SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-4709-94T4
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
MICHAEL BALDWIN,
Defendant-Appellant.
____________________________________
Submitted November 27, 1996 - Decided January 15, 1997
Before Judges Long, Skillman and A.A. Rodríguez.
On appeal from Superior Court of New Jersey,
Law Division, Essex County.
Susan L. Reisner, Public Defender, attorney
for appellant (Lon Taylor, Assistant Deputy
Public Defender, of counsel and on the
brief).
Peter Verniero, Attorney General, attorney
for respondent (Teresa A. Blair, Deputy
Attorney General, of counsel and on the
brief).
The opinion of the court was delivered by
SKILLMAN, J.A.D.
Tried before a jury, defendant was found guilty of
purposeful or knowing murder, in violation of N.J.S.A. 2C:11-3a(1),(2), possession of a handgun without a permit, in violation
of N.J.S.A. 2C:39-5b, and possession of a weapon for an unlawful
purpose, in violation of N.J.S.A. 2C:39-4a. The court sentenced
defendant to life imprisonment, with a thirty-year period of
parole ineligibility, for murder, and a concurrent five year term
of imprisonment for possession of a handgun without a permit.
The court merged defendant's conviction for possession of a
weapon for an unlawful purpose into his conviction for murder.
The court also imposed a total VCCB assessment of $100 and a
total SNSF assessment of $150.
On appeal, defendant makes the following arguments:
I. THE TRIAL COURT'S TOTAL OMISSION OF ANY
INSTRUCTION REGARDING THE JURY'S
OBLIGATION TO ASSESS THE CREDIBILITY OF
THREE INCRIMINATORY OUT-OF-COURT
STATEMENTS ALLEGEDLY MADE BY DEFENDANT
TO TWO DIFFERENT PERSONS DEPRIVED
DEFENDANT DUE PROCESS OF LAW AND A FAIR
TRIAL. (Not Raised Below)
II. THE TRIAL COURT'S FAILURE TO CAUTION THE
JURY REGARDING THE RELIABILITY OF
DEFENDANT'S THREE INCRIMINATORY OUT-OF-COURT ORAL STATEMENTS DEPRIVED DEFENDANT
DUE PROCESS OF LAW AND A FAIR TRIAL.
(Not Raised Below).
III. WRIGHT'S TESTIMONY THAT HE OVERHEARD
DEFENDANT SAY TO SOME UNKNOWN PERSON
"GIVE ME YOUR MONEY, OR YOU WILL BE
NEXT," IMMEDIATELY AFTER THE SHOOTING,
CONSTITUTED EXTREMELY PREJUDICIAL OTHER-CRIMES EVIDENCE DEPRIVING DEFENDANT OF
DUE PROCESS OF LAW AND A FAIR TRIAL.
(Not Raised Below)
IV. THE TRIAL COURT'S TOTAL OMISSION OF A
JURY CHARGE ON "MERE PRESENCE" DEPRIVED
DEFENDANT DUE PROCESS OF LAW AND A FAIR
TRIAL. (Not Raised Below)
V. THE ACCUMULATION OF ERRORS DENIED
DEFENDANT DUE PROCESS OF LAW AND A FAIR
TRIAL.
VI. THE IMPOSITION OF A MAXIMUM LIFE SENTENCE FOR MURDER WAS NOT SUPPORTED BY
A PROPER ANALYSIS OF AGGRAVATING AND
MITIGATING FACTORS.
Except for defendant's first two arguments relating to the
trial court's failure to give the jury special cautionary
instructions regarding its consideration of his alleged
inculpatory out-of-court statements, defendant's arguments are
clearly without merit and do not require discussion. R. 2:11-3(e)(2).
Defendant and the victim were competitors in the sale of
drugs in the same area of Newark. At about 8:30 p.m. on November
11, 1993, an assailant shot the victim from close range on a
street in the neighborhood where he sold drugs. The only issue
at trial was the identification of defendant as the assailant.
The State's evidence against defendant consisted of not only
the testimony of three eyewitnesses to the crime but also three
inculpatory out-of-court statements allegedly made by defendant.
Rashid Dorsey testified that a week before the murder defendant
offered him $1,000 to shoot the victim. Fuguan Wright testified
that defendant told him before the murder that the victim had
been threatening him but that "he can always get a gun and do
what he wants to do with [the victim.]" Wright also testified
that defendant accosted a person called "Treat" immediately after
shooting the victim, and said, "give me your money or you will be
next."
Defendant argues that because the State presented evidence
of these alleged inculpatory out-of-court statements, the trial
court was obligated to instruct the jury in accordance with the
principles set forth in State v. Hampton,
61 N.J. 250 (1972) and
State v. Kociolek,
23 N.J. 400 (1957). Since defendant did not
request or object to the court's failure to give such
instructions, their omission would be grounds for reversal only
if "clearly capable of producing an unjust result." R. 2:10-2;
State v. Jordan,
285 N.J. Super. 589, 594 (App. Div. 1995),
petition for certif. denied,
143 N.J. 518 (1996), and cross-petition for certif. granted, 146 N.J. 498 (1996).
A trial court has an "absolute duty" to properly instruct
the jury regarding its fact-finding responsibilities, State v.
Conception,
111 N.J. 373, 379 (1988), which may include special
cautionary instructions relating to the jury's consideration of
particular kinds of evidence. See, e.g., State v. Fertig,
143 N.J. 115, 127 (1996) (hypnotically refreshed testimony); State v.
Gross,
121 N.J. 1, 16-17 (1990) (prior inconsistent statements);
State v. Green,
86 N.J. 281, 291-94 (1981) (identifications);
State v. Sinclair, supra, 57 N.J. at 63 (prior conviction of a
defendant or other witness); State v. Hampton, supra
(confessions); State v. Begyn,
34 N.J. 35, 54 (1961) (accomplice
testimony); State v. Kociolek, supra (oral statements). However,
the need for such special cautionary instructions depends on the
nature of the evidence presented at the trial. Consequently, we
conclude that a trial court is not automatically required to give
the forms of instructions mandated by Hampton and Kociolek
whenever any kind of an alleged inculpatory statement of a
defendant is admitted into evidence. Rather, the need for these
instructions depends upon the circumstances under which the
statement was allegedly made and the issues which the jury must
consider in evaluating its evidential significance.
In Hampton the Court held that where an issue is raised as
to the admissibility of a confession on the grounds that the
State violated the defendant's rights under Miranda v. Arizona,
384 U.S. 436,
86 S. Ct. 1602,
16 L. Ed.2d 694 (1966) or that
defendant's confession was given involuntarily, and the court
rules that the confession is admissible, the court should not
advise the jury of this ruling but should instruct it to "decide
whether in view of all the same circumstances the defendant's
confession is true." 61 N.J. at 272. The Court held that the
jury should be further instructed that "[i]f they find that [the
confession] is not true, then they must treat it as inadmissible
and disregard it for purposes of discharging their function as
fact finders on the ultimate issue of guilt or innocence." Ibid.
The Court's holding in Hampton is now codified in N.J.R.E.
104(c), which provides in pertinent part:
Where by virtue of any rule of law a judge is
required in a criminal action to make a
preliminary determination as to the
admissibility of a statement by the
defendant, the judge shall hear and determine
the question of its admissibility out of the
presence of the jury. ... If the judge
admits the statement the jury shall not be
informed of the finding that the statement is
admissible but shall be instructed to
disregard the statement if it finds that it
is not credible.
[Emphasis added.]
Thus, the Court in Hampton required the trial court to
instruct the jury to decide whether a defendant's out-of-court
statement is credible only in a case where there has been a
pretrial hearing involving the admissibility of the statement on
the grounds of an alleged violation of the defendant's Miranda
rights or involuntariness. Similarly, N.J.R.E. 104(c) requires
the trial court to instruct the jury to make a determination as
to whether a defendant's out-of-court statement is credible only
"[w]here by virtue of any rule of law a judge is required in a
criminal action to make a preliminary determination as to the
admissibility of a statement by the defendant." Obviously, the
"rule[s] of law" which require a preliminary determination by the
court as to the admissibility of a defendant's statement include
Jackson v. Denno,
378 U.S. 368,
84 S. Ct. 1774,
12 L. Ed.2d 908
(1964), which requires the trial court to rule on the
voluntariness of a confession, and Miranda, which requires the
court to determine whether defendant was advised of his rights to
remain silent and to counsel prior to any custodial interrogation
resulting in the statement.
The need for a special cautionary instruction to the jury to
consider the credibility of a defendant's out-of-court statement
elicited through police interrogation arises from some of the
same concerns which require a pretrial hearing as to such a
statement's admissibility. Although a defendant's statement may
have been preceded by appropriate Miranda warnings and may have
been elicited by techniques of police interrogation which did not
involve sufficient coerciveness for the trial court to conclude
that the statement was involuntary, the interrogation process may
nevertheless raise serious questions regarding the statement's
reliability. As the Court pointed out in Crane v. Kentucky,
476 U.S. 683, 688-89,
106 S. Ct. 2142, 2145-46,
90 L. Ed.2d 636, 644
(1986):
[T]he circumstances surrounding the taking of
a confession can be highly relevant to two
separate inquires, one legal and one factual.
The manner in which a statement was extracted
is, of course, relevant to the purely legal
question of its voluntariness, a question
most, but not all, States assign to the trial
judge alone to resolve. See Jackson v.
Denno, supra, at 378. But the physical and
psychological environment that yielded the
confession can also be of substantial
relevance to the ultimate factual issue of
the defendant's guilt or innocence.
See also State v. Smith,
32 N.J. 501, 558 (1960), (concurring
opinion) ("An involuntary confession may not be used, among other
reasons, because of the probability that the end-product of a
coercive process is unreliable and unworthy of credit."), cert.
denied,
364 U.S. 936,
81 S. Ct. 383,
5 L. Ed.2d 367 (1961).
Consequently, Hampton requires a trial court to specifically
instruct a jury to consider the credibility of a defendant's
statement only if it elicited in the "physical and psychological
environment" of police interrogation. Thus, such a special
cautionary instruction is not required when a defendant has
allegedly made a voluntary inculpatory statement to a non-police
witness without being subjected to any form of physical or
psychological pressure.
We recognize that a recent decision of another panel of this court broadly states that "[a]ny statement of a defendant," even a spontaneous admission, is subject to the requirement of Hampton and N.J.R.E. 104(c) that the jury should be instructed to decide whether a defendant's out-of-court statement is "credible." State v. Jackson, 289 N.J. Super. 43, 51 (App. Div. 1996). However, the spontaneous statements involved in Jackson were made to the police, and even though the panel's opinion does not expressly so indicate, the trial court presumably conducted a preliminary hearing to determine their admissibility. In contrast, defendant allegedly made statements to non-police witnesses prior to and during the crime, which were admitted into evidence without a preliminary hearing. Consequently, the trial court was not required under Hampton or N.J.R.E. 104(c) to give a special instruction to the jury regarding its responsibility to decide the credibility of defendant's inculpatory statements. This conclusion is supported by the fact that every case in which we have concluded that a Hampton instruction was required involved a defendant's statement made while in police custody. See State v. Jackson, supra, 289 N.J. Super. at 47; State v. Jones, 287 N.J. Super. 478, 485 (App. Div. 1996); State v. Jordan, supra, 285 N.J. Super. at 593; State v. Laboy, 270 N.J. Super. 296, 300-01 (App. Div. 1994); State v. Setzer, 268 N.J. Super. 553, 560 (App. Div. 1993), certif. denied, 135 N.J. 468 (1994); State v. Nutter, 258 N.J. Super. 41, 50-51 (App. Div. 1992); State v. Boyle, 198 N.J. Super. 64, 67-68 (App. Div.
1984); State v. Bowman,
165 N.J. Super. 531, 534 (App. Div.
1979). Therefore, we disagree with the Jackson panel's broad
pronouncement that any alleged out-of-court statement by a
defendant is subject to the Hampton rule.
There was no genuine issue in this case as to the
credibility of defendant's three alleged inculpatory statements.
Each of these alleged statements was made spontaneously, without
coercion by the police or anyone else, under circumstances which
provided strong assurances of its probative value. Indeed, one
of the alleged statements consisted of defendant offering a
payment to a third party to murder the victim and another of a
threat uttered by defendant as he was fleeing the scene of the
murder. The only real issue at trial was whether defendant
actually made these inculpatory statements, not whether the
statements, if made, were credible. Consequently, the trial
court had an obligation to adequately instruct the jury regarding
its assessment of the credibility of Dorsey's and Wright's
testimony that defendant made these statements, which the court
properly discharged by giving not only the standard instruction
regarding the jury's assessment of witness credibility but also
by informing the jury that they should consider Dorsey's and
Wright's criminal records in determining their credibility. See
State v. Sinclair,
57 N.J. 56, 63 (1970). Under the
circumstances of this case, this was the only special instruction
required to guide the jury in its assessment of the credibility
of the evidence of defendant's alleged out-of-court statements.
We turn next to defendant's argument that the trial court
erred in failing to instruct the jury in accordance with State v.
Kociolek, supra, 23 N.J. at 421-22. In that case, the Court,
quoting Wigmore on Evidence, §§1056, 2094 (3d ed. 1940), stated
that "there is a `general distrust of testimony reporting any
extra-judicial oral statements alleged to have been made,
including a party's admissions'; the `great possibilities of
error in trusting to recollection-testimony of oral utterances,
supposed to have been heard, have never been ignored; but an
antidote is constantly given by an instruction to the jury
against trusting overmuch the accuracy of such testimony.'" Id.
at 421. Noting that the testimony of one of the State's
witnesses regarding the defendant's alleged oral admission
differed from the witness' account of that admission in an
earlier trial, the Court concluded that the trial court erred "in
refusing to charge the request that the jury `should receive,
weigh and consider such evidence with caution,' in view of the
generally recognized risk of inaccuracy and error in
communication and recollection of verbal utterances and
misconstruction by the hearer." Ibid.
However, as we noted in State v. Jordan, supra, 285 N.J.
Super. at 596, there is no "reported case in which a failure to
include [the Kociolek] principles within a trial court's final
charge has been held plain error." See State v. Kennedy,
135 N.J. Super. 513, 522 (App. Div. 1975) ("upon request" Kociolek
cautionary instructions should be given); State v. Travers,
70 N.J. Super. 32, 38 (App. Div. 1961) (failure to give Kociolek
instructions sua sponte not plain error). In addition, we have
indicated that the need for the kind of special cautionary
instruction suggested in Kociolek may turn on whether there is
any genuine dispute as to the precise contents of an alleged oral
statement. In State v. Campisi,
47 N.J. Super. 455, 460-61 (App.
Div. 1957), certif. denied,
26 N.J. 304 (1958), we concluded in
an opinion written by then Judge, later Chief Justice, Hughes,
that the omission of such a special instruction was not plain
error, noting among other things that the "extreme simplicity in
the nature of the oral admissions militate[ed] against the
possibility of error in repetition, and project[ed] a clear issue
of credibility as between the detective [who alleged defendant
made the admissions] and the defendant." Id. at 460.
We reach the same conclusion in this case. Defendant's
alleged offer of $1,000 to Dorsey to kill the victim, his alleged
comment to Wright threatening to kill the victim, and his alleged
threat to a third party while fleeing the scene of the murder,
were all clear and unequivocal. The meaning of such statements
does not turn on any nuances of language, and the circumstances
under which the statements were allegedly uttered do not present
any substantial "risk of inaccuracy and error in communication
and recollection of verbal utterances and misconstruction by the
hearer." State v. Kociolek, supra, 23 N.J. at 421.
In sum, if an inculpatory statement was allegedly elicited
by means of police questioning and a preliminary hearing was
required to determine its admissibility, the court should
instruct the jury in conformity with Hampton and N.J.R.E. 104(c)
to decide whether the statement is "credible" and, if not, to
disregard the statement. If an alleged inculpatory statement was
oral and there is a genuine issue regarding its precise contents,
the court should caution the jury in accordance with Kociolek
with respect to the risk that the hearer misunderstood or
inaccurately recalled the statement. But where, as in this case,
an alleged oral inculpatory statement was not made in response to
police questioning, and there is no genuine issue regarding its
contents, there is no need for the court to give such special
cautionary instructions because the only question the jury must
determine is whether the defendant actually made the alleged
inculpatory statement.
Accordingly, we affirm defendant's convictions and
sentences. However, as the State notes, the trial court at
sentencing incorrectly imposed a $50 VCCB penalty for purposeful
and knowing murder rather than the minimum $100 VCCB penalty
mandated by N.J.S.A. 2C:43-3.1a, an error which is also reflected
on the second page of the judgment of conviction. Consequently,
we remand for entry of an amended judgment to comply with
N.J.S.A. 2C:43-3.1a.