State v. Allen James
Case Date: 06/20/1996
Docket No: SYLLABUS
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(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 March 11, 1996 -- Decided June 20, 1996
GARIBALDI, J., writing for a unanimous Court.
On August 6, 1991, Mohamed Abaza was driving his car in Paterson around noon when he
approached a man waving by a stop sign. When Abaza stopped his car, the man walked to the driver's side
window and pulled a handgun. The man demanded that Abaza exit the car, which he did. As the gunman
was getting into the car, a second man entered the passenger's side.
Abaza described the men in detail to the police. He purportedly identified both men through police
photograph books. One of the men, Luis Vincent, was the passenger. Abaza identified a Malcolm Johnson
as the driver.
The police located Vincent, who volunteered that he had been with Allen James, not Malcolm
Johnson. Two weeks later, Abaza notified the police that he was no longer positive that Malcolm Johnson
was the gunman. Abaza later visited the police station to look through some more photographs. When he
arrived, Allen James was seated in the room. The police told Abaza that a new suspect had been arrested
and that he was in the room. Abaza quickly picked James's photograph out as the gunman.
James and Luis Vincent were indicted for robbery. James moved to suppress Abaza's out-of-court
identification and any in-court identification arising therefrom. The trial court granted the motion. Luis
Vincent entered into a plea agreement with the State and agreed to testify against James.
At trial, Abaza identified Vincent as the passenger. On cross-examination, defense counsel asked
the victim to describe the gunman. The State objected. The trial court determined that if James's attorney
opened the door to the identification issue, the State could introduce the otherwise-excluded evidence of the
victim's prior identification. Defense counsel withdrew the question.
James was convicted of robbery. He was sentenced to an extended term of thirty years in prison
with a twelve-year parole disqualifier. He appealed. The Appellate Division affirmed, and the Court granted
James's petition for certification.
HELD: Once a defendant seeks to introduce misidentification testimony after the trial court has determined
that the identification process was impermissibly suggestive and that the victim's identification of the
defendant was patently unreliable, the trial court must not allow the jury to have unlimited access to
the suppressed evidence as part of the State's rebuttal testimony.
1. The trial court and the Appellate Division relied on a 1979 federal case (Pettijohn v. Hall) in holding that
although defendant had the right to question a witness about a misidentification, when that testimony was
intimately interrelated with previously suppressed testimony, defendant waived his right keep that testimony
from the jury. (pp. 8-14)
2. Other jurisdictions have decided cases with similar issues under the "opening the door" doctrine. This
doctrine allows a party to elicit otherwise inadmissible evidence when the opposing party has made unfair
prejudicial use of related evidence. (pp. 14-25)
3. The trial court committed reversible error by forcing defendant to choose between his right of
confrontation and his right to have an unreliable identification suppressed. Once the trial court determined
that the victim's identification of defendant was "patently unreliable," it was error to conclude that the jury
would be able to consider the evidence for substantive purposes. Defendant had a right to introduce the
victim's testimony to establish that another person had been identified as the gunman and that the
description did not match defendant. (pp. 25-26)
4. Although the State correctly argues that it should be permitted to introduce rebuttal evidence on the issue
of misidentification, the trial court erred in not limiting the evidence that could be used. In this case, the
defendant was erroneously required to trade one constitutional protection for the ability to exercise another
constitutional right. (pp. 26-29)
The judgment of the Appellate Division is REVERSED and the matter is REMANDED to the Law
Division for a new trial.
SUPREME COURT OF NEW JERSEY
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
ALLEN JAMES,
Defendant-Appellant.
Argued March ll, l996 -- Decided June 20, 1996
On certification to the Superior Court,
Appellate Division.
Steven M. Gilson, Designated Counsel, argued
the cause for appellant (Susan L. Reisner,
Public Defender, attorney).
Terry S. Bogorad, Assistant Prosecutor,
argued the cause for respondent (Ronald S.
Fava, Passaic County Prosecutor, attorney).
The opinion of the Court was delivered by
GARIBALDI, J. This appeal concerns the scope of defendant's Sixth Amendment right to confront a witness and defendant's Fifth Amendment due process right to prohibit the introduction into evidence of an identification that resulted from impermissibly suggestive police procedures. Specifically, the issue is whether the trial court erred in ruling that defendant would waive his
objection to the victim's suppressed identification of him if he
questioned the victim about his earlier misidentification of
defendant or about his description of the perpetrator. At approximately 12:00 p.m. on August 6, 1991, Mohamed Abaza was driving his car in Paterson on the way to the unemployment office. He was driving alone with his windows down. As Abaza's car approached a stop sign at an intersection, a man waved for him to stop. When Abaza stopped his car, the man walked toward the driver's side window. The culprit then pulled out a handgun, pointed it at Abaza's left shoulder, and demanded that he exit the car. Abaza immediately got out of the vehicle, and the man wielding the gun entered the driver's side of the automobile. Abaza testified that while the gunman was making his way into the driver's seat, a second man entered the passenger side of the vehicle. The two assailants then drove off in Abaza's car. At trial, Abaza testified that he was able to see the faces of both assailants clearly. Immediately after the assailants fled, Abaza walked across the street to a pay phone and called the police. The police arrived on the scene within an hour. The victim explained to the officers what had transpired. At the time, he described the man wielding the gun as being 5'11", thin, approximately thirty-years old, and having short, cropped hair. After some brief questioning, the police invited Abaza to go with them to the station to look through some photograph books in order to identify the assailants.
When they arrived at the police station, the officers
provided Abaza with a few photograph books to review. After
examining the books, the victim purportedly identified both
perpetrators. He identified a photograph of Luis Vincent as a
picture of the person who entered his car on the passenger side
and a photograph of Malcolm Johnson as a picture of the person
who pointed the gun at him. At the time, Abaza told the police
that he was 110" sure about the identifications that he had made.
station to make the identification, he was seated twenty-five to
thirty feet away from defendant. In fact, the victim admits to
having seen defendant seated in the corner of the room when he
entered the detective bureau. Moreover, when Abaza arrived at
the detective bureau, he was told that the police had conducted
an investigation and that Malcolm Johnson, the man whom Abaza had
previously identified as the carjacker, could not have been the
culprit. He was also informed that the police had arrested
another suspect and that the new suspect was present in the
detective bureau. The police gave this information to the victim
minutes before they presented the victim with a collection of ten
photographs of black males, one of which included defendant,
Allen James. Abaza picked out defendant's photograph as the
picture of the man who pointed the gun at him and asked him to
exit the car.
procedures were impermissibly suggestive and that there were not
sufficient indicia of reliability to outweigh the corrupting
effect of the suggestive identification.
agreement with Vincent, the State dismissed the robbery charge
and stipulated that when it made a recommendation at his
sentencing hearing, it would consider his undertaking to testify
truthfully at defendant's trial.
The State's other major witness was Luis Vincent, who
testified that he saw defendant flag down the victim and then
proceed to enter the victim's vehicle. During the direct
examination, the State asked Vincent why he entered Mr. Abaza's
car and how he knew defendant was going to take the car by
unlawful means from its owner. Vincent responded that he got in
the car for a ride and that he knew defendant "was up to
something." When the State asked Vincent the basis for his
answer, he responded, "He's that kind of person." Defense
counsel objected to Vincent's answer as being speculative, and
the State withdrew the question. The trial court, however, did
not issue an instruction to the jury about how it should treat
that question or that answer.
Defendant appealed and the Appellate Division affirmed his
conviction and sentence. We granted defendant's petition for
certification,
142 N.J. 570 (1995), and now reverse. Defendant argues that he was denied his right of confrontation because the trial court erroneously ruled that defendant would waive his objection to the suppressed identification if defendant questioned the victim about his earlier misidentification or about his description of the perpetrator. After the Wade hearing, defense counsel informed the court that she planned to present evidence regarding the victim's initial identification of Malcolm Johnson as the perpetrator as well as the description of the perpetrator that the victim gave to the police immediately after the crime. The prosecutor indicated that he would respond to the introduction of such evidence by attempting to present evidence of the victim's subsequent identification of defendant as the culprit. The trial court refused to issue a ruling during the pretrial hearing and instead told defendant's counsel to raise the issue during the trial. Just before the trial began, defense counsel again requested a ruling on whether she could cross-examine the victim about his identification of Malcolm Johnson as the perpetrator. In response, the trial court drew counsel's attention to Pettijohn v. Hall, 599 F.2d 476, 481 (1st Cir.), cert. denied, 444 U.S. 946, 100 S. Ct. 308, 62 L. Ed.2d 315 (1979), in which the court
observed that a defendant who introduces testimony that is
intimately related with previously suppressed testimony will be
deemed to have waived his objection to the introduction of that
suppressed testimony. This exchange then followed:
[The Court]: Well, I suggest that when we
reach that point in the case, you ask the
question and I'll make a ruling. During the cross-examination of Abaza, the suppression issue arose again when defense counsel asked Abaza to give a physical description of the assailant who flagged him down and subsequently pointed a gun at him. Before the victim could respond, the prosecutor asked for a sidebar conference. Outside the presence of the jury, the State argued that if defense counsel were allowed to inquire into the description that the victim provided to the police on the day of the crime, then under Pettijohn, supra, the State should be allowed to introduce evidence that during the course of the investigation the victim did in fact identify defendant as the culprit. Defense counsel responded that she did not intend to question the victim about the identification of Malcolm Johnson because of her concern that she would open the door to redirect about the suggestive identification. Rather, she wanted the jury to hear how the victim's description of the assailant did not match the officer's description of defendant when he was arrested only weeks after
the crime. After listening to both parties, the trial court
stated:
Certainly if you want to ask all the
questions of the witness as to what
description he gave of the person who came to
the driver's side with the gun, if you want
to pursue questioning of the witness as to
whether or not he selected a photo on that
very day of a person who was Malcolm Johnson,
you may do so as a method of challenging the
identity of Mr. James in this case, who I
understand will later be identified by Mr.
Vincent.
But under the Petti[john] case if the State
wants to go further on redirect examination,
it appears that there's strong potential for
that for what ultimately happens so the jury
has the full panoply of what took place by
way of identification of the individual with
the gun.
In response to the trial court's ruling, defense counsel withdrew
her question regarding the victim's description of his assailant.
The State, however, argues that defendant ignores the legal
principle that the State is entitled to a fair trial in which
defendant complies with established rules of procedure and
evidence (citing Chambers v. Mississippi,
410 U.S. 284, 302,
93 S. Ct. 1038, 1049,
35 L. Ed.2d 297, 313 (1973)). According to
the State, the right to elicit testimony that someone else
committed an offense does not carry with it a corresponding right
to restrict rebuttal testimony, and therefore the introduction of
that type of evidence by defendant waives his objections to
otherwise inadmissible evidence (citing Pettijohn, supra,
599 F.2d 476; State v. Bogus,
223 N.J. Super. 409, 422-23 (App.
Div.), certif. denied,
111 N.J. 567 (1988); State v. Samurine,
47 N.J. Super. 172, 180 (App. Div. 1957), rev'd on other grounds,
27 N.J. 322 (1958)).
While walking through the company parking lot, Smith was
approached by a man holding two handguns. The man demanded that
Smith give him money. The next day, Smith picked out a picture
of Pettijohn from a group of nine police photographs and
identified him as the robber. Ibid.
counsel argued that he wished to call Griffin for the purpose of
showing his identification of a person other than the defendant
and for the purpose of impeaching Smith's identification. The
trial court, the State appellate courts, and the federal district
court all ruled that the testimony was inadmissible because the
identification was neither material nor relevant. Ibid.
suppressed testimony, the defendant waives his objections to the
introduction of the related evidence." Id. at 481. Because the
prosecution would be able to introduce the subsequent retraction
and identification on cross-examination, the First Circuit
reasoned that the jury would receive a full and balanced
rendition of the facts. Ibid. Without such rebutting evidence,
the First Circuit believed the jury might be unduly influenced by
Griffin's initial selection of the wrong photograph. However,
the First Circuit noted that if the suppressed identification had
been patently unreliable, then it would be inappropriate to allow
the identification to be used in rebuttal. Id. at 481. In the
present matter, the lower courts appear to have ignored the First
Circuit's statements with respect to the admissibility of
unreliable identifications. There is no New Jersey case law directly on point. The few New Jersey cases that the State refers to in support of its position, namely, State v. Knight, 63 N.J. 187 (1973); State v. Sette, 259 N.J. Super. 156 (App. Div.), certif. denied, 130 N.J. 597 (1992); and State v. Downey, 237 N.J. Super. 4 (App. Div. 1989), certif. denied, 121 N.J. 627 (1990), do not support the proposition for which they are cited. In those cases, the courts were asked to interpret basic evidence law. The defendants objected to the introduction of evidence that they believed was either (l) more prejudicial than probative, (2) irrelevant, or (3) inadmissible hearsay under the New Jersey Rules of Evidence.
The courts found otherwise. However, in all three cases the
trial courts had discretion over whether or not to admit the
evidence in question. When the basis for a defendant's objection
is within the discretion of the trial court, we have consistently
interpreted this State's rules of procedure and evidence to
permit the State to rebut testimony elicited by defense counsel
and to permit the trial court to determine the admissibility of
the rebuttal testimony. State v. Sturdivant, 3l N.J. l65, l77-78
(l959), cert. denied,
362 U.S. 956,
80 S. Ct. 873,
4 L. Ed.2d 873 (l960); State v. Beard, l
6 N.J. 50, 59 (l954). Several state and federal courts have considered whether, when a defendant puts a witness's identification in issue, the prosecution should be allowed to explore in rebuttal pretrial identifications that would otherwise be inadmissible because of constitutional violations. Those courts often base their
decisions on the doctrines of "opening the door," "completeness,"
and "curative admissibility." Although courts use those
doctrines interchangeably, there are subtle differences between
them.
doctrine of "completeness" the party calling the witness is
allowed to elicit on redirect examination "the whole thereof, to
the extent it relates to the same subject matter and concerns the
specific matter opened up." Virgin Islands v. Archibald,
987 F.2d 180 (3d Cir. 1993) (citation omitted); cf. N.J.R.E. 106
(specifying similar rule applicable only to writings and
recorded statements). The theory behind the doctrine of
completeness is "that the opponent, against whom a part of an
utterance has been put in, may in his turn complement it by
putting in the remainder, in order to secure for the tribunal a
complete understanding of the total tenor and effect of the
utterance." 7 Wigmore on Evidence, § 2113, at 653 (Chadbourn
rev. 1978). However, the doctrine of completeness does not apply
to separate utterances. 7 Wigmore on Evidence § 2119 (Tillers
rev. 1983). In the present matter, because the victim's
description of the perpetrator and initial identification were
separate utterances unrelated to the later identification of
defendant, the doctrine of completeness technically does not
apply.
that prejudice. Ibid. Many courts confuse the doctrine of
curative admissibility with the doctrine of "opening the door."
They fail to recognize that the former doctrine applies only when
a party introduces inadmissible evidence. In the present matter,
because the State does not argue that the testimony that
defendant would have elicited from the victim concerning his
description or prior misidentification is inadmissible evidence,
the doctrine of curative admissibility technically does not
apply.
During the trial, the defendant, on direct examination,
presented an alibi defense. He testified that he had never seen
the victim until the date of the preliminary hearing. That was
obviously false, because the victim had identified the defendant
at an unconstitutional lineup. Ibid. The prosecutor argued that
the defendant's reference to the preliminary hearing opened the
door for rebuttal testimony by the victim concerning the out-of-court identification. Id. at 1230. The trial court, with
express misgivings, permitted the victim to testify about the
lineup at the police station. After the defendant was convicted,
the trial judge reconsidered his ruling. He concluded that the
admission of the rebuttal testimony, though erroneous, was not
prejudicial error. Id. at 1241.
evidence." California Ins. Co. v. Allen,
235 F.2d 178, 180 (5th Cir. 1956).
The D.C. Circuit declared that in view of the constitutional
rights involved, a trial court must be particularly careful in
permitting the use on rebuttal of pretrial identifications that
are otherwise inadmissible because of constitutional violations.
Ibid. "In a case of constitutionally-grounded exclusion, there
is a requirement of clear showing of prejudice before the open-the-door rule of rebuttal may be involved." Ibid. The panel
then concluded that the possibility of prejudice from the
defendant's testimony about when he first saw the victim was
minimal, and did not justify the prejudice of admitting rebuttal
testimony that established a viewing that occurred in violation
of the defendant's constitutional rights. The D.C. Circuit
declared that the trial court's error could not be considered
non-prejudicial beyond a reasonable doubt. Id. at 1242.
the district court granted the defendant's motion to suppress the
photographic identifications because the photographic montage was
shown to be impermissibly suggestive. Ibid. The defense did not
attempt to suppress the lineup confrontation, presumably because
one of the witnesses picked a person other than the defendant
during the lineup. Ibid.
supra, 447 F.
2d at 1240; United States v. Clark,
294 F. Supp. 44
(D.D.C. 1968)).
However, six months later, the victim identified the defendant in
a lineup. Id. at 305. The defendant made a pretrial motion to
suppress any testimony regarding the lineup and any in-court
identification resulting therefrom, arguing that the lineup was
impermissibly suggestive. The trial court agreed and suppressed
any out-of-court or in-court identification by the victim. Ibid.
the court did not believe that such an inquiry would open the
door to the State inquiring into other identifications on
redirect examination. The court stated: The New Hampshire Supreme Court then determined that the trial court's ruling constituted reversible error. In reaching that conclusion, the court emphasized two points: (1) an accused has a constitutional right to cross-examine witnesses to impeach their credibility; and (2) the defendant's right to due process of law protects him from the introduction of evidence of an identification ruled unreliable because it resulted from impermissibly suggestive police procedures. Because the court found that the trial court's ruling had, in effect, forced the defendant to relinquish his fundamental right to cross-examination in order to protect his right to due process of law, it held that the error was not harmless. The court reiterated its belief that "'[t]o require a person to surrender one constitutional right in order to gain the benefit of another is
simply intolerable.'" Ibid. (quoting Opinion of the Justices,
431 A.2d 144, 151 (N.H. 1981)). In the present matter, the trial court similarly committed reversible error by forcing defendant to choose between his right of confrontation and his right to have an unreliable identification suppressed. "[R]eliability is the linchpin in determining the admissibility of identification testimony." Manson, supra, 432 U.S. at ll4, 97 S. Ct. at 2253, 53 L. Ed 2d at l54. After applying the Manson, supra, two-prong test to determine the admissibility into evidence of an eyewitness's identification, the trial court determined that the police procedures used were so impermissibly suggestive that there existed a "very substantial likelihood of irreparable misidentification." Thus, the trial court took the unusual step of ruling that both the victim's out-of-court and in-court identifications were inadmissible. Once the trial court determined that the victim's identification of defendant was patently unreliable, it was error for the court to conclude that the jury would be able to consider such evidence for substantive purposes. If the State were permitted to elicit testimony regarding the identification of defendant, it would have left the jury with the impression that the victim could positively identify defendant when in reality the trial court determined that the identification was unreliable.
Although truth is a fundamental goal of our legal system,
"various constitutional rules limit the means by which government
may conduct this search for truth, in order to promote other
values embraced by the Framers and cherished through our Nation's
history." James v. Illinois,
493 U.S. 307, 311,
110 S. Ct. 648,
__,
107 L. Ed.2d 676, 682 (1989). In his concurrence in James,
supra, Justice Stevens observed that "In sum, our cases show that
the introduction of testimony contrary to excluded but reliable
evidence subjects the testimony to rebuttal by that evidence."
Id., 493 U.S. at 324, ll0 S. Ct. at ___, l07 L. Ed.
2d at 69l
(Stevens, J., concurring) (emphasis added). On occasion, our
commitment to preventing the State from presenting unreliable or
illegally obtained evidence has meant that a defendant's
misrepresention of the facts of his case would not be subject to
rebuttal. For example, in State v. Davis,
67 N.J. 222 (1975),
cert. denied,
425 U.S. 943,
96 S. Ct. 1684,
48 L. Ed 2d (1976),
we reversed a conviction for armed robbery, holding that a
voluntary statement of the defendant taken in violation of
Miranda could not be used to rebut the testimony of an alibi
witness. Although it is important to promote the fact-finding
goals of criminal trials, we should not do so at the expense of a
defendant's due process rights.
attempted to establish a sound defense by introducing evidence
supporting an alternative rendition of the facts. The victim's
initial choice of someone else's photograph suggests that some
other person may have been the perpetrator. "Selection of the
picture of a person other than the accused . . . will be useful
to the defense in precisely the same manner that the selection of
a picture of the defendant would be useful to the prosecution.
United States v. Ash, 4l
3 U.S. 300, 3l8-l9,
93 S. Ct. 2568, __,
37 L. Ed.2d 619, 632 (l973). Evidence that someone other than
defendant was identified as the perpetrator is highly relevant to
the issue of defendant's guilt, and thus the exclusion of such
exculpatory evidence infringes on the fundamental right of an
accused to present witnesses in his own defense. Pettijohn,
supra, 599 F.
2d at 480; accord Washington v. Texas, 388 U.S. l4,
l9, 87 S. Ct. l920, l923, l
8 L. Ed 2d l0l9, 1023 (1967). That
right gains enhanced importance when the evidence is critical to
an accused's defense. Chambers, supra, 4l0 U.S. at 302, 93 S.
Ct. at __, 35 L. Ed.
2d at 312-13.
place by way of identification of the individual with the gun."
The doctrine of opening the door can be used only to prevent
prejudice; it cannot be subverted into a rule for injection of
prejudice. Winston, supra, 447 F.2d at l240. By not carefully
limiting the State's use of the suppressed evidence, the trial
court created a situation that forced defendant to choose between
his right to cross-examination and his due process right to be
protected from the introduction of unreliable identification
evidence. See Avant v. Clifford,
67 N.J. 496, 539 (l975).
Requiring defendant to trade one constitutional protection for
the ability to exercise another constitutional right was error.
Instead, the court should have allowed the State to explore, in
rebuttal, limited amounts of the suppressed evidence.
that the victim made a reliable identification of another person
as the culprit. Permitting such limited redirect examination
would have removed any unfair prejudice that might otherwise have
ensued from defendant's cross-examination of the victim, without
injecting inadmissible evidence into the trial. Because we reverse defendant's conviction, we need not reach the issue whether Luis Vincent's testimony that he knew defendant intended to take the car because "he's that kind of person" constitutes reversible error. We observe, however, that because Vincent's statement implied that defendant had a propensity to commit crimes, the trial court should have explained to the jury
the effect of the State's withdrawing the question and provided
the jury with a curative instruction. CHIEF JUSTICE WILENTZ and JUSTICES HANDLER, POLLOCK, O'HERN, STEIN, and COLEMAN join in JUSTICE GARIBALDI's opinion.
NO. A-106 SEPTEMBER TERM 1995
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
ALLEN JAMES,
Defendant-Appellant.
DECIDED June 20, 1996
Footnote: 1 United States v. Wade, 388 U.S. 218, 87 S. Ct. 1926, 18 L. Ed.2d 1149 (1967).
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