STATE OF NEW JERSEY, PLAINTIFF-APPELLANT, v. JIMMIE LEE THOMAS, DEFENDANT-RESPONDENT.
767 A.2d 560
Supreme Court of New Jersey
Argued October 11, 2000—Decided February 28, 2001.
The opinion of the Court was delivered by
COLEMAN, J.
This appeal raises questions concerning the scope of the mandatory sentencing provisions of the No Early Release Act (NERA),
I.
On September 2, 1997, defendant was babysitting for eleven-year-old K.G. Defendant was thirty-nine years old at the time and was K.G.‘s grandmother‘s boyfriend. According to K.G., she was sitting on the couch with defendant when he put his pinky finger into her vaginal opening. K.G. did not tell her mother right away but later confided in her cousin about the incident. The cousin informed K.G.‘s mother, who notified the police. When defendant was arrested, he denied that he had penetrated the child.
Defendant negotiated a plea agreement with the State in which he pled guilty to second-degree sexual assault on a female under the age of thirteen, a violation of
The issue whether NERA would apply to defendant‘s sentence was raised at the plea hearing. The State took the position that NERA applied to defendant. It was part of the plea agreement that if the trial court held that NERA did not apply, the State would be entitled to appeal that decision. It was also part of the agreement that defendant could withdraw his plea if the trial court determined that NERA applied to him. The trial сourt held that NERA did not apply to defendant because the Act requires the use of physical force beyond that inherent in an act of sexual contact. The trial court found that there was nothing in defendant‘s factual statement supporting his guilty plea that demonstrated an independent act of force or threat of force against the victim. Defendant was, accordingly, sentenced to a custodial term of four years without a term of parole ineligibility.
The State appealed and the Appellate Division affirmed. Thomas, supra, 322 N.J.Super. at 521, 731 A.2d 532. The Appellate Division rejected the State‘s argument that our definition of “physical force” in State in the Interest of M.T.S., 129 N.J. 422, 444, 609 A.2d 1266 (1992), was the same “physical force” contemplated by the Legislature in the definition of a “violent crime” under NERA. Thomas, supra, 322 N.J.Super. at 519, 731 A.2d 532. The Appellate Division found M.T.S. “inapposite,” stating that M.T.S. involved actual penetration, which was not present in this case. Id. at 515-16, 731 A.2d 532. The panel relied on legislative intent and principles of statutory construction in holding that “physical force” as defined under NERA “requires an independent act of force or threat of force against the victim that is additional to the constituent elements of the crime.” Id. at 516, 731 A.2d 532.
II.
A.
The State argues that this Court‘s definition of “physical force” in M.T.S. should be the same definition that is used to determine whether a sexual assault is covered by NERA. The State maintains that because the Legislature failed to define physiсal force in the NERA statute, the Legislature thereby “expressed [its] satisfaction with this Court‘s definition” in M.T.S. To support that position the State quotes In re Estate of Posey, 89 N.J.Super. 293, 301, 214 A.2d 713 (Cty.Ct.1965), aff‘d, 92 N.J.Super. 259, 223 A.2d 38 (App.Div.1966), for the assertion that “[w]hen words used in a statute have previously received judicial construction, the Legislature will be deemed to be using them in the sense that has been ascribed to them.”
In rejecting the appellate panel‘s holding, the State argues that by requiring victims to show an additional act of force beyond that required in M.T.S., “the Appellate Division has returned our law to the antiquated notions about a victim‘s obligation to ‘prove’ nonconsent by ‘putting up a fight.‘” In the alternative, the State argues that if the Court declines to apply the M.T.S. definition of “physical force” to the NERA statute, then the Court should
Defendant contends that the Appellate Division “correctly interpreted the relevant legislative history in determining that mere sexual contact does not fall within NERA‘s definition of ‘violent crime.‘” He argues that applying the M.T.S. definition of “physical force” to NERA cases would render that phrase surplusage.
Defendant maintains that the legislative history of NERA fails to reveal any reference to the Court‘s decision in M.T.S. as influencing the definitiоn of a violent sexual assault. He also argues that, because NERA was intended to apply only to the most violent crimes, “it is apparent that not all sexual assaults were intended to come within the Act.” He asserts, that contrary to that legislative intent, the definition of “physical force” urged by the State would mandate application of NERA to all first- and second-degree sexual assaults.
B.
The No Early Release Act,
a. A court imposing a sentence of incarceration for a crime of the first or second degree shall fix a minimum term of 85% of the sentence during which the defendant shall not be eligible for parole if the crime is a violent crime as defined by subsection d. of this section.
....
d. For the purposes of this section, “violent crime” means any crime in which the actor causes death, causes serious bodily injury as defined in subsection b. of
N.J.S. 2C:11-1 , or uses or threatens the immediate use of a deadly weapon. “Violent crime” also includes any aggravated sexual assault or sexual assault in which the actor uses, or threatens the immediate use of, physical force.[
N.J.S.A. 2C:43-7.2a ,d (emphasis added).]
“As a general rule of statutory construction, we look first to the language of the statute. If the statute is clear and unambiguous on its face and admits of only one interpretation, we need delve no deeper than the act‘s literal terms to divine the Legislature‘s intent.” State v. Butler, 89 N.J. 220, 226, 445 A.2d 399 (1982). However, if the statute is not clear and unambiguous on its face, “we consider sources other than the literal words of the statute to guide our interpretive task.... ‘[T]he court considers extrinsic factors, such as the statute‘s purpose, legislative history, and statutory context to ascertain the legislature‘s intent.‘” Aponte-Correa v. Allstate Ins. Co., 162 N.J. 318, 323, 744 A.2d 175 (2000) (quoting Township of Pennsauken v. Schad, 160 N.J. 156, 170, 733 A.2d 1159 (1999)); State v. McQuaid, 147 N.J. 464, 480-82, 688 A.2d 584 (1997). The policy behind the statute also should be considered. County of Monmouth v. Wissell, 68 N.J. 35, 43-44, 342 A.2d 199 (1975).
We find that the disputed language of NERA is not clear and unambiguous. Both the trial court and the Appellate Division concluded that the phrasе “physical force” is ambiguous. Thomas, supra, 322 N.J.Super. at 516, 731 A.2d 532. That conclusion was consistent with our observation in M.T.S. that “the statutory words ‘physical force’ do not evoke a single meaning that is obvious and plain.” M.T.S., supra, 129 N.J. at 430-31, 609 A.2d 1266. Hence, we must look to extrinsic factors to divine legislative intent.
Under applicable canons of statutory construction, when the Legislature uses words in a statute that previously have been
M.T.S. involved a seventeen-year-old juvenile charged with delinquency based on non-consensual vaginal penetration of a fifteen-year old, a violation of
That broad definition was adopted to implement the legislative intent to preclude ambiguous conduct by a victim from being interpreted as consent to sexual penetration within the meaning of
C.
An examination of the legislative history of the Act informs us that NERA was enacted primarily because of New Jersey‘s alаrmingly high rate of parolee recidivism. Stacey L. Pilato, Note, New Jersey‘s No Early Release Act: A Band-Aid Approach to Victims’ Pain and Recidivism?, 22 Seton Hall Legis. J. 357, 364 (1997). Although the legislative history is scant, that the purpose of the Act was to “increase prison time for offenders committing the most serious crimes in society” is clear. The Senate Law and Public Safety Committee, Statement to Senate Bill No. 855 (Apr. 24, 1996).
Early versions of the bill made the Act applicable to all first- and second-degree crimes involving violence for which a sentence in excess of five years had been imposed. Pilato, supra, 22 Seton Hall Legis. J. at 362 n. 19. Those versions did not contain what became subsection d. However, the New Jersey State Bar Association opposed that initial bill “because of its potentially catastrophic impact on the prison system.” Id. at 368 n. 42. The bill was then amended to focus on violent offenders. While an early version of the Act was pending, the Governor‘s Study Commission on Parole reviewed the bill. Among other things, the Commission “recommended that the Legislature narrowly define violent crime because of its potential impact on prison populations.” Id. at 377 (emphasis added). The Commission recommended a definition similar to the one found in the New Jersey Code of Criminal Justice,
After the bill was approved by the Assembly Law and Public Safety Committee, the Assembly Appropriations Committee made a few significant amendments. Id. at 382-83. First, apparently following the Commission‘s recommendation, it narrowed the original definition of violent crime that included all first- and second-degree offenses for which the defendant was serving over five years, to “one in which the offender ‘causes death [or] serious bodily injury, ... or uses or threatens the immediate use of a deadly weapon.‘” Id. at 383 & n. 102 (quoting L. 1997, c. 117, § 2(d)) (alteration in original). Second, it added first- and second-degree sexual crimes “involving [the use of] physical force or the threat of [immediate use of] physical force” to the definition of viоlent crime. Id. at 383 & n. 103 (quoting L. 1997, c. 117, § 2(d)). Those amendments were codified at
Furthermore, the legislative history indicates that the primary purpose to be advanced by NERA was to enhance the punishment for the most violent criminals in society. The impetus behind enacting NERA was not for all first- and second-degree criminals to serve 85% of their base-sentences, but that only those who are deemed to be the most violent in society should face a NERA sentence.
Guided by NERA‘s legislative history, when the Act is parsed to focus exclusively on sexual assault crimes, it provides: ” ‘violent crime’ means any [aggravated sexual assault or sexual assault] in which the actor causes ... serious bodily injury as
The definition of “physical force” contained in M.T.S. is restricted to defining an element of a sexual offense under the Code. Similarly, we have given a special meaning to “physical force” when defining an element of robbery. There, we defined the phrase to mean “some degree of force to wrest the object” from the victim. State v. Sein, 124 N.J. 209, 216-17, 590 A.2d 665 (1991). The Court, in discussing legislative intent, has ascribed different meanings to the phrase when defining an element of a specific offense. Because we have defined physical force differently when defining the phrase as an element in various crimes, we hold that physical force as a NERA sentencing enhancement factor means the same as an element of the offense. Thus, NERA has defined “violent crime” in the context of “statutorily defined elements of a crime,” whether sexual in nature or otherwise. State v. Mosley, 335 N.J.Super. 144, 151, 761 A.2d 130 (App.Div. 2000).
One of the three NERA factors pertinent to sexual offenses is essential to satisfy the violence requirement of the Act. Each of the NERA factors represents one or more of the aggravating elements of a first- or second-degree offense. For example, under the Code, causing serious bodily injury can elevate a simple assault,
By limiting NERA to those sexual crimes involving the infliction of serious bodily injury, or the use or threatened immediate use of a deadly weapon, or the use or threatened immediate use of “physical force,” the Legislature must have been aware that not all first- and second-degree sexual assaults would be covered by NERA. There are five types of aggravated sexual assaults that are not covered by NERA because the elements of the offense do not require proof of a NERA factor.
In limiting the scope of NERA in the area of sexual offenses, we are persuaded by the overriding legislative purpose of designing a statute, not to establish elements of sexual offenses, but to penalize more severely the criminal who is prone to use violence. NERA focuses on the conduct of thе perpetrator, rather than on the characteristics of the victim or the victim‘s actions or reactions. For instance, although use or threatened immediate use of a deadly weapon is a NERA factor, NERA‘s definition of deadly
If the broad scope of NERA urged by the State were adopted, the legislative purpose of minimizing the impact on the prison system would be compromised. For example, data extracted from our Promis/Gavel computer record reveal that for the years 1998, 1999, and 2000, about 500 defendants were convicted of first-degree aggravated sexual assaults, of which approximately 36% involved victims below the age of thirteen years old. During the same interval, there were approximately 806 second-degree sexual assault convictions, approximately 46% of which involved victims below the age of thirteen years old and defendants who were at least four years older than the victim. An across-the-board application of NERA would postpone the earliest parole considеration of the above defendants by approximately 35%.
D.
Here, defendant pled guilty to second-degree sexual assault, a violation of
The Court‘s holding today should not be viewed as an indication that we do not dеem the offense, involving as it does an eleven-year-old child, to be serious. Our decision is based exclusively on the view that the Legislature has made the decision, whether wisely or otherwise, that not all sexual offenses against children should be subject to NERA. We find defendant‘s conduct to be both serious and reprehensible. So, too, does the Legislature, for it has made the offense a second-degree crime that carries a sentence of up to ten years with five years of parole ineligibility, and an extended term under
NERA is a sentencing statute, and that means that offenses that do not fall within its scope may still be punished severely under other Code sentencing criteria. Therefore, the Statе‘s argument that “the decision in Thomas will return our law to the days of demanding resistance from victims while overlooking the assaultive conduct of perpetrators” is unfounded. The M.T.S. Court expounded upon the history of rape laws because it had to decide which definition of “physical force” should be used to actually criminalize certain sexual conduct. The Court today is called upon to balance two entirely different policy concerns that
III.
The State alternatively argues that NERA should apply to defendant even under the Appellatе Division‘s definition of “physical force.” The State maintains that “an adult who commits an unwanted touching against a child implicitly threatens the use of ‘physical force,’ as that term was defined in Thomas.” The State articulates this argument as follows:
Given the strength and size advantage, the greater authority, social status and sophistication of an adult, a child confronted by an unwanted sexual imposition from an adult actor has little choice except to submit. This Court should therefore recognize the implicit threat of physical force “independent from the ‘simple’ act of the sexual touching,” Thomas, 322 N.J.Super. at 519-20, 731 A.2d 532, that is inherent in this crime, and hold that NERA applies to all first- and second-degree sеxual assaults perpetrated by adults against children.
The State relies on a series of cases involving the application of
(a) an offense that has as an element the use, attempted use, or threatened use of physical force against the person or property of another, or
(b) any other offense that is a felony and that, by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the оffense.
We agree that the Legislature could have made NERA applicable to all first- and second-degree offenses or made it applicable to all tender-years sexual assaults. But, as we stated before, the Legislature chose instead to narrowly define violent crime. We have, therefore, narrowly construed NERA to еffectuate the Legislature‘s intent. We do not believe that the Legislature intended to apply NERA when there is only a possibility that the actor would have used physical force. Instead, NERA requires the actor actually to use or threaten the immediate use of a deadly weapon or physical force unless serious bodily injury has been inflicted. If we have misinterpreted the legislative intent, we invite a correction of course by the Legislature.
IV.
The judgment of the Appellate Division is affirmed.
PORITZ, C.J., dissenting.
The Court today holds that the No Early Release Act (“NERA“) applies only to sexual assaults and aggravated sexual
In redefining rape law as sexual assault, the Legislature adopted the concept of sexual assault as a crime against the bodily integrity of the victim. Although it is possible to imagine a set of rules in which persons must demonstrate affirmatively that sexual contact is unwanted or not permitted, such a regime would be inconsistent with modern principles of personal autonomy. The Legislature recast the law of rapе as sexual assault to bring that area of law in line with the expectation of privacy and bodily control that long has characterized most of our private and public law. In interpreting “physical force” to include any touching that occurs without permission we seek to respect that goal.
[Id. at 445-46, 609 A.2d 1266 (citations omitted).]
Most important, the Court held
that any act of sexual penetration engaged in by the defendant without the affirmative and freely-given permission of the victim to the specific act of penetration constitutes the offense of sexual assault. Therefore, physical force in excess of that inherent in the act of sexual penetration is not required for such penetration to be unlawful. The definition of “physical force” is satisfied under
N.J.S.A. 2C:14-2c(1) if the defendant applies any amount of force against another person in the absence of what a reasonable person would believe to be affirmative and freely-given permission to the act of sexual penetration.
I have discussed M.T.S. in some detail because I believe that we are now backing away from the principles so eloquently described
It is against this backdrop that the Court interprets the same language in NERA. In defining violеnt crimes for sentence enhancement purposes under NERA the Legislature stated:
For the purposes of this section, “violent crime” means any crime in which the actor causes death, causes serious bodily injury as defined in subsection b. of
N.J.S. 2C:11-1 , or uses or threatens the immediate use of a deadly weapon. “Violent crime” also includes any aggravated sexual assault or sexual assault in which the actor uses, or threatens the immediate use of, physical force.[
N.J.S.A. 2C:43-7.2d (emphasis added).]
As in the sexual assault statute, NERA does not define “physical force,” and as in M.T.S., the Court finds that the disputed language is “ambiguous.” Ante 166 N.J. at 567, 767 A.2d at 463. The Court further finds that the Legislature is prеsumed to have known about our construction of the disputed language in M.T.S. but, inexplicably, decides that “physical force” should now be interpreted differently in NERA. Ante 166 N.J. at 568, 767 A.2d at 463. I see no basis for a departure from that basic rule of statutory construction. The purpose of NERA is to “to penalize more severely the criminal who is prone to use violence.” Ante 166 N.J. at 572, 767 A.2d at 465. That purpose is not subverted by the M.T.S. conclusion that sexual assault is inherently violent.
Moreover, utilizing the M.T.S. definition of sexual assault does not render the “physical force” language of NERA mere surplus-
Finally, like the majority, I too would invite the Legislature to clarify its intentions in respect of NERA. I recognize that the Legislature may ultimately choose to exclude certain categories of sexual assault from the NERA parole ineligibility requirements. Until then, however, I am unwilling to attribute to the Legislature an intent to require additional force beyond that of unwanted sexual penetration or contact before those crimes can be classified as violent for the purposes of NERA sentencing.
ZAZZALI, J., joins in this opinion.
For affirmance—Justices STEIN, COLEMAN and LaVECCHIA—3.
Dissenting—Chief Justice PORITZ, and Justice ZAZZALI—2.
