(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).
Argued November 6, 1995 -- Decided August 8, 1996
COLEMAN, J., writing for the Court.
Shortly after noon on July 7, 1985, in the course of a robbery in a Cumberland Farms convenience
store, defendant shot the store clerk, Cynthia Barlieb, in the chest after she refused to comply with his
demands to open the cash register. Ms. Barlieb fell to the floor but then stood up, cried out, and again
refused to comply with defendant's demands to open the cash register. Defendant shot Ms. Barlieb again,
this time in the neck. While defendant tried to open the cash register himself, he felt Ms. Barlieb touch his
leg. Defendant shot Ms. Barlieb a third time, in the head. A customer discovered Ms. Barlieb's body in the
store's dairy freezer a short time later.
Defendant was convicted of capital murder and sentenced to death in 1986. The Supreme Court
affirmed his conviction but reversed his death sentence and remanded for a new penalty-phase trial in 1990.
The reversal was based on the State's concession that the trial court erroneously charged the jury to consider
only those mitigating factors that the jury unanimously agreed had been established.
At the new penalty trial, the State relied on two aggravating factors, murder to avoid apprehension
and murder during a robbery. The State called one witness, who testified that he had a conversation with
defendant and that defendant related the facts of the crime as described above.
After the jury had been deliberating for approximately six and one-half hours, the foreperson
submitted a note to the trial court indicating that one of the jurors had information and knowledge of the
case beyond the scope of the evidence. The trial court suspended deliberations and interviewed each juror
individually. One of the jurors had apparently advised the others that while shopping he had overheard
someone state that Ms. Barlieb, the victim, had three children. Interviews with other jurors indicated that
the juror made the comment while defending his view, not shared by any other juror, that defendant should
not be sentenced to death.
The trial court ordered that the juror who made the statement be replaced by an alternate. The
trial judge instructed the new jury to disregard the outside information and to begin its deliberations anew.
Four and one-half hours later, the jury returned a death verdict.
HELD: Because of juror misconduct that exposed the jury to extraneous influences, defendant's death
sentence is reversed, and the matter is remanded for a new penalty trial.
1. The trial court improperly expanded the scope of R. 1:8-2(d)'s inability-to-continue standard when it
removed the offending juror. The juror's misconduct did not relate to exclusively personal circumstances, as
is required by the standard. The only option available to the trial court here was to declare a mistrial. (pp.
13-17)
2. Defendant was not deprived of a non-unanimous verdict. The jury had not reached a final verdict and
was not deadlocked before the juror misconduct occurred. There is nothing in the record to suggest that the
jury would have been unable to reach a unanimous verdict concerning defendant's sentence. (pp. 18-23)
3. Under cases that have discussed whether the jury had deliberated too far to permit substitution of a juror,
the conclusion to be drawn is that the only other viable option to substitution is a mistrial. (pp. 23-26)
4. The jury's exposure to the victim impact evidence in the present case, without special instructions limiting
its use, could have, in all likelihood, affected the result. The trial court's denial of defendant's application for
a mistrial therefore was an abuse of discretion. (pp. 26-32)
5. There was sufficient evidence on which the jury could conclude that one of defendant's motives for killing
Ms. Barlieb was to avoid apprehension. However, when essentially the same evidence is used to support
both of the aggravating factors of murder to avoid apprehension and murder during a robbery, the guidelines
set forth in Bey II must be followed and the jury must be warned not to double count the evidence. (pp. 32-34)
The imposition of the death sentence is REVERSED and the matter is REMANDED to the Law
Division for a new penalty trial.
JUSTICE HANDLER, concurring in part and dissenting in part, Point I of which JUSTICE
O'HERN joins, agrees in Point I with the majority that the trial court abused its discretion by removing the
offending juror. He dissents, however, from the majority's holding that the trial court should have declared a
mistrial. Under the circumstances here, a mistrial deprives defendant of the opportunity for a final, non-unanimous verdict. The jury should have been permitted to continue deliberations with the offending juror's
participation after a curative instruction. In Point II, Justice Handler expresses the view that the majority's
interpretation and application of the murder to avoid apprehension aggravating factor is so expansive that it
can be applied arbitrarily to virtually any felony murder.
JUSTICES POLLOCK, GARIBALDI and STEIN join in JUSTICE COLEMAN'S opinion.
JUSTICE HANDLER has filed a separate opinion concurring in part and dissenting in part, Point I of
which JUSTICE O'HERN joins.
SUPREME COURT OF NEW JERSEY
A-
22 September Term 1995
THE STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
JACINTO K. HIGHTOWER,
Defendant-Appellant.
Argued November 6, 1995 -- Decided August 8, 1996
On appeal from the Superior Court, Law
Division, Burlington county.
Robert L. Sloan and James K. Smith, Jr.,
Assistant Deputies Public Defender, argued
the cause for appellant (Susan L. Reisner,
Public Defender, attorney).
Linda A. Rinaldi, Deputy Attorney General,
argued the cause for respondent (Deborah T.
Poritz, Attorney General of New Jersey,
attorney).
The opinion of the Court was delivered by
COLEMAN, J.
In State v. Hightower,
120 N.J. 378 (1990), this Court
affirmed the 1986 capital murder conviction of defendant, Jacinto
K. Hightower, but reversed his death sentence and remanded the
matter for a new penalty-phase proceeding. At the second penalty
trial, defendant was again sentenced to death. Defendant
presently appeals that sentence pursuant to Rule 2:2-1(a)(3).
Because of juror misconduct during jury deliberations that
exposed the jury to extraneous influences, we reverse and remand
for a new penalty trial.
The facts and procedural history of this case are fully set
forth in Hightower. See Hightower I, supra, 120 N.J. at 386-99.
Thus, we limit our recitation to only the facts and history
relevant to this appeal.
Shortly after 12 p.m. on July 7, 1985, during the course of
a robbery in a Cumberland Farms convenience store, defendant shot
the clerk, Cynthia Barlieb, in her chest after she refused to
comply with his demands to open the cash register. After falling
to the floor as a result of the gun shot wound, Barlieb stood up,
cried out and again refused to comply with defendant's repeated
demands to open the cash register. Defendant shot Barlieb again,
this time in the neck. While Barlieb laid on the floor, she
touched defendant's leg. Defendant then shot her in the head.
At 12:40 p.m. a customer discovered Barlieb's body in the store's
dairy freezer.
Defendant was indicted for purposeful murder by his own
conduct, contrary to N.J.S.A. 2C:11-3a(1); knowing murder by his
own conduct, contrary to N.J.S.A. 2C:11-3a(2); felony murder,
contrary to N.J.S.A. 2C:11-3a(3); first-degree robbery, contrary
to N.J.S.A. 2C:15-1; second-degree possession of a weapon for an
unlawful purpose, contrary to N.J.S.A. 2C:39-4a; and third-degree
unlawful possession of a handgun, contrary to N.J.S.A. 2C:39-5b.
In October 1986, the jury found defendant guilty on all
counts of the indictment. During the penalty trial, the State
asked the jury to consider three aggravating factors: (1) "[t]he
murder was outrageously or wantonly vile, horrible or inhuman in
that it involved torture, depravity of mind, or an aggravated
assault to the victim," N.J.S.A. 2C:11-3c(4)(c); (2) "[t]he
murder was committed for the purpose of escaping detection,
apprehension, trial, punishment or confinement for another
offense committed by the defendant," N.J.S.A. 2C:11-3c(4)(f); and
(3) "[t]he offense was committed while the defendant was engaged
in the commission of, or an attempt to commit, or flight after
committing or attempting to commit . . . robbery," N.J.S.A.
2C:11-3c(4)(g).
The defense, on the other hand, produced six expert
witnesses, and submitted five mitigating factors to the jury: (1)
"[t]he defendant was under the influence of extreme mental or
emotional disturbance insufficient to constitute a defense to
prosecution," N.J.S.A. 2C:11-3c(5)(a); (2) "[t]he age of the
defendant at the time of the murder," N.J.S.A. 2C:11-3c(5)(c);
(3) "[t]he defendant's capacity to appreciate the wrongfulness of
his conduct or to conform his conduct to the requirements of the
law was significantly impaired as the result of mental disease or
defect or intoxication, but not to a degree sufficient to
constitute a defense to prosecution," N.J.S.A. 2C:11-3c(5)(d);
(4) "[t]he defendant has no significant history of prior criminal
activity," N.J.S.A. 2C:11-3c(5)(f); and (5) "[a]ny other factor
which is relevant to the defendant's character or record or to
the circumstances of the offense." N.J.S.A. 2C:11-3c(5)(h).
On November 10, 1986, defendant was sentenced to death after
the jury found that the State had proven each of the aggravating
factors beyond a reasonable doubt. Although the jury determined
that defendant had established two mitigating factors, N.J.S.A.
2C:11-3c(5)(f) and (h), it found that each of the aggravating
factors outweighed all of the mitigating factors beyond a
reasonable doubt, and that all of the aggravating factors
outweighed all of the mitigating factors beyond a reasonable
doubt.
On appeal, this Court reversed the death sentence because
the Attorney General conceded that the trial court erroneously
charged the jury to consider only those mitigating factors found
to have been unanimously established. State v. Hightower, supra,
120 N.J. at 386.
Jury selection for the new penalty trial was conducted between September 12 and October 24, 1994. Thereafter, a seven-day trial ensued. The State relied on two aggravating factors: murder to avoid apprehension, N.J.S.A. 2C:11-3c(4)(f); and murder during a robbery, N.J.S.A. 2C:11-3c(4)(g). Defendant relied on fourteen mitigating factors: (1) defendant's age at the time of
the murder, N.J.S.A. 2C:11-3c(5)(c); (2) defendant had no prior
record of criminal convictions, N.J.S.A. 2C:11-3c(5)(f); (3)
defendant was never adjudicated a juvenile delinquent, N.J.S.A.
2C:11-3c(5)(h); (4) defendant was sodomized as a young child,
ibid.; (5) defendant's mother was diagnosed as suffering from a
severe emotional disorder during his childhood, ibid.; (6)
defendant during his formative years frequently assumed
responsibility for the care of his younger twin siblings, ibid.;
(7) defendant was placed in foster care during his formative
years, ibid.; (8) during his formative years, defendant's mother
deserted the family for periods of time, on one occasion during
the holiday season, ibid.; (9) defendant was raised in an abusive
and dysfunctional environment, ibid.; (10) the imposition of the
death penalty would entail excessive hardship on members of
defendant's family, ibid.; (11) defendant was engaged in
productive employment while in state prison, ibid.; (12)
defendant did not know the identity of his natural father, ibid.;
(13) defendant witnessed the abuse of his siblings during his
formative years, ibid.; and (14) any other mitigating factor that
the jury found to exist. Ibid.
The only testimony presented by the State was that of
Christopher Forston who had also testified at the guilt trial.
Forston testified about a conversation that he had with defendant
after the Cumberland Farms murder in which defendant voluntarily
told Forston how he had committed the crime. Forston testified
that defendant told him "he had killed a woman in a store because
she wouldn't cooperate with him." According to Forston,
defendant had recounted the crime as follows. Defendant entered
the Cumberland Farms carrying a tote bag and waited for the
customers to leave. He then picked up a box of Pampers, set it
on the counter, walked to the door, turned the "open" sign to
"closed," returned to the counter and asked the clerk for a pack
of cigarettes. As the clerk turned her back and reached for the
cigarettes, defendant pulled a gun out of his tote bag and
demanded the clerk to open the cash register. Forston further
testified that defendant stated that "the `old bitch' would not
cooperate [so he] shot her one time in the chest."
Additionally, Forston testified that defendant told him that
after the first shot, the clerk fell to the floor but got back up
hollering and refused defendant's second request to open the
register. Defendant then shot her in the neck. The woman fell
to the floor again. Defendant jumped over the counter and began
to bang on the cash register because he did not know how to open
it. When he felt the clerk grab his leg, he shot her in the head
and left the store.
At the conclusion of Forston's testimony, defense counsel
moved to dismiss the aggravating factor, murder to avoid
apprehension, N.J.S.A. 2C:11-3c(4)(f). The defense argued that
the State had not produced evidence, either direct or
circumstantial, from which the jury could rationally conclude
beyond a reasonable doubt that defendant killed Barlieb to avoid
apprehension. Rather, the defense insisted that Forston's
testimony was direct evidence that defendant killed Barlieb
solely because she refused to cooperate. The trial court denied
the motion, reasoning that a factual issue was presented and
required a determination by the jury. The case was submitted to
the jury with a special verdict sheet.
The jury commenced its deliberations on October 31, 1994, at
3:15 p.m. After deliberating for approximately one hour, the
jury recessed for the day. The trial court collected from the
foreperson the verdict sheet on which the jury had made some
notations, as well as other notes, and sealed them in an
envelope. The following morning, the jury reconvened at 9:15
a.m. to continue its deliberations. After approximately six and
one-half hours of deliberating, over a two-day period, the jury
submitted the following note to the court:
[I]t has come to our attention that one of the jurors
has information and knowledge about this case beyond
the scope of the evidence given in Court. We ask your
direction in regard to this matter.
The court responded by instructing the jurors to temporarily
suspend deliberations and not to discuss the case or the subject
of the note. The trial court then interviewed each juror
individually in chambers and in the presence of counsel. During
those interviews, the judge asked each juror not to reveal his or
her position to the court, or to any other juror, with respect to
the point at which each juror was in the deliberations or any
position taken.
Notwithstanding the judge's instructions, the jury
foreperson disclosed during the interview that Juror Number 7 had
informed the jury that he had heard, outside of the courtroom,
that the victim had three children. Describing the context in
which Juror Number 7 made the statement, the foreperson
explained:
There was a fairly intense debate going on at that
point in time where [Juror Number 7] was taking a
different position than some of the other people, and
there was a fair amount of frustration from some other
people about the position he was taking, and
essentially he was . . . getting backed into a corner
. . . and he was almost lashing out.
The foreperson's account of Juror Number 7's statement and the
circumstances surrounding it were confirmed by several other
jurors. Indeed, Juror Number 7 admitted in his interview making
that statement about the victim having children. He stated that
he had overheard that statement while he was shopping in a store
earlier in the week. He pointed out, however, that he did not
partake in the discussion.
At the conclusion of the interviews, despite the trial
court's efforts to avoid learning the jurors' positions on the
merits of the case, the position of Juror Number 7 had been
disclosed by both Juror Number 7, and the foreperson. For
example, at one point during the his interview, the foreperson
stated that Juror Number 7 "was taking a different position than
others in the room." Additionally, in responding to a question
from the trial court, Juror Number 7 explained:
I told them I thought that he should get 30 years
imprisonment instead of the death sentence because it
seems by his time in prison he could be a productive
citizen when he come out. Now, majority of them jumped
me for that. . . . Well, they said, you must have heard
something we didn't hear, and I says, all I overheard -- I didn't discuss this with no one -- was that the
lady had three children. . . .
Interviews with other jurors also revealed that Juror Number
7 may have engaged in other misconduct, namely, dishonesty in
responding to questionnaires completed during the jury selection
process. The specific act of dishonesty alleged was that the
juror failed to disclose that he opposed the death penalty and
that he had visited prisons in the past.
Finally, during the interviews several jurors told the trial
court that at the time Juror Number 7 informed the jury that the
victim had children, the jury had reached a rather advanced stage
of deliberations. One juror indicated that he had already made
up his mind when he learned of the information; another revealed
that the jury had already taken a straw vote; and the foreperson
stated that the jury was at a "fairly late point" in its
deliberations. In addition, the verdict sheet indicated that the
jury had made tentative determinations with respect to the
existence of both aggravating factors and all mitigating factors.
The only section of the verdict sheet left unmarked was that
reserved for the jury's ultimate conclusion with respect to the
sentence.
Having all this information, the trial court then heard
arguments from the State and defense counsel, outside the
presence of the jury, regarding how to resolve the jury crisis.
The State recommended that the court remove Juror Number 7 from
the jury, insert an alternate, and instruct the jury to begin
deliberations anew. Defense counsel, on the other hand, insisted
that the appropriate remedy was a mistrial, or in the
alternative, that deliberations should continue with Juror Number
7 on the jury because Rule 1:8-2(d) did not authorize removal for
the type of misconduct involved.
Agreeing with the State, the trial court rejected defense
counsel's request and ordered that Juror Number 7 be removed from
the jury and replaced with an alternate. In denying the
application for a mistrial, the court reasoned that it had no
conclusive information concerning the positions of any of the
jurors, except Juror Number 7, on the merits of the case. The
court further explained that six hours of deliberations in the
penalty phase of a capital case was not a very long time. The
court then declared that its main reason for removing Juror
Number 7 from the jury was that the juror had revealed
information learned outside of the courtroom to the jury instead
of to the court as instructed. The trial court expressed concern
that the juror had the potential to repeat the misconduct. The
court further considered the necessity to protect the integrity
of the process that had been threatened by the conduct of Juror
Number 7.
After the judge's ruling, an alternate juror was selected
and the entire jury was instructed to continue its deliberations.
The judge cautioned the newly-constituted jury that it was to
"totally disregard" the outside information revealed by removed-Juror Number 7, and begin its deliberations anew. The court
provided the new jury with a blank verdict sheet, retaining the
former verdict sheet and notes in a sealed envelope. The
reconstituted jury recommenced deliberations on November 2, 1994,
at 11:03 a.m. Four and one-half hours later, the jury returned a
verdict of death.
A poll of the jury confirmed that it had unanimously
concluded, beyond a reasonable doubt, that both aggravating
factors existed, namely, murder to avoid apprehension, N.J.S.A.
2C:11-3c(4)(f), and murder committed during the commission of
another crime, N.J.S.A. 2C:11-3c(4)(g). The poll further
confirmed that the jury was unanimously satisfied that any and
all of the aggravating factors outweighed the ten mitigating
factors found to exist. The accepted mitigating factors were:
(1) defendant's age at the time of the murder; (2) defendant had
no prior record of criminal convictions; (3) defendant was never
adjudicated a juvenile delinquent; (4) defendant was sodomized as
a young child; (5) defendant's mother was diagnosed as suffering
from a severe emotional disorder during his childhood; (6) during
his formative years, defendant had frequently assumed
responsibility for the care of his younger twin siblings; (7)
during his formative years, defendant was placed in foster care;
(8) during his formative years, defendant's mother would desert
the family for periods of time, on one occasion during the
holiday season; (9) defendant was raised in an abusive and
dysfunctional environment; and (10) the imposition of the death
penalty would entail excessive hardship on members of defendant's
family. Accordingly, defendant was sentenced to death.
After the verdict was received, defense counsel requested
that the court question the foreperson to determine the stage
that the jury had reached in its deliberations when the new juror
was substituted. Defense counsel also requested that the court
seal and preserve the original jury's verdict sheet and notes for
use on appeal. The trial court denied the first, but granted the
second motion. We unsealed the verdict sheet pursuant to an
order dated June 7, 1995. The sheet revealed that the first jury
had tentatively found both aggravating factors and had made
tentative findings on all of the fourteen mitigating factors.
The sheet did not indicate, however, whether the jury's vote was
final, whether the aggravating factors outweighed the mitigating
or whether the jury would impose the death penalty or life
imprisonment.
Preliminarily, we reject defendant's claim that the New Jersey Death Penalty Act (Act) violates the Eighth Amendment to the United States Constitution. In State v. Biegenwald, 126 N.J. 1 (1991), this Court upheld the constitutionality of the Act in the face of equivalent challenges. Id. at 16; accord State v. Harris, 141 N.J. 525, 574 (1995); State v. Moore, 122 N.J. 420, 486 (1991); State v. Hunt, 115 N.J. 330, 373 (1989); State v. Koedatich, 112 N.J. 225, 249 (1988), cert. denied, 488 U.S. 1017, 109 S. Ct. 813, 102 L. Ed.2d 803 (1989); and State v. Ramseur, 106 N.J. 123, 185-90 (1987). In addition, the constitutionality
of the aggravating factor, N.J.S.A. 2C:11-3c(4)(c), has been
upheld. State v. Ramseur, supra, 106 N.J. at 188-89 n.21.
Defendant argues that Rule 1:8-2(d) did not permit the trial
court to remove Juror Number 7. He contends that even if that
juror's disclosure of the out-of-court information rendered him
"unable to function," his inability to function was not due to
him personally; rather it was due to his interaction with other
jurors or at least a combination thereof.
Rule 1:8-2(d) governs the removal and substitution of
deliberating jurors. The Act complements the court rule by
providing that "[n]othing in [the] statute shall be construed to
prevent the participation of an alternate juror in the sentencing
proceeding if one of the jurors who rendered the guilty verdict
becomes ill or is otherwise unable to proceed before or during
the sentencing proceeding." N.J.S.A. 2C:11-3c(1). The court
rule for removal provides in pertinent part:
If the alternate jurors are not discharged and if at
any time after submission of the case to the jury, a
juror dies or is discharged by the court because of
illness or other inability to continue, the court may
direct the clerk to draw the name of an alternate juror
to take the place of the juror who is deceased or
discharged.
[R. 1:8-2(d).]
Despite the rule's broad language, trial courts do not have
unbridled discretion to reconstitute deliberating juries in the
face of a jury crisis. On the contrary, the removal rule may be
used only in limited circumstances. Clearly, frequent
reconstitution of deliberating juries could destroy the integrity
and the mutuality of deliberations, thereby depriving defendants
of the right to a fair trial by an impartial jury. The
"mutuality of deliberations" is at the core of jury
deliberations. It entails the joint or collective exchange of
ideas among individual jurors that remains intact until a final
determination is reached. State v. Corsaro,
107 N.J. 339, 349
(1987). Mutuality may be destroyed if juror substitution is not
made in accordance with the limited scope of the rule for
removal. Ibid.; R. 1:8-2(d). Therefore, any conduct that could
upset the process of jury deliberations, even judicial conduct
such as juror substitution, must be carefully scrutinized.
Because juror substitution poses a clear potential for
prejudicing the integrity of the jury's deliberative process, it
should be invoked only as a last resort to avoid the deplorable
waste of time, effort, money, and judicial resources inherent in
a mistrial. State v. Lipsky,
164 N.J. Super. 39, 43 (App. Div.
1978).
The rule permits substitution of an alternate when
the deliberating juror dies, becomes ill "or is
otherwise unable to continue." These are, of course,
precisely the circumstances mandating substitution of a
juror during the trial itself. Because they relate
exclusively to the personal situation of the juror him
[or her] self and not to his [or her] interaction with
the other jurors or with the case itself, they are
ordinarily not circumstances having the capacity to
affect the substance or the course of the
deliberations. Hence the continuation of the trial
with a substituted alternate is in these circumstances
no way violative of defendant's right to trial by a
fair and impartial jury. In this respect the "unable
to continue" standard is much narrower than the concept
of good cause requiring the discharge of prospective
jurors before trial commences. "Good cause" in that
context includes potential juror bias which would
irremediably taint the entire jury, particularly in its
deliberative process. Removal of such a juror after
trial has commenced and even more particularly after
deliberations have commenced cannot ordinarily repair
the harm already done or presumed to have been done.
Juror bias discovered during deliberations is clearly,
therefore, not a circumstance susceptible to the
discharge and substitution technique of the rule.
Declaration of a mistrial would be the only available
alternative.
[State v. Trent,
157 N.J. Super. 231, 239 (App. Div.
1978), rev'd on other grounds,
79 N.J. 251 (1979).]
Although the death and illness standards are clear and
narrow, the "inability-to-continue" standard, at first glance,
appears vague and rather broad. That standard, however, must be
narrowly construed and sparingly applied. State v. Valenzuela,
136 N.J. 458, 468 (1994); State v. Trent, supra, 157 N.J. Super.
at 240.
Some of the questions concerning the narrow scope of the
inability-to-continue standard were clarified in Valenzuela, in
which the Court stated that to remove under the standard
the record [must] adequately establish[] that the juror
suffers from an inability to function that is personal
and unrelated to the juror's interaction with the other
jury members. If a court suspects that the problems
with the juror are due to interactions with other
jurors, the court should instruct the jury to resume
deliberations.
[State v. Valenzuela, supra, 136 N.J. at 472-73.]
Thus, the inability-to-continue standard may not be invoked
to remove a deliberating juror when the record merely reveals
that the juror has a position that is different from that of
other jurors. Id. at 468-69. Nor may the standard be employed
to remove a deliberating juror where the record reveals that the
juror's problems are related to both personal circumstances and
factors arising from the juror's interactions with other jurors.
Id. at 473. In other words, the reason must be exclusively
personal.
Conversely, the standard may be invoked to remove a juror
when the record reveals that the juror's emotional condition
renders him or her unable to render a fair verdict. E.g., State
v. Miller,
76 N.J. 392, 406-07 (1978) (holding that removal of
juror was warranted when juror's nervous and emotional condition
renders him or her unable to render fair verdict); State v.
Trent, supra, 157 N.J. Super. at 240 (finding that removal of
juror was warranted when juror suffered from severe emotional and
physical distress that made it impossible for juror to continue).
Under the facts and circumstances presented in this case, we
hold that the trial court improperly expanded the scope of Rule
1:8-2(d)'s inability-to-continue standard when it removed Juror
Number 7 from the deliberating jury. Although the juror did not
follow the trial court's instructions to report to the court any
information he overheard outside of the courtroom, and violated
his oath by informing other jurors that the victim had children,
that misconduct does not fall within the scope of Rule 1:8-2(d)'s
inability-to-continue standard. That standard requires
exclusively personal circumstances to justify removal of a
deliberating juror. Juror Number 7 did not satisfy that standard
because his misconduct was related to the case and to his
interactions with the other jurors. Although it is not
inconceivable that there might be some circumstances in which
juror misconduct during jury deliberations might permit
substitution of the offending juror, under the facts of this case
the only option available is the "[d]eclaration of a mistrial."
State v. Trent, supra, 157 N.J. Super. at 239. See infra pp. ___
- ___ (slip op. at 28-32).
We note that the Appellate Division recently revisited the
issue of juror substitution under the inability-to-continue
standard. In State v. Holloway,
288 N.J. Super. 390, 402-03
(App. Div. 1996), there was no objection to juror substitution
because of juror misconduct that occurred after extensive
deliberations. The lack of objection and the court's finding
that the misconduct did not taint the remaining jurors
distinguish Holloway, however, from our analysis in the present
case. See id. at 404-05. In State v. Singleton, ___ N.J. Super.
___ (App. Div. 1996), a deliberating juror was excused under the
inability-to-continue standard because the juror's religious
views, among other things, interfered with his ability to reach a
verdict. Id. at ___ (slip op. 11-12). The Appellate Division
found that the juror was improperly removed because of her
interactions with other jurors. Id. at ___ (slip op. at 17-18).
Singleton is consistent with Valenzuela.
V
Defendant claims that because an alternate juror was
improperly substituted for Juror Number 7, he was deprived of a
non-unanimous verdict notwithstanding that juror's misconduct.
A non-unanimous verdict in the penalty phase of a capital
case is a final verdict of life imprisonment without any further
exposure to a death sentence. N.J.S.A. 2C:11-3c(3)(c); State v.
DiFrisco,
137 N.J. 434, 483-84 (1994), cert. denied, ___ U.S.
___,
116 S. Ct. 949,
133 L. Ed.2d 873 (1996); State v. Hunt,
supra, 115 N.J. at 378, 380; State v. Ramseur, supra, 106 N.J. at
301.
The cases relied on by defendant to support his assertion
that he was deprived of the opportunity of a non-unanimous
verdict fall into two categories. One group is based on the
assumption that the jury was deadlocked. The other group focuses
on whether the jury had advanced too far in its deliberations to
permit substitution of a juror. Neither group, however,
discusses the appropriateness of declaring a mistrial when a
juror's substitution and juror misconduct prevent the original
jury from deliberating until reaching a final verdict.
There are three so-called jury-deadlock cases. In DiFrisco, after the jury had deliberated in a penalty trial for approximately four hours, it sent a note to the court advising that it had reached a verdict. State v. DiFrisco, supra, 137 N.J. at 481. As the court was about to receive the verdict, the
trial court asked the foreperson whether the verdicts were
unanimous. Ibid. When the foreperson answered no, and another
juror indicated that the jury had not unanimously found the
existence of an aggravating factor, the jury requested that it
return to the jury room. Id. at 481-82. The court ordered the
jury to resume its deliberations. Id. at 482. After further
deliberations, the jury imposed the death penalty. Id. at 483.
This Court rejected an argument that defendant was deprived
of a non-unanimous verdict. The Court concluded that despite the
jury's note and its report to the trial court that its verdict
was not unanimous, requiring the jury to deliberate further was
proper because the jury was not deadlocked. Id. at 485.
In Hunt, the jury sent a note to the trial court stating
that it could not reach a unanimous decision on whether a
mitigating factor outweighed an aggravating factor. State v.
Hunt, supra, 115 N.J. at 378. This Court held that because the
trial court failed to inquire of the jury whether its note
"stated its verdict or whether the jury wanted more time to
deliberate" before requiring further deliberations, and because
the jury was not reminded that a non-unanimous verdict was
acceptable, defendant was deprived of a realistic possibility
that the death sentence would not have been imposed. Id. at 378-79. This Court therefore barred imposition of the death penalty.
Id. at 379.
In Ramseur, after the jury had deliberated in the penalty
phase for four and one-third hours, the court received a note
from the jurors stating, "`Jury unable to reach a unanimous
decision. Suggestions please.'" State v. Ramseur, supra, 106
N.J. at 301. Over defense counsel's objection, the court gave an
"Allen charge," as modified by State v. Czachor,
82 N.J. 392,
401-02 (1980) (reminding jurors of their duty to consult with one
another in reaching a unanimous verdict and urging dissenting
jurors not to compromise for the purpose of achieving unanimity),
and required further deliberations. After being instructed to
attempt to reach unanimity two additional times, the jury imposed
the death sentence. State v. Ramseur, supra, 106 N.J. at 302.
This Court held that the trial court did not abuse its discretion
in failing to declare that the jury was deadlocked when the note
was submitted to the court. Id. at 302-04. Nevertheless, the
supplemental charges were found to be coercive because the trial
court did not reinform the jury of the consequences of a non-unanimous verdict. Id. at 305.
Accordingly, under Ramseur, if a jury reports to the court
that it is unable to reach a unanimous verdict after about four
hours of deliberations, the court is not obligated to declare the
jury deadlocked. A trial court is permitted to require a jury to
deliberate for a reasonable length of time before declaring a
deadlock. Id. at 302-03; State v. Czachor, supra, 82 N.J. at
407. What constitutes a reasonable amount of time is influenced
by the length of the trial and the complexity of the penalty
issues. State v. Ramseur, supra, 106 N.J. at 303.
The penalty trial in the present case involved the difficult
determination of whether the killing during the course of a
robbery was to avoid detection or apprehension, N.J.S.A. 2C:11-3c(4)(f), as well as the existence of the 3c(4)(g) murder-during
a-robbery aggravating factor and five mitigating factors. "In
addition, the jury had to assess the defendant's mental state and
decide whether mitigating factors outweighed aggravating
factors." State v. Ramseur, supra, 106 N.J. at 303.
When the juror misconduct occurred in the present case, the
jury had deliberated no more than six and one-half hours.
Although Juror Number 7 apparently wished to impose a life
sentence, there is no reasonable basis to assume that the power
of persuasive argument would not have ultimately resulted in an
uncoerced unanimous verdict for the death sentence. In DiFrisco,
Hunt, and Ramseur, the question of whether the jury was
deadlocked was precipitated by a note from the jury or a comment
by the foreperson to the trial court. In the present case,
however, there was no communication from the jury to the court
that remotely suggested deadlock. Rather, it was the unsolicited
remarks of jurors concerning the misconduct of Juror Number 7
that ignited the issue. Prior to that misconduct, the jury was
continuing its deliberations without any suggestion that it had
reached a genuine stalemate. Neither a genuine stalemate nor a
jury's verdict is final until announced in open court. Further,
when a verdict is reached, it is not final until confirmed by a
polling of the jury unless waived. State v. Shomo,
129 N.J. 248,
259 (1992); 4 Charles E. Torcia, Wharton's Criminal Procedure §
578 (12th ed. 1976).
A defendant is entitled to a non-unanimous verdict only when
the jury is deadlocked after deliberating a reasonable time.
Although in the present case the jurors had taken a straw vote
and voted on the aggravating and mitigating factors before
learning that the victim had children, there is nothing in the
record to suggest that the jury would have been unable to reach a
unanimous verdict concerning defendant's sentence. Indeed, the
record establishes that the jury was in the midst of
deliberations when Juror Number 7 engaged in misconduct involving
the other jurors. As one juror noted, an "intense debate" was
ongoing when Juror Number 7 revealed the extraneous information.
Additionally, the verdict sheet that was removed from the sealed
envelope confirms that no final vote had been taken and no
verdict had been reached.
Furthermore, it is not uncommon for jurors to take several
votes during the deliberative process, particularly an initial
vote to determine each juror's position at the outset. See State
v. Levitt,
36 N.J. 266, 269 (1961) (noting that jury took three
votes before reaching its ultimate determination, with first vote
taken one-half hour after jury began deliberating).
Additionally, no litmus test can be devised for determining what
is a reasonable time for deliberating. Lengthy deliberations are
not uncommon during the penalty phase of a capital case. This
Court has acknowledged that because the issues before the jury
are so complex, deliberations of more than ten hours may be
inadequate to reach a final conclusion on the appropriate
sentence. State v. Ramseur, supra, 106 N.J. at 303.
We conclude, as did the Court in DiFrisco and Ramseur, that
defendant was not deprived of a non-unanimous verdict because the
jury had not reached a final verdict and was not deadlocked
before the juror misconduct occurred.
Very few cases have addressed the issue whether a jury has
deliberated too far to permit replacement of a deliberating juror
with an alternate juror.
Since the 1972 amendment to Rule 1:8-2(d), juror
substitution during deliberations has been permitted to prevent
the necessity of a mistrial, particularly in protracted trials,
because of the death, illness or other inability of a juror to
continue deliberations until a verdict is reached. Sub-Committee
on Criminal Jury Deliberations of the Supreme Court Committee,
95
N.J.L.J. 341, 355 (1972).
Rule 1:8-2(d) provides that when good cause is shown, an
alternate juror may be substituted for a regular juror after
deliberations have begun. Although the rule does not offend our
state constitutional guaranty of trial by jury, State v. Miller,
76 N.J. 392, 406 (1978), it should be used sparingly, only within
the strict letter of the rule, and as a last resort to avoid the
waste of time that would otherwise ensue. State v. Valenzuela,
supra, 136 N.J. at 468; State v. Trent, supra, 157 N.J. Super. at
240.
In Valenzuela, within two hours after the jury commenced its
deliberations, the court dismissed a juror because the juror was
unable to deliberate in a coherent manner, and substituted an
alternate. State v. Valenzuela, supra, 136 N.J. at 466. The
reconstituted jury was instructed to "begin . . . work anew."
Ibid. Although the Court held that the juror substitution was
improper because it was based on the excused juror's interactions
with other jurors, id. at 472, it declined to discuss whether the
jury deliberations had advanced too far to permit a substitution.
Id. at 473.
In State v. Moore,
113 N.J. 239 (1988), the Court held that
if an alternate is substituted at the beginning of the penalty
phase of a death penalty trial, then guilt need not be
deliberated anew. Id. at 306-07. The Court grounded its holding
in the Legislature's intent to allow for bifurcated guilt and
penalty trials where necessary. Id. at 306.
Corsaro, deals with whether a jury that has returned guilty
verdicts against the defendants on some of the counts in an
indictment may be reconstituted to consider other charges when
one of the deliberating jurors returned to the courtroom
intoxicated and more than one hour late. State v. Corsaro,
supra, 107 N.J. at 341-42. That juror was dismissed and replaced
with an alternate; the newly constituted-jury was instructed "to
begin your deliberations anew with respect to the open charges
that you are considering." Id. at 344. Guilty verdicts were
returned on all the remaining charges. Id. at 345. The
defendants sought new trials on the grounds that a mistrial
should have been granted when the intoxicated juror was excused.
Ibid. The trial court denied the motions and the Appellate
Division affirmed. Ibid. This Court reversed, finding that
substitution of a juror during the jury's deliberations after it
had returned partial verdicts was improper because the
deliberative process had advanced "to such a degree that it [was]
strongly inferable that the jury [had] made actual fact-findings
or reached determinations of guilt or innocence . . . [and] the
new juror [was] likely . . . confronted with closed or closing
minds." Id. at 352. The appropriate remedy was to wait until
the original juror was able to continue or declare a mistrial on
the remaining charges. Id. at 354.
In State v. Trent,
79 N.J. 251 (1979), after the jury had
deliberated approximately six and one-half hours, one of the
jurors was replaced due to illness. Id. at 253. The alternate
juror was also replaced almost immediately. Id. at 254. The
jury was not instructed after either substitution to begin the
deliberations anew. Id. at 253-54. The Court reversed the
conviction upon finding that the trial court had erred in failing
to instruct the reconstituted juries to commence deliberations
anew. Id. at 256-57. Trent, however, did not address whether
the jury's deliberations had advanced too far.
In Miller, after the jury had deliberated for approximately
one and one-quarter hours, one of the jurors asked to be
dismissed because he was too nervous and his nervousness affected
his judgment. State v. Miller, supra, 76 N.J. at 401.
Defendant's request for a mistrial was denied and one alternate
juror was substituted. Id. at 401-02. Like Trent, the Court did
not discuss whether the jury's deliberations had advanced too
far.
From the few cases that have discussed whether the jury had
deliberated too far to permit substitution pursuant to Rule 1:8-2(d), the conclusion to be drawn is that the only other viable
option to juror substitution is a mistrial. Even if the
remaining eleven jurors were not tainted by the misconduct of
Juror Number 7, a jury of eleven was not permitted in this case.
The parties may not stipulate that the jury may consist of fewer
than twelve jurors in a capital case. R. 1:8-2(a). Because
there can be no waiver of a properly constituted jury in a
capital case, any verdict rendered by an improperly constituted
jury would be a nullity.
Defendant argues further that although removal of Juror
Number 7 was not an available option under Rule 1:8-2(d), the
trial court should have granted his mistrial application because
the jury was exposed to prejudicial out-of-court information
about the victim having children.
This Court has consistently held that the essence of a fair
trial requires the securing and preservation of an impartial
jury, neither tainted by prejudice nor exposed to extraneous
influences, even those judicial in nature. State v. Bey I,
112 N.J. 45, 75 (1988); State v. Corsaro, supra, 107 N.J. at 346-47.
The United States Supreme Court requires that a jury's verdict be
based on evidence received in open court, not from outside
sources. Sheppard v. Maxwell,
384 U.S. 333, 351,
86 S. Ct. 1507,
1516,
16 L. Ed.2d 600, 613 (1966). Trial courts have been
required to protect jurors and their deliberations from outside
influences that threaten to taint the verdict. State v. Bey I,
supra, 112 N.J. at 75-76. The need to protect the integrity of
the deliberative process in a capital case was summarized in Bey
I:
We have explained that "the securing and preservation
of an impartial jury goes to the very essence of a fair
trial. . . . [This right] is of exceptional
significance. . . . [T]riers of fact must be as nearly
impartial `as the lot of humanity will admit.'"
Of particular significance here is that aspect of
impartiality mandating "that the jury's verdict be
based on evidence received in open court, not from
outside sources." As expressed by Justice Holmes,
"[t]he theory of our system is that the conclusions to
be reached in a case will be induced only by evidence
and argument in open court, and not by any outside
influence, whether of private talk or public print."
We recently noted the long-standing nature of this
Court's commitment to the "[p]reservation of the jury's
independence from extraneous--even judicial--influences." The Court has consistently required trial
courts to protect both jurors and their deliberations
from illegitimate influences that threaten to taint the
verdict.
[Id. at 75 (alterations in original) (citations
omitted).]
When a jury is exposed to extraneous information after
deliberations have begun, a mistrial will almost always be
required. State v. Kociolek,
20 N.J. 92, 96-97 (1955). In
Kociolek, a jury convicted the defendant of murder and sentenced
him to death after it learned during deliberations, from some
jury members, that defendant had been indicted on charges of
assault and battery in an unrelated matter. Id. at 94. The
trial court attempted to shield the jury from the information
concerning the unrelated indictment by instructing the jury to
render a verdict based only upon evidence presented inside the
courtroom. Id. at 95-96. Reversing the trial court's decision
to deny the defendant's motion for a new trial, Justice Brennan,
writing for this Court, stated:
[T]he intrusion of the [unrelated indictments]
into the jurors' deliberations, standing alone,
introduced illegal and extraneous evidence fraught with
peril for the defendant, an action the more grievous
because taken in disregard, actually in defiance, of
the explicit instructions of the trial judge. Since
the law would have allowed a new trial if such
extraneous prejudicial matter was erroneously admitted
in evidence at the trial, it cannot tolerate the defeat
of justice which would result from the indefensible
exclusion of the juror's testimony as to the incident,
where the matter came into the jurors' deliberations
despite the commendable effort of court and counsel to
prevent the mishap, and the jurors considered it, in
violation of the court's instructions and of their
oaths.
[Id. at 103-04.]
In this case defendant contends that even if the jury was
properly reconstituted, a mistrial was nonetheless required
because the jurors were exposed to prejudicial victim impact
evidence, to wit, that the victim had three children. The
revelation of that information, defendant insists, inevitably
affected the eleven jurors who had been in favor of a death
sentence before learning of the evidence, influenced them to
adhere to their views and return a death sentence after learning
of the evidence.
Allowing victim impact information to be placed before the
jury without proper limiting instructions has the clear capacity
to taint the integrity of the jury's decision on whether to
impose death. "The determination of a life or death sentence in
a capital case is an extraordinarily delicate and sensitive
judgment." State v. Hightower, supra, 120 N.J. at 439 (Handler,
J., concurring in part and dissenting in part). The integrity of
jury deliberations is a crucial aspect of a criminal prosecution.
State v. Corsaro, supra, 107 N.J. at 346. The deliberative
process of a jury "must be insulated from influences that could
warp or undermine the jury's . . . ultimate determination."
Ibid.
Juror misconduct that causes a substantial likelihood that
one or more jurors were impermissibly influenced is enough to
undermine the integrity of a death penalty trial without
consideration of actual prejudice. That is so because each
juror's vote is decisive, given that each juror must individually
determine both the existence of mitigating factors and whether
the aggravating factors outweigh the mitigating ones. State v.
Bey II,
112 N.J. 123, 161 (1988) (citing Mills v. Maryland,
486 U.S. 367, 374-77,
108 S. Ct. 1860, 1865-66,
100 L. Ed.2d 384,
393-95 (1988).
The impact that improperly introduced victim impact evidence
has on a jury is difficult to gauge. We observe that the trial
court's questions were not framed to detect whether the jurors
were influenced by the extraneous information. For example, the
trial court asked one juror if he would be able to continue to
decide the case "according to [his] best judgment." The court
asked another juror "with [Juror Number 7] having said that, does
that create any problem with you about going ahead and continuing
to decide this case or continuing to get to wherever point you
all can get?" If one or more of the jurors were already leaning
in the direction of a death sentence and were further convinced
by Juror Number 7's comment, then those jurors could have
honestly answered the questions without ever indicating any
effect that Juror Number 7's misconduct had on their judgment.
The potential for prejudice stemming from the kind of victim
impact evidence Juror Number 7 introduced into the case was
obvious to both the trial court and counsel. The trial court
took extreme precautions to shield the jury from exposure to
information about the victim having children, recognizing that
such information had a high probability to prejudice the jury
against defendant. For example, all prospective jurors who had
information from the media or elsewhere concerning the victim's
children were excluded for cause during jury selection. The
State, defense counsel, and witnesses were instructed to avoid
making any reference to the victim's children during the trial.
In addition, the victim's ten-year old niece was instructed to
sit away from adult members of the victim's family in the
courtroom.
Even if the victim impact information that was improperly
placed before the jury could be properly introduced in evidence
pursuant to the recently enacted statute, codified at N.J.S.A.
2C:22-3c(6) (see State v. Muhammed, ___ N.J. ___ (1996)
discussing constitutionality of that statute), placing the victim
impact information before the jury in this case cannot be
regarded as harmless error. That statute and our Rules of
Evidence contemplate that the trial court will give special
instructions to the jury limiting its use of that evidence.
N.J.R.E. 105. Here, the jury was never told how to use the
information about the victim's children. Instead, it was told to
disregard it, an instruction the jury could not conceivably carry
out.
Thus, the jury's exposure to the victim impact evidence in
the present case could have, in all likelihood, affected the
result. Because the stakes are so high in a death penalty trial,
where serious juror misconduct occurs, prejudice will be
presumed. Accordingly, we hold that the introduction of victim
impact information into the jury's deliberation in the present
case had the clear capacity to prejudice defendant. We find that
the trial court abused its discretion in denying defendant's
application for a mistrial.
The standard governing the grant of a new trial is the same
for a mistrial. Any juror misconduct or improper intrusion into
the deliberations of a jury that "could have a tendency to
influence the jury in arriving at its verdict in a manner
inconsistent with the legal proofs and the court's charge" is a
ground for a mistrial. Panko v. Flintkote Co.,
7 N.J. 55, 61
(1951). A jury's verdict must be "based solely on legal evidence
. . . and entirely free from the taint of extraneous
considerations and influences." Ibid.; accord State v. Bey II,
supra, 112 N.J. at 75; State v. Corsaro, supra, 107 N.J. at 348.
Thus, any irregularity is presumptively prejudicial. State v.
Corsaro, supra, 107 N.J. at 346 (citation omitted); State v.
Auld,
2 N.J. 426, 432 (1949). The prejudicial impact of juror
misconduct of the magnitude involved in this death penalty case
is virtually irrebuttable. A new death penalty trial is
required.
Next we address defendant's argument that the trial court
erred in submitting the "murder-to-avoid-apprehension"
aggravating factor to the jury because there was insufficient
evidence to support a finding that the factor existed. See
N.J.S.A. 2C:11-3c(4)(f). Defendant insists that the testimony of
Christopher Forston was direct evidence that the victim was shot
because she would not cooperate. That same argument was rejected
in State v. Hightower, supra, 120 N.J. at 420.
The murder-to-avoid apprehension factor focuses on the
reason that a defendant killed his or her victim. It requires
proof that "[t]he murder was committed for the purpose of
escaping detection, apprehension, trial, punishment or
confinement for another offense committed by the defendant or
another." N.J.S.A. 2C:11-3c(4)(f). The fact that a murder
occurs contemporaneously with the witnessed underlying crime does
not mitigate the evil of killing a potential witness. State v.
Hightower, supra, 120 N.J. at 421. As this Court held, that
aggravating factor may be submitted to the jury when
the State has produced sufficient evidence on which a
jury can reasonably conclude that at least one of the
motives of the defendant in killing his or her victim
was to eliminate a witness or avoid subsequent
apprehension and prosecution for criminal acts. Such
evidence may be either direct or circumstantial.
[State v. Martini, supra, 131 N.J. at 282-83 (emphasis
added); accord State v. DiFrisco, supra, 137 N.J. at
501.]
Applying that standard to the evidence produced by the State in the present case, we hold that the trial court properly found that there was sufficient evidence on which the jury could conclude that at least one of the motives for defendant's killing of the victim was to eliminate a witness or avoid apprehension. The following evidence bolstered a finding that the c(4)(f) aggravating factor existed: (1) after entering the store, defendant waited for the few customers inside to leave before committing the crime; (2) defendant turned the store sign from "open" to "closed" after all of the customers had exited the store to preclude other customers from entering; (3) defendant
fired the first shot within inches of the victim's heart; (4)
defendant fired the second shot after the victim began to holler;
(5) defendant fired the third shot into the victim's brain; and
(6) the robbery was committed during the day. Although we do not
reject the possibility that one of the reasons defendant shot the
victim may have been because he had become angry and frustrated
due to her lack of cooperation, we find a substantial rational
basis in the evidence for a reasonable jury also to infer that
the defendant shot the victim so she would not live to testify as
a witness against him or to assist the State in apprehending and
prosecuting him.
We do, however, agree with defendant's argument that the
jury charge on the c(4)(f) aggravating factor was insufficient in
light of the c(4)(g) felony murder aggravating factor. We need
not, however, address the issue of whether the charge was so
deficient as to require reversal. On the retrial, the trial
judge must properly instruct the jury regarding this aggravating
factor. Further, we remind trial courts that when essentially
the same evidence is used to support both the c(4)(f) and c(4)(g)
aggravating factors, the guidelines set forth in Bey II must be
followed and the jury must be warned not to double count
evidence. State v. Hightower, supra, 120 N.J. at 422; see State
v. Rose,
112 N.J. 454, 526-27 (1988); State v. Bey II, supra, 112
N.J. at 174-77.
We vacate defendant's death sentence and remand to the Law
Division for a new penalty trial.
JUSTICES POLLOCK, GARIBALDI and STEIN join in JUSTICE
COLEMAN'S opinion. JUSTICE HANDLER has filed a separate opinion
concurring in part and dissenting in part, Point I of which
JUSTICE O'HERN joins.
SUPREME COURT OF NEW JERSEY
A-
22 September Term 1995
THE STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
JACINTO K. HIGHTOWER,