SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-3307-96T4
A-3346-96T4
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
STENNETT A. ROWE,
Defendant-Appellant.
Submitted November 4, 1998 - Decided November 25, 1998
Before Judges Muir, Jr., Keefe, and Coburn.
On appeal from Superior Court of New Jersey,
Law Division, Middlesex County.
Ivelisse Torres, Public Defender, attorney for
appellant (Kevin G. Byrnes, Designated
Counsel, of counsel and on the brief).
Peter Verniero, Attorney General, attorney for
respondent (Daniel I. Bornstein, Deputy
Attorney General, of counsel and on the
brief).
The opinion of the court was delivered by
COBURN, J.A.D.
The defendant, Stennett A. Rowe, was found guilty by a jury of
sexual assault, N.J.S.A. 2C:14-2c, and criminal sexual contact,
N.J.S.A. 2C:14-3b. After merging the convictions, the trial judge
imposed a sentence on the sexual assault charge of eight years
imprisonment and the appropriate statutory penalties. We affirm.See footnote 1
The victim, M.H., a woman of twenty-nine years, and the
defendant, a man of thirty-four years, lived within a block of each
other on the same street in New Brunswick and had been
acquaintances for over a decade. M.H. first met defendant about
eleven years before the rape when she was dating his brother.
On the afternoon of July 18, 1995, M.H., who lived with her
mother, L.D., left home, intending to walk to a nearby hospital to
visit her sick nephew. Shortly thereafter, she met the defendant
and at his invitation accompanied him to his home, where
approximately two weeks before they had a pleasant and uneventful
visit.
The defendant led M.H. to his basement room, closed the door,
and tied it with a piece of cord or wire. He took off his shirt
and sat beside her on a couch. The day was hot and muggy and she
did not think anything of the shirt removal. After they talked for
awhile and M.H. was about to leave, defendant sat on his bed and
then walked toward M.H., holding his exposed penis in his hand.
Standing directly over M.H., who was still seated on the couch,
defendant said, "[C]ome on, let's get busy." M.H. said, "No." She
started to walk out, but he grabbed her, pushed her on the couch,
and fell on top of her. She angrily told him to get up. He did,
and she began to leave again. He grabbed her, threw her on the
couch, and demanded that she "give him some head." She said, "No."
He got off her again, as requested, but when she started to walk
out, he grabbed her faster and harder than before and threw her on
the bed. He fell on top of her and said, "[I]t wasn't going to
take that long, it was only going to take a couple of minutes."
She tried to resist physically but was unable to free herself. He
reached towards the drawer of a night table and said, "[D]on't make
me get ugly." She feared that he was reaching for a weapon. He
pulled her panties aside, forced his penis into her vagina, and
said, "[W]hy don't you just make love to me?" She began to cry.
After a few minutes, he said, "I'm not going to come in you." He
then withdrew and ejaculated on the blouse she was wearing.
M.H. immediately went home. Her mother, L.D., testified that
she was surprised to see her daughter so soon after she had left to
make the hospital visit. In her judgment, not enough time had
passed for the hospital visit to have happened. Because M.H. was
crying and very upset, her mother asked what was the matter. M.H.
said she had been raped by the defendant. As a result, and without
prompting by M.H., L.D. called the police, who arrived within
minutes. At that time, M.H. appeared to the police to be "dazed,
sort of confused. She was upset [and] crying." She related that
she had just been raped by the defendant.
The police accompanied M.H. to the Rape Crisis Center at
Roosevelt Hospital. She was treated for aches and pains and a
bruise on her arm. Semen, later determined to be consistent with
defendant's blood type, was recovered from her blouse and panties.
Defendant called B.D., M.H.'s recently ex-boyfriend, as a
witness. He said that about two weeks before the trial M.H. and he
had an argument over money during which she said, "she would do to
[him] what she did to that other nigger." He also said that he
told L.D. of M.H.'s remark. L.D. testified that B.D. told her
about the remark in a telephone conversation, but had thereafter on
three separate occasions said that he had made that story up. M.H.
denied having made the remark.
Defendant testified that M.H. had proposed sex that day and
that she freely and happily consented to it. Afterwards, she asked
him for money. He refused, her manner changed, and she left. He
said that M.H. took her clothes off before they had sex, leaving
unexplained the presence of his semen on her blouse. He also
indicated there was no struggle, leaving unexplained M.H.'s arm
bruise. He claimed that he first saw M.H. that day between 2 p.m.
and 3 p.m. He claimed they spent two-and-a-half to three hours
together and that the sexual act lasted for a couple of hours. He
specifically claimed that his penis was in her vagina for an hour-and-a-half to two hours. That testimony could be seen as
inconsistent not only with M.H.'s testimony, but with L.D.'s
testimony regarding the surprisingly brief period of time that M.H.
was out of the house that afternoon.
We turn to defendant's primary point:
Specifically, defendant claims the trial court erred in
disallowing evidence of alleged prior consensual acts of sexual
intercourse between him and the alleged victim, M.H. The issue
arose pretrial when the defendant's attorney filed a motion to
admit such evidence under the Rape Shield Law, N.J.S.A. 2C:14-7.
The motion was supported only by a certification of the attorney in
which he said:
I expect to be able to adduce the existence of
a prior sexual relationship between the
alleged victim and defendant. The prior
sexual relationship at issue consisted of
multiple episodes of intercourse spanning a
time period of about one year. The one year
period commenced approximately twelve months
prior to the events alleged in the instant
indictment, and ended approximately one week
prior to the events alleged in the instant
indictment.
At the hearing, when repeatedly pressed by the trial judge for
specifics, the attorney chose not to supply them. The attorney
explained this decision as follows:
Judge, I am not inclined to try the case
at this point. I'm not inclined to reveal at
this point to the prosecutor what Mr. Rowe's
contentions are. I don't think that the State
is entitled at this time to know the sum and
substance of the details that Mr. Rowe will
present at time of trial. So I'm just not
inclined to provide that information.
Judge Barnett E. Hoffman denied the motion because of the
inadequacy of defendant's proffer. Judge Hoffman based this ruling
primarily on the defendant's failure to provide particulars, which
in the judge's view made it impossible for him to make the required
findings under the Rape Shield Law that might justify admission of
the proffered evidence. Because we agree that the proffer was
inadequate, we affirm Judge Hoffman's ruling.
The Rape Shield Law provides in pertinent part:
d. Evidence of the victim's previous sexual
conduct with the defendant shall be considered
relevant if it is probative of whether a
reasonable person, knowing what the defendant
knew at the time of the alleged offense, would
have believed that the alleged victim freely
and affirmatively permitted the sexual
behavior complained of.
The Rape Shield Law also places the following obligations on the
trial court once the application for admission of such evidence is
made:
After the application is made, the court shall
conduct a hearing in camera to determine the
admissibility of the evidence. If the court
finds that evidence offered by the defendant
regarding the sexual conduct of the victim is
relevant and highly material and meets the
requirements of [subsection] d of this section
and that the probative value of the evidence
offered substantially outweighs its collateral
nature or the probability that its admission
will create undue prejudice, confusion of the
issues, or unwarranted invasion of the privacy
of the victim, the court shall enter an order
setting forth with specificity what evidence
may be introduced and the nature of the
questions which shall be permitted, and the
reasons why the court finds that such evidence
satisfies the standards contained in this
section. The defendant may then offer
evidence under the order of the court.
In Michigan v. Lucas,
500 U.S. 145,
111 S. Ct. 1743,
114 L.
Ed.2d 205 (1991), the Court upheld the notice-and-hearing
requirement of Michigan's Rape Shield Law, which is similar to our
own, against the argument that it violated the Sixth Amendment.
The Supreme Court had this to say with respect to the purposes
underlying the notice-and-hearing requirement:
The Michigan statute represents a valid
legislative determination that rape victims
deserve heightened protection against
surprise, harassment, and unnecessary
invasions of privacy. The statute also
protects against surprise to the prosecution.
Contrary to the Michigan Court of Appeals'
statement that a notice requirement "`serve[s]
no useful purpose'" when the victim is alleged
to have had a prior sexual relationship with
the defendant, the notice requirement permits
a prosecutor to interview persons who know the
parties and otherwise investigate whether such
a prior relationship actually existed. When a
prior sexual relationship is conceded, the
notice-and-hearing procedure allows a court to
determine in advance of trial whether evidence
of the relationship "is material to a fact at
issue in the case" and whether "its
inflammatory or prejudicial nature . . .
outweigh[s] its probative value."
The Supreme Court proceeded to analogize the notice
requirements of a rape shield law to the previously upheld notice
requirements of court rules that require defendants to provide, in
advance of trial, particulars regarding an alibi defense. The
Court said, "Accelerating the disclosure of this evidence did not
violate the Constitution . . . because a criminal trial is not `a
poker game in which players enjoy an absolute right always to
conceal their cards until played.'" 500 U.S. at 150, 111 S. Ct. at
1747 114 L. Ed.
2d at 213 (citing Williams v. Florida,
399 U.S. 78,
82,
90 S. Ct. 1893, 1896,
26 L. Ed.2d 446, 450 (1970)). The
Supreme Court also noted that in addition to avoiding surprise and
harassment, Rape Shield Laws serve another legitimate state
interest: protecting against "undue delay" during a trial. Id. at
152-53, 111 S. Ct. at 1748, 114 L. Ed.
2d at 214.
In State v. Scherzer,
301 N.J. Super. 363 (App. Div.), certif.
denied,
151 N.J. 446 (1997), a rape case in which we were concerned
with a proffer of evidence regarding prior sexual activity made at
trial without prior notice, id. at 418, we relied on the Supreme
Court's decision in Michigan v. Lucas, and went on to observe:
Whether exclusion is an appropriate sanction,
depends on the balancing of relevant factors
by the courts. Those factors include: (1) was
defendants' discovery violation due to
willful misconduct (e.g., was it a tactical
decision); (2) would a mid-trial proffer have
caused unfair surprise to the State; (3) were
there alternatives to exclusion (e.g., recess,
continuance, prosecutorial comment on
discovery violation) and (4) the impact of
witness preclusion on the outcome of the
trial.
Here the defendant unquestionably made a tactical decision not
to provide details with respect to the alleged prior consensual
sexual relationship. He purposely limited his proffer to counsel's
statement that there had been "multiple" instances of "intercourse"
during the preceding year, with the last occurrence being
approximately a week before the alleged rape. That proffer was
insufficient under the Rape Shield Law and amounted to a tactical
decision constituting willful refusal to abide by the statute.See footnote 2
In State v. Millett,
272 N.J. Super. 68 (App. Div. 1994),
which did not involve the Rape Shield Law, we expressed the
following views on proffers of evidence:
We recognize that defense counsel made a
rather specific representation and "spread on
the record" what he hoped to prove about
possible third-party guilt. The best
technique is to make the offer of proof and
preserve the record of excluded evidence in
some more formal manner, either by testimony,
if possible, or an affidavit or certification,
or by preserving the proposed witness's
written or adopted statement in the record by
marking it for identification. See R. 1:7-3;
Evid. R. 8(1) (N.J.E.R. 104(a)). The "proper
ground work" for consideration of the question
on appeal must be laid by counsel or the point
can be forfeited on appeal. See Duffy v.
Bill,
32 N.J. 278, 294,
160 A.2d 822 (1960);
see also State v. Johnson,
46 N.J. 289, 291,
216 A.2d 392 (1966). The more specific and
tangible the offer, the more likely
appropriate preservation for appeal.
Here, by contrast, the defense counsel failed at the pretrial
hearing to specifically represent what he hoped to prove at the
trial. He chose not to call as witnesses the defendant, the
victim, or anyone else. Compare State v. G.S.,
278 N.J. Super. 151, 169 (App. Div. 1994), reversed on other grounds,
145 N.J. 460
(1996), in which the child victim testified at the pretrial in
camera hearing, and United States v. Saunders,
736 F.Supp. 698,
700 (E.D.Va. 1990), aff'd,
943 F.2d 338 (4th Cir. 1991), cert.
denied,
502 U.S. 1105,
112 S. Ct. 1199,
117 L. Ed.2d 439 (1992),
in which an FBI agent, the victim, and the defendant testified at
the in camera hearing. Nor did he submit an affidavit or
certification on personal knowledge from anyone bearing on the
subject. While in other contexts these lapses might not have
justified exclusion of the evidence, see State v. Millett, supra,
272 N.J. Super. at 100, in the context of the Rape Shield Law the
form and indefiniteness of the proffer must be seen as warranting
the trial judge's decision to bar testimony on the subject of prior
sexual activity.
The crucial policies of the Rape Shield Law, which are the
focus of this case, are (1) the avoidance of surprise and (2) the
necessity of providing the judge with sufficient information so
that he or she can decide if the rigorous requirements of the
statute have been met.
To comply with the first policy of avoiding surprise and
allowing the State a reasonable opportunity to prepare rebuttal
evidence for trial, the prosecutor needs specific information
regarding where, when, and under what circumstances the prior
sexual activity occurred. For example, suppose a defendant
contends intercourse occurred on a particular date or during a
particular week or month and at a particular place. With
foreknowledge of that information, the prosecutor might be able to
discover and produce incontrovertible evidence that the victim was
somewhere else at the time.
To comply with the second policy of enabling the judge to
determine, as required by the statute, whether the evidence is
relevant and "highly material" and whether its probative value
"substantially" outweighs its collateral nature; and whether there
is a "probability that its admission will create undue prejudice,
confusion of the issues, or unwarranted invasion of the privacy of
the victim," N.J.S.A. 2C:14-7a, the judge must have details, not
vague allegations. Furthermore, without detailed information, the
judge cannot determine whether the evidence is "probative of
whether a reasonable person, knowing what the defendant knew at the
time of the alleged offense, would have believed that the alleged
victim freely and affirmatively permitted the sexual behavior
complained of." N.J.S.A. 2C:14-7d.
In furtherance of both policies, the Rape Shield Law requires
the judge to issue an order "setting forth with specificity what
evidence may be introduced and the nature of the questions which
shall be permitted, and the reasons why the court finds that such
evidence satisfies the standards [of the statute]." N.J.S.A.
2C:14-7a (emphasis added). Those reasonably required functions
cannot be carried out when the court is confronted by nothing but
vague allegations, as here.
The alibi defense rules are the appropriate starting point
to guide implementation of the Rape Shield Law's notice
requirement. With respect to the defense of alibi, our court rules
require a defendant, on written demand of the prosecutor, to
"furnish a signed alibi, stating the specific place or places at
which the defendant claims to have been at the time of the alleged
offense and the names and addresses of the witnesses upon whom the
defendant intends to rely to establish such alibi." R. 3:12-2(a).
That requirement does not violate the privilege against self-incrimination: "The Constitution does not protect a defendant from
the consequences of the defense he makes, nor assure him a right so
to defend as to deny the State a chance to check the truth of his
position." State v. Angeleri,
51 N.J. 382, 385, cert. denied,
393 U.S. 951,
89 S. Ct. 372,
21 L. Ed.2d 362 (1968). A defendant's
alibi notice may not be admitted into evidence by the State; nor
may the State comment on the defendant's failure to produce any of
his named alibi witnesses. State v. Gross,
216 N.J. Super. 92, 96
(App. Div.), certif. denied,
108 N.J. 194 (1987). However, if the
defendant testifies, his alibi notice may be used in cross-examination as a prior inconsistent statement. State v. Irving,
114 N.J. 427, 437-41 (1989).
The principles applicable to alibi notices provide sound
guidance for a fair implementation of the Rape Shield Law, since in
both instances one of the major purposes of the detailed notice
requirement is to avoid surprise. Moreover, as we have previously
noted, the United States Supreme Court in Michigan v. Lucas, supra,
analogized the notice requirements of rape shield laws to alibi
notification laws.
A defendant seeking to establish consent by introducing
previous sexual relations with the victim should, whenever
possible, certify in writing with reasonable specificity when,
where, and under what circumstances the prior acts occurred, and
should name any witnesses the defendant might call to testify at
trial on this issue. Absent unusual circumstances, the defendant
may not rely on an attorney's "certification," no matter how
detailed that hearsay document might be. Upon receipt of a notice
of motion supported by a certification, signed by the defendant,
the trial court should schedule the statutorily mandated hearing.
Whether the certification is sufficient is a matter that will rest
in the sound discretion of the trial court. If the certification
fails to provide enough detail for the court to make the required
statutory findings, and to avoid surprise at trial, the defendant
may file a supplemental certification or produce appropriate
witnesses at the hearing. Furthermore, the defendant may testify.
However, as dictated by N.J.R.E. 104(d), the defendant may not be
subjected "to cross-examination as to other issues in the case."
Except perhaps in "extraordinary circumstances," the trial court's
decision will not be based on judgments regarding credibility.
United States v. Saunders, supra, 736 F.Supp. at 701.
The procedures outlined here are necessary to implement the
Legislature's mandate and the policies it has endorsed in the Rape
Shield Law.
Defendant also contends that the trial court committed plain
error in its instructions defining sexual assault and by failing to
give a Kociolek charge. See State v. Kociolek,
23 N.J. 400, 421
(1957). He also contends the verdict was against the weight of the
evidence, that the merged charge of sexual contact should have been
dismissed, and that the sentence was excessive. These arguments,
contained in defendant's Points II through VI, are without merit
and do not warrant discussion in a written opinion. R. 2:11-3(e)(2).
Affirmed.
Footnote: 1We consolidated the defendant's appeals in A-3307-96T4 and A-3346-96T4. No arguments have been submitted with respect to the latter appeal, which related to an adjudication of a violation of probation on Middlesex County Grand Jury Indictment 94-06-0840. Therefore, the notice of appeal in that matter is dismissed. R. 2:8-2. Footnote: 2The general validity of the Rape Shield Law is not open to question. State v. Budis, 125 N.J. 519 (1991).