State v. Bruce Wallace
Case Date: 11/13/1996
Docket No: SYLLABUS
|
(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 September l0, l996 -- Decided November 13, 1996
Handler, J., writing for a unanimous Court.
In this opinion, the Court addresses the issue of the quantum of deference to be afforded the
discretionary prosecutorial decision concerning the refusal to dismiss criminal charges and the refusal to admit
a criminal defendant into a pre-trial intervention program.
The facts leading to the denial of respondent's application to the Pre-trial Intervention Program (PTI)
are simple. On June 5, l993, defendant Bruce Wallace, an attorney and Cherry Hill councilman, arrived at the
home of his former girlfriend, Paula Stewart, with a loaded .357 Smith & Wesson handgun. During their
encounter, Wallace produced the gun and informed Stewart that he had come to kill first her and then himself.
However, Wallace became teary-eyed, put down the gun and told Stewart that he could never do anything to
harm her. He then unloaded the weapon.
When Stewart reported the June 5th incident to the Voorhees Township Police Department, Wallace
was arrested and charged with second degree possession of a firearm for an unlawful purpose, in violation of
N.J.S.A. 2C:39-4(a), and making terroristic threats, a crime of the third degree, in violation of N.J.S.A. 2C:12-3.
Shortly after bail was set, Wallace entered Hampton Hospital for inpatient treatment, where he was diagnosed
as suffering from major depression with certain biochemical deficiencies
On September 2, 1993, Wallace filed an application for admission to the Camden County pre-trial
intervention program, maintaining that his criminal behavior was related to his depression. That application was
denied. In her letter denying Wallace's application, the assistant prosecutor relied on a prosecutorial guideline
that discourages PTI for defendants charged with either first or second degree offenses. The assistant prosecutor
further noted that Wallace was charged with acts committed with violence or the threat of violence.
By motion, Wallace appealed the prosecutor's decision in the Superior Court, Law Division. The trial
court ruled that Wallace had not met his burden of demonstrating that the prosecutor had committed a patent
and gross abuse of discretion and denied the motion.
On January 20, l994, Wallace pled guilty to third-degree unlawful possession of a handgun without a
permit, contrary to N.J.S.A. 2C:39-5b. Wallace reserved his right to appeal the prosecutor's rejection of his PTI
application. He was sentenced to three years probation with several conditions.
Following his sentencing, Wallace appealed the trial court's decision. The Appellate Division reversed
the decision of the trial court and remanded the case to the prosecutor. The Supreme Court granted the State's
petition for certification.
HELD: The assistant prosecutor's evaluation and denial of defendant's application for admission to the Pre-trial
Intervention Program did not amount to a clear error of judgment.
2. Although the prosecutor's discretion is not unbridled, in order for a court to overrule the prosecutor's
refusal to sanction admission into the program and to order a defendant admitted to PTI, a defendant must
clearly and convincingly establish to a reviewing court that the prosecutor's decision was based on a patent and
gross abuse of discretion. A patent and gross abuse of discretion is one that has gone so wide of the mark
sought to be accomplished by PTI that fundamental fairness and justice require judicial intervention. (pp. 6-7)
3. A defendant may persuade a court to vacate a PTI rejection and remand to the prosecutor for reconsideration
on a lesser showing. Specifically, the defendant need only show that the prosecutor's decision was arbitrary,
irrational, or otherwise an abuse of discretion and that a remand will serve a useful purpose. (pp. 7-8)
4. Absent a demonstration by the defendant to the contrary, a prosecutor must be presumed to have considered
all relevant factors. A reviewing court's scrutiny of the prosecutor's PTI decision is generally limited to the
justification contained in the statement of reasons. (p. 9)
5. Although the Legislature has highlighted several factors for the prosecutor or program director to consider,
it clearly intended to leave the weighing process to the prosecutor or program director. Moreover, while the PTI
guidelines set forth in R. 3:28 represent a somewhat greater attempt to channel prosecutorial discretion than
the statute, in the end, it is the prosecutor's responsibility to weigh the various factors and to reach a
determination. It remains the obligation of the judiciary to check those instances where the prosecutor has so
inappropriately weighted the various considerations so as to constitute a clear error in judgment. (pp. 10-12)
6. A subsequently negotiated non-custodial sentence does not retrospectively impugn the soundness of a previous
prosecutorial decision that criminal prosecution, rather than pretrial diversion, is appropriate. To permit such
a line of attack would unfairly undermine an otherwise well-founded decision to deny PTI, would seriously
inhibit the prosecutor's discretion and would discourage efforts by the State to enter into a negotiated plea
agreement that attempts to accommodate a defendant's condition. To the extent that State v. Fitzsimmons,
291 N.J. Super. 375 (App. Div.), cert. denied __ N.J. __ (1996), endorses a different standard, it is disapproved. (p.
15)
7. The Appellate Division failed to view the prosecutor's decision through the filter of the highly deferential
standard of review. The level of deference to be given a prosecutor's PTI decision is so high that it has been
categorized as 'enhanced deference' or 'extra deference.' (pp. 15-16)
The judgment of the Appellate Division is REVERSED.
JUSTICES POLLOCK, O'HERN, GARIBALDI, STEIN and COLEMAN join in JUSTICE
HANDLER's opinion. CHIEF JUSTICE PORITZ did not participate.
SUPREME COURT OF NEW JERSEY
STATE OF NEW JERSEY,
Plaintiff-Appellant,
v.
BRUCE WALLACE,
Defendant-Respondent.
Argued September 10, 1996 -- Decided November 13, 1996
On certification to the Superior Court,
Jack L. Weinberg, Special Deputy Attorney
Saul J. Steinberg argued the cause for
John E. Adams, Jr., Deputy Attorney General,
Diane Toscano, Assistant Deputy Public
The opinion of the Court was delivered by
HANDLER, J.
In this case, a county prosecutor denied a criminal
defendant's request for admission to a pre-trial intervention
program. The Appellate Division reversed and remanded the case
to the prosecutor for reconsideration.
At approximately 10:20 a.m. on Saturday June 5, 1993, defendant Bruce Wallace, an attorney and Cherry Hill councilman, arrived at the home of his former girlfriend Paula Stewart with a loaded .357 Smith & Wesson handgun. The approximately six-year relationship between defendant and Stewart had formally ended some ten months prior to this date, but the two had occasional contact since that time. As Stewart was preparing to leave for an appointment, defendant produced the gun and informed her that he had come to kill first her and then himself. Defendant was teary-eyed and, after looking at Stewart, realized that he could not do the intended act. He removed the gun and placed it on Stewart's microwave oven, telling her that he would never do
anything to harm her. Defendant subsequently proceeded to unload
the weapon. At no time did defendant point the loaded weapon at
Stewart.
biochemical deficiencies, and he remained in the hospital for
three weeks following his arrest. He was released to the
after-care of Dr. Jeffrey Greenbarg.
Defendant reserved his right to appeal the prosecutor's decision
to reject his PTI application.
We reviewed the history and overall structure of PTI most recently in State v. Nwobu, 139 N.J. 236, 245-49 (1995). See generally Pressler, Current N.J. Court Rules, comment 1 on R. 3:28 (1997). In Nwobu we noted that PTI is [A]n alternative procedure to the traditional process of prosecuting criminal defendants. It is a diversionary program through which certain offenders are able to avoid criminal prosecution by receiving early rehabilitative services expected to deter criminal behavior. PTI is intended to augment the criminal justice system when prosecution would be ineffective, counterproductive, or unnecessary.
PTI was first established by Rule 3:28 in October 1970 as authority for the vocational-service pretrial intervention program operated by the Newark Defendants Employment Project. State v. Leonardis, 71 N.J. 85 (1976) ("Leonardis I"). The Court promulgated guidelines to implement the Rule. In 1979, the Legislature enacted a state-wide pre-trial intervention program as part of the Code of Criminal Justice. See N.J.S.A. 2C:43-12 to -22; State v. Leonardis, 73 N.J. 360 (1977) ("Leonardis II").
Thus, since 1979, PTI has been governed simultaneously by the
Rule and a statute which "generally mirror[]" each other. Nwobu,
supra, 139 N.J. at 245.
A "patent and gross abuse of discretion" is more than just an
abuse of discretion as traditionally conceived; it is a
prosecutorial decision that "has gone so wide of the mark sought
to be accomplished by PTI that fundamental fairness and justice
require judicial intervention." State v. Ridgway,
208 N.J.
Super. 118, 130 (Law Div. 1985) (citation omitted). In State v.
Bender,
80 N.J. 84 (1979), we elaborated on the patent and gross
abuse of discretion standard:
A defendant may persuade a court to vacate a PTI rejection and remand to the prosecutor for reconsideration on a somewhat lesser showing. Dalglish, supra, 86 N.J. at 509-11. If the reviewing court finds that "the prosecutor's decision was arbitrary, irrational, or otherwise an abuse of discretion, but not a patent and gross abuse, and also determines that a remand will serve a useful purpose," id. at 509, it could send the case back to the prosecutor. A remand might serve a useful purpose, for example, where it has been clearly and convincingly shown by a defendant that the prosecutor failed to consider all relevant factors. If such an omission resulted in a decision that
although not clearly subversive to the underlying goals of PTI,
might not otherwise have been reached, a reviewing court could
refer the case to the prosecutor for reconsideration. See, e.g.,
State v. Burger,
222 N.J. Super. 336 (App. Div. 1988) (remanding
PTI rejection to prosecutor where prosecutor failed to consider
defendant's amenability to rehabilitation even though such
failure did not amount to a patent and gross abuse of
discretion). Previously we have explained that the relatively
low threshold for judicial intervention in these circumstances is
acceptable because "[t]hese instances raise issues akin to
questions of law, concerning which courts should exercise
independent judgment in fulfilling their responsibility to
maintain the integrity and proper functioning of PTI as a whole."
Dalglish, supra, 86 N.J. at 510. It is unlikely, on the other
hand, that a remand would serve a useful purpose if the
prosecutor's decision was based on appropriate factors but,
clearly and convincingly, amounted to a plain error of judgment
equivalent to a patent and gross abuse of discretion. In that
situation it is usually appropriate for a court directly to order
admission to PTI.
statutes, rules, and guidelines."). The statement of reasons
serves four primary purposes: (a) it facilitates effective
judicial review, (b) it assists in evaluating the success of the
PTI program, (c) it affords the defendant an opportunity to
prepare a response, and (d) it dispels suspicions of
arbitrariness. See Nwobu, supra, 139 N.J. at 249 (citations
omitted). In addition, the requirement that the prosecutor put
his or her thought process on paper tends to protect against the
consideration of inappropriate factors and promotes reasoned
decision-making.
In this case, the Appellate Division reversed the assistant
prosecutor's PTI rejection and remanded the case for her
reconsideration. The issue before this Court is whether there
was sufficient evidence to support the necessary finding that the
assistant prosecutor's decision was arbitrary, irrational or
otherwise an abuse of discretion. See Dalglish, supra, 86 N.J.
at 509 (ruling that ordinary abuse of discretion standard
applicable for remand to prosecutor).
diversion would outweigh the benefits to society). Notably,
nowhere does the statute attempt to instruct the prosecutor on
the relative weight to be assigned these several criteria.
Although the Legislature has highlighted several factors for the
prosecutor or program director to consider, it clearly intended
to leave the weighing process to the prosecutor or program
director.
no inappropriate factors are in the mix. On the contrary, it
remains the obligation of the judiciary to check those instances
where the prosecutor has so inappropriately weighted the various
considerations so as to constitute a "clear error in judgment."
See Leonardis II, supra, 73 N.J. at 376 ("Even if a diversion
decision did not entail the exercise of a 'quasi-judicial power,'
review in this instance would be consistent with the traditional
role which courts have exercised in safeguarding individuals from
abusive governmental action."). See, e.g., State v. Mickens,
236 N.J. Super. 272 (App. Div. 1989) (ordering PTI admission for a
single mother of three young children charged with welfare fraud
where the woman would lose her job if convicted and the woman was
willing to make full restitution); see also State v. Hoffman,
224 N.J. Super. 149 (App. Div. 1988) (ordering PTI for a constable
who mistakenly executed an unsigned writ of replevin and thereby
committed criminal trespass and official misconduct).
suffering from an exclusively mental problem
when he committed the criminal acts and, if
so, whether that condition can be treated.
If this is the case, neither the fact that he
threatened violence nor the fact that the
illness caused him to make threats on other
occasions warrants that he be barred from
P.T.I. altogether. Indeed, if he is curable,
P.T.I. is very much in order especially for a
person with Wallace's otherwise exemplary
prior record, his abilities and his apparent
good standing in the community.
What the Appellate Division seems to be saying is not that
the prosecutor either failed to consider all relevant factors or
that she considered inappropriate factors, but rather that she
failed to assign appropriate weight to the defendant's mental
condition at the time of the offense, and, in addition, that the
facts concerning that mental condition should be further
explored. Indeed, it was and remains the crux of the defendant's
position that the prosecutor focused too narrowly on the nature
of the offense and to the exclusion of the individual
circumstances of the defendant, including the depression he was
suffering at the time of the offense.
In rejecting defendant's application, the assistant
prosecutor considered the submitted information. Her rejection
letter began:
The prosecutor continued:
Despite the fact that your client has no
previous criminal record, he is not an
appropriate candidate for the Program. He
has been under psychiatric care and appears
to be unstable and violent.
As support for her decision, the prosecutor primarily relied on a
prosecutorial guideline that discourages PTI for those defendants
charged with either first or second degree offenses. See R.
3:28, Guideline 3(i). After adding that PTI is also not
recommended for individuals charged with acts committed with
violence or the threat of violence, see R. 3:28, Guideline
3(i)(3), the prosecutor stated that "[y]our client created a
potentially deadly situation. The violent nature of this crime
cannot be disputed. He went there to kill her."
249 (noting presumption that the prosecutor has considered all
relevant factors).
and reached a contrary conclusion. The problem is that the
Appellate Division failed to view the prosecutor's decision
through the filter of the highly deferential standard of review.
See Kraft, supra, 265 N.J. Super. at 111 ("In fact, the level of
deference which is required is so high that it has been
categorized as 'enhanced deference' or 'extra deference.'"
(citations omitted)). The court essentially evaluated the case
as if it stood in the shoes of the prosecutor, whereas it should
have been focused on whether it amounted to an 'arbitrary,
irrational or otherwise an abuse of discretion' for the
prosecutor to have assigned as much weight to the gravity of the
offense as she apparently did in this case.
burdensome form of rehabilitation for the offender.'" (citing
State v. Litton,
155 N.J. Super. 207 (App. Div. 1977)), and
apparently the prosecutor has chosen to do so in this case.
The judgment of the Appellate Division is reversed.
JUSTICES POLLOCK, O'HERN, GARIBALDI, STEIN and COLEMAN join
in JUSTICE HANDLER's opinion. CHIEF JUSTICE PORITZ did not
participate.
NO. A-4 SEPTEMBER TERM 1996
STATE OF NEW JERSEY,
Plaintiff-Appellant,
v.
BRUCE WALLACE,
Defendant-Respondent.
DECIDED November 13, 1996
Footnote: 1 As noted earlier, the patent and gross abuse of discretion is inapplicable in light of the result reached by the Appellate Division. In order to remand the case to the prosecutor as it did, the court need only find that the prosecutor's decision was arbitrary, irrational or otherwise an abuse of discretion.
|