Justice RIVERA-SOTO delivered the opinion of the Court.
In 1999, defendant Jamiyl Dock was convicted of and sentenced for the murder of Lamont Stewart and the shooting of Maurice Allen in broad daylight on a Newark street; his convictions and sentence were affirmed by the Appellate Division and this Court denied defendant's petition for certification. In 2004, defendant filed a petition for post-conviction relief (PCR), claiming, among other things, (1) that his trial counsel was ineffective when he "permitted, without objection, Maurice Allen to testify as a defense witness while handcuffed and failed to request a jury instruction forbidding the consideration of the restraints in determining the witness's
We reverse and reinstate defendant's convictions and sentence because defendant would be eligible for the benefit of the rule in Artwell if and only if that decision were given full retroactive effect, a step that is unwarranted under New Jersey's well-settled retroactivity analysis.
Although the factual basis underlying this appeal is readily recounted, its procedural twists and turns are many.
Defendant was convicted of the August 1997 daylight shooting of both Stewart and Allen, resulting in Stewart's death. At defendant's trial, the State elected not to call the surviving victim—Allen—as a witness in its case-in-chief, putatively because Allen was then serving a lengthy prison term for a crime committed while he had been on probation, and he had been engaged in several crimes, including robbery and an illegal drug transaction, at the time of the shooting. Although defendant's counsel opposed calling Allen as a defense witness, defendant insisted on it; at the close of the State's case, defense counsel requested an adjournment until the following morning to allow counsel sufficient time "not only to talk to Mr. Allen about what his possible testimony might be in the event of what has transpired in the trial; and also, to meet with the family and make a decision that both myself and the family can live with as to how to proceed with the defense of their son." The next morning, Allen was produced in court wearing civilian garb but with his hands handcuffed behind his back. Defendant's counsel claimed to have been surprised by that, but he neither made mention of it on the record nor requested a limiting instruction from the court. Rather, defense counsel's first questions of Allen were:
Shortly thereafter, Allen asked for water. In response to the court's inquiry if Allen wanted water, Allen noted that he had water but that he had "handcuffs on; I can't drink it."
During that direct examination, defense counsel probed Allen's background. Allen ultimately admitted that, at the time he was shot, he had just purchased heroin; that when he was at the hospital being treated for his gunshot wound, he gave a false name because he had outstanding warrants for his arrest; that, for a period
Defendant was convicted of the first-degree purposeful or knowing murder of Stewart, in violation of N.J.S.A. 2C:11-3(a)(1) and (2); the second-degree aggravated assault of Allen, in violation of N.J.S.A. 2C:12-1(b); the third-degree unlawful possession of a handgun, in violation of N.J.S.A. 2C:39-5(b); and the second-degree possession of a firearm for an unlawful purpose, in violation of N.J.S.A.2C:39-4(a)(1). Defendant was sentenced to an aggregate of fifty years' imprisonment, subject to the provisions of the No Early Release Act, N.J.S.A. 2C:43-7.2. On direct appeal, and in an unpublished opinion rendered in October 2000, the Appellate Division affirmed defendant's convictions and sentence; defendant's petition for certification was denied on February 14, 2001. State v. Dock, 167 N.J. 630, 772 A.2d 931 (2001).
In 2004, defendant, acting pro se, filed a PCR application.
Applying the well-established two-prong test for ineffective assistance of counsel claims set forth in Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052, 2064, 80 L.Ed.2d 674, 693 (1984)— that is, that "the defendant must show that counsel's performance was deficient" and that "the defendant must show that the deficient performance prejudiced the defense"—and adopted by this State in State v. Fritz, 105 N.J. 42, 53-58, 519 A.2d 336 (1987), the PCR court concluded that "[defense c]ounsel's immediate reference to Allen's incarceration and to the handcuffs was irrefutably a trial strategy employed by the defense." It explained that "[w]hat was contemplated was to blunt the `sting' from the impending impeachment . . . of Allen [by use of his] prior criminal record by the prosecutor." Underscoring that "Allen's testimony can only be characterized as deleterious to [defendant]'s case[,]" the PCR court denied defendant's PCR application "with the exception that a re-sentencing hearing shall be scheduled to modify and correct the present illegal sentence."
Defendant appealed and, in an unpublished per curiam opinion, the Appellate Division "[r]eversed and remanded for an evidentiary hearing on defendant's due process and ineffective assistance of counsel claims, related to Allen's appearance before the jury while shackled." Acknowledging that Artwell's ban on the use of restraints on defense witnesses was not adopted by this Court until two years after defendant had exhausted all of his direct appeals, and that published opinions of the Appellate Division conflicted on whether Artwell's ban was to receive retroactive application, compare State v. King, 390 N.J.Super. 344, 363-64, 915 A.2d 587 (App. Div.) (applying Artwell's ban on physical restraints to case on direct appeal), certif. denied, 190 N.J. 394, 921 A.2d 448 (2007), and State v. Russell, 384 N.J.Super. 586, 592-93, 895 A.2d 1163 (App.Div.2006) (same), overruled on other grounds by State v. Kuchera, 198 N.J. 482, 969 A.2d 1052 (2009), with State v. Echols, 398 N.J.Super. 192, 214-15, 941 A.2d 599 (App. Div.2008), rev'd on other grounds, 199 N.J. 344, 972 A.2d 1091 (2009), the panel nevertheless reasoned in the negative that "no court has ever squarely held in a published decision that Artwell's ban on indiscriminate shackling of defense witnesses should not be given retroactive application." It therefore concluded, without the aid of a fulsome retroactivity analysis, that "if the holding in Artwell is applied retroactively, which we conclude it should be, defendant would be entitled to relief, unless he waived his right to object to Allen's shackling." (footnote omitted).
It explained that its "lingering concern— that tactical considerations did in fact motivate defense counsel's actions—causes us to stop short of ordering a new trial, and to instead order a remand where the issue of waiver of defendant's due process rights can be aired." In its view, "[t]he [PCR court]'s refusal to grant an evidentiary hearing was error, and we now remand for such hearing."
The panel provided additional guidance. It commanded that, "[o]n remand, the judge should determine, after considering the testimony of trial counsel, whether counsel waived his right to object to the handcuffing of Allen for any legitimate tactical or strategic reasons." It instructed that, if the remand PCR court determined that "trial counsel's failure to object to the shackling, and failure to request a curative instruction, were the result of counsel's legitimate strategy decision," the PCR court "should also take testimony on whether defendant consented to such decision, and whether defendant's consent constitutes a waiver of his right to object to Allen's shackling before the jury." It reasoned that "[i]f, after conducting an evidentiary hearing, the judge answers all of those questions in the affirmative, then the judge should deny defendant's ineffective assistance of counsel claim." It also explained that defendant's PCR application should be granted and a new trial ordered if the PCR court concluded "either that such strategy decision does not fall within the broad range of acceptable professional performance the Court identified in Fritz, supra, 105 N.J. at 52, 519 A.2d 336, . . . or that defendant did not knowingly waive his right to object to the shackling[.]" Its direction to the PCR court was unmistakable: "if the first prong of the Strickland/Fritz test is satisfied, on this record there can be no doubt that the shackling of Allen satisfied the second prong, which requires a showing that counsel's ineffective assistance prejudiced the defense." In those circumstances, the Appellate Division mandated, "the granting of defendant's PCR petition would then be required."
On remand, the PCR court conducted an evidentiary hearing, during which the certification of defendant's trial counsel was admitted in evidence. That certification contains but two relevant and largely redundant sentences: "It was not my strategy to have Maurice Allen testify on behalf of my client wearing handcuffs[,]" and "[t]he fact that Maurice Allen appeared before the jury wearing handcuffs was not due to any strategy decision of mine." The PCR court also received the live testimony of defendant's trial counsel. Echoing the denial of any strategic purpose as set forth in his certification, defendant's trial counsel testified that he was "caught off guard, [he] didn't anticipate [Allen] coming into the courtroom with restraints on at all[,]" and that the reason he started his questioning of Allen as he did was "as a tactic . . . to bring [Allen's criminal record] out to take out the sting of what [he] anticipated the prosecution would do later on[.]" He explained that the reason Allen was handcuffed "was going to be obvious
In an unpublished decision dated April 21, 2010, the PCR court, albeit with grave reservations, granted defendant's PCR application, vacated his convictions and reinstated the case on the trial calendar. It recounted that "[d]efense counsel testified that there was no tactical strategy decision to allow [the] defense witness to appear shackled." It explained that, "[r]ather, [defense counsel] said he was `surprised' by such an event and further, he never sought a curative instruction from the court—he simply never thought to do so." Despite that testimony, the PCR court— again, the same judge who presided over defendant's trial—concluded that, "[a]s a matter of intellectual honesty, this court cannot and does not find that defense counsel was ineffective. On the contrary, his trial advocacy skills displayed in this case were exceptional." Rejecting defendant's ineffective assistance of counsel claim as failing to satisfy the first prong of the Strickland/Fritz test, the PCR court noted that "[t]here is, however, the defendant's due process claim, that he was denied his right to a fair trial, that must be addressed in light of the evidentiary hearing and the Appellate Division's rulings."
The PCR court questioned whether the Appellate Division had the authority to, "under the present circumstances, . . . give the Artwell holding full retroactivity." Giving voice to its reservations, it "respectfully demur[red] and harbor[ed] serious doubts that the decision [to afford full retroactivity to Artwell's modified ban on the use of physical restraints for witnesses] would survive Supreme Court scrutiny." The PCR court observed that the two published decisions on which the Appellate Division relied—King, supra, and Russell, supra—were both instances in which the defendants' direct appeals had not been exhausted when Artwell was decided, thereby invoking only pipeline retroactivity. It contrasted those opinions with Echols, supra, where, as here, the defendant had exhausted his direct appeals before Artwell was decided—thereby requiring that Artwell be afforded full retroactivity in order to provide that defendant relief—noting that, in those circumstances, Echols denied full retroactivity to Artwell's ban. However, deeming itself bound, as law of the case, to the Appellate Division's conclusion that Artwell's ban on physical restraints was to be applied retroactively, the PCR court reluctantly granted defendant's application, vacated defendant's convictions, and placed the case on the trial calendar.
The State sought a stay of that order pending appeal, which was granted. It then sought leave to appeal before the Appellate Division, a motion that was denied with the notation that "[w]e remind the moving party that we review orders not opinions. The record supports the relief ordered by the [court below]." The State then sought leave to appeal from this Court; that motion was granted limited to the issue of the retroactive application of Artwell. State v. Dock, 203 N.J. 432, 3 A.3d 1223 (2010).
Applying traditional retroactivity analysis and focusing on the collateral nature of defendant's PCR application, the State argues that Artwell's presumptive ban on physically restraining witnesses should not be given full retroactive effect. It asserts that Artwell confronted an issue of first impression—"whether a defendant's fair trial right is implicated when his or her witnesses are ordered to testify in restraints[,]" Artwell, supra, 177 N.J. at 535, 832 A.2d 295—and, in so doing, "created a new rule of law requiring a hearing and jury instruction if restraints are used on a defense witness." In support of that proposition, it emphasizes that Artwell had not been decided at the time of defendant's trial and that defendant had exhausted his direct appeals. The State then applies the three—factor test for retroactivity analysis set forth in State v. Knight, 145 N.J. 233, 251, 678 A.2d 642 (1996), enumerates the four alternatives available (purely prospective, prospective, pipeline retroactive, and fully retroactive) and concludes that "full retroactivity should be denied."
In contrast, defendant asserts that Artwell's ban on the shackling of defense witnesses is not a new rule of law and, hence, no retroactivity analysis is required. Defendant concedes that Artwell was not decided until 2003, four years after his conviction and sentence and two years after he exhausted his direct appeals. Defendant nevertheless points to Standard 4.1(c) of the 1968 tentative draft of the American Bar Association's Standards for Criminal Justice, Standards Relating to Trial by Jury, for the proposition that "neither a defendant nor his witness should appear in restraints before a jury." He argues that "[p]rior to the Artwell decision and the defendant's trial there was an abundance of longstanding federal and other states' authority existing holding that it was a violation of a defendant's right to a fair trial for a defense witness to have to appear and testify in restraints." Defendant therefore claims that, as of the time of his 1999 trial, "a defendant in the State of New Jersey had a right to have his star witness testify unburdened by physical restraints in the absence of necessity and to have his credibility judged by the jury on the same basis as the State's witnesses." On that basis, defendant urges that the PCR court's order be affirmed.
At the outset, it is critical to differentiate between what Artwell holds and what it does not. In Artwell, supra, a defense witness was compelled to testify before the jury in both prison garb and in restraints. 177 N.J. at 530, 832 A.2d 295. In respect of the former, the Court concluded that, "going forward, a trial court may not require a defendant's witness to appear at trial in prison garb." Id. at 539, 832 A.2d 295 (citations omitted). Thus, the Court made clear that its ruling proscribing defense witnesses testifying in prison garb was prospective only.
Artwell's approach in respect of defense witnesses testifying in restraints was different. Instead of imposing an absolute bar on defense witnesses testifying in restraints, Artwell recognized, in a common sense manner, that there are instances where a witness, no matter his or her provenance, must be restrained. Id. at 537-38, 832 A.2d 295. It conceded that, although "the appearance of a defense witness in restraints presents a risk of unfair prejudice to a defendant, the trial court may subject a witness to physical restraint only when it has reason to believe it is necessary to maintain the security of the courtroom." Id. at 537, 832 A.2d 295
This Court next addressed witnesses testifying in restraints in State v. Kuchera, 198 N.J. 482, 969 A.2d 1052 (2009). Kuchera presented the question of "whether the principles espoused in Artwell apply to prosecution, as well as defense, witnesses." Id. at 486, 969 A.2d 1052. In respect of witnesses in restraints, the Kuchera Court "conclude[d], consistent with Artwell, that the paramount concern is the security of the courtroom, an issue as to which the proponent of the witness is irrelevant and a matter rightly entrusted to the sound discretion of the trial judge." Ibid. It noted that "[r]egardless of whether a witness is offered by the State or a defendant, the core question remains: is the witness a threat to courtroom security?" Id. at 496, 969 A.2d 1052. It explains that "[t]hat inquiry requires the type of `however informal' hearing Artwell commands, and the answer resulting from that hearing— and not the vagary of which party is the proponent of the witness—governs whether the witness is to testify under restraints." Ibid.
This appeal presupposes the correctness of Artwell's holding and asks, rather, whether its mandate is to be afforded retroactive application. It is to the contours of that analysis that we turn.
Stated in its plainest terms, the question presented in this appeal is "whether the rule of law [adopted in Artwell] is to be applied retroactively and, if so, to what extent, a determination that implicates a three-step analysis." State v. Cummings, 184 N.J. 84, 96-97, 875 A.2d 906 (2005) (citing Knight, supra, 145 N.J. at 249-53, 678 A.2d 642); see also State v. Molina, 187 N.J. 531, 542-43, 902 A.2d 200 (2006) (same). The first step of that analysis requires that we "engage in the threshold inquiry of whether the rule at issue is a `new rule of law' for purposes of retroactivity analysis." Cummings, supra, 184 N.J. at 97, 875 A.2d 906 (quoting Knight, supra, 145 N.J. at 249, 678 A.2d 642.) (internal quotation marks omitted); see also State v. Feal, 194 N.J. 293, 307, 944 A.2d 599 (2008) (stating that "[t]he threshold retroactivity question is always the same—whether a new rule of law has been announced"); State v. Colbert, 190 N.J. 14, 22, 918 A.2d 14 (2007) (noting that where decision "is a well-settled principle. . . it follows that it is not a new rule of law but one that has always applied" and that, in that instance, "a retroactivity analysis is unnecessary[ and] we have no warrant to consider limiting the retroactive effect of such a decision" (citations omitted)); Molina, supra, 187 N.J. at 543, 902 A.2d 200 (defining first step as "whether
In defining whether a case announces a new rule of law, "[t]he test . . . is whether . . . it breaks new ground or imposes a new obligation on the State or if the result was not dictated by precedent existing at the time the defendant's conviction became final." Cummings, supra, 184 N.J. at 97, 875 A.2d 906 (quoting Knight, supra, 145 N.J. at 250-51, 678 A.2d 642) (internal quotation marks, editing marks and emphasis omitted); State v. Lark, 117 N.J. 331, 339, 567 A.2d 197 (1989) (quoting Teague v. Lane, 489 U.S. 288, 301, 109 S.Ct. 1060, 1070, 103 L.Ed.2d 334, 349 (1989)). The question of whether a decision represents a "new rule of law" also has been stated thusly: "a decision involving an accepted legal principle announces a new rule for retroactivity purposes so long as the decision's application of that general principle is sufficiently novel and unanticipated." Cummings, supra, 184 N.J. at 97, 875 A.2d 906 (quoting Knight, supra, 145 N.J. at 251, 678 A.2d 642) (internal quotation marks omitted).
We have made clear that "[t]hose factors are not of equal weight, as the first factor, the purpose of the new rule, is often the pivotal consideration," and we have emphasized that "the second and third factors come to the forefront of the retroactivity analysis when the inquiry into the purpose of the new rule does not, by itself, reveal whether retroactive application of the new rule would be appropriate." Ibid. (citations, internal quotation marks and editing marks omitted). Further, in striking the required balance among those three factors, "[w]e distinguish between the second and third factors[.]" Ibid. In that limited context, we have emphasized that "the second factor inquires whether law enforcement agents justifiably relied on the old rule in performing their professional responsibilities," and "the third factor in the retroactivity analysis, the effect a retroactive application would have on the administration of justice, recognizes that courts must not impose unjustified burdens on our criminal justice system." Id. at 97-98, 875 A.2d 906 (quoting Knight, supra, 145 N.J. at 252, 678 A.2d 642) (citations, internal quotation marks and editing marks omitted).
Once the first two steps have been satisfied and "a determination is made that retroactivity is appropriate, we address the final step of the retroactivity analysis to determine which retroactivity option is to be chosen[.]" Id. at 98, 875 A.2d 906. In that final step,
We turn, then, to the application of this three-step retroactivity analysis to this appeal.
We address first whether Artwell's modified prohibition on the use of restraints on defense witnesses represents a new rule of law. Defendant asserts it does not, claiming that other jurisdictions—and the Appellate Division in State v. Smith, 346 N.J.Super. 233, 787 A.2d 276 (App.Div.2002)—had recognized Artwell's ruling, thus making it settled law as of defendant's 1999 trial. We do not agree. As Smith, supra, explicitly recognized, although "[t]he law on defendants being shackled in court is well-settled[,]" it also acknowledged that "shackling a defense witness is not the exact equivalent of shackling the defendant" and, speaking only eighteen months before Artwell was decided, the Smith court "found no case law in New Jersey dealing with a shackled witness." 346 N.J. Super. at 238-39, 787 A.2d 276. Furthermore, Smith points out that, even among the authorities in other jurisdictions that then prohibited or regulated restraints on defense witnesses, "there is some debate among the cases as to whether a due process consideration is involved when a witness is shackled[.]" Id. at 239, 787 A.2d 276. That paucity of authority was highlighted the following year in Artwell, supra, where we observed that "[t]his Court has never addressed whether a defendant's fair trial right is implicated when his or her witnesses are ordered to testify in restraints[,]" while pointedly noting that Smith, supra, is "the only reported case in this jurisdiction to address the restraint of a defendant's witness." 177 N.J. at 535-36, 832 A.2d 295.
Against that backdrop, Artwell's ban on a defense witness testifying in restraints absent a showing of a security risk clearly "breaks new ground[;] imposes a new obligation on the State[;] the result was not dictated by precedent existing at the time the defendant's conviction became final[;]" and is "sufficiently novel and unanticipated." Cummings, supra, 184 N.J. at 97, 875 A.2d 906 (internal quotation marks and emphasis omitted). In this narrow context, the conclusion that Artwell's ruling constitutes a new rule of law is simply unassailable.
That conclusion requires that we focus on the second step in the retroactivity analysis and engage in the balance of the three enumerated factors that comprise that step. Artwell, supra, acknowledges that "the appearance of a defense witness in restraints presents a risk of unfair prejudice to a defendant[.]" 177 N.J. at 537, 832 A.2d 295. That said, that
That conclusion takes us to the last step of the retroactivity analysis, that is, determining what effect Artwell's ruling in respect of restraints on defense witnesses will have. In descending order of the breadth of their effect, from the most narrow to the broadest, the shorthand hierarchy of categories is purely prospective, prospective, pipeline retroactivity, or full retroactivity. Clearly, because Artwell granted relief in that case, the Artwell Court envisioned that, at a minimum, its decision would be prospective or that it would "apply the new rule in future cases and in the case in which the rule is announced, but not in any other litigation that is pending or has reached final judgment at the time the new rule is set forth." Knight, supra, 145 N.J. at 249, 678 A.2d 642. We keep faith with that determination and likewise conclude that Artwell's limited prohibition on the use of restraints on defense witnesses—and, by extension, under Kuchera, supra, on any witnesses in a criminal trial—is to have prospective effect. We need not, on this record, consider whether Artwell would also be entitled to pipeline retroactivity in light of the fact that only full retroactivity, which we specifically decline to find here, would be required to provide the relief defendant seeks.
We apply that conclusion to defendant. He was convicted and sentenced in 1999, had his direct appeal heard and determined in 2000, and his petition for certification was denied in 2001, events that each preceded Artwell by several years. Because, by the time Artwell was decided, defendant's direct appeals had been exhausted, there was no controversy then extant. In those circumstances, Artwell could provide relief to defendant only if it were given full retroactive effect, a conclusion unmerited under our retroactivity analysis. Because we have rejected the claim that Artwell should be given full retroactive effect, we similarly reject defendant's claim that requiring Allen to testify in restraints denied defendant his fair trial right.
The judgment of the Law Division in conformity with the Appellate Division's directions granting defendant's PCR application, vacating his convictions and returning the case to the trial calendar is
For reversal and reinstatement—Chief Justice RABNER and Justices LONG, LaVECCHIA, ALBIN, RIVERA-SOTO, HOENS and Judge STERN (temporarily assigned)—7.
Opposed—None.