Find Laws Find Lawyers Free Legal Forms USA State Laws
Laws-info.com » Cases » Oregon » 1999 » S41231 State v. McDonnell
S41231 State v. McDonnell
State: Oregon
Docket No: CCJ8500004
Case Date: 10/07/1999

FILED: OCTOBER 7, 1999

IN THE SUPREME COURT OF THE STATE OF OREGON

STATE OF OREGON,

Respondent,

v.

MICHAEL MARTIN McDONNELL,

Appellant.

(CC J8500004; SC S41231)

On automatic and direct review of the sentence of death entered by the Circuit Court for Douglas County.

Argued and submitted May 3, 1996; resubmitted June 11, 1998.

Stephen J. Williams, Deputy Public Defender, Salem, argued the cause for appellant. With him on the briefs was Sally L. Avera, Public Defender.

Janet A. Metcalf, Assistant Attorney General, Salem, argued the cause for respondent. With her on the briefs were Theodore R. Kulongoski, Attorney General, Virginia L. Linder, Solicitor General, and David B. Thompson, Assistant Attorney General.

Before Carson, Chief Justice, Gillette, Van Hoomissen, Durham, and Leeson, Justices.*

DURHAM, J.

The sentence of death is vacated, and the case is remanded to the circuit court for further proceedings.

*Unis, J., retired June 30, 1996, and did not participate in this decision; Fadeley, J., retired January 31, 1998, and did not participate in this decision; Graber, J., resigned March 31, 1998, and did not participate in this decision. Kulongoski and Riggs, JJ., did not participate in the consideration or decision of this case.

DURHAM, J.

Defendant appeals from a judgment that imposed a sentence of death following his conviction for aggravated murder. The judgment is subject to automatic review in this court. ORS 163.150(1)(g). For the reasons that follow, we vacate the sentence of death and remand this case to the circuit court for further penalty phase proceedings.

Defendant assigns error to the circuit court's refusal to permit the jury, under ORS 163.150(5)(a) (1993) (quoted below), to consider the option of sentencing defendant to life in prison without the possibility of parole and, consistent with the ex post facto provisions of the state and federal constitutions, to permit defendant to waive any objection to the jury's consideration of that option.(1) We restate below the procedural history of the case that pertains to that assignment.

On December 22, 1984, defendant killed Joey Keever. The facts regarding that crime are set out in State v. McDonnell, 313 Or 478, 481-82, 837 P2d 941 (1992) (McDonnell II). At that time, ORS 163.150 (1985) (Or Laws 1985, ch 3, § 3, which became effective December 6, 1984) provided a choice between two possible sentences for aggravated murder: death or life imprisonment with a 30-year minimum term of imprisonment (ordinary life). The statute required the jury in an aggravated murder sentencing proceeding to answer three questions. If the jury answered all the questions in the affirmative, the court was required to sentence the defendant to death. If the jury answered any question in the negative, the court was required to impose a sentence of ordinary life.(2)

In 1988, a jury found defendant guilty of aggravated murder in Keever's death and answered affirmatively the three death penalty questions. Accordingly, the court sentenced defendant to death. On direct review, this court vacated the judgment and remanded the case to permit the trial court to consider whether defendant should be permitted to plead guilty pursuant to a plea agreement. State v. McDonnell, 310 Or 98, 794 P2d 780 (1990) (McDonnell I).

On remand from McDonnell I, the circuit court reinstated the judgment and sentence of death. On a second direct review, this court in 1992 affirmed the conviction for aggravated murder but vacated the sentence of death and remanded the case for further proceedings, because the trial court's instructions on mitigating evidence during the penalty phase were inadequate. McDonnell II, 313 Or at 506. This appeal is from those proceedings.

In 1989 and 1991, the legislature adopted amendments to Oregon's death penalty statute that were in effect during the penalty phase proceeding on remand from McDonnell II. The 1989 amendments increased the number of available sentencing options for aggravated murder by adding the choice of life imprisonment without the possibility of release or parole (true life). Or Laws 1989, ch 720, §§ 1, 2. The 1991 amendments added a procedure governing imposition of a sentence for aggravated murder after a reviewing court sets aside a death sentence and remands the case to the trial court. Or Laws 1991, ch 885, § 2. In this opinion, we refer to that penalty phase proceeding on remand as the remand proceeding. As a consequence of those amendments, at the time of defendant's remand proceeding, ORS 163.150 (1993) provided, in part:

"(1)(a) Upon a finding that the defendant is guilty of aggravated murder, the court, except as otherwise provided in subsection (3) of this section, shall conduct a separate sentencing proceeding to determine whether the defendant shall be sentenced to life imprisonment, as described in ORS 163.105(1)(c), life imprisonment without the possibility of release or parole, as described in ORS 163.105(1)(b), or death.

* * *.

"(b) Upon the conclusion of the presentation of the evidence, the court shall submit the following issues to the jury:

"(A) Whether the conduct of the defendant that caused the death of the deceased was committed deliberately and with the reasonable expectation that death of the deceased or another would result;

"(B) Whether there is a probability that the defendant would commit criminal acts of violence that would constitute a continuing threat to society;

"(C) If raised by the evidence, whether the conduct of the defendant in killing the deceased was unreasonable in response to the provocation, if any, by the deceased; and

"(D) Whether the defendant should receive a death sentence.

"* * * * *

"(f) If the jury returns an affirmative finding on each issue considered under paragraph (b) of this subsection, the trial judge shall sentence the defendant to death.

"* * * * *

"(2)(a) Upon the conclusion of the presentation of the evidence, the court shall also instruct the jury that if it reaches a negative finding on any issue under subsection (1)(b) of this section, the trial court shall sentence the defendant to life imprisonment without the possibility of release or parole, as described in ORS 163.105(1)(b), unless 10 or more members of the jury further find that there are sufficient mitigating circumstances to warrant life imprisonment, in which case the trial court shall sentence the defendant to life imprisonment as described in ORS 163.105(1)(c).

"(b) If the jury returns a negative finding on any issue under subsection (1)(b) of this section and further finds that there are sufficient mitigating circumstances to warrant life imprisonment, the trial court shall sentence the defendant to life imprisonment in the custody of the Department of Corrections as provided in ORS 163.105(1)(c).

"* * * * *

"(5) Notwithstanding subsection (1)(a) of this section, the following shall apply:

"(a) If a reviewing court finds prejudicial error in the sentencing proceeding only, the court may set aside the sentence of death and remand the case to the trial court. No error in the sentencing proceeding shall result in reversal of the defendant's conviction for aggravated murder. Upon remand and at the election of the state, the trial court shall either:

"(A) Sentence the defendant to imprisonment for life in the custody of the Department of Corrections as provided in ORS 163.105(1)(c); or

"(B) Impanel a new sentencing jury for the purpose of conducting a new sentencing proceeding to determine if the defendant should be sentenced to:

"(i) Death;

"(ii) Imprisonment for life without the possibility of release or parole as provided in ORS 163.105(1)(b); or

"(iii) Imprisonment for life in the custody of the Department of Corrections as provided in ORS 163.105(1)(c).

"* * * * *

"(d) The new sentencing proceeding shall be governed by the provisions of subsections (1) and (2) of this section. * * *.

"(e) The provisions of this section are procedural and shall apply to any defendant sentenced to death after December 6, 1984."

ORS 163.150(5)(a) (1993) required the trial court, at the state's election, to submit to a new jury the sentencing choices of death, true life, and ordinary life. The jury was required to answer four, rather than three, death penalty questions, but the court still was obligated to sentence defendant to death if the jury answered the four questions in the affirmative. If the jury answered any question in the negative, the court was required to sentence defendant to true life imprisonment, unless 10 or more jurors found that ordinary life imprisonment was the appropriate sentence. In the latter case, the court was required to sentence the defendant to ordinary life. As noted, the legislature made the 1991 amendments regarding resentencing after remand applicable to "any defendant sentenced to death after December 6, 1984." ORS 163.150(5)(e).

Before the start of the remand proceeding following McDonnell II, defendant asked the court to apply ORS 163.150(5) (1993), not the former statute that had been in effect at the time of defendant's crime. Defendant also stated that he waived any objection, including an ex post facto objection, to the application of ORS 163.150(5) (1993) to the remand proceeding. The state acquiesced in defendant's request to apply ORS 163.150(5) (1993).(3)

The trial court refused to apply ORS 163.150(5) (1993) to the remand proceeding. It reasoned, first, that it was obligated to sentence defendant under the law in effect at the time of his crime in 1984, not under ORS 163.150(5) (1993), and, second, that a defendant is not entitled to waive an ex post facto objection to a post-offense amendment to the death penalty statute. The court then convened the remand proceeding. The jury returned a verdict in which it answered affirmatively the four questions set out in ORS 163.150(1)(b). The court again sentenced defendant to death. This appeal followed.

Defendant contends that the true life option applies to the remand proceeding in this case by reason of ORS 163.150(5) (1993); that this court's decision in State v. Wille, 317 Or 487, 858 P2d 128 (1993), which addressed an ex post facto issue under ORS 163.150(2) (1989), does not preclude application of ORS 163.150(5) (1993) in this case; and that, in any event, defendant was entitled to waive his potential ex post facto objection to the application of the true life option to his case. Defendant also argues that Wille was decided incorrectly. The state, citing Wille, responds that the trial court's action was not erroneous, because applying the true life option in the remand proceeding to a crime that predated the legislature's adoption of the true life option in 1989 would constitute an ex post facto violation. The state also asserts that the trial court was not obligated to accept defendant's ex post facto waiver and that defendant's waiver was insufficient.

We begin by acknowledging that the legislature generally has plenary authority to enact laws governing matters of criminal procedure and the sentences for criminal offenses, subject to applicable constitutional restrictions. See State v. Baker, 328 Or 355, 358, 976 P2d 1132 (1999) ("Criminal procedure is a subject over which the legislature generally has plenary authority, subject to constitutional restrictions."). The prohibition on ex post facto laws in Article I, section 21, of the Oregon Constitution, is one pertinent constitutional restriction. Before we assess whether the constitutional prohibition against ex post facto laws is subject to waiver, it first is necessary to construe the pertinent statutes to determine which statute controls the remand proceeding. See State v. Lowry, 295 Or 337, 343, 667 P2d 996 (1983) ("As this court has repeatedly stated, the proper sequence begins with an examination of ordinary rules of law and the scope and limits of legal authorization before reaching any constitutional issue

* * *."). Only if we first determine that the legislature intended to adopt retrospective legislation that applies to defendant's 1984 crime would we proceed to consider whether defendant was entitled to, and did, waive a constitutional ex post facto objection. Our initial inquiry, therefore, is a question of statutory interpretation to which the methodology described in PGE v. Bureau of Labor and Industries, 317 Or 606, 610, 859 P2d 1143 (1993), applies.

ORS 163.150(5)(a) (1993) required the trial court in a capital case to follow the specified remand procedure only if a reviewing court found prejudicial error in the sentencing proceeding and remanded the case to the trial court. This case was in that precise procedural posture after this court's decision in McDonnell II, in which this court stated:

"* * * Accordingly, we vacate defendant's death sentence and remand this case to the circuit court for further proceedings consistent with this opinion.

"* * * We find no error as to the guilt phase of defendant's trial. We find error as to the penalty phase of his trial and reverse as to the penalty phase only."

McDonnell II, 313 Or at 506.

Because the state on remand elected to conduct a new sentencing proceeding, ORS 163.150(5)(a) (1993) by its terms obligated the trial court to submit to a new jury three sentencing options: death, true life, and ordinary life. ORS 163.150(5)(e) made that remand procedure applicable "to any defendant sentenced to death after December 6, 1984." Unquestionably, defendant's case met that requirement because, at the time of the remand proceeding in 1994, defendant had been sentenced to death two times after December 6, 1984.

The trial court declined to apply ORS 163.150(5)(a) (1993), because it interpreted one of our precedents, State v. Isom, 313 Or 391, 837 P2d 491 (1992), to impose a general requirement that criminal defendants must be tried and sentenced under the law in effect when the crime was committed. We conclude that the trial court misread Isom.

The applicability of an amended statute to a pending criminal proceeding is a matter within the legislature's control, subject to ex post facto or other constitutional restraints. See State v. Kephart, 320 Or 433, 440, 887 P2d 774 (1994) (amended statute regarding appellate review of criminal sentences applied to criminal cases pending on appeal).

In Isom, this court held that a defendant who had been convicted of aggravated murder was not entitled to the benefit of a post-offense statutory amendment that would have precluded an aggravated murder charge. This court stated:

"* * * 'The power to declare what punishment may be assessed against those convicted of crime is not a judicial, but a legislative, power, controlled only by the provisions of the Constitution.' State v. Smith, 128 Or 515, 524, 273 P 323 (1929). Because the power of punishment is legislative, when the legislature changes the punishment for a crime, Oregon courts must apply the sentence that the legislature intended."

Isom, 313 Or at 395. The court interpreted the pertinent statute, ORS 161.035(4),(4) and concluded:

"It is clear from ORS 161.035(4) that the legislature intends that Oregon courts sentence criminal defendants under the statutory scheme in force when a particular criminal act was committed."

Ibid. The trial court interpreted that statement broadly to preclude the application of any post-offense amendments to statutes regarding criminal sentences in Oregon criminal proceedings.(5) But that statement carried one import in the context of Isom: the legislature did not intend to apply the particular post-offense statutory amendment at issue in that case to the defendant. Isom did not announce a free-floating rule of criminal law that courts must apply the law in effect when a defendant committed an offense regardless of any later expression of legislative intention that a post-offense statutory amendment should apply instead. Rather, Isom confirmed that courts must determine the applicability of a post-offense statutory amendment in a criminal case, including an amendment to the preexisting statutory sentence, by examining, first, the legislature's intention and, second, any pertinent state and federal constitutional restrictions. Isom concluded that, subject to constitutional restrictions, "Oregon courts must apply the sentence that the legislature intended." Ibid.

In this case, ORS 161.035(4) maintained ORS 163.150 (1985) in force, despite later amendments to ORS 163.150 (1985), for the purpose of authorizing punishment of defendants for crimes committed before the effective date of the amendments. For purposes of our present statutory analysis, ORS 163.150(5)(a) (1993) obviated the need to exercise that authority, because, subject to constitutional restraints, ORS 163.150(5)(a) (1993) prescribed the range of punishment that the court was required to impose in the 1994 remand proceeding. Because ORS 163.150(5)(a) (1993) required the court to impose one of the listed statutory sentences in the remand proceeding, the court had no reason to exercise the authority to punish defendant that ORS 161.035(4) had preserved.

The foregoing statutory analysis demonstrates that the legislature intended that ORS 163.150(5)(a) (1993) would apply to the remand proceeding in this case. That brings us to the state's contention that the trial court's refusal to apply that statute nonetheless was correct, because defendant was not entitled to waive an objection that the retroactive application of ORS 163.150(5)(a) (1993) violates the constitutional prohibition against ex post facto laws. In response, defendant points out that, at trial, the state did not object (and, in fact, agreed) to the application of the true life option, or argue that defendant could not waive an ex post facto objection to the application of the true life option.

As noted, the parties agreed below that the court should apply the true life option and instruct the jury accordingly, but the trial court refused.(6) The court concluded that defendant was not entitled either to waive an ex post facto objection or to consent to be sentenced under an ex post facto statute.

The issue on appeal is the same issue that the trial court faced when it rejected the parties' mutual request to apply the true life option: If a defendant does not assert an ex post facto objection to the retroactive application of the true life sentencing option, as required by the legislature, does the court err in addressing and deciding the ex post facto issue? We address that issue first under Oregon's ex post facto provision. For the reasons that follow, we conclude that defendant's conduct waived any ex post facto objection and that the court's decision to decline to give effect to defendant's waiver was error.

At the outset, we emphasize that ORS 163.150(5)(a) (1993) is the statute that the legislature chose to apply to defendant's remand proceeding even though defendant's offense predated that statute's enactment. This case does not involve an attempt by the parties, by stipulation or otherwise, to induce the court to apply a statute that clearly is inapplicable for reasons apart from its potential vulnerability to an ex post facto objection. Parties cannot stipulate, for example, to the retroactive application of a post-offense sentencing statute that the legislature did not make retroactive. See State v. Lyon, 304 Or 221, 231, 744 P2d 231 (1987) (parties "may not by stipulation change the law * * *"). This case presents no such issue.

The state contends that, because the constitutional ex post facto provisions are addressed in text to the lawmaking function, they protect not only a defendant's personal right but also serve to limit legislative power and to uphold the separation of powers. In so arguing, the state seeks to distinguish the right protected by Article I, section 21, of the Oregon Constitution, from other personal constitutional rights that a defendant may waive,(7) and to analogize Article I, section 21, to Article I, section 10 ("[n]o court shall be secret"), which this court has held announces an institutional rule forbidding secret adjudications, not an individual right that one person may waive. See State ex rel Davey v. Frankel, 312 Or 286, 289, 823 P2d 394 (1991):

"[T]he command that '[n]o court shall be secret' is not a statement of an individual right that may be waived or compromised by the individual. * * * Rather it 'is one of those provisions of the constitution that prescribe how the functions of government shall be conducted.'"

We do not agree with the state's argument that Article I, section 21, is analogous to the prohibition against secret courts in Article I, section 10. The text of the two provisions demonstrates that they have materially different objectives. Article I, section 10, specifies a rule for the operation of courts that courts must observe regardless of any choice by an individual to waive or compromise that rule. By contrast, Article I, section 21, addresses the lawmaking function at the time of enactment, not the process of adjudication by courts. That provision bears a greater textual and structural similarity to other provisions of the state constitution that also prohibit the enactment of certain types of laws, such as, for example, Article I, sections 8, 9, and 20, of the Oregon Constitution, which prohibit, respectively, the enactment of certain laws regarding free expression, searches and seizures, and the granting of privileges and immunities. Among other things, the latter constitutional provisions entitle a criminal defendant to seek protection against an attempt by the state to enforce a constitutionally forbidden statute. But the enforceability of those provisions in a criminal proceeding usually depends on the defendant's timely invocation of the constitutional protection that those provisions offer. Those provisions are not a mandate to courts, in any "jurisdictional" sense or otherwise, to strike down or to refuse to enforce statutes that may violate their prohibitions even if the defendant never has claimed their protection. A criminal defendant can waive the protection of those constitutional provisions by failing to invoke them.

Article I, section 21, functions in the same manner. That provision entitles a criminal defendant to invoke it against the state's attempt to enforce an ex post facto law. Contrary to the trial court's view, that provision does not obligate a criminal defendant to object to the application, in trial or at sentencing, of a statute that arguably may implicate the ex post facto clause. Moreover, that provision does not make the trial court responsible for its enforcement even if the defendant has waived the protection of that provision. As is true in many other legal settings, a criminal defendant may knowingly and intentionally relinquish, and thereby waive, the protection of a pertinent statute or constitutional provision:

"Rights, even of constitutional dimension, can be waived. See, e.g., State v. Meyrick, 313 Or 125, 132, 831 P2d 666 (1992) (illustrating principle -- waiver of right to counsel). * * *

"* * * * *

"'A waiver is an intentional relinquishment or abandonment of a known right or privilege.' State v. Meyrick, supra, 313 Or at 132. Although a waiver must be intentional, there is no particular formula for determining whether a waiver has occurred. 'Whether there has been an intentional relinquishment or abandonment of a known right or privilege will depend upon the particular circumstances of each case * * *.' Ibid."

State v. Hunter, 316 Or 192, 199-201, 850 P2d 366 (1993).

Our examination of the circumstances here leads us to conclude that, under the definition of waiver set out in Hunter, defendant's decision not to invoke the protection of the ex post facto clause in Article I, section 21, in a timely manner against the application of ORS 163.150(5)(a) (1993) in the remand proceeding constituted a waiver of his right to that protection. Defendant made it clear to the trial court that he wanted the jury to consider his case under ORS 163.150(5)(a) (1993), in order potentially to receive a true life sentence. Defendant's arguments to the trial court demonstrate that he was aware that he could invoke his constitutional right to protection against the enforcement of ex post facto laws, but that he chose intentionally to relinquish that right. The written waiver that defendant filed, in which he expressed in elaborate terms his desire to waive his constitutional rights, amply confirms that defendant's decision not to invoke his constitutional protection against ex post facto laws was an intentional relinquishment of a known right.

As the state correctly contends, the ex post facto clause also serves important institutional interests, such as the interest in safeguarding the separation of powers, and does not protect only the individual rights of criminal defendants. However, the state's contention does not lead logically to the conclusion that a criminal defendant may not waive the protection of the ex post facto clause.

As with other constitutional restrictions on the substance of legislation, Article I, section 21, directs the ex post facto prohibition at lawmakers at the point of their enactment of a proposed law. See Cookman, 324 Or at 26 (discussing characteristics of a prohibited ex post facto law). That provision does not invite the enactment of ex post facto laws, leaving it solely to the courts to invalidate them in individual cases. See State v. Robertson, 293 Or 402, 412 n 10, 649 P2d 569 (1982) (similarly analyzing constitutional restriction on laws restraining the free expression of opinion).

Once the legislature has acted, however, constitutional enforcement of the prohibition against ex post facto laws depends in the main on the courts and the process of adjudication. Adjudication, in turn, resolves legal and factual issues framed by litigants through familiar legal procedures, including pleadings, motions, and legal argument. Courts generally confine their judgments to the issues that the litigants have raised and submitted for decision. See State v. Hitz, 307 Or 183, 188, 766 P2d 373 (1988) (discussing justifications for requiring preservation of claims of error in trial court). Consistent with the adjudicatory process, courts generally will refrain from deciding whether an applicable post-offense sentencing statute is an ex post facto law if the criminal defendant has not asserted such a claim.

Returning to the state's argument, we fail to see how adherence by courts to the adjudicatory procedures described above -- in particular, refraining from deciding sua sponte an ex post facto issue that a criminal defendant has waived -- somehow will induce the legislature to become less attentive to its responsibility under Article I, section 21, to avoid enacting ex post facto laws. The proscription in that provision remains absolute. Consequently, our conclusion that a criminal defendant may waive the constitutional protection against application of ex post facto laws does not undermine the doctrine of separation of powers.

Finally, the state contends that the trial court was not required to "accept" defendant's waiver of his constitutional protection against ex post facto laws. That argument fails to focus properly on the procedural act that effected defendant's waiver. As noted above, defendant sought the application of ORS 163.150(5)(a) (1993) in the remand proceeding. At that point, he asserted no timely objection or claim that that statute was an ex post facto law. That claim was defendant's to assert, and he did not do so. Defendant's choice effected a waiver of his constitutional protection and eliminated any ex post facto issue for decision by the trial court.

Having determined that defendant was entitled to, and did, waive the protection against ex post facto laws afforded by Article I, section 21, of the Oregon Constitution, we turn to the question whether defendant's waiver of the protection of the ex post facto clause in Article I, section 10, of the United States Constitution is subject to the same analysis. The United States Supreme Court has not decided that question. However, that Court's pertinent decisions uniformly involve proceedings in which a criminal defendant has asserted that a retrospective statute offends the federal constitutional proscription against ex post facto laws. See, e.g., California Dept. of Corrections v. Morales, 514 US 499, 115 S Ct 1597, 131 L Ed 2d 588 (1995) (in response to prisoner's habeas corpus proceeding, Court held that retroactive application of post-offense statute decreasing frequency of parole suitability hearings did not violate federal ex post facto provision); Miller v. Florida, 482 US 423, 107 S Ct 2446, 96 L Ed 2d 351 (1987) (post-offense revision of sentencing guidelines, applied over the defendant's objection, violated federal ex post facto clause); Weaver v. Graham, 450 US 24, 101 S Ct 960, 67 L Ed 2d 17 (1981) (Court sustained prisoner's pro se habeas corpus proceeding challenging retroactive application by prison officials of a post-offense statute reducing accumulation of monthly gain time credits); Dobbert v. Florida, 432 US 282, 97 S Ct 2290, 53 L Ed 2d 344 (1977) (the defendant objected, on ex post facto grounds, to sentencing under post-offense death penalty statute; held: no ex post facto violation occurred because statutory changes were only procedural and, on the whole, ameliorative).

One recent decision implies that a criminal defendant may waive his protection under the federal ex post facto clause. In Lynce v. Mathis, 519 US 433, 117 S Ct 891, 137 L Ed 2d 63 (1997), the Court held that the cancellation of provisional credits toward release, pursuant to a post-offense statute, violated the federal ex post facto clause because the new scheme was retrospective and increased the punishment for the defendant's crime. The Court noted that the petitioner had not advanced his ex post facto claim in state court. Rather, he filed his petition for a writ of habeas corpus directly in federal court. The Court also observed that the state respondents had challenged the petitioner's failure to exhaust his state remedies on that issue, but later had abandoned that argument. The Court stated that the petitioner was not required to exhaust his state remedies because the Florida courts already had rejected the same ex post facto claim. As a consequence, "exhaustion would have been futile." Lynce, 519 US at 436-37 n 4, 117 S Ct at 893 n 4, 137 L Ed 2d at 69 n 4.

The logical import of that discussion in Lynce is that a criminal defendant may lose his right to challenge a state statute on ex post facto grounds in a federal habeas corpus proceeding by failing to raise that claim in state court, unless the effort to exhaust state remedies would be futile. The only purpose served by that discussion is to confirm that a criminal defendant's federal ex post facto protection is subject to loss if not asserted in a timely manner.

The foregoing discussion satisfies us that the United States Supreme Court would conclude that defendant may, and in this case did, waive his federal ex post facto protection by choosing not to assert an objection to the application of ORS 163.150(5)(a) (1993) in the remand proceeding. That Court's jurisprudence indicates that defendant's rights under the federal ex post facto clause are subject to waiver. We conclude that defendant waived his federal ex post facto protection by choosing not to object to the application of ORS 163.150(5)(a) (1993) in the remand proceeding.

The trial court's decision not to apply ORS 163.150(5)(a) (1993) in the remand proceeding was not a harmless error. A properly instructed jury might have returned a verdict supporting a sentence other than death. As a consequence, we must vacate the sentence of death and remand the case for further proceedings.

We have examined defendant's other assignments of error. Those assignments either are not well taken or raise issues that may not recur on remand. We decline to address those assignments in greater detail.

The sentence of death is vacated, and the case is remanded to the circuit court for further proceedings.

1. Article I, section 21, of the Oregon Constitution, provides, in part: "No ex-post facto law * * * shall ever be passed * * *." Article I, section 10, of the United States Constitution, provides, in part: "No State shall * * * pass any * * * ex post facto Law * * *." For a discussion of the history of the Oregon ex post facto clause, see State v. Cookman, 324 Or 19, 25-31, 920 P2d 1086 (1996).

Return to previous location.

2. ORS 163.150 (1985) provided, in part:

"(1) Upon a finding that the defendant is guilty of aggravated murder, the court shall conduct a separate sentencing proceeding to determine whether the defendant shall be sentenced to life imprisonment or death. * * *

"(2) Upon the conclusion of the presentation of the evidence, the court shall submit the following issues to the jury:

"(a) Whether the conduct of the defendant that caused the death of the deceased was committed deliberately and with the reasonable expectation that death of the deceased or another would result;

"(b) Whether there is a probability that the defendant would commit criminal acts of violence that would constitute a continuing threat to society. In determining this issue, the court shall instruct the jury to consider any mitigating circumstances offered in evidence, including, but not limited to, the defendant's age, the extent and severity of the defendant's prior criminal conduct and the extent of the mental and emotional pressure under which the defendant was acting at the time the offense was committed; and

"(c) If raised by the evidence, whether the conduct of the defendant in killing the deceased was unreasonable in response to the provocation, if any, by the deceased.

"* * * * *

"(5) If the jury returns an affirmative finding on each issue considered under this section, the trial judge shall sentence the defendant to death. If the jury returns a negative finding on any issue submitted under this section, the trial judge shall sentence the defendant to imprisonment for life in the custody of the Corrections Division as provided in ORS 163.105."

Return to previous location.

3. After arguing initially that State v. Wille, 317 Or 487, 858 P2d 128 (1993), had held that the true life sentence was inapplicable, the state ultimately agreed to defendant's request that the court should apply ORS 163.150(5) (1993), including the true life sentence option, but on the condition that defendant agree to the ex post facto waiver terms that the state proposed. Defendant agreed to those terms.

Return to previous location.

4. ORS 161.035(4) provides:

"When all or part of a criminal statute is amended or repealed, the criminal statute or part thereof so amended or repealed remains in force for the purpose of authorizing the accusation, prosecution, conviction and punishment of a person who violated the statute or part thereof before the effective date of the amending or repealing Act."

Return to previous location.

5. This court quoted the statement in Isom in dictum in State v. Langley, 314 Or 247, 254 n 5, 839 P2d 692 (1992), on recons 318 Or 28, 31, 861 P2d 1012 (1993). Langley concluded ultimately that the ex post facto determination in Wille, not the statement in Isom, precluded retroactive application of the true life sentencing option to the defendant's offense. Similarly, in State v. Pinnell, 319 Or 438, 444, 877 P2d 635 (1994), the court in dictum stated that Langley and Wille had held that the true life sentencing option was inapplicable to preenactment offenses.

The dictum in Pinnell was inaccurate. Langley and Wille sustained ex post facto objections to the retroactive application of the true life sentencing option in the particular circumstances of those cases. The premise for that conclusion was the court's recognition that the legislature made the true life sentencing option apply retroactively to govern in each defendants' case. The court's construction and application of the ex post facto clauses of the state and federal constitutions, not the statement in Isom, prevented the true life option from applying retroactively, as the legislature had required, in those cases.

Return to previous location.

6. Several weeks before requesting that the trial court apply ORS 163.150(5)(a) (1993) in this proceeding, defendant had filed a wide-ranging attack on the constitutionality of the statutes and procedures concerning his continued prosecution for aggravated murder. The court at the time denied his objection that post-offense amendments to ORS 163.150 were ex post facto. Defendant subsequently requested the court to apply ORS 163.150(5)(a) (1993) in the remand proceeding. The trial court's denial of that request is the ruling that is now before this court.

Return to previous location.

7. The state relies on Article I, section 9, which protects "the right of the people to be secure in their persons, houses, papers, and effects"; section 11, which provides that "[i]n all criminal prosecutions, the accused shall have * * *" rights, among others, to counsel, to confrontation, and to a jury trial; and section 12, which provides that "[n]o person shall be put in jeopardy twice for the same offen[s]e[.]" (Emphasis added.)

Return to previous location.

Preview:1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36

Filed: June 30, 2011 IN THE SUPREME COURT OF THE STATE OF OREGON In Re: Complaint as to the Conduct of J. MARK LAWRENCE, Accused. (OSB 08-115; SC S058778) En Banc On review of the decision of a trial panel of the Disciplinary Board. Argued and submitted May 2, 2011. Paula Lawrence, McMinnville, argued and cause and filed the briefs for accused. Stacy Hankin, Assistant Disciplinary Counsel, Tigard, argued the cause and filed the brief for the Oregon State Bar. PER CURIAM The complaint is dismissed. PER CURIAM The issue in this lawyer disciplinary proceeding is whether the accused, by releasing a partial transcript of a juvenile hearing to the press, violated Rule of Professional Conduct (RPC) 8.4(a)(4), which prohibits a lawyer from engaging in conduct that is prejudicial to the administration of justice. A trial panel found the accused guilty of violating RPC 8.4(a)(4) and suspended him for 60 days. We review the decision of the trial panel de novo. ORS 9.536(2); BR 10.6. Because we conclude that

1

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22

the Bar failed to prove by clear and convincing evidence that the accused's conduct caused prejudice to the administration of justice, we dismiss the complaint. The facts are straightforward and largely undisputed. In 2007, the accused represented a juvenile male who, along with another male friend, allegedly had touched or swatted several female classmates on the buttocks and had danced in front of the females in a lascivious manner. The incident occurred at the students' middle school. After being informed of the youths' behavior, the vice principal and a police officer interviewed the victims. Based on those interviews, the accused's client and his friend were arrested by a McMinnville Police Officer on February 22, 2007. On February 23, the Yamhill County Juvenile Department filed a delinquency petition alleging that the accused's client had committed acts that, if done by an adult, would have constituted five counts of first-degree sexual abuse and five counts of third-degree sexual abuse. At an initial detention hearing that same day, the court ordered the youths to remain in custody. The events giving rise to this disciplinary action arose out of a second detention hearing held on February 27, 2007, before Judge John Collins. The accused called two of the victims to testify on behalf of his client. The female victims testified that the youths were their friends and that they did not find the youths to be threatening in any way. Regarding the alleged sexual abuse, the female victims testified that the touching or swatting was not sexual in nature but rather was mere horseplay. The victims also testified that they felt pressured by the vice principal and the police officer to make the touching sound hurtful and uncomfortable when it was not. By the second detention hearing, the case was receiving substantial media 2

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17

attention. Judge Collins allowed the press to attend the detention hearing, but prohibited the press from recording the proceedings. The parties dispute whether the judge prohibited only video recordings or also prohibited audio recordings.1 A number of newspaper and television stories reported the events and testimony at the hearing. After the hearing, the accused obtained a copy of the official audio recording of the hearing and had a partial transcript prepared that contained the victims' testimony. In March 2007, a reporter contacted the accused about the February 27 hearing. The reporter, who was not present at the hearing, expressed disbelief that the female victims had felt pressured by the vice principal and the police officer to make the youths' actions seem sexual. The accused offered to give the reporter a copy of the partial transcript when it was available. The accused believed that it would have been improper to give the reporter the official audio recording of the hearing but thought that the transcript could be released. The accused contacted Deborah Markham, the deputy district attorney handling the case, to see if she objected to releasing the transcript. Markham told the accused that she believed that the court would have to consent. The accused then released the transcript to the reporter without obtaining permission from Judge Collins. Deputy District Attorney Deborah Markham testified that Judge Collins prohibited video recording. Judge Collins testified that he might have prohibited the press from recording the detention hearing, but that he did not remember whether he did so or not. He did remember allowing video recording at a later hearing in the proceeding. The accused testified that Judge Collins prohibited video recording but that he could not remember if the judge prohibited audio recording.
1

3

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17

When Judge Collins learned that the transcript had been released -following news reports that cited the transcript -- he called a meeting with Markham and the accused and told them to release no other transcripts. The testimony from the accused, Markham, and Judge Collins differs regarding that meeting. The accused described the meeting as relaxed and said that Judge Collins had stated that the release of the transcript was permissible. Markham testified that Judge Collins was "very concerned" about the release of the transcript and that Judge Collins said that the accused's disclosure violated the law. Judge Collins testified that the accused did not get his consent to release the transcript, but that he was not sure if the accused needed to do so under the circumstances of the case, particularly given the presence of the press at the hearing. In Judge Collins's description, the meeting was not contentious; although he requested that the parties refrain from releasing any additional transcripts, he did not "feel like [he] needed to be firm" and so did not issue an order barring further releases. In April 2008, several months after the juvenile case was resolved, Tim Loewen, director of the Yamhill County Juvenile Department, reported the accused's action of releasing the transcript to the Bar. After investigating the matter, the Bar charged the accused with violating RPC 8.4(a)(4)2 by releasing to the press "information
2

RPC 8.4(a) provides, in relevant part: "It is professional misconduct for a lawyer to: "* * * * * "(4) engage in conduct that is prejudicial to the administration of

4

1 2 3 4 5 6 7 8 9

appearing in the record" of a juvenile case without court consent, in violation of ORS 419A.255(1) and (3).3 The Bar alleged that the accused had "usurped" Judge Collins's authority to control the proceeding by not seeking the court's consent before releasing the transcript, and thereby had caused prejudice to the administration of justice. In the proceeding before the trial panel, the accused argued that his release of the transcript did not violate ORS 419A.255 for each of three independent reasons: (1) the transcript that he had prepared was not a part of the record of the case and so was not subject to ORS 419A.255; (2) Judge Collins had consented to the release of the information contained in the transcript when he allowed the press to attend and report on

justice[.]"
3

ORS 419A.255 provides, in relevant part:

"(1) The clerk of the court shall keep a record of each case, including therein the summons and other process, the petition and all other papers in the nature of pleadings, motions, orders of the court and other papers filed with the court, but excluding reports and other material relating to the child, ward, youth or youth offender's history and prognosis. The record of the case shall be withheld from public inspection but is open to inspection by the child, ward, youth, youth offender, parent, guardian, court appointed special advocate, surrogate or a person allowed to intervene in a proceeding involving the child, ward, youth or youth offender, and their attorneys. The attorneys are entitled to copies of the record of the case. "* * * * * "(3) Except as otherwise provided in subsection (7) of this section, no information appearing in the record of the case or in reports or other material relating to the child, ward, youth or youth offender's history or prognosis may be disclosed to any person not described in subsection (2) of this section without the consent of the court * * * ."

5

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22

the hearing; and (3) the information in the transcript could be released under ORS 419A.255(5)(b) and (d), which list certain exceptions to the confidentiality of juvenile records. Even assuming that he did violate ORS 419A.255, the accused asserted, he did not violate RPC 8.4(a)(4), because his conduct was not prejudicial to the administration of justice. That was so, according to the accused, because the defendant and the victims supported releasing the transcript and because the information contained in the transcript had already been made public as a result of the press attending and reporting on the hearing. Thus, in the accused's view, no harm -- actual or potential -- resulted from his conduct. The trial panel found by clear and convincing evidence that the accused had violated RPC 8.4(a)(4) and suspended the accused from the practice of law for 60 days. The trial panel first determined that ORS 419A.255(3) prohibited the accused from releasing the partial transcript to the press without the consent of the trial court and that the accused had violated the statute in doing so. With little discussion, the trial panel then found that the evidence that the accused had violated the statute also was sufficient to show prejudice to the administration of justice and thus that the accused had violated RPC 8.4(a)(4). The accused sought review in this court. To prove a violation of RPC 8.4(a)(4), the Bar must prove (1) that the accused lawyer's action or inaction was improper; (2) that the accused lawyer's conduct occurred during the course of a judicial proceeding; and (3) that the accused lawyer's conduct had or could have had a prejudicial effect upon the administration of justice. See In re Kluge, 335 Or 326, 345, 66 P3d 492 (2003) (citing In re Haws, 310 Or 741, 746-48, 6

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22

801 P2d 818 (1990)) (so stating for identically worded former DR 1-102(A)(4)). Because we find the issue to be dispositive, we begin by examining the third element -- whether the accused's conduct had or could have had a prejudicial effect on the administration of justice -- and assume, without deciding, that the accused's conduct violated ORS 419A.255(3) and otherwise satisfied the test set out in Kluge and Haws. Prejudice to the administration of justice "may arise from several acts that cause some harm or a single act that causes substantial harm to the administration of justice." Kluge, 335 Or at 345. This court has identified two components to the "administration" of justice: "1) The procedural functioning of the proceeding; and 2) the substantive interest of a party in the proceeding." Haws, 310 Or at 747. "A lawyer's conduct could have a prejudicial effect on either component or both." Id. The Bar argues that the accused's conduct, a single act, resulted in prejudice to the administration of justice because it had the potential to cause substantial harm to the procedural functioning of the court. The Bar asserts, "Substantial potential harm to the administration of justice occurs whenever a lawyer interferes in or usurps the court's ability to do its job in a proceeding pending before it." The Bar states that the accused "usurped" the court's authority by not seeking Judge Collins's consent prior to releasing the transcript. The Bar cites three disciplinary cases to support its position that the accused's conduct resulted in substantial potential harm to the administration of justice. First, in In re Eadie, 333 Or 42, 36 P3d 468 (2001), this court found a violation of former DR 1-102(A)(4) where the accused lawyer submitted a proposed order containing a 7

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22

misrepresentation that was intended to influence the judge in changing the trial date. Id. at 58. That conduct substantially harmed the procedural functioning of the court because it resulted in the judge acquiescing to a trial date preferred by the accused and made it necessary for the judge to resolve a dispute resulting from the accused's misrepresentation and to redraft an order. Id. Second, in In re Morris, 326 Or 493, 953 P2d 387 (1998), this court concluded that the accused lawyer had engaged in a single act of conduct that had the potential to cause substantial harm, either to the procedural functioning of the court or to the substantive interests of the parties, when she knowingly filed a notarized document that she had altered. Id. at 502-03. Third, in In re Thompson, 325 Or 467, 940 P2d 512 (1997), this court found a violation of former DR 1-102(A)(4) where the accused lawyer physically confronted a judge after receiving an adverse decision. That conduct caused substantial harm to the administration of justice because the accused's ex parte communication with the judge "unfairly attack[ed] the independence, integrity, and respect due a member of the judiciary." Id. at 475. The conduct also had the potential to cause substantial harm, because it could have influenced the judge to change her decision or to recuse herself from the case. Id. In each of the preceding cases, the accused lawyer engaged in conduct that had the potential to disrupt or to improperly influence the court's decision-making process, Thompson, 325 Or at 475; that created unnecessary work for the court, Eadie, 333 Or at 58; or that had the potential to mislead the court, Morris, 326 Or at 503. Moreover, in Eadie and Morris, the accused lawyers made knowing misrepresentations to the court. Similarly, in Kluge, the accused lawyer's conduct in knowingly filing an 8

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18

untimely motion to disqualify the trial judge and then failing to serve the motion on opposing counsel caused prejudice to "the procedural functioning of the judicial system by imposing a substantial burden upon both opposing counsel and [the trial judge] to undo the accused's actions." 335 Or at 346. In this case, the Bar has made no showing, as required by Kluge and Haws, that the accused's conduct harmed the procedural functioning of the judicial system, either by disrupting or improperly influencing the court's decision-making process or by creating unnecessary work or imposing a substantial burden on the court or the opposing party. Nor has the Bar shown that his conduct had the potential to result in any of the above. Certainly, Judge Collins did not testify that the accused's actions interfered with Judge Collins's conduct of the juvenile proceeding. Although the Bar correctly asserts that ORS 419A.255 gives the trial court control over the release of protected information in a juvenile record -- and, as noted, we assume without deciding that the accused acted improperly in not seeking the trial court's consent -- the Bar's theory fails to take into account the fact that the information contained in the partial transcript that the accused released was presented in open court and had already been reported by the press.4 It is difficult to see how the accused's release of the same information, in the context of this case, had the potential to cause any harm to the proceeding, much less substantial harm.

Article I, section 10, of the Oregon Constitution grants members of the public, including the press, the right to attend juvenile hearings. State ex rel Oregonian Pub. Co. v. Deiz, 289 Or 277, 284-85, 613 P2d 23 (1980).

4

9

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22

See Kluge, 335 Or at 345 (prejudice to the administration of justice may arise from "several acts that cause some harm or a single act that causes substantial harm"). Indeed, the Bar makes no effort to show that the accused's conduct could have resulted in new information being made public or that the release of the partial transcript itself had any potential impact on the proceeding. In fact, after the press attended the hearing and the accused released the transcript, Judge Collins allowed members of the press to listen to the official audio recording of the hearing. Nevertheless, the Bar asserts that Judge Collins was sufficiently "concerned" about the release of the information to call the accused and Markham to his chambers to discuss the incident. The fact that Judge Collins was "concerned" and met with the accused and Markham does not, by itself, demonstrate the potential for substantial harm to the procedural functioning of the court. Judge Collins himself stated that, although "in a perfect world," he probably would not have wanted the transcript released, in the context of this case and the open court provision of Article I, section 10, of the Oregon Constitution, the release of the partial transcript was likely permissible without his consent because "if [the press is] * * * going to know the information and report the information, at least get it right." Judge Collins's testimony, then, does not demonstrate that the accused's conduct impacted the procedural functioning of the court, even if the accused's conduct was cause for "concern." Nor does the Bar offer any evidence to prove that the release of the partial transcript harmed the substantive interests of the accused's client, the victims, or the state. The accused released the transcript, with the support of his client, in response to an 10

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22

inquiry from the media and in order to respond to inaccuracies appearing in some media reports. The accused maintained the confidentiality of the victims' names in the transcript, referring to them by their initials, consistent with an earlier order by Judge Collins. In this proceeding, the accused also submitted letters from the two victims who testified (and their parents) that stated their support for the release of the partial transcript. Finally, there was no testimony from the Yamhill County Juvenile Department that the release of the partial transcript had any effect on its substantive interests or its ability to prosecute the case. The Bar appears, instead, to take the position that virtually any violation of a statute, rule, or court order that occurs during the course of a court proceeding and relates to the conduct or any procedural aspect of that proceeding necessarily is prejudicial to the administration of justice. The Bar asserts, in effect, that "substantial potential" harm is implicit in the accused's conduct. Our cases, however, require proof by clear and convincing evidence that an accused's conduct in a specific judicial proceeding caused actual or potential harm to the administration of justice and, when only one wrongful act is charged, that actual or potential harm must be "substantial." Kluge, 335 Or at 345; Haws, 310 Or at 748. Here, the Bar's evidence did not prove that substantial harm resulted or could have resulted from the accused's conduct. We conclude that the Bar has not proved by clear and convincing evidence that the accused violated RPC 8.4(a)(4). The accused's conduct did not result in such prejudice, because there is no evidence that the release of the partial transcript, which contained solely information already presented in open court and reported by the press, 11

1 2 3 4 5 6

harmed the procedural functioning of the judicial system. Nor is there any evidence that the substantive rights of the accused's client, the other juvenile defendant, the victims, or the state were harmed. "Prejudice to the administration of justice" requires such a showing. Haws, 310 Or at 747-48. The complaint is dismissed.

12

Download S058778 In re Lawrence.pdf

Oregon Law

Oregon State Laws
Oregon Tax
Oregon Court
    > Muller v. Oregon
Oregon Labor Laws
Oregon Agencies
    > DMV Oregon

Comments

Tips