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Factual and Procedural Background

Defendants Derek Clarke, Glenn Freeman, and a co-defendant were convicted by a jury of attempted burglary. The convictions arose from circumstances in which an off-duty police officer observed defendant William Josey pacing suspiciously near a warehouse late at night, suspecting he was acting as a lookout for a burglary. Additional police officers responded to a radio call reporting breaking glass near the warehouse. The officers found all three defendants hiding behind bushes near the building, with gym socks nearby and one pair found in Clarke's back pocket. The building had a broken window with shattered glass and a rock inside, and shoeprints were found near the window. The State charged only attempted burglary, relying on circumstantial evidence including the defendants' conduct and the broken window. Defendants testified they were merely waiting to go to the movies and denied involvement in any burglary or damage. After trial, the judge refused to charge the jury on the lesser included offense of criminal mischief despite defense counsel's request. Defendants appealed their convictions.

Legal Issues Presented

  1. Whether the trial court erred by refusing to instruct the jury on the lesser included offense of criminal mischief.
  2. Whether the trial court erred in denying the motion to suppress evidence consisting of socks seized from Clarke's person during a pat-down search.
  3. Whether the indictment should have been quashed based on allegedly false grand jury testimony by a police officer.

Arguments of the Parties

Appellants' Arguments

  • The trial judge should have charged criminal mischief as a lesser included offense because there was evidence that the defendants broke the window, which constituted damaging tangible property.
  • The socks seized from Clarke's pocket during a pat-down search should have been suppressed as evidence because the search was not justified under the standards governing searches incident to arrest or under Terry v. Ohio.
  • The indictment should be quashed because Officer Livaich gave hearsay testimony before the grand jury that included inaccurate or misleading statements about footprints allegedly linking defendants to the scene.

Respondent's Arguments

  • The State argued that the conduct of the defendants—Josey acting as lookout, the socks in Clarke's pocket, and hiding in bushes—was sufficient to prove a substantial step toward burglary without requiring proof of breaking the window.
  • The State contended that the trial judge was correct in refusing to charge criminal mischief because there was no direct evidence that defendants broke the window and no evidence of pecuniary loss to grade the offense.
  • The State argued the socks were in plain view at the time of seizure and that only Clarke had standing to move for their suppression, contesting the suppression ruling.
  • The State opposed quashing the indictment, noting the grand jury was aware that the officer's testimony was hearsay and that the laboratory report was pending.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
State v. Powell, 84 N.J. 305 (1980) A trial judge must charge a lesser included offense when facts justify such a conviction, even sua sponte. The court held that the trial judge erred in refusing to charge criminal mischief as a lesser included offense because the evidence supported it.
State v. Lopez, 160 N.J. Super. 30 (App. Div. 1978) Lesser included offenses permit a jury to return a verdict that conforms to the evidence, avoiding an all-or-nothing verdict. Supported the principle that the jury should have been allowed to consider criminal mischief as a lesser included offense.
State v. Green, 86 N.J. 281 (1981) Clarifies the inclusion of lesser offenses within greater offenses and instructs on charging lesser included offenses. Used to support that criminal mischief is a lesser included offense within attempted burglary and should have been charged.
Terry v. Ohio, 392 U.S. 1 (1968) Permits limited pat-down searches for weapons based on reasonable suspicion. The court found that the socks seized were not justifiable under Terry because items not suspected to be weapons cannot be seized during a pat-down.
State v. De Lorenzo, 166 N.J. Super. 483 (App. Div. 1979) Limits on warrantless searches and seizures during investigatory stops. Supported the conclusion that the pat-down search was unlawful because the seizure was not incident to arrest and exceeded Terry's scope.
State v. Sims, 75 N.J. 337 (1978) Defines when a search incident to arrest is lawful. The court found the search invalid because defendants were not under arrest at the time of the pat-down and seizure.
State v. Jordan, 115 N.J. Super. 73 (App. Div. 1971) Evidence at suppression hearings controls standing and admissibility issues. Used to hold that the plain-view argument failed because the suppression hearing record did not support it.
State v. Fioravanti, 78 N.J. Super. 253 (App. Div. 1963) Suppression hearing rulings become law of the case for trial and retrial. Supported the ruling that the suppression ruling must be followed on retrial.
State v. Weleck, 10 N.J. 355 (1952) Indictments may only be quashed on the clearest and plainest grounds; trial court discretion governs. The court affirmed the denial of the motion to quash the indictment, finding no abuse of discretion.

Court's Reasoning and Analysis

The court found that the trial judge erred in refusing to charge the jury on criminal mischief as a lesser included offense of attempted burglary. The evidence showed defendants broke a window, which constitutes criminal mischief under N.J.S.A. 2C:17-3(a)(1). Even though there was no direct evidence that defendants threw the rock, circumstantial evidence justified allowing the jury to consider this lesser offense to avoid forcing an all-or-nothing verdict. The court emphasized that a lesser included offense must be charged when facts support it, regardless of whether the State could prove the greater offense without it.

Regarding the suppression of the socks seized from Clarke's pocket, the court concluded that the warrantless pat-down search was unlawful. The officers lacked probable cause or arrest authority at the time of the search, and the seizure of items not suspected to be weapons exceeded the scope of a Terry stop. The State's plain-view argument failed because the suppression hearing record did not establish that the socks were plainly visible before the search. Thus, the socks should have been suppressed as evidence.

On the motion to quash the indictment, the court found no abuse of discretion. The grand jury was informed that the officer's testimony was hearsay, that the laboratory report was pending, and that the footprints were not conclusively matched. Given the ample other evidence supporting the indictment, the court declined to overturn it.

Holding and Implications

The court REVERSED the convictions of Derek Clarke and Glenn Freeman and REMANDED the case for a new trial. The trial court must instruct the jury on the lesser included offense of criminal mischief and suppress the socks seized during the unlawful pat-down search. The indictment was upheld.

The direct effect is to afford appellants a new trial with proper jury instructions and evidentiary rulings. No new precedent was established beyond clarifying the application of existing principles regarding lesser included offenses and search and seizure law.

STATE OF NEW JERSEY, PLAINTIFF-RESPONDENT, v. DEREK CLARKE, DEFENDANT-APPELLANT. STATE OF NEW JERSEY, PLAINTIFF-RESPONDENT,

The opinion of the court was delivered by BRODY, J.A.D.

A jury found appellants and a co-defendant guilty of attempted burglary. We consolidated their separate appeals and now reverse the convictions and remand for a new trial because the trial judge erred in refusing to allow the jury to consider whether appellants committed the crime of criminal mischief. Two additional points raised by appellants will require attention; the rest are rendered moot by our remand.

Robert Livaich, an off-duty police officer, was driving past a warehouse about 9:45 p.m. when he noticed defendant William Josey pacing back and forth in front of the building. Josey was looking from side-to-side and over his shoulder toward the building. The officer suspected that Josey was standing lookout for a burglary. He parked his car in a lot across from the warehouse and continued his observations. An on-duty police officer happened to drive past the building about the same time in response to a call from another location. He heard the sound of breaking glass coming from the direction of the warehouse and radioed this information to police headquarters.

Detective Robert Stewart responded to the radio call and joined Officer Livaich just after Josey had entered a wooded area alongside the building. The officers followed him and soon came upon all three defendants crouched behind bushes near the building. The officers testified that a pair of gym socks were lying on the ground nearby. Detective Stewart testified that socks are commonly used by burglars to protect their hands from shards of glass and to avoid leaving fingerprints. The police found another pair of socks in defendant Clarke's back pocket.

Meanwhile additional officers arrived at the scene. An inspection of the building revealed that a windowpane, located at the front of the building behind tall shrubs, was completely missing. A rock and shattered glass were inside the building near the window. There were shoeprints on the ground in a two-foot space between the shrubs and the broken window.

The State relied on the foregoing circumstantial evidence to prove the crime of attempted burglary, the only offense charged in the indictment.

Defendants told their story through the testimony of Josey. He testified that they were on the way to the movies when they stopped at a tavern to purchase a six-pack of beer. They took the beer to where the police later found them. After finishing his beer, Josey left to purchase cigarettes with the understanding that he would meet the others in front of the warehouse upon his return and then they would go to the movies. When Josey returned the others were not there. While he was waiting for them to emerge from the bushes, he noticed a police car pass by. He then went into the bushes to see what was causing the delay. He found his friends and had settled in with them when the police arrived. Josey denied any intent to burglarize the warehouse, denied hearing the sound of breaking glass, and denied seeing any socks on the ground. The jury obviously rejected his story.

After both sides had rested, defendant Clarke's attorney asked the court to "charge criminal mischief as a lesser included offense" based upon evidence that defendants broke the window. Criminal mischief is committed by a person who "[p]urposely or knowingly damages tangible property of another. . . ." N.J.S.A. 2C:17-3(a)(1). Without asking the assistant prosecutor for his view, the trial judge replied:

Absolutely not. There is no evidence that they committed criminal mischief, none at all.

He explained that in view of Josey's denial that he broke the window and in the absence of any direct evidence that any of the defendants threw the rock through the window, it would be "speculation" for the jury to find that they had. We disagree.

A trial judge must charge a lesser included offense "when the facts on the record would justify a conviction" for that offense even where there has been no request by the parties to do so. State v. Powell, 84 N.J. 305 , 319 (1980). This permits a jury to return a verdict that conforms to the evidence and relieves the pressure to return an all-or-nothing verdict. See State v. Lopez, 160 N.J. Super. 30 , 36 (App.Div. 1978). Here the judge did not have to act sua sponte.

The theory of the State's case was that the arrival of the police prevented defendants from carrying out their plan to burglarize the warehouse after they had taken a substantial step toward committing that crime. Taking "a substantial step" is a key element of an attempt. N.J.S.A. 2C:5-1(a)(3). The State argues that Josey's conduct as lookout, the socks in Clarke's pocket, and defendants' hiding in the bushes were enough to establish the requisite substantial step without the need to prove that defendants also broke the window.

We cannot assume that without the evidence that defendants broke the window to gain entry the jury would have been satisfied that the State proved a substantial step. Besides, an offense may be a lesser included offense even though the greater offense could also be proved without it. An offense is "included" when:

(1) It is established by proof of the same or less than all the facts required to establish the commission of the offense charged; or
(2) It consists of an attempt or conspiracy to commit the offense charged or to commit an offense otherwise included therein; or
(3) It differs from the offense charged only in the respect that a less serious injury or risk of injury to the same person, property or public interest or a lesser kind of culpability suffices to establish its commission. [N.J.S.A. 2C:18(d)]

Burglary is defined as unlawfully entering a private structure "with purpose to commit an offense therein. . . ." N.J.S.A. 2C:18-2(a). In this case the State contends that defendants' ultimate purpose was to steal. Had there been proof of entry for the purpose of theft, defendants would have been charged with burglary, and the lesser included offense of criminal trespass would have been routinely charged in case the State should fail to convince the jury of larcenous intent.

Defendants were charged only with attempted burglary because there was no proof of entry. However, they could not be found guilty of attempted criminal trespass as a lesser included offense because such conduct is not an offense under the Code. N.J.S.A. 2C:18-3(a) provides that unlawful entry into a structure that is not a dwelling is only a disorderly persons offense. An attempt to commit a disorderly persons offense is not itself an offense. See N.J.S.A. 2C:5-1(a); II Final Report of the New Jersey Criminal Law Revision Commission: Commentary 113-114 (1971). However, committing criminal mischief by breaking a window to gain entry into a structure is a fact that can be used to prove trespass. It is therefore a lesser offense included in trespass which in turn is included in burglary. Here it serves to take the place of the unavailable offense of attempted criminal trespass. In the circumstances of this case, criminal mischief is a lesser offense included within attempted burglary and, having support in the evidence, should have been charged — especially where there was a specific request to do so. See State v. Green, 86 N.J. 281 , 289-290 (1981).

Note that there is no offense of "attempted simple assault." The disorderly persons offense of simple assault is defined to include attempts to cause bodily injury and attempts to put another in fear of imminent serious bodily injury. N.J.S.A. 2C:12-1(a).

Apart from the technical niceties of whether criminal mischief is a lesser included offense in this case, there is the clear necessity to offer the jury an alternative to an all-or-nothing verdict because of the inchoate nature of the crime charged and the absence of direct evidence that these defendants intended to steal.

The State contends that the judge could not charge criminal mischief because the grading of that offense depends upon the amount of the pecuniary loss and there was no evidence regarding the cost of replacing the window. Criminal mischief is a disorderly persons offense if the pecuniary loss is $500 or less. N.J.S.A. 2C:17-3(b). Where there is no evidence of pecuniary loss, for grading purposes it is assumed that the loss was nominal and the offense would be a disorderly persons offense. See State v. Burks, 188 N.J. Super. 55 , 61 (App.Div. 1983); State v. Taylor, 132 N.J. Super. 386 (Cty.Ct. 1974).

Two additional points must be decided to clear the way for a retrial. First, appellants argue that the socks seized by the police from Clarke's pocket should have been suppressed as evidence. We agree. Officer Livaich was the only witness at the suppression hearing. He testified that right after coming upon defendants in the bushes, he and Detective Stewart took them to a nearby lighted area where they were "patted down" in a "field search." This is how he described finding those socks:

Q Did you make any observations as to any objects that were contained on their clothing?
A One of the defendants had a pair of white tube socks in his back pocket.
Q Did you observe those socks in the course of this incident?

A Yes. When we conducted our field search.

Q That was after they had been brought out of the wooded area?

A Yes.

Q And do you recall, Officer, which of the three individuals had that pair of socks in his pocket?

A No.

He further testified that (1) when he "felt the socks" he was satisfied that they were not a weapon, (2) he did not learn of the broken window until after the pat-down, and (3) defendants were not yet "under arrest" when the socks were seized.

The trial judge gave the following reasons for denying the motion to suppress:

The court doesn't feel — I think the police officers have an absolute right to conduct a pat-down search as indicated by [defendant Freeman's attorney] under the theory of Terry v. Ohio. The court doesn't feel that this was an unreasonable search and seizure.
I find that this gentleman did have probable cause to suspect that there may have been in fact a crime committed and that this pat-down search did not result in the illegal search and seizure in relation to these tube socks, and I will not suppress the evidence in relation to the tube socks.

This warrantless search cannot be justified on the record of the suppression hearing. Police may not uncover items not thought to be weapons during a pat-down for weapons. Terry v. Ohio, 392 U.S. 1, 30-31, 88 S.Ct. 1868, 1884-85, 20 L.Ed.2d 889, 911 (1968); see State v. De Lorenzo, 166 N.J. Super. 483 , 488 (App.Div. 1979). The assistant prosecutor acknowledged at the hearing that it was not until the officers were informed that there was "a window broken at the premises" that the "investigative detention ripened into a probable cause situation." The officer himself acknowledged that defendants were not placed under arrest until he learned of the broken window, after the pat-down and seizure of the socks. The search was therefore not incident to a lawful arrest. State v. Sims, 75 N.J. 337, 352-355 (1978).

The State now argues that the socks when seized were in plain view and that only Clarke had standing to move for their suppression. There was no evidence at the suppression hearing to support the plain-view argument. Officer Livaich did testify at trial that the socks were hanging out of Clarke's pocket before the pat-down, but we are limited to the evidence presented at the suppression hearing. See State v. Jordan, 115 N.J. Super. 73, 76-77 (App.Div. 1971), certif. den., 59 N.J. 293 (1973). The State could not have challenged Freeman's standing below because at the hearing the officer was unable to say which defendant had the socks.

The socks seized from Clarke's pocket should have been suppressed. Because a suppression hearing is a pre-trial proceeding, a proper determination of that motion becomes the law of the case for purposes of both trial and retrial. See Jordan, 115 N.J. Super. at 76-77; State v. Fioravanti, 78 N.J. Super. 253 , 255 (App.Div. 1963); State v. Lopez, 166 N.J. Super. 301 , 304 (App.Div. 1979), certif. den., 81 N.J. 287 (1979).

In their final point, appellants argue that the trial judge should have quashed the indictment because Officer Livaich testified before the grand jury to facts that were not true. The testimony complained of was hearsay and the officer made that clear to the jurors. He testified he was told by other officers that "footprints" found "on the window" were similar to prints left by defendants' sneakers and that soil samples from the window were sent to a police laboratory for comparison with soil samples from the sneakers. He cautioned the jurors that as yet the laboratory had not made its report. Appellants point out that the prints were in fact found under rather than on the window, that they were not clear enough to be matched to defendants' sneakers, and that the laboratory report turned out to be negative.

A court may not quash an indictment except on the clearest and plainest ground. State v. Weleck, 10 N.J. 355 , 364 (1952). Whether to grant such a motion is left to the sound discretion of the trial judge and we must affirm his action unless he abused that discretion. Id. There was no abuse here. The grand jury knew that the testimony in question was not firsthand and therefore might not be reliable. They also knew that the laboratory had not yet made its report. If the jury was not satisfied that there was enough other evidence to indict, they would have withheld action until they knew the contents of the report. There was ample evidence to support the indictment without considering the testimony complained of by appellants.

Reversed and remanded for a new trial.

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STATE v. CLARKE
(Jan 18, 1985)