State v. Hawthorne
State v. Hawthorne
Concurring Opinion
(concurring in result). In Stoelting v. Hauck, 32 N. J. 87, 103 (1960), Justice Proctor pointed to the historic discretion of trial judges “to exclude remotely relevant evidence whose probative value is offset by the danger of undue prejudice.” See also DiNizio v. Burzynski, 81 N. J. Super. 267, 274 (App. Div. 1963) ; Wimberly v. Paterson, 75 N. J. Super. 584, 608 (App. Div.), certif. denied 38 N. J. 340 (1962) ; Miller v. Trans Oil Co., 33 N. J. Super. 53, 59 (App. Div. 1954), affirmed 18 N. J. 407 (1955). The danger is most apparent when dealing with evidence of independent past criminality, for such evidence may well overwhelm the controverted issue of present guilt or innocence and the court’s limiting instructions may well be viewed with skepticism. See State v. Young, 46 N. J. 152, 157 (1965); Note, “The Limiting Instruction—Its Effectiveness and Effect,” 51 Minn. L. Rev. 264 (1966); Note, “Other Crimes Evidence at Trial: Of Balancing and Other Matters,” 70 Yale L. J. 763 (1961); see also United States ex rel. Scoleri v. Banmiller, 310 F. 2d 720, 725 (3 Cir. 1962), certiorari denied Banmiller v. Scoleri, 374 U. S. 828, 10 L. Ed. 2d 1051
The practice of admitting prior convictions for the stated purpose of affecting credibility has been persuasively criticized elsewhere. See McCormick, Evidence 93-94 (1954); 70 Yale L. J., supra, at pp. 774-778; Note, “Procedural Protections of the Criminal Defendant,” 78 Harv. L. Rev. 426, 441 (1964); cf. State v. Holley, 34 N. J. 9, 14, certiorari denied 368 U. S. 854, 82 S. Ct. 89, 7 L. Ed. 2d 51 (1961); State v. Brown, 41 N. J. 590, 591-592, certiorari denied 377 U. S. 981, 84 S. Ct. 1888, 12 L. Ed. 2d 749 (1964). In our own State the subject has been dealt with by statute which, constitutional issues aside, must of course be given recognition. See N. J. S. 2A:81-12. But the statute does not purport to withdraw the traditional discretionary power of the judiciary to exclude remote and unduly prejudicial evidence and until today no court in our State has ever said that it has such effect. It appears to me that the majority construction unwisely places shackles on our trial judges in their conscientious efforts to insure fair trial and do justice and is not dictated either by the statutory language or its history. See Luck v. United States, 121 U. S. App. D. C. 151, 348 F. 2d 763, 767-768 (D. C. Cir. 1965) ; Pedorella v. Hoffman, 91 R. I. 487, 165 A. 2d 721, 724 (1960); see also McCormick, supra, at p. 91 where it is noted that while a pardon does not prevent the use of the conviction to impeach, “most courts hold that lapse of time may have this effect, and that a conviction too remote in time may be excluded by the judge if in his discretion he finds that under the circumstances it lacks probative value.”
Both sections 1 and 3 of the 1874 revision may appropriately be referred to here. Revision 1709-1877, p. 378. Section 3 provided that no person shall be disqualified as a witness by reason of his interest as a party or otherwise, but such interest “may be shown” for the purpose of “affecting his or her credit.” See L. 1859, c. 166. This section has been ap
In Luck v. United, States, supra, the court flatty rejected the Government's contention that Section 305 of the District of Columbia Code, comparable to our statute, left no discretion to exclude evidence of a remote conviction; in the course of its opinion the Court of Appeals said:
“Section 305 is not written in mandatory terms. It says, in effect, that the conviction ‘may,’ as opposed to ‘shall,’ be admitted; and we think the choice of words in this instance is significant. The trial court is not required to allow impeachment by prior conviction every time a defendant takes the stand in his own defense. The statute, in our view, leaves room for the operation of a sound judicial discretion to play upon the circumstances as they unfold in a particular case. There may well be cases where the trial judge might think that the cause of truth would be helped more by letting the jury hear the defendant’s story than by the defendant’s foregoing that opportunity because of the fear of prejudice founded upon a prior conviction. There may well be other cases where the trial judge believes the prejudicial effect of impeachment far outweighs the probative relevance of the prior conviction to the issue of credibility. This last is, of course, a standard which trial judges apply every day in other contexts; and we think it has both utility and applicability in this field.” 348 F. 2d, at pp. 767-768.
It seems unlikely that when the Legislature enacted the 1874 revision it had any notion at all of restricting the court’s discretionary powers on matters of remoteness and the like. Surely its language contains no such intimation nor does its adoption of unrelated statutes such as N. J. S. 2A:164-28 which deals solely with the expungement of criminal records. It may be, as has been suggested, that while many criminal convictions have been admitted to attack credibility, this is the first instance where remoteness was raised by counsel or ruled upon at the trial level. See State v. Hawthorne, 90 N. J. Super. 545 (Essex Cty. Ct. 1966). But that sheds little light and merely serves to illustrate the greater present-day solicitude for the individual and his right to a trial which is fair and impartial. Cf. State v. Young, supra, 46 N. J. 152; State v. Green, 46 N. J. 192 (1965); State v. Jackson, 43 N. J. 148 (1964). That solicitude should be encouraged rather than discouraged and, if the interests of justice are to be truly served by the trial judge, room must be left “for the operation of a sound judicial discretion to play upon the circumstances as they unfold in a particular case.” Luck v. United States, supra, 348 F. 2d, at p. 768.
Though all of the above leads me to dissent from Part I of the majority opinion, I subscribe generally to the procedural discussion in Part II and to the narrow holding that the lower court should not have suppressed the evidence before trial on the showing made before it. I therefore join in the reversal and remand.
Justice Schettino agrees with the views expressed in this opinion.
Jacobs and Schettino, JJ., concur in result.
For affirmance—Hone.
Opinion of the Court
Defendant Hawthorne was indicted for atrocious assault and battery allegedly committed on January 31, 1965. Prior to trial he moved for an order barring the prosecutor from using, on cross-examination at the trial for purposes of attacking his credibility, three previous convictions of crime. The convictions sought to be excluded were: (1) February 1945, larceny of an automobile in Baltimore, Maryland, for which he received a one-year sentence, (2) November 1945, armed robbery in Essex County, New Jersey, for which the sentence was four to seven years in State Prison, (3) 1956, robbery in Bridgeport, Connecticut, where the sentence was four to ten years. (If the last sentence had been served fully, Hawthorne would not have been out of jail when the present offense was committed. How long he had been on the street in January 1965 does not appear. It seems likely, however, that he was on parole at the time. It may be noted also that had he not been released before the end of his term in Maryland, he would not have been in New Jersey to engage in the armed robbery here.) The trial court granted the motion and executed an order suppressing the evidence of the convictions. The reason assigned was that the convictions were too remote to permit their use by the State in cross-examining the defendant at the trial for impeachment purposes. State v. Hawthorne, 90 N. J. Super. 545 (Cty. Ct. 1966). The Appellate Division granted leave to appeal, but before argument there we certified the matter on our own motion.
I
In 1799 the Legislature adopted a statute providing that no person convicted of any one of certain enumerated crimes “shall, in any case, be admitted as a witness, unless he or she be first pardoned * * *” June 7, 1799, Pat. L. p. 401, Revised Laws of New Jersey 1820, p. 462. In 1871 this over-all disqualification was ameliorated. By Chapter 40 of
“For the purpose of affecting the credibility of any witness * * * his conviction of any crime may be shown by examination or otherwise, and his answers may be contradicted by other evidence. * * *”
When defendant’s motion was made to suppress the evidence of his previous convictions of crime, the trial judge felt that the word “may” in the above-quoted portion of the statute (i. e., the defendant’s previous conviction of any crime “may be shown to affect his credibility”) conferred on the courts discretionary power to admit or exclude such evidence. He then pointed ,out that under common law rules of evidence trial judges have authority to exclude proof if they find its probative value is substantially outweighed by the undue prejudice it will inflict upon the party against whom it is directed. (See Rule 4 of proposed rules of evidence, adopted by the Supreme Court on September 14, 1964, and awaiting action by the Legislature). Reasoning from these premises he concluded that the criminal convictions, the last one being about nine years prior to the criminal act pending trial, were too remote and therefore ought to be excluded at the trial because of their great potentiality for visiting a prejudice upon Hawthorne which would he greatly disproportionate to their probative value as an attack upon his credibility.
We cannot agree. In our judgment both the history of the statute and the context in which the word “may” appears refute the idea that the Legislature intended to invest the courts with discretion to admit or exclude evi
The trial judge cited Luck v. United States, 121 U. S. App. D. C. 151, 348 F. 2d 763 (D. C. Cir. 1965), in support of his view as to the import of the New Jersey statute. The District of Columbia code is substantially the same as ours, saying that the fact of a witness’s conviction of crime “may be given in evidence to affect his credit as a witness.” The Court of Appeals declared that the word “may” leaves room for the exercise of judicial discretion respecting the admis
Reference has been made to cases in Texas, Maryland and Illinois as supporting the contention that a person’s previous conviction of crime, if considered too remote by the trial judge, may be declared inadmissible to affect credibility. See, Perez v. State, 141 Tex. Cr. R. 575, 150 S. W. 2d 402 (Tex. Crim. App. 1941), an 11-year old burglary conviction; Dallas County Water Control & Improvement District v. Ingram, 395 S. W. 2d 834 (Tex. Ct. Civ. App. 1965), 28-year old manslaughter conviction; Travelers Insurance Co. v. Dunn, 383 S. W. 2d 197 (Tex. Ct. Civ. App. 1964), nine-year old burglary conviction. It is true that the Texas courts exclude evidence of convictions if they are considered too remote. But the Texas statute which permits introduction of a criminal record for impeachment purposes does so in language far less broad than that of our own statute. For example, the Texas law provides that where a suspended sentence is set aside, or where the convicted criminal was placed on probation and the period of probation has expired, the underlying conviction is not admissible. Vernon’s Ann. Tex. Code Crim. Proc. art. 38.29. These limitations bespeak a legislative policy qualitatively different from that expressed by the Few Jersey lawmakers. The Maryland cases are not particularly significant. In Burgess v. State, 161 Md. 162, 155 A. 153, 75 A. L. R. 1471 (Ct. App. 1931), a five-year old simple assault conviction was excluded as not involving an infamous crime. Likewise in Simond v. State, 127 Md. 29, 95 A. 1073 (Ct. App. 1915), proof of a 10-year old drunkenness conviction was rejected. But not cited by Hawthorne is Cousins v. State, 230 Md. 2, 185 A. 2d 488 (1962), where previous convictions of murder and robbery, 39 years earlier, and larceny, 26 years earlier, were declared admissible to affect credibility. The Maryland Court of Appeals, after pointing out that the statute (like ours) fixed no time limit on admissibility, said the convictions
“The introduction of such record of conviction for the purpose of affecting the credibility of a witness, or the defendant who has voluntarily testified, is provided for by statute. That statute fixes no limitation as to the time of such previous conviction. (Ill. Rev. Stat. 1945, chap. 38, par. 734, p. 1271.) This contention cannot be sustained.”
It should be noted that the Illinois statute is substantially the same as ours. See also, People v. Brown, 69 Ill. App. 2d 212, 215 N. E. 2d 812 (App. Ct. 1966).
Despite the many cases in our reports sustaining the cross-examination of a witness or a defendant in a criminal case about his previous conviction of crime, no case has been cited to us, and we are unaware of any, where the question of remoteness of the conviction has been raised or ruled upon. Eecognition of the long-standing and unqualified language of the statute—not any lack of ingenuity on the part of our bar—undoubtedly presents the reason for this. In fact, the opinions of the appellate courts in discussing such proof in the context of a particular case rarely refer, except perhaps in passing, to the date of the earlier conviction of the witness. For example, see State v. Rodia, 132 N. J. L. 199 (E. & A. 1944), defendant’s 15-year old conviction; State v. Arnwine, 67 N. J. Super. 483, 485 (App. Div. 1961), convictions going back at least 20 years. More
“There are no exceptions recited here and it cannot reasonably be asserted the Legislature intended the statute should become inoperative where a pardon was granted as no such provision is contained therein.”
That a pardon does not render proof of the conviction inadmissible to affect credibility seems to be the generally accepted rule. 3 Wigmore, Evidence (3d ed. 1940) § 980 p. 543, Supp. 1964 p. 201; and see, State v. Henson, 66 N. J. L. 601, 610 (E. & A. 1901), dissenting opinion. At this point one might well ask: If a pardon does not stand in the way of the statutory direction that conviction of crime may be shown for purposes of impeachment, how can it be said that mere passage of time will nullify the legislative will? (If the pardon were granted because the executive was satisfied of the innocence of the person convicted, justice would seem to render the statute inapplicable. In fact, there has been considerable agitation for change of the Tansimore rule. But those problems are not before us now.)
Purther support for the view that the Legislature did not intend to impose a time limitation, or to authorize a court in its discretion to impose such a limitation, on the right granted to prove a witness’s previous conviction of crime is disclosed by N. J. S. 2A:164-28. This statute had its origin in Chapter 345 of the Laws of 1931. Under that act a person who received a suspended sentence after conviction of any crime, and who had no further conviction of crime for 20 years thereafter, was given permission to file a petition in the court where the conviction had been entered, praying that the record thereof be expunged and that he
We are satisfied that the Legislature in enacting the 1874 statute, which is critically involved in this case, and continuing it through the various revisions down to the present time, did not intend to impose a time limitation on the admissibility of previous convictions of crime when offered for impeachment purposes. In light of the history, the intention was to admit the proof regardless of the age of the conviction. The 1874 act was drawn by Chief Justice Beasley and Justice Depue (who were members of the Supreme Court at the time) and Mr. Cortlandt Parker, an eminent member of the bar. State v. Henson, supra, 66 N. J. L., at p. 605. If lapse of time between previous criminal conviction and the trial at which the convicted person appeared as a witness was to be a barrier against admissibility, certainly these legal scholars would have so provided. Absence of any such limitation reveals a desire to permit the whole matter to be submitted to the common sense of a jury for evaluation of the effect, if any, on the person’s credibility. In Henson, speaking of the statute, Justice Yan Syckel said:
“The act of 1874 does not submit to the court, as a question of law, whether the crimes charged should affect credibility; it is a question for the jury, whose province alone it is to say to what extent, if any, credibility shall be affected.” 66 N. J. L., at p. 606
Under all the circumstances we hold the view that previous conviction of crime of a witness, whatever its age, may be shown to affect credibility. That we deem to be the
Prom all the above, we conclude that the trial judge erred in holding he was vested with discretion to deprive the State of the opportunity, in advance of trial or otherwise, of showing defendant’s three previous criminal convictions. We add also that, even if such discretion existed, defendant’s recidivistic record should not have been excluded. His second offense was committed before the full term of the first sentence had expired. The next two crimes were more heinous than the first, and the full term of the third sentence had not run before the present alleged crime was committed. If one objective of sentence and parole is rehabilitation, it cannot be said that Hawthorne’s record shows satisfactory achievement thereof.
II
The practice engaged in here requires comment. A pretrial motion to suppress evidence of a witness’s, particularly a defendant’s, previous conviction of crime is not the type of “objection” which may be determined in advance of trial, within the contemplation of R. R. 3:5-5 (b)(1). Uor
This is not to say that under no circumstances can pretrial motions to exclude evidence be made, or that in some situations evidence problems cannot be settled at the pretrial conference. Obviously there is an area in which the judge’s discretion may operate. See, R. R. 4:29-1(b)(7); R. R. 3:5-3; State v. Flett, 234 Or. 124, 380 P. 2d 634, 94 A. L. R. 2d 1082 (Sup. Ct. 1963); Annotation, “Prejudicial
Reversed and remanded for trial.
When this Court was studying revision of the rules of evidence, serious consideration was being given to a proposed abandonment of the rule permitting proof of previous conviction of crime to affect credibility. Cf. State v. Driver, 38 N. J. 255, 292 (1962) ; State v. Holley, 34 N. J. 9, 14 (1961), certiorari denied 368 U. S. 854, 82 S. Ct. 89, 7 L. Ed. 2d 51 (1961). The suggestion was based on the claim frequently heard that defendants in criminal cases fail to take the witness stand because of fear of cross-examination concerning their previous records. There was considerable merit in the idea of changing the rule if as a result defendants would be induced to testify at their trials. When the matter was being discussed, it was proper in New Jersey for the judge in his charge and for the prosecutor in summation to comment on the defendant’s failure to become a witness. It was felt that abrogation of the right to prove' convictions on cross-examination, plus existence of the right of comment on failure of a defendant to testify, might persuade him to take the witness stand, and thus the public interest would be served. See, State v. Brown, 41 N. J. 590, 592 (1964). Before the final evidence code was adopted by us and submitted to the Legislature for approval, the United States Supreme Court banned such comment as violative of the Fifth Amendment. Malloy v. Hogan, 378 U. S. 1, 84 S. Ct. 1489, 12 L. Ed. 2d 653 (1964). Griffin v. State of California, 380 U. S. 609, 85 S. Ct. 1229, 14 L. Ed. 2d 106 (1965). A substantial part of the inducement to testify having been removed, the suggestion to experiment with the proposed change in the rule was withdrawn.
Concurring Opinion
(concurring). I join in the opinion of Mr. Justice Erancis and add some remarks in support of it.
Under our statute, N. J. S. 2A:81-12, the credibility of a witness may be questioned by proof of conviction of any crime. The statute does not contain a limitation based upon the age of the conviction, and in the nature of the subject, the omission must be deemed to be deliberate rather than an oversight, especially since the Legislature elsewhere dealt expressly with expungement of convictions after the expiration of a specified period of time (10 years). N. J. S. 2A:164-28.
As Mr. Justice Erancis points out, the statute with which we are here concerned, N. J. S. 2A:81-12, cannot be read to
The question then is whether, notwithstanding the absolute phrasing of the statute, we should subject it to a time limitation which will fluctuate upon some indefinable basis in the “discretion” of each trial judge. I think to do so would probably conflict with the intent of the Legislature,
The issue is not whether a conviction may be so old as to have no probative force whatever and hence be immaterial. Rather the proposition advanced is that notwithstanding the continued probative force of a conviction, a trial judge may exclude it because of some capacity for prejudice which supposedly becomes overriding with the passage of time. The concept we are asked to invoke is summarized in Rule 45 of the proposed Uniform Rules of Evidence:
“Except as in these rules otherwise provided, the judge may in his discretion exclude evidence if he finds that its probative value is substantially outweighed by the risk that its admission will (a) necessitate undue consumption of time, or (b) create substantial danger of undue prejudice or of confusing the issues or of misleading the jury, or (c) unfairly and harmfully surprise a party who has not had reasonable opportunity to anticipate that such evidence would be offered.”
We are not concerned with (a) or (e), since obviously proof of conviction involves no undue consumption of time
N. J. S. 2A:81-12 embodies a widespread belief that conviction for crime has “probative value” with respect to the credibility of a witness. The possibility of prejudice inheres in the capacity of a conviction to affect the determination as to guilt, particularly if the conviction and the- indictment being tried are for the same type of offense. Actually it would not be irrational to admit proof of prior conviction upon the issue of guilt of a like crime. A prior conviction may well aid in the interpretation of circumstances. We know that a prior conviction is a legitimate fact in an inquiry into probable cause, and we know too that a good policeman will consider prior convictions in deciding who should be thought a possible suspect. Nonetheless, with respect to the trial itself, it is our policy to eliminate the fact of conviction from the inquiry into guilt and to limit the conviction to the question of the credibility of the accused or other witness.
We must start with the undeniable proposition that when the possibility of prejudice is greatest, it will not so overwhelm the probative value of the conviction as to warrant its exclusion. Specifically, if the conviction is fresh and is for the same species of crime involved in the trial and thus the capacity for prejudice is at its maximum, proof of the conviction will be received. That of course is the plain policy decision which underlies the statutory judgment that a conviction may be shown. In the words of Rule 45, the risk of undue prejudice does not substantially outweigh the probative value of the proof. Stoelting v. Hauck, 32 N. J. 87, 103-105 (1960).
In any event, I think the slender possibility of prejudice is outweighed by the inutility of a rule committing the subject to the “discretion” of a trial judge. The factors that would come into play are many. There is the age of the offense, the age of the offender, and the sentence imposed. The nature of the offense would be pertinent, and similarity with the subject matter of the trial could complicate that consideration. Next, there could be an inquiry into the intervening behavior of the accused. In jurisdictions which exclude a conviction because of remoteness in time, apparently consideration will be given to the accused’s “conduct subsequent to the conviction.” 98 C. J. S. Witnesses § 507(d), p. 413. Thus in Pedorella v. Hoffman, 91 R. I. 487, 165 A. 2d 721 (Sup. Ct. 1960), the court observed that “In the present instance, after considering the nature of the offense against the United States for which Hoffman was convicted and his subsequent delinquency in observing his obligations under the federal revenue laws, we do not think the trial justice abused his discretion” in overruling the objection (165 A. 2d, at p. 724; emphasis mine). But our practice does not permit a ranging inquiry into collateral misbehavior unless it is evidenced by conviction for crime, and indeed in part to avoid the very distraction and prejudice with which Rule 45 is concerned. In Luck v. United States, supra, 348 F. 2d 763, the court
The discretionary approach must lead to irreconcilable results at the trial level, reflecting each judge’s opinion of the statutory policy. It will also spawn a great deal of appellate controversy. The large number of reported opinions in Texas, where the discretionary rule obtains, suggests that prospect. See 70 C. J., Witnesses, § 1057, p. 854, n. 40; 98 C. J. S. Witnesses § 507 d, pp. 412-413. If that were the only fair way to deal with the problem, the disadvantages would be tolerable. But there is no convincing reason to take the subject from the jury. The jury is best situated to evaluate the conviction in the light of the entire trial record. If, as I have said, we leave the subject with the jury when the conviction is a recent one and the possibility of prejudice is therefore the greatest, we should not doubt the jury’s capacity to handle the subject when the likelihood of prejudice has itself receded with time.
Ultimately we come to an old topic—the ability of a jury to obey a cautionary instruction. Courts are ambivalent in their estimate of the intelligence of the layman, summoning one line of cases and then another to support the varying moods of their decisions. It seems to me that of the many situations in which a jriror’s capacity to obey a judge’s charge might be debated, the situation before us is one in which we should have little trouble. Twelve laymen are as able as any of us to deal with the problem of an aging conviction. To this we should add, as Mr. Justice Erancis points out, the restraint upon counsel which inheres in the danger of a boomerang if the conviction is of no value. I think it is better to permit the trial judge to exercise his
About a third of the jurisdictions have dealt with the problem, and they are about evenly divided. As to some which recognize a discretion to exclude, it is not clear whether, as in Luck v. United States, supra, 348 F. 2d 763, the whole subject of admissibility of convictions reposes in a judge’s discretion, rather than only the matter of age. In others it is not clear whether the exclusion rests upon a finding that the conviction was so old that it had no probative force rather than upon a finding that a continuing probative value was outweighed by the danger of prejudice.’ Surely there is no trend toward the approach we are rejecting.
The Massachusetts statute, which initially read like ours, was amended to contain a time limitation. See Commonwealth v. Cohen, 234 Mass. 76, 125 N. E. 148 (Sup. Jud. Ct. 1919).
Luck does not mention an earlier opinion of the same court which holds that age bears on weight and not on admissibility. Murray v. United States, 53 App. D. C. 119, 288 F. 1008, 1014 (D. C. Cir. 1923), cert. denied, 262 U. S. 757, 43 S. Ct. 703, 67 L. Ed. 1218 (1923).
Reference
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