SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-0744-92T4
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
JEFFREY DISHON,
Defendant-Appellant.
____________________________________
Submitted September 30, 1996 - Decided
February 6, 1997
Before Judges Havey, Brochin and Eichen.
On appeal from Superior Court of New Jersey,
Law Division, Monmouth County.
Susan L. Reisner, Public Defender of New
Jersey, attorney for appellant (Thomas J.
Gosse, Designated Counsel, on the brief).
Peter Verniero, Attorney General of New
Jersey, attorney for respondent (Catherine A.
Foddai, Deputy Attorney General, of counsel
and on the brief).
The opinion of the court was delivered by
HAVEY, P.J.A.D.
At issue in this criminal appeal is: (1) whether defendant
was deprived of a fair trial where the trial judge denied
defendant's request to be present during an in camera voir dire
of prospective jurors, and the voir dire was conducted after
defendant had exercised all of his peremptory challenges; and
(2) whether the judge erred in admitting into evidence the
results of DNA polymerase chain reaction (PCR) testing to link
defendant with the crimes.
We conclude that the procedure followed by the trial judge
deprived defendant of his fundamental right to be present during
a critical stage of the criminal proceeding and of his
substantial right to exercise his peremptory challenges in a
knowing and meaningful way. We therefore reverse defendant's
aggravated manslaughter and weapons possession convictions and
remand for retrial. For purposes of the retrial, we reject
defendant's array of challenges to the admission of the PCR-DNA
test results, and conclude that the evidence was properly
admitted.
Under a Monmouth County indictment, defendant was charged
with first-degree purposeful or knowing murder, N.J.S.A. 2C:11-3a(1) and -3a(2); first-degree felony murder, N.J.S.A. 2C:11-3a(3); armed robbery, N.J.S.A. 2C:15-1; unlawful possession of a
weapon, N.J.S.A. 2C:39-5d; possession of a weapon for an unlawful
purpose, N.J.S.A. 2C:39-4d; and theft of movable property,
N.J.S.A. 2C:20-3a. He was tried by a jury and found guilty of
felony murder. He was acquitted of purposeful or knowing murder
and armed robbery, but found guilty of the lesser-included
offenses of aggravated manslaughter and second-degree robbery.
He was also found guilty of the weapons possession charges and
theft of a vehicle.
We reversed defendant's convictions by opinion dated April
20, 1989 (A-2017-85T4), and remanded for a new trial. Prior to
retrial, the State moved to admit the results of PCR-DNA evidence
to link defendant with the crimes.See footnote 1 The trial judge ruled that
PCR-DNA testing was generally accepted as a reliable scientific
testing procedure and that no pretrial hearing was necessary with
respect to that issue. However, the judge conducted a lengthy
FryeSee footnote 2 hearing to determine whether: (1) the procedures followed
were reliable; (2) the polymerase used (Taq) was sufficiently
reliable; and (3) the statistical analysis and quantification of
the test result was sufficiently reliable to be admitted at
trial. After the hearing, during which expert evidence was
presented by both sides, the judge ruled that the PCR-DNA
evidence proffered by the State was admissible.
After a trial by jury, defendant was acquitted of felony
murder and robbery, but convicted of aggravated manslaughter, the
weapons possession charges, and third-degree theft of a vehicle
and other personal property valued over $500. For aggravated
manslaughter, defendant was sentenced to a twenty-year custodial
term, with a ten-year period of parole ineligibility, to be
served consecutively to a term that defendant was serving on an
unrelated conviction. A concurrent five-year term was imposed on
the possession of a weapon for an unlawful purpose conviction and
a concurrent eighteen-month term was imposed on the unlawful
possession of a weapon conviction. A consecutive five-year term
with a two-and-one-half-year period of parole ineligibility was
imposed on the theft conviction.
On appeal, defendant raises the following points:
Point I - The introduction of the DNA
evidence produced through the polymerase
chain reaction (PCR) procedure denied
defendant his right to a fair trial.
A. The population frequency statistics used
by the State are unreliable.
B. In the alternative, the court's failure
to apply the ceiling principle with
regard to the statistical evidence
denied the defendant a fair trial.
C. The State has not proven that proper
protocol and procedures were followed by
Dr. Blake in this case; therefore,
admission of the PCR-DNA evidence
against the defendant denied him a fair
trial.
D. The State's failure to produce Jennifer
Mahovolich [sic] to testify renders the
PCR-DNA test results inadmissible.
E. The court's decision to take judicial
notice that the PCR procedure is
scientifically reliable and acceptable
denied the defendant a fair trial.
F. The erroneous admission of PCR-DNA
evidence was not harmless.
Point II - Prohibiting the defendant from
being present at the in camera inquiry with
each juror concerning the issue of
homosexuality denied defendant his right to a
fair trial.
Point III - The court's ruling that the defense was not permitted to examine witnesses or introduce evidence which indicated that the victim was involved in sadomasochism and had suffered bruises and injuries during the two months preceding his
death denied the defendant his right to a
fair trial.
Point IV - Testimony of Detective[s]
Holmes and Sommer that the defendant was
finger-printed at least three days before the
crime committed in this case denied the
defendant a fair trial.
Point V - The admission of what the
State alleged to be Mr. Dishon's weight when
he was admitted into the county jail denied
the defendant a fair trial.
Point VI - Allowing the State to
introduce evidence that defendant supposedly
carried a weapon and/or knife denied the
defendant his right to a fair trial.
Point VII - Admission of evidence that
defendant supposedly told Steven Van Dusen
that he hurt someone real bad and might have
killed him denied the defendant the right to
a fair trial.
Point VIII - Certain statements made by the
prosecutor were improper and deprived the
defendant of a fair trial.
Point IX - The judge erred in denying the
defendant proper credit (jail credits) from
the time of the reversal of his murder
conviction to the time of his new sentence.
Point X - The sentence imposed against
defendant is excessive.
Point XI - The sentence imposed under
this indictment should have been concurrent
to defendant's sentence under Indictment
No. 366-2-85 because his plea agreement for
that indictment specifically required that
the sentences under both indictments be
concurrent.
The State presented evidence establishing that the victim, Norman Anctil, was found dead in his Sea Bright apartment on December 4, 1984. There was blood spattered on his body, clothing and on his apartment furniture and wall. The top of his
jeans was open and the zipper was halfway down. The police found
a pair of white jeans on the bedroom floor with blood stains on
the left thigh area.
Investigation revealed that a Seiko watch, stereo and
television set had been taken from Anctil's apartment. There was
no evidence of forced entry. A latent fingerprint lifted from a
glass door in the apartment was later found to be a positive
match with defendant's fingerprint.
Anctil had been stabbed thirty-six times and an autopsy
revealed that the cause of death was blood in the plural cavities
due to lacerations of the heart. According to the coroner,
Anctil died between 10 a.m., December 2 and 10 a.m., December 3,
1984.
The police investigation centered on the fact that the
homicide may have been homosexually related, in part based on
interviews with Anctil's co-workers. Also, bartenders at local
gay bars recognized Anctil, and one recalled that Anctil was at a
local bar on Saturday night, December 1, 1984. It was also
determined that defendant frequented the gay bars in Asbury Park.
Shortly after Anctil's death, the investigators found
Anctil's car in the area of defendant's Asbury Park residence.
After the positive match of defendant's fingerprint with the
fingerprint lifted from Anctil's apartment, investigators from
the prosecutor's office arrested defendant at the home of a
friend. The investigators recovered Anctil's Seiko watch,
television set, and bicycle from defendant's friends and family.
Defendant's ex-girlfriend testified that defendant often
carried a knife. She stated that defendant laughed and spit at
men standing outside gay bars, calling them "faggots," and that
he told her he liked to rob them. She testified that defendant
said all "faggots" should be dead and that he would "kill them in
a New York second." In mid-December 1984, defendant admitted to
her that he had killed a "faggot" in Sea Bright by stabbing him.
As a result of the pretrial ruling as to the admission of
the PCR-DNA test results, the State was permitted to
call Dr. Edward Blake, a forensic serologist. The PCR technique
described by Dr. Blake was developed in 1985 by Cetus
Corporation. See State v. Williams, 252 N.J. Super. 369, 380
(Law Div. 1991). The procedure amplifies a specific region of
DNA in a sufficient quantity to allow for its analysis. A
targeted segment of DNA can be amplified in exact replicas a
millionfold which can then be analyzed. Ibid. A scientist can
select any section of interest from a DNA molecule, typically a
single set of genes, amplify that part and thereafter easily
analyze it. Ibid. See footnote 3
Dr. Blake's laboratory examined the white jeans found in
Anctil's bedroom. Dr. Blake described the methodology employed
in removing sperm collected from a yellow stain on the jeans and
the procedure followed in releasing DNA from the sperm to isolate
the DQ alpha gene. Dr. Blake then explained how the DQ alpha
gene was amplified and analyzed to determine its genotype.
Dr. Blake stated that the sperm recovered from two adjacent
areas on the white jeans was found to contain DQ alpha alleles
1.2, 1.3. He explained that there are six alleles in the DQ
alpha genetic marker system and that each person has two alleles,
resulting in twenty-one possible genotype combinations. A
specimen of defendant's blood was typed, revealing a 1.2, 1.3 DQ
alpha genotype, the same as that contained in the sperm on the
white jeans. Typing performed on Anctil's blood and hair
revealed DQ alpha genotype 1.1, 3. Consequently, Dr. Blake
determined that Anctil could not have been the source of the
sperm.
Dr. Blake testified that he kept a record of how often
different DQ alpha genotypes appear in different populations
based on PCR-DNA testing performed by his laboratory on specimens
from various victims and suspects across the United States. Dr.
Blake's sample size for the Caucasian population was 730.
According to Dr. Blake, the 1.2, 1.3 DQ alpha genotype occurred
in twenty-three of these individuals, or approximately 3%.
Dr. Michael Conneally, a professor of medical genetics and
neurology at Indiana University Medical Center, testified that he
reviewed Dr. Blake's report which listed the frequency of
occurrence of 1.2, 1.3 DQ alpha genotype as 3.5" in the Caucasian
population and 2.5" in the Black population. Dr. Conneally
characterized the 3.5" figure as reliable and conservative. He
relied on a number of studies performed in the United States, all
of which had results compatible with Dr. Blake's determination
respecting the percentage of Caucasians and Blacks having the
1.2, 1.3 DQ alpha genotype. Dr. Conneally characterized the
findings of all these studies as consistent with each other and
with Dr. Blake's results.
Defendant testified and admitted that he was in Anctil's
apartment during the early morning hours of December 2, 1984, and
stole Anctil's stereo, television, bicycle, watch and vehicle.
He stated that when the bars closed at 2 a.m. on December 2,
1984, he went to Anctil's apartment with a male named "Jim," and
that Jim and Anctil went into the bedroom and closed the door.
After leaving Anctil's apartment with the stolen items, he drove
Anctil's vehicle to an apartment in Asbury Park, where he fell
asleep after moving the stolen property into the house.
Defendant denied killing Anctil. He claimed that the white jeans
found at the scene of the homicide did not belong to him. He
acknowledged owning a knife at the time of Anctil's death, but
denied carrying it all the time.
the case; and (5) the fact that the case involved homosexuality
and an attitude towards homosexuals would prevent them from
rendering a fair and impartial verdict. Whenever a juror
responded positively to any of the questions, the judge posed
additional questions to that particular juror. The judge also
made inquiry into the juror's occupation, residency, marital
status and spouse's occupation. Whenever a juror was excused
because of a peremptory challenge, the judge generally covered
the same questions when a new juror was selected.
Juror number nine informed the judge during a side-bar
conference that he was a homosexual. The juror claimed that this
would not affect his judgment and that he could decide the case
impartially on the evidence developed at trial. Defense counsel
was present at this side-bar conference and posed questions to
the juror. However, nothing in the record suggests that
defendant was either present or was able to hear what transpired
at side-bar. Neither attorney challenged the juror.
After defense counsel exhausted his allotment of twenty
peremptory challenges, see R. 1:8-3(d), the judge announced that
he would bring the jurors into his chambers one at a time so that
he could ask them some additional questions in the presence of
counsel and the court reporter. The judge explained that if
counsel had exhausted their peremptory challenges, they could
only challenge for cause. Defense counsel informed the judge
that defendant wanted to be present during the additional voir
dire in chambers. The judge denied the request for "reasons of
security," but asked defense counsel to relay to defendant what
was said by each juror.
The judge then called each of the fourteen jurors into
chambers individually and informed them that there would likely
be evidence in the case pertaining to homosexuality, homosexual
relations and a viewpoint or attitude towards homosexuals. The
jurors were asked whether they could put that aside and decide
the case based upon the evidence. The jurors indicated that they
could. The judge also inquired whether the jurors had any
relatives, friends or co-workers whom they believed to be
homosexual. In addition, the jurors were asked whether they
would weigh the testimony of a homosexual in the same manner as
that of any other person. All of the jurors indicated that they
would. Most of the jurors were also asked if they could give
defendant a fair trial if it were revealed that he was homosexual
or bisexual. The jurors indicated that they would.
One of the jurors, juror number four, informed the judge
that he was "not sympathetic at all with homosexuality," but his
view would not affect his decision. Another juror, number nine,
who had previously informed the court that he was a homosexual,
expressed the opinion that there was no relationship between an
individual's sexual preference and his or her veracity. He also
stated that if the evidence were to reveal that defendant was
either a homosexual or bisexual, but had made disparaging remarks
about homosexuals, he could put this aside and give defendant a
fair trial based solely on the evidence.
None of the jurors were challenged as a result of what
transpired during the voir dire in chambers. Jurors number nine
and four both sat as deliberating jurors.
Defendant argues that his exclusion by the trial judge from
the in camera voir dire deprived him of a fair trial because the
voir dire "dealt with the central theme of the prosecution's case
-- bias against homosexuals." Thus, he was involuntarily
excluded from a "critical stage of the trial," an error "of
constitutional dimension" which mandates a new trial.
A criminal defendant has a constitutional right to be
present at every critical stage of his or her trial, including
the impaneling of the jury. Hopt v. Utah,
110 U.S. 574, 578,
4 S.Ct. 202, 204,
28 L.Ed. 262, 265 (1884); United States v.
Tipton,
90 F.3d 861, 872 (4th Cir. 1996); United States v.
Camacho,
955 F.2d 950, 952-53 (4th Cir. 1992); United States v.
Washington,
705 F.2d 489, 496-97 (D.C. Cir. 1983). The right is
embodied in our R. 3:16(b): "The defendant shall be present at
every stage of the trial, including the impaneling of the jury
. . . ." The right to be present is derived from the Sixth
Amendment Confrontation Clause, the Due Process Clause of the
Fifth and Fourteenth Amendments, and the common law privilege of
presence. See United States v. Alessandrello,
637 F.2d 131, 138
(3d Cir. 1980), cert. denied,
451 U.S. 949,
101 S.Ct. 2031,
68 L.Ed.2d 334 (1981).
This fundamental right to be present during voir dire is
essential because it is only by defendant's presence during jury
impaneling that he can assist his attorney in the selection of an
impartial jury. United States v. Crutcher,
405 F.2d 239, 244 (2d
Cir. 1968), cert. denied,
394 U.S. 908,
89 S.Ct. 1018,
22 L.Ed.2d 219 (1969). He is entitled to hear questions intended to
disclose a juror's bias, hostility or predisposition to believe
or discredit the testimony of potential witnesses, and the
juror's answers so that he has the opportunity to assess the
juror's facial expressions and demeanor. People v. Antommarchi,
604 N.E.2d 95, 97 (N.Y. 1992). A defendant may form impressions
and prejudices based upon the "bare looks and gestures of" the
juror. Crutcher, supra, 405 F.
2d at 244. Thus, a defendant's
presence is necessary so that he may effectively exercise his
peremptory challenges. Camacho, supra, 955 F.
2d at 953; Boone v.
United States,
483 A.2d 1135, 1138 (D.C. 1984).
We have found no published decision in New Jersey dealing
generally with a defendant's absence from the jury voir dire
process; however, cases from other jurisdictions have held that a
defendant's absence is subject to a harmless error analysis.See footnote 5
See, e.g., United States v. Willis,
759 F.2d 1486, 1500 (11th
Cir.), cert. denied,
474 U.S. 849,
106 S.Ct. 144,
88 L.Ed.2d 119
(1985); Washington, supra, 705 F.
2d at 498; Alessandrello, supra,
637 F.
2d at 138 n.11; Boone, supra, 483 A.
2d at 1140; State v.
Caraballo,
615 P.2d 91, 100 (Haw. 1980); Noble v. State,
446 A.2d 844, 854 (Md. 1982); Commonwealth v. Owens,
609 N.E.2d 1208, 1215
(Mass. 1993); People v. Marsh,
311 N.W.2d 130, 133 (Mich. Ct.
App. 1981), cert. denied,
459 U.S. 854,
103 S.Ct. 119,
74 L.Ed.2d 104 (1982); State v. Payne,
402 S.E.2d 582, 588 (N.C. 1991);
State v. Whaley,
351 S.E.2d 340, 341 (S.C. 1986); Wesley v.
State,
749 S.W.2d 933, 935 (Tex. Ct. App. 1988). The federal
courts have generally applied the constitutional harmless error
standard enunciated by Chapman v. California,
386 U.S. 18, 24,
26,
87 S.Ct. 824, 828-29,
17 L.Ed.2d 705, 710-11, rehearing
denied,
386 U.S. 987,
87 S.Ct. 1283,
18 L.Ed.2d 241 (1967), which
places the burden upon the government to prove the harmlessness
of the error beyond a reasonable doubt, i.e., that the error did
not contribute to the conviction or affect the substantial rights
of the defendant. Camacho, supra, 955 F.
2d at 957; United States
v. Alikpo,
944 F.2d 206, 209 (5th Cir. 1991); Washington, supra,
705 F.
2d at 498; Alessandrello, supra, 637 F.
2d at 138 n.11;
Crutcher, supra, 405 F.
2d at 244.
Here, the trial judge violated R. 3:16(b), and deprived
defendant of his fundamental right to be present during the in
camera individual voir dire conducted in chambers after defendant
had expressly requested to be present.See footnote 6 Although defendant was
present for a substantial portion of the general voir dire he was
absent from that phase which dealt with the central theme of the
prosecution's case, i.e., that the crime was homosexually
related. One of the State's witnesses, defendant's ex-girlfriend, claimed that defendant laughed and spit at men
standing outside gay bars, called them "faggots," stated that he
liked to rob them and would "kill them in a New York second."
Since there was testimony that the victim was homosexual and the
evidence suggested that defendant was bisexual because he was a
frequent patron of gay bars, it was important that defendant be
present so that he could have formed his own impressions of the
jurors' demeanor and visceral reactions when they responded to
the questions about homosexuality. Further, the in camera voir
dire, which consumed over forty pages of transcript, cannot be
characterized as "very limited." Washington, supra, 705 F.
2d at
498. Moreover, as stated, it dealt with a subject that was at
the heart of the case, rather than a peripheral matter such as
pretrial publicity. See Alessandrello, supra, 637 F.2d at 135.See footnote 7
The State reasons that defendant can show no prejudice
because he had already exercised all of his peremptory challenges
before the in camera voir dire took place. But this assertion of
"harmlessness" is bottomed on a second, fundamental error
committed by the trial judge not raised by defendant, namely
conducting the in camera questioning of the jurors after
defendant's peremptory challenges had been exhausted. The
procedure distorted the jury selection process and impaired
defendant's right to exercise knowingly his peremptory
challenges. This is so because defense counsel exercised all of
defendant's challenges before the jurors' possible bias regarding
homosexuality was fully explored.
The procedure followed by the judge violated N.J.S.A. 2A:78-4, now repealed, which provided in pertinent part:
Upon the trial of any cause, civil or
criminal, all parties may, within the
discretion of the court, question any person
summoned as a juror, after his name is drawn
from the box and before he is sworn as a
juror, and without the interposition of any
challenge, to elicit information for the
purpose of determining whether or not to
interpose a peremptory challenge, and of
disclosing whether or not there is cause for
challenge. . . . The questioning shall be
conducted under the supervision and control
of the trial judge and in open court.See footnote 8
[Emphasis added.]
It also violated R. 1:8-3(a), which provides that "[f]or the
purpose of determining whether a challenge should be interposed,
the court shall interrogate the prospective jurors in the box
after the required number are drawn . . . ." (Emphasis added).
Since the information elicited during voir dire is for the
purpose of determining whether to interpose a peremptory
challenge, the voir dire must, of necessity, precede the exercise
of peremptory challenges. Cf. State v. Wagner, 180 N.J. Super.
564, 566-68 (App. Div. 1981) (N.J.S.A. 2A:74-1, which defines the
manner for impanelling a jury in a criminal case, could not be
ignored when selecting a jury, and irregularities in jury
selection process constituted reversible error because, when the
integrity of the process is at stake, prejudice is not a
precondition to successfully asserting impairment of the
fundamental right of proper jury selection); see also United
States v. Olano,
507 U.S. 725, ___,
113 S.Ct. 1770, 1779,
123 L.Ed.2d 508, 521 (1993) (quoting United States v. Atkinson,
297 U.S. 157, 160,
56 S.Ct. 391, 392,
80 L.Ed. 555, 557 (1936)) (the
Court of Appeals should correct even a plain "forfeited" error
affecting substantial rights if the error "seriously affect[s]
the fairness, integrity or public reputation of judicial
proceedings").
A voir dire designed to expose potential bias is essential
to ensure an impartial jury. State v. Hunt,
115 N.J. 330, 348,
reconsideration denied,
117 N.J. 152 (1989). "Only through a
thorough voir dire can counsel determine whether to seek
disqualification of a person for cause and to make informed
decisions in exercising peremptory challenges." State v. Oates,
246 N.J. Super. 261, 267 (App. Div. 1991).
Although the right of peremptory challenge is not a
fundamental right guaranteed by the federal or State
Constitutions, it is nevertheless a "substantial right" provided
by statute, N.J.S.A. 2B:23-13b and court rule, R. 1:8-3(d).
State v. DiFrisco,
137 N.J. 434, 468 (1994), cert. denied, ___
U.S. ___,
116 S.Ct. 949,
133 L.Ed.2d 873 (1996); State v.
Singletary,
80 N.J. 55, 62 (1979). The goal of peremptory
challenge is to secure an impartial jury. DiFrisco, supra, 137
N.J. at 468. A party exercises a peremptory challenge not
because a juror's views prevents or substantially impairs his or
her performance as a juror, but because the party may "detect
some disfavorable leaning." Id. at 469. Subject to
constitutional strictures, "a peremptory challenge can rest on a
good reason, a bad reason, or no reason at all." State v. Scher,
278 N.J. Super. 249, 263 (App. Div. 1994), certif. denied,
140 N.J. 276 (1995). Thus, "[a]ny diminution of or infringement upon
that legislatively granted opportunity [to exercise the
challenges] deprives defendant of as fair a trial as our rules
permit." Singletary, supra, 80 N.J. at 71 (Clifford, J.,
dissenting).
The exercise of peremptory challenges presupposes a knowing
participation by the accused. Here, during the general voir
dire, when defendant was present and still had peremptory
challenges, the single question about homosexuality was
nonspecific; the jurors were simply told that there may be a
homosexuality theme to the proofs presented by the State. The
trial judge then recognized, and properly so, that extensive
questioning of each juror as to his or her potential bias because
of the homosexuality issue was necessary. The fatal error was
that the judge chose not only to conduct this voir dire outside
of defendant's presence, but did so after defendant had exercised
all his peremptory challenges. This procedure had the effect of
nullifying defendant's "substantial right" to a full and probing
voir dire in his presence, and to exercise all of his peremptory
challenges predicated on his "feel" of each juror's reaction to
the questioning.
For example, we know that one juror, number four, informed
the judge that he was not "sympathetic at all with
homosexuality." Another juror, number nine, a homosexual,
expressed an opinion during the in camera voir dire that he felt
there was no relationship between an individual's sexual
preference and his or her veracity. Both jurors remained on the
jury. During the in camera proceeding other jurors may have
exhibited in a nonverbal way a discomfort or even distaste
concerning the homosexuality issue. Because defendant was not
present, he had no chance to "detect some disfavorable leaning,"
DiFrisco, supra, 137 N.J. at 469, or other "unaccountable
prejudices" derived from the "bare looks and gestures" of the
jurors as they answered the judge's questions. Crutcher, supra,
405 F.
2d at 244. In any event, because defendant no longer had
any peremptory challenges, he would have been unable to exercise
his "substantial right" to excuse the jurors had he wished to do
so. Because of the importance of the homosexuality theme,
defendant may have exercised his challenges based on the juror's
responses to the judge's inquiry on that issue, rather than
exercise them based on the juror's occupation, relation to law
enforcement officers, prior jury service, and their answers to
other similar questions asked during the general voir dire.
This is not a case where a defendant challenges an erroneous
ruling on the sequence in which peremptory challenges are to be
made; such an error is not necessarily fatal to a defendant's
"full exercise of his right to challenge jurors peremptorily."
State v. Brunson,
101 N.J. 132, 145 (1985). Rather, we deem the
error committed akin to instances where a juror fails to
disclose a fact which may bear upon his or her ability to be
impartial.
For example, in State v. Thompson, 142 N.J. Super. 274 (App.
Div. 1976), it was disclosed after trial that a juror had served
as a guard in a correctional institution about twenty-five years
before trial and was presently serving on a municipal juvenile
board. Id. at 278. The juror had not responded to a voir dire
question whether he had ever been employed in any law enforcement
work at any level in government. Id. at 278-79. In reversing
the conviction, we determined that it was of no significance
whether the juror's failure to respond was deliberate or
inadvertent. Id. at 280. We held that the juror's silence was
"misleading to defendant and prejudiced him in a valuable
incident of the trial process -- the exercise of a peremptory
challenge." Ibid. We quoted from our Supreme Court's holding in
Wright v. Bernstein,
23 N.J. 284 (1957):
The fundamental right of trial by a fair
and impartial jury is jealously guarded by
the courts. The jury is an integral part of
the court for the administration of justice,
and on elementary principles its verdict must
be obedient to the court's charge based
solely on legal evidence produced before it
and entirely free from the taint of
extraneous considerations and influences.
The parties to the action are entitled to
have each of the jurors who hears the case
impartial, unprejudiced and free from
improper influences. Panko v. Flintkote Co.,
7 N.J. 55, 61 (1951).
What happened in this case had the
effect of nullifying the purpose of the
examination and was as effective as though
the trial court had denied the right of
challenge. The denial of the right of
peremptory challenge is the denial of a
substantial right. When it is not waived by
conduct, it is prejudicial per se and
harmful, and a party is not required to make
an affirmative showing that the denial of his
right to peremptory challenge had resulted in
prejudice and injury to his cause of action
on the merits.
[Thompson, supra, 142 N.J. Super. at 281
(quoting Wright, supra, 23 N.J. at 294-95).]
Thus, we held that "the denial of the right of peremptory challenge in the context of the subject matter of the question is `prejudicial per se and harmful.'" Thompson supra, 142 N.J.
Super. at 281 (quoting Wright, supra, 23 N.J. at 295). We found
that "the misleading silence of the juror herein amounted to a
denial of the right of peremptory challenge -- a substantial
right in the concept of a fair and impartial trial." Thompson,
supra, 142 N.J. Super. at 281.
In this case, unlike Thompson where the right to a single
peremptory challenge was frustrated, defendant was deprived of
the right to exercise in a wholesale fashion his challenges based
on the homosexuality theme after a meaningful individual voir
dire. Nevertheless, we need not apply the Wright/Thompson
"prejudicial per se" rule here. Suffice it to say we are
satisfied that the State has failed to prove beyond a reasonable
doubt that the errors committed during the voir dire were
harmless beyond a reasonable doubt. Chapman, supra, 386 U.S. at
24, 26, 87 S.Ct. at 828-29, 17 L.Ed.
2d at 710-11. It may at
least be argued that defendant's nonpresence during the in camera
voir dire may not have resulted in reversible error by itself.
However, we are convinced that this error, together with the
error in conducting the in camera voir dire after defendant had
exercised his peremptory challenges, deprived defendant of his
"substantial right" of a knowing and meaningful voir dire
procedure.
Hence, we reverse defendant's conviction of aggravated
manslaughter and the weapons possession charges and remand these
counts for a new trial. However, since defense counsel admitted
during summation that defendant was guilty of the theft charge
and defendant also acknowledged his guilt during his testimony,
we affirm this conviction because we are convinced defendant
would have been convicted of this count regardless of the jury's
composition.
the proponent bears the burden to establish its "general
acceptance" and thereby its reliability, through one of three
methods:
(1) by expert testimony as to the general
acceptance, among those in the profession, of
the premises on which the proffered expert
witness based his or her analysis; (2) by
authoritative scientific and legal writings
indicating that the scientific community
accepts the premises underlying the proffered
testimony; and (3) by judicial opinions that
indicate the expert's premises have gained
general acceptance.
[Kelly, supra, 97 N.J. at 210.]
Our appellate courts have, in criminal cases, generally
adhered to this "general acceptance" standard. See State v.
Spann,
130 N.J. 484, 509-10 (1993); State v. J.Q.,
130 N.J. 554,
572-73 (1993); Marcus, supra, 294 N.J. Super. at 275; but see
State v. Fertig,
143 N.J. 115, 126-27 (1996) (court declined to
abandon guidelines for admission of hypnotically-refreshed
testimony pronounced in Hurd, supra, 86 N.J. at 525, despite
majority of state courts holding that testimony is per se
inadmissible); Cf. Rubanick v. Witco Chemical Corp.,
125 N.J. 421, 449 (1991) (in toxic tort litigation, a theory of causation
not yet enjoying general acceptance may nevertheless be
sufficiently reliable if based on sound, adequately-founded
scientific methodology involving data reasonably relied upon by
experts in field); and see Daubert v. Merrell Dow Pharm., Inc.,
509 U.S. 579, 591-94,
113 S.Ct. 2786, 2796-97,
125 L.Ed.2d 469,
482-83 (1993).
Even accepting the more demanding "general acceptance"
standard, we are persuaded that no testimonial hearing was
necessary to accept the PCR-DNA results in this case, since the
State satisfied each of the three tests enunciated in Kelly. The
State offered several reports from experts which established that
PCR amplification is widely used in genetic typing, forensic
science, molecular biology, and as a diagnostic tool in the
medical profession. The reports also explain that the
reliability and validity of DQ alpha tests have been demonstrated
by blind trials, population studies and analyses performed on
over 10,000 samples by laboratories, including Cetus Corporation,
the FBI and numerous other scientific centers. The testing
procedure has been the subject of over 3,000 publications. This
wide recognition and use of the PCR-DNA procedure establishes its
general acceptance in the scientific community.
Moreover, the State presented voluminous authoritative,
scientific studies supporting use of the PCR-DNA technique,
indicating "that the scientific community accepts the premises
underlying the proffered testimony." Kelly, supra, 97 N.J. at
210. One article describes the PCR DQ alpha system as a
"powerful approach for analyzing the genetic structure of
populations." Rhea Helmuth, et al., HLA-DQa Allele and Genotype
Frequencies in Various Human Populations, Determined by Using
Enzymatic Amplification and Oligonucleotide Probes, 47 Am. J. of
Hum. Genet. 515, 520 (1990) (the Helmuth Article). Finally,
recent judicial opinions make clear the general acceptance of DNA
testing as a forensic device. Marcus, supra, 294 N.J. Super. at
267, and cases cited therein. Specifically, the PCR technique
has gained general acceptance. See Williams, supra, 252 N.J.
Super. at 369, and cases cited therein; Seritt v. State,
647 So.2d 1, 3-4 (Ala. Crim. App. 1994); Harmon v. State,
908 P.2d 434, 438-41 (Alaska Ct. App. 1995); Redding v. State,
464 S.E.2d 824, 827-28 (Ga. Ct. App. 1995); State v. Hill,
895 P.2d 1238,
1247 (Kan. 1995); State v. Grayson, 1
994 WL 670312 (Minn. Dist.
Ct. 1994); People v. Palumbo,
618 N.Y.S.2d 197, 200-01 (Sup. Ct.
1994); State v. Gentry,
888 P.2d 1105, 1115-18 (Wash.), cert.
denied, ___ U.S. ___,
116 S.Ct. 131,
133 L.Ed.2d 79 (1995); State
v. Russell,
882 P.2d 747, 759-68 (Wash. 1994), cert. denied, ___
U.S. ___,
115 S.Ct. 2004,
131 L.Ed.2d 1005 (1995). Consequently,
no testimonial hearing was necessary to establish its general
acceptance.
the sperm samples from the white jeans, and prepared an
epithelial fraction and a sperm fraction from the stains. Dr.
Blake explained the technical procedure whereby the sperm cells
were purified and suspended in a buffer salt solution and placed
in an oven resulting in the release of their DNA. After the DNA
was purified, it was analyzed to determine its quantity and
whether the DNA was degraded.
According to Dr. Blake, a portion of the sample was placed
in tubes containing a PCR-DQ alpha "cocktail" supplied by the
Cetus Corporation. Ultimately, PCR amplification was
accomplished by cycling the material in tubes through different
temperature plateaus. After amplification, the tubes were
removed from the thermal cycler. The amplified DNA was
hybridized with typing strips containing probes reflecting the
six common DQ alpha alleles. A complex procedure, described by
Dr. Blake, was then performed resulting in the amplified DQ alpha
genes binding with the probes on the strips to which they
corresponded. Colored dots appeared on the strips indicating the
presence of alleles. This method of typing is referred to as the
reverse dot blot method.
Dr. Blake determined that the DQ alpha type of Anctil's
blood and hair roots was 1.1, 3. Defendant's blood revealed a DQ
alpha type 1.2, 1.3. The epithelial cell fraction from area A of
the white jeans and the sperm fractions from areas A and B of the
white jeans disclosed DQ alpha type 1.2, 1.3. The epithelial
cell fraction from area B of the white jeans was too weak to be
typed. Thus, Dr. Blake concluded that the sperm on the white
jeans could not have come from Anctil, but that it was
genetically compatible with defendant.
Dr. Blake testified that, with minor exceptions, he followed
the protocol developed by Cetus Corporation contained in a
brochure that accompanied its kit.See footnote 9 He admitted that neither he
nor Ms. Mihalovich are certified as forensic scientists by any
state licensing agency since such certifications do not exist in
any state. Moreover, he acknowledged there is no regulatory body
that certifies individuals to perform PCR testing or which sets
the protocol to be followed when conducting such tests.
During the Frye hearing the State also presented the
testimony of Dr. Hague Kazazian, Director of the Center for
Medical Genetics at Johns Hopkins Medical School. Dr. Kazazian,
board certified in medical genetics, has authored many
publications concerning PCR, and has used PCR extensively in his
laboratories at Johns Hopkins. Although he has never observed
Dr. Blake or anyone at Dr. Blake's laboratory conduct a PCR test,
he reviewed Dr. Blake's laboratory bench notes and report and
concluded that the proper protocol had been utilized and that Dr.
Blake's test results were scientifically valid and accurate.
In addition, Dr. Henry Lee, a forensic science professor
with a Ph.d in biochemistry, also vouched for the correctness of
the protocol followed by Dr. Blake and the reliability of the
test results. Dr. Lee had performed approximately 300 PCR DQ
alpha tests in his laboratory. After reviewing all of the notes
and data relating to Dr. Blake's testing procedure, Dr. Lee
concluded that scientifically reliable protocol for PCR DQ alpha
gene testing had been followed. Dr. Lee also stated that
although there are no official national guidelines concerning PCR
amplification, all scientists performing the procedure follow the
written guidelines provided by Cetus Corporation, as did Dr.
Blake in this case.
We are satisfied that the trial judge's conclusion that Dr.
Blake followed the appropriate protocol for PCR-DNA testing is
supported by substantial, credible evidence in the record as a
whole. State v. Johnson,
42 N.J. 146, 162 (1964). Clearly, the
State met its burden of proving that Dr. Blake possessed
sufficient expertise to offer his intended testimony. State v.
Berry,
140 N.J. 280, 289 (1995). He had the requisite knowledge,
skill, experience and training in PCR-DNA testing to render the
opinion. See N.J.R.E. 702. Nor can Drs. Kazazian's and Lee's
qualifications and ability to render an opinion as to proper
protocol be challenged. Further, the evidence presented showed
that the procedures followed by Dr. Blake had built-in safeguards
for the extraction and amplification of the DNA. Control samples
were utilized to test for contamination. Lastly, defendant
presented no expert witness to challenge any aspect of the
testing protocol followed by Dr. Blake and his assistant.
We reject the notion that the tests were rendered
inadmissible because of the State's failure to call Dr. Blake's
assistant, Ms. Mihalovich. Dr. Blake was permitted to rely on
facts or data made known to him prior to his testimony if of a
type reasonably relied on by experts in forming and rendering
opinions upon the subject in question. N.J.R.E. 703. Indeed, an
expert's testimony may be based on the work done or even hearsay
evidence of another expert, particularly when, as here, the
latter's work is supervised by the former. State v. Stevens, 136
N.J. Super. 262, 264 (App. Div. 1975).
The fact that Dr. Blake's laboratory had not been
"certified" by any regulatory agency was not dispositive. While
such accreditation may be desirable, its absence does not mean
that the laboratory performing the test failed to follow
appropriate procedures. See Russell, supra, 882 P.
2d at 765-66.
white jeans and in defendant's blood were compared to a
collection of data of genotypes of various racial groups from
reference samples in his laboratory taken from unrelated suspects
and victims throughout the country. He had performed DQ alpha
testing on 730 Caucasians and found that twenty-three had the
1.2, 1.3 genotype. This figure was comparable to a scientific
standard, the Hardy-Weinberg equilibrium, which presupposes the
expected number of Caucasians with the 1.2, 1.3 genotype to be
21.9. According to Dr. Blake, the expected frequency with this
genotype based on the Hardy-Weinberg equilibrium is 3%. He
arrived at that percentage by multiplying the frequency of one
allele by the frequency of the other allele in the genotype and
multiplying the result by two. This is referred to as the
"product rule."
Dr. Blake also presented the results of an article he co-authored (the Helmuth Article) after having submitted 324 samples
of Caucasians tested in his laboratory for inclusion in a study
of genotype frequencies for the HLA-DQ alpha locus. This article
concluded that since the observed DQ alpha genotype frequencies
did not deviate significantly from the expected frequencies based
on the Hardy-Weinberg equilibrium in the Caucasian and other
populations surveyed, the DQ alpha marker can be utilized for
purposes of identification in forensic cases because genotype
frequencies can be reliably estimated from observed allele
frequency data. Dr. Blake also testified that population studies
conducted by the FBI disclosed results that were consistent with
his data and that of the Helmuth Article. Finally, the experts
who reviewed the procedures used by Dr. Blake unanimously agreed
that the testing was performed in accordance with proper
protocol.
There has been substantial debate concerning whether
population "substructures" have statistical significance in the
matching of DNA profiles. See Marcus, supra, 294 N.J. Super. at
280-81. The debate is described in the Committee on DNA
Technology in Forensic Science, National Research Council, DNA
Technology in Forensic Science (1992) (1992 NRC Report) as
follows:
[P]opulation frequencies often quoted for DNA
typing analyses are based not on actual
counting, but on theoretical models based on
the principles of population genetics. Each
matching allele is assumed to provide
statistically independent evidence, and the
frequencies of the individual alleles are
multiplied together to calculate a frequency
of the complete DNA pattern. Although a
databank might contain only 500 people,
multiplying the frequencies of enough
separate events might result in an estimated
frequency of their [sic] all occurring in a
given person of 1 in a billion. Of course,
the scientific validity of the multiplication
rule depends on whether the events (i.e., the
matches at each allele) are actually
statistically independent.
. . . .
The validity of the multiplication rule depends on the assumption of absence of population substructure. Population substructure violates the assumption of statistical independence of alleles. In a population that contains groups each with different allele frequencies, the presence of one allele in a person's genotype can alter the statistical expectation of the other
alleles in the genotype. For example, a
person who has one allele that is common
among Italians is more likely to be of
Italian descent and is thus more likely to
carry additional alleles that are common
among Italians. The true genotype frequency
is thus higher than would be predicated by
applying the multiplication rule using the
average frequency in the entire population.
[Marcus, supra, 294 N.J. Super. at 281
(quoting 1992 NRC ReportSee footnote 10 at 10-12
(footnote omitted)).]
Here, Dr. Louis Levine, a professor of biology at City
College of New York, testified on defendant's behalf that Dr.
Blake's results were skewed because they failed to take into
account "substructures" within the Caucasian and Black population
along geographic lines. It was his view that Dr. Blake's
population frequency statistics should not be admitted into
evidence because there was no adequate database for New Jersey
and therefore it was not known in what manner the New Jersey
population might be substructured. It was Dr. Levine's opinion
that a scientifically accepted database would be one containing
600 random individuals equally distributed throughout New Jersey,
provided defendant does not belong to a special subgroup.
Dr. Levine's inquiries disclosed that defendant does not belong
to any particular subgroup.
In written submissions after the pretrial hearing was
closed, defendant and Dr. Levine also argued that the "ceiling
principle" should be utilized in the event the test results are
admitted into evidence. The "ceiling principle" assumes the
existence "of some degree of population substructure and
generates more conservative population frequency statistics than
the product rule." Marcus, supra, 294 N.J. Super. at 282.
In Marcus, we recently addressed the substructure debate in
the context of the RFLP fingerprinting method. We first
recognized the "overwhelming authority in other jurisdictions
sustaining the admissibility of such evidence." Id. at 282-83
and cases cited therein. Citing recent out-of-state authority,
we rejected challenges to DNA testing based on the "substructure"
argument, concluding that any continuing debate among experts in
the field of population genetics regarding the calculation of
population frequencies of matching DNA print patterns does not
affect the general acceptance of DNA analysis within the
scientific community, and thus should not result in the exclusion
of such evidence in criminal trials. Id. at 287. Thus, the
State may present evidence of population frequencies calculated
by use of the "product rule," the "ceiling principle"See footnote 11 or any
other method that has a legitimate scientific basis, and the
defendant remains free to present conflicting expert opinion
testimony regarding population frequency calculations. Id. at
288.
Marcus is dispositive here. The State presented substantial
testimony by trained and knowledgeable experts that PCR-DNA
testing and DQ alpha amplification and typing are well
established and generally accepted scientific methods and
sufficiently reliable to warrant the admission of test results in
criminal cases. Not only did experts present detailed testimony
as to the methodology employed regarding the procedures used, but
presented generally accepted methodology for collecting data on
genotypes and application of the product rule to calculate the
frequency of occurrence in Caucasian and Black populations.
Because the DNA results were based on these scientifically valid
principles and derived from scientifically valid procedures, the
results were not excludable simply because there may exist a
debate concerning the effect of ethnic substructures, or because
of the availability of an alternative "ceiling principle" to
calculate population frequency statistics for forensic purposes.
Such conflicting theories go to the weight, rather than to the
admissibility of the DNA evidence. Id. at 291.
We also reject defendant's argument that the population
frequency statistics used by the State to quantify the PCR
results were unreliable because the size of the database was too
small. Defendant does not cite any case law to support this
argument. Rather, he places sole reliance on the testimony of
Dr. Levine who stated that the number of Caucasian individuals in
Dr. Blake's database was too small, given the population of the
United States. However, Dr. Levine was not qualified to give
such an opinion; his specialty is in population genetics as
opposed to human population genetics. The predominant part of
Dr. Levine's research involved population genetics of mice and
fruit flies as opposed to humans. The relevant, qualified
scientific community with regard to the topic of population
statistical analyses of DNA tests results are human population
geneticists. See Harmon, supra, 908 P.
2d at 442.
On the other hand, the State presented Dr. Conneally who
specializes in human population genetics. He testified that the
databases used by the State were adequate for purposes of
frequency estimates and in fact, were "larger than the vast
majority of sample sizes for estimating gene frequencies that we
normally use in our day-to-day routine."
We reject each of defendant's challenges to the PCR-DNA test
results, and conclude that they were properly admitted into
evidence.
denied, 488 U.S. 1017, 109 S.Ct. 813, 102 L.Ed.2d 803 (1989); State v. Ramseur, 106 N.J. 123, 320-22 (1987); State v. Matulewicz, 101 N.J. 27, 29 (1985); State v. Garfole, 76 N.J. 445, 453 (1978); State v. Dancyger, 29 N.J. 76, 91-92, cert. denied, 360 U.S. 903, 79 S.Ct. 1286, 3 L.Ed.2d 1255 (1959); State v. Bull, 268 N.J. Super. 504, 512 (App. Div. 1993), certif. denied, 135 N.J. 304 (1994)