SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-5211-97T5
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
ALHAMID BASKERVILLE,
Defendant-Appellant.
___________________________________
Argued: August 10, 1999 - Decided: August 31, 1999
Before Judges Kestin and Fall.
On appeal from the Superior Court of New Jersey,
Law Division, Criminal Part, Essex County.
Thomas R. Ashley argued the cause for appellant
(Ashley & Charles, attorneys; Mr. Ashley,
on the brief).
Robert L. Cerefice, Assistant Prosecutor, argued
the cause for respondent (Donald Campolo, Acting
Essex County Prosecutor, attorney; Mr. Cerefice,
of counsel and on the brief).
The opinion of the court was delivered by
KESTIN, J.A.D.
Defendant was charged with and convicted of two third degree
crimes: distribution of a controlled dangerous substance, and
distribution in a school zone. On the State's motion, and pursuant
to N.J.S.A. 2C:43-6f, the trial court imposed an extended term
sentence on the merged convictions, requiring defendant to serve a
prison term of seven years with three years of parole
ineligibility. Appropriate statutory penalties, assessments and
fees were also ordered, along with a twelve-month driver's license
suspension.
Among the issues defendant raises on appeal are that the
State's expert improperly rendered an opinion in the matter, and
that the verdict was against the weight of the admissible evidence.
Applying prevailing principles governing the admissibility of
expert testimony in drug prosecutions, most recently addressed in
detail by the Supreme Court in State v. Berry,
140 N.J. 280 (1995),
we reverse.
In this prosecution on the two drug distribution charges, the
State presented its case through three witnesses. Detective Hector
Mejias of the Newark Police Department was on narcotics section
duty in an undercover role on the day defendant was arrested.
Detective Willie Stroud, also of the Newark police, was working
with Mejias and a third officer. Detective Herman Rivera of the
Essex County Sheriff's Department testified "as an expert in the
field of narcotics." Defendant testified on his own behalf and
offered two other witnesses in support.
Detective Mejias testified that, at about 7:15 p.m. on
September 11, 1996, his team was near 762 South Seventeenth Street
in an unmarked vehicle "on an investigation," observing activities
at that address. The officers were at a location some 150 to 170
feet north of the property. Mejias, using binoculars, observed
three black males on the sidewalk "in front of a vacant lot in the
area * * * just hanging about, talking." A black female approached
andSee footnote 1
walked up to the three individuals that were
standing in front of the lot and they appeared to
engage in some type of conversation. [Defendant
(Baskerville)] stepped away from the group. He
walked several feet away from them in a northerly
direction and went to a black vehicle which was
parked . . . inside the vacant lot. The rear of the
vehicle was facing the street, so it had been driven
straight into this lot.
When he approached the vehicle he bent down at
the rear of the vehicle which . . . was facing the
street. He . . . bent down [and] reached up under
what I described as the undercarriage, somewhere up
under the body of the vehicle, up around the chassis
area and he pulled out something from there that I
believed was a brown paper bag.
He reached inside the bag, he removed something
from within the bag and replaced the bag back
underneath the car.
He then got up, walked back to the female and
an exchange was made where the female handed him
what I believe was paper money in exchange for
whatever it was that he took from under the car.
Q And you say what you believe was paper
money or currency. Why do you say that?
A . . .[F]rom where I was at I really can't say
that it was in fact money. It appeared to me that
it was money.
Q And after he made this exchange with the
female what happened?
A . . .[T]he female turned and walked in a
southerly direction, basically, the way she had come
and [defendant] then placed the money into his pants
pocket. [After the female left the area,] the three
[males] remained there for maybe two minutes, three
minutes and at one point one of them turned and
walked away, he just walked out of the area.
Shortly after that a vehicle, a four-door blue
vehicle * * * pulled north on South 17th Street and
came to a stop in this area here, just past where
the males were standing. The passenger of that
vehicle exited and the vehicle then continued on and
made a right turn to travel east on Springfield
Avenue.
The individual that got out of the car [Culver]
walked up to the two remaining males[.]
Once again, I observed some type of
conversation and, again, Baskerville walked to the
vehicle, he then reached up under the car, removed
what I believed again was the bag, he removed
whatever it was that was in the bag and he held it
in his hand and it appeared to me that he was
counting it. He then crumpled up the bag and tossed
it in the lot, got up and walked back to where
[Culver] was.
Again, a similar exchange took place where
Baskerville received what I believed was money from
Culver, paper money in exchange for the item or
items that he had taken from within the bag.
Q And where did . . . Baskerville place the
money?
A He placed it again in his pocket.
Q And when he received the money from the
female where did he place that money?
A He placed it in his pants pocket.
Q Do you recall which pocket it was?
A I believe it was his right front pants pocket.
Q Now, after you made this observation what
did you guys do?
A Well, at the completion of that exchange Culver
began to walk north on South 17th Street towards
Springfield Avenue. He then turned--
Q So, he was walking towards you?
A He was walking towards us. When he got to the
corner of Springfield Avenue he turned right and he
began to walk east on Springfield Avenue[,] * * * *
towards South 16th Street. [A]t that point I
believed that I had observed two separate drug
transactions and I naturally conferenced the matter
with my partners and we decided that it was an
opportunity for us to apprehend the individual who
we suspected to be the buyer as well as apprehend
the individual who we suspected to be the seller.
Q And why did you feel that would be an
opportunity?
A Because of where the other individual was
situate when we determined that. He was already on
Springfield Avenue out of the view of the individual
who we suspected to be the seller which would have
been Baskerville and we felt that we could apprehend
him and then return and apprehend Baskerville. [W]e
believed that we could work our way over there
without anybody detecting us and knowing that we
were there.
We immediately picked up from where we were at,
we made the left turn onto Springfield Avenue and we
pulled right alongside the curb near South 16th
Street and Springfield Avenue where we could now see
Culver walking.
As soon as he saw us coming to a stop he
immediately dropped something from his hand. We
detained him, myself and Detective Rosania detained
him. Detective Stroud recovered the item he dropped
and it turned out to be nine vials of suspected
cocaine each with a black cap and they were bound
with an elastic band.
He was immediately placed under arrest after
Detective Stroud made his recovery.
Q And what did Detective . . . Stroud do
with the vials of cocaine?
A He held them in his possession, he held onto
them.
Q After you made the arrest then where did
you go?
A We immediately made a U-turn and came down this
way and went right to
762 South 17th Street.
Mr. Baskerville was still there with a second
individual, they were still standing there. [W]e
exited our vehicle, we identified ourselves once
again and based on the findings on Springfield and
South 16th we placed Mr. Baskerville under arrest.
Q After the two individuals were detained
where did you go?
A Well, I eventually walked over to the . . .
black vehicle where I had seen Mr. Baskerville reach
up under.
Q And what were you doing over there?
A I went to see if there was anything under the
vehicle in the same area where he had been reaching,
I saw him reach on two occasions.
Q And did you find anything?
A No, ma'am, I did not.
Q And did you notice anything else in the
area there?
A There were numerous paper bags crumpled up and
strewn about the area, but up under the
undercarriage I gave it a very thorough look and
there was nothing under there.
Mejias went on to testify that $897 in cash was discovered by
Officer Stroud on defendant's person. It was later established
that the money consisted of bills of various denominations
including singles, fives, tens, twenties and fifties. Mejias also
identified the nine vials of cocaine that had been retrieved when
Culver dropped them, and he testified that the location was in a
school zone.
On cross-examination, it was established that the police had
been located about 150 to 170 feet from the objects of their
surveillance. After some additional questioning, the following
colloquy occurred:
Q Now, is it also your testimony that when
Mr. Baskerville went over to the car [following his
conversation with the female] he removed what
appeared to be a brown paper bag?
A The item was brown, I believed it to be a brown
paper bag, yes.
Q But you don't know what it was?
A I don't know that it was in fact a brown paper
bag. It did appear to be one.
Q Now, is that because you were far away
that you couldn't determine exactly what the item
was?
A I couldn't see that it was in fact even paper.
The item was brown and the way it was handled it
appeared to be a bag, but I can't say for sure
because of where I was situated, yes.
Q Is that because of the distance?
A Well, the distance, I couldn't say for sure
that it was.
Q Now, isn't it correct that because you
were that far away you couldn't determine whether
Mr. Baskerville stuck his hands into that object?
A No. He reached into the object, whatever it
was he appeared to reach into it. That's what it
looked like he was doing, reaching into it. That's
what led me to believe that it was a bag of some
type because of the way he handled it.
Q How big did this object appear?
A It wasn't very big. Six, maybe eight inches.
I don't know. It wasn't a real big bag, it was a
small one. . . .[F]rom 150 feet, 160 feet away I
could see something brown and believe that it's
paper. It might be cloth. I wouldn't say that it
was a paper bag because I really couldn't see that
it was a paper bag.
Q Now, did you see Mr. Baskerville remove
anything from that object?
A Did I see what he removed? I didn't see
exactly what came out of the bag . . . or the
object.
Q Did you see something come out of the bag?
A I saw the hand come back out.
Q But you didn't see anything taken out of
the bag?
A Whatever it was was in the hand, if something
was taken out.
Q If something was taken out. So you're not
saying something was taken out?
A I believed something was, that was the opinion
that I --
Q Sir, I'm not asking whether you believed.
I'm asking did you see Mr. Baskerville remove
something from the bag?
A I said I did not see exactly what was removed
from the bag.
Q * * * Now, after you observed what you
believed to be Mr. Baskerville reaching into an
object, it is your testimony that Mr. Baskerville
then returned to the area where these three people
were?
A He returned back to the group, that's correct.
That was after he replaced the brown, what I
believed was a brown bag up under the car somewhere.
Q And is it your testimony that Mr.
Baskerville obtained something from this lady?
A He obtained what I believed was paper money,
based on what I could see.
Q Did you see Mr. Baskerville obtain
something from this woman?
A Yes, I did.
Q Did you see what this item was?
A What it was exactly?
Q Yes.
A No. I only believed what it was, I didn't see
exactly what it was. I can't say that it was money.
Q * * * Now, you also testified that you
saw Mr. Baskerville put something into his pocket?
A Yes, ma'am.
Q What did he put into his pocket?
A Whatever it was that he received. What I said
I believed to be paper money from the female he
placed into his pocket.
Q But you didn't see what the object was
that he received, correct?
A No. That's why I said it could have been
counterfeit, but it appeared to be money. That's
why I only said it appeared to be money. I can't be
specific about color. It only appeared to be money.
The way it was handled and what it appeared to be
when I saw the exchange, it appeared to be money.
Q What do you mean the way it was handled?
. . .[W]hen he obtained this object or what you
believed to be money from this person, how did the
transfer take place?
A Well, when someone counts money out there's a
certain way that the money is counted out and it
appeared to be money from where I could see money
being counted out and handed to him.
Mejias acknowledged that his incident report did not mention
"anything about somebody counting money." Regarding the $897 in
cash found on defendant's person:
Q It wasn't a bundle, . . . crumpled?
A No, it was folded.
Q Were they folded bills folded over each
other?
A Looked like one wad of money. The bills were
placed and folded on top of one another.
Q Now, when you saw Mr. Baskerville take
this item from his person did he pull out the money
and then fold that bill over?
A No. I did not see him do that, no.
Cross-examination continued on another aspect of defendant's
conduct in dealing with Culver, as observed by Mejias:
Q Now,. . . it's your testimony that this
time things were done differently in that Mr.
Baskerville crumpled up this brown object and tossed
it to the ground, correct?
A After reaching up under the car, removing the
object, again, placing his hands inside the object
which I believed was a bag he crumpled it up and
tossed it into the lot.
Q You keep saying he removed an object, but
you just testified earlier that you couldn't see
that he removed an object.
A I believed he removed an object from the bag.
I couldn't see what was taken from the bag. I
believed that he removed an object from the bag.
Q But you couldn't see whether it was money
that was handed to Mr. Baskerville, correct?
A It could have been counterfeit money for all I
know. It could have been play money. I don't know.
I can't say that it was in fact money because I
don't know.
Q Now, when you say Mr. Baskerville appeared
to be counting something, could you show this jury
how he . . . appear[ed] to be counting.
A He held the object in his hand and it appeared
that he was rif[f]ling through it with his hand. As
I said, I don't know if in fact he was counting, but
it appeared that he was the way he was handling it.
Q So, you're saying now that he appeared to
be rif[f]ling through something in his hand?
A With his hand. He appeared to be going like
with one hand pointed into the other as if he was
counting. That was my belief. That's what I
believe he was doing.
Q So, you're characterizing what you saw?
A Based on what I saw I believe he was counting,
that's correct.
Q Did you see what was in his hands?
A No. I could not see what was in his hand, not
from there, no.
Q Now, when [Culver] left the area you went
around him and arrested him, correct?
A When he was on Springfield Avenue near South
16th Street we moved in on him and we arrested him,
that's correct.
Q Now, when you were attempting to arrest
Culver he dropped something to the ground, correct?
A That's correct. It was nine objects wrapped
around or wrapped by an elastic band.
Q * * * [Y]ou don't know whether the object
dropped by Mr. Culver is what Mr. Baskerville had in
his hand, correct?
A Well, the way Mr. Culver took possession of the
item, and we never lost sight of him at all from the
minute he left till the minute we placed him under
arrest, we never lost sight of him. The item he had
received he maintained, he kept it in his hand the
entire time.
Q My question is, sir, can you say, do you
know whether the object that was in Mr.
Baskerville's hand is the object that Mr. Culver
dropped to the ground when you attempted to arrest
him?
A I believe it was.
Q You believe it was. Do you know whether
it was?
A I can't say that it was in fact. I believe it
was. That's all I can say.
Q Now, when you went to the black car and
you searched up under the car, like you said you
did, did you find any drugs?
A I found nothing under the car.
Q . . .[S]o you didn't find any vials with
black tops?
A I found absolutely nothing under the car.
Ultimately, under re-cross examination, Mejias testified further:
Q But you can't say whether what Mr.
Baskerville received from that lady and Mr. Culver
was indeed money, correct?
A That was the only thing that was recovered from
his person, the money. There was nothing else
recovered.
Officer Stroud's testimony corroborated that of Officer
Mejias. Stroud was not using the binoculars and was no more
definite than Mejias had been on the details of defendant's
conduct. During his cross-examination, some questioning focused on
the connection between defendant and the cocaine retrieved after
Culver dropped it:
Q When Mr. Culver was in the area of 762, in
that lot, you didn't see anybody give him anything,
correct?
A No, I didn't see anybody give him anything.
Q * * * And then at some point when he went
down onto Springfield, it's your testimony that you
saw him drop something, correct?
A That's correct.
Q * * * You don't know where that came
from, do you?
A I wouldn't say I don't know where it came from.
Q You didn't see Mr. Baskerville give him
that object, did you?
A No. I didn't see him give it to him.
Q So, you don't know that that object came
from Mr. Baskerville, do you? Just answer yes or
no. Do you know that the object that was dropped by
Mr. Culver came from Mr. Baskerville?
A I would have to say yes.
Q But you didn't see Mr. Baskerville give
him the object, did you?
A I didn't see him give it to him, that's
correct.
Q So, are you guessing that Mr. Baskerville
had given him the object?
A No, I'm not guessing.
Q * * * So, the drugs that were recovered
in this case, those nine vials that the State showed
to you, you actually picked them up after Mr. Culver
dropped them, correct?
A That's correct.
Q Not after Mr. Baskerville dropped them,
right?
A That's correct.
Q Now, at some point Mr. Baskerville was
arrested, correct?
A That's correct.
Q Did you conduct a search on Mr.
Baskerville?
A I conducted a pat down frisk of him at the
scene.
Q * * * At some point . . . a more thorough
search was conducted, correct?
A That's correct.
Q Did you recover drugs from Mr.
Baskerville?
A No, ma'am.
After a recitation of his credentials, Detective Rivera was
qualified "as an expert in the field of narcotics." The assistant
prosecutor immediately posed a hypothetical question:
[A]ssume that it is around 7:15 in the evening and
three individuals are in front of a vacant lot on
South 17th Street and as these three individuals are
out there a female approaches them. . . .[A] brief
conversation takes place[.]
[O]ne of these individuals leaves the group and
walks over to . . . the back of a black vehicle and
it appears that he takes an object which looks like
a brown paper bag from underneath it. He reaches
into that item . . . and he pulls something out,
clutches it in his hand[. H]e walks back to the
female, there's an exchange that takes place and it
appears to be that she gives him currency for what
is in his hand. The female walks off. * * * [O]ne
of the individuals leaves the group. At this point
a vehicle approaches and the passenger gets out of
the vehicle and approaches again that same
individual . . . that went to the black
vehicle. . . .[I]t appears . . . a brief
conversation takes place and that individual, again,
goes back to the black vehicle and this time he
takes out, again, from underneath the vehicle what
appears to be a brown paper bag. He reaches into
that item, takes what's in there out, crum[p]les it
and discards it. At this point he goes back to that
individual, the passenger[,] and it appears to be an
exchange of currency for what is in his hand. At
that point the passenger walks off down the
street[.] . . .[D]o you have an opinion as to what
occurred there?
Rivera responded affirmatively and offered an opinion:
Based on my training and experience, in most of
your major cities where there's a lot of people
coming through and vehicles stopping, you have a
street dealer that is usually standing on a corner
or nearby that would utilize a stash location, a
place where he or she will stash narcotics while
controlling it and he or she will go back and forth
to it. If there are detectives making certain
observations they will just make that observation
that they will see the individual going back and
forth to a particular area. While they're probably
not close enough to see what actually is being dealt
or taken out of the bag, if you see this action more
than once or twice one can naturally assume that
there are narcotics being stashed in that particular
area. In my opinion the individual was, the
individual was selling narcotics. There was an
exchange of currency for something and those
individuals are walking away rather quickly from the
area, not staying very long. (emphasis supplied)
The assistant prosecutor continued:
Now, detective, I want you to further assume
that the individual, the passenger who walked away
down the street, surveillance unit came into the
area and went to arrest that individual and at that
point in time he dropped what appeared to be nine
vials of cocaine. They arrested that individual and
then they went back to the location and went to
apprehend the individual who . . . went to the black
vehicle. They did so and they did a search and they
found no more drugs on him or at that vehicle.
Would that change your opinion?
A No, not at all.
Q . . .[W]hat's the basis of that opinion?
A It is evident . . . that the detectives made
certain observations, that the individual who they
grabbed, being the buyer, is now in possession of a
certain amount of vials and just based on the
totality of the circumstances this individual sold
that second individual those narcotics. (emphasis
supplied)
Q And I want you to further assume that the
individual that went to the black vehicle had on his
person $897 and the denominations of that was two
$50 bills, twenty four $20 bills, nineteen $10
bills, seventeen $5 bills and forty two $1 bills
totaling the amount of $897. Do you have an opinion
as to the significance of the denominations?
A Yes, I do.
Q And what is that?
A In my opinion this is what we term as small
currency where an individual that's working a
particular corner, if they're selling five dollar
vials or ten dollar vials usually most people come
with exact change. They're going to buy one or two
vials and that's what they're going to purchase it
for, they have the exact change. Once again, given
the totality of the circumstances, the fact that
this individual did away with, I believe nine vials,
I'm of the opinion that this individual worked that
corner for a certain amount of hours, what have you,
and sold out. These are probably those proceeds of
that given timeframe. (emphasis supplied)
Q Detective, I want you to look at S-9 which
are the nine vials of cocaine and I want you to
assume those nine vials do have .1 gram of cocaine.
Would that change your opinion as to the testimony
or I want you to incorporate that into the
hypothetical and would that change your testimony?
A Wouldn't change it, except that it would
strengthen it.
Q And why would it strengthen it?
A These particular vials here would go for
approximately $10 and as little as $5.
Q What is the basis of your opinion?
A Well, in the first place most individuals do
not purchase nine vials for their own personal
consumption. If they do so they will purchase one
or two vials at any given time. That's basically
it.
This concluded Rivera's direct examination. Nothing remarkable
occurred during cross-examination. Defense counsel, inter alia,
attempted to focus the inquiry on the fact that the drugs had been
found on Culver, not on defendant. On re-cross-examination, over
objection, defense counsel was permitted to extend the inquiry to
cover the "way in which drug dealers arrange their money."
Defendant, in his testimony, alleged that he had been in the
area under surveillance to inspect a used automobile for possible
purchase. Two other witnesses corroborated defendant's version.
Focusing on the facts at issue, it is clear that critical
portions of Rivera's testimony had nothing to do with "a subject
matter that is beyond the ken of the average juror." State v.
Kelly,
97 N.J. 178, 208 (1984). Expert testimony is limited to
that which "will assist the trier of fact to understand the
evidence or determine a fact in issue." Berry, supra, 140 N.J. at
291 (quoting Fed.R.Evid. 702 and N.J. Evidence Rule 56(2) (now
N.J.R.E. 702)). If the ultimate question to be determined had been
whether the surveillance officers had a valid articulable
suspicion, based on what they had observed, to make a TerrySee footnote 2 stop
and inquiry, or even a full search, the expert's opinion would have
been appropriately received to establish the indicia of drug
trafficking and the reasonableness of the officers' impressions.
But where the question was whether this defendant had, in fact,
distributed the drugs as charged, Rivera's opinion, beyond
describing methods used by those involved in drug distribution,
added nothing that could validly be considered. Portions of his
testimony describing, generally, typical methods used may well have
been admissible to assist the jury in understanding the evidence,
but his opinions that drug transactions had, in fact, occurred
(which we have highlighted for the sake of clarity), were fatally
beyond the pale of the permissible. They added elements to the
State's proofs which rendered the trial unfair.
The issue before this jury was whether the State had proved
beyond a reasonable doubt that defendant had distributed drugs.
This was, purely and simply, a question of fact which the jurors
were capable of deciding from the testimony of the fact witnesses
alone__the officers on the scene__aided, perhaps, by an expert's
description of methods typically used in drug transactions. See
Berry, supra, 140 N.J. at 292-93 ("[E]xpert opinion is admissible
if the general subject matter at issue, or its specific
application, is one with which an average juror might not be
sufficiently familiar, or if . . . the expert testimony would
'assist the jury in comprehending the evidence and determining
issues of fact.'" (quoting State v. Odom,
116 N.J. 65, 70
(1989))).
Expert opinion particularly characterizing the interaction
between defendant and others could not aid the jury in resolving
that simple fact without the risk of usurping the jury's function.
The testimony, as an opinion on the ultimate question, was unduly
prejudicial in the circumstances. An expert's opinion concerning
the particular transaction might well impel the jury to an
affirmative conclusion on the focal issue whether the State's fact
witnesses had established the distribution element of the crime
beyond a reasonable doubt; and that could only be accomplished
for the "impermissible and prejudicial" purpose of
enhancing the credibility of [a fact witness's]
version of the facts:
We reaffirm here the principle that the
credibility of a fact-witness may not be
bolstered by arguing that the witness's
version of events is consistent with an
expert's description of patterns of
criminal conduct, at least where the
witness's version is not attacked as
improbable or ambiguous evidence of such
conduct.
[United States v. Cruz,
981 F.2d 659, 663
(2d Cir. 1992).]
N.J.R.E. 704, like its counterpart Fed.R.Evid.
704(a), also authorizes the admission of expert
testimony that encompasses ultimate issues to be
decided by the trier of fact, Odom, supra, 116 N.J.
at 77-81, (interpreting predecessor to N.J.R.E.
704). Concerning the admissibility of expert
testimony addressing an ultimate issue, we noted in
Odom that "the dominant authority throughout the
country has ruled that an expert witness may testify
that a defendant possessed a controlled dangerous
substance with the intent to distribute it, even if
the opinion is expressed in the language of the
statutory offense." Id. at 79. However, a number
of federal and state courts have expressed concern
that under certain circumstances expert testimony in
drug cases embracing ultimate issues might be so
prejudicial as to require exclusion. The
evidentiary rules allowing admission of expert
testimony on ultimate issues repudiate the common
law rule precluding such testimony because it
invaded the jury's province. See [Deon J.] Nossel,
[The Admissibility of Ultimate Issue Testimony By
Law Enforcement Officers in Criminal Trials],
93
Colum. L. Rev. [231,] 235 [(1993)]. Although
admissible, such testimony may be excluded if its
probative value is substantially outweighed by the
risk of undue prejudice. N.J.R.E. 403(a); see
Fed.R.Evid. 403. In drug prosecutions, that risk of
prejudice has prompted courts to exercise caution in
determining whether expert testimony touching on
ultimate issues properly was admitted at trial.
[Berry, supra, 140 N.J. at 297-98.]
Cruz was an appeal from a conviction "for various drug
distribution offenses." Id. at 297. In Berry, the Supreme Court
went on to quote another United States Court of Appeals opinion
articulating a definitive position in distinguishing pertinent
considerations as between drug distribution cases and others, such
as those involving the intent to distribute, holding, even as to
the latter, that there are limits to the scope of what is permitted
from expert witnesses:
[T]here is something rather offensive in allowing an
investigating officer to testify not simply that a
certain pattern of conduct is often found in
narcotics cases, leaving it for the jury to
determine whether the defendant's conduct fits the
pattern, but also that such conduct fitted that
pattern, at least when other inferences could have
been drawn not unreasonably although perhaps not as
reasonably as that to which the expert
testified. * * * * Even though the testimony is not
barred by F.R.E. 704(b), district judges should heed
the Advisory Committee's Note to Rule 704:
The abolition of the ultimate issue
rule does not lower the bars so as to
admit all opinions. Under Rules 701 and
702, opinions must be helpful to the trier
of fact, and Rule 403 provides for
exclusion of evidence which wastes time.
These provisions afford ample assurances
against the admission of opinions which
would merely tell the jury what result to
reach, somewhat in the manner of the oath
helpers of an earlier day.
We would thus agree with Judge Newman's
precautionary observations about the admission of
such testimony in United States v. Young,
745 F.2d 733, 765-66 (
2 Cir 1984) (Newman, J., concurring),
cert. denied,
470 U.S. 1084,
105 S. Ct. 1842,
85 L.
Ed.2d 142 (1985), which we quote in the margin, and
commend this for consideration by district judges.
[United States v. Brown,
776 F.2d 397, 401 (2d Cir.
1985), cert. denied,
475 U.S. 1141,
106 S. Ct. 1793,
90 L. Ed.2d 339 (1986) (quoted in Berry, supra, 140
N.J. at 299) (emphasis supplied.]
Judge Newman's separate opinion in Young, cited with such
approval by Judge Friendly in Brown, warrants at-length exposition
and emphasis here, for it dealt with a situation of similar content
and value to the one before us:
I . . . write separately to express a caution
concerning expert opinion offered to establish that
ambiguous conduct constitutes criminal activity. My
concern is prompted by the "Flash Inn Incident,"
which comprises three of the predicate acts the jury
was permitted to rely upon in finding Myers guilty
of a "continuing criminal enterprise" offense,
21 U.S.C. §848 (1982). A telephone call was made from
Myers's home at 9:34 p.m. on January 14, 1983, to
arrange a meeting with a man at the Flash Inn.
Shortly thereafter Myers and another man drove to
the inn and waited. Within a half hour, another car
arrived with two men; the driver of the second car
spoke with the occupants of Myers's car. All four
then entered the inn. Myers's companion entered
with a light-colored handbag and exited two minutes
later with a dark-colored handbag, which he placed
in the trunk of the second car. Myers left two
minutes later in his car. Detective Magaletti was
permitted to testify that in his opinion a sale of
drugs had occurred. The episode raises two distinct
issues: (1) whether the expert testimony was
admissible and (2) whether the evidence was
sufficient to show the commission of predicate
offenses.
1. Until this Court's decision last year in
United States v. Carson,
702 F.2d 351 (2d Cir.),
cert. denied,
462 U.S. 1108,
103 S. Ct. 2456,
77 L.
Ed.2d 1335 (1983), I would have had serious doubts
whether an expert could give an opinion that an
observed set of circumstances constituted commission
of a crime. The test for admissibility is whether
the witness's "specialized knowledge will assist the
trier of fact to understand the evidence or to
determine a fact in issue." Fed.R.Evid. 702. I do
not doubt that an experienced narcotics agent has
the requisite knowledge to assist a jury by
explaining "the clandestine manner in which drugs
are bought and sold." United States v. Carson,
supra, 702 F.
2d at 369. But I question whether an
expert's opinion that the events he observes
constitute a drug transaction provides very much, if
any, assistance to a jury, beyond whatever inference
is available to be drawn by the jury from all the
evidence. Not too long ago we characterized as
"highly unusual" an expert's opinion that observed
events showed a defendant to be a "controller" of a
gambling operation. United States v. Sette,
334 F.2d 267, 269 (2d Cir. 1964).
Even if admissible under Rule 702, opinion
testimony is still subject to exclusion under Rule
403 "if its probative value is substantially
outweighed by the danger of unfair prejudice."
Whatever slight probative value arises from a
narcotics expert's personal opinion that an observed
transaction involved a sale of drugs must be
carefully weighed against the distinct risk of
prejudice. The "aura of special reliability and
trustworthiness" surrounding expert testimony, which
ought to caution its use, United States v. Fosher,
590 F.2d 381, 383 (1st Cir.1979); United States v.
Amaral,
488 F.2d 1148, 1152 (9th Cir.1973),
especially when offered by the prosecution in
criminal cases, United States v. Green,
548 F.2d 1261, 1268 (6th Cir.1977), poses a special risk in a
case of this sort. That risk arises because the
jury may infer that the agent's opinion about the
criminal nature of the defendant's activity is based
on knowledge of the defendant beyond the evidence at
trial. The risk is increased when the opinion is
given by "the very officers who were in charge of
the investigation," United States v. Sette, supra,
334 F.
2d at 269.
I recognize, however, that in United States v.
Carson, supra, we upheld the admission of expert
opinion under circumstances very similar to those in
this case. Other circuits have also permitted an
expert to give his opinion that a defendant's
ambiguous conduct is criminal. United States v.
Fleishman,
684 F.2d 1329, 1335-36 (9th Cir.)
(defendant's role as "lookout" in drug transaction),
cert. denied,
459 U.S. 1044,
103 S. Ct. 464,
74 L.
Ed.2d 614 (1982); United States v. Scavo,
593 F.2d 837, 840, 843-44 (8th Cir.1979) (defendant's role in
gambling operation); United States v. Masson,
582 F.2d 961, 963-64 (5th Cir.1978) (same). In light of
Carson and these other rulings, I cannot say it was
error to admit the testimony of Detective Magaletti
that Myers was selling narcotics at the Flash Inn on
January 14. But the very breadth of the discretion
accorded trial judges in admitting such an opinion
under Rules 702 and 403 should cause them to give
the matter more, rather than less, scrutiny. A
trial judge should not routinely admit opinions of
the sort at issue here and should weigh carefully
the risk of prejudice.
2. Even though it was not error to admit
Magaletti's opinion that Myers was selling drugs at
the Flash Inn on January 14, the question remains
whether the evidence concerning that episode
sufficed to permit the jury to find beyond a
reasonable doubt that a narcotics violation had
occurred on that occasion. The hazard of permitting
the opinion in evidence ought to make courts
cautious in assessing the sufficiency of a case
based heavily on such an opinion. If the observed
actions of a defendant do not establish a prima
facie case, I do not believe that an expert's
opinion that his actions are criminal may carry the
prosecution's proof above the requisite line. It is
one thing to permit a jury to weigh that opinion in
considering an otherwise adequate case; it is quite
another matter to let that opinion salvage an
insufficient case. In United States v. Sette,
supra, we rejected the sufficiency of the
prosecution's case that rested primarily on an
expert's opinion that observed conduct was criminal.
"We are cited to no case, and have found none, that
remotely justifies this highly unusual method of
establishing a prima facie case in a criminal
prosecution of this type." Id. at 269. In United
States v. Carson, supra, and the other cases
allowing an expert to give an opinion concerning
criminal conduct, the evidence, apart from the
expert opinion, provided the jury with a substantial
basis for finding guilt beyond a reasonable doubt.
If Freddie Myers had been on trial charged with
the substantive offenses of possessing and
distributing narcotics at the Flash Inn on January
14 and the evidence against him had consisted solely
of the observable events of that evening, I would
not consider the evidence sufficient to support a
conviction on such charges. See United States v.
Suarez,
487 F.2d 236, 238-40 (5th Cir.1973)
(suspicious contact with known narcotics dealer
insufficient to support narcotics conviction), cert.
denied,
415 U.S. 981,
94 S. Ct. 1572,
39 L. Ed.2d 878 (1974); cf. United States v. Ceballos,
654 F.2d 177, 184-86 (2d Cir.1981) (suspicious contact with
known narcotics dealer insufficient even to
establish probable cause to arrest). However, in
determining whether Myers was dealing in drugs that
evening, the jury was not limited to the evidence of
the wiretapped phone call from his home and the
ambiguous events observed at the scene. Strongly
reinforcing the inference of a drug transaction was
all of the evidence in the case, including the
evidence tying Myers to a heroin cutting mill and
his vast amounts of cash. When a person already
implicated by such evidence participates in a
clandestine exchange of handbags, a jury may infer
that he was exchanging drugs for money.
[United States v. Young,
745 F.2d 733, 765-67 (2d
Cir.1984) (Newman, J., concurring) (emphasis
supplied).
We need say little further. The testimony of Detectives
Mejias and Stroud was entirely ambiguous, with none of the
redeeming background qualities of the evidence offered against
Freddie Myers in Young. The fact testimony of Mejias and Stroud
left entirely open, without direct evidence of any kind, the
question whether an incident or two of drug distribution had
occurred. There can be no doubt that the opinion of Detective
Rivera, directly elicited by the assistant prosecutor, was used to
"carry the prosecution's proof above the requisite line[,] . . .
salvag[ing a potentially] insufficient case." Id. at 766. And,
the only instruction the trial court gave the jury regarding
evaluation of the expert testimony was the standard charge bereft,
in any particular, of special guidance. It failed to meet the
Supreme Court's requirement:
In such cases, especially where the record includes
both an innocent explanation for defendant's conduct
as well as an expert witness's incriminating opinion
about the same conduct, the trial court should
carefully instruct the jury in the context of the
evidence about its duty to decide whether to accept
or reject the opinion of the expert witness.
[Berry, supra, 140 N.J. at 301.]
There were, in the interstices of Detective Mejias's and
Stroud's testimony, factual details and perceptions from which the
jury could validly have inferred that one or two incidents of drug
distribution had occurred. For example, the record reflects
Mejias's determination that the object defendant gave Culver was
the same one that Culver, moments later, discarded, bolstered by
the statement that the police officers never lost sight of Culver
from the time he was first seen to the moment of his arrest. As a
further example, there are also Mejias's statements regarding the
presumed money that had passed from the female and Culver to
defendant, reinforced by the testimony that what defendant received
on each occasion he placed in his pocket and that the only thing
recovered from defendant's person was the wad of money.
On the other hand, by way of contrast, the jury had Mejias's
laudably candid concessions that, from a distance of 150 feet or
more, he could not clearly discern the physical details of any of
the objects involved. Unquestionably, if what passed from
defendant to the putative purchasers, what passed from them to
defendant, and the brown container that looked like a paper bag had
been more positively identified, the testimony would have tended to
establish more well-foundedly that a drug sale had occurred.
From the totality of the fact-witness testimony alone, the
jury had sufficient bases from which to draw inferences in finding
whether the State had proved its case for drug distribution. What
the State, manifestly, was not entitled to was an enhanced proof
opportunity, through expert opinion on the ultimate question, to
salvage a potentially insufficient case. The circumstances at this
trial were different from the more typical situation in a
possession-with-intent-to-distribute case, where a police expert
gives the jury a basis for determining more recondite questions,
such as whether the quantity of drugs, the manner in which they
were packaged, and other factors suggest an intent to distribute.
There was nothing arcane about the question before this jury: Did
defendant distribute drugs or not? Apart from furnishing expert
assistance in understanding the incidents of drug trafficking, the
State was not entitled to give the jury a non-factual basis for
reaching a verdict on this entirely factual question. The fact
witness testimony should have spoken for itself. In the State's
attempt to fill the unmistakable gaps in that testimony, and to
strengthen the obvious weaknesses of its case, the prosecution
could not validly suggest, through its expert witness, stronger
inferences regarding the ultimate question than the fact testimony
itself would support. In doing so, the State added an irredeemable
element of undue prejudice to the trial.
In sum, on the simple....up or down....factual issue in this case,
the jury needed no assistance from an expert witness. The
testimony of the State's fact witnesses, Mejias and Stroud, was
either adequate to lead to a guilty verdict or it was not. The
jury was free to base its determination on the facts developed and
the fair....and ordinary....inferences which could be drawn from those
facts that tended to establish defendant's guilt on the
distribution charges. Or, the jury could focus on the facts that
the drugs in evidence came from Culver and that there was no direct
evidence connecting those drugs to defendant. The jury, by a
process of fair inference based on common knowledge and good sense,
enhanced by general background information which the expert witness
could properly provide, was well equipped, without further
assistance, as it found the evidence persuasive, to fill in the
gaps which the direct evidence presented. Given the existence of
those gaps, however, Detective Rivera's opinions on the ultimate
question could not fairly and reasonably supply the missing, and
necessary, connection. Accordingly, we conclude that the
convictions cannot stand because, with the introduction of those
opinions, an essential aspect of the proofs became irredeemably
tainted by a risk of prejudice far outweighing its probative value.
See N.J.R.E. 403.
The convictions are vacated and the matter is remanded for a
new trial.
Footnote: 1 To conserve space and promote clarity, we recount testimony as given without indicating all elisions of extraneous or redundant matter. Footnote: 2 Terry v. Ohio, 392 U.S. 1, 88 S. Ct. 1868, 20 L. Ed.2d 889 (1968).