stands for "Sudden Infant Death Syndrome."