SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-4987-93T4
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
EDWARD HENRIES,
Defendant-Appellant.
____________________________________________________
Argued December 2, 1997 - Decided December
23, 1997
Before Judges Pressler, Conley and Wallace.
On appeal from Superior Court of New Jersey,
Law Division, Essex County.
Marcia Blum, Assistant Deputy Public
Defender, argued the cause for appellant
(Ivelisse Torres, Public Defender, attorney;
Virginia C. Saunders, of counsel; Ms. Blum of
counsel and on the brief).
Raymond W. Hoffman, Special Acting Deputy
Attorney General, argued the cause for
respondent (Clifford J. Minor, Essex County
Prosecutor, attorney; Mr. Hoffman, of counsel
and on the brief).
The opinion of the court was delivered by
CONLEY, J.A.D.
Following a jury trial, defendant was convicted of two counts of murder, N.J.S.A. 2C:11-3(a)(1) and (2); burglary, N.J.S.A. 2C:18-2; unlawful possession of an assault firearm, N.J.S.A. 2C:39-5f; unlawful possession of a handgun, N.J.S.A. 2C:39-5b; and two counts of possession of a weapon for unlawful
purposes, N.J.S.A. 2C:39-4a. These convictions arose from an
incident that occurred on November 28, 1992, during which two
people were murdered. Two other individuals, Charles Ankrah and
Terrence Doe, were also indicted for the same offenses; Ankrah
and defendant were tried together. At the time of that trial,
Doe had not yet been tried. The same jury that convicted
defendant acquitted Ankrah of all charges. At a subsequent
trial, Doe was also acquitted of all charges.
Following his convictions, defendant was sentenced on the
murder convictions to two consecutive life terms, each with a
thirty-year parole disqualifier. Two concurrent four-year terms
were imposed on the unlawful weapons possession convictions and a
concurrent seven-year term for the burglary conviction was also
imposed. The two remaining weapons convictions were merged into
the murder convictions.
In the same indictment charging him with the November 28,
1992 murders and other related offenses, defendant was also
charged, along with codefendant Doe, with attempted murder and
related offenses arising from a November 21, 1992 incident.
Following his convictions for the November 28, 1992 murders,
defendant entered into a plea agreement regarding the November
21, 1992 charges to two counts of fourth degree aggravated
assault and to one count of unlawful possession of a handgun. He
received two concurrent 18-month terms without parole eligibility
on the aggravated assault convictions and a concurrent five-year
term for the weapons possession conviction. These sentences were
to run concurrent with the life sentences imposed on the November
28, 1992 murders.
Subsequent to his convictions and sentences, and while his
appeal therefrom was pending, defendant became aware that the
main identification witness against him, John Smith,See footnote 1 who was
eleven years old at the time of the murders, had a history of
psychiatric problems. At that point, Doe was awaiting trial for
his role in the November 28 events and a hearing was held to
determine when John, who was then hospitalized, might be
available to testify. Based on his treating doctor's testimony,
the judge postponed the Doe trial for another sixty days.
Subsequent to this hearing, the voluminous medical records
detailing John's condition were provided by the prosecutor to
defendant's appellate counsel.
On defendant's subsequent motions, we permitted the
supplementation of the record with a July 5, 1995 transcript of
the proceeding in the Doe trial regarding the then ability of
John to testify, the discovered medical reports, and further
ordered a limited remand for a hearing to determine whether the
new evidence constituted grounds for a new trial. Thereafter, we
entered an order expanding the scope of the remand to include a
Wade hearing in light of the new evidence and to include in the
record a December 8, 1995 transcript from the Doe trial
containing evidence regarding the identification. Additional
portions of the Doe trial were also considered by the trial judge
on remand, along with the testimony of medical experts, John, and
an Essex County Prosecutor's Investigator who had participated in
the murder investigation. Ultimately the trial judge rejected
defendant's WadeSee footnote 2 contentions, and denied his motion for a new
trial based upon the "newly discovered" evidence relating to
John.
POINT II. THE COURT'S FAILURE TO DECLARE A
MISTRIAL WHEN THE JURY COULD NOT
REACH A VERDICT WAS REVERSIBLE
ERROR IN VIOLATION OF DEFENDANT'S
FEDERAL AND STATE CONSTITUTIONAL
RIGHTS TO DUE PROCESS AND A FAIR
TRIAL. U.S. CONST., AMENDS. VI AND
XIV; N.J. CONST., ART. 1, PAR. 10.
POINT III. THE COURT'S FAILURE TO DISMISS COUNT FOURTEEN UNFAIRLY PREJUDICED DEFENDANT SINCE, CONTRARY TO THE EVIDENCE ADDUCED AT TRIAL THAT ANKRAH ALONE FIRED THE WEAPON, THE CHARGE AGAINST DEFENDANT AND NOT ANKRAH INDICATED TO THE JURY THAT THERE WAS A REASON UNKNOWN TO IT BUT KNOWN TO THE PROSECUTION WHY DEFENDANT AND NOT THE CO-DEFENDANT
WAS CHARGED WITH UNLICENSED
POSSESSION OF THE 9 MILLIMETER
WEAPON.
POINT IV. THE TRIAL JUDGE'S REFUSAL TO
INSTRUCT THE JURY ON THE FULL
PANOPLY OF LESSER-INCLUDED OFFENSES
SUPPORTED BY THE EVIDENCE, AND TO
CHARGE THE ACCOMPLICE INSTRUCTION
TO WHICH THE LESSER CRIMES GAVE
RISE UNDER STATE V. BIELKIEWICZ,
DEPRIVED THE DEFENDANT OF DUE
PROCESS AND A FAIR TRIAL UNDER THE
STATE AND FEDERAL CONSTITUTIONS.
(U.S. CONST., AMENDS. VI AND XIV;
N.J. CONST. (1947), ART. 1, PAR.
10).
POINT V. THE SENTENCE OF THE COURT IS
MANIFESTLY EXCESSIVE.
In his supplemental brief filed following the trial judge's
decision on remand, defendant contends:
POINT I. THE NEWLY DISCOVERED EVIDENCE OF
JOHN SMITH'S MULTIPLE AND SEVERE
PSYCHIATRIC DISORDERS WARRANTS A
NEW TRIAL.
POINT II. THE REMAND COURT ERRED IN PROHIBITING
DEFENDANT FROM ASKING JOHN SMITH, AT THE
WADE HEARING, ABOUT THE RELIABILITY OF
HIS PERCEPTIONS AND MEMORY AND ERRED IN
FAILING TO EXCLUDE THE CHILD'S PRETRIAL
AND IN-COURT IDENTIFICATIONS OF
DEFENDANT AS UNRELIABLE.
Finally, in a second supplemental brief filed pursuant to our
order granting defendant leave to appeal, nunc pro tunc, his
guilty plea to the November 21, 1992 charges, defendant contends:
POINT I. DEFENDANT'S CONVICTIONS MUST BE
VACATED BECAUSE HE DID NOT PROVIDE
AN ADEQUATE FACTUAL BASIS FOR
CONVICTION OF ANY OF THE COUNTS TO
WHICH HE PLED GUILTY.
POINT II. DEFENDANT'S CONVICTIONS MUST BE VACATED BECAUSE THE COURT DID NOT
ADEQUATELY ADVISE HIM OF THE
CONSEQUENCES OF ENTERING THE PLEA.
We have carefully considered all of these contentions in
light of the entire record and applicable law. We are convinced
point I of defendant's first supplemental brief requires a
reversal of the trial judge's denial of defendant's new trial
motion premised upon the newly discovered evidence and point I of
defendant's second supplemental brief requires a vacation of his
guilty plea to the November 21, 1992 charges and a reinstatement
of the original charges. That determination renders moot points
I, II, IV and V of defendant's original brief and point II of his
second supplemental brief. Point III of the original brief and
point II of the first supplemental brief are without merit and
require no further opinion. R. 2:11-3(e)(2). We add only as to
point IV of the original brief that while we would not lightly
dispose of defendant's BielkiewiczSee footnote 3 accomplice liability
contention, we decline to consider the issue as it arose in the
first trial particularly since a Bielkiewicz charge was not
requested. Upon new trial, should defendant request such a
charge, we assume the trial judge will fairly consider the
request in light of the current decisional law. See, e.g., State
v. Jackmon, ____ N.J. Super. ____ (App. Div. 1997).
chased two other men, who were returning to their townhouse
located on Bergen Street in Newark. Clarence Black, the only
adult eyewitness, was at the gate to his apartment on Bergen
Street at the time. He heard the car make a loud screeching
noise as it made an abrupt U-turn at a high rate of speed, and
saw the two men carrying guns jump out of the car, shooting at
the victims. Black recognized one of the assailants, Ankrah, as
someone he had previously seen in the neighborhood. Black ran
inside his own home where he continued to observe the scene from
his bedroom window on the second floor, hearing more shots coming
from the house.
Among the people in the townhouse were John Smith, then
twelve years old, and Quasim Clark, also then twelve years old.
John testified that he lived with his grandmother at the house
along with the two victims, who were his uncles, and other family
members. Just before the shootings, he and his cousin Quasim
were in the living room at the entrance of the house when their
two uncles pushed the front door open and ran towards the back
door while being chased by two men.
During his trial testimony, John said at first he hid behind
a big-screen television, then he started looking at the shooters.
He had grabbed Quasim to hide with him. John admitted that it
was difficult to see what happened in the house because it
happened so quickly and he was crouched behind the television.
One of the shooters stayed at the door while the other ran after
his uncles. At trial he said he never saw the man at the door
fire any shots; according to his police statement, however, the
man at the door was shooting his gun also. At trial, John
identified defendant as the man at the door. During a police
photo array following the murders, John had identified the
photographs of defendant and codefendant Doe. At that time he
identified defendant as the man who was chasing the victims,
shooting at them. Yet at trial he insisted that it was Doe who
was the one who chased the uncles into the kitchen. At Doe's
trial, on the other hand, he returned to the version in his
police statement that had defendant as the chaser. After the men
left, John ran upstairs and watched them get into the red car in
which one other man was waiting. On cross-examination, John
admitted that he had told the police he saw two other men in the
car.
Gregory Clark, then thirteen years old and also in the house
at the time, claimed that, after having hid under a bed on the
second floor when he heard the gunfire, he ran to the hallway
window and saw two men leave the house. In his police statement
the night of the murders he told the police he was able to see
one of the men clearly as he turned around and might be able to
identify him. A week after the murders and after seeing a
newspaper article containing the photos of Ankrah and Doe, Clark
identified Ankrah as the man who turned around. He also selected
the photograph of Doe but did so based upon the newspaper
article. Although defendant's photo was also in the photo array,
Clark did not identify it. Yet at trial, he initially identified
defendant as the man he saw, but then said it was Ankrah. His
final testimony was that he had seen Ankrah leave the house, had
never seen defendant and did not know why he had initially said
he had seen him.
Black, who had seen the assailants exit their car and chase
the victims into the house, also saw the assailants leave the
house. When shown the photo array shortly after the murders,
Black identified the photograph of Ankrah but not that of
defendant. Black said that Ankrah was the taller of the two men
who ran into the Clark house firing his gun. He described the
taller man as 6'1", 180 pounds with a light moustache and a
beard, wearing red sweatpants and a red hooded sweatshirt under a
black leather coat; the other man he described as 5'3", 160
pounds and wearing a wool hat which partly obscured his face.See footnote 4
At trial, Black admitted that although he claimed to have
recognized Ankrah from the neighborhood, in fact, he was not
"absolutely sure" of his identification. He was never able to
identify the second man.
On December 2, John and Quasim were shown a photo array that
contained nine photographs. As we have said, John picked out
photographs of defendant and Doe. Although included in the
array, the photograph of Ankrah was not identified by John. The
same procedure was conducted with Quasim resulting in the same
two identifications. However, at trial, Quasim recanted his
identification of both men. He said that he was not sure of the
photographs which he selected, either at the time of trial or at
the time he made the selections. When asked to survey the
courtroom to pick out the shooters, he was unable to choose
anybody. When asked why he had selected the photos of defendant
and Doe, he said "I don't know. I ain't sure."
Defendant was arrested shortly after the photo
identification. At that time, he was twenty years old, 5'7" and
weighed 125 pounds. Neither his height nor weight matched the
descriptions of the two assailants given by Black and John.
It was only John who identified defendant during the trial
as one of the gunmen. But the voluminous medical evidence
adduced during the remand hearing would seem to almost
overwhelmingly depict his cognitive and recollective abilities as
impaired and unreliable, both at the time of the murders and
during defendant's trial. Indeed, that is apparently what the
Doe jury, which heard the evidence, must have concluded in
acquitting Doe.
That evidence includes the following. At the Doe July 5,
1995 pretrial hearing on John's then competency to testify, Dr.
Kaune, his treating psychiatrist, opined that John was not ready
to testify. He explained that John "has poor reality testing
when stressed" and that being compelled to testify "would cause
this fragile child to further regress." Dr. Kaune diagnosed John
with impulse control disorder; disruptive behavioral disorder;
attention deficit disorders with hyperactivity (ADHD), combined
type; post traumatic stress disorder (PTSD), chronic type;
communication disorder; mixed personality traits; and schizoid,
paranoid, borderline and antisocial behavior. He was then being
medicated with haldol, imipramine, buspar, thorazine, lithium
citrate and cogentin.See footnote 5 Dr. Kaune was hopeful that once the
child was stabilized on medication and ready to leave the
hospital for a residential facility, he would be able to appear
in court. Five months later John did testify with the outcome an
acquittal for Doe.
Defense called as an expert Dr. Frank J. Dyer, a
psychologist and member of the Forensic Psychology Committee of
the New Jersey Psychological Association with impressive
credentials. In order to form an opinion as to the effect of
John's psychiatric and psychological conditions on his
perception, recall and veracity, Dr. Dyer reviewed the numerous
hospital records, psychiatric reports and psychological reports,
as well as John's testimony at defendant's trial and at the
subsequent Doe trial. The doctor also read the 1995 and 1996
reports prepared by the State's expert, Dr. Daniel Greenfield.
Dr. Dyer characterized the records as comprehensive and said they
"contained such an extreme picture of psychopathology. . . ."
Dr. Dyer observed that John "has diagnoses from virtually every
severe category of psychological condition in the DSM." The
doctor concluded that John is in "the most severe one percent" of
the hundreds of children he has tested since he began as a
consultant for the Department of Youth and Family Services in
1980.
John's documented psychiatric problems had manifested
themselves years before the November 28, 1992 murders and before
the January 1994 trial. Dr. Dyer dated John's first traumatic
experience with psychiatric consequences from 1987, when, at the
age of six, the child was deliberately burned by his mother,
following which he was placed in a series of foster homes. In
1988, the Newark Child Study Team had classified him as
emotionally disturbed. In April of 1991, at age 10, defendant
began threatening to kill himself. Between May and June of 1991,
he was admitted to St. Mary Hospital, Hoboken, where he was
diagnosed as suffering from post-traumatic stress disorder (due
to "a significant history of repeated physical abuse by [his]
mother" which included the severe burning at age six), attention
deficit disorder with hyperactivity (ADHD), and specific
developmental disorder, and was treated for aggressive conduct
disorder. While at St. Mary's, John was medicated with mellaril,
an anti-psychotic drug, and nortriptyline, a depressant. These
medications were continued upon discharge. The St. Mary's 1991
discharge summary related "cognitive distortions and poor reality
testing. . . ."
When the suicidal ideation which sent John to the hospital
in April 1991 continued, John was admitted to St. Clares-Riverside Medical Center in Denville where he stayed from July 8
to September 26, 1991. From St. Clares' he was transferred to
Bergen Pines, a mental hospital, following which he spent six
months at Davis House in Newark where his medication included
mellaril and dexedrine, an amphetamine used to treat ADHD (PDR at
2475).
It was Dr. Dyer's belief that at the time of the January
1994 trial, John was suffering from, among other disorders,
chronic post-traumatic stress disorder. An individual with this
disorder is psychologically overwhelmed by the traumatic event,
and cannot cope with it. He experiences:
intrusive, highly emotionally charged
recollections of portions of the traumatic event.
There is often partial amnesia for important
aspects of the traumatic event and this is part of
a general pattern of numbing in an attempt to
distance one's self from anything that is
reminiscent of the trauma.
"[F]unctioning is disrupted for a time because of the enormous
emotional impact of this trauma," and perception is affected.
With post-traumatic stress disorder, there are typically gaps in
memory, and "there is a tendency in individuals with extreme
psychological conditions such as organic brain damage and
schizoaffective disorder, both of which [John] has been diagnosed
with, to fill in gaps in memory by a process that is known as
confabulation."
According to Dr. Dyer, among John's most serious psychiatric
diagnoses is "schizoaffective disorder, bipolar type[,] . . . a
condition that has both elements of mood disorder, either mania
or depression, as well as elements of schizophrenia."
Schizoaffective disorder begins early in life; it "is a
disturbance in the biochemical makeup of the brain that is
considered to have genetic components as well as being aggravated
by environmental factors." "Schizophrenia . . . is considered to
be life long." Dr. Dyer testified that this severe disorder
would have begun in childhood and would have been in existence
well before John testified at defendant's trial at the age of 13.
Dr. Dyer explained the nature and effect of schizoaffective
disorder:
The schizophrenic component of the
schizoaffective disorder indicates that the
individual's thought processes are confused. That
the individual with this diagnosis has eccentric,
unrealistic, infantile patterns of thinking that
cloud their contact with reality. Individuals
with this type of diagnosis tend to employ a
process known as confabulation, to fill in gaps in
memory. Confabulation refers to a tendency to
fabricate some event, . . . so that the total
memory has some kind of logical consistency. And
typically these individuals are not aware that
their fabrication is not part of the actual memory
because their thought processes are so confused
and because they are so disturbed psychologically.
Asked to consider John's changing account of the murders in his
statements to police and his testimony at the two trials, of the
roles of defendant and Doe in the shooting, and his sometimes
inability to recall his prior versions, Dr. Dyer opined that this
was consistent with confabulation.
As to John's attention deficit disorder with hyperactivity
(ADHD), first diagnosed in 1987, and its impact upon the child's
cognitive functioning, Dr. Dyer explained that a child with ADHD
has trouble in sustaining or focusing attention.
The child's inner world is disrupted by a
physiological pressure for movement, that's where
the hyperactivity comes in. This inability to
focus attention and the physiological pressure for
motor movement tend to render a child very
inefficient in perceiving things.
ADHD "is considered to be a biochemical condition in which there
is an actual deficiency in the capacity of the brain to process
information to control impulses for motor movement. . . ." In
the absence of any indication that John underwent effective
treatment for this disorder first identified in 1987, and because
he was still being diagnosed with it in 1995, Dr. Dyer was able
to conclude "to a reasonable degree of psychological certainty"
that John had the condition continuously from 1992 through 1994,
encompassing the time of the murders and defendant's trial. It
was also Dr. Dyer's opinion that the schizoaffective disorder,
the chronic post-traumatic stress disorder, and the personality
disorders enumerated in Dr. Kaune's 1995 report "would have
predated the 1995 report and would have existed for quite some
time earlier than that, most of which conditions had their
etiology in childhood."
Dr. Kaune's 1995 report also diagnosed John with schizoid,
paranoid, borderline, and antisocial personality traits. As to
such traits, Dr. Dyer testified that these "are considered to be
longstanding maladoptive patterns of adjustment" and thus would
have been present long before 1995. And he said, "[s]omebody who
. . . has paranoid personality traits has a tendency to treat
false beliefs or delusions as though they were reality."
"Individuals with schizoid traits tend to have some impairment of
cognitive processing. Their processes are somewhat fuzzy." As a
consequence, their recall and perception are mildly affected.
Moreover, someone with antisocial personality traits "tend[s] to
be manipulative and deceitful, . . . may repeatedly lie, . . .
and [be] extremely irresponsible, . . . [and] may not fully
appreciate the duty of a witness to tell the truth."
Dr. Dyer admitted that while psychologists can explain the
effects of particular illnesses on an individual's thought
processes and mental functions, in all but the most extreme cases
a psychologist would not be able to predict whether a particular
individual suffering from specific mental illnesses would be
affected by those illnesses on a given day and, thus, he could
not say with certainty what John's precise mental state was at
the time of the murders on November 28, 1992, nor the reliability
of his testimony at the time of defendant's trial in January
1994. But he emphasized, with medical certainty, that
substantial remission "is almost never observed in someone who
suffers from multi-psychiatric problems," and further, that at
the time of trial in January 1994, John was actively symptomatic
of the mental illnesses identified between the time of his first
psychiatric diagnosis in 1987 and in April 1992, the date of his
last recorded treatment prior to his trial testimony. Dr. Dyer
also found strong evidence that the "core-aspects" of the
additional psychoses not diagnosed until after trial "were
present in some form in the intervening period," and would have
affected John's thought processes. The combination of "all of
these various psychological disorders would be expected, to a
reasonable degree of psychological certainty, to have a negative
impact on the individual's capacity to tell the truth, to recall
things accurately and to perceive things accurately."
The State's psychiatrist, Daniel Greenfield, agreed with Dr.
Kaune's numerous diagnoses made in 1995, acknowledged that John's
various mental illnesses "certainly could" affect the
truthfulness of his testimony and specifically concurred with Dr.
Dyer that John's "hallucinations, delusions, organic brain
syndrome and things like that" might well affect John's
perceptions and memory. He concurred that the attention deficit
disorder with hyperactivity "goes back to [a] very young" age and
affects the ability "[t]o focus, concentrate, [and] interpret
events" and that post-traumatic stress disorder if actively
symptomatic, would affect perception, memory and veracity. Dr.
Greenfield also agreed with Dr. Dyer that no one could say what
John's precise mental state was at the time of defendant's trial
in 1994. Dr. Greenfield added that "[i]f left untreated, the
natural history of these things is that, with the exception of
certain schizophrenic conditions, they tend to get worse . . . if
left untreated." Dr. Greenfield also agreed with the court that,
other than an indication of a referral to U.M.D.N.J. as an out-patient upon John's release from Davis House on April 24, 1992,
there was no record of any treatment from the time of John's
release from Davis House 20 months before defendant's trial and
his hospitalization in October 1994, ten months after defendant's
trial.See footnote 6 However, at the time he saw John in September 1995, Dr.
Greenfield found him in remission and asymptomatic.
After reviewing John's statements to the police, his
testimony at the two trials and Dr. Dyer's report, the only
significant inconsistency Dr. Greenfield could detect was the
change in John's account of which intruder ran after the victims,
shooting at them. He opined that that kind of memory lapse
happens to everybody. But on cross-examination, Dr. Greenfield
conceded that John's accounts contained other substantial
contradictions and opined that there was an equal possibility,
that it was "50/50," whether John's numerous contradictory
stories were attributable to his psychiatric conditions or to
normal memory lapses. Dr. Greenfield also testified that he did
not attribute any psychiatric significance to the inconsistencies
because "number one, memories do get distorted without any . . .
particular psychiatric significance . . . and, number two, that
there was no reason to suspect that it would be something that
couldn't be examined or cross-examined or subjected to the
scrutiny of the trial process[.]" He also did not find any
psychiatric diagnoses made on or prior to defendant's trial in
January 1994, and thus was not certain as to John's condition at
that time, nor did he find any evidence of confabulation
regarding the shooting incident. Dr. Greenfield added that "it
would be reasonable to assume that his mental state at the time
. . . in January of 1994 would not have been so bad, so egregious
that he wouldn't have been able to remember things and recount
things accurately." Still, he admitted that a person like John,
suffering from a schizoaffective disorder, attention deficit
disorder and post traumatic stress disorder, if symptomatic, may
have difficulty with the functions essential to memory and making
an accurate identification.
Needless to say, had a jury been privy to these expert
opinions, we are certain it would be Dyer's analysis that would
be accepted. Indeed, in his written opinion, the trial judge on
remand concluded that "[t]here is no question . . . that John was
and is suffering from a series of mental illnesses," and found
that the evidence of the illnesses was not discovered until after
trial and was not reasonably discoverable beforehand. The judge
acknowledged that the defense and prosecution experts were in
substantial agreement on the possible effects of John's illnesses
on his perception, memory and veracity. But, in reliance on the
state's expert's observation that individuals with psychotic
disorders are not always symptomatic, the judge determined that
"it cannot be conclusively stated that he was incapable of
understanding his duty to tell the truth" and consequently found
John to have been competent to testify at defendant's trial.
Although defendant challenges this conclusion on appeal, we are
satisfied it is supported by the remand record.
As to the new trial motion, citing R. 3:20-1 and State v.
Carter,
85 N.J. 300 (1981), the judge identified the three-prong
new trial test: the evidence must be material, it must actually
be newly discovered, and it must be of the sort likely to change
the verdict. There was never any dispute that the second prong
was satisfied; however, the judge held that the first and third
prongs were not met. Deeming the evidence of John's mental
impairments to be "merely" impeaching, and of a nature to "only"
affect John's credibility, the judge concluded that it was not
material and thought it possible, but not probable, that the
newly discovered evidence would have changed the verdict. As to
John's testimony at the Doe trial, where, as in his police
statement but contrary to his sworn testimony in defendant's
trial, he identified defendant as the shooter running into the
kitchen, the judge concluded that such "recant[ed]" testimony
was not material in that it would be used "merely" to impeach.
He also noted that John had been fully cross-examined on the
inconsistencies between his police statement and his testimony
during defendant's trial. Finally, he considered the combination
of John's mental disorders and the recanting testimony and still
concluded that the necessary measure of materiality had not been
met because the evidence related only to issues of credibility
and would probably not have changed the jury's verdict.
certif. denied,
97 N.J. 650 (1984). And it is also clear that to
be entitled to a new trial based upon newly discovered evidence,
a defendant must establish not only that the evidence was
discovered after trial and not reasonably discoverable before,
but that the evidence is material and probably would affect the
verdict. See, e.g., State v. Carter, supra, 85 N.J. at 314. We
also recognize the sometimes, perhaps too casually, asserted
theme that newly discovered evidence must not be "merely
cumulative or impeaching." Ibid.; State v. Robinson,
253 N.J.
Super. 346, 366 (App. Div. 1991), certif. denied,
130 N.J. 6
(1992). And we have no doubt that were the only newly discovered
evidence that of John's recantation in the Doe trial, such
evidence might well fall within this rubric.
But the evidence of John's extensive psychiatric disorders
and their impact upon his ability to accurately perceive the
rapidly unfolding events of November 28, 1992, and to accurately,
without "conflagration," recount those events, is much more than
"merely" impeaching in the sense of some inconsistencies. That
evidence goes directly to the heart of the State's case - the
identification by John of defendant as one of the two shooters.
That identification was the linchpin upon which the verdict
rested for, not only was it only John who identified defendant,
but there was no other evidence tying him to the murders. As the
trial judge acknowledged during the January 1994 trial, "I don't
think there's any question that, one of the crucial issues here
is the question of identification," and instructed the jury to
consider each witness's ability to perceive events and make
accurate identifications, emphasizing "[i]t is particularly
appropriate that you consider the capacity or the ability of the
witnesses to make observations or perceptions. . . ."
The State asserts, however, that "[m]ateriality concerns the
relation between the propositions for which the evidence is
offered and the issues in the case." State v. Hutchins,
241 N.J.
Super. 353, 359 (App. Div. 1990); State v. Allison,
208 N.J.
Super. 9, 17 (App. Div.), certif. denied,
102 N.J. 370 (1985).
Since, argues the State, John's "mental health records . . .
clearly did not have a direct bearing on whether the murders
actually took place or not," it claims they are not material.
But, as we have pointed out, the issue at trial was not whether
the victims were murdered. Clearly they were. The crucial issue
was whether defendant was one of the perpetrators. The entire
answer to that issue was John's identification of defendant.
Thus, John's mental capacity and ability to make accurate
perceptions and to accurately and reliably recall and recount his
perceptions was the focal point of the trial. "Material facts
are those that have some bearing on the claims being advanced."
Korostynski v. Division of Gaming Enforcement,
266 N.J. Super. 549, 555 (App. Div. 1993). See State v. Robinson, supra, 253
N.J. Super. at 366 (an exculpatory statement by a codefendant is
material to the issue of defendant's guilt). Most certainly
John's mental history and psychiatric disorders relate not only
"with some bearing" but directly to the focal issue of the trial
and must be considered material. See State v. Bunyan,
299 N.J.
Super. 467, 473 (App. Div.), certif. granted,
151 N.J. 74 (1997)
(newly discovered eyewitness "patently" material where
identification was "the only real issue at trial.").
Indeed, had the evidence been discovered prior to
defendant's trial in January 1994, there could be no question but
that he would have had an absolute right to present such evidence
and that a refusal to so permit would have required a reversal.
State v. Franklin,
52 N.J. 386, 399 (1968); State v. Vigliano,
50 N.J. 51, 58-59 (1967); State v. Wormley, ____ N.J. Super. ____,
____ (App. Div. 1997) (slip op. at 12); State v. Johnson,
216 N.J. Super. 588, 603 (App. Div. 1987). Cf. State v. Butler,
27 N.J. 560, 603-05 (1958). There is no reason to consider such
evidence as any less relevant and material in the context of a
newly discovered evidence motion simply because it may be cast in
terms of impeachment evidence.
To be sure, "merely" impeaching or cumulative evidence
obtained after trial will not suffice for a new trial. See,
e.g., State v. Carter, supra, 85 N.J. at 314. This is so because
evidence of that quality would not ordinarily make a difference
in the jury's verdict. State v. Carter,
91 N.J. 86, 114 (1982)
("[e]vidence that is merely cumulative does not create a
reasonable possibility that the verdict would have been
affected."). State v. Coburn,
221 N.J. Super. 586, 600-01 (App.
Div. 1987), certif. denied,
110 N.J. 300 (1988), is illustrative.
There, following defendant's conviction of murder and other
related charges, defendant had moved for a new trial based upon a
newly discovered toxicological report. At trial, the defense
essentially was that the killing was an accident caused by the
victim who, defendant claimed, was "a wild woman." During trial,
pointing to fresh needle marks discovered on the victim's wrist
during her autopsy, defendant argued that she was under the
influence of drugs at the time, causing her wild, threatening
behavior. The toxicological report received after trial
confirmed that the victim was under the influence of drugs at the
time she died. In affirming the trial judge's denial of his
motion for a new trial, we acknowledged the "potentially
material" nature of the report, but, noted that the trial
evidence of fresh needle marks on the victim "indicated recent
injections of drugs, probably heroin." The defendant, thus, was
able to make that claim based upon evidence then before the jury.
We concluded, further, that the verdict was "most likely" based
on the jury's rejection of the defendant's theory of accident
because of its implausibility in light of the undisputed evidence
that the gun had to have been cocked to fire and required four
and one-half pounds of pressure to pull the trigger. We also
noted that defendant's trial defense was undermined by the
evidence of his admissions to his ex-wife and the police shortly
after the murder. In light of these considerations, we agreed
with the trial judge's assessment that the evidence was
cumulative as to defendant's credibility and that is was "highly
improbable" that it would have affected the verdict. But we did
not do so simply because the evidence might have been "merely
cumulative" and thus not material. The critical factor was that
it would not have affected the verdict.
On the other hand, in State v. Gookins,
135 N.J. 42, 45-48
(1994), the Supreme Court ordered new trials for the convicted
defendants based, in part, on newly discovered "other crimes,"
that is evidence that the State's main witness, a state trooper,
falsified breathalyzer tests. The "other crimes" evidence was
impeachment evidence. Nonetheless, the court recognized that
such "impeachment" evidence related to the heart of the case, the
credibility of the State's key witness. That evidence was
considered material, requiring a new trial. And see Keser v.
State,
737 P.2d 756, 760 (Wyo. 1987) (asserting "[t]here is a
difference between evidence which merely goes to credibility or
impeaches a witness by calling his credibility into question and
[impeaching] evidence which is offered to show an `eyewitness' to
a crime gave false identification testimony," the latter being
material for the purposes of a new trial motion); State v. Stone,
869 S.W.2d 785, 789 (Mo. Ct. App. 1994) (finding "[t]he newly
discovered fingerprint and handwriting evidence goes directly to
the principal issue in this case: the identity of the person who
forged check number 1061. It is not, therefore, merely
impeachment evidence and can justify a new trial").
We consider the analysis of materiality within the context
of Brady v. Maryland,
373 U.S. 83,
83 S. Ct. 1194,
10 L. Ed.2d 215 (1963), and its progeny as analogous. Under Brady, a
defendant's due process rights are violated if the prosecution
withholds evidence which is material to either the defendant's
guilt or punishment. 373 U.S. at 87, 83 S. Ct. at 1196-97, 10 L.
Ed.
2d at 218. "The jury's estimate of the truthfulness and
reliability of a given witness may well be determinative of guilt
or innocence, and it is upon such subtle factors as . . .
[credibility] . . . that a defendant's life or liberty may
depend." State v. Engel,
249 N.J. Super. 336, 399 (App. Div.),
certif. denied,
130 N.J. 393 (1991) (quoting Napue v. Illinois,
360 U.S. 264, 269,
79 S. Ct. 1173, 1177,
3 L. Ed.2d 1217, 1221
(1959)). Thus, "[e]vidence impeaching the testimony of a
government witness falls within the Brady rule when the
reliability of the witness may be determinative of a criminal
defendant's guilt or innocence." State v. Carter, supra, 91 N.J.
at 111. And see State v. Knight,
145 N.J. 233, 245-48 (1996);
State v. Landano,
271 N.J. Super. 1 (App. Div.), certif. denied,
137 N.J. 164 (1994). It is, therefore, clear that under the
Brady analysis withheld evidence that is material may be that
which impeaches a witness where the issue of the witness'
reliability and credibility is crucial. See State v. Knight,
supra, 145 N.J. at 247-48.
We recognize that a new trial analysis premised upon a Brady
violation and a new trial analysis premised upon newly discovered
evidence, are different and that materiality for the latter has
been characterized as "more stringent." State v. Carter, supra,
85 N.J. at 314. In Carter, the court commented that "[w]hereas
the test of materiality for the granting of a new trial under a
Brady analysis is simply whether the suppressed evidence might
have affected the outcome of the trial, . . . the test to be
satisfied under a newly discovered evidence approach is more
stringent." Ibid. (Emphasis added).
To begin with, defendant must establish that the evidence
must not only have not been discovered until after trial, but
could not have been with due diligence. So that, in that
respect, there is clearly a more stringent requirement. But we
are not sure that the standard of materiality is any different.
See State v. Carter, supra, 91 N.J. at 121 ("[f]or the reasons
outlined in our discussion of the Brady violation, we hold that
[as to the motion for new trial based on newly discovered
evidence] the evidence . . . is neither material nor of the sort
that would lead to a change in the jury's verdict.").
We think to understand the court's comment in Carter, supra,
85 N.J. at 314, one must recognize the context in which it was
made. That context was a prosecutorial failure to provide
defendant with specifically requested exculpatory evidence. In
that setting, the court's consideration of materiality under
Brady was perceived to be dependent upon whether the evidence
"might" have affected the outcome of the verdict, as opposed to
whether it "probably" would have affected the outcome. Id. at
312. And see State v. Marshall,
123 N.J. 1, 199-200 (1991),
cert. denied,
507 U.S. 929,
112 S. Ct. 1306,
122 L. Ed.2d 694
(1993). But see State v. Knight, supra, 145 N.J. at 247
(criticizing Marshall's reference to two separate standards in a
Brady analysis dependent upon whether the suppressed evidence was
or was not specifically requested.).
Of course, a possibility of impact upon a verdict is not the
type of impact required under a newly discovered evidence motion.
But where a Brady analysis has been conducted within the setting
of withheld exculpatory evidence not specifically requested,
materiality is coupled with the requirement of a reasonable
probability that the verdict would have been different had the
evidence been disclosed. See, e.g., State v. Knight, supra, 145
N.J. at 247. Yet, even in this context, evidence that is
impeaching may be considered material where it probably would
have changed the verdict. Id. at 247-48.
The critical issue, then, we are convinced, is whether the
additional evidence probably would have affected the outcome,
regardless of whether it is characterized as impeachment
evidence. We simply cannot fathom the trial judge's conclusion
here that it would not. John's trial testimony already was
replete with inconsistencies. Its reliability was, to put it
mildly, suspect. The jury must have struggled to reach its
verdict. But had the jury heard the nature and extent of his
mental disorders, the substantial medication he was subjected to,
and the probable effects of such disorders upon his cognitive
abilities, we are absolutely certain that what may have appeared
to be only troublesome questions as to the reliability of John's
observations and recall would have become insurmountable hurdles.
In this respect, the jury would have heard that his
substantial psyciatric disorders were such that he "has poor
reality testing when stressed," that his chronic post-traumatic
stress disorder triggered by the murders affects his perception
of the traumatic event and causes memory gaps, that his
schizophrenia causes "confused . . . eccentric, unrealistic,
infantile patterns of thinking that cloud . . . contact with
reality" and cause "confabulation, to fill in gaps in memory"
without being "aware . . . [of] their fabrication . . .," that
his ADHD creates "an actual deficiency in the capacity of the
brain to process information . . .," and that his antisocial,
paranoid and schizoid personality traits tend to cause a person
"to be manipulative and deceitful, . . . [to] repeatedly lie,
. . . and [be] extremely irresponsible, . . . [and] . . . not
fully appreciate the duty of a witness to tell the truth," "to
treat false beliefs or delusions as though they were reality" and
to "have some impairment of cognitive processing affecting recall
and perception." Had the jury heard this information, we are
almost certain defendant, like his two codefendants, would have
been acquitted. At the least, that result would have been most
probable. A new trial, therefore, should have been granted.
and defendant allowed to re-plead or to proceed to trial." State
v. Barboza,
115 N.J. 415, 420 (1989). In order to accept a
guilty plea in non-capital cases, a judge must be convinced that
the defendant, in his own words and in light of the surrounding
circumstances, has committed the acts which constitute the crime.
Id. at 422. "Even if a defendant wished to plead guilty to a
crime he or she did not commit, he or she may not do so. No
court may accept such a plea." State v. Smullen,
118 N.J. 408,
415 (1990).
The following factual basis was provided by defendant in
connection with the November 21, 1992 charges:
THE COURT: All right, now, Mr. Henries, now,
Count 1 and Count 3, Count 1 says that, on
November, the 21st, of 1992, in Newark, that
you -- well, it's being downgraded -
basically you pointed a weapon, a handgun, at
James Johnson, and likewise, in Count 3 of
this indictment, it also states, on the same
date, that you did the same thing with regard
to Alonzo Heath.
Can you tell me, in your own words, what
happened, sir? Speak up.
THE DEFENDANT: The day of the incident,
November 21st, I would say I had a handgun
and pointed at the defendants, Alonzo Heath
and James Johnson.
THE COURT: For the record, not the
defendants, the victims?
THE DEFENDANT: Victim.
THE COURT: This handgun you had, what kind of
handgun?
THE DEFENDANT: I don't remember.
THE COURT: Was it a real gun?
THE DEFENDANT: Yes, your Honor.
THE COURT: And can we assume that you did not
have the proper permits to have this gun?
THE DEFENDANT: Yes, your Honor.
THE COURT: [Prosecutor] are there any
questions you wish to ask him concerning the
co-defendant?
[PROSECUTOR]: Yes, Judge.
Mr. Henries, at the time you pointed the
weapon at Mr. Heath and Mr. Johnson, were you
alone, or was somebody with you?
THE COURT: What is your answer? I'm sorry.
THE DEFENDANT: Yes.
THE COURT: Yes, you were alone, or yes,
someone was with you?
THE DEFENDANT: People was with me.
[PROSECUTOR]: All right, without going into
names, how many people were with you?
THE DEFENDANT: I don't recall.
[PROSECUTOR]: Was it more than one or more
than two?
THE DEFENDANT: I can't recall either;
probably two or three.
THE COURT: The answer was two or three.
[PROSECUTOR]: And were those people armed
also?
THE DEFENDANT: Yes.
[PROSECUTOR] And was the weapon that you had
with you a 9 millimeter type of weapon?
THE DEFENDANT: I don't recall.
[PROSECUTOR]: Was it an automatic weapon?
THE DEFENDANT: I don't recall.
[PROSECUTOR]: Was it a revolver?
THE DEFENDANT: I don't recall.
This testimony was intended to provide a factual basis for a
conviction of N.J.S.A. 2C:12-1b(4), a fourth-degree aggravated
assault where the actor "[k]nowingly under circumstances
manifesting an extreme indifference to the value of human life
points a firearm, as defined in section 2C:39-1f., at or in the
direction of another, whether or not the actor believes it to be
loaded[]," and for a conviction of third degree possession of a
handgun without a permit pursuant to N.J.S.A. 2C:39-5b. As to
the former, the Plea Form and the Request to Recommend
Disposition both state that defendant would plead guilty to
N.J.S.A. 2C:12-1b(3), which is a fourth-degree aggravated assault
requiring that the actor "[r]ecklessly causes bodily injury to
another with a deadly weapon." When the prosecutor made his
presentation to the court at the plea hearing, he stated that the
State would move to amend the second-degree aggravated assault
counts to fourth-degree counts under N.J.S.A. 2C:12-1b(3). Later
at the hearing, when the judge first addressed defendant, he said
to him that the assault charges were being downgraded to
"pointing" (N.J.S.A. 2C:12-1b(4)). The judgment of conviction
reflects the "final charges" as two counts of aggravated assault
under "NJS 2C:12-1b(3)(4)," seemingly encompassing both sections.
Clearly, however, there was not a factual predicate for a
conviction of N.J.S.A. 2C:12-1b(3). Neither do we think the
necessary predicate existed for a N.J.S.A. 2C:12-1b(4) or 2C:39-5b offense. The most defendant said as to being in possession of
a gun was "I would say" he had a handgun. As to the attendant
circumstances, "he would say" he pointed it at the victims and
that there were other people with him who had guns, though he
could not recall how many or who. But he did not recall the type
of gun he had, or whether it was an automatic or revolver. Other
than the pointing of a gun at the victims, nothing more is known.
For instance, nothing is known about the type of weapon the
handgun was or whether it was operable and loaded. As to the
latter factor, while an offense under N.J.S.A. 2C:12-1b(4) does
not require belief on the part of a defendant that the weapon is
loaded, certainly that would be an important circumstance
manifesting extreme indifference to human life, particularly
where there is a dearth of any other such circumstances.
Moreover, although the statement that he "would say" he had
a gun and that he had no permit might support a conviction of the
third-degree offense, we think the overall circumstances warrant
a reinstatement of the underlying indictment. As defendant
points out:
In determining the adequacy and reliability
of the factual basis offered by defendant in
support of these charges, the circumstances under
which the plea was entered must be recalled.
Before defendant agreed to the instant plea on
Counts 1 through 8, he had twice rejected very
favorable offers from the state to plead to Counts
9 through 17, which alleged more serious offenses,
including an offer to dismiss both counts of
murder in exchange for a plea to two counts of
assault with a maximum term of 10 years with no
more than one-third without parole. Defendant
felt strongly that if a jury heard the evidence,
he would be acquitted of the offenses charged in
Counts 9 through 17, and, in fact, both his
codefendants were acquitted. Mr. Henries,
however, was convicted.
Mr. Henries did not agree to plead to Counts 1 through 8 until after he was convicted of Counts 9 through 17 and sentenced to spend the rest of
his life in prison for acts to which he maintained
his innocence. At the point, defendant accepted a
plea to a minimal concurrent term of five years,
which did not add any time to the two consecutive
life terms with an aggregate 60 years without
parole which had been imposed following conviction
on Counts 9 through 17.
Under these circumstances, though it seems defendant's plea may,
at the time, have been voluntary and knowing, it certainly was
influenced by his murder convictions and life sentences. Had
those convictions not occurred there is every reason to believe
he would not have willingly and knowingly pled guilty. We are
convinced, therefore, that defendant should be allowed to
withdraw his plea and defend the original charges.
Footnote: 1Because of our reference to this witness' extensive psychiatric conditions we have used a fictitious name when referring to him throughout this opinion. Footnote: 2United States v. Wade, 388 U.S. 218, 87 S. Ct. 1926, 18 L. Ed.2d 1149 (1967). Footnote: 3State v. Bielkiewicz, 267 N.J. Super. 520 (App. Div. 1993). Footnote: 4On the other hand, John said one of the assailants' jackets had a patch of red on the back, but otherwise he was dressed all in black; according to him, neither man had a hat and both men were clean-shaven. Footnote: 5 According to the Physician's Desk Reference (PDR) (51st ed. 1997), at 1587, haldol is a "long-acting parenteral anti-psychotic drug[] intended for use in the management of patients [with, among other things,] chronic schizophrenia"; imipramine is "[f]or the relief of symptoms of depression" and "may be useful as temporary adjunctive therapy in reducing enuresis in children aged 6 years and older, . . ." PDR, at 875; buspar is "for the management of anxiety disorders," PDR, at 739; lithium is "indicated in the treatment of manic episodes of manic-depressive illness" (citrate is the syrup form), PDR, at 2659; cogentin is "an adjunct in the therapy of all forms of parkinsonism," used to counteract movement disorder side effects of thorazine. PDR, at 1661. Footnote: 6On October 26, 1994, John was admitted to Fair Oaks, a psychiatric facility, for seven weeks. Tests at that time revealed a full scale IQ of 70. From April to August 1995, John was a psychiatric patient at Elizabeth Medical Center, where he was seen by Dr. Kaune. By the time of the Doe trial in December 1995 and continuing through the period of the instant remand hearing in October 1996, John was living at Willowglen Academy in Newton, "a residential school for treatment of psychiatric problems."