State v. Joseph S. MacChia
CourtSupreme Court of New Jersey
Date FiledMarch 16, 2023
DocketA-49-21
StatusPublished
📰 News Coverage: Read the LAWS.com news report on this case
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. Joseph S. Macchia (A-49-21) (086334)
Argued November 29, 2022 -- Decided March 16, 2023
WAINER APTER, J., writing for a unanimous Court.
In this appeal, the Court considers whether a unanimous verdict rejecting self-
defense was sufficient to sustain defendant Joseph Macchia’s conviction for reckless
manslaughter, or whether the jury was also required to unanimously agree as to why
it rejected Macchia’s claim of self-defense.
In the early morning hours of May 13, 2016, defendant, an off-duty police
officer wearing his service revolver in an off-duty holster, became involved in a
physical fight with Michael Gaffney outside a bar in Union. The two exchanged
blows and separated twice. According to witnesses, Gaffney then went inside the
bar, but defendant stayed outside and stared at Gaffney to entice him to come back
out. Gaffney did so, and they began to fight a third time. Defendant fell to the
ground, and Gaffney got on top of him, punching him repeatedly. Witnesses heard
defendant’s gun fire as they tried to pull Gaffney off defendant. Union police
arrived and arrested defendant, who stated that Gaffney was “going for his gun.” In
a recorded statement, defendant said that when Gaffney was “straddling” and
“pummeling” him, defendant believed Gaffney’s hand went to his gun. Defendant
stated that he feared for his life and he “had no choice but to fire to stop the threat.”
At trial, defendant testified on his own behalf, consistent with his recorded
statement.
In its summation, the State maintained that it had proven, beyond a reasonable
doubt, that defendant did not act in self-defense by showing “that Officer Macchia
has provoked this encounter with the intent to either kill or do serious bodily harm.”
The State noted it would “concede” that defendant had “an honest belief” that “his
life [was] in jeopardy and he felt he had to act to protect himself.” It briefly stated
that “if [defendant] did not provoke the encounter, he could have retreated in
safety,” and “Officer Macchia could have left in complete safety between the final
encounter and the second encounter.” But the State’s principal focus during closing
was on how it disproved self-defense by showing defendant provoked the final
encounter with Gaffney with the intent to kill or seriously injure.
1
After a charge conference, the judge charged the jury on self-defense,
consistent with the model charge. The court instructed, in part, that “the State must
prove that self-defense does not apply here . . . beyond a reasonable doubt” by
making one of three showings: “1) the defendant’s belief that the use of deadly
force was necessary to save his own life or to avoid serious bodily harm was not
honest and reasonable; or 2) although the defendant’s belief was honest and
reasonable, the defendant provoked the encounter with the purpose to kill or cause
serious bodily harm; or 3) although the defendant’s belief was honest and reasonable
and the defendant did not provoke the encounter with the purpose to kill or cause
serious bodily harm, the defendant could have retreated in complete safety.”
After the jury deliberated for a short time, they asked the court: (1) “Do all
three questions have to be yes for self-defense or one of the three to be self-
defense?”; and (2) “Does the ‘encounter’ begin when Gaffney came out of the bar or
when Joseph Macchia was on the ground?” The judge conferred with counsel,
formulating an answer that the parties supported to each question. The Court
reviews the judge’s instructions, as well as clarification the judge later provided
regarding potentially different time periods that could apply to the three bases for
rejecting self-defense. Both parties agreed with the clarification.
On the next deliberation day, the court provided the jury with a new, revised
instruction on self-defense, intended to replace the initial charge and to synthesize
the clarifications already provided. Shortly thereafter, the jury sent out another note:
“Jury cannot come to unanimous decision on” the self-defense question. With the
consent of both parties, the court instructed the jury to continue deliberating.
After further deliberation, the jury submitted another note requesting
clarification on self-defense. The Court reviews the clarification sought and the
explanatory instruction the trial court provided with consent of counsel. Two days
later, the jury found the State disproved self-defense beyond a reasonable doubt and
defendant was guilty of second-degree reckless manslaughter. The Appellate
Division affirmed, and the Court granted certification limited to the issue of whether
the verdict unanimously rejecting self-defense sufficed, or whether the jury was
required to “unanimously agree to one or more of the three bases for rejecting self-
defense.” 250 N.J. 548 (2022).
HELD: The trial court properly instructed the jury on the State’s burden in
disproving self-defense and no specific unanimity charge was required.
1. Self-defense is a complete defense to homicide. Once evidence of self-defense is
introduced, the burden shifts to the State to disprove self-defense beyond a
reasonable doubt. The Federal and State Constitutions require a unanimous verdict
in criminal cases. However, although criminal convictions must rest upon a jury
2
determination that the defendant is guilty of every element of the crime with which
he is charged, beyond a reasonable doubt, the jury need not unanimously agree on
which of several possible sets of underlying brute facts make up a particular
element, or which of several possible means the defendant used to commit an
element of the crime. In other words, when a single crime can be committed in
various ways, jurors need not agree upon the mode of commission. Unanimity is not
required when a statute embodies a single offense that may be committed in a
number of cognate ways. Contrary to the arguments of defendant and amici, even if
all “conduct,” “attendant circumstances,” and “result[s] of conduct” are defined as
material elements for purposes of the criminal code in N.J.S.A. 2C:1-14(h) and (i),
that does not mean a jury must unanimously agree on all “conduct,” “attendant
circumstances,” and “result[s] of such conduct” in order to constitutionally convict
defendant of a crime. (pp. 22-26)
2. There are two crucial distinctions between an element of an offense for juror-
unanimity purposes and the disjunctive means by which the State can disprove an
affirmative defense such as self-defense. First, whereas the State must prove every
essential element of the crime, it need only disprove a single factor or triggering
circumstance to overcome a claim of self-defense. Second, it is generally the
defendant, not the State, who controls the shape and direction of a self-defense
claim. Because the State is in an inferior tactical position in trying to disprove a
defense, it would be unreasonable to require the State to present for the jury’s
unanimous agreement a definitive set of facts, neatly synthesized in a unified theory,
designed to explain why the defendant’s conduct was not justified. Every court to
have considered the question has held that a jury need not unanimously agree on the
underlying basis for rejecting self-defense; it need only unanimously agree that the
prosecution disproved self-defense beyond a reasonable doubt. (pp. 27-29)
3. Further, a general instruction on the requirement of unanimity ordinarily suffices
to instruct the jury that it must be unanimous on whatever specifications it finds to
be the predicate of a guilty verdict. Under the Court’s precedent, a specific
unanimity instruction may be required when, for example: (1) a criminal offense
can be proven by different theories, based on different acts, relying on different
evidence; (2) the facts are exceptionally complex; (3) the allegations in a single
count are either contradictory or only marginally related to one another; (4) there is
a variance between the indictment and the proof at trial; or (5) there is strong
evidence of jury confusion or danger of a fragmented verdict. (pp. 29-30)
4. Reviewing relevant case law, the Court notes that this case is not like prior cases
in which it, or the United States Supreme Court, have held that a specific unanimity
charge was required. Here, for example, the State did not rely on contradictory
theories and did not try to prove that defendant committed the crime by presenting
different theories based on different acts or different evidence. The prosecutor
3
mainly argued during summation that the State had disproved the provocation prong
-- the second means of disproving self-defense -- by arguing that defendant
provoked Gaffney from the bar into the last fight with the intent to harm or kill
Gaffney. And the State presented only one theory to support the charge of reckless
manslaughter -- defendant and Gaffney engaged in a fist fight, which ended in
defendant shooting and killing Gaffney. The Court disagrees with defendant’s
contention that the jury’s questions showed tangible indication of jury confusion, or
a fragmented verdict. After the trial court answered the jury’s questions and
accurately explained the law, there was no tangible indication that the jury was
confused about what facts it needed to decide to determine guilt. (pp. 30-35)
AFFIRMED.
CHIEF JUSTICE RABNER; JUSTICES PATTERSON and PIERRE-LOUIS;
and JUDGE SABATINO (temporarily assigned) join in JUSTICE WAINER
APTER’s opinion. JUSTICES SOLOMON and FASCIALE did not participate.
4
SUPREME COURT OF NEW JERSEY
A-49 September Term 2021
086334
State of New Jersey,
Plaintiff-Respondent,
v.
Joseph S. Macchia,
Defendant-Appellant.
On certification to the Superior Court,
Appellate Division.
Argued Decided
November 29, 2022 March 16, 2023
John Vincent Saykanic argued the cause for appellant
(John Vincent Saykanic, on the briefs).
Michele C. Buckley, Assistant Prosecutor, argued the
cause for respondent (William A. Daniel, Union County
Prosecutor, attorney; Michele C. Buckley, of counsel and
on the briefs).
Laura B. Lasota, Assistant Deputy Public Defender,
argued the cause for amicus curiae Public Defender of
New Jersey (Joseph E. Krakora, Public Defender,
attorney; Laura B. Lasota, of counsel and on the brief).
Rachel E. Simon argued the cause for amicus curiae
Association of Criminal Defense Lawyers of New Jersey
(Pashman Stein Walder Hayden, attorneys; Rachel E.
Simon, of counsel and on the brief).
1
Steven A. Yomtov, Deputy Attorney General, argued the
cause for amicus curiae Attorney General of New Jersey
(Matthew J. Platkin, Attorney General, attorney; Steven
A. Yomtov, of counsel and on the brief).
JUSTICE WAINER APTER delivered the opinion of the Court.
This case requires us to consider whether a unanimous verdict rejecting
self-defense was sufficient to sustain defendant Joseph Macchia’s conviction
for reckless manslaughter, or whether the jury was also required to
unanimously agree as to why it rejected Macchia’s claim of self-defense.
Defendant, an off-duty police officer, fatally shot Michael Gaffney
outside a bar during a fight. At trial, defendant testified that he acted in self-
defense, shooting Gaffney because he believed Gaffney was reaching for his
service weapon. The State therefore had the burden to prove that defendant
did not justifiably use lethal force in self-defense by showing: (1) defendant’s
belief “that such force [was] necessary to protect himself against death or
serious bodily harm” was not reasonable; (2) defendant “provoked the use of
force against himself in the same encounter” “with the purpose of causing
death or serious bodily harm”; or (3) defendant knew that he could retreat in
“complete safety.” N.J.S.A. 2C:3-4(b)(2).
The jury unanimously rejected defendant’s claim of self-defense and
unanimously found defendant guilty of second-degree reckless manslaughter.
2
Defendant contends that he is entitled to a new trial because the trial court
failed to instruct the jury that it needed to agree unanimously on which one or
more of the three reasons led it to reject his claim of self-defense. We hold
that there was no error in the trial court’s instruction. We therefore affirm
defendant’s conviction.
I.
A.
On May 12, 2016, defendant’s spouse, Katherine Macchia, told him she
was pregnant with their first child. They decided to celebrate at Paddy’s Place,
a bar in Union, New Jersey, where they were regulars. Defendant had been a
police officer for fourteen years at the time. Before leaving for the bar, he
changed into civilian clothes and secured his service weapon to his waist in an
off-duty holster, covering it with an oversized T-shirt.1 Defendant and
Katherine Macchia arrived at the bar a little after 11:00 p.m. Michael Gaffney,
with whom defendant was acquainted, had arrived at the bar with his friend
Robert Lima at approximately 10:30 p.m.
1
The parties stipulated that “Newark Police Department rules and regulations
give off-duty police officers the option of being armed with their service
weapons when they engage in activity that includes the consumption of
alcoholic[] beverages.”
3
The parties stipulated to several facts: (1) Gaffney was six-foot three
and approximately 240 pounds; defendant was five-foot eight and
approximately 190 pounds; (2) defendant drank six Miller Lite beers and two
shots of Jack Daniel’s whiskey at Paddy’s Place; (3) at the time of Gaffney’s
death at 1:16 a.m. on May 13, 2016, defendant’s blood alcohol concentration
(BAC) was approximately .13% and Gaffney’s was approximately .30%; (4) a
toxicology report revealed that Gaffney had used cocaine.
Testimony at trial, along with video surveillance footage played for the
jury,2 established that shortly after 1:00 a.m., Gaffney and Lima were outside
jostling each other over the cigarette Gaffney was smoking. Gaffney was
apparently known for “play fighting,” or what he called “Mikey love taps.”
Defendant was outside smoking a cigarette. When he saw Gaffney hit Lima,
defendant asked Gaffney if he “liked to throw hands.” According to Lima,
Gaffney responded “sometimes,” and Gaffney and defendant started “slap
boxing” each other, “squar[ing] up” and hitting each other. Defendant “went
down,” and Gaffney ended the fight and went back inside the bar.
2
Although video surveillance of the entire encounter was played for the jury
at trial, counsel did not provide the surveillance footage either to the Appellate
Division or to this Court. We rely here on transcripts of testimony of the
witnesses at trial. When the witnesses disagree, we so indicate.
4
Defendant remained outside, visibly agitated. Lima testified that
defendant “kept on saying ‘I’m not done. He didn’t get me. He didn’t get me.
He didn’t knock me down. Nobody knocks me down.’” According to Lima,
Gaffney came back outside and told defendant to “forget it. I’m done.”
However, the fight resumed.
Former Paddy’s bartender Catherine Vinsko, bartender Nicolette
Bedlivy, and Katherine Macchia came outside, and together with others
attempted to separate defendant and Gaffney. Defendant and Gaffney ended
up wrestling on the ground, and defendant grabbed Gaffney by the shirt,
pulling Gaffney’s shirt off him. Again, according to Lima, Gaffney told
defendant “I’m done. I’m f***ing done . . . . I got you. It’s over. I’m done.”
Katherine Macchia testified that she shoved and yelled at her husband,
attempting to get him to leave, but he ignored her. According to her
testimony, Gaffney and defendant “ended up coming back together. Mr.
Gaffney threw, I believe, two additional punches before they were completely
separated.” Vinsko testified that she told Gaffney to go back inside the bar,
which he did. According to Lima, defendant remained outside and kept
repeating, “I’m not done.” Gaffney came back outside at the behest of Vinsko,
and “told defendant it was ‘over’ and that he did not want to fight.” Gaffney
5
and defendant then shook hands and “did a chest bump” in apparent
reconciliation.
Gaffney went back inside the bar. According to Anthony Dimondi,
another bar patron who testified at trial, defendant stayed outside, staring at
Gaffney and trying to “entice him to come back out” by “[f]inger pointing and
smiling.” Dimondi testified that he tried to calm defendant down, telling him
not to ruin his career over a fight, but defendant ignored him.
In response, Gaffney told defendant to stop “eyeballing” him, and then
went back outside to confront defendant once again. The two started fighting.
Defendant fell to the ground, and Gaffney got on top of him, punching him
repeatedly. Vinsko testified that she and Lima “were trying to pull [Gaffney]
up, he was finally coming up and [off defendant, and she] heard pop, pop, pop
and . . . [she] just knew what happened.” Lima also testified that he tried to
pull Gaffney off defendant by “scoop[ing] him around his upper waist” and
grabbing his arm; as Lima was pulling Gaffney off defendant, defendant fired
his gun.
When Union police arrived, they arrested defendant. Defendant told the
officers that he “almost passed out,” that Gaffney “f***ed [him] up,” and that
Gaffney “went for [his] hip,” and was “going for his gun.”
6
Bedlivy told the officers that defendant and Gaffney had been fighting,
that Gaffney “was beating the shit out of [defendant], and [Gaffney] tried to
grab the gun.” However, at trial, Bedlivy testified that she did not actually see
Gaffney reach for defendant’s gun, defendant’s wife simply “told [her] that’s
what” happened. Katherine Macchia testified that Bedlivy told her Gaffney
was reaching for defendant’s gun, and “it was [her] perception” that Gaffney
reached for defendant’s gun, but she was “on the opposite side of [her]
husband’s weapon.” Lima testified that he did not see Gaffney reach for
defendant’s gun. Police took defendant to the hospital where he was treated
for a fractured nose, a head injury, a fractured wrist, and abrasions on his
knees. An officer testified that, while at the hospital, defendant stated that he
“feared for [his] life” during the fight.
A week after the shooting, defendant, accompanied by counsel, provided
a recorded statement at the Union County Prosecutor’s Office. During the
interview, which was played for the jury at trial, defendant stated that the
altercation began when Gaffney approached him and asked him if he “wanted
to fight.” Although defendant responded “no,” because Gaffney was larger
than him, Gaffney punched him in the chest and tackled him anyway. The
“fight was broken up,” and the two shook hands. Defendant was standing
outside the bar, not trying to entice Gaffney but trying to get someone’s
7
attention to help him retrieve his jacket and pay his tab, so he would not have
to reenter the bar and reencounter Gaffney. Gaffney asked defendant if he was
“eyeballing” him. Defendant said he was not, but the two started fighting
again, and Gaffney knocked him to the ground. As Gaffney was “straddling”
and “pummeling” him, defendant believed Gaffney’s hand went to his gun.
Defendant stated that he feared for his life and he “had no choice but to fire to
stop the threat.”
At trial, the medical examiner who performed Gaffney’s autopsy
testified that Gaffney sustained three gunshot wounds: one to the chest, one to
the left shoulder, and one to the abdomen. Based on the stippling of gun
powder residue, the doctor concluded that the gun was fired approximately
seven to eight inches from Gaffney’s skin. Gaffney also had numerous injuries
to his face, right knee, and front right thigh, consistent with a “physical
altercation.”
Defendant testified on his own behalf. Consistent with his statement at
the prosecutor’s office, defendant stated that he did nothing to entice or
encourage Gaffney to fight and that he never fought back as Gaffney punched
him, even after Gaffney broke his nose. As Gaffney had him pinned to the
ground, defendant’s shirt rode up, exposing his gun. Defendant put his hand
on the gun to “retain it in the holster” while Gaffney held him down with his
8
right hand and continued to punch him with his left. After Gaffney punched
defendant several more times, defendant felt a “shift” of Gaffney’s “right arm
instead of being on [defendant’s] torso going downward,” “[t]owards [his]
weapon.” Defendant testified that his “whole life flashed before [his] eyes
when this shift happened,” and he drew his weapon and shot. During cross-
examination, defendant admitted that he “couldn’t see [Gaffney’s] hands” and
that Gaffney “never touched the gun when it was fired.” When asked whether
he felt Gaffney’s hands on his gun, defendant stated that he “[could] not
answer.”
In its summation, the State asserted that the “fundamental” question
came down to how a “garden variety fistfight” turned into a “gun fight ”; in
other words, “what is the provocation for this gun fight?” The State
maintained that it had proven, beyond a reasonable doubt, that defendant did
not act in self-defense because of what it called the “second component,”
provocation, by showing “that Officer Macchia has provoked this encounter
with the intent to either kill or do serious bodily harm.” The State noted it
would “concede self-defense number one,” that defendant had “an honest
belief” that “his life [was] in jeopardy and he felt he had to act to protect
himself.” It briefly referenced what it called the third “component,” stating
that “if [defendant] did not provoke the encounter, he could have retreated in
9
safety,” and “Officer Macchia could have left in complete safety between the
final encounter and the second encounter.” But the State’s principal focus
during closing was on how it disproved self-defense by showing defendant
provoked the final encounter with Gaffney with the intent to kill or seriously
injure. In total, the State mentioned the words provoke/provocation; discussed
evidence that defendant provoked the final encounter with Gaffney; or argued
that the State proved component two, provocation, twenty-two times during its
closing argument.
B.
After a charge conference, the judge charged the jury on self-defense,
consistent with the model charge:
Self-defense is a complete defense to a charge of
reckless manslaughter. The State has the burden to
disprove the self-defense justification beyond a
reasonable doubt.
....
The law also provides that deadly force may not be used
unless the actor reasonably believes that such force is
necessary to protect himself against death or serious
bodily harm.
....
[D]eadly force is not justifiable in a situation where the
actor with the purpose of causing death or serious
bodily harm provoked the use of force against himself
in the same encounter . . . . Nor is the use of deadly
10
force justifiable where the actor knows that he can
avoid the necessity of using such force with complete
safety by retreating.
To put it succinctly, if the defendant had an honest and
reasonable belief that the use of deadly force was
immediately necessary to save his own life, or to avoid
serious bodily harm, he did not provoke the encounter
with the purpose to kill or cause serious bodily harm,
and he could not have safely retreated, then self-defense
applies and the defendant is not guilty.
....
Under the law, the State must prove that self-defense
does not apply here. The State must do so beyond a
reasonable doubt. Accordingly[,] the State must show
that: 1) the defendant’s belief that the use of deadly
force was necessary to save his own life or to avoid
serious bodily harm was not honest and reasonable; or
2) although the defendant’s belief was honest and
reasonable, the defendant provoked the encounter with
the purpose to kill or cause serious bodily harm; or
3) although the defendant’s belief was honest and
reasonable and the defendant did not provoke the
encounter with the purpose to kill or cause serious
bodily harm, the defendant could have retreated in
complete safety.
....
If the State has proved any one of these three items
beyond a reasonable doubt, then the defendant did not
act in self-defense and you must go on to consider the
crime of reckless manslaughter.
The judge also instructed the jury on how to approach the verdict sheet.
Question one required the jury to consider whether the State disproved self-
11
defense beyond a reasonable doubt. “If your answer is no, then you have
found the defendant not guilty due to self-defense . . . . Your deliberations
would stop.” Conversely, if the jury found that the State disproved self-
defense beyond a reasonable doubt, it was to proceed to question two, whether
defendant was guilty of reckless manslaughter.
Both parties consented to the charge. The judge also charged the jury on
unanimity, initially instructing, consistent with the model charge: “[A]ll of
you must agree if the defendant is guilty or not guilty on each charge. That
would apply to the issue of self-defense as well.” The judge then repeated and
amplified the unanimity instruction: “Your verdict, whatever it may be as to
each crime charged, or the issue of self-defense, must be unanimous. Each of
the 12 members of the deliberating jury must agree as to the verdict.”
After the jury deliberated for a short time, they submitted a question to
the court: “Can judge go over self-defense as stated on page 17?” The judge
asked the jury to clarify what exactly they wanted to “go over.” The jury
responded: (1) “Do all three questions have to be yes for self-defense or one
of the three to be self-defense?”; and (2) “Does the ‘encounter’ begin when
Gaffney came out of the bar or when Joseph Macchia was on the ground?”
The judge conferred with counsel, formulating an answer to each
question that the parties supported. On the first question, the judge explained:
12
“[T]he State must prove one or two or three beyond a reasonable doubt in
order to disprove self-defense. Said differently, if the State proves one or two
or three beyond a reasonable doubt, then there can be no self-defense.”
Regarding the second question, the judge stated: “When the third encounter
begins is for you to decide. However, it must be after the defendant and Mr.
Gaffney reconciled.”
At the end of that day, in response to a request from counsel3 regarding
potentially different time periods that could apply to the three bases for
rejecting self-defense, the judge advised the jury as follows:
With regard to Item N[umber] 1 which addresses the
defendant’s belief that the use of deadly force was
necessary to save his own life or to avoid serious bodily
harm being . . . honest and reasonable, you’re to
analyze that question as of the time the deadly force
was used. However, you are free to consider all the
facts and circumstances in evidence that led up to that
moment in time in performing that analysis.
With regard to number 2, the provocation issue,
whether or not the defendant provoked the encounter
with the purpose to kill or cause serious bodily harm.
It will be up to you to determine when the encounter
began, but it must be some time after the reconciliation
that you’ve heard about in the testimony.
With regard to item 3, which is the duty to retreat, the
duty to retreat applies when the defendant resorts to the
use of deadly force. So when you’re considering the
opportunity to retreat, it must be as of the time deadly
3
The court did not specify which counsel raised this request.
13
force is used. So there’s a little bit of a different time
period depending upon which question you’re looking
to and I want to make sure there’s no confusion that it
is not all exactly the very same time period potentially.
Both parties again agreed with the judge’s clarification.
On the next deliberation day, the court provided the jury with a new,
revised instruction on self-defense, intended to replace the initial charge and to
synthesize the clarifications already provided. The revised instruction, which
both parties approved, tracked the language of the original instruction, except
for the following:
The State must prove that self-defense does not apply
here. The State must do so beyond a reasonable doubt.
Accordingly, the State must prove any one of the
following beyond a reasonable doubt to show that self-
defense does not apply here.
1. At the time defendant resorted to deadly force his
belief that the use of deadly force was necessary to save
his own life or to avoid serious bodily harm was not
honest and reasonable, or
2. After the reconciliation between defendant and Mr.
Gaffney, the defendant provoked the use of deadly
force against himself in the encounter with the purpose
to kill or cause serious bodily harm. It is for the jury to
decide what the encounter was and when the encounter
began after the reconciliation between defendant and
Mr. Gaffney, or
3. At the time he resorted to deadly force the defendant
could have retreated in complete safety.
14
Shortly thereafter, the jury sent out another note: “Jury cannot come to
unanimous decision on question one of the verdict sheet.” With the consent of
both parties, the court instructed the jury to continue deliberating.
Early the next morning, defense counsel sent an email to the judge to
“renew” his argument that “[t]he very fact that the jury cannot agree as to any
of the three [self-defense] disqualifiers is, ipso facto an answer to that
interrogatory that signifies that the State failed to disprove self-defense and
that mandates an acquittal.” The judge addressed the email on the record,
noting that during discussions between the parties in chambers when the jury
had indicated it was deadlocked, defense counsel had raised a “novel”
argument: that all twelve jurors had to unanimously agree as to how the State
disproved self-defense -- either because defendant’s belief was not honest or
reasonable, or because defendant provoked the use of deadly force, or because
defendant could have retreated.
However, the court expressed surprise at receiving the email because the
parties had been “discussing possible hypothetical” responses to possible
“future questions” from the jury, and “after discussion it was decided that the
consensus course of conduct, the agreed-upon course of conduct would be that
the jury’s inclination to cease deliberations was just simply premature.”
Defense counsel accepted the court’s summary of the discussion and
15
acknowledged that because the jury had continued deliberating, “the issue is
not ripe for argument. It may be later if the jury comes out and say they’re
hung.” If that occurred, defense counsel said, he would request a specific
unanimity charge.
After further deliberation, the jury submitted another note requesting
clarification on self-defense: “Jury want more clarification on justification,
self-defense, page 17 where self-defense does not apply here. Number one,
number 2, and number 3 in plain English.” With consent of counsel, the court
provided the following explanatory instruction:
1 . . . . The State must prove beyond a reasonable doubt
that defendant’s expressed belief was not honest or that
it was not reasonable. If the State proves this beyond a
reasonable doubt, then there is no self-defense.
2. Another way self-defense could be disproven is by
the State proving beyond a reasonable doubt that after
defendant and Mr. Gaffney shook hands outside of
Paddy’s Place, defendant with the purpose to kill or
cause serious bodily harm to Mr. Gaffney provoked the
use of force against himself. If the State proves this
beyond a reasonable doubt, then there can be no self-
defense.
[3.] Another way self-defense could be disproven is by
the State proving beyond a reasonable doubt that at the
time defendant used deadly force defendant could have
retreated in complete safety. If the State proves this
beyond a reasonable doubt, then there can be no self-
defense.
....
16
If the State has proved any one of these three items
beyond a reasonable doubt, then the defendant did not
act in self-defense and you must go on to consider the
crime of reckless manslaughter.
If the State does not satisfy its burden and you do have
a reasonable doubt, then it must be resolved in favor of
the defendant and you must acquit the defendant based
upon self-defense.
Two days later, the jury found the State disproved self-defense beyond a
reasonable doubt and defendant was guilty of second-degree reckless
manslaughter in violation of N.J.S.A. 2C:11-4(b)(1). Defendant was sentenced
to six years in prison with an eighty-five percent parole disqualifier under the
No Early Release Act, N.J.S.A. 2C:43-7.2, and three years of parole
supervision.
C.
Defendant appealed. With respect to the issue now before the Court, the
Appellate Division found no error in the unanimity and self-defense charges.
“The State did not advance different theories based on different acts and
different evidence,” the Appellate Division noted, and “nothing in our
jurisprudence suggests that the jury’s findings need be unanimous on how the
State disproves self-defense so long as the jury unanimously agrees that the
State disproved self-defense beyond a reasonable doubt.” As to jury
17
confusion, the Appellate Division was “satisfied that any initial confusion the
jury may have had about the self-defense charge was remedied by the judge’s
answers to the jury’s questions and the judge’s supplemental instructions,
which were sanctioned by both parties.”
We granted defendant’s petition for certification, limited to the issue of
whether the verdict unanimously rejecting self-defense sufficed, or whether the
jury was required to “unanimously agree to one or more of the three bases for
rejecting self-defense.” 250 N.J. 548 (2022). We also granted leave to the
Attorney General, Public Defender, and Association of Criminal Defense
Lawyers of New Jersey (ACDL) to appear as amici curiae.
II.
Defendant urges us to reverse the Appellate Division and remand for a
new trial with a specific unanimity instruction and a special interrogatory form
regarding which of the three bases the jury rejected for self-defense.
Defendant argues that the trial court erred in “not instructing the jury that it
needed to unanimously agree on the factors disproved by the State beyond a
reasonable doubt (in spite of the defense request and obvious jury confusion) .”
Further, defendant contends, the trial court erred in failing to provide the jury
with a special interrogatory form indicating which self-defense basis it had
rejected, and this failure resulted in an unconstitutional “patchwork/
18
fragmented or less than unanimous verdict.” Under State v. Parker, 124 N.J.
628, 639 (1991), defendant asserts, the State’s proofs “were contradictory or
only marginally related to each other,” and there was “tangible indication of
jury confusion.”
The Public Defender echoes many of defendant’s arguments and likens
the different bases for rejecting self-defense to essential elements of a crime
that the State must prove beyond a reasonable doubt. Relying on Parker and
State v. Frisby, 174 N.J. 583 (2002), the Public Defender contends the bases
for rejecting self-defense are conceptually distinct, requiring different findings
based on different evidence, and without a specific unanimity instruction, there
is a risk of a fragmented verdict. The ACDL emphasizes the distinction
between “brute facts,” which do not need to be unanimously agreed upon by
the jury, and elements of an offense, which do. Relying on the definitions of
“element” and “material element” in the criminal code, N.J.S.A. 2C:1-14(h)
and (i), the ACDL maintains that each basis for rejecting self-defense
constitutes a “material element” of the offense that must be unanimously
decided by the jury. Amici urge the Court to adopt a new rule that specific
unanimity instructions are required in all cases in which self-defense is raised
to inform juries that they must unanimously agree as to which self-defense
prong or basis they are rejecting in order to reach a guilty verdict.
19
The State responds that a specific unanimity instruction was not required
under this Court’s caselaw because there was no risk of a fragmented verdict,
no exceptionally complex facts, and no jury confusion. The State
distinguishes between “proof of liability where the State must present e