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"Evidence of other crimes, wrongs
or acts is not admissible to prove the character of a person in order to
show that the person acted in conformity therewith. It may, however, be
admissible for other purposes, such as proof of motive, opportunity,
intent, preparation, plan, knowledge, identity, or absence of mistake or
accident."
*fn2 Whether the two requirements, similarity and
distinctiveness, have been established is a preliminary question of fact
for the trial court under OEC 104(1). State v. Pinnell,
311 Or 98, 110,
806 P2d 110 (1991).
*fn3 Treatises refer to "strikingly similar" and "unique
behavorial pattern," Imwinkelreid, Uncharged Misconduct Evidence § 3:12,
at 26 (1984); "'signature' identifying a unique defendant," 2 Weinstein
and Berger, Weinstein's Evidence § 404(16)(3), at 404-100 (1975).
*fn4 Defendant relies on the following provisions of
Article I of the Oregon Constitution: section 11
(fair notice), section 16 (proportionality), section 20 (privileges or
immunities), and section 21 (no ex post facto laws). Defendant also
relies on the Due Process, Equal Protection, and Equal Privileges and
Immunities Clauses of the United States Constitution.
Defendant also asserted at trial
that the term "confined" is unconstitutionally vague, in reliance on the
same provisions. Defendant was acquitted of the count of the indictment
charging him with murder while confined (Count I). To the extent that
defendant reiterates that argument on appeal, it is that the referent "confined"
is vague and so is the alternative term "or was otherwise in custody."
As noted, after defendant had been convicted and
sentenced to death for the Gray murder, this court reversed the sentence
of death and remanded for a new penalty-phase proceeding (remand
proceeding). This review stems from that remand proceeding, at which a
jury again sentenced defendant to death. On direct review, defendant
raises 22 assignments of error, only three of which we address in this
opinion.
The trial court in Langley I applied ORS
163.150 (1989) retroactively to defendant's case, instructing the jury
on the new, true-life sentencing option. The jury unanimously answered "yes"
to the four statutory questions set out in ORS 163.150(1)(b) (1989), and
the trial court entered a judgment that convicted defendant of
aggravated murder and sentenced him to death. Langley I, 314 Or
at 252, 254 n 5.
Both defendant and the state petitioned for
reconsideration, which this court allowed to consider the ex post
facto issue. Langley I, 314 Or 247, on recons 318
Or at 30 (Langley I (on reconsideration)). On reconsideration,
the court discussed the then-recent case of State v. Wille, 317
Or 487, 505, 858 P2d 128 (1993), in which this court had held that "[r]etroactive
imposition of [the true-life sentencing option] violated Article I,
section 21, of the Oregon Constitution, and Article I, section 10, of
the Constitution of the United States." The court concluded that the
constitutional prohibition against ex post facto laws discussed
in Wille, rather than the general rule set out in Isom,
precluded retroactive application of the true-life sentencing option in
defendant's case. SeeState v. McDonnell, 329 Or 375,
384 n 5, 987 P2d 486 (1999) (summarizing Langley I (on
reconsideration) in that manner). The court adhered to its earlier
decision in Langley I and vacated defendant's sentence of death,
based upon the inadequacy of the fourth question. As with Langley I,
the court remanded the case to the trial court for further proceedings.
Langley I (on reconsideration), 318 Or at 32.
On direct review of the remand proceeding, defendant
now argues that the trial court erred by refusing to allow him to waive
his ex post facto objections to the true-life sentencing option
set out in former ORS 163.150(5) (1993). He primarily relies
upon McDonnell, 329 Or 375, in which this court held that a
trial court erred by refusing to allow a defendant to waive his ex
post facto objections to retroactive application of that statute.
The state responds that, for various reasons, the rule set out in
McDonnell either should not or cannot apply to this case.
We begin with the state's various preliminary
contentions. The state first argues that the trial court lacked
authority to instruct on the true-life sentencing option because that
option was beyond the scope of this court's remand instructions in
Langley I (on reconsideration). The state bases that argument upon
its understanding that, in Langley I (on reconsideration), this
court "unambiguously held that this defendant may not be sentenced to
true life on remand." That characterization is inaccurate. Langley I
(on reconsideration) merely recognized that defendant's constitutional
protection against ex post facto laws, if asserted,
would preclude the trial court from applying the true-life option
retroactively. Nothing in the remand instructions precluded the trial
court from accepting defendant's waiver of those constitutional
rights on remand; indeed, waiver was not at issue in the Langley I
proceedings.
Under the doctrine of the law of the case,
"when a ruling or decision has been once made in
a particular case by an appellate court, while it may be overruled
in other cases, it is binding and conclusive both upon the inferior
court in any further steps or proceedings in the same litigation and
upon the appellate court itself in any subsequent appeal or other
proceeding for review."
State v. Pratt, 316 Or 561, 569, 853 P2d 827
(1993) (internal quotation marks omitted). Thus, the law of the case "precludes
relitigation or reconsideration of a point of law decided at an earlier
stage of the same case." Koch v. So. Pac. Transp. Co., 274 Or
499, 512, 547 P2d 589 (1976) (emphasis omitted).
In Langley I, the "point of law" at issue
was whether retroactive application of the true-life sentencing option
to defendant during his initial penalty-phase proceeding, to which
defendant timely had objected, would violate constitutional ex post
facto prohibitions. On reconsideration, this court concluded that
it would. That point of law is not in dispute here. Rather, the question
is whether defendant, on remand, was entitled to waive his
constitutional protections against ex post facto laws. Because
that question was not presented or decided in the earlier proceeding,
the doctrine of the law of the case does not prevent us from considering
it now.
Finally, the state asserts that, during the
Langley I proceeding, defendant did more than merely assert his
ex post facto rights; rather, he made a separate, more general
argument that the true-life sentencing option should not be provided to
any jury in his case. Specifically, the state argues:
"It is important to note the breadth of
defendant's position: He did not state merely that application of
the true-life sentencing option to him would violate ex post
facto principles; rather, he insisted that he must be sentenced
under the law as it existed at the time he committed his offense.
The difference may be important, because the latter position does
not leave room for an argument that, although the law is ex post
facto, the ex post facto violation may be waived. In
short, defendant's position was that under no circumstances could he
be sentenced to true life."
We disagree. Even if defendant had made such an
argument in Langley I -- a point with which we do not
necessarily agree -- such an argument would have no bearing upon our
present review of the remand proceeding, particularly in light of the
rule announced in McDonnell, discussed below.
We now apply the rule from McDonnell to
determine whether remand is appropriate in this case. The defendant in
McDonnell, who committed his crime in 1984, filed a waiver of
all ex post facto objections to retroactive application of the
true-life sentencing option at a remand proceeding that took place in
1993. The trial court refused to provide the true-life instruction in
accordance with former ORS 163.150(5) (1993) and, instead,
instructed the jury as to only the two sentencing options that were in
effect in 1984 -- death and ordinary life. The defendant was sentenced
to death. On review, this court concluded that the trial court had erred
in refusing to provide the true-life instruction, reasoning that the
defendant was entitled to, and did, waive his constitutional protections
against ex post facto laws. McDonnell, 329 Or at 390,
392.
Here, defendant argues that, as in McDonnell,
he was entitled to the true-life instruction at his remand proceeding,
even though that instruction was added by an amendment enacted after his
crime. In McDonnell, this court concluded that, in enacting
former ORS 163.150(5) (1993), the legislature intended the true-life
sentencing option to be available in remand proceedings in which a
defendant had been sentenced to death after December 6, 1984. Because
defendant originally was sentenced to death in 1989, he falls within
that class of defendants. We therefore conclude that the legislature
intended the true-life option to be available in defendant's remand
proceeding.
The state argues, nonetheless, that this case is
distinguishable from McDonnell in two ways. First, the state
emphasizes that, in McDonnell, the state acquiesced in the
defendant's request to apply the true-life sentencing option, whereas,
in this case, the state consistently has objected to application of that
option. This court rejected that same argument in Rogers, 330
Or at 291: "That the state objected to defendant's waiver in this case,
whereas, in McDonnell, it did not, makes no difference to the
result. As this court observed in McDonnell, the 'claim [that
application of ORS 163.150(5) (1993) violated the prohibition against
ex post facto laws] was defendant's to assert, and he did not
do so.' 329 Or at 390. Any objection by the state to defendant's waiver
of the protection of the ex post facto clauses has no effect.
Because defendant did not invoke those constitutional protections in
this case, he waived those protections."
(Brackets in original.) We reject the state's
argument here for that same reason.
Second, the state argues that this case differs from
McDonnell because the trial court in the Langley I
proceeding instructed the jury on the true-life sentencing option and
the jury nonetheless sentenced defendant to death. The state argues:
Defendant counters that, although the jury in the
Langley I proceeding was instructed on the true-life sentencing
option, that jury received inadequate instructions on mitigating
evidence. Defendant further points out that, although the jury in his
remand proceeding received adequate instructions on mitigating evidence,
it was not instructed properly on the true-life option. Defendant argues
that he is entitled to a penalty-phase proceeding in which the jury
properly is instructed in all respects.
We agree with defendant. A properly instructed jury,that is, a jury properly instructed both on the true-life
sentencing option and on mitigating evidence, could have returned a
verdict supporting a sentence other than death. We reject the state's
contrary argument.
In sum, we conclude that we must vacate defendant's
sentence of death and remand the case for further proceedings. SeeRogers, 330 Or at 291-92 (reaching same conclusion and
disposition); McDonnell, 329 Or at 392 (same). Defendant raises
two additional assignments of error that are likely to arise on remand,
which we address below. See, e.g., Rogers, 330 Or at
292 (following that methodology).
"(1) * * * As used in this section, unless the
context requires otherwise:
"(a) 'Confidential communication' means a
communication not intended to be disclosed to third persons
except:
"* * * * *
"(C) Persons who are participating in the
diagnosis and treatment under the direction of the
psychotherapist, including members of the patient's family.
"(b) 'Patient' means a person who consults or
is examined or interviewed by a psychotherapist.
"* * * * *
We turn to exhibit 1379, which consists of the
following materials relating to defendant's stay at the CTP: a face
sheet summarizing defendant's medical record; a list of the reasons for
defendant's admission to the CTP and his progress while in attendance; a
psychological evaluation; a comprehensive list of chart notes dating
from August 1987 to April 1988 that summarize defendant's off-premises
passes, check-in and check-out records, interaction with staff, and
weekly progress updates; a psychological diagnosis update; information
concerning defendant's identified mental and emotional problems, and his
treatment plan; progress records; and a security-action sheet. As with
exhibits 1140, 1141, 1297, and 1104, defendant contends that exhibit
1379 consists of privileged communications under OEC 504(2) that should
not have been admitted at trial. The state responds that, as with the
other exhibits, defendant waived his privilege.
As noted, in Langley I, this court concluded
that defendant had waived his privilege in respect of exhibits 1140 and
1141, the subject matter of which was defendant's "mental or emotional
problems underlying [his] tendency to commit crimes." 314 Or at 266.
Under OEC 511, a waiver occurs when the holder of the privilege "voluntarily
discloses or consents to disclosure of any significant part of
the matter or communication." (Emphasis added.) Like exhibits 1140,
1141, and 1297, a "significant part" of the material contained in
exhibit 1379 relates to the mental and emotional problems underlying
defendant's tendency to commit crimes -- in addition to other
information concerning his treatment goals, progress, and a record of
his leaving and returning to the CTP. Similarly, parts of exhibit 1379
duplicate much of the information contained in exhibit 1104, regarding
defendant's off-premises pass requests and check-in and check-out
records. Because a "significant part" of the substance of exhibit 1379
previously was admitted without objection during both the Rockenbrant
trial and the Langley I proceedings, we hold, under the same
reasoning set out in Langley I, 314 Or at 264-65, in respect of
exhibit 1297, that defendant has waived his privilege as to the content
of exhibit 1379.
For seven of the eight witnesses at
issue, we need not determine whether their testimony disclosed
privileged communications under OEC 504 or whether that testimony fell
within the scope of defendant's waiver under OEC 511 concerning the
exhibits at issue in Langley I. That is so, because those seven
witnesses all testified without objection during either the guilt or
penalty phase of defendant's trial in Langley I. We have
reviewed the records from both that proceeding and defendant's remand
proceeding, and have concluded that each witness's testimony, to the
extent that it arguably disclosed any privileged communications,
conveyed essentially the same information in both proceedings.
Accordingly, we conclude that, consistent with the analysis in
Langley I, 314 Or at 264-65, 265 n 14, concerning defendant's
waiver of the privilege during the Rockenbrant trial, defendant
similarly waived his privilege in respect of the communications
disclosed in the testimony of those seven witnesses.
As to the eighth witness, Ulven, we conclude that her
testimony did not disclose any privileged communication. Ulven, who is
defendant's second cousin, testified about a number of conversations
that she had had with defendant while he was on family visits approved
by CTP staff. In those conversations, which took place off the state
hospital grounds, defendant told Ulven about his criminal record and his
plans for the future. Nothing in the record demonstrates that Ulven was
"participating in the diagnosis and treatment" of defendant "under the
direction of [a] psychotherapist," OEC 504(1)(a)(C), or that the
communications were made "for the purposes of diagnosis or treatment of
[defendant]'s mental or emotional condition," OEC 504(2). In short,
defendant's conversations with Ulven simply do not fit within the
definition of "confidential communication" set out in OEC 504.
Assuming, without deciding, that CTP staff violated
defendant's psychotherapist-patient privilege when they spoke to
investigators and testified before the grand jury, we disagree that such
facts preclude the conclusion that defendant nonetheless voluntarily
waived the privilege at a later time, specifically, during the
Rockenbrant trial and the Langley I proceedings. At the outset,
we note the well-settled principle that a privilege pertaining to
confidential communications terminates upon the holder's voluntary
waiver:
"'Briefly, a privilege is lost when the reason
for it ceases to apply. As the commentary to Federal Rule 511
explains:
"'"The central purpose of most privileges is
the promotion of some interest or relationship by endowing it
with a supporting secrecy or confidentiality. It is evident
that the privilege should terminate when the holder by [the
holder's] own act destroys this confidentiality. McCormick,
Evidence §§ 93, 103 (2d ed 1972); 8 Wigmore,
Evidence §§ 2242, 2327-2329, 2374, 2389-2390 (McNaughton
rev 1961).
"'"* * * * *
Goldsborough, 314 Or at 341 (quoting
Commentary to OEC 511, reprinted in Laird C. Kirkpatrick,
Oregon Evidence, 282-83 (2d ed 1989)) (emphasis added).
It follows from the foregoing that a voluntary waiver
can operate to terminate a privilege to confidential communications,
notwithstanding that another participant in the communications might
have violated the privilege at an earlier time without the holder's
knowledge or consent. Accordingly, we conclude that defendant's waiver
of his psychotherapist-patient privilege during the Rockenbrant trial
and the Langley I proceedings as to the exhibits and testimony
at issue operated to terminate that privilege, notwithstanding possible
earlier violations of the privilege by CTP staff and inmate participants.
CompareState v. Miller, 300 Or 203, 709 P2d 225
(1985) (state-employed psychotherapist's unauthorized disclosure of
privileged communications to police deemed inadmissible in subsequent
prosecution of criminal defendant; waiver not at issue).
"What suffices for waiver depends on the nature
of the right at issue. '[W]hether the defendant must participate
personally in the waiver; whether certain procedures are required
for waiver; and whether the defendant's choice must be particularly
informed or voluntary, all depend on the right at stake.' United
States v. Olano, 507 US 725, 733 (1993). For certain
fundamental rights, the defendant must personally make an informed
waiver. See, e.g., Johnson * * *, 304 US [at]
464-65 * * * (right to counsel); Brookhart v. Janis, 384 US
1, 7-8 (1966) (right to plead not guilty). For other rights, however,
waiver may be effected by action of counsel. 'Although there are
basic rights that the attorney cannot waive without the fully
informed and publicly acknowledged consent of the client, the lawyer
has -- and must have -- full authority to manage the conduct of the
trial.' Taylor v. Illinois, 484 US 400 (1988). * * * Thus,
decisions by counsel are generally given effect as to what arguments
to pursue, see Jones v. Barnes, 463 US 745 (1983) [and]
what evidentiary objections to raise, see Henry v. Mississippi,
379 US 443, 451 (1965) * * *. Absent a demonstration of
ineffectiveness, counsel's word on such matters is the last."
New York v. Hill, 528 US 110, 120 S Ct 659,
664, 145 L Ed 2d 560 (2000). See alsoTaylor, 484 US
at 418 ("Putting to one side the exceptional cases in which counsel is
ineffective, the client must accept the consequences of the lawyer's
decision to forgo cross-examination [or] to decide not to put certain
witnesses on the stand * * *.").
Defendant argues that the trial court should have
instructed the jury that it could consider whether Thayer was an
accomplice in Gray's murder and, if it so found, that the jury should
view her testimony with distrust. In defendant's view, such instructions
would have served a mitigating purpose, because, so instructed, the jury
might have determined that defendant should not be sentenced to death if
it thought that Thayer also was involved in Gray's murder. The state
responds alternatively that: (1) as the trial court concluded, the
instructions at issue are not applicable in a penalty-phase proceeding;
and (2) in any event, defendant failed to present any evidence that
tended to prove that Thayer had acted as an accomplice.
This court reviews a trial court's refusal to give a
requested jury instruction for error as a matter of law. State v.
Moore, 324 Or 396, 427, 927 P2d 1073 (1996). For the reasons
explained below, we conclude that the trial court did not err in
refusing to give defendant's requested accomplice instructions in the
remand proceeding.
The issue of accomplice testimony generally arises
under the corroboration requirement of ORS 136.440, which provides, in
part:
"(1) A conviction cannot be had upon the
testimony of an accomplice unless it is corroborated by other
evidence that tends to connect the defendant with the commission of
the offense. * * *
(Emphasis added.) In light of that corroboration
requirement, juries are to be instructed, "on all proper occasions,"
that "the testimony of an accomplice ought to be viewed with distrust."
ORS 10.095(4); see alsoState v. Simson, 308 Or 102,
110, 775 P2d 837 (1989) (purpose of corroboration requirement and
accompanying accomplice instructions is to highlight fact that "criminals
may falsely accuse others of their misdeeds in order to minimize their
own culpability").
The corroboration requirement for accomplice
testimony in ORS 136.440(1) is a predicate for entry of a conviction.
That is, if the evidence includes the testimony of an accomplice, then
the court cannot enter a conviction unless the record also contains
other evidence that corroborates the accomplice's testimony in the
manner stated in ORS 136.440(1).
In a trial for aggravated murder, the jury addresses
the issue of the defendant's guilt or innocence during the guilt phase.
If the jury determines that the defendant is guilty of aggravated murder,
then the trial proceeds to the penalty phase. However, the jury does not
address, during the penalty phase, the question whether the defendant
committed the charged crime. Instead, the jury determines the
appropriate penalty for the crime for which the jury found the defendant
guilty during the guilt phase.
In short, within the structure of a trial for
aggravated murder, only during the guilt phase does the jury decide
whether to "convict" the defendant. See ORS 163.150(1)(a) (contrasting
guilt phase with penalty phase). That supports the conclusion that the
corroboration requirement set out in ORS 136.440(1) applies only during
the guilt phase. The requirement in that statute that corroborative
evidence must "tend[] to connect the defendant with the commission of
the offense" also reinforces our view that the corroboration requirement
pertains only to the guilt phase of a trial for aggravated murder. That
is the only plausible interpretation that we can draw from the statutory
text and context of ORS 136.440(1). SeePGE v. Bureau of
Labor and Industries, 317 Or 606, 610, 859 P2d 1143 (1993) (if
statutory meaning is clear from examination of text and context, further
inquiry is unnecessary).
The sentence of death is vacated, and the case is
remanded to the circuit court for further proceedings.