(This syllabus is not part of the opinion of the Court. It has been prepared by the Office of the Clerk for the
convenience of the reader. It has been neither reviewed nor approved by the Supreme Court. Please note that, in
the interests of brevity, portions of any opinion may not have been summarized).
Coleman, J., writing for a Majority of the Court.
This case involves the appropriate jury instruction to be used in the case of possession of a weapon for an
unlawful purpose.
On September 25, 1992, at approximately 8:15 p.m., Brims and co-defendant Brownlee were observed
leaning into a vehicle in a municipal parking lot. The vehicle had all four doors open and the interior lights were
off. Police were contacted by a local business owner. When the officers asked the two men what they were doing,
they responded that they were cleaning out the car. The officers noted that there were no trash receptacles in the
immediate area and proceeded to look in the back seat of the car. The officers observed a pair of black gloves,
several pairs of women's stockings, a black hair net, empty bags and soda bottles. They also observed the sawed-
off stock of a .22 Marlin rifle, with nine rounds of ammunition, including one round in the chamber. In addition,
Brims was wearing black nylon socks over white sweat socks and two T-shirts under a warm-up suit. Brownlee
had white gloves and one pair of nylons in his back pocket. The officers also found a nylon stocking in the back
seat that was stretched out and had a hole in it. The vehicle in question was a rental car.
Brims was initially tried and convicted of several offenses, including the possession of a firearm for an
unlawful purpose, in violation of N.J.S.A. 2C:39-4a. The Appellate Division reversed the unlawful possession
conviction because the jury was never instructed on the specific unlawful purpose. Brims was subsequently retried
on that charge, the State arguing that Brims' specific unlawful purpose was to commit robbery. Brims moved to
dismiss at the conclusion of the State's case, arguing that based on the evidence presented, the jury was free to
speculate about any unlawful purpose. That motion was denied.
The trial court decided to instruct the jury to consider burglary as an additional unlawful purpose to
robbery. There was no objection to that instruction. Brims again was convicted of possession of a weapon for an
unlawful purpose and sentenced to an extended term of fifteen years with a five-year term of parole ineligibility.
The Appellate Division affirmed Brims' conviction in an unpublished opinion, concluding that the jury
instruction was sufficient. The Appellate Division further held that the trial court's failure to specifically inform the
jury of Brims' defense (that he was cleaning out the car) did not amount to plain error.
The Supreme Court granted Brims' petition for certification.
HELD: The trial court's instruction to the jury was sufficient in that it identified burglary and robbery as
the specific unlawful purposes. The trial court's failure to include in the instruction Brims' assertion that he was in
the parking lot cleaning out the car did not amount to plain error.
1. A conviction under N.J.S.A. 2C:39-4a requires proof of four elements, including an intent to use the firearm in a
manner that is unlawful. A conviction for possession of a gun for an unlawful purpose only requires that the
unlawful purpose be identified and does not require actual use of a weapon or proof of exact details in respect of the
intent, such as when it would occur or the identity of the person or property targeted. In this case, the State
presented ample evidence from which the jury could have inferred defendant's unlawful purpose for possessing the
rifle. (Pp. 5-9)
2. The trial court's failure to include defendant's defense in the jury instruction did not rise to the level of plain
error. The jury was properly instructed to consider burglary and robbery as the unlawful purposes and was equally
appropriately instructed that it could not convict defendant on any other unlawful purpose. Moreover, defendant's
stated purpose for being in the parking lot does not negate the mental state required for the offense. The jury was
free to reach the conclusion that defendant was not in the parking lot for an unlawful purpose. (Pp. 10-12)
Judgment of the Appellate Division is AFFIRMED.
JUSTICE STEIN has filed a separate dissenting opinion, expressing the view that Brims' predicate
criminal purpose was a matter of rank speculation.
CHIEF JUSTICE PORITZ and JUSTICES LONG, VERNIERO, LAVECCHIA and ZAZZALI join
in JUSTICE COLEMAN'S opinion. JUSTICE STEIN filed a separate dissenting opinion.
SUPREME COURT OF NEW JERSEY
A-
112 September Term 1999
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
EDWARD BRIMS,
Defendant-Appellant.
Argued November 28, 2000 -- Decided June 19, 2001
On certification to the Superior Court,
Appellate Division.
Susan C. Green, Assistant Deputy Public
Defender, argued the cause for appellant
(Peter A. Garcia, Acting Public Defender,
attorney).
Annmarie Cozzi, Assistant Prosecutor, argued
the cause for respondent (William H.
Schmidt, Bergen County Prosecutor,
attorney).
The opinion of the court was delivered by
COLEMAN, J.
The primary issues raised in this appeal, which involves a
conviction for second-degree possession of a firearm for an
unlawful purpose, are whether the jury was properly instructed
on, and whether the State sustained its burden of proving,
defendant's specific unlawful purpose for possessing a weapon.
The trial court and the Appellate Division concluded that there
was no plain error. We agree and affirm.
[State v. Diaz,
144 N.J. 628, 635 (1996).]
The unlawful possession of a weapon under N.J.S.A. 2C:39-4a
is an inchoate offense in the sense that it seeks to prevent
incipient crime by prohibiting the commission of some act,
however equivocal[,]. . . when such conduct is accompanied by
criminal intent. State v. Harmon,
104 N.J. 189, 203-04 (1986)
(analogizing to State v. Zito,
54 N.J. 206, 215 (1969), which
explained that presence in State for 'an unlawful purpose' is a
status crime that 'seeks to head off the commission of crime . .
. not yet pressed to the stage of an 'attempt'). An attempt to
commit a robbery or a burglary is cognizable under the New Jersey
Code of Criminal Justice. N.J.S.A. 2C:5-1; N.J.S.A. 2C:15-1;
N.J.S.A. 2C:18-2; State v. Farrad,
164 N.J. 247, 251 (2000);
State v. Jenkins,
299 N.J. Super. 61, 63 (App. Div. 1997). The
legislative objective of N.J.S.A. 2C:39-4a, however, is to punish
someone for possessing a firearm for an unlawful purpose before
the conduct escalates to the stage of an attempt. Accordingly,
the focus is on a defendant's purpose for possessing a weapon,
not the possession itself or the actual use, and a conviction
based on the use of the weapon is not a required precondition to
a conviction for the possessory offense. Diaz, supra, 144 N.J.
at 635-36.
Proof of the fourth element of the offense, namely that
defendant intended to use the firearm in a manner that was
unlawful, requires an identification of the unlawful purpose or
purposes suggested by the evidence. State v. Villar,
150 N.J. 503, 511 (1997). Here, robbery and burglary were identified as
the unlawful purposes. The mental state required for possession
of a firearm with a purpose to use it against the person or
property of another for an identified unlawful purpose is
satisfied if it is his [or her] conscious object to engage in
conduct of that nature or to cause such a result. A person acts
purposely with respect to attendant circumstances if he [or she]
. . . believes or hopes that they exist. N.J.S.A. 2C:2-2b(1).
The purpose to use a weapon unlawfully may be inferred from the
[facts and] circumstances presented at trial. Villar, supra,
150 N.J. at 510.
In this case, the State presented ample evidence from which
the jury could have inferred defendant's unlawful purpose for
possessing the rifle. Defendant was found rummaging through a
rental car in a parking lot near several stores and residences
under highly suspicious circumstances. In the backseat of the
car, where defendant was leaning, the police found gloves,
stockings, and a hair net. Under the front seat was a fully
loaded sawed-off rifle with a bullet in the chamber. Defendant
was wearing two layers of clothing in September, including a pair
of black nylon socks over his white athletic socks, and co-
defendant Brownlee had gloves and knee-high stockings in his
pocket. There was testimony that the stocking with the hole in
it could be used to conceal one's facial features and that the
white gloves could be used to avoid leaving fingerprints. The
fact that the rifle was sawed off made it easier to conceal
beneath clothing. There were businesses still open and customers
of those establishments used the parking lot. All that evidence
taken together satisfied the requirements of State v. Reyes, 50
N.J. 454, 458-59 (1967), for submission of the case to the jury.
Although defendant asserted that his purpose for being in
the parking lot was to clean out his rented car, the jury was
free to infer that his purpose in possessing the firearm, under
those facts and circumstances, was to use it in connection with a
robbery or burglary, both of which are unlawful purposes.
Indeed, defendant never asserted that he possessed the sawed-off
rifle for a lawful purpose. His defense was that he was cleaning
out the rented car, which is not inconsistent with possessing the
firearm to commit a robbery or burglary in the parking lot or
nearby. Finally, the jury was also informed that there were no
nearby receptacles for depositing the waste that defendant was
allegedly cleaning from the vehicle.
In contrast to the dissent's suggestion, the State was only
required to prove that defendant's unlawful purpose was to commit
a robbery or a burglary; the State was not obligated to prove the
exact details of the intended crime, such as when it would occur
or the identity of the person or property targeted. See State v.
Petties,
139 N.J. 310, 316 (1995). The State met its burden in
this case. Moreover, the jury's verdict was based on sufficient
credible evidence and does not represent a miscarriage of justice
under Rule 2:10-1.
We are convinced that the charge satisfies the requirement that
the jury 'may not convict [under N.J.S.A. 2C:39-4a] based on
their own notion of the unlawfulness of some other undescribed
purpose.' Villar, supra, 150 N.J. at 511 (quoting State v.
Jenkins,
234 N.J. Super. 311, 316 (1989)). The jury charge both
provided the jury with the alleged specific unlawful purposes it
was permitted to consider__burglary and robbery__and stated that
the jury was prohibited from convicting defendant based on any
other unlawful purpose. Hence, the jury instruction, when
considered as a whole, guide[d] the jury in its determination of
the unlawful purposes alleged. Petties, supra, 139 N.J. at 319.
We find no basis on which to conclude that the charge was
capable of misleading the jury. Nor did the trial judge commit
plain error by failing to comment in the charge on defendant's
assertion that he was present in the parking lot to clean out the
rental car. That defense does not suggest that the gun was
possessed for a lawful purpose. Similarly, defendant's asserted
purpose for his presence in the parking lot does not negate the
mental state required for the offense. In other words, presence
in the parking lot to clean out the rented car does not negate
the State's contention that his presence was for the purpose of
committing a robbery or burglary.
Trial courts have broad discretion when commenting on the
evidence during jury instruction. State v. Robinson,
165 N.J. 32, 45 (2000). Although the trial court could reasonably have
exercised that discretion in favor of including defendant's
assertion that he was cleaning out the rented car, the failure to
do so does not rise to the level of plain error. Defendant's
counsel approved the charge at a pre-charge conference. More
importantly, we are entirely satisfied that the jury understood
that defendant's theory of the case was that he and Brownlee were
merely cleaning garbage out of the rental car, garbage that
included gloves, stockings, and a hairnet, as well as empty bags
and soda bottles, and that they allegedly had no plan or purpose
to use the gun in any unlawful manner. The charge when viewed as
a whole made it clear that if defendant's presence in the parking
lot was only to clean out the rental car, and not to commit a
robbery or burglary, the jury's obligation was to return a
verdict of not guilty. Failure to include the defense theory in
the jury charge does not raise a reasonable doubt that the jury
would have reached a different result had the court included
defendant's theory in its charge. See Macon, supra, 57 N.J. at
336.
SUPREME COURT OF NEW JERSEY
A-
112 September Term 1999
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
EDWARD BRIMS,
Defendant-Appellant.
STEIN, J., dissenting.
In this appeal defendant challenges only the validity of his
conviction, at a retrial, of second-degree possession of a weapon
for an unlawful purpose, contrary to N.J.S.A. 2C:39-21.
Defendant does not contest his other convictions at his first
trial for possession of a firearm without a firearm's
identification card (N.J.S.A. 2C:39-5(c)), possession of a semi-
automatic rifle (N.J.S.A. 2C:30-5(c)(2)), possession of a
controlled dangerous substance (CDS) (N.J.S.A. 2C:35-10(a)(1)),
and possession of a weapon by a convicted felon (N.J.S.A. 2C:37-
7(b)). At his original trial, at which defendant also was
convicted of possession of a weapon for an unlawful purpose, the
trial court omitted to instruct the jury concerning the unlawful
purpose asserted by the State, although the prosecutor argued
that defendant's purpose was to commit an aggravated assault or
robbery. That conviction was reversed by the Appellate Division
in an unpublished opinion because of the trial court's failure to
guide the jury in its determination of the unlawful purposes
alleged. State v. Petties,
139 N.J. 310, 319 (1995). At the
retrial the State changed its position and asserted that
defendant's unlawful purpose was to commit a robbery or burglary,
the trial court so instructed the jury, and the Appellate
Division affirmed the conviction in an unpublished opinion.
I would reverse that conviction. Unlike the vast majority
of convictions for violation of N.J.S.A. 2C:39-4, in which
defendants also plead guilty to or are convicted of an underlying
offense that serves as the predicate for the possession of an
unlawful purpose conviction, defendant's predicate criminal
purpose was a matter of rank speculation, so much so that the
State changed its theory concerning defendant's criminal purpose
between the first trial and the retrial. No reported decision
has sustained a conviction under N.J.S.A. 2C:39-4 on proofs as
weak as these. In my view, defendant's prosecution for that
offense was the result of unnecessary prosecutorial overcharging,
particularly since defendant's possession of the weapon in
question, as well as his possession of CDS, resulted in several
other sustainable convictions that would have resulted in a
substantial prison sentence. Because the trial court committed
error in denying defendant's motion to dismiss at the close of
the State's case, I would reverse defendant's conviction pursuant
to N.J.S.A. 2C:39-4.
I
The Court's confidence in the reliability of defendant's
conviction under N.J.S.A. 2C:39-4 is not likely to be enhanced by
the fact that the Leonia police officer's investigation of
defendant was prompted by an unfounded complaint that defendant
and his co-defendant were burglarizing defendant's own rental
car.
On September 25, 1992, Robert Paccico, a former Mayor of
Leonia, left his jewelry store at about 8:15 p.m. and observed
defendant and co-defendant Ernest Brownlee, both of whom are
African-American, leaning into a car parked lawfully in a
municipal parking lot in Leonia. The lot had a capacity of 130
cars and at the time was about forty to fifty percent full.
Paccico observed that all four car doors were open and the
interior lights were not on. As Paccico approached the car,
defendant took a few steps toward him and shouted Hey, man
which gave Paccico a very uneasy feeling. Paccico quickly
entered his car and drove to the nearby police station where he
reported to Corporal Carmine Cross, whom he knew, that two black
men were burglarizing or stealing a car or car radio in the
municipal lot.
Paccico and Cross then returned to the parking lot.
Corporal Cross testified that as he drove into the parking lot he
drew his weapon and kept it at his side. He saw defendant
leaning into the car at the rear driver's side. Cross ordered
defendant to step back from the car and asked what he was doing.
Brims replied that he was cleaning out his car. It was
undisputed that the back seat of the car contained empty bags and
several plastic soda bottles. Although there were several trash
receptacles in the parking lot, none were in the immediate
vicinity of defendant's own car. Cross then noticed Brownlee
standing behind the other open back door and ordered both men to
place their hands on the car. Brims did not comply immediately,
and wanted to know why we have to do this and what's going on.
Defendant was wearing a Chicago Bulls warm-up suit over two T-
shirts, one red and one black, and two pairs of socks. Cross
then asked defendant who owned the car. Brims replied that it
was a rental car, and handed Cross his driver's license and a
Thrifty Rent-a-Car agreement bearing the name of defendant's
sister as well as defendant's signature, address, license number,
and date of birth.
Concerning the car rental agreement, which the Leonia police
officers did not preserve and produce during discovery, Corporal
Cross testified at the suppression hearing that it was not in
defendant's name but was made out in a woman's name. That
testimony supported Cross' contention that he still believed the
car might be stolen when he later was looking inside the car and
observed the sawed-off shotgun. Prior to trial, Brims produced
the rental agreement which did include his signature, address,
and license number, and renewed his previously denied suppression
motion on the ground that Cross' continued inspection of the car,
after being given the rental agreement that established Brims'
lawful use, constituted an unreasonable search. That renewed
suppression motion also was denied. The Thrifty car rental
agreement bearing defendant's name was admitted in evidence at
the second trial as a defense exhibit.
After examining defendant's license and the rental
agreement, Corporal Cross waited for backup units to arrive
before searching the vehicle. Officer David Stein was next to
arrive at the scene, and he ordered defendant and Brownlee to
keep their hands on the vehicle and to stop speaking. Corporal
Cross then began to inspect the inside of the car. He looked
into the rear compartment and observed on the back seat a pair of
black gloves, four women's stockings, a black hair net, some
empty bags and several empty plastic soda bottles. Cross was
permitted to testify at trial that persons engaging in the
commission of crimes sometimes use nylon stockings to disguise
facial features and also use gloves to avoid leaving
fingerprints.
While inspecting the front compartment of the vehicle, Cross
observed the butt of a shotgun protruding from beneath the
driver's seat. Cross shouted to the other officers that there
was a shotgun in the car, and ordered Brims and Brownlee to lie
down on the ground. Instead, they ran toward the car but were
intercepted and restrained by Cross and the backup officers. No
weapons were found on either defendant. The stock of the shotgun
found in the car had been sawed-off, and Cross testified that
that made the shotgun easier to conceal. The shotgun contained
nine rounds of ammunition. A State's firearms expert testified
that the shotgun fired normally when he tested it in 1997, but he
acknowledged that an FBI test on the gun in 1993 revealed that
the weapon fired manually but not automatically.
Testimony at the re-trial disclosed that at the time
defendants were apprehended several businesses in the area
adjoining the parking lot were still open, including a liquor
store, a pharmacy and a supermarket. Corporal Cross acknowledged
on cross-examination that no homeowners or store owners in the
vicinity of the parking lot had telephoned police headquarters to
report suspicious activity. Officer Stein testified that co-
defendant Brownlee had white gloves and one pair of nylons in his
pocket. He acknowledged that no maps or lists of stores or
descriptions of the area were found in the vehicle or in the
possession of defendants.
In addition to being indicted for possession of a weapon for
an unlawful purpose (count one), Brims also was indicted and
convicted at his first trial of third-degree possession of a
firearm without a firearm's identification card (count two),
third-degree possession of a semi-automatic rifle (count three),
and second-degree possession of a weapon by a convicted felon
(count seven). The original trial court merged defendant's
convictions on counts two and three with his conviction for
possession of a weapon for an unlawful purpose, and sentenced him
on that offense to an extended term of fifteen years with five
years of parole ineligibility. A consecutive seven-year sentence
was imposed for defendant's conviction of possession of a weapon
by a convicted felon, and a concurrent four-year term was imposed
on count four (possession of CDS). After defendant's retrial,
the court reimposed the same sentence as had been imposed by the
first trial court.
II
A
As noted, the State's articulation of defendant's criminal
purpose for possessing the firearm was vague and imprecise. At
the retrial, the prosecutor theorized that defendant's possession
of a sawed-off shotgun, in combination with the presence of nylon
stockings and gloves in the rental car, was sufficient for the
jury to find beyond a reasonable doubt that defendant possessed
the weapon with the purpose to commit a robbery or burglary. The
State did not offer any proof concerning what the target of the
alleged robbery or burglary might be, nor did the trial court's
instruction inform the jury that the State bore any burden of
identifying the person or property that was the objective of
defendant's criminal purpose. Reexamination of the role of
N.J.S.A. 2C:39-4 in the New Jersey Code of Criminal Justice
(Code) N.J.S.A. 2C:1-1 to 98-4, demonstrates that defendant's
conviction of that offense cannot be sustained on this record.
N.J.S.A. 2C:39-4(a) provides that [a]ny person who has in
his possession any firearm with a purpose to use it unlawfully
against the person or property of another is guilty of a crime of
the second-degree. That section is one of a number of
provisions in Chapter 39 of the Code designed to regulate the
sale, manufacture, use or possession of certain weapons. In
State v. Harmon,
104 N.J. 189, 196-97 (1986), Justice O'Hern
noted that we previously had referred to the provisions of
Chapter 39 as a 'carefully constructed,' State v. Lee,
96 N.J. 156, 160 (1984), and 'comprehensive regulatory program,' State v.
Ingram,
98 N.J. 489, 499 (1985), in which each provision must be
construed in light of the others, lest the sections become
superfluous.
In Harmon, supra, we carefully explained the differences in
the three critical sections of Chapter 39:
Broadly speaking, the framework for
regulating the possession of firearms and other
weapons is contained in three sections of Chapter
39: N.J.S.A. 2C:39-3, -4, and -5. The three
titles to the sections of the chapter highlight
the differences: 39-3, Prohibited Weapons and
Devices; 39-4, Possession of Weapons for Unlawful
Purposes; and 39-5, Unlawful Possession of
Weapons. Sections 39-3 and 39-5 are similar in
that both are essentially regulatory offenses:
they prohibit possession of firearms and other
weapons without regard to the individual's intent
or purpose in possessing them. The only "intent"
required is the general intent to possess the
weapon: in the language of the Code, "knowledge"
that such circumstances exist. See N.J.S.A.
2C:2-2(b)(2) (defining mental state of
"knowingly").
The primary distinction between the two
regulatory offenses is that N.J.S.A. 2C:39-3
prohibits entirely the possession of certain
inherently dangerous devices _- sawed-off
shotguns, silencers, and armor-piercing
bullets, for example -_ whereas N.J.S.A.
2C:39-5 prohibits the possession of a
narrower class of firearms -- machine guns,
handguns, rifles, and shotguns -- but allows
such possession to be sanctioned by permit,
license, or other official authorization
under Chapter 58 of the Code.
[104 N.J. at 197.]
We also observed that violations of sections 2C:39-3 and -5 are
third and fourth-degree offenses. Id. 197-98.
We noted in Harmon, supra, that N.J.S.A. 2C:39-4 also
prohibits possession of firearms, explosives, destructive
devices, and other weapons. We observed, however, that
unlike its regulatory counterparts, section
39-4 in each instance prohibits possession of
such instruments only when the possessor has
'a purpose to use [the device] unlawfully
against the person or property of another * *
*.' It is the existence of the unlawful-
purpose element that explains why violations
under N.J.S.A. 2C:39-4 are, for the most
part, more serious offenses of the second
degree that carry a presumption, under
N.J.S.A. 2C:44-1(d), of incarceration.
[Id. at 198 (quoting State v. Lee,
96 N.J. 156, 162 (1984).]
We also noted that N.J.S.A. 2C:39-4(a) is unique among all the
Chapter 39 offenses in that it alone triggers the parole-
ineligibility provisions of the Graves Act. See N.J.S.A. 2C:43-
6(c). Ibid.
Accordingly, the relevant sections of Chapter 39 of the Code
include purely regulatory provisions that establish possessory
offenses requiring no wrongful intent, as well as more serious
promissory offenses that require proof of criminal culpability on
the part of the accused. That analysis led us to observe in
Harmon, supra,
that the Legislature was concerned with
something more than mere knowing possession
in enacting the unlawful-purpose offenses.
By tying the increase in gradation of the
penalty to the existence of an unlawful
purpose, the Legislature has made plain that
the offenses under section 39-4 are not by
nature simply regulatory: they are directed
not at penalizing possession per se, but
rather at penalizing the intent to use such
weapons affirmatively to commit crimes.
[Id. at 199.]
Moreover, as we noted in State v. Petties,
139 N.J. 310, 321
(1995), the purpose of the possession must be illegal and must
exist 'at whatever time the State claims that [possession for an
unlawful purpose] offense took place.' (quoting Harmon, supra,
104 N.J. at 210). Accord State v. Diaz,
144 N.J. 628, 635
(1996).
We also explained in Harmon that although the crime of
possession of a firearm for an unlawful purpose is grouped, for
convenience, in Chapter 39 with other regulatory weapons-
possession offenses, that crime nevertheless
incorporates the concept of specific intent
typified by the inchoate offenses of attempt,
conspiracy, and criminal solicitation.
Characteristic of the inchoate offenses--now
contained in Chapter 5 of the Code, N.J.S.A.
2C:5-1 to -7--is their focus on incipient
criminal behavior: in short, conduct that is
"designed to culminate in the commission of a
substantive offense but has * * * not yet
achieved its culmination because something
remains to be done * * *." These offenses
"always presuppose a purpose to commit
another crime * * *."
[Harmon, supra, 104 N.J. at 203
(citations omitted).]
Accordingly, we concluded in Harmon that the crime of
possession of a firearm for an unlawful purpose is an inchoate
offense in the sense that it seeks to prevent incipient crime,
analogous to the more common inchoate offenses such as attempt
and conspiracy addressed in Chapter 5 of the Code. Id. at 203-
04. See also State v. Mello,
297 N.J. Super. 452, 466 (App. Div.
1997) (noting that possession of a firearm for an unlawful
purpose is a preparatory crime).
B
Some of the legal principles governing prosecutions pursuant
to N.J.S.A. 2C:39-4(a) are reasonably well-established. One such
principle is that
a jury instruction on a charge of gun
possession for unlawful purpose must include
an identification of such unlawful purposes
as may be suggested by the evidence and an
instruction that the jury may not convict
based on their own notion of the unlawfulness
of some other undescribed purpose.
[State v. Jenkins,
234 N.J. Super. 311, 316 (App. Div. 1989).]
In Jenkins defendant was indicted for possession of a
handgun for an unlawful purpose, possession of a handgun without
a permit and second-degree aggravated assault of his wife.
Defendant was acquitted of aggravated assault but convicted of
simple assault as a lesser-included offense, and convicted of
both possessory offenses. The charges were based on an
altercation between defendant and his wife in a bar during which
defendant punched his wife in the face. The argument continued
in the parking lot outside the bar, in the course of which sounds
resembling gunshots were heard, one of defendant's daughters was
heard by a witness to say he's shooting, and defendant's wife
allegedly informed a police officer that defendant possessed a
.25 caliber automatic handgun at the scene.
The Appellate Division reversed defendant's conviction for
possession of a weapon for an unlawful purpose. The court noted
that the trial court correctly instructed the jury that to
convict defendant of that charge it must find that defendant
possessed a firearm, that his purpose was to use it against the
person of another, and that he intended to use it in a manner
that was prohibited by law, that is, to commit an illegal act.
Id. at 315.
The Appellate Division observed:
It is impossible to say with any assurance
what the jury thought was defendant's unlawful
purpose. The problem arises from the fact that
defendant was acquitted of aggravated assault,
which means that the jury probably had a
reasonable doubt that defendant fired a gun at his
wife. It is apparent the jury believed he was
carrying a gun, but not what it thought his
purpose was in doing so.
In most cases, a charge of possession
with unlawful purpose is coupled with a
charge of an act accomplished with the gun--a
robbery, an assault, a homicide--which the
court tells the jury is unlawful.
Conviction of such an unlawful act supplies
the factual basis for an inference of
unlawful purpose in possessing the gun. But,
if the possession charge stands alone, or if
acquittal of the accompanying charge erases
the identification of the unlawful purpose,
the court may not permit the jury to convict
on the basis of speculation as to what
possible purposes qualify as unlawful.
Here, for instance, the jury might have
thought defendant's purpose in carrying a gun
was to impress his estranged wife, or to
threaten her, or to lessen the chance of
physical confrontation with others, or to
fire the weapon into the air to avoid attack
by others. The problem is pointed up by the
State's summation, which included:
If you feel, for whatever reason,
that he possessed that gun for an
unlawful purpose, be it just to
show somebody and scare somebody
with, wave it around, then you must
find him guilty of that charge.
[Jenkins, supra. at 315 (citations
omitted).]
Accordingly, the court reversed defendant's conviction of
possession of a weapon for an unlawful purpose because the jury
charge did not include
an identification of such unlawful purposes
as may be suggested by the evidence and an
instruction that the jury may not convict
based on their own notion of the unlawfulness
of some other undescribed purpose.
[Id. at 316.]
Similarly, in State v. Villar,
150 N.J. 503 (1997), we noted that
a jury instruction on a charge of possession
of a weapon for an unlawful purpose must
include an identification of the unlawful
purpose or purposes suggested by the evidence
and an instruction that the jury 'may not
convict based on their own notion of the
unlawfulness of some other undescribed
purpose.' State v. Jenkins,
234 N.J. Super. 311, 316,
560 A.2d 1240 (App. Div. 1989). In
addition, the trial judge should explain to
the jury that the criminal purpose or state
of mind may exist at whatever time the State
claims that the possessory offense took
place, and relate the specific unlawful
purpose charge to the facts of the case.
Harmon, supra, 104 N.J. at 210,
516 A.2d 1047.
[Id. at 511 (emphasis added).]
Our cases are less clear concerning the extent to which a
jury may be permitted to infer a defendant's unlawful purpose on
the basis of circumstantial evidence. On that question, the most
expansive holding to date is State v. Latimore,
197 N.J. Super. 197 (App. Div. 1984). In Latimore all four defendants were
convicted of possession of a shotgun and two handguns for an
unlawful purpose, and also were convicted of several other pure
possessory offenses. Id. at 206-07. The State's evidence
revealed that three of the defendants _ Wade, Williams and Payne
_ were observed by two police officers at 3:01 a.m. seated in an
automobile with the engine running and the headlights off. Id.
at 208. The car was parked on the east side of West Street
facing north, just past the intersection of Monmouth and West
Streets in Red Bank, in a mixed residential and commercial area.
Ibid. Adjacent to and just east of the vehicle was a parking
lot of a vacuum cleaner store that fronted on Monmouth Street,
and a row of hedges about seven feet high separated the vehicle
from the parking lot. Ibid. The police officers previously had
observed defendant Latimore walking east on Monmouth Street in
front of the vacuum cleaner store. Ibid.
The officers went around the block, drove southbound on West
Street, and spoke to defendant Wade, who was seated behind the
wheel. Ibid. He said they were waiting for a friend who was
visiting a cousin. Id. at 209. The officers told defendants to
leave the area. Ibid. They then observed Latimore walking west
on Monmouth Street toward the car, and subsequently saw him
change direction and walk to the northwest corner of the
intersection. Ibid. The officers next observed defendant Payne
step out of the car and walk toward the hedges. Ibid. The
officers then returned to the vehicle and asked for
identification, which the three defendants could not produce.
When informed that Latimore owned the car, the officers called
him over and he produced adequate identification. Ibid. When
Payne was questioned, he denied having exited the car. At the
officer's direction, Latimore drove the car from the area
proceeding north on West Street. Ibid.
When the officers searched the hedges they found a 12-gauge
sawed-off shotgun and a handgun on the ground beneath the hedges.
Information about the defendants was then radioed to police
headquarters. Ibid. Shortly thereafter, an officer in another
patrol car stopped the defendants' vehicle as it was proceeding
east on Monmouth Street, slowly passing the intersection of West
Street. The occupants were placed under arrest. Ibid.
Defendant Payne had a twelve-gauge shotgun shell in his pants'
pocket that matched a shell found in the shotgun. Id. at 210. A
second handgun was found under the hedges. Ibid.
Concerning the sufficiency of the evidence to sustain
defendant's conviction for possession of weapons for an unlawful
purpose, the Appellate Division observed:
At the time it was observed by the
police, the car was parked, at 3:01 a.m.,
with the engine running and the lights out,
in a residential and commercial area, with a
man walking in front of a commercial
establishment. Only Latimore produced
identification. Although he was observed by
Officer Scott, Payne denied getting out of
the car. After being directed to leave the
area, the vehicle returned to the scene where
the guns had been left. All of these proven
circumstances, coupled with the statutory
inference of possession of weapons found in a
vehicle by all occupants of that vehicle, are
sufficient to establish joint possession of
these weapons by all four occupants. The
circumstance that the vehicle was parked at
an early hour of the morning with the engine
running and the lights out is sufficient to
support an inference that the weapons were
possessed with a purpose to use them
unlawfully at least against the property of
another.
[Id. at 211.]
Because of the proximity of the defendants in Latimore to
the vacuum cleaner store at 3:00 a.m., the suspicious pacing of
Latimore himself in front of the store, and the presence of
weapons in the hedges adjacent to the parking lot, the evidence
in Latimore was far more suggestive of an intent to commit a
property-related offense than is the evidence in this case.
Nevertheless, the holding in Latimore highlights the question of
what quality of proof is adequate to sustain a conviction for
possession of a weapon for an unlawful purpose. Helpful guidance
in resolving that issue may be found in the case law dealing with
evidence required to prove the analogous preparatory offenses of
attempt and conspiracy, both of which, like possession of a
weapon for an unlawful purpose, are inchoate offenses that seek
to prevent incipient crime. Harmon, supra, 104 N.J. at 203-04.
Concerning attempts, N.J.S.A. 2C:5-1(a) provides that one can be
found guilty of an attempt to commit a specific crime if
acting with the kind of culpability otherwise
required for commission of the crime, he:
. . . .
(3) Purposely does or omits to do
anything which, under the circumstances as a
reasonable person would believe them to be,
is an act or omission constituting a
substantial step in a course of conduct
planned to culminate in his commission of the
crime.
In State v. Farrad,
164 N.J. 247 (2000), Justice Coleman
explained the distinction between mere preparation and the
evidence required to sustain a conviction for an attempt. He
stated:
Attempt can be easily defined. The
difficulty lies in distinguishing between
mere preparation and the substantial step
requirement of an attempt. As noted in the
1971 New Jersey Penal Code Commentary, Vol.
II, at 117, New Jersey Penal Code, Volume II:
Commentary, Final Report of the New Jersey
Criminal Law Revision Commission 117 (1971)
(hereinafter Commentary), the Model Penal
Code's
approach to this problem is to set
forth two requirements which in
addition to the requisite criminal
purpose, distinguish attempt from
preparation: (1) The act must be 'a
substantial step in the course of
conduct' planned to accomplish the
criminal result, and (2) the act
must be 'strongly corroborative' of
criminal purpose in order for it to
constitute such a substantial step.
Thus, the substantial step requirement in
the attempt statute, N.J.S.A. 2C:5-1a(3),
is satisfied if a defendant acts in a way
that is "strongly corroborative of the
'firmness of his purpose'" to carry out the
crime.
Based on the foregoing principles, a
defendant can be convicted of robbery, even
if the theft is unsuccessful, if he or she
(1) purposely takes a substantial step (2) to
exercise unlawful control over the property
of another (3) while threatening another
with, or purposely placing another in fear
of, immediate bodily injury.
[Id. at 257-58 (citations omitted).]
See also State v. Schwarzbach,
84 N.J.L. 268, 269-70 (E & A 1913)
([T]o constitute an attempt to commit a crime something more
than mere preparation is essential; there must be an overt act
directly moving toward the commission of the crime.)
Our cases also require proof beyond mere preparation to
sustain a conviction for conspiracy. N.J.S.A. 2C:5-2(a)
provides:
A person is guilty of conspiracy with another
person or persons to commit a crime if with
the purpose of promoting or facilitating its
commission he:
(1) Agrees with such other person
or persons that they or one or more
of them will engage in conduct
which constitutes such crime or an
attempt or solicitation to commit
such crime; or
(2) Agrees to aid such other person
or persons in the planning or
commission of such crime or of an
attempt or solicitation to commit
such crime.
The Code provides specifically that in prosecutions for
conspiracy to commit a first or second-degree crime the State
need not prove that a defendant committed an overt act in
furtherance of the conspiracy. N.J.S.A. 2C:5-2(d). Accordingly,
in State v. Scherzer,
301 N.J. Super. 363 (App. Div. 1997), where
defendants were convicted of conspiracy to commit first and
second-degree crimes, the court observed that
the sufficiency of the evidence as to the
commission of an overt act is not at issue.
Ibid. The only question is whether a
reasonable jury, viewing the State's evidence
in its most favorable light, could find
beyond a reasonable doubt that defendants,
acting with a purposeful state of mind,
agreed to commit, attempted to commit, or
aided in the commission of an aggravated
sexual assault.
[Emphasis added.]
Our cases also note the distinction between conspiracy and
attempt prosecutions:
[A] conspiracy charge focuses primarily on
the intent of the defendants, while in an
attempt case the primary inquiry centers on
the defendants' conduct tending toward the
commission of the substantive crime. The
crime of conspiracy is complete once the
conspirators, having formed the intent to
commit a crime, take any step in preparation;
mere preparation, however, is an inadequate
basis for an attempt conviction regardless of
the intent.
[State v. Moretti,
52 N.J. 182, 187 (1968).]
III
I am persuaded that, analogously to the crimes of attempt
and conspiracy, the crime of possession of a weapon for an
unlawful purpose requires proof that, at whatever time the State
claims that the possessory offense took place, Harmon, supra,
104 N.J. at 210, the defendant not only possessed the weapon but
also intended to use the weapon to accomplish a specific criminal
purpose. Id. at 204. The quality of proof necessary to
establish such an intent is, in my view, less than the proof
required to convict of an attempt, i.e., an act that is a
substantial step in the course of conduct planned to commit the
crime and which is strongly corroborative of the criminal
purpose. Farrad, supra, 164 N.J. at 257-58. In our criminal
offense hierarchy, an attempt to commit an offense, although also
a preparatory crime, involves a more substantial step in the
course of commission of the underlying crime than does possession
of a weapon for an unlawful purpose. Without question, the
proofs adduced by the State at trial would not have been
sufficient to convict Brims of either attempted robbery or
attempted burglary, the State not having presented evidence of
any act constituting a substantial step toward the commission
of robbery or burglary.
A closer analogy is the proof required to convict of
conspiracy to commit a first or second-degree crime. Although no
proof of an overt act is necessary, the State must prove that the
defendant, acting purposely, agreed to commit, attempted to
commit, or aided in the commission of the offense. Scherzer,
supra, 301 N.J. Super. at 401. Because possession for an
unlawful purpose can be committed individually, the State
obviously need not prove the existence of an underlying agreement
to sustain a conviction. Equally clear is that the State had not
presented at trial sufficient evidence to have convicted Brims
and his co-defendant of conspiracy to commit robbery or burglary,
the State not having offered evidence of any agreement, any
attempt to commit crimes, or any act that aided in the commission
of those offenses.
Although I acknowledge that the proofs necessary to sustain
a conviction for possession for an unlawful purpose are less than
those required to prove attempt or conspiracy, the common thread
among those offenses _ their incipient and preliminary
characteristics _ suggests that at the very least the quality of
proofs required to identify the criminal objective of each of
those offenses should be harmonious. For attempt and conspiracy,
proof of either a substantial step toward the offense, or an
agreement to commit the offense, requires proof of the intended
offense with sufficient specificity to link the substantial step
or the agreement to the offense.
No less specificity should be required to prove the unlawful
purpose in a prosecution for possession of a weapon for an
unlawful purpose. That proof must be sufficiently precise to
identify the criminal objective with some specificity and to
connect the defendant's conduct, beyond mere possession of the
weapon in question, to that criminal objective. To allow a jury
to guess at the criminal objective, to speculate about when the
crime was to be committed (or whether it already had been
committed), and to rely on evidence equally susceptible to both
benign or criminal purposes would subvert the role of the
possession for a unlawful purpose charge from that intended by
the drafters of our Code.
That basic standard of proof was not satisfied in this case.
The presence of gloves and stockings in the back seat of the car
and in Brownlee's pocket, combined with the extra T-shirt and
socks defendant was wearing, simply does not prove that
defendant, at the time of his arrest, had the specific intent to
use the shotgun to accomplish a specific criminal purpose. That
evidence was equally consistent with the possibility that
defendant and Brownlee had used the stockings, gloves, and
shotgun to commit a crime earlier that day or several days before
the arrest. It also was consistent with defendant's explanation,
supported by the presence of empty bottles in the back seat, that
he and Brownlee were cleaning out the car, an explanation made
more credible by the evidence that the car had been rented by
Brims and also by the fact that Brims and Brownlee remained in
the parking lot after being observed by Paccico. Defendant's
presence in a public parking lot at 8:15 p.m., along with thirty
or forty other cars, is hardly suggestive of a criminal purpose.
The State's proofs of the allegedly unlawful purpose were so
vague and imprecise that, at the first trial, aggravated assault
was asserted to be the underlying criminal objective, a
contention the State abandoned at the second trial. Nor was the
trial court able, because of the insufficient proofs, to identify
for the jury the unlawful purposes as may be suggested by the
evidence, Jenkins, supra, 234 N.J. Super. at 316, or relate
the specific unlawful purpose charged to the facts of the case.
Petties, supra, 139 N.J. at 321. Because of those obvious
deficiencies in the instruction, the jury was wrongly permitted
to convict defendant of the possession for an unlawful purpose
charge based on their own notion of the unlawfulness o