State v. Richard Gomes; State v. Moataz M. Sheira
CourtSupreme Court of New Jersey
Date FiledFebruary 14, 2023
DocketA-64/65-21
StatusPublished
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Full Opinion
SYLLABUS
This syllabus is not part of the Court’s opinion. It has been prepared by the Office
of the Clerk for the convenience of the reader. It has been neither reviewed nor
approved by the Court and may not summarize all portions of the opinion.
State v. Richard Gomes (A-64/65-21) (087192)
Argued January 3, 2023 -- Decided February 14, 2023
SABATINO, P.J.A.D. (temporarily assigned), writing for a unanimous Court.
In these consolidated appeals, the Court considers whether persons such as
defendants Richard Gomes and Moataz M. Sheira, who received conditional
discharges for marijuana offenses before the 2021 adoption of the Cannabis
Regulatory, Enforcement Assistance, and Marketplace Modernization Act
(CREAMMA), are statutorily ineligible for admission into the pretrial intervention
(PTI) program for new offenses. PTI is a diversionary program that allows
offenders to avoid criminal prosecution for certain first offenses in favor of an
alternate disposition.
The defendants arrived here through different paths from separate counties
but have several things in common. Both received a previous conditional discharge
stemming from a possessory marijuana offense that is no longer unlawful in New
Jersey after CREAMMA. They were both charged with new offenses and applied
for admission into PTI. A trial court concluded Sheira was statutorily ineligible for
PTI because of his previous conditional discharge for marijuana possession, but a
different trial court reached the contrary conclusion as to Gomes. Applying the “one
diversion only” general limitation of the PTI statute, N.J.S.A. 2C:43-12(g)(1), and
the terms of expungement statutes enacted before CREAMMA, see generally
N.J.S.A. 2C:52-1 to -32.1, the Appellate Division held that the defendants here are
statutorily barred from PTI eligibility. 472 N.J. Super. 515, 536 (App. Div. 2022).
The Court granted leave to appeal. 251 N.J. 468 (2022); 251 N.J. 471 (2022).
HELD: Persons who received pre-CREAMMA conditional discharges for specified
marijuana offenses -- just like persons who had pre-CREAMMA convictions for
those marijuana offenses -- are no longer categorically precluded from future
admission into PTI. Instead, prosecutors and reviewing courts must consider the
merits of their PTI applications, without regard to the existence or circumstances of
the earlier marijuana-related conditional discharges. The holding harmonizes
CREAMMA and its manifest legislative intent with the pre-existing general
language of the PTI and expungement statutes, including the Legislature’s command
in CREAMMA to apply its reforms to “any case” that arose before its enactment.
1
1. The Court reviews the history of the statutory scheme concerning pretrial
intervention. From the outset, the primary purpose of PTI has been to assist in the
rehabilitation of worthy defendants, and, in the process, to spare them the rigors of
the criminal justice system. Up until the adoption of CREAMMA, PTI eligibility
has been governed by the so-called “one diversion only” policy. The PTI statute
declares that “[i]t is the policy of the State of New Jersey that supervisory treatment
should ordinarily be limited to persons who have not previously been convicted of
any criminal offense under the laws of New Jersey.” N.J.S.A. 2C:43-12(a)
(emphasis added). With respect to defendants who have not been convicted of a past
crime but who have instead received a conditional discharge or some other form of
supervisory treatment, the PTI statute further provides in relevant part that
“[s]upervisory treatment may occur only once with respect to any defendant and any
person who has previously received . . . a conditional discharge.” N.J.S.A. 2C:43 -
12(g)(1) (emphasis added). The text of the current Rule 3:28-1(c)(1), which has not
been revised since CREAMMA’s enactment, repeats the bars set forth in the statute
and additionally bars PTI enrollment if the person “previously was enrolled in a
diversionary program under the laws of any other state or the United States.” The
Court reviews in detail two pre-CREAMMA Appellate Division cases that
recognized the general “one diversion only” facet of the PTI statute. (pp. 11 -18)
2. The Court turns to the history and pertinent terms of the New Jersey
expungement statutes housed in Chapter 52 of the Code of Criminal Justice. Among
the components of Chapter 52 is a general provision delineating how expunged
records “may” be supplied and used in relation to a defendant’s present eligibility
for supervisory treatment or diversion programs. See N.J.S.A. 2C:52-20. Another
context in which expunged records generally are to be considered is in connection
with pretrial release and bail determinations. See id. at -21. However, since the
enactment of CREAMMA in 2021, one factor is explicitly excluded from
consideration in such pretrial detention or bail decisions: certain prior marijuana -
related offense records. (pp. 18-22)
3. The Court reviews in detail the enactment of CREAMMA and two additional
bills; together, the three bills establish a broad regime of civil and criminal
provisions to regulate the newly legalized possession, consumption, and
commercialization of cannabis and products that contain it. In its findings and
declarations section, CREAMMA articulates a legislative intent “to adopt a new
approach to our marijuana policies . . . in a similar fashion to the regulation of
alcohol for adults.” N.J.S.A. 24:6I-32(a). The statute broadly includes fourteen
other findings and declarations. See id. at (b) to (o). Among CREAMMA’s
provisions legalizing and regulating adult-use cannabis was an expansive
expungement provision, codified at N.J.S.A. 2C:52-6.1, which directs automatic
expungement -- “by operation of law” -- of “any case” that includes a prior
conviction for the obtaining or possession of marijuana, certain other marijuana
2
offenses, and “any disorderly persons offense or petty disorderly persons offense
subject to conditional discharge.” Notably, the phrase “by operation of law” appears
nowhere else in the entire Criminal Code. In conjunction with CREAMMA’s
automatic expungement provisions, the Attorney General issued a Law Enforcement
Directive ordering that any guilty plea, verdict, placement in diversionary program,
or other entry of guilt prior to that date for a qualified marijuana-related offense be
fully vacated “by operation of law.” In addition, the Attorney General’s Directive
ordered that “[a]ny [marijuana-related] disorderly persons offense or petty disorderly
persons offense subject to conditional discharge pursuant to this section” be vacated.
Ibid. (emphasis added). The Legislature did not include within CREAMMA an
explicit provision revising the general PTI statute to address the impact of a
previous-but-now-vacated conditional discharge upon a person’s future PTI
eligibility. Nor did the Legislature revise the expungement statute in a manner that
addresses that particular eligibility question directly. However, the language of
CREAMMA expungement is unique. It provides for automatic expungement of “any
case” “by operation of law.” N.J.S.A. 2C:52-6.1. That is unlike traditional
expungement provisions. (pp. 22-28)
4. After reviewing relevant principles of statutory construction -- including that
more recent provisions ordinarily supersede, qualify, or illuminate language adopted
earlier and that more specific provisions usually control over more general ones --
the Court notes that the Legislature’s choice of the term “may” in N.J.S.A. 2C:52-20
(the general expungement statute) versus “shall” in N.J.S.A. 2C:52-21 (which
pertains to pretrial release and bail determinations) is consistent with a permissive,
rather than mandatory, use of expunged records outside of a bail or pretrial detention
context. Further, CREAMMA revised the expungement and drug statutes to vacate
and expunge qualifying previous marijuana convictions and dispositions “by
operation of law.” N.J.S.A. 2C:52-6.1; N.J.S.A. 2C:35-23.1(b)(1) and (b)(2). At the
very least, the phrase “by operation of law” signifies that an individual with an
eligible marijuana conviction or conditional discharge should not have to take
affirmative steps to file an expungement petition with a court or prove rehabilitation
to obtain relief. And the Legislature’s use within CREAMMA’s expungement
provision of a broad term -- covering “any case” that transpired prior to
CREAMMA’s effective date -- is especially instructive. See N.J.S.A. 2C:52-6.1. A
former marijuana charge that resulted in a conditional discharge or other diversion is
surely a “case.” Indeed, the PTI statute itself logically refers to PTI as the treatment
of a particular “case.” See N.J.S.A. 2C:43-12(e)(15). (pp. 28-33)
5. The text of the PTI statute itself can be harmonized with CREAMMA in a similar
manner. The Court is mindful of the PTI statute’s generic language in N.J.S.A.
2C:43-12(g)(1) -- that a person with a previous conditional discharge “shall not be
eligible” for PTI. But the PTI statute does not address the present distinctive and
extraordinary situation in which conduct that had previously been deemed unlawful
3
is now, in retrospect, deemed to have not occurred. The PTI statute does not say
that its “one diversion only” general statutory bar must penalize individuals who had
been charged with a marijuana offense that the Legislature has since declared,
through a comprehensive reform law, to be a nullity. In fact, persons who had
previous marijuana convictions are allowed to apply for PTI when charged with new
offenses. There is nothing in the text or enactment history of CREAMMA that
supports a legislative intent to deprive persons with previous conditional discharges
of that same opportunity. And there are reasons why the Legislature might have
found it necessary to expressly provide that previous marijuana conditional
discharges could no longer be considered in bail and pretrial detention but not to
include a similar express prohibition for the PTI setting, namely the use of the
mandatory term “shall” in N.J.S.A. 2C:52-21 versus “may” in N.J.S.A. 2C:52-20, as
well as a desire to ensure that a previous marijuana conditional discharge would not
provide the grounds to incarcerate an arrestee as a supposed public safety risk in
light of the public policy issues addressed by the Criminal Justice Reform Act of
2014 (CJRA), N.J.S.A. 2A:162-15 to -26. The Court’s statutory interpretation is
consistent with the litany of findings expressed in N.J.S.A. 24:6I-32(a) through (o),
which reflect a clear legislative intent to construe CREAMMA and its companion
bills broadly and robustly so as to achieve their remedial purposes. (pp. 33-36)
6. The Court explains that pre-CREAMMA opinions do not control the analysis of
defendants’ circumstances and notes that its holding here does not eviscerate in
other non-marijuana contexts the “one diversion only” general mandate of N.J.S.A.
2C:43-12(g). That provision continues to apply for such other matters not within
CREAMMA’s ambit. Explaining that its reversal of the Appellate Division’s
decision does not automatically entitle a PTI applicant with a previous marijuana
conditional discharge to be admitted into the program, the Court provides guidance
for remand. The Court stresses that this is an exceptional situation involving a
sweeping new statute that it has endeavored to harmonize sensibly with pre-existing
laws. (pp. 37-39)
REVERSED. Each case is REMANDED to the respective trial court.
CHIEF JUSTICE RABNER and JUSTICES PATTERSON, SOLOMON,
PIERRE-LOUIS, WAINER APTER, and FASCIALE join in JUDGE
SABATINO’s opinion.
4
SUPREME COURT OF NEW JERSEY
A-64/65 September Term 2021
087192
State of New Jersey,
Plaintiff-Respondent,
v.
Richard Gomes,
Defendant-Appellant.
State of New Jersey,
Plaintiff-Respondent,
v.
Moataz M. Sheira,
Defendant-Appellant.
State of New Jersey,
Plaintiff,
v.
Jason Chiriboga,
Defendant.
State of New Jersey,
Plaintiff,
v.
Maju D. Barry,
Defendant.
On appeal from the Superior Court,
Appellate Division, whose opinion is reported at
472 N.J. Super. 515 (App. Div. 2022).
Argued Decided
January 3, 2023 February 14, 2023
Alison S. Perrone, Deputy Public Defender, argued the
cause for appellant in State v. Sheira (A-64-21) (Joseph
E. Krakora, Public Defender, attorney; Alison S. Perrone,
of counsel and on the brief).
Scott A. Gorman argued the cause for appellant in State
v. Gomes (A-65-21) (Maitlin Maitlin Goodgold Brass &
Bennett, attorneys; Scott A. Gorman, of counsel and on
the brief).
Matthew W. Kelly, Assistant Prosecutor, argued the
cause for respondent in State v. Sheira (A-64-21) (Robert
J. Carroll, Morris County Prosecutor, attorney; Matthew
W. Kelly, on the briefs).
Patrick F. Galdieri, II, Assistant Prosecutor, argued the
cause for respondent in State v. Gomes (A-65-21)
(Yolanda Ciccone, Middlesex County Prosecutor,
attorney; Patrick F. Galdieri, II, of counsel and on the
brief).
2
Matthew J. Platkin, Attorney General, argued the cause
for amicus curiae Attorney General of New Jersey
(Matthew J. Platkin, Attorney General, attorney; Jeremy
M. Feigenbaum, Solicitor General, and Claudia Joy
Demitro, Assistant Attorney General, of counsel and on
the brief).
Alexander Shalom argued the cause for amicus curiae
American Civil Liberties Union of New Jersey (American
Civil Liberties Union of New Jersey Foundation,
attorneys; Alexander Shalom and Jeanne LoCicero, on
the brief).
Michael B. Roberts argued the cause for amicus curiae
New Jersey State Bar Association (New Jersey State Bar
Association, attorneys; Jeralyn L. Lawrence, President, of
counsel, and Michael B. Roberts, on the brief).
CJ Griffin argued the cause for amicus curiae Association
of Criminal Defense Lawyers of New Jersey (Pashman
Stein Walder Hayden, attorneys; CJ Griffin, of counsel
and on the brief, and Dillon J. McGuire, on the brief).
Akil Roper argued the cause for amicus curiae Legal
Services of New Jersey (Legal Services of New Jersey,
attorneys; Akil Roper, Dawn K. Miller, and Rosalyn
Scriven, on the brief).
JUDGE SABATINO (temporarily assigned)
delivered the opinion of the Court.
In 2021 the Legislature adopted the Cannabis Regulatory, Enforcement
Assistance, and Marketplace Modernization Act (CREAMMA), L. 2021, c. 16,
a sweeping law that largely decriminalizes the simple possession of cannabis
in New Jersey and redresses many lingering adverse consequences of certain
3
previous marijuana offenses. Among other things, CREAMMA signifies that
such prior marijuana offenses must be deemed not to have occurred and
directs, by operation of law, their automatic expungement from an offender’s
criminal record.
The two consolidated appeals before us pose the question of whether
persons such as defendants Richard Gomes and Moataz M. Sheira, who
received conditional discharges for marijuana offenses before CREAMMA’s
adoption, are statutorily ineligible for admission into the pretrial intervention
(PTI) program for new offenses. PTI is a diversionary program that allows
offenders to avoid criminal prosecution for certain first offenses in favor of an
alternate disposition.
Applying the “one diversion only” general limitation of the PTI statute,
N.J.S.A. 2C:43-12(g)(1), and the terms of expungement statutes enacted before
CREAMMA, see generally N.J.S.A. 2C:52-1 to -32.1, the Appellate Division
held that the defendants here are statutorily barred from PTI eligibility. The
present appeals ensued.
Guided by fundamental principles of statutory interpretation, we
harmonize CREAMMA and its manifest legislative intent with the pre-existing
general language of the PTI and expungement statutes. Most notably, we carry
4
out the Legislature’s command in CREAMMA to apply its reforms to “any
case” that arose before its enactment.
Upon harmonizing the statutes, we conclude that persons who received
pre-CREAMMA conditional discharges for specified marijuana offenses -- just
like persons who had pre-CREAMMA convictions for those marijuana
offenses -- are no longer categorically precluded from future admission into
PTI. Instead, prosecutors and reviewing courts must consider the merits of
their PTI applications, without regard to the existence or circumstances of the
earlier marijuana-related conditional discharges. Our conclusion is consistent
with the arguments of the Attorney General as the State’s chief law
enforcement officer, as well as all but one of the parties and amici before us.
We therefore reverse the Appellate Division’s holding and remand for
further proceedings in these consolidated cases.
I.
The defendants arrived here through different paths from separate
counties, but they have several things in common. Both of them received a
previous conditional discharge stemming from a possessory marijuana offense
that is no longer unlawful in New Jersey after CREAMMA. They both have
been charged with new offenses and have applied for admission into PTI. And
both have been categorically excluded from PTI under the Appellate
5
Division’s interpretation of post-CREAMMA law. Given those commonalties
and the purely legal nature of the issues posed to us on appeal, the details
regarding each defendant can be stated concisely.
In November 2020, defendant Gomes was charged in Middlesex County
with third- and fourth-degree assault by auto, N.J.S.A. 2C:12-1(c)(2).1 In
March 2021, defendant Sheira was charged in Morris County with two counts
of third-degree possession of cocaine and heroin, N.J.S.A. 2C:35-10(a)(1).
Gomes and Sheira previously had been charged with disorderly persons
offenses for possession of marijuana under the pre-CREAMMA terms of
N.J.S.A. 2C:35-10(a)(4). In both cases, the charges were dismissed through a
conditional discharge 2 following each defendant’s successful completion of a
diversionary treatment program under N.J.S.A. 2C:36A-1.
1
Two other Middlesex County defendants with prior conditional discharges
for marijuana possession were included in the consolidated cases at the
Appellate Division, but they did not file motions for leave to appeal to this
Court.
2
Conditional discharges under N.J.S.A. 2C:36A-1 provide one-time
alternatives to prosecution for persons charged with certain drug offenses.
Unlike PTI dispositions, described more fully below, see N.J.S.A. 2C:43-13,
which are largely left to the discretion of the prosecutor, a court can
conditionally dismiss certain low-level drug charges upon its own motion or a
motion by the defendant. N.J.S.A. 2C:36A-1(a). The court suspends the
proceedings against the defendant and places the defendant in a supervisory
treatment program. N.J.S.A. 2C:36A-1(a)(1). If the defendant completes the
terms of the treatment program, the court dismisses the charges. N.J.S.A.
6
Gomes and Sheira each filed applications for admission into PTI for
their respective new charges. In the case of Sheira, a criminal division
manager notified him that he was ineligible due to his prior conditional
discharge. Sheira filed a PTI motion with the support of the Morris County
Prosecutor. However, the motion was denied by the trial court, which
concluded Sheira was statutorily ineligible for PTI because of his previous
conditional discharge for marijuana possession. Sheira moved for leave to
appeal that ruling.
As for Gomes, a criminal division manager notified him that he too was
ineligible for PTI. Gomes filed a PTI appeal to the Law Division. The
Middlesex County Prosecutor opposed his PTI appeal, arguing he was
ineligible because of his pre-CREAMMA conditional discharge for marijuana
2C:36A-1(b). But if the defendant violates the terms, the court will reopen the
proceedings. Ibid.
Conditional discharge is only open to those charged with disorderly and
petty disorderly persons drug offenses under Chapters 35 and 36 of the
Criminal Code. N.J.S.A. 2C:36A-1(a). Before the enactment of CREAMMA,
those eligible marijuana- or hashish-related offenses were restricted to:
possession of fifty grams or less of marijuana or five grams or less of hashish,
N.J.S.A. 2C:35-10(a)(4); being under the influence of marijuana or hashish,
N.J.S.A. 2C:35-10(b); failure to make lawful disposition of marijuana or
hashish, N.J.S.A. 2C:35-10(c); and use or possession with intent to use
marijuana or hashish paraphernalia, N.J.S.A. 2C:36-2. Like PTI, conditional
discharge has been generally unavailable to persons who have obtained a
previous conditional discharge or been admitted to a PTI program. N.J.S.A.
2C:36A-1(c)(3).
7
possession. Adopting a contrary interpretation of the statutes, the trial court
overruled the ineligibility determination. The court permitted Gomes to apply
for PTI and directed the Middlesex County Prosecutor to consider the merits of
Gomes’s application. The Prosecutor moved for leave to appeal.
The Appellate Division granted interlocutory review of the conflicting
trial court decisions, and it consolidated the appeals. Amicus curiae briefs in
favor of the defendants’ legal position were filed by the American Civil
Liberties Union (ACLU) and the New Jersey State Bar Association (NJSBA).
In addition, the Attorney General accepted the appellate court’s invitation to
appear as amicus curiae and joined with the other amici in supporting the
defense’s statutory interpretation.
The Appellate Division held that a defendant who received a prior
conditional discharge of a disorderly persons offense for marijuana possession
was ineligible for PTI, notwithstanding the automatic expungement provision
of CREAMMA. State v. Gomes, 472 N.J. Super. 515, 536 (App. Div. 2022).
The appellate court hinged its decision upon generic language within the PTI
statute, N.J.S.A. 2C:43-12(g)(1), which predates CREAMMA and states that a
person with a prior conditional discharge “shall not be eligible” for PTI. Id. at
529. The court also found significant that the general expungement statute,
N.J.S.A. 2C:52-20, which also was enacted before CREAMMA, expressly
8
allows courts to consider expunged records when deciding whether to grant an
application for admission to PTI. Id. at 530.
The Appellate Division relied in part on State v. O’Brien, 418 N.J.
Super. 428, 438 (App. Div. 2011), in which it held that a defendant who had
received a conditional discharge for a marijuana-related offense was barred
from PTI, even when the conditional discharge was later vacated upon petition
by the defendant. See Gomes, 472 N.J. Super. at 534-35. The court further
cited as “extrinsic evidence” a proposed bill introduced in the Legislature after
CREAMMA’s enactment, A. 1978 (2022), which sought to amend the PTI
statute to expressly allow those who received expungements from CREAMMA
of their marijuana-related conditional discharges to apply for PTI. Id. at 532-
33. The court treated the proposed bill, and its associated Sponsor’s Statement
describing the state of “current law,” as indicia that CREAMMA itself granted
no such eligibility. Id. at 533.
The Appellate Division discerned no language within CREAMMA that
appeared to modify or override the pre-existing generic terms of the PTI or
expungement statutes. Consequently, it reasoned that the courts should not
imply such legislative intent, citing case law disfavoring the “implied repeal[]”
of statutory provisions. Id. at 533-34.
9
Sheira, represented by the Office of the Public Defender, and Gomes,
represented by private defense counsel, moved for leave to appeal the
Appellate Division’s decision, and we granted their motions. 251 N.J. 468
(2022); 251 N.J. 471 (2022). The Attorney General, the ACLU, and the
NJSBA continue to appear as amici, and we also granted amicus status to
Legal Services of New Jersey and the Association of Criminal Defense
Lawyers -- New Jersey. The amici unanimously support defendants’
interpretation of the applicable statutes to permit PTI for a new offense
following a conditional discharge for a pre-CREAMMA marijuana offense.
The Morris County Prosecutor continues to endorse that interpretation, while
the Middlesex County Prosecutor continues to oppose it. 3
II.
As we previewed at the outset, in these appeals we will endeavor to
harmonize multiple statutes: the PTI statutes, the expungement statutes, and
CREAMMA. “When interpreting different statutory provisions, we are
obligated to make every effort to harmonize them, even if they are in apparent
conflict.” In re Gray-Sadler, 164 N.J. 468, 485 (2000); accord Richter v.
Oakland Bd. of Educ., 246 N.J. 507, 538 (2021). Such principles of harmony
3
For clarity, we refrain from using the term “the State” in our analysis, given
the divergent legal positions of the respective County Prosecutors.
10
and consistency are important to a legal system “because they promote
impartiality and minimize arbitrariness.” Norman J. Singer & J.D. Shambie
Singer, 2B Sutherland Statutory Construction § 53:1 (7th ed. 2022) (entitled
“The principle of harmony in statute law”).
Because statutory construction is a matter of law, we review the
Appellate Division’s interpretation of the pertinent statutes de novo. State v.
Fuqua, 234 N.J. 583, 591 (2018).
A.
We begin with the general statutory scheme concerning pretrial
intervention.
PTI “is a diversionary program through which certain offenders are able
to avoid criminal prosecution by receiving early rehabilitative services
expected to deter future criminal behavior.” State v. Nwobu, 139 N.J. 236,
240 (1995).
The first iteration of PTI in this State was launched in Newark in 1970,
with no associated enabling legislation. Id. at 245. In the absence of a PTI
statute, Rule 3:28 authorized the creation of a vocational-service PTI program
operated by the Newark Defendants Employment Project. Ibid. By 1976, that
program had expanded in various forms to twelve counties. See Pressler,
Current N.J. Court Rules, cmt. 1 on R. 3:28 (1995).
11
In 1976, this Court spotlighted the need for statewide uniformity in PTI
programs. State v. Leonardis, 71 N.J. 85, 120-22 (1976) (Leonardis I). The
following year, the Court articulated statewide guidelines for the
administration of PTI, in the absence of statutes addressing the subject. State
v. Leonardis, 73 N.J. 360 (1977) (Leonardis II).
In response to the two Leonardis decisions, the Legislature enacted a
statewide PTI program as part of the 1979 Code of Criminal Justice. Codified
at N.J.S.A. 2C:43-12 to -22, the PTI system was consistent with the Court’s
guidance in Leonardis II. “The Code provisions generally mirrored the
procedures and guidelines previously established under Rule 3:28.” Nwobu,
139 N.J. at 245. Although pretrial diversion “is by its nature part of the
prosecutor’s charging function, the statutes, procedures, and guidelines involve
the judiciary in the administration of PTI.” Ibid. To be admitted to PTI, a
defendant must receive an initial recommendation by the court’s criminal
division manager, as well as the consent of the prosecutor. State v. Roseman,
221 N.J. 611, 621 (2015).
From the outset, the primary purpose of PTI has been “to assist in the
rehabilitation of worthy defendants, and, in the process, to spare them the
rigors of the criminal justice system.” State v. Watkins, 193 N.J. 507, 513
(2008). With that in mind, PTI eligibility has been broadly defined, subject to
12
specified exclusions, to “include[] all defendants who demonstrate the will to
effect necessary behavioral change such that society can have confidence that
they will not engage in future criminality.” Ibid. Accordingly, prosecutors
may consider a wide array of factors when determining whether to recommend
someone for PTI, such as “[t]he nature of the offense,” the motivations of the
defendant, the desires of the victim or complainant with respect to prosecution,
the social harm perpetrated by the defendant, and “[t]he extent to which the
applicant’s crime constitutes part of a continuing pattern of anti-social
behavior.” N.J.S.A. 2C:43-12(e).
Until 2018, the assessment of a defendant’s suitability for PTI was based
on factors set out in both N.J.S.A. 2C:43-12(e) and Rule 3:28. State v.
Johnson, 238 N.J. 119, 128 (2019). However, in 2018 the original version of
Rule 3:28 was repealed and replaced with the current Rule 3:28, which
eliminates those guidelines. Ibid. The purpose of the new rule is to “realign
the [PTI] program to its original purpose to divert from prosecution first time
offenders who would benefit from its rehabilitative components.” Notices to
the Bar, Adoption of New Court Rules 3:28-1 to 3:28-10 (Pretrial Intervention)
(effective July 1, 2018), 223 N.J.L.J. 68, 68 (Sept. 25, 2017).
Over the years, a decision as to whether to admit a particular defendant
into PTI has been treated as a fundamental prosecutorial function. Leonardis I,
13
71 N.J. at 121; see also State v. K.S., 220 N.J. 190, 199-200 (2015). Judicial
review of a prosecutor’s decision about PTI admission is “available to check
only the most egregious examples of injustice and unfairness.” Leonardis II,
73 N.J. at 384. Absent a legal error, courts may overturn a prosecutor’s denial
of PTI only when the defendant establishes that denial amounts to a “patent
and gross abuse of discretion.” Nwobu, 139 N.J. at 246-47.
Up until the adoption of CREAMMA, PTI eligibility has been governed
by the so-called “one diversion only” policy. To begin with, the PTI statute
declares that “[i]t is the policy of the State of New Jersey that supervisory
treatment should ordinarily be limited to persons who have not previously been
convicted of any criminal offense under the laws of New Jersey.” N.J.S.A.
2C:43-12(a) (emphasis added). With respect to defendants who have not been
convicted of a past crime but who have instead received a conditional
discharge or some other form of supervisory treatment, the PTI statute fu rther
provides that
[s]upervisory treatment may occur only once with
respect to any defendant and any person who has
previously received supervisory treatment under
section 27 of L. 1970, c. 226 ([N.J.S.A.] 24:21-27), a
conditional discharge pursuant to N.J.S.A. 2C:36A-1, a
conditional dismissal pursuant to L. 2013, c. 158
([N.J.S.A.] 2C:43-13.1 et al.), or was granted a
dismissal due to successful participation in the
Veterans Diversion Program pursuant to L. 2017, c. 42
14
([N.J.S.A.] 2C:43-23 et al.) shall not be eligible for
supervisory treatment under this section.
[N.J.S.A. 2C:43-12(g)(1) (emphasis added).]
The text of the current Rule 3:28-1(c)(1), which has not been revised
since CREAMMA’s enactment, repeats the bars set forth in the statute and
additionally bars PTI enrollment if the person “previously was enrolled in a
diversionary program under the laws of any other state or the United States.”
According to commentary, this prohibition is to be read consistently with the
bar created by N.J.S.A. 2C:43-12(g).4 Pressler & Verniero, Current N.J. Court
Rules, cmt. 2 on R. 3:28-1 (2023). In addition, before CREAMMA’s adoption
we observed that expunged records can be used substantively for various
purposes, including “in matters relating to decisions about diversion into a
supervisory program, to the setting of bail, to the imposition of sentence, to
parole decisions, and to a correctional facility’s classification decisions.” G.D.
v. Kenny, 205 N.J. 275, 295 (2011).
Before the Legislature’s enactment of CREAMMA in 2021, the
Appellate Division recognized the general “one diversion only” facet of the
PTI statute, most notably in two cases cited in the Appellate Division’s
4
To the extent there is any “direct and inevitable” conflict between the court
rules and statutes governing PTI, the statute controls. See State v. Lee, 437
N.J. Super. 555, 564 (App. Div. 2014).
15
opinion here: State v. McKeon, 385 N.J. Super. 559 (App. Div. 2006), and the
aforementioned O’Brien, 418 N.J. Super. 428.
In McKeon, the defendant seeking PTI previously had been charged with
driving under the influence in Pennsylvania, a misdemeanor, in 2002. 385 N.J.
Super. at 564. The defendant successfully completed pretrial diversion under
the Accelerated Rehabilitative Disposition (ARD) program, a Pennsylvania
program established under 75 Pa. Cons. Stat. § 3807, that is similar to PTI. In
2004, a New Jersey grand jury charged McKeon with third-degree possession
of a controlled substance, specifically cocaine. Ibid. McKeon’s application
for PTI was rejected by both the criminal case manager and the prosecutor
because of his prior enrollment in ARD, which was construed to fall under the
statutory bar of N.J.S.A. 2C:43-12(g). Ibid. The trial court upheld the PTI
rejection, and the defendant was sentenced to a one-year probationary term.
Id. at 564-65.
The Appellate Division reversed in McKeon, holding “that the
Legislative intent in enacting N.J.S.A. 2C:43-12(g), [was] to provide a single
opportunity for a defendant to enroll in a PTI program in New Jersey” rather
than to restrict access by those who had enrolled in a comparable out-of-state
program such as ARD. Id. at 571 (emphases added). However, the court
acknowledged that an out-of-state pretrial diversion could be taken into
16
consideration when evaluating the appropriateness of admitting a defendant
into PTI, along with the various other factors set out in the statute and rule.
Ibid. The court noted that, even if it had accepted the State’s argument that
PTI should be barred by a previous out-of-state diversion, such a bar would
apply only “if the act charged in the other state constitutes a crime under the
laws of New Jersey.” Id. at 572. To do otherwise, the court recognized,
“could result in disparate treatment of defendants charged with similar acts.”
Id. at 572-73.
Five years later, the Appellate Division decided O’Brien, in which the
defendant had been charged in 1990 with possession of marijuana, then a
disorderly persons offense. 418 N.J. Super. at 431. She applied for, and was
granted, a conditional discharge pursuant to N.J.S.A. 2C:36A-1. Ibid. After
successfully completing her supervisory treatment, O’Brien’s marijuana charge
was dismissed by the court. Ibid.
Subsequently, in 2008, O’Brien was charged with third-degree
possession of methamphetamine. Ibid. Several months after she was indicted,
O’Brien filed a petition for “post-disposition relief” in the municipal court,
seeking to vacate her 1990 conditional discharge. Ibid. The petition was
granted, the discharge was vacated, and she pled guilty to the 1990 charge,
seeking to pave the way for her admission to PTI for the 2008 charge. Ibid.
17
Following those steps, the prosecutor rejected O’Brien’s application, noting
that her “motion to vacate the prior conditional discharge was done solely in
anticipation of now being accepted into PTI.” Id. at 431-32. The trial court
reversed the prosecutor’s decision, finding that the denial constituted “a
‘patent and gross’ abuse of discretion.” Id. at 432.
The Appellate Division in O’Brien reversed the trial court’s ruling. The
appellate court agreed with the prosecutor that the defendant’s previous
discharge rendered her statutorily ineligible for PTI, even though that
disposition had been subsequently vacated. Id. at 438. The court reasoned it
was “the fact that the individual previously received supervisory treatment
which prohibits . . . re-enrollment into another diversionary program under
PTI.” Ibid. Citing the underlying goals of PTI “to deter future criminal
conduct and to provide a one-time diversion from prosecution,” the court
found it was not an abuse of discretion for the prosecutor to deny the
defendant’s application. Id. at 441 (emphasis added). 5
B.
We next turn to the history and pertinent terms of the New Jersey
expungement statutes.
5
This Court’s review was not sought in either McKeon or O’Brien, and their
holdings have not been analyzed in depth in our opinions until today.
18
In 1979, the same year that PTI was codified, the Legislature enacted
Chapter 52 of the Code of Criminal Justice. By enacting Chapter 52, the
Legislature “intended to establish ‘a comprehensive statutory scheme for the
expungement of criminal records’” and to create “an equitable system of
expungement of indictable and nonindictable offenses as well as of arrest
records.” State v. T.P.M., 189 N.J. Super. 360, 364 (App. Div. 1983) (first
quoting Allen, Legislative History of Amendments to the New Jersey Code of
Criminal Justice Passed Prior to the Effective Date of the Code, 7 Crim. Just.
Q., 41, 48 (1980); and then quoting S. Judiciary Comm. Statement to S. 3203
(June 18, 1979)). Before the 1979 enactment, “there was no cohesive or
uniform expungement practice in” New Jersey. Ibid.
Through Chapter 52, the Legislature directed that the expungement
statute should “be construed with the primary objective of providing relief to
the reformed offender who has led a life of rectitude and disassociated himself
with unlawful activity.” N.J.S.A. 2C:52-32. However, the Legislature
instructed the statute should not be interpreted “to create a system whereby
persistent violators of the law or those who associate themselves with
continuing criminal activity have a regular means of expunging their police
and criminal records.” Ibid.
19
Among the components of Chapter 52 is a general provision delineating
how expunged records “may” be supplied and used in relation to a defendant’s
present eligibility for supervisory treatment or diversion programs. That
provision, codified at N.J.S.A. 2C:52-20, states:
Expunged records may be used by the