BREWER, J.
The right to a jury trial under Article I, section 11, of the Oregon Constitution, extends to "all criminal prosecutions."
On October 11, 2011, defendant was arrested, handcuffed, booked, and lodged in jail along with other 49 other "Occupy Portland" protesters. She was then charged with second-degree criminal trespass, a Class C misdemeanor. See ORS 164.243 (so providing). At defendant's arraignment, the state elected to treat that charge as a violation pursuant to ORS 161.566(1). Under ORS 153.076, violation proceedings must be tried to the court, and certain other protections for criminal defendants are unavailable.
For various reasons, including budgetary constraints, legislatures around the country have relatively recently begun to treat certain offenses as violations. In Oregon, the legislature created an offense classification for violations in 1971, as part of a general revision to the criminal code. Or. Laws 1971, ch. 743, § 65; ORS 161.505 ("offense" is either a "crime" or a "violation"). Under that new classification, a violation was punishable by only a fine, forfeiture, or other civil penalty, and offenses that were either specifically designated as such or were punishable by only fines, forfeitures, or other civil penalties were to be considered violations. Or. Laws 1971, ch. 743, § 71. In 1987, the legislature enacted a statute giving trial courts the option to treat any misdemeanor charge except a misdemeanor created under the Oregon Vehicle Code as a violation if, before the defendant entered a plea to the charge, the court declared that it intended to do so and the state did not object. Former ORS 161.565(2) (1987). In 1989, the legislature
Under ORS 161.566(1), subject to exceptions not pertinent here, "a prosecuting attorney may elect to treat any misdemeanor as a Class A violation."
The question in this mandamus proceeding is whether, notwithstanding the prosecutor's election to treat the misdemeanor offense of second-degree criminal trespass as a violation, defendant was entitled to a jury trial in this case. As an initial matter, we observe that, as a result of the prosecutor's election, defendant is not entitled to a jury trial under any statute. Although ORS 136.001(1) provides that defendants in "criminal" prosecutions "have the right to public trial by an impartial jury," ORS 153.030(1) specifies that "[t]he procedures provided for in [ORS chapter 153] apply" to the prosecution of all violations described in ORS 153.008. ORS chapter 153, as we have noted, eliminates trial by jury and certain other rights of criminal defendants in violation proceedings, and ORS 153.008(1)(d), in turn, defines covered violations to include cases in which the prosecuting attorney has elected to treat an offense as a violation under ORS 161.566. Thus, notwithstanding that defendant initially was arrested for and charged with committing a misdemeanor offense, the prosecutor's election to treat that offense as a violation means that, under the applicable statutes, defendant is not entitled to a jury trial.
ORS 153.005(4) does not compel a different conclusion. That provision defines a "violation proceeding" as a proceeding initiated "by issuance of a citation," which a "reduced" misdemeanor prosecution is not. As explained above, however, ORS 153.030 declares that the procedures set out in chapter 153 apply to all violations, including violations reduced from misdemeanors pursuant to ORS 161.566. That is, ORS 153.030 expressly incorporates all procedures from chapter 153 — including those found in ORS 153.076 — into proceedings that involve "reduced" misdemeanors. Thus, ORS 153.030 requires the application of ORS 153.076 in this case.
We turn, then, to consider whether the Oregon Constitution permits defendant to be deprived of a jury trial in this case. As noted, Article I, section 11, provides, in part, that, "[i]n all criminal prosecutions, the accused shall have the right to public trial by an impartial jury in the county in which the offense shall have been committed." Under Article I, section 11, whether a proceeding is a "criminal prosecution" is key to determining whether a jury trial and the other protections that Article I, section 11, affords defendants are required.
This court addressed the issue of what constitutes a "criminal prosecution" for purposes
In deciding the issue, the court began by observing that there is no easy test for determining whether a proceeding to impose a sanction is a "criminal prosecution" within the meaning of Article I, section 11. The court stated that the legislature's treatment of conduct as a criminal offense is sufficient to establish that it is a criminal offense for constitutional purposes, but the converse is not true:
Brown, 280 Or. at 102, 570 P.2d 52. Then, from a review of useful law review articles, the court developed a list of factors that have been used to determine whether an ostensibly civil penalty proceeding remains a "criminal prosecution" for constitutional purposes.
The factors that the court identified are (1) the type of offense, including, for example, whether the offense was a crime at common law, or whether it involves traditional elements of mens rea or a lower degree of culpability; (2) the penalty incurred, and, specifically, whether there is the potential for imprisonment or a heavy fine; (3) collateral consequences, such as, in Brown, the revocation or suspension of a driver license; (4) punitive significance of the prosecution, that is, whether a judgment is stigmatizing and condemnatory; and (5) the role, if any, of pretrial arrest and detention. Id. at 102-09, 570 P.2d 52. The court stated, further, that "[a]ll [those factors] are relevant, but none is conclusive" in reaching the "ultimate determination" whether a proceeding is a "criminal prosecution" for constitutional purposes. Id. at 102, 570 P.2d 52. After considering those factors, the court in Brown concluded that the first DUII offense retained "too many penal characteristics" not to be a criminal prosecution for purposes of Article I, section 11. Id. at 109-11, 570 P.2d 52.
The state urges that the second factor that the court identified in Brown — the potential penalty arising from a conviction — is paramount and that it is dispositive in this case. The state argues that this court has long recognized that Article I, section 11, does not apply to "petty," noncriminal offenses. See, e.g., Wong v. City of Astoria, 13 Or. 538, 545, 11 P. 295 (1886) (enforcement of a penalty — a fine — for violating a city ordinance against licentiousness is not a criminal prosecution, and the constitution does not require jury trial); Cranor v. City of Albany, 43 Or. 144, 148, 71 P. 1042 (1903) (constitutional right to jury trial "generally regarded as having no application to the prosecution of minor and trivial offenses before justices and police magistrates, as such offenses were summarily punished at common law"). The state asserts that this court in Brown emphasized
In this case, the state observes, defendant could not be incarcerated on a violation conviction for second-degree criminal trespass,
The state also argues that none of the other Brown factors dictate a different result. The state asserts that the "type of offense" charged here is noncriminal, in light of the fact that the prosecution elected to decriminalize the charge against defendant under ORS 161.566 (factor 1). The state also observes that no collateral consequences will result from a conviction (factor 3). In addition, the state urges, the fact that the legislature chose to punish the offense of second-degree criminal trespass as a misdemeanor subject to only a small fine and a brief term of incarceration means that the punitive significance of a conviction for that offense is minimal to begin with, and any stigma attaching to such a conviction was effectively eliminated in this case when the prosecutor elected to reduce the charge under ORS 161.566 (factor 4). Finally, according to the state, the pretrial procedures to which defendant was subjected did not suggest a criminal proceeding (factor 5). The state acknowledges that defendant was arrested prior to her arraignment, but it argues that the decriminalization that occurred thereafter superseded what happened to defendant before the arraignment. That is, according to the state, because defendant could not be arrested, even for failure to appear, once the charge against her was reduced to a violation, and because failure to appear on a violation is not a crime (unlike failure to appear on a misdemeanor or felony), the fact that defendant was arrested, booked, and incarcerated before the charge was reduced does not rebut the presumption that the violation prosecution is a noncriminal proceeding.
Amicus ACLU Foundation of Oregon, Inc. disputes most of those contentions. For example, amicus observes that the fine structure for a reduced misdemeanor offense under ORS 161.655 (2009) remained the same as for other misdemeanor offenses, thereby indicating that the legislature intended to impose criminal-type financial sanctions for
With the contesting arguments so framed, we turn to the governing legal principles. As an initial matter, we think that the state misunderstands the Brown test when it argues that the prescribed penalty for an offense is the most important factor in determining whether a proceeding is a "criminal prosecution" for purposes of Article I, section 11. As discussed above, the court in Brown stated that "all [the factors] are relevant, but none is conclusive." 280 Or. at 102, 570 P.2d 52. More importantly, however, this court in Brown did not state, or even suggest, that the absence of the possibility of imprisonment creates a presumption that a proceeding is noncriminal. Rather, in characterizing the potential penalty as the "single most import criterion," the court in Brown merely acknowledged that, where incarceration is an available penalty for an offense, the process leading to such a possible outcome necessarily is a criminal prosecution. In fact, this court had held as much on several occasions, in related contexts, before deciding Brown. For example, in City of Portland v. Erickson, 39 Or. 1, 7-8, 62 P. 753 (1900), the court held that, for former jeopardy purposes under Article I, section 12, of the Oregon Constitution, when "the court is empowered to inflict upon the accused not only a fine, which may be followed by imprisonment for its nonpayment, but also imprisonment aside from any pecuniary penalty or forfeiture * * *," the proceeding is criminal in nature as far as constitutional requirements are concerned. See also State v. Mayes, 245 Or. 179, 184, 421 P.2d 385 (1966) (so describing holding in Erickson); City of Salem v. Read, 187 Or. 437, 441, 211 P.2d 481 (1949) (same).
But the converse is not true. As the court stated in Brown, "the absence of potential imprisonment does not conclusively prove a punishment non-criminal." 280 Or. at 103, 570 P.2d 52. In that circumstance, other factors may play a more prominent role in determining whether a proceeding is a "criminal prosecution." Moreover, even though the court in Brown stated that none of the factors that it identified is "conclusive," as with the application of any multifactorial paradigm, some factors will point more clearly than others to a particular conclusion in the circumstances of a given case. That is the situation here. Although we could analyze at length the weight and import of the penalty and punitive significance factors in this case, our sampling of the parties' diametrically opposed yet generally plausible arguments about those factors demonstrates that the exercise would not be particularly helpful.
Instead, we conclude that, as applied to the particular circumstances of this case, the most significant factors are the type of offense with which defendant was charged and the fact that defendant was subjected to pretrial arrest and detention. With respect to the type of offense, even though the legislature has authorized a prosecutor to reduce
The court in Brown emphasized the significance of the possibility of arrest and detention in assessing whether a proceeding is a "criminal prosecution":
Brown, 280 Or. at 108, 570 P.2d 52. In a footnote, the court qualified those statements:
Id. at 108 n. 16, 570 P.2d 52. Interestingly, in discussing that factor, the court focused on the possibility of arrest and detention, that is, their availability within the pertinent statutory scheme; the court did not consider the import of that factor where an arrest and pretrial incarceration actually had occurred. This case presents an opportunity to consider that issue.
The use of pretrial arrest and detention procedures are unique to criminal prosecutions. A person may be arrested for a misdemeanor, ORS 133.310(1)(b), and held in jail for 36 hours or more before arraignment, ORS 135.010, and for up to 180 days between arraignment and trial, ORS 136.290; ORS 136.295(4)(a). In the case of a violation, by contrast, law enforcement options are much more limited. Enforcement officers are expressly forbidden from arresting a person for the commission of a violation, and they may stop and detain a person whom they have reasonable grounds to believe has committed a violation for only as long as it takes to establish the person's identity, conduct a reasonable investigation, and issue a citation. ORS 153.039.
Following its decision in Brown, this court has emphasized the uniquely criminal nature of arrest and pretrial detention in other contexts. For example, in Easton v. Hurita, 290 Or. 689, 625 P.2d 1290 (1981), the court held that the plaintiff motorist's complaint, challenging
Easton, 290 Or. at 697, 625 P.2d 1290. Similarly, in State v. Porter, 312 Or. 112, 817 P.2d 1306 (1991), this court held that evidence discovered in a police officer's search of the defendant's car during a traffic stop for an open container violation should have been suppressed because the stop was for a traffic infraction and, under the applicable statute, the officer was not permitted to engage in the same law enforcement procedures for traffic infractions as for full custodial arrests.
In this case, as discussed above, defendant was part of a group of people participating in the "Occupy Portland" protests on October 11, 2011. She and 49 other defendants were arrested. Defendant was handcuffed and taken into custody, where she was booked and detained for several hours. She was later charged by information with one count of second-degree criminal trespass, a misdemeanor criminal offense. Law enforcement officers were permitted to take those actions only because the legislature chose to criminalize the offense of second-degree criminal trespass. The officers had the option on October 11, 2011, of merely citing defendant and the other protesters for violations, rather than arresting them for crimes. Had the officers chosen to cite the protestors for violations, however, the officers could not have arrested and detained them. Thus, the officers' decision to arrest defendant and the other protestors rather than cite them for violations was a practical choice with legal consequences.
As noted, the state contends that its subsequent election to treat the crime for which defendant was arrested and detained as a violation effectively decriminalized the proceeding. We do not agree. As this court stated in Pierson v. Multnomah County, 301 Or. 48, 52, 718 P.2d 738 (1986), "the trauma of an arrest and jail booking, and the stigma that flows from an arrest are well known." No subsequent election by the state to purportedly decriminalize the charge can change the fact that defendant was subjected to those uniquely criminal procedures and their stigmatizing effect. In Oregon, arrest records are available for employers, landlords, licensing agencies, and others to review. See ORS 181.560 (providing for release of arrest records to those who ask). When the Department of State Police releases a person's arrest record, that record includes not only the date of the arrest but also the "offense
State v. Freeman, 487 A.2d 1175, 1178 (Me. 1985).
After the state's election, this case proceeded as the same action, for the same offense, with the same elements and the same maximum potential fine. The state merely proposed to change the remaining pretrial and trial procedures and eliminate the possibility of imposition of a 30-day jail sentence. There is no textual, historical, or logical support for the proposition that, for purposes of Article I, section 11, what began as a criminal proceeding with defendant's arrest, booking, and incarceration for a crime can, in the absence of her consent, be transformed without further constitutional consequence into a noncriminal proceeding. It may be that many defendants will acquiesce in a bench trial for a misdemeanor that is reduced to a violation under ORS 161.566. However, where, as here, the accused already has been subjected to pretrial arrest and detention, such a reduction does not deprive the accused of the right to a jury trial.
The petition for writ of mandamus is dismissed.
State v. Porter, 312 Or. 112, 119-20, 817 P.2d 1306 (1991).