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STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
DAWN A. PARKER,
Defendant-Appellant.
___________________________
Submitted October 17, 2018 รข€“ Decided November 9, 2018
Before Judges Currier and Mayer.
On appeal from Superior Court of New Jersey, Law
Division, Essex County, Indictment No. 17-03-0657.
SUPERIOR COURT OF NEW JERSEY APPELLATE DIVISION
DOCKET NO. A-5375-16T4
PER CURIAM
Defendant Dawn A. Parker appeals from a June 16, 2017 order denying
her application for admission into the Pretrial Intervention (PTI) program and a
July 28, 2017 judgment of conviction sentencing her to three years of probation
and requiring payment of restitution in the amount of $31,599.88, payable at the
rate of fifty dollars per month. We affirm.
Defendant's conviction stemmed from her involvement in stealing
insurance funds and opening a bank account. Defendant claimed her boyfriend
stole a $102,719.54 insurance check and demanded she deposit the stolen check
in a bank account. In return for participating in this plan, the boyfriend agreed
to share the stolen funds with defendant.
On November 17, 2016, defendant opened a bank account at a local branch
of Provident Bank (Bank). Defendant then deposited the stolen check into that
account. Several days later, defendant made withdrawals, totaling $31,800.00,
at different Bank locations. Suspecting fraud, the Bank froze the account.
Defendant contacted the Bank on November 29, 2016, regarding the frozen
account. The Bank advised defendant she had to appear, in person, to lift the
hold on the account. When defendant arrived at the Bank, she was arrested and
charged with one count of second-degree theft by deception, N.J.S.A. 2C:20-
4(a), and five counts of third-degree forgery, N.J.S.A. 2C:21-1(a)(1).
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After she was charged, defendant filed an application for PTI. The
prosecutor denied defendant's request for PTI, and defendant appealed to the
Superior Court. The judge upheld the prosecutor's denial of defendant's
admission to PTI. Defendant then pled guilty to two counts of forgery. She was
sentenced to three years of probation and ordered to pay $31,599.88 in
restitution, payable fifty dollars monthly.
On appeal, defendant raises the following points:
POINT I
THE PROSECUTOR'S REJECTION OF MS.
PARKER'S PTI APPLICATION CONSTITUTES A
PATENT AND GROSS ABUSE OF DISCRETION.
A. Consideration of a dismissed municipal offense and
pending misdemeanor charges in finding factors 9 and
12 violated State v. K.S.; contrary to the State's
position, these factors weigh in favor of admission.
B. Contrary to the prosecutor's letter, the [B]ank's
statement that it did not object to the defendant's entry
into PTI supported factor 4 and weighs in favor of
admission.
C. The State's recommendation of probation and the
Court's finding of sentencing mitigating factor 10
demonstrates that PTI factors 5, 6, 14, and 17 all
support Ms. Parker's application.
D. Full and proper consideration of Ms. Parker's
application demonstrates compelling reasons to
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overcome the presumption against admission and that
denial of entry subverts the goals of PTI.
POINT II
THE RESTITUTION ORDER REQUIRING MS.
PARKER TO PAY $31,599. 88 FOR 52 YEARS AND
8 MONTHS IS MANIFESTLY EXCESSIVE.
POINT III
RESENTENCING IS REQUIRED BECAUSE THE
COURT INCORRECTLY REJECTED MITIGATING
FACTOR 4 AND FAILED TO PROVIDE A
STATEMENT OF REASONS FOR FINDING
AGGRAVATING FACTOR 3.
Our scope of review of a PTI denial is "severely limited." State v. Negran,
178 N.J. 73, 82 (2003). We afford significant deference to a prosecutor's
decision regarding PTI. State v. Wallace, 146 N.J. 576, 589 (1996). A
"[d]efendant generally has a heavy burden when seeking to overcome a
prosecutorial denial of his [or her] admission into PTI." State v. Watkins, 193 N.J. 507, 520 (2008). The decision whether to admit a defendant to a PTI
program is "'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. Nwobu, 139 N.J. 236, 255 (1995) (quoting State v.
Sutton, 80 N.J. 110, 119 (1979)).
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To overturn a prosecutor's rejection of an application for PTI, a defendant
must "clearly and convincingly establish that the prosecutor's decision
constitutes a patent and gross abuse of discretion." State v. Hoffman, 399 N.J.
Super. 207, 213 (App. Div. 2008) (internal quotations omitted). An abuse of
prosecutorial discretion is established when a defendant demonstrates
that a prosecutorial veto (a) was not premised upon a
consideration of all relevant factors, (b) was based upon
a consideration of irrelevant or inappropriate factors, or
(c) amounted to a clear error in judgment[.] In order
for such an abuse of discretion to rise to the level of
'patent and gross,' it must further be shown that the
prosecutorial error complained of will clearly subvert
the goals underlying [PTI].
[State v. Roseman, 221 N.J. 611, 625 (2015).]
Having reviewed the record, the prosecutor's rejection of defendant's PTI
application did not constitute a patent and gross abuse of discretion. We review
each of the applicable factors regarding defendant's PTI request.
We first consider factor nine, "[t]he applicant's record of criminal and
penal violations and the extent to which she may present a substantial danger to
others," N.J.S.A. 2C:43-12(e)(9), and factor twelve, "[t]he history of the use of
physical violence towards others." N.J.S.A. 2C:43-12(e)(12). These factors
examine a defendant's prior dismissed charges and arrests. Our Supreme Court
has held the "[u]se of prior dismissed charges alone as evidence of a history of
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and propensity for violence or a pattern of anti-social behavior, where
defendant's culpability or other facts germane to admission into [PTI] have not
been established in some way, constitutes an impermissible inference of guilt."
State v. K.S., 220 N.J. 190, 202 (2015).
Here, defendant was previously arrested for simple assault in connection
with a domestic violence incident, and the charge was dismissed. That
dismissed charge was not considered in evaluating defendant's admission in PTI.
However, after her arrest in this case, defendant was arrested in Pennsylvania
and charged with "Terroristic Threats and Use or Possession of an Electrical
Incapacitating Device." The prosecutor relied on the pending Pennsylvania
arrest to determine defendant has a propensity toward violence, satisfying
factors nine and twelve. The PTI judge upheld the determination, finding "the
State is not referencing the prior dismissals, but rather the pending Pennsylvania
matter. So it's a permissible reference under K.S."
Next is factor four, "[t]he desire of the complainant or the victim to forego
prosecution," N.J.S.A. 2C:43-12(e)(4). Defendant argues the Bank did not
oppose her entry into PTI. However, the Bank did not oppose PTI conditioned
on defendant's payment of restitution in the full amount. The Bank even
suggested the imposition of restitution in "[sixty] equal payments of $526.66."
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In rejecting factor four, the prosecutor determined, "the branch manager
at the . . . Bank has continued to cooperate with the State in its prosecution of
the case." The prosecutor deemed the "continued cooperation" on the part of
the Bank was not a statement "to forego prosecution." The judge upheld the
State's determination on this factor, finding this matter was "not a private dispute
between [the Bank] and defendant." The judge concluded preserving the
"integrity of the financial system" for the benefit of the general public was
paramount.
Factor five is the existence of personal problems and character traits which
may be addressed through services provided by supervisory treatment, N.J.S.A.
2C:43-12(e)(5), and factor six is the likelihood that the applicant's crime is
related to a situation that could be conducive to change through supervisory
treatment, N.J.S.A. 2C:43-12 (6). In arguing the prosecutor should have
considered factors five and six, defendant asserts a probationary sentence is
functionally the same as PTI. Since the State recommended a probationary
sentence, defendant claims the State should have granted defendant's PTI
application. Defendant contends, "[i]t is incongruous that in the probationary
context, the defendant possesses sufficient potential for rehabilitation, but that
she somehow lacks the potential to succeed in PTI."
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Defendant's assertion that a probationary sentence and PTI are equivalent
is flawed. While probation and PTI involve supervision and rehabilitation of a
defendant, a probationary sentence results in a conviction. Consequently, the
violation of a probationary sentence carries more serious consequences than a
violation of PTI. Thus, a probationary sentence presents a stronger deterrent
effect against future criminal conduct than PTI.
Defendant also asserts the prosecutor "completely failed to consider any
of the factors concerning [defendant's] amenability to supervisory treatment ,"
we disagree. The prosecutor expressly considered factor fourteen, "[w]hether
or not the crime is of such a nature that the value of supervisory treatment would
be outweighed by the public need for prosecution," N.J.S.A. 2C:43-12(e)(14),
and factor seventeen, "[w]hether or not the harm done to society by abandoning
criminal prosecution would outweigh the benefits to society from channeling an
offender into a supervisory treatment program," N.J.S.A. 2C:43-12(e)(17).
In considering factors fourteen and seventeen, the prosecutor determined
there was a "strong need for deterrence" in this case, which would not "be
accomplished by admitting the defendant into a minimally supervised short-term
program and then dismissing her case." The PTI judge found the prosecutor's
determination was "particularly within the purview of the State," and chose to
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not disturb this finding. Regarding factor seventeen, the judge again deferred to
the prosecutor, stating the harm to society in abandoning prosecution of
detention for this serious crime did not outweigh the benefits to society from
"channeling an offender into supervisory treatment." In this case, defendant
will receive supervisory treatment, but it will be through probation rather than
PTI.
Based on the foregoing, the PTI judge concluded the prosecutor
considered all of the relevant factors in rejecting defendant's PTI application and
found the denial of PTI was not a patent and gross abuse of discretion.
In reviewing a denial of PTI, we note there is a presumption of
incarceration for second-degree offenders, which may not be overcome except
in "'truly extraordinary and unanticipated circumstances' . . . [where] 'a serious
injustice' exists." Nwobu, 139 N.J. at 252 (quoting State v. Roth, 95 N.J. 334,
358 (1984)). A defendant may rebut the presumption by "showing compelling
reasons justifying the applicant's admission and establishing that a decision
against enrollment would be arbitrary and unreasonable." Guidelines for
Operation of Pretrial Intervention in New Jersey, Pressler & Verniero, Current
N.J. Court Rules, Guideline 3(i)(4) to R. 3:28 (2018). If a defendant "fails to
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rebut the presumption against diversion," then "[r]ejection based solely on the
nature of the offense is appropriate." State v. Caliguiri, 158 N.J. 28, 43 (1999).
Because defendant was charged with second-degree theft by deception,
she offers the following "compelling reasons" to overcome the presumption of
incarceration. Specifically, defendant states she is a single mother with a young
child, she has no prior record, and the stigma of a criminal record will prevent
her from working as a security guard. These reasons do not constitute "truly
extraordinary and unanticipated circumstances" of "a serious injustice." Nwobu,
139 N.J. at 252.
Contrary to defendant's argument, she has a prior record. Defendant was
arrested and charged in Pennsylvania with a violent crime, involving a stun gun.
Moreover, defendant worked as a security guard for one month, but has a two
year college background and certification in medical billing and coding,
affording her other job options. Further, many defendants are single parents
raising children. Having reviewed the record, we are satisfied the prosecutor
considered defendant's personal circumstances and determined defendant failed
to overcome the presumption against admission to PTI given the nature of the
offense in this case.
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We next review defendant's argument that restitution, imposed as part of
the judgment of conviction, is manifestly excessive. Pursuant to N.J.S.A.
2C:44-2(c)(2), in setting restitution, a court "shall take into account all financial
resources of the defendant, including the defendant's likely future earnings, and
shall set the amount of restitution so as to provide the victim with the fullest
compensation for loss that is consistent with the defendant's ability to pay." A
defendant will be required to pay restitution if: "(1) the victim . . . suffered a
loss; and (2) [t]he defendant is able to pay or, given a fair opportunity, will be
able to pay restitution." N.J.S.A. 2C:44-2(b).
Here, prior to the sentencing hearing, defendant's counsel advised
defendant was willing to pay the full restitution amount of $31,599.88 in
monthly installments of fifty dollars. The trial judge acknowledged he had the
discretion to limit the installment amount, but declined to do so because he was
"somewhat optimistic in [defendant's] prospects," and set the payment of
restitution at fifty dollars per month. The judge did so because defendant, in her
plea agreement and during the sentencing hearing, indicated she was able to pay
that amount. The judge also required periodic reviews of defendant's ability to
pay, allowing for the monthly payment to be modified if defendant's ability to
pay changed in the future.
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We discern no basis to disturb the amount defendant is required to pay
toward restitution. The sum is the amount defendant and her counsel stated she
was able to pay. Given defendant's two years of college and training in medical
coding and billing, defendant has the ability to fund the agreed upon monthly
restitution payment.
We next consider defendant's argument regarding the sentencing judge's
application of the mitigating and aggravating factors. Defendant contends
mitigating factor four was improperly rejected by the judge, and the judge's
finding of aggravating factor three lacked a requisite statement of reasons.
Our review of a sentencing decision is "narrow" and "governed by an
abuse of discretion standard." State v. Blackmon, 202 N.J. 283, 297 (2010). We
may modify a defendant's sentence if the judge was "clearly mistaken." State v.
L.V., 410 N.J. Super. 90, 107 (App. Div. 2009) (internal citation omitted).
Courts must consider aggravating and mitigating factors so long as they are
supported by credible evidence. Id. at 108.
Mitigating factor four provides, "[t]here were substantial grounds tending
to excuse or justify the defendant's conduct, though failing to establish a
defense." N.J.S.A. 2C:44-1(b)(4). As a domestic violence survivor, defendant
argues her conduct should be excused because she believed participating in this
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crime would free her, emotionally and financially, from her abusive boyfriend.
The judge disagreed, determining, "[a] desire to become financially independent
is not a mitigation . . . [it] is a motive to commit a financial crime, which
happened here."
There is not enough evidence in the record for us to conclude the judge
should have applied mitigating factor four. Defendant claims her boyfriend
pressured her to participate in this crime. However, the only evidence submitted
in support of her claim is defendant's own statement, which is insufficient to
find the judge abused his discretion or was "clearly mistaken." L.V., 410 N.J.
Super. at 107.
A trial judge must provide reasons for imposing a particular sentence. See
State v. Case, 220 N.J. 49, 65 (2014) (holding in order to "facilitate meaningful
appellate review, trial judges must explain how they arrived at a particular
sentence."); State v. Fuentes, 217 N.J. 57, 74 (2014) ("the court must 'state
reasons for imposing [a] sentence[.]'") (quoting R. 3:21-4(g)). However, a
sentence will be upheld if it is "possible in the context of [the] record to
extrapolate without great difficulty the court's reasoning . . . [and] does not
shock the judicial conscience." State v. Pillot, 115 N.J. 558, 566 (1989).
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Defendant asserts the judge failed to provide a statement of reasons for
applying aggravating factor three. In applying aggravating factor three, the trial
judge determined, "I find aggravating factor[ ] [three] . . . need to deter a risk of
future criminality . . . there is a need for specific deterrence here, and there
certainly is a general deterrence factor that applies."
Based on the record, we can "extrapolate without great difficulty," the
judge's reasoning regarding application of aggravating factor three. This case
presented a sophisticated crime, involving a significant sum of money, that was
well-planned between defendant and her boyfriend over the course of many
weeks. It was not a stretch for the judge to find a need to deter such crimes in
the future because of the carefully considered and deliberate nature of
defendant's criminal conduct. The application of this aggravating factor, based
on this record, does not shock our judicial conscience.
Affirmed.
