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Scott
Dean HARBERTS
Scott Dean Harberts
Clackamas County - Oregon
Born: 11/1/62
Sentenced to death: 1994
Harberts was convicted of beating to death 2-year-old Kristina Lynn
Hornych in 1989. Harberts, who lived in the girl's Oregon City house
with her father and his girlfriend, claimed he found her body on the
bathroom floor. She had been sexually assaulted.
The Oregon Supreme Court in 2000 overturned Harberts' conviction.
The court ruled that the five-year delay between the killing and the
trial, which was caused by pretrial legal appeals, denied Harberts his
right to a speedy trial. The ruling prevented prosecutors from trying
Harberts again for the murder. But in 2001, he was convicted sexually
abusing a girl in the late 1980s. He was sentenced to a year in jail and
five years' probation.
Interesting fact: Harberts is the only person sentenced to death in
Oregon since 1984 to leave prison alive.
Status: Lives on the Oregon coast in the Garibaldi area. He is
scheduled to complete probation in May 2006.
By Sarah Hunsberger - The Oregonian
Sunday, February 11,
2001
Scott Dean Harberts sat strapped to a polygraph
machine for four hours and repeatedly told a detective he'd had
nothing to do with the rape and murder of his best friend's 2-year-old
daughter the previous night in Oregon City.
Even after the detective told him the polygraph said
he was lying, Harberts stuck to his story. But knowing Harberts had
drunk nearly a half-gallon of Southern Comfort whiskey the night before,
the detective pressed him: Could you have done this while you were drunk?
"Oh yes, I could. If you say I did, I probably did,"
said Harberts. "I just don't remember. I wish I knew why I'd do such a
vicious thing."
The case against Harberts hinged on that ambiguous
reply. Police stopped aggressively investigating other possible suspects,
though they had no eyewitness or direct evidence. Prosecutors, left only
with circumstantial evidence, settled in for a long court battle to get
his statement admitted as evidence.
And while judge after judge rejected prosecutors'
arguments, Harberts sat in jail for five years before his trial and
eventual conviction -- the longest known pretrial wait in the state's
history.
Last fall, the Oregon Supreme Court reversed
Harberts' 1994 conviction and death sentence, which a jury had issued
without ever hearing Harberts' incriminating reply.
The court's ruling that Harberts was denied his
right to a speedy trial not only prevents Harberts from being retried,
but it also leaves unanswered questions about the quality of the police
investigation, the strength of the prosecution's circumstantial case and
even Harberts' guilt.
As Harberts, 38, awaits trial later this month on new
charges that he sexually abused three children before his 1989 murder
arrest, his former attorney says he still is uncertain whether Harberts
is the killer.
"I have never had any evidence to convince me that he
did it," said William Timothy Lyons, who said he usually can tell when
his clients are guilty.
"That's an odd position to be in 11 years later."
A 3 a.m. wake-up
Kristina Lynn Hornych was raped, beaten, sodomized
and smothered on a warm July night sometime after her father smoked
cocaine with his live-in friend, Scott Harberts.
Earlier in the day, Debbie Holfeld of Oregon City
dropped off her daughter to stay the night at the home of her ex-husband,
Kevin Hornych, because she thought she would work first thing in the
morning.
Hornych shared the house with his girlfriend, Sylvia
Mangus, and her three children. Harberts had moved in several months
earlier when he split up with his second wife. An unemployed welder with
a fondness for liquor and cocaine, Harberts had known Hornych since they
attended school in Gladstone.
After dinner, Hornych put his blond-haired, blue-eyed
toddler to bed in her crib and agreed to go buy some cocaine with money
Harberts had given him, according to Hornych's trial testimony. Hornych,
who was awaiting sentencing on a drug charge, and Harberts later smoked
the drug in Harberts' room.
Hornych and his girlfriend fell asleep watching "L.A.
Law." The next thing they knew, they later told a jury, Harberts was
pounding on their bedroom door at 3 a.m.
Harberts led them to the bathroom where Kristina lay
naked on the floor. Her pink pajama top and blood-stained diaper were in
the tub, soaked with water as if someone had tried to rinse them.
Kristina's blood and clumps of her hair tainted the living room carpet,
where her pajama pants lay, according to police reports.
While Mangus and Harberts started cardiopulmonary
resuscitation, Hornych called 9-1-1 but put down the phone sometime
during the call and hid the drug paraphernalia, according to his
testimony.
Even after medics and police arrived, Harberts
shouted at the officers and kept trying to give CPR.. He was arrested on
a harassment charge after he shoved an officer.
Medics discovered Kristina had been dead for some
time. Her body was so stiff they couldn't get a tube down her throat.
"I can't believe it"
Harberts told police he had discovered Kristina when
he got up to use the toilet. A breath test showed that more than five
hours after his arrest, he was still too drunk to legally drive.
About three hours later, he took the polygraph test,
then was taken to the hospital to give blood and hair samples. While
waiting for a nurse, Harberts talked with two police officers about the
polygraph.
"I can't believe liquor made me do something like
that," Harberts said. "I can't believe it."
"What?" asked one officer.
"Killed my best friend's daughter," Harberts
responded, adding something about the polygraph test saying that he did
it.
The officer asked Harberts what he thought. Harberts
paused.
"I probably did."
No direct evidence
State and local investigators quickly turned all
their attention to Harberts.
"Once you had a suspect who failed the polygraph, the
focus of your investigation is going to be on that suspect," said Oregon
City Police Chief Gordon Huiras, who was the lead detective in the
multiagency investigation.
Although police reports don't explain why, officers
never searched Hornych or Mangus, seized their clothing or took
scrapings from under their fingernails . The officer who questioned them
and later searched their bedroom died before the trial, leaving few
details in his reports.
Police later took hair and blood samples from Hornych
that yielded inconclusive results. DNA testing was not available in
1989.
Police didn't search the garage or the cars at the
home. They also failed to seize evidence, including a bloody hair
conditioner bottle in the bathroom that could have yielded fingerprints,
said Lyons, Harberts' defense lawyer. They never found the drug
paraphernalia Hornych later admitted hiding in a utility room.
"You can always think of other things you could have
done," Huiras said. "We're also convinced, like the jury was, that the
guilty party was convicted."
Former Clackamas County District Attorney Terry
Gustafson, who as a deputy district attorney was briefly assigned to the
case in 1989, said the evidence only showed that the killer had to be
someone in the house.
"We had no direct evidence that linked him (Harberts)
to the murder," she said.
A history of violence
Investigators patched together a dark portrait of the
high school dropout.
Harberts, who grew up in Oregon and Wyoming, had a
volatile home life. After his parents split up, he lived with his father,
a prison guard, whom relatives described to police as a violent and
temperamental man who beat discipline into his children.
Harberts' mother, Sheila Fisher, told police in 1989
that Harberts was just like his father.
"He's volatile, and he's angry," Fisher said in a
taped police interview after the killing. "He's a very angry young man."
Harberts once shot his stepmother's pit bull dead
because it climbed on his lap while he was driving, records show. His
police record ranges from arrests for public drunkenness to convictions
of car theft, firearms possession and beating his girlfriend's 4-year-old
son with a spatula.
Fisher also told police in the taped interview that
while her son had a tender side, he was an alcoholic who "does not
remember three-quarters of what he does when he's drinking."
Fighting over evidence
The series of delays that caused the Supreme Court to
throw out the case began when defense attorney Lyons moved in November
1989 to have Harberts' incriminating statements suppressed.
Lyons argued that Harberts' statements did not meet
two legal standards. First, he said, they weren't voluntary, because
Harberts was under the influence of alcohol, had limited sleep and
wasn't told that the first two-thirds of the polygraph exam turned out
to be inconclusive. Also, Harberts wasn't told that the intern
administering the test was not a fully licensed polygraph examiner.
Second, Lyons argued that Harberts' statements were
too closely linked to the polygraph to be separated fairly. Because
polygraph evidence is inadmissible in Oregon courts, the statements also
should be withheld, Lyons said.
After Lyons' motion, the delays began to accumulate
while Harberts sat in jail:
• The trial court suppressed Harberts' statements in
February 1990.
• Clackamas County Deputy District Attorney Andy
Eglitis appealed, and the Oregon Court of Appeals reversed the
suppression in November 1991.
• Lyons sought review by the Oregon Supreme Court. In
February 1993, the Supreme Court agreed that Harberts' statements were
voluntary. But it sent the case back to the circuit court for a ruling
on whether references to the polygraph exam could be separated from his
statements. Lower courts usually decide such questions of fact.
• The trial court excluded Harberts' statements a
second time in May 1993, saying they had a "direct linkage to the
polygraph" and couldn't be edited.
• Eglitis again sought an appeal, but the state
dropped it in January 1994 after three deadline extensions.
Eglitis initially persuaded Timothy Sylwester, the
assistant attorney general in charge of criminal appeals at the time,
that even though it could take years, the ruling should be appealed
because Harberts' statements were crucial to winning the case.
"You fight," Eglitis said in a recent interview, "for
every piece of evidence you can get -- especially when you know the
burden of proof is proof beyond a reasonable doubt."
Sylwester, who is known among colleagues for his
speed and efficiency, admits he should have handled the appeal
immediately. Instead, he told the court he needed to work on other cases
and received deadline extensions for the Harberts appeal lasting two-and-a-half
months. Sylwester then changed his mind and dropped the appeal.
He considered Harberts' words ambiguous enough -- and
the chances of winning so small -- that the appeal wasn't worth risking
more delay, he said.
A stunning reversal
Even after the final appeal was dropped, the delays
continued. The trial date wasn't picked for an additional three months
-- and not until Lyons wrote to the court.
Harberts was tried, convicted and sentenced to death
in 1994.
The sentence was automatically appealed to the Oregon
Supreme Court. It took almost a year for transcripts of the trial to be
completed and three more years for both sides to file all their briefs.
The appeal also was put on hold for a year pending the court challenge
of Measure 40, a victims' rights initiative. The court heard oral
arguments in March 1999. In September, the justices ruled that
Harberts' murder trial was inherently unfair.
While the justices wrote in their opinion that there
were justified reasons for the first four years of the pretrial delay,
they said the state had no good reasons for the delays that followed.
Once the statements were barred from court in 1993,
the Supreme Court wrote, the state "had an affirmative duty to bring him
to trial without further delay."
Sylwester and other lawyers were surprised by the
ruling because the Oregon Supreme Court has never before held justified
delays -- such as the first four years of the Harberts case -- against
those such as Sylwester who handled a case later.
Sylwester also said the courts were more responsible
for the pretrial delay than he was.
"For the court to say that we should give these
priority, well, maybe they should, too," Sylwester said.
Lawyers and legal experts have questioned why it
appears lawyers were held to a tougher standard than the courts. The
Court of Appeals took 11 months to make its decision after it heard oral
arguments in its portion of the pretrial appeal, and the Supreme Court
took five-and-a-half months after it heard oral arguments.
State law requires the courts to put many types of
cases on a fast track, but pretrial appeals like in Harberts' case are
not among them. Courts have discretion to take other cases in whatever
order they wish.
Chief Justice Wallace P. Carson Jr. declined to
discuss whether the Supreme Court used its discretion to hurry the
pretrial appeal in the Harberts case.
Still no closure
The Supreme Court said the five-year delay made it
too difficult for Harberts to defend himself.
To illustrate their point, the justices pointed to
conflicting stories about how a bloody cigarette wrapper and several
Doral cigarettes wound up in the bathroom -- stories that changed over
time.
Hornych, who smoked Dorals, told police in 1989 that
he had dropped the cigarettes when he first saw his daughter's body on
the bathroom floor. But in the 1994 trial, he testified that the
cigarettes had fallen out of his pocket the night before the murder,
when he had taken Kristina to use her potty chair.
Sylvia Mangus Hornych, who married Kevin Hornych
after the killing, told police in 1989 that she, not Kevin, took
Kristina to the bathroom that night. During the trial in 1994, she
testified that she could not remember.
"Successfully impeaching their credibility could have
established some doubt about whether the police properly had eliminated
the father and the father's girlfriend as suspects," the Supreme Court
wrote in its 2000 decision.
Instead, the passage of time gave Hornych and his
girlfriend a believable reason for telling a different story five years
later, the justices wrote.
Eric Cumfer, a Salem lawyer who began representing
Harberts in 1994 after his sentence was appealed, said he was "flabbergasted"
that Harberts was convicted. But he said he understands that the jury
didn't have it easy.
"When the jury has a choice of either saying yes or
no, they're out in a difficult position when the evidence is weak,"
Cumfer said. "Jurors, especially in cases that are more serious, are
more inclined to convict."
One of the jurors, Cyrus Lawrence of Portland, said
he remembers that testimony about there being no forced entry into the
house helped persuade him to vote for a guilty verdict.
"Thinking back, what the prosecution had there I felt
was in my mind evidence that he did it," said Lawrence, 26. "I couldn't
tell you specific details of what swayed me one way or another."
After the trial court granted
defendant's motion to suppress the inculpatory statements, the state
announced that it planned to appeal the trial court's order.
Defendant then filed a motion for release pending the state's appeal.
Defendant argued that, in light of the trial court's rulings regarding
the inadmissibility of defendant's inculpatory statements, there was not
sufficient evidence to support the findings under ORS 135.240 that the
proof was evident or the presumption strong that defendant was guilty.
On March 5, 1990, the trial court denied defendant's motion for release.
The court found "by clear and convincing evidence that the proof is
evident and the presumption strong that the defendant is guilty."
Accordingly, defendant remained in jail. On March 20, 1990, the state
filed a notice of appeal from the trial court's suppression order.
In November 1991, the Court of Appeals reversed the
trial court's suppression order. State v. Harberts, 109 Or App
533, 820 P2d 1366 (1991). It held that defendant had made the
inculpatory statements voluntarily and that, as a matter of law, the
statements could be edited to avoid any reference to the polygraph
examination. Id. at 539-40.
Defendant sought review by this court and obtained
two extensions of time to file his petition for review. The case was
argued in September 1992, and, in February 1993, this court held that
defendant had made the inculpatory statements voluntarily. However, it
rejected the Court of Appeals' holding that, as a matter of law,
defendant's statements could be edited in a manner that would eliminate
reference to the polygraph examination without changing their meaning.
State v. Harberts, 315 Or 408, 415, 848 P2d 1187 (1993). In
April 1993, this court remanded the case to the trial court for it to
determine whether it could eliminate defendant's references to the
polygraph examination in his inculpatory statements without altering the
meaning of those statements. Id. at 419.
On remand, the trial court again found that, as a
factual matter, it could not edit defendant's inculpatory statements
without changing their meaning, because the statements contained a "direct
linkage to the polygraph." On May 27, 1993, the court again suppressed
those statements. The state filed a timely notice of appeal from the
second order of suppression. The state requested three extensions of
time to file its opening brief, each time explaining that the Assistant
Attorney General assigned to the case was working on other cases. Seven
months later, on January 21, 1994, the state moved to dismiss the
appeal, stating that it "no longer wishes to pursue this appeal." The
Court of Appeals granted the state's motion and dismissed the appeal
three days later.
Thereafter, the record reveals that nothing occurred
to schedule the case for trial. On April 11, 1994, defendant wrote a
letter to the State Court Administrator inquiring about the status of
the case and explaining that he had been in jail awaiting trial since
July 14, 1989. In response to defendant's letter, the trial court
scheduled the trial for July 7, 1994.
On May 23, 1994, defendant moved to dismiss the
charges against him for lack of a speedy trial. After a hearing on the
motion, the trial court analyzed defendant's motion based on the factors
that this court had identified in State v. Ivory, 278 Or 499,
564 P2d 1039 (1977): the length of the delay, the reasons for the delay,
and prejudice to defendant. It found that the length of the delay --
almost five years -- "is extraordinary and shocking," and "unprecedented
in the State of Oregon and perhaps unprecedented in the country as a
whole." As to the reasons for the delay, the trial court found that the
period between July 14, 1989, the date of defendant's arrest, and
January 3, 1990, when the trial originally would have begun, was "a
minimum amount of time" to bring an aggravated murder case to trial.
The court also found that the state had a "legitimate
and statutory right" to appeal the court's first suppression order and
that the Court of Appeals' decision put defendant in the position of
petitioning for review to this court "or never again [having] a legal
opportunity to challenge the [d]ecision in the future." Therefore, the
court concluded, the period of delay caused by the first interlocutory
appeal "cannot be laid at the feet of the defendant but at the same time
cannot be wholly assigned to the State."
The court also found that the conduct of the attorney
in charge of the second appeal during the time that appeal was pending
was "curious and questionable in light of the facts as [the attorney in
charge] testified he knew them to be." According to the trial court, the
seven months between when the state filed the second interlocutory
appeal and when the state moved to dismiss that appeal was a period of "protracted
indecision and unreasonably long under all the circumstances * * *."
With respect to prejudice, the trial court found that
defendant had suffered actual personal prejudice by being held in jail
for five years without a trial and by having aggravated murder charges
against him unresolved for that period of time. However, the court also
held that there was "no compelling and cogent evidence" suggesting that
defendant's ability to defend himself had been impaired:
"The position by the defendant that defendant's
ability to receive a fair trial because of the extraordinary delay
has been impaired is a reach on the part of the defendant as solid
evidence supporting that position is not apparent to this Court."
On June 17, 1994, the trial court denied defendant's
motion to dismiss, reasoning:
"The consideration of all 'factors' including the
circumstances mentioned above bearing on the question of prejudice
have caused the Court to conclude that while the delay is
extraordinary and shocking and has indeed prejudiced defendant
Harberts by reason of his long pre-trial incarceration and the
attendant anxiety and concern, this is counter-balanced by the
nature of the charges against this defendant and the Court's Finding
of February 28, 1990 [denying defendant's motion for release pending
appeal because of a strong presumption of guilt] so as to render the
prejudice defendant suffered to be of insufficient magnitude to
warrant dismissal."
On June 28, 1994, after the case had been set for
trial, defendant petitioned for a writ of habeas corpus in this court,
which this court denied approximately a week later, on July 6, 1994.
Defendant's trial began the following week. The jury convicted him of
all three counts, and defendant was sentenced to death on October 27,
1994.
As a threshold matter, defendant assigns error to the
trial court's denial of his motion to dismiss on speedy-trial grounds.
The requirement for a speedy trial is both statutory and constitutional.
ORS 135.747 requires that a defendant charged with a crime be brought to
trial "within a reasonable period of time[.]" Article I, section 10, of
the Oregon Constitution, provides, in part, that "justice shall be
administered * * * without delay." The Sixth Amendment to the United
States Constitution provides, in part, that "[i]n all criminal
prosecutions, the accused shall enjoy the right to a speedy * * * trial."
In this case, defendant sought dismissal of the charges against him on
both statutory and constitutional grounds.
Procedurally, this court usually examines statutory
claims first. See, e.g., Ivory, 278 Or at 503 (so
stating). However, if defendant were to prevail on his statutory claim,
the remedy would be dismissal of the charges without prejudice, and the
state would be able to prosecute him again, because the charges against
him are felonies. See ORS 135.753(2) (dismissal of charge under
ORS 135.747 does not bar another prosecution for same crime if crime
charged is Class A misdemeanor or felony); State v. Emery, 318
Or 460, 471 n 18, 869 P2d 859 (1994) (same).
Therefore, even if we were to hold in defendant's
favor on his statutory speedy-trial claim, we still would have to
address his constitutional claims, because the remedy for those claims
is dismissal with prejudice. SeeIvory, 278 Or at 505
(remedy for Article I, section 10, violation is dismissal with prejudice,
same as for violation of Sixth Amendment right to speedy trial,
citingStrunk v. United States, 412 US 434, 440, 93 S Ct
2260, 37 L Ed 2d 56 (1973)). Defendant must prevail on his state or
federal constitutional speedy-trial claims to be entitled to the
complete relief that he seeks. Under those circumstances, therefore, it
is appropriate to address defendant's constitutional claims first.
SeeIvory, 278 Or at 503 (same rationale for addressing
constitutional speedy-trial claim first).
We begin with defendant's claim under Article I,
section 10, of the Oregon Constitution. SeeState v.
Kennedy, 295 Or 260, 262, 666 P2d 1316 (1983) (court decides state
constitutional issues before resorting to federal law). In analyzing
that provision, we consider its specific wording, the case law
surrounding it, and the historical circumstances that led to its
creation. SeePriest v. Pearce, 314 Or 411, 415-16,
840 P2d 65 (1992) (explaining methodology).
By its terms, Article I, section 10, of the Oregon
Constitution requires that justice be administered "without delay," a
term that traces to Magna Charta. Note, The Right to a Speedy
Criminal Trial, 57 Col L Rev 846, 847 n 7 (1957). At the beginning
of the twentieth century, this court stated that Article I, section 10,
"declares that justice shall be administered without delay, which is
substantially the same as guarantying to a defendant in a criminal
action a speedy trial." State v. Breaw, 45 Or 586, 587, 78 P
896 (1904).
In the criminal law context, the requirement for a
speedy trial is embedded deeply in the Anglo-American legal tradition:
"'The right of all persons held on a criminal
charge, to a speedy and impartial trial, has been guaranteed from
the earliest times to the English people, first by the Magna Charta
and the petition of rights * * *. The * * * right has been declared
in most of the constitutions of the American states, and also in the
sixth amendment to the federal constitution.'"
State v. Lee, 110 Or 682, 685, 224 P 627
(1924) (quoting Freeman, 41 Am Dec 604). The historical reason for the
speedy-trial requirement is prevention of prolonged pretrial
incarceration. Sir Edward Coke's commentaries on Magna Charta, for
example, explained that English judges did "'not suffer[] the prisoner
to be long detained, but at their next coming have given the prisoner
full and speedy justice * * * without detaining him long in prison.'"
SeeKlopfer v. North Carolina, 386 US 213, 224, 87 S
Ct 988, 18 L Ed 2d 1 (1967) (quoting Coke, The Second Part of the
Institutes of the Laws of England 43 (Brooke, 5th ed,
1797)). To Coke, prolonged pretrial incarceration not only would have
been contrary to English law and custom, it would have been "an improper
denial of justice." Id.; see also Note, The
Lagging Right to a Speedy Trial, 51 Va L Rev 1587, 1594 (1965) (requirement
of trial without delay protects defendants from "interminable pretrial
imprisonment").
Colonial constitutions mandated trial "without delay"
beginning with the Virginia Declaration of Rights of 1776, which phrased
the requirement as a "speedy trial." Bernard Schwartz, 1 The Bill of
Rights: A Documentary History, 234 (1971). The Kentucky
Constitution of 1799, and the Ohio Constitution of 1802, guaranteed that
"right and justice [be] administered without denial or delay." Charles
Kettleborough, 1 Constitution Making in Indiana xx, 86 (1916).
The Indiana Constitution of 1816 took its "substance and phraseology"
from the Kentucky and Ohio Constitutions. Id. at xx. The
Indiana Constitution of 1851 rephrased the requirement as follows: "Justice
shall be administered freely, and without purchase; completely, and
without denial; speedily, and without delay." Id. at 297-98.
The Indiana Constitution of 1851 was "the chief model
for substance and phraseology" of the Oregon Constitution that was
adopted in 1857. Charles Henry Carey, ed., The Oregon Constitution
and Proceedings and Debates of the Constitutional Convention of 1857,
28 (1926). The committee on the Bill of Rights submitted the text of
Article I, section 10, to the convention as Article I, section 12.
Id. at 120. There is no record of any discussion of the phrase "without
delay." Seeid. at 310 (noting adoption without
comment).
This court long has held that Article I, section 10,
contains a "command * * * that justice shall be administered 'without
delay[.]'" State v. Clark, 86 Or 464, 471, 168 P 944 (1917).
That command is addressed to the prosecution and to the court. State
v. Crosby, 217 Or 393, 402, 342 P2d 831 (1959). The state must not
violate the constitutional speedy-trial mandate. State of Oregon v.
Kuhnhausen, 201 Or 478, 512, 266 P2d 698, on reh'g 272 P2d
225 (1954).
Historically, the test that this court used to
resolve speedy-trial claims was whether the process was "free from
vexatious, capricious and oppressive delays, created by the ministers of
justice * * *." Clark, 86 Or at 471 (citations omitted). In
1977, this court held that, consistent with that historical test, it
would follow the same analysis that the United States Supreme Court had
adopted in Barker v. Wingo, 407 US 514, 92 S Ct 2182, 33 L Ed
2d 101 (1972), to resolve speedy-trial claims under the Sixth Amendment
to the United States Constitution. Ivory, 278 Or at 504.
Under Barker, the analysis begins with the
length of the delay. Delay that is "presumptively prejudicial" is a "triggering
mechanism" for inquiry into three other factors: whether the defendant
asserted the right to a speedy trial, the reasons for the delay, and
prejudice to the defendant. Barker, 407 US at 530. The
Barker court rejected the argument that a defendant who fails to
demand a speedy trial waives the right to a speedy trial. Id.
at 528. Instead, it held that a defendant's failure to assert the right
to a speedy trial is "one of the factors to be considered in an inquiry
into the deprivation of the right." Id.
With respect to prejudice to the defendant, the
Barker court explained that such prejudice is to be assessed in
light of the interests that the speedy-trial requirement was designed to
protect:
"This Court has identified three such interests:
(i) to prevent oppressive pretrial incarceration; (ii) to minimize
anxiety and concern of the accused; and (iii) to limit the
possibility that the defense will be impaired. Of these, the most
serious is the last, because the inability of a defendant adequately
to prepare his case skews the fairness of the entire system. If
witnesses die or disappear during a delay, the prejudice is obvious.
There is also prejudice if defense witnesses are unable to recall
accurately events of the distant past. Loss of memory, however, is
not always reflected in the record because what has been forgotten
can rarely be shown."
This court also has declined to follow the federal
practice of balancing the conduct of the defendant against the conduct
of the state in evaluating speedy-trial claims. Mende, 304 Or
at 22. Rather, this court considers all the relevant factors, Haynes,
290 Or at 81, and assigns "weight" to them, Mende, 304 Or at
24. The length of delay affects the relative weight of each factor:
"the longer the state unjustifiably delays a
trial, the more heavily the 'reasons for delay' factor weighs in
favor of the defendant. Similarly, the longer the defendant must
endure pretrial incarceration or anxiety and other forms of personal
prejudice, the more the 'prejudice to defendant' factor weighs in
the defendant's favor. * * * Obviously, length of delay also may be
a factor in assessing a defendant's claim that the passage of time
has dimmed witnesses' memories or made other evidence unavailable."
Mende, 304 Or at 24 (citation omitted).
Moreover, pretrial imprisonment shortens the constitutionally
permissible measure of delay, even when that imprisonment results from
denial of pretrial release in a murder case. Haynes, 290 Or at
83. In that regard, we note that the trial court in this case held that
its finding of February 28, 1990 -- that the presumption that defendant
was guilty and would not be released pretrial -- "counter-balanced" the
"extraordinary and shocking" delay in this case. That was error because,
as noted, Oregon courts do not engage in a balancing of the speedy-trial
factors, and pretrial incarceration shortens, rather than counter-balances,
the constitutionally permissible measure of delay. Haynes, 290
Or at 81, 83.
To summarize: Article I, section 10, imposes on the
state a mandatory directive to bring a defendant to trial "without delay."
Determining whether the state did so is a fact-specific inquiry that
requires the court to examine the circumstances of each particular case.
Under our present-day jurisprudence, speedy-trial claims are guided by
considering the length of the delay and, if it is not manifestly
excessive or purposely caused by the government to hamper the defense,
the reasons for the delay, and prejudice to the defendant. Prolonged
pretrial imprisonment, even if it is caused by the trial court's finding
that the defendant is not entitled to release pretrial because of a
strong presumption of guilt, shortens the constitutionally permissible
measure of delay. With that framework in mind, we turn to the
circumstances of this case, beginning with the length of the delay.
The pretrial delay in this case was two days short of
five years. The length of the delay after an indictment has been filed
not only triggers inquiry into the other factors, it remains an element
of the inquiry in the examination of the reasons for the delay and
prejudice. Mende, 304 Or at 24; accordDoggett,
505 US at 651-52 (uncustomary delay triggers inquiry into other factors
and contributes to presumption that pretrial delay caused prejudice to
accused). The state concedes that the five-year delay in this case is
"more than sufficient" to trigger inquiry into the reasons for that
delay. We agree. The state identifies no cases, and we have found none,
involving such a long period of pretrial delay where the defendant was
held in jail awaiting trial solely in connection with the pending
charges. However, the delay in this case was not so manifestly excessive
that we may ignore the other factors. Ivory, 278 Or at 506.
Cf.Chase, 135 F Supp at 233 (criminal charges dismissed
because of 20-year delay before trial). We consider the other factors in
turn, beginning with the reasons for the delay.
Defendant argues that "the lion's share of the delay
was for the [state's] appeals which were ultimately unsuccessful, unduly
lengthy, and negligently handled." He contends that the state's second
interlocutory appeal was "especially weak" and added almost a year to an
already unnecessarily long pretrial delay. The state responds that,
under ORS 138.060(3), it had a right to take both interlocutory appeals
and that "none of the time taken up in pretrial appeals should be
considered" in analyzing a speedy-trial claim under Article I, section
10. The state reasons that the pretrial delay caused by the appeals in
this case is "so benign as to exclude that period from the speedy-trial
analysis."
The state's argument reduces to the assertion that,
even when a defendant has been incarcerated pretrial, the state's
statutory right to take an interlocutory appeal frees it from the
constitutional mandate of Article I, section 10. For the state to
prevail on that argument, this court would have to hold that the state's
statutory right to appeal from a pretrial suppression order either
defines or supercedes the constitutional command in Article I, section
10. In Kuhnhausen, this court rejected a similar argument.
Kuhnhausen involved a question of the
meaning and application of Article I, section 10, in relation to the
speedy-trial statute, former ORS 134.120 (1953), renumbered
as ORS 135.747. 201 Or at 512. The state had argued that the
statute, which was enacted contemporaneously with the Oregon
Constitution, constituted the legislative construction and definition of
Article I, section 10. This court held that the statute "is not a
'definition' of the constitutional provision * * *." Id. at
516. The court explained that determining whether a trial is a speedy
trial is a judicial question that "should not be lightly whittled away
by any rule which recognizes the power of the legislature to
authoritatively construe the constitution." Id. at 517. The
same reasoning is applicable here.
When the Oregon Constitution was adopted, and for
more than a hundred years thereafter, the state had no right to take an
interlocutory appeal from an order of suppression. The legislature
enacted ORS 138.060(3) granting such a right in 1969. See Or
Laws 1969, ch 529, § 1 (enacting provision as ORS 138.060(4),
renumbered as ORS 138.060(3) in 1973, Or Laws 1973, ch 836, § 276).
ORS 138.060(3) did not, because it could not, nullify the state's
obligation under Article I, section 10, to bring an accused to trial "without
delay." The state always must exercise its statutory right to appeal in
a manner that is consistent with its constitutional obligation.
Accordingly, we reject the state's argument that no delay
caused by interlocutory appeals may be considered in analyzing a
defendant's speedy-trial claim under Article I, section 10. Because ORS
138.060(3) does not shield the state from an inquiry into the reasons
for the delay associated with its interlocutory appeals in this case, we
turn to an analysis of those reasons for delay.
The state's first appeal raised the issues whether
defendant had made his inculpatory statements voluntarily and whether
his statements were linked to the polygraph examination so inextricably
that they should be considered as "polygraph evidence" and excluded
under Lyon, 304 Or at 233-34, and Brown, 297 Or at
445.
As noted, the state prevailed at the Court of Appeals,
and defendant sought review by this court. We accept the trial court's
finding that the state filed and pursued its first appeal with
reasonable diligence and that defendant was required to seek review of
the Court of Appeals' decision or lose his opportunity to challenge that
ruling in the future.
Under those circumstances, we conclude that the
decision to take, and the time devoted to the resolution of, the state's
first appeal was consistent with the state's constitutional duty to
exercise reasonable diligence in bringing defendant to trial. However,
whatever the constitutional permissibility might be of holding a
defendant in custody for four years without a trial, the passage of that
amount of time changed the constitutional calculus under Article I,
section 10, for what had to occur thereafter. That is so because, as we
have explained, the core value protected by the speedy-trial requirement
is prevention of prolonged pretrial incarceration.
By the time that the state's first interlocutory
appeal was resolved, defendant had been held in jail without trial for
so long that the state had an affirmative duty to bring him to trial
without further delay, unless it had a strong justification for not
doing so. Even assuming that the state had a strong justification for
not bringing defendant to trial at that point, it was obligated to give
this case the highest priority to remove any remaining barriers to trial.
We turn to the justification for the period of delay following the
resolution of the state's first appeal.
On remand from this court's decision in Harberts,
the trial court made a factual finding that it could not edit
defendant's inculpatory statements to omit reference to the polygraph
examination without changing the meaning of those statements.
Accordingly, on May 27, 1993, the trial court again suppressed the
evidence of the statements, just as it had on March 5, 1990.
Soon after the trial court entered its second order
of suppression, the Clackamas County Assistant District Attorney
assigned to prosecute the case called the Appellate Division of the
Attorney General's office to discuss the possibility of taking an appeal
from the second order of suppression. The state's attorney in charge of
the second interlocutory appeal testified that, when he received the
prosecutor's call, he had doubts about the strength of the state's
position if it were to file another appeal and was worried specifically
about the length of time that defendant already had been in jail
awaiting trial. As another witness, the Solicitor General, further
explained:
"[Appellate Division attorneys] immediately were
worried about how strong a case we could make on [the second] appeal
since it was a fact intensive inquiry. In fact, fact intensive
inquiries are the most difficult ones to get reversed in the
appellate courts."
Nonetheless, the state filed a notice of appeal from
the second order of suppression.
The trial court found that the decision to take the
second interlocutory appeal was a mistake in judgment by the assistant
district attorney and the Appellate Division. We agree. A fact-bound
interlocutory appeal that had little likelihood of success was not a
strong justification for postponing the trial of a defendant who had
been held in jail awaiting trial for four years.
Justification for the second appeal aside, we turn to
the question whether the state gave this case highest priority to move
defendant's case to trial, which, under the circumstances, it
constitutionally was required to do. The attorney in charge of the
state's second appeal testified that he made no effort to expedite the
appeal within the Appellate Division. Rather, he testified that the
Appellate Division "just handled [the second interlocutory] appeal as we
would in the normal course." He requested and received three extensions
of time to file the state's opening brief, explaining that he was "working
on other cases." He testified that criminal defendants generally are
released from jail pending an interlocutory appeal by the state and that
usually only defendants charged with aggravated murder are held in jail
pending a state's interlocutory appeal. He also testified that he could
not think of "any other appeals during this time where we had a state's
[interlocutory] appeal in a murder case where the defendant was being
held in custody." The list of other cases that the attorney in charge
gave priority over the state's second interlocutory appeal in this case
grew longer, not shorter, with each request for an extension of time.
Seven months after the state had filed the second
appeal, the state moved to dismiss it. The trial court found that the
period of time that the state had spent on the second appeal was marked
by "protracted indecision" and was "unreasonably long" under the
circumstances. That is true. Even assuming that the state had a strong
justification for the second appeal, and we already have concluded that
it did not, the state failed to give this case the highest priority so
that it could resolve the second appeal in a manner that was consistent
with its obligation under Article I, section 10. Viewed in the context
of the previous four years of delay, the state's failure to provide a
strong justification for the second appeal, coupled with its failure to
give this case the highest priority, means that the months of delay
associated with the second appeal weigh heavily against the state in
defendant's speedy-trial claim.
This case presents yet a further period of delay, for
which the state provides no justification. Between January 24,
1994, when the Court of Appeals dismissed the second appeal, and April
11, 1994, apparently nothing happened to move the case to trial. The
case was scheduled for trial only after defendant wrote to the State
Court Administrator inquiring about the status of the case and
explaining that he had been in jail awaiting trial since his arrest in
July 1989. This court consistently has held that it is not incumbent on
the accused to demand a trial or to take affirmative action to bring a
case to trial, because the duty to bring a defendant to trial under the
mandate of Article I, section 10, is on the state. See, e.g.,
Vawter, 236 Or at 87. As we have explained, in light of the
preceding four years of delay, the state had an affirmative duty to give
this case the highest priority to bring defendant to trial after
resolution of the first appeal, unless it had a strong justification for
not doing so. The state offers no justification for the months of
inaction after the Court of Appeals dismissed the second appeal. Added
to what by then had become almost five years of delay in bringing this
incarcerated defendant to trial, those additional months of delay also
weigh heavily in defendant's favor.
We turn to the prejudice factor. As noted, prejudice
can be of three kinds: the damage arising from lengthy pretrial
incarceration, the anxiety and public suspicion resulting from public
accusation of a crime, and the hampering of the ability to defend at
trial. Ivory, 278 Or at 507-08.
The state argues that, although five years of
pretrial incarceration is serious "in the abstract" and defendant's
situation "apparently is unprecedented in reported cases in Oregon," the
"real type of prejudice relevant to a speedy trial claim is impairment
of a defendant's defense." The state cites no authority for its argument
that prejudice to the defense is the only relevant form of prejudice.
That argument ignores one of the centuries-old principles that
undergirds the speedy-trial requirement, namely, the purpose of
preventing prolonged incarceration without trial. See
Klopfer, 386 US at 224 (identifying principle). As this court
stated in Mende, "the longer the defendant must endure pretrial
incarceration or anxiety and other forms of personal prejudice, the more
the 'prejudice to defendant' factor weighs in the defendant's favor."
304 Or at 24. In this case, the trial court found that
"[t]here has been prejudice to defendant * * * in
being held in detention for almost five years without trial. There
is also prejudice to [defendant] for a protracted period of anxiety
concerning the pending serious charges (Aggravated Murder --
potential death penalty) without trial."
We do not ignore that finding regarding the first two
forms of prejudice.
The next question is whether the five-year delay in
this case caused prejudice to the defense. As noted, the trial court
found that there was "no compelling and cogent evidence" of prejudice to
the defense. However, the trial court applied the wrong test. As we have
explained, the proper inquiry is whether the delay caused a reasonable
possibility of prejudice to the defense. Ivory, 278 Or at 508.
In this case, no direct evidence linked defendant to
the crime. Defendant's defense theory was that the victim's father,
either alone or with the help of the father's girlfriend, had killed the
victim and that the state incorrectly had eliminated them as suspects.
Defendant contends that his ability to prepare and present that defense
was impaired in at least two ways.
Defendant first points to the fact that, in the
bathroom where the victim's body had been found, the police found a
bloody cigarette wrapper from the brand of cigarettes that the father
smoked. The police also found several damp cigarettes of the brand that
the father smoked in the garbage can in the bathroom. Defendant sought
to establish that the cigarettes had been dropped into the garbage can
near the time when the victim had been killed. His theory was that, if
the police had found the cigarettes atop some damp tissues that the
police also had found in the garbage can, that would suggest that the
father had murdered the victim. The father had told the police on July
14, 1989, that he had dropped the cigarettes when he went into the
bathroom and saw his daughter's body on the floor that morning. At trial
in 1994, by contrast, the father testified that the cigarettes had
fallen out of his pocket on the evening of July 13, 1989, when he had
taken the victim to the bathroom, and that he had put them in the
garbage can.
On July 14, 1989, the father's girlfriend had told
the police that she, not the father, had taken the victim to the
bathroom the night before the murder. However, in 1994, at trial, the
girlfriend testified that she could not remember whether it was she or
the father who had taken the victim to the bathroom the night before the
murder. Regarding the inconsistencies in their stories, both the father
and his girlfriend testified that so much time had passed that they
could not remember what they had told the police soon after the murder.
The detective who had examined the bathroom was no help in resolving
their inconsistencies, because she could not remember if she had found
the cigarettes on top of, beside, or under the damp tissues.
Defendant argues that the passage of time provided
both the father and the father's girlfriend with a plausible excuse for
not remembering what they had told the police, thereby undermining
defendant's ability to impeach their credibility with their prior
inconsistent statements. The state, without discussion, dismisses
defendant's argument as "mere speculation." We disagree. The state was
required to prove its case against defendant beyond a reasonable doubt.
The only other possible suspects in this case were the father and,
perhaps, the father's girlfriend. It is not speculative to say that
successfully impeaching their credibility could have established some
doubt about whether the police properly had eliminated the father and
the father's girlfriend as suspects.
Defendant makes a second argument respecting
prejudice to his defense. Defendant asserts that the police who searched
the house where the victim died did not do so carefully or thoroughly.
An investigator, Graber, testified without contradiction that only one
of the investigating detectives, Erickson, had searched the bedroom of
the father and the father's girlfriend. Erickson, who did not prepare a
detailed report of his search of that area, died in 1992. Accordingly,
defendant argues, Erickson was not available as a witness at trial, and
defendant had no opportunity to question Erickson about how thoroughly
he had searched the bedroom, what he saw, or whether Erickson could have
overlooked evidence in the bedroom that would have created a reasonable
doubt that defendant had killed the victim.
We disagree with the state that Erickson's death was
of no consequence to the defense. Although several detectives were
involved in the search of the house where the victim died, Erickson was
the only detective who searched the father's bedroom. Contrary
to the state's assertion, Erickson did have "unique knowledge" of that
area. Erickson prepared several reports about the search of the house,
but none of those reports described in detail the extent and nature of
his search of the father's bedroom. Defendant's opportunity at trial to
question other detectives, who had not participated in the
search of the bedroom and whose police reports did not describe the
search of that area, was no substitute for defendant's inability to
question Erickson. What is more, contrary to the state's assertion,
defendant was not required to show that Erickson would have said
anything exculpatory. It is sufficient that defendant was deprived of
the opportunity to demonstrate potential weaknesses in the state's case.
When the state has the burden to prove its case beyond a reasonable
doubt, a defendant need do no more. SeeState v. Burrow,
293 Or 691, 703, 653 P2d 226 (1982) (state must prove "every ingredient"
of offense beyond reasonable doubt).
Defendant's impaired ability to impeach the
credibility of the father and the father's girlfriend, and his inability
to cross-examine Erickson, created a reasonable possibility of prejudice
to the defense. Defendant has established all three forms of prejudice
that this court has identified as relevant under Article I, section 10.
The prejudice factor weighs heavily in defendant's favor.
As noted, this case involves a five-year delay in
bringing to trial a criminal defendant who was held in jail solely in
connection with the pending charges from the time when he was arrested
in July 1989. Even acknowledging, as we do, the constitutional
permissibility of the delay caused by the state's first interlocutory
appeal from the trial court's first order of suppression, we may not
ignore the passage of approximately four years from the time of
defendant's arrest until resolution of that first appeal. At that point,
the burden was on the state to provide a strong justification for any
further delay in bringing this incarcerated defendant to trial. Assuming
that the state had strong justification for any further delay after the
first interlocutory appeal, it was required to limit that delay. Instead,
the state chose to take a second interlocutory appeal, causing serious
further delay. In that context, the state constitutionally was required
to assign highest priority to resolution of that appeal so that the case
could be set for trial. The state did not have strong justification for
the second appeal, which it knew from the outset involved a fact-bound
issue on which the state stood little chance of prevailing. The state
compounded that mistake by failing to assign highest priority to
resolution of the second appeal. Finally, the state failed to provide
any justification for the months of inaction in bringing defendant to
trial that followed dismissal of the second appeal. Defendant suffered
both personal prejudice and a reasonable possibility of prejudice to his
defense because of the five-year delay in this case.
The judgment of conviction is reversed, and the
sentence of death is vacated. The case is remanded to the circuit court
with instructions to dismiss the accusatory instrument with prejudice.
VAN HOOMISSEN, J., dissenting.
Defendant was convicted of aggravated murder and
sentenced to death. The majority holds that the state failed to bring
defendant to trial "without delay" and, therefore, violated Article I,
section 10, of the Oregon Constitution. The majority reverses
defendant's conviction, vacates his sentence of death, and remands the
case to the trial court with instructions to dismiss the indictment
with prejudice. For the reasons explained below, I respectfully
dissent.
FACTS
Defendant was charged with aggravated murder (three
counts) in connection with the death of a child. The majority provides a
detailed chronology of the events that occurred between the discovery of
the child's body in 1989 and defendant's conviction in 1994.
When the trial court denied defendant's motion to
dismiss the indictment on speedy-trial grounds, it found in part:
"5.
"The State in pursuing the appeals of the Trial
Court's Orders of February 1, 1990 and May 27, 1993 were [sic]
on both occasions in good faith and the appeals were not frivolous
in nature and were not undertaken to vex or frustrate defendant's
desire for a speedy trial and were not done to gain a judicial or
competitive advantage in the trial that was to come."
Concerning the issue of trial prejudice, the court
found:
"17.
"There is no compelling and cogent evidence that
suggests defendant's ability to defend himself and receive a fair trial
has been impaired.
"18.
"The position by the defendant that defendant's
ability to receive a fair trial because of the extraordinary delay has
been impaired is a reach on the part of the defendant as solid evidence
supporting that position is not apparent to the court.
"19.
"The death of State's witness Detective Erickson in
February 1993 has not materially adversely affected the defendant's
chances of receiving a fair trial and presenting the kind of defense he
would have presented had the case gone to trial in January and February
of 1990 or in June of 1993. It is to be noted that Detective Erickson
had already passed away prior to [the state's] decision to file the
second appeal and pursue the three extensions of time before abandoning
the appeal on January 21, 1994."
In denying defendant's motion to dismiss the
indictment, the trial court explained:
"The consideration of all 'factors' including the
circumstances mentioned above bearing on the question of prejudice
have caused the Court to conclude that while the delay is
extraordinary and shocking and has indeed prejudiced defendant
Harberts by reason of his long pre-trial incarceration and the
attendant anxiety and concern, this is counter-balanced by the
nature of the charges against this defendant and the Court's Finding
of February 28, 1990 [denying defendant's motion for release pending
appeal because of a strong presumption of guilt] so as to render the
prejudice defendant suffered to be of insufficient magnitude to
warrant dismissal."
The majority concludes that the length of the delay
in this case was not so manifestly excessive that we may ignore the
other Barker factors. (Slip op at 24). I agree. This court
never has characterized a pretrial delay as sufficient, because of its
length alone, to justify dismissal under Article I, section 10. SeeState
v. Vawter, 236 Or 85, 96, 386 P2d 915 (1963) (describing the
standard of automatic dismissal as being a delay that "shocks the
imagination and the conscience").
"the decision to take, and the time devoted to
the resolution of, the state's first appeal was consistent with the
state's constitutional duty to exercise reasonable diligence in
bringing defendant to trial."
(Slip op at 27). Thus, the majority recognizes that
at least 80 percent of the pretrial delay in this case, i.e.,
from July 1989 until June 1993, was constitutionally unobjectionable.
According to the majority, it is what occurred thereafter that
precipitated the constitutional violation.
The state's second appeal caused about seven and one-half
months of delay. The majority chastises the state for taking the second
appeal, concluding that the state lacked "strong justification" for
doing so. As did the trial judge, the majority engages in "Monday
morning quarterbacking."
When evaluating the "justification" for pretrial
delay, I find the reasoning of the United States Supreme Court in
United States v. Loud Hawk, 474 US 302, 106 S Ct 648, 88 L Ed 2d
640 (1986), to be persuasive. SeeState v. Kennedy,
295 Or 260, 267, 666 P2d 1316 (1983) ("when this court cites federal
opinions in interpreting a provision of Oregon law, it does so because
it finds the views there expressed persuasive, not because it considers
itself bound to do so"). The Loud Hawk Court emphasized that
"there are important public interests in the
process of appellate review. The assurance that motions to suppress
evidence or to dismiss an indictment are correctly decided through
orderly appellate review safeguards both the rights of defendants
and the 'rights of public justice.'"
474 US at 313. Loud Hawk instructs that
"an interlocutory appeal by the Government
ordinarily is a valid reason that justifies delay. In assessing the
purpose and reasonableness of such an appeal, courts may consider
several factors. These include the strength of the Government's
position on the appealed issue, the importance of the issue in the
posture of the case, and -- in some cases -- the seriousness of
the crime."
Id. at 315 (emphasis added). In my view, it
is eminently sensible to evaluate interlocutory appeals by looking to
the strength of the state's position, the importance of the appealed
issue to the state's case, and the seriousness of the crime.
In this case, the state had strong justification for
a second appeal. At the time when the state decided to appeal the second
suppression order, the suppressed evidence appeared to be critical to
the state's case. No direct evidence, other than the suppressed
statements, linked defendant to the crime. The physical evidence, to
some extent, was ambiguous. Some of the evidence could have been
interpreted to suggest that the victim's father and/or the father's
girlfriend had committed the crime. Without defendant's inculpatory
statements, the state's case against defendant was entirely
circumstantial. Defendant himself concedes that, without the suppressed
statements, the state's case against him was "significantly weakened."
Indeed, during his closing argument at trial, defendant's counsel told
the jury:
"There were three adults in this house when this
[murder] happened. * * * There are no witnesses to this crime, there
are no admissions, there are no confessions, there are no
eyewitnesses whatsoever. There is no direct evidence linking anyone
to this crime, none."
In my view, the prosecutor's decision to take a
second appeal was fully justified under the circumstances. The state's
position was not as strong as it had been during the first appeal,
however, given the seriousness of the charges against defendant and the
importance of the suppressed statements to the state's case, I believe
that the state acted with strong justification in taking and pursuing
its second appeal. The majority's conclusion to the contrary represents
a judgment call with which I cannot concur.
Moreover, the majority ignores the fact that, by
voluntarily moving to dismiss its second appeal, the state no doubt
advanced defendant's trial date by at least a year. In my view, the
state's action in dismissing the appeal weighs in favor of the state
because it demonstrates the state's good faith effort to comply with
Article I, section 10, even at the risk of jeopardizing the prosecution
of the case by going to trial without the evidence of defendant's
incriminating statements.
The Attorney General did not give the state's second
appeal the priority it required. Even assuming, however, that the
Appellate Division's handling of the state's second appeal was negligent,
this court has stated that, although negligent delay weighs against the
state, it does not weigh as heavily as intentional misconduct by the
state. SeeDykast, 300 Or at 377-78 (intentional or
malicious acts intended to injure a defendant or gain unfair advantage
weigh "much more heavily than inadvertent or negligent conduct").
Moreover, the record here contains abundant and unchallenged evidence of
the Appellate Division's heavy caseload at the relevant time. SeeStrunk v. United States, 412 US 434, 436, 93 S Ct 2260, 37 L Ed
2d 56 (1973) (in determining whether Sixth Amendment was violated, delay
caused by understaffed prosecutors weighs less heavily than intentional
delay calculated to hamper defense).
Finally, the majority faults the state for not
bringing the case to trial promptly after the Court of Appeals dismissed
the state's second appeal. However, in my view, even assuming that the
District Attorney's failure to set the case for trial promptly was due
to negligence, given the seriousness of the charges against defendant,
the remaining few months of pretrial delay simply are insufficient to
show a state constitutional violation.
PREJUDICE
Defendant was incarcerated for almost five years.
During that period, he undoubtedly experienced some anxiety and concern.
In my view, however, that type of prejudice is not entitled to much
weight in the analysis.
Here again, the majority mischaracterizes the state's
argument to be that the only type of prejudice that is relevant
under the prejudice prong of the analysis is prejudice to the defense.
The state does not make that argument. Rather, the state argues that, of
the three types of prejudice that can be cause by pretrial delay, the "most
serious" is impairment of a defendant's ability to present a defense.
SeeBarker, 407 US at 532 (so stating). In fact, in
its respondent's brief in this court, the state specifically
acknowledges:
"Although less serious than impairment of defense,
pretrial delay also may prejudice a defendant by reason of
incarceration and anxiety."
Courts have recognized that anxiety and concern are
inherent in any criminal prosecution and have not given them much weight.
See, e.g., United States v. Simmons, 536 F2d
827, 831 (9th Cir 1976) ("Conclusory allegations of general
anxiety and depression are present in almost every criminal prosecution.").
In Dykast, 300 Or at 378, this court recognized that "[m]ost
criminal prosecutions cause stress, discomfort and interference with a
normal life." And, in Emery, this court gave little weight to
the defendant's claims of anxiety, explaining:
"We recognize that delay adds to the ordinary
anxiety and inconvenience caused by the pending criminal charge,
however, there was no cognizable prejudice to defendant."
318 Or at 473. Under Article I, section 10, pretrial
anxiety and concern, although ostensibly entitled to some weight in
determining whether a defendant was prejudiced by delay, appear not to
factor significantly.
TRIAL PREJUDICE
The majority factors Detective Erickson's death into
the "prejudice to the defense" prong of the Barker analysis.
Erickson died in 1992, before this court resolved the state's first
appeal. In my view, allegedly prejudicial events should not be factored
into the analysis if, like Erickson's death, they occurred during a
period of reasonable delay.
The majority apparently believes that the "prejudice
to the defense" prong is intended to evaluate the cumulative effect of
all changes in circumstance between the time of defendant's arrest and
the time of trial, regardless of the timing of the events that led to
those changes of circumstance. Article I, section 10, however, does not
confer on a criminal defendant a right to a trial in the identical
format that the trial would have taken if it had commenced on the day
the defendant was arrested.
Instead, that provision mandates that the state avoid
"unreasonable delay" in bringing the matter to trial (or other
resolution). Logically, then, dismissal of charges is intended to remedy
any prejudice to a defendant caused by the state's failure to
avoid unreasonable delay. Oregon case law supports the view that Article
I, section 10, was not intended to provide a remedy for all
prejudicial events that might occur before trial.
First, Oregon courts have established that one of the
purposes of Article I, section 10, is to "limit the possibility" of
impairment to a defendant's ability to put on a defense. Dykast,
300 Or at 378. When the state avoids unreasonable delay, it limits
the possibility of prejudice to the defendant. However, the state cannot
eliminate that possibility. Holding the state responsible for
prejudicial events that occur when the state is meeting its
constitutional obligations can do little to effectuate the purpose of
limiting the possibility of prejudice.
I concede that prejudicial events that occur during
periods of reasonable delay occasionally might factor into another
element of the constitutional calculus, such as the "reasons for the
delay" prong of the Barker analysis. For example, when the
state learns that a defense witness has fallen terminally ill and has
limited time to testify, it is reasonable for the state to expedite the
trial or otherwise to perpetuate the witness's testimony. In such a
case, the state has warning of an impending prejudicial event, and a
failure to expedite trial or to preserve the evidence appropriately
should be considered when evaluating the reasonableness of the state's
conduct. Nevertheless, I would hold that events like the death of
Erickson, i.e., events occurring during a period of
reasonable delay, should be excluded from the prejudice element of
the analysis. Moreover, I agree with the state that the allegations of
prejudice caused by Erickson's death are too speculative to merit any
weight in the prejudice analysis.
I also would reject defendant's claim that he was
prejudiced because his ability to impeach the victim's father and the
father's girlfriend with inconsistent statements was undermined by the
passage of time. Despite the majority's conclusory insistence otherwise,
(slip op at 20 n 8), defendants must demonstrate more than a "reasonable
possibility" of prejudice to their defenses.
In Mende, this court stated:
"[Defendant] has not demonstrated any actual
prejudice to his ability to prepare a defense.
"We speak of 'actual' prejudice because, as a
practical matter, and despite [language from Haynes
suggesting that prejudice might not be considered under the Oregon
Constitution], our prior cases all have required in effect
that there be some degree of actual prejudice to the ability to
prepare a defense to the charge in order to establish a
constitutional violation * * *."
304 Or at 22-23 (emphasis added). The wording "in
effect" signaled that, although in the past the court had articulated
one standard, in practice it had effectuated another. The standard set
out in Mende, and controlling here, requires actual trial
prejudice as distinct from a mere possibility of trial prejudice.
In this case, defense counsel was able to demonstrate
at trial inconsistencies between statements made by the father and his
girlfriend to police officers on the day of the crime and their
testimony at trial. The father and his girlfriend each testified that
their earlier statements to the police were made during a period of
extreme emotional upset and either were incomplete or mistaken. Each
denied that he or she had killed the child.
Thus, the jury heard the complete testimony of all
three principal suspects in this case, was alerted to the discrepancies
in their testimony, and had every opportunity to evaluate their
individual credibility and demeanor. Nothing different would have
occurred had the case been tried twelve months earlier. As noted, the
trial court expressly concluded that defendant's claim of prejudice "is
a reach * * as solid evidence supporting that [claim] is not apparent to
the court." I agree. Defendant has not demonstrated the actual prejudice
to his ability to prepare a defense that is required by Article I,
section 10. Mende, 304 Or at 22.
ASSERTION OF THE RIGHT
In Barker, the Supreme Court made a
defendant's assertion of or failure to assert his right to a speedy
trial one of the factors to be considered in speedy trial analysis. 407
US at 528. As noted, after Dykast, this court no longer
considers a defendant's failure to demand a quicker pace in the
proceedings. On review of the court's opinion in Dykast,
however, I agree with the state that Dykast was decided
incorrectly.
According to the majority:
"Abandoning Dykast would require us also
to abandon the well-established principle that Article I, section
10, contains a mandatory directive to the state that is 'not within
the disposal of the parties[.]'"
(Slip op at 21 n 9). Dykast did not analyze
the assertion issue in terms of waiving constitutionally mandated state
conduct. In fact, Dykast contained no analysis of the
assertion issue whatsoever. Instead, the court took the rather dramatic
step of eliminating a factor from the Barker analysis in a
footnote containing nothing more than a citation to Vawter, 236
Or at 87, for the proposition that "this court has consistently held
that it is not incumbent upon the accused to demand a trial[.]"
Dykast, 300 Or at 375 n 6. Vawter, in turn, cited to
State v. Dodson, 226 Or 458, 466, 360 P2d 782 (1961). Vawter,
236 Or at 87. Dodson, however, was decided on statutory,
not constitutional, grounds.
The Dodson court explicitly declined to
determine whether the rule that a defendant need not take affirmative
action to procure his right should be applied where a defendant claims
only a violation of Article I, section 10. 226 Or at 466. Thus,
Dodson provides no support for the Dykast holding that
assertion of the right is irrelevant to an Article I, section 10
analysis.
Simply considering a defendant's demands for a speedy
trial or lack thereof as one of the factors in the Barker
calculus is not equivalent to requiring a defendant to assert the right
to a speedy trial at peril of waiver. The Barker court
recognized that reality when it rejected the "demand-waiver rule" and,
instead, adopted "a balancing test, in which the conduct of both the
prosecution and the defendant are weighed." 407 US at 529-30. That
balancing test specifically placed the "primary burden on the courts and
the prosecutors to assure that cases are brought to trial." Id.
at 529.
Because "unreasonable delay" analysis
is intended to be flexible and to take into account all
relevant factors, this court should consider as relevant a criminal
defendant's timely assertion of the right to a speedy trial, or lack
thereof. By "timely," I mean at a time when the harm still may be
avoided, i.e., before unreasonable delay has occurred. The
majority does not explain why it is unpersuaded by the arguments in
favor of abandoning Dykast. I am troubled by the majority's
failure to deal substantively with those arguments.
The majority also states that abandoning Dykast
would require us to
"overrule Vawter and hold that a
defendant is responsible for insuring that a case is scheduled for
trial."
(Slip op at 21 n 9). Abandoning Dykast would
require neither.
As noted, the Vawter court's assertion that
"it is not incumbent upon the accused to demand a trial or take
affirmative action to enforce his right to a speedy trial" was followed
by a citation to Dodson, which was authority only for the
proposition that an accused need not take affirmative action to enforce
his statutory right to a speedy trial. Even if we were to
interpret the above sentence from Vawter as expanding the rule
from Dodson to include the constitutional mandate (something
that, as noted, the Dodson court explicitly declined to
consider), the sentence means only that, in Oregon, the mandate
regarding a speedy trial is not waived by a defendant's failure
to demand such a trial.
The authorities cited in Dodson state simply
that the duty of ensuring the (statutory) right to a speedy trial falls
on the state, not the defendant. SeeState v. Crosby,
217 Or 393, 402, 342 P2d 831 (1959) (bringing a case to trial timely "is
in the hands of the prosecutor and the court, not the defendant");
State v. Chadwick, 150 Or 645, 650, 47 P2d 232 (1935) ("The law
imposes no duty on a defendant * * * [to insist that his or her case] be
set for trial at any particular time. That duty devolves upon the state.").
Placing the duty to move forward on the prosecutor
and the courts rather than on the defense does not preclude
consideration of evidence of the defense's desire to move forward (or
lack thereof) as a factor in a test for a constitutional violation.
SeeBarker, 407 US at 528 ("[T]he better rule is that the
defendant's assertion of or failure to assert his right to a speedy
trial is one of the factors to be considered in an inquiry into the
deprivation of the right.").
Although it is not incumbent on a defendant
to demand a trial, doing so can be helpful to that defendant in
making out a speedy trial claim. Recognizing that a defendant's desire
or lack of desire for a speedy trial is relevant to a speedy trial claim
(even though a defendant does not waive the right to a speedy trial by
failing to demand one), neither requires us to overrule Vawter
nor requires us to hold that a defendant is responsible for insuring
that a case is scheduled for trial.
CONCLUSION
In summary, the trial court explicitly found that
both the state's appeals were taken in good faith, were not taken to vex
or frustrate defendant's desire for an expeditious trial, and were not
taken to gain a judicial or competitive advantage over defendant in the
trial. I read the majority opinion essentially to agree with all those
findings.
Although the pretrial delay in this case is lengthy,
an analysis of the Barker factors does not lead me to the
conclusion that defendant is entitled to the severe remedy of dismissal
with prejudice. SeeBarker, 407 US at 522 (characterizing
that remedy as "unsatisfactorily severe"). In my view, there was strong
justification for the state's appeals. The combination of the importance
of the suppressed evidence to the state's case, the seriousness of the
crimes charged, and the absence of actual trial prejudice, strongly
suggests to me that the majority holding in this case is an unwarranted
reaction to the majority's conclusion that the District Attorney and the
Attorney General fumbled the ball. The majority holding results not in
justice being administered "completely and without [unreasonable] delay,"
but, rather, in justice being completely denied. The majority analysis
has the potential to chill the state's ability to pursue in good faith
statutorily authorized and important pretrial remedies in the
prosecution of serious criminal cases.
My dissent in this case should not be read as an
endorsement of the manner in which the District Attorney and the
Attorney General handled this case. The state was negligent. However, I
cannot agree that that negligence reached constitutional dimensions. On
this record, I am not persuaded that defendant has shown that he was
deprived of his state constitutional right to have "justice"
administered "completely and without [unreasonable] delay." Accordingly,
I would proceed to consider defendant's other arguments under this
particular assignment of error and, if appropriate, his other
assignments and arguments on review.