STATE V. NWOBU STATE V. CALLENDER
Case Date: 02/08/1995
Docket No: SUPREMECOURTSYLLABUS
|
(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 October 12, 1994 -- Decided February 8, 1995
O'HERN, J., writing for a unanimous Court.
The central issue in these two appeals is whether prosecutors arbitrarily rejected Daniel Nwobu, James
Callender, Bryan Harris, and James Overby for admission into Pretrial Intervention programs (PTI).
In 1991, a Bergen County grand jury charged Nwobu with second-degree theft by deception. The
indictment alleged that Nwobu stole and forged checks totalling more than $75,000 from his employer, Simon
& Schuster, over a six-week period. After arraignment, Nwobu made application to be admitted to PTI. The
PTI director denied the application.
Nwobu appealed his rejection to the Law Division of Superior Court. Although the Prosecutor opposed
the application, the trial judge ordered that Nwobu be admitted into PTI. The Prosecutor sought leave to appeal
from the Appellate Division but did not seek to stay Nwobu's participation in the PTI program. Leave to appeal
was granted on 9/22/93. Nwobu successfully completed his six-month PTI term and moved to dismiss the appeal
on double-jeopardy grounds. The Appellate Division denied the motion and subsequently reversed the judgment
of the trial court, remanding the case back for further criminal proceedings. The Supreme Court granted
Nwobu's motion for leave to appeal.
On 6/26/90, James Callender, Bryan Harris, and James Overby were at a park in East Orange, drinking
beer and waiting to play basketball. While waiting, one of them threw a "blockbuster," a firecracker with the
power of a one-quarter stick of dynamite. The firecracker was aimed at the basketball court but hit a tree
branch and landed within ten feet of a three-year-old. Although the boy was not physically harmed when the
firecracker went off, he was frightened and cried hysterically.
Following the explosion, Callender, Harris, and Overby were attacked by a crowd of bystanders. Overby
was the only person seriously injured in the brawl. He lost his right eye.
An Essex County grand jury charged Callender, Harris, and Overby with second-degree possession of
a "destructive device" for an unlawful purpose, along with related offenses. Due to the explosive strength of the
"blockbuster," the offense met the definition for a second-degree crime.
The trial court asked the Prosecutor to make an initial determination on PTI as an option for the three
men. The Prosecutor rejected all three. Callender, Harris, and Overby appealed the rejection to the trial court,
which asked the Prosecutor to reconsider his determination and to evaluate the men's respective backgrounds
(none, for example, had any prior criminal history). The Prosecutor did so, but rejected all of them again.
On 11/30/92, the trial court ordered all three men admitted to PTI, concluding that the Prosecutor had
abused his discretion. The Appellate Division affirmed the Law Division, and the Supreme Court granted the
State's motion for leave to appeal.
1. Pretrial Intervention programs (PTI) are governed by statute, Court Rules, and Guidelines. The standards
for review of PTI decisions are firmly established by prior Court decisions. Statements of reasons for PTI
decisions are required of judges, prosecutors, and program administrators. A reviewing court must assume,
absent evidence to the contrary, that the prosecutor's office has considered all relevant factors in reaching the
PTI decision. This presumption makes it very hard to reverse a prosecutor's decision on that basis. (pp. 9-16)
2. Much of the difficulty in the Nwobu case may arise from its complexity. Nwobu has been charged with
participating in a sophisticated form of commercial fraud. The prosecutor relied on the program director's
statement of reasons in rejecting Nwobu for PTI. In the absence of a refinement of the Court's rules governing
a prosecutor's statement, his reliance on the program director did not amount a "patent and gross abuse of
discretion." (pp. 16-18)
3. Nwobu's primary argument against the prosecutor's decision -- that he was guilty of no more than a third-degree offense -- goes to the weight of the evidence of guilt, not necessarily to eligibility for PTI. The question
is not whether the Court agrees or disagrees with the prosecutor's decision, but whether the prosecutor's decision
could not reasonably have been made on a weighing of the relevant factors. In Nwobu's case, the Court will not
disturb the prosecutor's decision. (pp. 18-23)
4. In respect of Callender, Harris, and Overby, the record establishes that the prosecutor considered each man's
individual characteristics. Given the conflicting evidence and the pitfalls of offering a plea or diversion to one
of three actors, the rationale of the prosecutor's decision, though the same in each case, was not arbitrary. In
addition, claims that tossing the firecracker was a simple prank go to the weight of the evidence, which standing
alone is not dispositive of a court's PTI review. (pp. 23-26)
5. Because Nwobu lacked a reasonable expectation of finality in respect of his status when the trial court
ordered him into PTI, double jeopardy provisions do not preclude the State's prosecution of him. (pp. 26-29)
The judgment of the Appellate Division in State v. Nwobu is AFFIRMED. The judgment of the
Appellate Division in State v. Callender, et al. is REVERSED. Both matters are REMANDED to the Law
Division for further criminal proceedings.
CHIEF JUSTICE WILENTZ and JUSTICES HANDLER, POLLOCK, GARIBALDI, and STEIN join
in JUSTICE O'HERN's opinion. JUSTICE COLEMAN did not participate.
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v. (A-40)
DANIEL NWOBU,
Defendant-Appellant.
Plaintiff-Appellant,
v. (A-41)
JAMES CALLENDER, BRYAN HARRIS,
Defendants-Respondents.
Argued October 12, 1994 -- Decided February 8, 1995
On appeal from the Superior Court, Appellate
Division.
Daniel V. Gautieri, Assistant Deputy Public
Defender, argued the cause for appellant
Daniel Nwobu (Susan L. Reisner, Public
Defender, attorney).
Gary A. Thomas, Assistant Prosecutor, argued
the cause for appellant State of New Jersey
(Clifford J. Minor, Essex County Prosecutor,
attorney).
Stuart A. Minkowitz, Assistant Prosecutor,
argued the cause for respondent State of New
Jersey (John J. Fahy, Bergen County
Prosecutor, attorney; Mr. Minkowitz and John
J. Scaliti, Assistant Prosecutor, on the
briefs).
Stephen A. Caruso, Assistant Deputy Public
Defender, argued the cause for respondent
James Callender (Susan L. Reisner, Public
Defender, attorney).
Barbara A. Hedeen, Assistant Deputy Public
Defender, argued the cause for respondent
Bryan Harris (Susan L. Reisner, Public
Defender, attorney; Diane Toscano, Assistant
Deputy Public Defender, on the letter brief).
Donald T. Thelander, Assistant Deputy Public
Defender, argued the cause for respondent
James Overby (Susan L. Reisner, Public
Defender, attorney).
Richard W. Berg, Deputy Attorney General,
argued the cause for amicus curiae, Attorney
General of New Jersey (Deborah T. Poritz,
Attorney General, attorney).
The opinion of the Court was delivered by
Daniel Nwobu is in his early thirties. In 1991 a Bergen County Grand Jury charged him with second-degree theft by deception. The indictment alleged that over approximately a six-week period, he stole and forged checks totalling more than $75,000 from his employer, Simon & Schuster, a major publishing company. After arraignment, he applied for entry into the Bergen County PTI. The PTI director denied the application. He set forth the following reasons for that denial: (1) Defendant failed to offer any compelling reasons to overcome the statutory presumption against pre-trial intervention for second-degree offenders; (2) the prosecutor did not support defendant's PTI application; (3) defendant's conduct was part of a continuing pattern of anti-social behavior; and (4) admission into PTI would fail to serve as a sufficient sanction or deterrent. Defendant appealed to the Law Division, pursuant to PTI Guideline 8 of Rule 3:28, for an order requiring reconsideration of the application or mandating defendant's admission into PTI. The Bergen County Prosecutor wrote a brief letter to defendant's attorney informing him that he opposed defendant's entry into PTI. The letter stated:
The Bergen County Prosecutor's Office
has carefully considered the [PTI]
application of [Nwobu]. We regret to inform
you that this office opposes your client's
entry into the program for the same reasons
as previously stated by the [PTI] Director,
Howard Williams.
Pending further information, the trial court ordered the
prosecutor's office to "reevaluate and reconsider" defendant's
PTI application and submit a written report to the court. The
Prosecutor's office simply replied that the State's position
remained unchanged. On April 30, 1993, the trial court ordered
that defendant be admitted into PTI. However, because the court
knew that the State would appeal, it stayed its ruling pending
completion of a written opinion. In its written decision on
August 5, 1993, the court found that the prosecutor's denial of
defendant's application for PTI was a patent and gross abuse of
discretion because the prosecutor failed to provide a
particularized statement of reasons regarding the rejection of
defendant from PTI. The trial court held that it was
inappropriate for the Prosecutor's office to justify its decision
by simply referring to the reasons offered by the PTI director.
It stayed further prosecution.
the trial court stay defendant's participation in PTI pending the
appeal. The trial court denied that request. After he
successfully completed his six-month PTI term, defendant sought
to dismiss the State's appeal as moot, fundamentally unfair, and
in violation of his double-jeopardy rights.
On June 26, 1990, defendants, James Callender, Bryan Harris, and James Overby, young men in their twenties with no prior criminal histories, were at a park in East Orange drinking beer and waiting to play basketball. Also at the park were Brooklyn Smith, Jr., an off-duty New Jersey State Trooper, and his three-year-old son, Brooklyn Smith, III. While defendants were waiting for a game, one of them threw a "blockbuster," a firecracker with the power of one-quarter stick of dynamite. The firecracker was aimed at the basketball court but struck a tree limb that altered its course, causing it to explode within ten feet of Brooklyn,
III. The boy was not physically harmed, but he was frightened
and cried hysterically after the blockbuster detonated. There is
conflicting evidence about which of the three men threw the
explosive.
option of PTI for defendants. The prosecutor would not consent
to defendants' admission into PTI. He offered the following
reasons in a letter to the court on August 3, 1992:
Defendants appealed the prosecutor's rejection of their
admission into PTI and supplied further information about their
backgrounds to the prosecutor. At that time, defendant Callender
was twenty-seven years old, had graduated from prep school, and
had attended college for a short period of time. He had been
consistently employed since leaving college and also volunteered
his time for community activities. Callender has no criminal
history. Harris was twenty-four years old, married, and
honorably discharged after serving in the Persian Gulf War. He
plans to attend college. Overby was in his late twenties,
unmarried, and unemployed. He has two children that he is
obligated to support financially. Like Callender, neither Harris
nor Overby has a criminal history.
set forth in my letter of August 3, 1992.
* * * While there are certainly positive
aspects to the defendant's background, they
do not, in my view, outweigh the need for
prosecution.
On November 30, 1992, the trial court ordered that
defendants be admitted into PTI, but stayed the order until
December 15, 1992, to allow the State time to appeal. The court
reasoned that the prosecutor abused his discretion by rejecting
defendants' admission into PTI because he did not consider all
the relevant factors and did not evaluate separately each
defendant's amenability to the rehabilitative process. The
Appellate Division affirmed the Law Division decision. It agreed
with the trial court that an abuse of prosecutorial discretion
had occurred.
PTI was first established, with no enabling legislation, by Rule 3:28 in 1970, as authority for the vocational-service pretrial intervention program operated by the Newark Defendants Employment Project. By 1976 the Court had approved programs for twelve counties. Pressler, Current N.J. Court Rules, comment 1 on R. 3:28 (1995). Subsequently the Legislature enacted a
statewide program of pretrial intervention as part of the 1979
Code of Criminal Justice. N.J.S.A. 2C:43-12 to -22. The Code
provisions generally mirrored the procedures and guidelines
previously established under Rule 3:28. Although pretrial
diversion is by its nature part of the prosecutor's charging
function, the statutes, procedures, and guidelines involve the
judiciary in the administration of PTI. As a practical matter,
criminal case management today is a three-part effort involving
prosecutors, courts, and defenders. Our judicial powers
obviously "include the power to review the operation of court
initiated procedures and to review the legal determinations made
pursuant to these procedures." State v. Leonardis,
71 N.J. 85,
109 (1976).
v. Bender,
80 N.J. 84 (1979); State v. Smith,
92 N.J. 143 (1983).
Those standards are generally couched in terms of the
prosecutor's function, although the PTI director has a parallel
involvement in the process. For example, the PTI director
receives confidential information in processing the applications.
The reason for this elevated standard of
review stems from "[t]he need to preserve
prosecutorial discretion in deciding whether
to divert a particular defendant from the
ordinary criminal process. . . ."
Prosecutorial discretion in this context is
critical for two reasons. First, because it
is the fundamental responsibility of the
prosecutor to decide whom to prosecute, and
second, because it is a primary purpose of
PTI to augment, not diminish, a prosecutor's
options. The extreme deference which a prosecutor's decision is entitled to in this context translates into a heavy burden which must be borne by a defendant when seeking to overcome a prosecutorial veto of his admission into PTI. Specifically, "a defendant must `clearly and convincingly establish that the prosecutor's refusal to
sanction admission into [a PTI] program was
based on a patent and gross abuse of his
discretion' before a court [can] suspend
criminal proceedings under R. 3:28 without
prosecutorial consent."
[State v. Kraft,
265 N.J. Super. 106,
criteria for making PTI decisions. R. 3:28. Guidelines 1, 2, 3,
and 8 are relevant to the instant cases.
"(1) part of organized criminal activity; or (2) part of a
continuing criminal business or enterprise;See footnote 1 or (3) deliberately
committed with violence or threat of violence against another
person; or (4) a breach of the public trust * * * ."
We have emphasized the importance of a statement of reasons
accompanying any PTI decision by a judge, prosecutor, or program
administrator. See State v. Leonardis, supra, 71 N.J. at 114-15;
State v. Sutton, supra, 80 N.J. at 116-17; State v. Bender,
supra, 80 N.J. at 94. Such a statement serves four purposes:
(1) It facilitates effective judicial review; (2) it assists in
evaluating the success of the PTI program; (3) it affords the
defendant the opportunity to prepare a response; and (4) it
dispels suspicions of arbitrariness. State v. Leonardis, supra,
71 N.J. at 114-15.
at 94. This presumption makes it very difficult to reverse a
prosecutor's decision on that basis. Applying those principles to Nwobu's case, we must acknowledge at the outset that it was not a textbook example of how to handle a PTI application. Much of the difficulty may arise from the complexity of this particular case. We are not certain that the trial court had the benefit of all the materials that we have received. This case involves a rather sophisticated form of commercial fraud. As we understand the scheme, Nwobu or his confederates set up dummy bank accounts using, for example, the name Simon Printing & Publishing Company to deposit the stolen checks. Using the alias, John Holmes, Nwobu made such illicit bank transactions. Various banks were involved. Surveillance cameras and bank tellers allegedly identified Nwobu as the one involved in the bank transactions. The trial court was fully prepared to conduct the PTI hearing but the assistant prosecutor assigned to the hearing had no familiarity with these facts, even though an assessment of the "facts of the case" is required by N.J.S.A. 2C:43-12e(2). Another prosecutor from the fraud section could not furnish many more specifics. Still, we do not believe that the prosecutor could not adopt the PTI director's reasoning as his own.
None of the four purposes of the statement of reasons
enumerated above is sacrificed when a prosecutor relies on a
director's statement of reasons. First, a defendant is not
inhibited from ascertaining the State's reasons for its decision.
He or she may evaluate the program director's statement of
reasons and respond accordingly. Second, a court can effectively
review the director's statement of reasons to determine whether
an abuse of discretion has occurred. Third, the success of PTI
can still be evaluated because a record of the reasons for denial
of PTI can be found in the director's statement. Fourth,
suspicions of arbitrariness are dispelled as long as the
prosecutor can enunciate principled reasons for his or her
decision to reject a PTI application even if those reasons are
the same as the program director's. As a result, we conclude
that no patent and gross abuse of discretion by the prosecutor
occurred.
Nwobu." But the claims reflecting the weight of the evidence,
standing alone, are not dispositive in the PTI process. State v.
Smith, supra, 92 N.J. at 147.
The PTI director's statement of reasons appears to be adequate. Although the statement does not discuss the defendant's background, it refers to two factors regarding the alleged offense: that it was a second-degree offense and was a part of "a continuing pattern of anti-social behavior." That finding of "a continuing pattern of anti-social behavior" (the factor drawn from N.J.S.A. 2C:43-12e(8)), is not critical to our assessment of the case. Ordinarily that factor or the related
factor of "a continuing criminal business or enterprise" in
Guideline 3(i) is predicated on more long-standing criminal
involvement. The PTI director also states that PTI would not
serve as a sufficient deterrent or sanction. That assertion,
however, is somewhat conclusory. In third- or fourth-degree
offenses the opinions of those in charge of the program as to the
qualitative nature of the offense may serve as guidance.
injustice" exists. State v. Roth,
95 N.J. 334, 358 (1984)
(quoting Fair and Certain Punishment, Report of The Twentieth
Century Fund Task Force on Criminal Sentencing (1976)). Thus, in
State v. Cannon,
128 N.J. 546, 563 (1992), we reasoned that the
Intensive Supervision Program (ISP) was not available for first
and second-degree crimes. (The Legislature has since authorized
ISP for a limited class of first- and second-degree crimes.
N.J.S.A. 2C:43-11.)
discretion is present. The prosecutor or director considered all
relevant factors in making the PTI decision. The trial court was
particularly troubled by the notable lack of preparation by the
prosecutor's office, leading to the conclusion that the
prosecutor had not considered all the relevant factors. Despite
arguments relating to an assistant prosecutor's lack of
preparation for oral argument, there is nothing to show that the
prosecutor's office did not know that defendant had been a law-abiding citizen or was unaware of any other aspect of his
character relevant to a PTI decision. Thus, there was no failure
to consider relevant factors. Because defendant does not claim
that the State relied on irrelevant factors, the second prong of
the test requires no further evaluation.
The concept of a "clear error of judgment" is a familiar one
in the criminal practice. In other contexts we have explained
that an error in applying guidelines to the facts of the case
must be "clearly unreasonable so as to shock the judicial
conscience," State v. Roth, supra, 95 N.J. at 365, before it may
be branded a clear error of judgment. Such an error is one that
"could not have reasonably been made upon a weighing of the
relevant factors." Id. at 366. We seek to avoid the
substitution of appellate judgment for the judgment of the agency
responsible for the function involved, be it prosecutorial or
judicial. The objectives of PTI are spelled out in the Code of
Criminal Justice and the Rules of Court.
second-degree offender but only a minor actor in a larger fraud
committed against the employer. That argument goes to the weight
of the evidence of guilt, not necessarily to eligibility for PTI.
The amount of the theft and the relative time period involved
suggest more than a momentary loss of moral resolve.
Applying the legal principles set forth above to defendants Callender, Harris, and Overby, we reverse the Appellate Division's decision that the prosecutor committed a patent and gross abuse of discretion in rejecting defendants' PTI applications without considering defendants' backgrounds and their individual prospects for rehabilitation. PTI decisions are "primarily individualistic in nature" and a prosecutor must consider an individual defendant's features that bear on his or her amenability to rehabilitation. State v. Sutton, supra, 80 N.J. at 119. That the prosecutor rejected PTI for each of these defendants does not mean that he did not consider the individual features of each defendant.
The record establishes that the prosecutor considered
defendants' individual characteristics. The prosecutor wrote to
each defendant a letter that recited relevant factors regarding
his background and concluded that, despite positive aspects of
his background, the need for prosecution outweighed the benefits
of diversion. The trial court faulted the prosecutor for not
specifying the evidence that he had against the defendants
individually. It reasoned that defendants had the right to be
considered separately, "not only as to their backgrounds but as
to their involvement, and no meaningful review by the Court can
be had where that does not occur." (Emphasis added.) But the
available evidence was in conflict and the State disputed the
trial court's assessment of the evidence that was available.
(The trial court characterized Harris as a "benign intervenor,"
but witnesses at the scene identified Harris as the one who threw
the firecracker.)
The firecracker exploded near the state trooper's child and the
trooper was identified as one of the assailants of Overby,
whether a jury will agree with the prosecutor's assessment of the
facts.
The final issue to be addressed is whether prosecution of Nwobu after his entry into PTI violates double jeopardy. That clause protects defendants from successive prosecutions for the same offense and from multiple punishments for the same offense. North Carolina v. Pearce, 395 U.S. 711, 717, 89 S. Ct. 2072, 2076, 23 L. Ed.2d 656, 664-65 (1969). PTI closely resembles probation, which has been recognized as a criminal sanction. See State v. Watson, 183 N.J. Super. 481, 484 (App. Div. 1982) (after untimely appeal, increase in
probationary sentence that had commenced disallowed). However,
punishment in the form of probation normally follows a finding of
guilt. By its nature PTI is designed to furnish rehabilitative
services in place of the normal criminal findings of guilt. In
any event, we need not resolve whether PTI is a criminal
punishment.
Our Court Rules obviously did not contemplate this situation
(successful completion of PTI while an appeal is pending), and
just as obviously did not contemplate (in the ordinary case) that
a defendant who has successfully completed PTI would still be
subject to prosecution. We recommend that the Criminal Practice
Committee review Rule 3:28 to avoid repetition of these
circumstances. Perhaps the notice of appeal could be served on
the criminal division manager as well as the defendant. In this
case we are satisfied that defendant knew that his admission into
PTI was provisional and contested. The colloquy between court
and counsel seems to indicate that defendant was in the courtroom
when the court made its oral ruling on PTI and said that it
expected the State to appeal. Twelve days after the court signed
an order admitting defendant into PTI, the State did appeal and
served defendant's attorney with a copy of its notice of appeal.
double jeopardy clause, despite the fact that a defendant may
remain incarcerated for up to ten days while the State perfects
its appeal." We reasoned that "[t]he clear and unambiguous terms
of the statute remove any expectation of finality that a
defendant may vest in his sentence * * * ." Ibid. In Nwobu's
case, the trial court stated that an appeal was expected, and on
August 18, 1994--thirteen days after the issuance of the Law
Division's written opinion--the State did move for leave to
appeal that decision and gave notice of its motion to Nwobu's
attorney. It is true that the State did not immediately seek a
stay, but it is also true that the prosecutor was initially
unaware that Nwobu entered PTI.
fundamentally unfair that the appeal process has taken this
course. Thus, we affirm the judgment of the Appellate Division.
The single most important factor in these cases is that the defendants were charged with second-degree crimes. The defendants insist that the prosecutors have arbitrarily turned the degree of the crime into a per se rule against admission. The prosecutors insist that defendants have shown no "compelling reasons" for admission into PTI. Nwobu's case involves a rather sophisticated form of commercial fraud. Against that background, it is not surprising that the prosecutor found no "compelling reasons" for Nwobu's admission into PTI. There is nothing "idiosyncratic" about his background. The trial court was rather poorly served in the presentation of the matter, but there was no patent and gross abuse of discretion by the prosecutor. The cases of Harris, Callender, and Overby are especially troublesome because defendants have made so much progress in their lives. At oral argument counsel for defendants urged that their clients not be condemned to a life of failed employment opportunities because of their criminal records. Striking the proper balance between the retributive and rehabilitative functions of criminal law is very difficult. That decision "lies, in the first instance, with the prosecutor * * * ." State v. Kraft, supra, 265 N.J. Super. at 111. As this case unfolds,
the prosecutor is free to reconsider his decision. We are not
free to substitute our judgment for his.
We reverse the judgment of the Appellate Division in State v. Callender that ordered defendants into PTI. We affirm the judgment of the Appellate Division in State v. Nwobu denying defendant's admission into PTI. We remand both cases to the Law Division for further proceedings. Chief Justice Wilentz and Justices Handler, Pollock, Garibaldi, and Stein join in this opinion. Justice Coleman did not participate.
NO. A-40 SEPTEMBER TERM 1994
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
DANIEL NWOBU,
Defendant-Appellant.
DECIDED February 8, 1995
Chief Justice Wilentz PRESIDING
Footnote: 1N.J.S.A. 2C:43-12e(8) characterizes this factor as "a continuing pattern of anti-social behavior."
|