BOROUGH OF FRANKLIN VS. JEFFREY R. SMITH (L-0566-19, SUSSEX COUNTY AND STATEWIDE) ( 2021 )

NOT FOR PUBLICATION WITHOUT THE
APPROVAL OF THE APPELLATE DIVISION
SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
DOCKET NO. A-2545-19
BOROUGH OF FRANKLIN,
Plaintiff-Respondent, APPROVED FOR PUBLICATION
March 8, 2021
v.
APPELLATE DIVISION
JEFFREY R. SMITH,
Defendant-Appellant.
_________________________
Submitted January 6, 2021 – Decided March 8, 2021
Before Judges Sumners, Geiger and Mitterhoff.
On appeal from the Superior Court of New Jersey,
Law Division, Sussex County, Docket No. L-0566-19.
Caruso Smith Picini, PC, attorneys for appellant
(Timothy R. Smith and Wolodymyr P. Tyshchenko, of
counsel; Sara B. Liebman, on the briefs).
Cleary Giacobbe Alfieri Jacobs, LLC, attorneys for
respondent (Matthew J. Giacobbe, of counsel and on
the brief; Victoria A. Leblein, on the brief).
The opinion of the court was delivered by
SUMNERS, JR., J.A.D.
This appeal requires us to determine if a police officer employed in a
non-civil service municipality can be subpoenaed to testify in the
municipality's case-in-chief at a departmental disciplinary hearing seeking his
termination. We conclude the subpoena violates neither fundamental fairness
and due process nor statutory procedures governing discipline of a police
officer in a non-civil service municipality. We further conclude that absent an
objection to a specific question, it is premature to determine whether there is a
violation of the officer's Fifth Amendment constitutional right against self -
incrimination. Accordingly, we affirm the Law Division order granting th e
municipality's request to enforce the subpoena.
I
The essential facts are not in dispute. Defendant Jeffrey R. Smith was
suspended from his position as a lieutenant with the Borough of Franklin
(Borough) Police Department because of an internal affairs investigation
triggered by the positive results of a random drug test. The Sussex County
Prosecutor's Office (SCPO) concluded Smith had engaged in criminal conduct
by obtaining prescription drugs by fraud but declined to prosecute. 1 The
1
First Assistant Prosecutor Gregory R. Mueller wrote a letter to Borough
Police Chief Eugene McInerney stating: "I want to emphasize that our [o]ffice
has concluded that Lt. Smith engaged in criminal conduct, specifically by
illegally obtaining [controlled dangerous substances] by [f]raud. Our [o]ffice,
therefore, has the ability to prosecute Lt. Smith for this conduct." However,
the letter stated further that, in exercise of prosecutorial discretion, the office
chose not to initiate criminal proceedings because it believed Smith "must be[]
terminated for his conduct[,]" which is a "very substantial penalty. . . ."
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SCPO instead referred the matter back to the police department for
administrative disciplinary proceedings. Smith was not offered immunity from
prosecution.
The Borough moved forward with termination proceedings. Smith, in
turn, requested a departmental hearing, where a hearing officer would
"determine the charge . . . made against [him], [and would] have the power to
subpoena witnesses and documentary evidence[,]" unless prohibited by law.
N.J.S.A. 40A:14-148.
At the Borough's request, the hearing officer issued a subpoena requiring
Smith to testify on behalf of the Borough at the departmental hearing. The
subpoena was properly served on Smith, who made no application to quash it.
The Borough called Smith as its first witness at the hearing. Smith's
counsel objected, arguing that the Borough could not call Smith "as the first
witness[,]" and that, as Smith's counsel, he "should be given an opportunity to
call . . . Smith first," in defense of the charges. Counsel maintained that
"[d]oing it in [the Borough's] order is very disadvantageous, unfair to [Smith]
at this point in time before you have a [single] witness put on the stand and the
evidence is laid out against [Smith]." The Borough responded that Smith
failed to quash the subpoena and that no law dictated the order in which
subpoenaed witnesses could be called. The hearing officer ruled that Smith
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must testify when called by the Borough and that after the hearing he would
consider the parties' submissions to determine if Smith's testimony on behalf
of the Borough should be stricken. Smith's counsel refused to allow Smith to
testify, causing the hearing to be adjourned.
To enforce its subpoena, the Borough filed an order to show cause and
verified complaint in the Law Division for an order under N.J.S.A. 40A:14-
148.2 The statute provides that, "[e]xcept as otherwise provided by law, the
officer, board[,] or authority empowered to hear and determine the charge or
charges made against a member or officer of the police department or force,
shall have the power to subpoena witnesses and documentary evidence."
N.J.S.A. 40A:14-148.
After considering the parties' legal submissions and argument, Judge
David J. Weaver granted the Borough's request, explaining his reasoning in an
oral decision. Noting no specific caselaw controlled the Borough's
application, the judge found support in state and federal evidentiary rules and
statutes. In rejecting Smith's argument that he need only testify in his own
defense, and only then be cross-examined by the Borough, the judge reasoned:
2
The Borough also sought sanctions against Smith's counsel, seeking
reimbursement of the reasonable costs and fees associated with the Law
Division action and the adjourned disciplinary hearing. The request was
denied. It is not an issue before us.
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I don't believe that the law supports that
necessarily or demands that that occur. New Jersey
Rule of Evidence 611(c) expressly permits a party [to
call an] adverse party as a witness and subject to the
court's discretion to interrogate through the use of
leading questions.
....
And in [N.J.S.A.] 2A:81-6, "In all civil actions
in any court of record a party shall be sworn and shall
give evidence when called by the adverse party, but no
party shall be compelled to be sworn or give evidence
in any action brought to recover a penalty or to
enforce a forfeiture. This section shall not be applied
to actions for divorce."
The judge also cited N.J.S.A. 2A:81-11, which states, "[e]xcept as
otherwise provided by law, when any party is called as a witness by the
adverse party[,] he shall be subject to the same rules as to examination and
cross-examination as other witnesses." In addition, the judge pointed to Fed.
R. Evid. 611(c), explaining it "permits a party to call an adverse witness . . . to
interrogate him [with] leading questions."
The judge relied upon case law from New Jersey and other jurisdictions
standing for the proposition that a party can call another party to testify in a
civil action. See State v. Rajnai, 132 N.J. Super. 531, 541 (App. Div. 1975)
(citation omitted) ("While broad latitude may be allowed in examining a
hostile witness, especially a party called by his adversary in a civil action, . . .
it is clear that prior testimony, not itself offered in evidence, may be used in a
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limited fashion to refresh the recollection of a non-hostile witness."); Crothers
v. Caroselli, 126 N.J.L. 590, 592-93 (1941) (finding that when called by the
adverse party, it is compulsory for a party to be sworn and testify); Scenic
Holding, LLC v. New Bd. of Trs. of Tabernacle Missionary Baptist Church,
Inc., 506 F.3d 656, 664 (8th Cir. 2007) (noting that a party can conduct an
examination using leading questions when an adverse witness is called); and
Mathews v. Hines, 444 F. Supp. 1201, 1208 (M.D. Fla. 1978) (finding that
Fed. R. Evid. 611(c) allows one party to call another as an adverse witness).
Furthermore, the judge found that N.J.A.C. 4A:2-2.6(c), which provides
an "employee shall not be required to testify, but an employee who does testify
will be subject to cross-examination[,]" did not apply to Smith's departmental
hearing. The regulation only applies to civil service jurisdictions under Title 4
of the New Jersey Administrative Code and the Civil Service Act, N.J.S.A.
11A:1-1 to 12-6, and the Borough is a non-civil-service jurisdiction.
Judge Weaver expressly limited the scope of his decision, declining to
rule on Smith's Fifth Amendment self-incrimination argument. The judge
remarked:
my function under [N.J.S.A. 40A:14-148] is a very
limited one. I'm . . . not here as an overseer of every
potential question that may be asked or to rule on . . .
evidence or [such questions], I am here to enforce a
subpoena.
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Do I think the subpoena is enforceable? Yes,
okay, based on . . . what I've just stated in the record.
However, I don't believe it's necessary to rule on a
privilege that may or may not be raised as to self-
incrimination at this juncture, and that's mainly
because the defendant admits that the privilege may
not be invoked and at this time . . . defendant is not
definitively invoking the privilege.
In addition, the judge noted Smith's counsel said he intended to call
Smith to testify in defense of the charges. He concluded: "nothing prohibits,
prevents [Smith] from being called on [the Borough's] case[-]in[-]chief."
II
Before us, Smith contends the order enforcing the Borough's subpoena
violates fundamental fairness and due process as well as the legislative intent
of N.J.S.A. 40A:14-150. Relying upon the doctrine of fundamental fairness
articulated in Doe v. Poritz, 142 N.J. 1, 109 (1995), Smith asserts that
requiring him to testify as the Borough's first witness is unjust and arbitrary
governmental action. He maintains the unfairness is amplified by the fact that
as a public employee, he was compelled to give a statement during the
Borough's internal affairs investigation. Thus, he characterizes the subpoena
as "oppression [and] harassment." Id. at 108 (quoting State v. Yoskowitz, 116
N.J. 679, 712 (1989) (Garibaldi, J., concurring and dissenting)). In addition,
Smith contends requiring him to testify first for the Borough, is fundamentally
unfair and violates administrative due process "because it is calculated to force
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him to testify before he has heard a single witness testify against him[,]" and
"deprive[s] [him] of a meaningful opportunity to be heard and to defend
himself."
Smith argues his position is bolstered by the New Jersey Attorney
General Internal Affairs Policy and Procedures, which provide that when
administrative charges have been filed against a police officer in a civil service
jurisdiction,3 fairness ought to preclude further questioning of the officer and
he cannot be compelled to provide a statement. Off. of the Att'y Gen., Internal
Affairs Policy & Procedures § 8.4.2 (Dec. 2019). Even though the Borough is
a non-civil service jurisdiction, Smith argues the distinction with a civil
service jurisdiction is "meaningless and illusory."
Smith likewise argues that because a police officer in a civil service
jurisdiction may refuse to testify at his or her disciplinary hearing under
N.J.A.C. 4A:2-2.6(c), the same right should apply to officers in non-civil
service jurisdictions. Further, according to Smith, the legislative intent behind
N.J.S.A. 40A:14-150, which governs discipline of police officers in non-civil
service jurisdictions, supports his position that "there is no practical
difference" between a civil service and a non-civil service jurisdiction.
3
In accordance with N.J.A.C. 4A:2-2.6(c).
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We appreciate Smith's contention that a police officer employed by a
non-civil service jurisdiction should have the same right not to be compelled to
testify at the officer's departmental hearing as does a police officer employed
by a civil service jurisdiction. We conclude, however, Judge Weaver correctly
ordered that based on N.J.S.A. 40A:14-148, the Borough's subpoena requiring
Smith to testify on its behalf should be enforced irrespective of the order in
which he is called. Proceedings governing the termination of a police officer
in a non-civil service jurisdiction are set forth in N.J.S.A. 40A:14-147 to -151.
Ruroede v. Borough of Hasbrouck Heights, 214 N.J. 338, 343 (2013).
A civil service jurisdiction operates under the Civil Service Act,
N.J.S.A. 11:20-1 to 11:20-8. See Grasso v. Borough Council of Glassboro,
205 N.J. Super. 18, 22 (App. Div. 1985). N.J.A.C. 4A:2-2.6(c) was enacted
shortly after 2009 amendments to the statutory scheme were made to
"enhance[] the rights of certain disciplined police officers and firefighters." In
re DiGuglielmo, 465 N.J. Super. 42, 53 (App. Div. 2020). Because the
language of N.J.S.A. 40A:14-150 is clear and does not "lead[] to an absurd
result," there is no need to look towards legislative intent for guidance. See
Tasca v. Bd. of Trs., Police & Firemen's Ret. Sys., 458 N.J. Super. 47, 56
(App. Div. 2019) (quoting Tumpson v. Farina, 218 N.J. 450, 468 (2014)
(alteration in original)).
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Smith accurately asserts that the legislative history of N.J.S.A. 40A:14 -
150 indicates the statute was intended to "make more uniform the statutory
provisions concerning the discharge of employees in counties and
municipalities not operating under [civil service jurisdictions]." Grasso, 205
N.J. Super. at 24 (quoting Senate Cnty. and Mun. Gov't Comm. Statement,
Comment, N.J.S.A. 40A:9–25 (1985 Supp.)). His interpretation, however, of
Grasso is overly broad and, as noted above, misconstrues the uniformity
sought by the Legislature.
As we reasoned in Grasso,
N.J.S.A. 40A:14–150 was enacted for the benefit of
public employees not subject to civil service to
provide them with protection from arbitrary,
unreasonable, biased or prejudicial action of the
municipal officials by providing a right to a de novo
hearing on the conviction of the charges of breach of
discipline and sentence imposed.
[205 N.J. Super. at 27.]
Uniformity was sought to ensure that employees in non-civil service
jurisdiction were treated the same. The statute cannot be read to mean,
however, that non-civil service employees subject to disciplinary action are
entitled to the same process.
To agree with Smith's contention would be tantamount to judicially
enacting a regulation like N.J.A.C. 4A:2-2.6(c) for non-civil service
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jurisdictions by precluding the Borough from compelling his testimony. The
Legislature has chosen not to extend this regulatory limitation to non-civil
service jurisdictions since the adoption of N.J.A.C. 4A:2-2.6(c) by the Civil
Service Commission in 2009. See 41 N.J.R. 2720(a) (2009). It is not within
our authority to create functional equivalents for non-civil service jurisdictions
where there is no clear basis to do so in the statutory or regulatory language.
See Trainor v. Burlington Cnty. Bd. of Chosen Freeholders, 216 N.J. Super.
289, 292 (App. Div. 1987) ("If [statutory] language is clear, we are not f ree to
prescribe a meaning beyond it, for to do so would violate the separation of
powers doctrine."). Accordingly, there is no basis to conclude that N.J.A.C.
4A:2-2.6(c)'s bar to compelling a police officer to testify at a disciplinary
hearing in a civil service jurisdiction, should apply to the Borough's non-civil
service proceedings against Smith.
We agree with Judge Weaver that Smith's reliance on the Attorney
General's Guidelines, which preclude questioning of a police officer in a
disciplinary hearing, is misplaced. Similar to the prohibitions in N.J.A.C.
4A:2-2.6(c), the guidelines only apply to civil service jurisdictions.
As for Smith's fundamental fairness and due process arguments, he has
not demonstrated that the Borough's ability to subpoena him and have him
testify in the order it chooses, impacts his rights at the disciplinary hearing.
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"The doctrine of fundamental fairness 'serves to protect citizens generally
against unjust and arbitrary governmental action, and specifically against
governmental [procedures] that tend to operate arbitrarily.'" State v. Saavedra,
222 N.J. 39, 67 (2015) (quoting Doe, 142 N.J. at 108). The doctrine is applied
"sparingly" and only where the "interests involved are especially
compelling[;]" if a defendant would be subject "to oppression, harassment, or
egregious deprivation[.]" Doe, 142 N.J. at 108 (quoting Yoskowitz, 116 N.J.
at 712).
In support of his contention, Smith misplaces reliance on Nicoletta v. N.
Jersey Dist. Water Supply Comm'n, 77 N.J. 145, 166 (1978) and Ruroede, 214
N.J. at 358-60, which only provide he has a right to present evidence, confront
witnesses, and be represented by counsel at his hearing. There were no such
deficiencies here. The Borough's subpoena did not deny Smith the righ t to
testify or confront witnesses, and it was through his atorney's advice that he
chose not to honor the subpoena. Smith has not identified any civil or
administrative law standards preventing the Borough from subpoenaing him to
testify. The Borough's decision to have Smith testify first is a proper exercise
of its hearing strategy. After testifying for the Board, Smith would have a
second opportunity to speak when he presented his defense.
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Thus, Judge Weaver did not abuse his discretion in enforcing the
subpoena and did not misapply the law. See Wasserstein v. Swern & Co., 84
N.J. Super. 1, 6 (App. Div. 1964) (holding the decision to quash a subpoena is
reviewed under an abuse of discretion standard, provided the ruling is
consistent with applicable law). The judge's reliance upon relevant state and
federal rules of evidence was sound reasoning. These standards clearly set
forth the overriding principle that, in a civil proceeding, it is appropriate for a
party to call an adverse party to support its proofs.
III
Lastly, we address Smith's contention that his Fifth Amendment right
not to incriminate himself when subpoenaed by the Borough should have been
addressed by Judge Weaver. He asserts that his testimony would not be
protected under Garrity v. New Jersey, 385 U.S. 493, 500 (1967), and could be
used against him in a subsequent criminal prosecution. We reject these
contentions.
"The right against self-incrimination is guaranteed by the Fifth
Amendment to the United States Constitution and this state's common law,
now embodied in statute, N.J.S.A. 2A:84A-19, and evidence rule, N.J.R.E.
503." State v. S.S., 229 N.J. 360, 381-82 (2017) (quoting State v. Nyhammer,
197 N.J. 383, 399 (2009)). The Fifth Amendment provides that "[n]o pers on . .
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. shall be compelled in any criminal case to be a witness against himself . . . ."
U.S. Const. amend. V. Protection against self-incrimination "applies only
when the accused is compelled to make a testimonial communication that is
incriminating." Fisher v. United States, 425 U.S. 391, 408 (1976).
Here, Smith declined to testify, arguing that the Borough did not have
the right to call him to testify as the first witness in its case-in-chief. Because
he refused to testify and was not posed any questions, as the judge correctly
noted, Smith never exercised his Fifth Amendment right. The Fifth
Amendment privilege is not a blanket immunity. A party "does not have a
'blanket' right to refuse all questions." State Farm Indem. Co. v. Warrington,
350 N.J. Super. 379, 388 (App. Div. 2002). To execute a "particularized
inquiry[,]" the court must consider on a question-by-question basis whether
each "might elicit [an] incriminatory answer[] . . . ." United States v. Bowe,
698 F.2d 560, 566 (2d Cir. 1983); see In re Ippolito, 75 N.J. 435, 439 (1978)
(explaining how the Superior Court evaluated a witness's privilege claims on a
question-by-question basis). However, "we [do not] decide a case based on
facts which are undeveloped or uncertain . . . ." State v. Tormasi, ___ N.J.
Super. ___ (App. Div. 2021) (slip op. at 24) (quoting N.J. Ass'n for Retarded
Citizens, Inc. v. N.J. Dep't of Human Servs., 89 N.J. 234, 241 (1982)).
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We cannot rule in the abstract when there was no question to which
Smith's counsel objected and upon which the hearing officer had to rule. As
the Third Circuit has held:
The task of discerning the self-incriminating from the
non-incriminating falls upon the witness asserting the
privilege in the first instance. This, however, is
merely a subjective judgment. The juridical
responsibility of objectively assessing whether the
silence is justified rests with the court. The court,
however, cannot effectively determine whether "a
responsive answer to a question or an explanation of
why it cannot be answered might be (incriminating)"
except in the context of a propounded question.
[Nat'l Life Ins. Co. v. Hartford Accident. & Indem.
Co., 615 F.2d 595, 598 (3d Cir. 1980) (citing Hoffman
v. United States, 341 U.S. 479, 487 (1951)).]
Hence, we have no reason to disagree with the judge's decision not to
determine if Smith's right against self-incrimination was violated.
Smith's Garrity rights would not be violated when he testifies under
subpoena. In Garrity, the United States Supreme Court ruled "the protection of
the individual under the Fourteenth Amendment against coerced statements
prohibits use in subsequent criminal proceedings of statements obtained under
threat of removal from office, and . . . it extends to all, whether they are
policemen or other members of our body politic." 385 U.S. at 500. Smith
invoked his Garrity rights at his internal affairs investigation. Should he do
likewise at the departmental hearing, his statements could not be used against
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him in a criminal prosecution.4 See United States v. Hubbell, 530 U.S. 27, 38
(2000) (noting that Fifth Amendment protects "against the prosecutor's use of
incriminating information derived directly or indirectly from . . . compelled
testimony . . . ."). Of course, should Smith testify in his own defense, the use
of that testimony in any criminal prosecution may result in a different
outcome.
Affirmed.
4
As set forth above in footnote 1, the SCPO indicated that it decided not to
prosecute Smith and that the Borough should seek his termination. However,
there is no indication this decision is binding and cannot be reversed,
especially should the Borough not be successful in terminating Smith.
Moreover, as Smith points out, the SCPO has not given him immunity from
prosecution.
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