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S44403 State v. Smith
State: Oregon
Docket No: CC93CR815
Case Date: 07/24/1998

Filed: July 24, 1998

IN THE SUPREME COURT OF THE STATE OF OREGON

STATE OF OREGON,

Petitioner on Review,

v.

DESMOND UTHER SMITH,

Respondent on Review.

(CC 93CR815; CA A86622; SC S44403)

On review from the Court of Appeals.*

Argued and submitted March 6, 1998.

Timothy A. Sylwester, Assistant Attorney General, Salem, argued the cause for petitioner on review. David B. Thompson, Assistant Attorney General, Hardy Myers, Attorney General, and Virginia L. Linder, Solicitor General, filed the brief.

Mary M. Reese, Deputy Public Defender, Salem, argued the cause and filed the brief for respondent on review. With her on the brief was Sally L. Avera, Public Defender.

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

GILLETTE, J.

The decision of the Court of Appeals is reversed. The judgment of the circuit court is affirmed.

*Appeal from Curry County Circuit Court,

Hugh C. Downer, Jr.

148 Or App 235, 939 P2d 157 (1997).

**Graber, J., resigned March 31, 1998, and did not participate in this decision. Kulongoski and Leeson, JJ., did not participate in the consideration or decision of this case.

GILLETTE, J.

This criminal case presents an interesting (and recurring) question: Does Article I, section 9, of the Oregon Constitution,(1) require police officers to obtain a warrant before using a trained drug-detecting dog to sniff the exterior of a locked storage unit for odors that are imperceptible to the human nose? A majority of the en banc Court of Appeals answered that question in the affirmative, holding that any evidence obtained as a consequence of a warrantless dog sniff must be suppressed. State v. Smith, 148 Or App 235, 246, 939 P2d 157 (1997). The state petitioned for review, arguing that, even without prior judicial authorization, use of a dog to sniff in the described manner is lawful, either because it is not a search within the meaning of the Oregon Constitution or because it is not subject to the usual "warrant based on probable cause" standard. We allowed the state's petition to consider those and other related issues. We now conclude that use of a dog to sniff property in this manner is not a search for constitutional purposes and, consequently, does not implicate Article I, section 9. We also conclude that defendant's alternative theory justifying suppression -- that evidence obtained from the storage unit must be suppressed, because the police unlawfully seized that evidence when they "secured" the unit in anticipation of obtaining a search warrant -- is incorrect. We therefore reverse the decision of the Court of Appeals.

In 1993, the Brookings Police Department received information from a confidential informant that defendant, a Klamath Falls resident, had a marijuana growing operation in the Brookings area and that he periodically used a unit in a specified storage facility to store harvested marijuana. Shortly thereafter, the Klamath Falls police arrested and jailed defendant, based on information supplied to them by the same informant and on evidence obtained from a search of defendant's residence. Not long after defendant's arrest, the Klamath Falls police contacted the Brookings police and told them that, according to the informant, defendant still had the same storage unit in Brookings. Officer Plaster of the Brookings police contacted the manager of the storage facility and confirmed that defendant still was renting a storage unit. The manager stated that he would not permit the police to search defendant's unit without a warrant.

Plaster and another police officer, Gardiner, went to the storage facility to "secure" defendant's unit. They took along Nitro, a trained drug-sniffing dog. While Plaster spoke to the facility manager, Gardiner took Nitro to the public area near defendant's unit(2) and told him to sniff for drugs. Nitro "alerted" at defendant's unit, suggesting the presence of illegal drugs. The officers asked the manager to place a lock on defendant's unit while they applied for a search warrant. The manager complied. Several hours later, Plaster returned with a warrant, which he had obtained on the basis of his own affidavit describing his contacts with the informant and the Klamath Falls police, and the results of the dog sniff. During the ensuing search, Plaster found and seized marijuana and implements used in marijuana cultivation.

Defendant was charged with manufacture, possession, and delivery of a controlled substance, ORS 475.992. Before trial, he moved to suppress the evidence obtained from the storage unit, arguing that it was obtained unlawfully in two respects: (1) the search warrant was not supported by a sufficient showing of probable cause, because the supporting affidavit relied, in large part, on an unlawful search, viz., a warrantless dog sniff of the unit's exterior; and (2) padlocking of the unit was a warrantless seizure that was not justified by exigent circumstances. The trial court denied the motion, concluding that the police did not need a warrant to conduct the dog sniff because it was not a search and that, even if padlocking the unit were an unlawful seizure, that illegality was unrelated to the later search and seizure conducted pursuant to the warrant. Defendant was tried and convicted. He appealed, assigning error to the denial of his motion to suppress.

As noted, a majority of the Court of Appeals, sitting en banc, concluded that the challenged ruling was reversible error, because the warrantless dog sniff violated Article I, section 9. In reaching that conclusion, the majority considered only the narrow question of whether a "dog sniff" search is subject to the constitutional warrant and probable cause requirements, ultimately answering that question in the affirmative. For the more fundamental proposition that use of a trained drug detection dog is a search within the meaning of Article I, section 9, the majority relied on that court's earlier decision in State v. Juarez-Godinez, 135 Or App 591, 900 P2d 1044 (1995), aff'd, 326 Or 1, 942 P2d 772 (1995), a decision that had held that dog sniffs were constitutionally significant searches.(3) Having decided in defendant's favor on the search issue, the Court of Appeals never reached the alternative seizure argument.

In its petition for review to this court, the state challenges both the Court of Appeals' Juarez-Godinez holding and its conclusion that dog sniffs require a full probable cause showing. In our view, the first issue is the key. We begin, therefore, with the Court of Appeals' holding in Juarez-Godinez that use of a trained dog to sniff the exterior of a private enclosed space is a search within the meaning of Article I, section 9, of the Oregon Constitution.

The Court of Appeals analysis in Juarez-Godinez turned on the fact that, like the odor of marijuana detected by Nitro in this case, the odor of drugs at issue there was not perceptible to human beings. Relying on State v. Campbell, 306 Or 157, 759 P2d 1040 (1988), the Court of Appeals opined that the real touchstone of acceptable governmental scrutiny under Article I, section 9, is whether the conduct involved could have been done by any private individual. Thus, the court concluded, even when the police make their observations from a vantage point where they have every right to be, a search will occur if the police observe things that an ordinary individual could not have observed from that vantage point. From that standpoint, the court concluded, it is clear that dog sniffs are searches: Dogs discern odors that would not, and could not, be detected by any ordinary private citizen, and are used by the police for that precise reason. Juarez-Godinez, 135 Or App at 602-04.

The state contends that that analysis expands the notion of a protected privacy interest under Article I, section 9, to an unwarranted and unworkable degree. In the state's view, the odor of molecules that have escaped from a contained, private space into a place to which police officers legally have access is fair game for any kind of observation -- aided or unaided -- because those molecules and their odor-producing properties are in the public domain. The state argues, in other words, that Article I, section 9, is concerned with where the police are directing their attention and not with how they perform their observations.

Before we address the parties' arguments, we need to address certain misconceptions about Oregon search and seizure law that appear in the Court of Appeals' Juarez-Godinez opinion. First, we do not agree with the Court of Appeals' construction of Campbell or its conclusion that the applicability of Article I, section 9, turns on whether the evidence can be perceived directly by unenhanced human senses. Although Campbell did conclude that use of a particular enhancement -- a tracking device -- was a constitutionally significant "search," it never suggested that use of any device or enhancement -- no matter where that device or enhancement was used -- would qualify as such. In fact, in a more recent case, this court explicitly rejected the suggestion that Campbell contains such a per se rule. See State v. Wacker, 317 Or 419, 426 n 12, 856 P2d 1029 (1993) (use of light-enhancing device ("starscope") to aid in seeing activity in a car parked in a parking lot).(4)

We also disagree with the Court of Appeals' suggestion that the fact that a dog sniff involves no invasion of protected space is inconsequential to the constitutional analysis. Our cases suggest that some form of invasion of a private space is a common, although not essential, element of the search construct under the Oregon Constitution. Compare, e.g., State v. Dixson/Digby, 307 Or 195, 211-12, 766 P2d 1015 (1988) (police entry into undeveloped land with "No Trespassing" signs would be search); Campbell, 306 Or at 172 (trespassory act of attaching tracking device to car was a search); State v. Bridewell, 306 Or 231, 759 P2d 1054 (1988) (entry into house and workshop without statutory authority was search); State v. Kosta, 304 Or 549, 554, 748 P2d 72 (1987) (opening of car trunk was a search); State v. Kock, 302 Or 29, 725 P2d 1285 (1986) (opening car door and reaching in to seize package was a search); with State v. Ainsworth, 310 Or 613, 801 P2d 749 (1990) (observation from lawfully positioned helicopter not a search); State v. Jackson, 296 Or 430, 677 P2d 21 (1984) (walking around and looking in windows of car is not search); State v. Louis, 296 Or 57, 672 P2d 708 (1983) (telephoto photograph through living room window from across street not a search; camera captured image visible from the public sidewalk). True, all those cases involved the use of (and, on occasion, the modest enhancement of) ordinary human powers of perception and observation. A dog is not a human; this case thus is different. But it is not different with respect to the pivotal question, which is whether the police invaded a protected privacy interest.

Commonly, a search involves some form of invasion into private space. In so noting however, we are not attempting to dispose of or supplant our traditional construction of Article I, section 9, as protecting privacy interests, i.e., the individual's interest in freedom from certain forms of governmental scrutiny. See Dixson/Digby, 307 Or at 206; Campbell, 306 Or at 170. We continue to adhere to that construction. At the same time, however, we acknowledge that private space and privacy interests often are inextricably intertwined. That is so because privacy interests generally are not self-announcing and, with a few possible exceptions, can be recognized only by their association with a private place, i.e., by the fact that an object is kept or conduct occurs in a place that legitimately can be deemed private. See, e.g., Dixson/Digby, 307 Or at 211-12 (defendant had protectable privacy interest in activity on undeveloped privately owned land only to the extent that he manifested an intent to exclude others by erecting fences or "no trespassing" signs). Ultimately, then, the privacy interests that are protected by Article I, section 9, commonly are circumscribed by the space in which they exist and, more particularly, by the barriers to public entry (physical and sensory) that define that private space.(5)

That is not to say that, to qualify as a search, the invasion always must be of the type that the law traditionally has labeled as a "trespass" -- an actual physical intrusion. As anyone who lives in the modern world should know, private space can be invaded by technological as well as physical means. Clearly, if Article I, section 9, is to have any meaning, it must be read in light of the ever-expanding capacity of individuals and the government to gather information by technological means. It must, in other words, speak to every possible form of invasion -- physical, electronic, technological, and the like.

That being said, we turn to the present case, involving the use of a dog to detect the presence of a particular odor caused by the presence of odor molecules in the air outside a clearly defined, private space. Obviously, that sort of examination does not involve a physical invasion into private space. The question, then, is whether it involves a constitutionally significant invasion of a different sort.

The argument might be made that, because it suggests something about the contents of a private space, a dog sniff is at least a figurative invasion into that space. We do not ascribe to that view. The police regularly and lawfully make observations from the exteriors of enclosed spaces and draw reasonable inferences about the contents of those spaces that no one considers to be a violation of Article I, section 9. See, e.g., State v. Owens, 302 Or 196, 206, 729 P2d 524 (1986) (seizure of transparent vial containing white powder did not violate Article I, section 9; police had probable cause, based on vial's exterior, to believe that it contained a controlled substance).

On the other hand, some police techniques clearly do involve technological or figurative invasions of privacy interests. High-powered telescopes, parabolic sound gathering devices, and infrared cameras all are able to gather ordinarily imperceptible information (in the form of light rays, sound waves, or heat waves) from the interior of an enclosed space as it emanates from that space. Although such devices can operate from an external and public place, their use is invasive nevertheless, because they provide information from an enclosed space about the enclosure's contents that a police officer, standing at a lawful vantage point, cannot detect with ordinary human powers of perception. That is, they constructively move the observing police officer into the private space. Superficially, one might argue that dog sniffs fall into that category -- that trained police dogs perceive odor molecules as they emanate from an enclosed space and then indicate the contents of the enclosure by their reactions. But dog sniffs do not provide the kind of direct access to the interiors of enclosed spaces that the aforementioned devices provide. Dog sniffs operate on a sample of air whose origins are unknown. One may infer from the fact that a dog detects the presence of a substance in the public airspace surrounding an enclosure that the enclosure contains that substance. However, that would only be an inference. For the purposes of both the dog and its human interpreter, the substance that is detected remains an ambient substance in the public airspace. As such, dog sniffs do not extract information from the interior of a private space, either literally or figuratively. They are not invasive in any sense of the word.

The clear import of the foregoing is that, at least when they are conducted in a public place, dog sniffs are not searches. And, because they are not, the protections of Article I, section 9 -- including the warrant requirement -- do not apply. The Court of Appeals erred in concluding otherwise in Juarez-Godinez, and its reliance on that interpretation in the present case likewise was erroneous.

At the Court of Appeals, defendant also argued that the dog sniff was unlawful under the United States Constitution. His argument is brief and primarily relies on one federal circuit court case, United States v. Thomas, 757 F2d 1359 (2d Cir 1985), to the effect that use of a trained dog to sniff the hallway outside of a suspect's apartment is a search requiring a warrant.

We are not persuaded. First, Thomas itself would appear to be questionable law, in light of a number of Supreme Court and federal circuit court decisions holding that dog sniffs are not searches. See, e.g., United States v. Place, 462 US 696, 103 S Ct 2637, 77 L Ed 2d 110 (1983) (dog sniff of luggage in transit through an airport is not a search); U.S. v. Colyer, 878 F2d 469 (D C Cir 1989) (dog sniff in public corridor on sleeper car of train was not a search); U.S. v. Lingenfelter, 997 F2d 632 (9th Cir 1993) (dog sniff of public alleyway between warehouses not a search); U.S. v. Ludwig, 10 F3d 1523 (10th Cir 1993) (dog sniff of car in motel parking lot not a search). Second, even if Thomas were good law, it is irrelevant to the present facts: By its own terms, Thomas appears to be limited to dog sniffs of dwellings.(6) The sniff at issue here, of a storage unit, more closely resembles the circumstances in Lingenfelter, i.e., a sniff of the exterior of a warehouse, which was held not to be a search.

In short, we find no support for defendant's suggestion that the dog sniff at issue was a search under the Fourth Amendment. The trial court thus was correct in denying defendant's motion to suppress on those grounds. Contrary to defendant's view, the police acted lawfully when they conducted the dog sniff at issue without first obtaining a judicial warrant.

Having disposed of defendant's dog sniff argument, we proceed to his alternative argument -- that the motion to suppress should have been granted, because the evidence at issue was derived from an unlawful seizure. The seizure to which defendant refers is the padlocking of defendant's storage unit. That seizure was unlawful, in defendant's view, because it was not authorized by a judicial warrant and was not justified by exigent circumstances or any of the other recognized exceptions to the warrant requirement.

The state recognizes that the act of padlocking was a seizure -- and rightly so. As we previously have noted, property is "seized" for the purposes of Article I, section 9, when the police significantly interfere with a person's ownership and possessory interests in the property. Owens, 302 Or at 207. Padlocking the unit represented significant interference with respect to the unit. At least in theory, it deprived defendant of the use of the unit and access to its contents.

Although the state concedes that padlocking the unit was a seizure, it does not concede that that act was unlawful for lack of a warrant. In that regard, the state maintains that padlocking the unit involved such a minimal intrusion on defendant's rights that no warrant was required. In so arguing, the state relies on various treatises and cases from other jurisdictions to the effect that the police may "secure" a residence from the outside without first obtaining a warrant. The reasoning offered for that distinction -- a distinction that the state finds relevant in the present case -- is that securing premises from the outside invades only possessory rights, which, relative to privacy rights, are of secondary importance in the constitutional scheme. See, e.g., Segura v. United States, 468 US 796, 806, 104 S Ct 3380, 3386, 82 L Ed 2d 599 (1984) (suggesting that invasion of possessory rights are less significant than invasions of privacy rights); State v. Solberg, 66 Wash App 66, 831 P2d 754 (1992), rev'd, 122 Wash 2d 688, 861 P2d 460 (1993) (no warrant required to secure premises from outside when police have probable cause). See also, Wayne R. LaFave, 3 Search and Seizure § 6.5(c) (3rd ed 1996) (discussing "impoundment" of premises to prevent loss of evidence).

We do not agree with the state's suggestion that possessory rights deserve less protection than privacy rights. Whatever other jurisdictions may have said about the subject, it is clear that Article I, section 9, speaks to both types of interests and that, with a few well-recognized exceptions, a warrant is required even when only possessory rights are implicated. See, e.g., Juarez-Godinez, 326 Or at 8-9 (warrantless seizure of car offended Article I, section 9). Padlocking the storage unit in this case was no less of a seizure because it occurred from the outside.(7) In the absence of a warrant, it was unlawful.

In its final argument, the state contends that, even if the seizure was unlawful, the unlawfulness was not causally related to the seizure of the evidence at issue and, therefore, provides no grounds for suppression. In that regard, the state points out that the police obtained the evidence at issue in a search of the storage unit pursuant to a warrant and that, logically, the locking of the unit contributed nothing to the state's uncovering of that evidence. Under those circumstances, the state contends, the evidence was not obtained in violation of defendant's right under Article I, section 9, and should not be suppressed.

Defendant agrees that unlawful police conduct requires suppression only when there is a causal connection between the conduct and the evidence at issue. He argues, however, that the requisite causal connection exists in this case -- that the police seized the evidence at issue when they padlocked the storage unit, and that the subsequent search and seizure that occurred pursuant to the later-acquired warrant could not unring that bell. In support of that view, defendant relies on State v. Hansen, 295 Or 78, 664 P2d 1095 (1983).

In Hansen, police officers suspected that the defendant had marijuana in his home and seized the residence unlawfully by entering it and "securing" it until a search warrant arrived. Although the police performed a cursory search of the residence when they first entered it, they did not use any information gleaned from that search in their application for a search warrant. Hours later, the search warrant arrived and the police obtained marijuana evidence in the ensuing search. This court nonetheless concluded that, because the evidence at issue was primary evidence, i.e., the very evidence the officers were seeking when they committed the illegality, it must be suppressed. In particular, the court concluded that, when the residence was seized, any later-discovered primary evidence in the residence also was seized. That was so because, in view of the fact that the purpose of securing the residence was to secure any evidence of marijuana possession, the act of securing the residence "as effectively reduced the marijuana to the control of the trespassing police as if they had actually discovered and taken physical possession of it." 295 Or at 97.

Defendant contends that the seizure at issue in the present case is no different -- that because the evidence obtained was of the very sort that the police were anticipating when they unlawfully seized the storage unit, that evidence also was unlawfully seized at the time of the padlocking. Under Hansen, defendant argues, that evidence is subject to suppression.

Defendant does acknowledge that, in a more recent case, State v. Sargent, 323 Or 455, 918 P2d 819 (1996), involving facts very similar to those in Hansen, this court reversed a suppression order on the ground that there was no logical connection between the unlawful securing of the residence and the discovery of what was, indisputably, primary evidence. He argues, however, that Sargent does not represent a change in the court's position -- that the two cases are distinguishable factually and that they ultimately deal with different aspects of Article I, section 9. In particular, he contends that Sargent is concerned only with police interference in privacy rights, i.e., searches, while Hansen is concerned with police interference with property rights, i.e., seizures.

We do not agree that Sargent and Hansen are that easily distinguished. It is clear that the factual distinction to which we alluded in Sargent -- between an unlawful entry into a private residence and the "seizure of a residence and its contents [that] continued beyond a reasonable time" -- did not dictate the ultimate outcome in that case: Ultimately, we assumed that an unlawful seizure had occurred, but concluded that that seizure had no effect on the subsequent valid search. 323 Or at 462-63. Moreover, it also is clear that Sargent was argued by the parties in terms of Hansen -- in terms, that is, of the validity of an asserted seizure which, according to the defendant, was accomplished when the police secured the residence. The fact that we chose to ignore that rationale and, instead, couched our analysis in terms of the validity of the search is an indication that the seizure rationale was unpersuasive -- that, regardless of what we said in Hansen, no seizure of the evidence at issue occurred until the police seized it directly upon searching the residence. Ultimately, Sargent must be read as tacitly rejecting Hansen, at least to the extent that Hansen holds that unlawful seizure of property necessarily triggers suppression of any evidence contained therein, whether or not the police subsequently obtain lawful authority to search that property.

That we no longer adhere to the view in Hansen should not be surprising. Hansen was decided in an era when this court made little effort to evaluate Oregon's constitutional guarantees as separate from those in the United States Constitution. Hansen thus appears to have been an attempt to vindicate the "police deterrence" rationale of the Fourth Amendment -- that is, to prevent the police from deriving any benefit from the unlawful practice of seizing a residence in mere anticipation of obtaining a warrant to search for evidence of suspected crimes. This court since clearly has rejected that deterrence rationale as foreign to the Oregon search and seizure provision, holding, instead, that the Oregon exclusionary rule exists to vindicate a personal right to be free from unlawful searches and seizures. See Kosta, 304 Or at 553 (so stating); Sargent, 323 Or at 462 n 4 (same). To support that purpose, it is sufficient to suppress only evidence that is actually obtained out of an illegal search or seizure. The police may gain some degree of control over the contents of private property when they "secure" that property, but they do not obtain evidence out of such a seizure.

We do not deny that, in some circumstances, the act of securing certain property may permit the police to obtain evidence that otherwise would not be available to them. However, in the present case, it clearly did not. No one attempted to gain access to the unit to remove the evidence before the search warrant was executed.(8) As such, the padlock, although unlawful, was irrelevant. The evidence would have been obtained even in the absence of the unlawful police conduct. The mere fact that evidence was discovered after that unlawful conduct does not require suppression. See also State v. Rodriguez, 317 Or 27, 39, 854 P2d 399 (1993) (unlawful arrest did not automatically prevent later-obtained consent to search from being valid). The decision of the Court of Appeals is reversed. The judgment of the circuit court is affirmed.

1. Article I, section 9, provides:

"No law shall violate the right of the people to be secure in their persons, houses, papers and effects, against unreasonable search, or seizure; and no warrant shall issue but upon probable cause, supported by oath, or affirmation, and particularly describing the place to be searched, and the person or thing to be seized."

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2. The trial court found that the general public had access to that area. Because that finding is supported by evidence in the record, we are bound to accept it. Ball v. Gladden, 250 Or 485, 487, 443 P2d 621 (1968) (stating proposition).

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3. Although we recently reversed the Court of Appeals' Juarez-Godinez decision, State v. Juarez-Godinez, 326 Or 1, 942 P2d 772 (1997), that reversal rested on the theory that the detention of the defendant's car was an impermissible seizure. Our decision left unanswered the question whether a dog sniff is a search.

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4. Moreover, it should be clear from our cases that at least some enhancements may be used without triggering constitutional concerns. See, e.g., State v. Wacker, 317 Or 419, 419-27, 856 P2d 1029 (1993) (use of starscope was not a search); State v. Louis, 296 Or 57, 672 P2d 708 (1983) (no search when police used telephoto lens to photograph activities inside of home from other side of street).

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5. Defendant suggests that Campbell is to the contrary. It is not. Indeed, Campbell involved a clear form of invasion, a trespass: The tracking device at issue was attached without permission to the defendant's privately owned vehicle.

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6. Thomas acknowledged that Place suggests that dog sniffs are not searches, but distinguished that case on the ground that it did not involve the heightened expectation of privacy that a person has in a dwelling. Thomas, 757 F 2d at 1366-67.

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7. Neither do we agree with the state's suggestion that the seizure was constitutionally insignificant because defendant was in jail and in no position to exercise his possessory rights in the storage unit. The fact that one cannot personally exercise one's possessory rights does not preclude a conclusion that such rights have been violated. See, e.g., Juarez-Godinez, 326 Or at 8 (seizure of car violated driver's right against unreasonable search and seizure even though driver was under arrest and unable to drive it).

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8. The trial court found that no one had attempted to gain access to defendant's storage unit before the search warrant was executed. That finding is supported by evidence in the record and we accept it.

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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

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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

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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.
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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
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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

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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[.]"
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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 * * * ."

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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

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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

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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

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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).

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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

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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

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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.

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