SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-5662-93T2
STATE OF NEW JERSEY,
Plaintiff-Respondent,
-v-
DAVID L. ROBERTSON,
Defendant-Appellant.
________________________________
Argued: December 4, 1995 - Decided: February 7, 1996
Before Judges Petrella, Skillman and P.G. Levy.
On appeal from the Superior Court, Law Division, Monmouth
County.
Seymour Gelzer argued the cause for appellant (Mr.
Gelzer, of counsel and on the brief).
Paul H. Heinzel, Deputy Attorney General, argued the
cause for respondent (Deborah T. Poritz, Attorney
General, attorney; Mr. Heinzel, of counsel and on the
brief).
The opinion of the court was delivered by
P.G. LEVY, J.A.D.
Defendant was charged by indictment with committing the
fourth degree crime of unlawful regulated activity in a freshwater
wetlands or transition area by willfully or negligently engaging in
a regulated activity within a freshwater wetlands or transition
area without a freshwater wetlands permit or a transition area
permit issued by the Department of Environmental Protection,
contrary to the provisions of N.J.S.A. 13:9B-9a, N.J.S.A. 13:9B-17a
and N.J.S.A. 13:9B-21f. He was convicted and sentenced to
probation for two years, conditioned on his obtaining and
maintaining full time employment, and fined $5,000 payable $100 per
month during the period of probation.
Defendant claims to be a farmer raising chickens and
livestock. Desiring to level part of his land to make it into
pasture for grazing, he decided to copy his neighbor who had filled
the property next door with wood chips. Accordingly, defendant
arranged to have more than 100 tons of wood chips brought to his
property. The chips were concentrated in an area slightly larger
than one acre of the total four to six acres of his property.
When local authorities complained about the large amount
of wood chips being dumped on defendant's property, a prosecutor's
detective inspected the site along with defendant, the municipal
zoning officer and representatives of the Department of
Environmental Protection (DEP) and the county health department.
The next day, defendant voluntarily gave a statement to the
detective, explaining that he intended to mix the wood chips with
lime and horse manure to produce pasture for cattle. Defendant
indicated little knowledge of the technisms of freshwater wetlands,
and he admitted he did not have any permission from any local or
state agency to fill the property.
A DEP investigator inspected the site at least four times
and performed several tests in the area of the wood chips. He
utilized a three-parameter test developed by the federal
government, and observed hydrophytic vegetation, soil types
indicative of both freshwater wetlands and a transition area and
hydrology indicative of wetlands. Based on his observations and
experience, he opined that the area covered with wood chips was
wetlands and that placing wood chips there constituted a regulated
activity requiring a permit from the DEP. The investigator
indicated that wetlands are located on a certain Federal map
showing the soil types on defendant's property, which were the same
types of soil he found during his investigation. He also said that
these soil types are indicated on the Federal map but not on any
local maps.
Defendant presented a soil survey map he had obtained
from the county agricultural department some years before he began
to import the wood chips. The map had some indication of soil
types and defendant identified the location of his property on that
map. He admitted he did not have either a freshwater wetlands
permit or a transition area waiver from the DEP. His defense was
based on a challenge to the validity of the investigator's testing
methods and a claim that he was exempt from regulation because he
was engaged in normal farming activities which encompassed the use
of wood chips to make pasture. The jury found him guilty.
On appeal, defendant contends:
1. The Grand Jury was not properly
instructed as to the law before
handing up the indictment.
2. The most important element of proof
necessary for conviction was not
presented to the Grand Jury or at
trial.
3. The statute is unconstitutional
insofar as criminal convictions are
concerned.
4. The County Prosecutor lacked
authority to indict or prosecute.
5. The indictment is defective.
6. Defendant was denied effective
assistance of counsel.
7. The charge to the jury was
erroneous.
8. The representatives of the State of
New Jersey misled the juries.
Having carefully reviewed the record and the arguments
advanced by the parties, we conclude that all defendant's
arguments, except his challenge to the jury charge, are clearly
without merit. R. 2:11-3(e)(1)(E).
The jury instructions and the trial judge's response to
a question from the jury deserve further attention. A part of the
Freshwater Wetlands Protection Act (the Act), N.J.S.A. 13:9B-21f
provides: A person who willfully or negligently violates this act
shall be guilty, upon conviction, of a crime of the fourth
degree.... The judge was concerned with how to define the element
of intent (willfully or negligently) so he looked to the criminal
code for guidance. He decided that he would not instruct the jury
on negligent conduct; rather, he would hold the State to a higher
burden of proof and define willfully as purposely. He told the
jury:
A person acts purposely with respect to the
nature of his conduct or the result thereof if
it is his conscious object to engage in
conduct of that nature or to cause such a
result. A person acts purposely with respect
to the attendant circumstances if he is aware
of the existence of those circumstances or
believes or hopes that they exist. The
phrases with purpose, design or with design or
the equivalent terms have all the same
meaning.
He then explained that the jury had to decide whether the State had
proved the area in question constituted a freshwater wetlands or
transition area, and if so, whether defendant engaged in a
regulated activity with a purposeful state of mind. Finally, the
jury was to determine whether defendant's conduct was exempt from
permit requirements as normal farming, although there was no
exemption for any filling of a freshwater wetlands which changed
the use, flow or circulation of the wetlands or reduced the reach
of the waters.
Neither side objected to the charge as given, but during
deliberations the jury asked What was the responsibility of the
defendant to verify the status of the land (wetlands or not) prior
to the initiation of the unloading of the chips?. Defense counsel
asked the judge to reinstruct the jury about defendant's intent,
expressing a concern that the original charge, which the judge
proposed to repeat in response to the jury's question, may be
directing a verdict. In colloquy with counsel, the judge
expressed the view that knowledge of wetlands is not an element of
the offense. After he answered the question by repeating the
elements of the crime to the jury, the foreperson asked to rephrase
the jury's written question and directly inquired: [B]efore the
defendant begins to do this, does he have a responsibility to
investigate as to whether or not what he wishes to do can be done
either with or without a permit? The judge responded by stating
that the State did not have the burden of proving that the
defendant had knowledge that it was wetlands. The foreperson
asked the judge to explain that statement, but instead the judge
restated the elements of the crime and emphasized that the elements
did not include a requirement that the State was required to prove
defendant knew the area in question was wetlands. Defense counsel
objected to the judge's responses to the oral questions, again
asserting that the effect of those responses was to direct a guilty
verdict. Very shortly thereafter the jury returned the verdict of
conviction.
The Commissioner of the DEP is authorized to enforce the
Act either administratively or by reference for criminal
prosecution. A close examination of N.J.S.A. 13:9B-21 leads us to
conclude that enforcement is ordinarily to be brought about by
administrative action based on strict liability, but in those
extreme cases where a defendant willfully or negligently ignores
the dictates of the Act, criminal prosecution is warranted. When
the Commissioner finds a person has violated the Act or a
regulation enacted pursuant to the Act, N.J.S.A. 13:9B-21(a)
empowers the Commissioner to:
(1) Issue an order requiring any such person
to comply in accordance with subsection b. of
this section; or
(2) Bring a civil action in accordance with
subsection c. of this section; or
(3) Levy a civil administrative penalty in
accordance with subsection e. of this section;
or
(4) Bring an action for a civil penalty in
accordance with subsection e. of this section;
or
(5) Petition the Attorney General to bring a
criminal action in accordance with subsection
f. of this section.
A criminal prosecution brought pursuant to N.J.S.A. 13:9B-21f
against [a] person who willfully or negligently violates this act
would therefore require proof of willfulness or negligence as to
each of the elements of the offense. The intent to be proven
relates to the nature of the property as well as to the other
elements of the freshwater wetlands/transition area. As such, in
a criminal prosecution the State cannot rest on strict liability
but must prove that a defendant knew or should have known the area
in question was subject to the Act. See State v. Sewell,
127 N.J. 133, 138 (1992)("... under the Code strict criminal liability is
not applicable to the commission of a crime unless the legislature
clearly expresses its intention to do so.").
While defendant may not have taken any action to
determine whether he was subject to the Act, evidence was presented
to show he did something by examining soil logs found on local
maps. The jury should have been instructed to decide whether the
State proved defendant was culpable in failing to ascertain the
need for a permit or waiver. However, the judge took this decision
from the jury by advising that the State was not required to prove
defendant knew the area in question was either a wetlands or a
transition area. The effect of that instruction was to make
defendant strictly liable and, for practical purposes, did direct
the verdict against defendant.
The conviction is reversed and the matter is remanded for
a new trial or other action the prosecutor or the commissioner may
deem appropriate.