In re Complaint as to the Conduct of WILLIAM L. LASSWELL, Accused.
(Bar No. 81-70; SC 29633)
In the Supreme Court of the State of Oregon
Argued and submitted November 2, complaint dismissed December 6, 1983
296 Or. 121 | 673 P.2d 855
Mark W. Perrin, Eugene, argued the cause and filed brief on behalf of the Oregon State Bar.
PER CURIAM
Campbell, J., dissented and filed opinion in which Roberts, J. joined.
Roberts, J. dissented and filed opinion in which Campbell, J. joined.
The Oregon State Bar charges the accused, the district attorney of Douglas County, with violating
The pertinent parts of
“(B) A lawyer or firm associated with the prosecution or defense of a criminal matter shall not, from the time of the filing of a complaint, information or indictment, the issuance of an arrest warrant or arrest, until the commencement of the trial or disposition without trial, make or participate in making an extrajudicial statement for public communication that relates to:
“(1) The character, reputation or prior criminal record (including arrests, indictments, or other charges of crime) of the accused.
“(2) The possibility of a plea of guilty of the offenses charged or to a lesser offense.
“(3) The existence or contents of any confession, admission or statement given by the accused or his refusal or failure to make a statement.
“(4) The performance or results of any examinations or tests or the refusal or failure of the accused to submit to examinations or tests.
“(5) The identity, testimony or credibility of a prospective witness.
“(6) Any opinion as to the guilt or innocence of the accused, the evidence, or the merits of the case.
“....
“(H) The foregoing provisions of
DR 7-107 do not preclude a lawyer from replying to charges of misconduct publicly
The accused raises a constitutional challenge to any interpretation of the disciplinary rule that would reach the kind of extrajudicial statements involved in this case. Unquestionably any rule that in terms directs persons not to make particular kinds of statements is difficult to square with constitutional guarantees of freedom of expression, particularly those of the Oregon Constitution. The Disciplinary Review Board addressed the constitutionally permissible reach of
“No law shall be passed restraining the free expression of opinion, or restricting the right to speak, write, or print freely on any subject whatever; but every person shall be responsible for the abuse of this right.”
Recent decisions have explained that this guarantee forecloses the enactment of prohibitory laws, at least in the form of outright prohibitions backed by punitive sanctions, that in terms forbid speech or writing “on any subject whatever,” unless it can be shown that the prohibition falls within an original or modern version of a historically established exception that was not meant to be ended by the liberating principles and purposes for which the constitutional guarantees of free expression were adopted. See State v. Robertson/Young, 293 Or 402, 412, 416-417, 433-434, 649 P2d 569 (1982); State v. Spencer, 289 Or 225, 228, 611 P2d 1147 (1980). The qualifying clause that a person remains responsible for abusing rights of free expression has been held to mean civil responsibility for harm done, in particular, harm to the interest in reputation for which the constitution itself guarantees a remedy in due course of law.
The point of the disciplinary rule, therefore, is not restraint of free expression by lawyers because they are lawyers. That could not survive the constitutional principles we reviewed in In re Richmond, 285 Or 469, 474-75, 591 P2d 728 (1979). Rather, the rule addresses the incompatibility between a prosecutor‘s official function, including his responsibility to preserve the conditions for a fair trial, and speech that, though privileged against other than professional sanctions, vitiates the proper performance of that function under the circumstances of the specific case. In short, a lawyer is not denied freedom to speak, write, or publish; but when one exercises official responsibility for conducting a prosecution according to constitutional standards, one also undertakes the professional responsibility to protect those standards in what he or she says or writes. We conclude that
In addressing this interpretive issue, the Disciplinary Review Board noted that “[t]he precise constitutional questions which are here raised have not been fully addressed or resolved by the Oregon Supreme Court.” The board observed that in three disciplinary decisions under
The board‘s observation is well taken. The determination required to find that a prosecutor‘s comments were “designed” or “highly likely” to interfere with a fair trial of disputed facts by lay factfinders deserves to be stated more precisely.
The disciplinary rule deals with purposes and prospective effects, not with completed harm. It addresses the prosecutor‘s professional responsibility at the time he or she chooses what to speak or write. At that time it is incompatible with his or her professional performance in a concrete case to make extrajudicial statements on the matters covered by the rule either with the intent to affect the factfinding process in the case, or when a lawyer knows or is bound to know that the statements pose a serious and imminent threat to the process and acts with indifference to that effect. In a subsequent disciplinary inquiry, therefore, the question is not whether the tribunal believes that the lawyer‘s comments impaired the fairness of an actual trial, which may or may not have taken place. The question, rather, is the lawyer‘s intent or knowledge and indifference when making published statements that were highly likely to have this effect. Cf. State v. Kennedy, 295 Or 260, 666 P2d 1316 (1983)
In the present case, the charges concern statements made by the accused to a newspaper reporter on March 12, 1981, which resulted in an article in the March 15 issue of the Roseburg News-Review. The statements were preceded by these events: Law enforcement authorities in Douglas County undertook an extensive investigation of illegal drug traffic with the aid of an undercover agent who posed as a buyer in search of marijuana and other controlled substances. The district attorney‘s staff obtained secret indictments against more than 50 persons, and on February 20, 1981, most of the indicted persons were arrested and taken to temporary booking facilities at the Douglas County fairgrounds. There the accused, as district attorney, held a press conference to explain the events. During the following days description and discussion of the drug investigation and indictments occupied substantial space in the press. Many of the arrested persons denied guilt or claimed entrapment and various citizens were reported as speaking critically about the expenditure of substantial public funds on the undercover investigation and the conduct of the “raid.”
The reporter‘s interview with the accused on March 12 led to the publication of a further article on March 15, 1981, which reported the allegedly prejudicial statements charged against the accused. To quote the majority of the Disciplinary Review Board:
“In this article the Accused is quoted as making the following statements: 1) ‘All of the persons arrested, aged 15 to 46, were sellers of narcotics‘; 2) ‘These people sold because they were making some money‘; 3) He (the Accused) expects a 90- to 100- percent conviction rate.”
Whether or not the facts were as the board found them, its conclusion that the accused violated
When that interview is tested by the standards we have set out, we do not think that it meets the criteria for a violation of
The Bar‘s charges are based on the accused‘s statements to the reporter that the persons arrested were “sellers” of unlawful substances, that they engaged in the trade in order to make money and would have sold more than the investigator bought, that the investigator did not “pester” people into making the sales, that the accused did not expect entrapment defenses to succeed, and that he foresaw a conviction rate of 90 to 100 percent. We think the point of the first statements was only that the investigation went after persons who engaged in selling controlled substances for the money to be made, not persons merely possessing, using, or sharing such substances.
Of the other statements, perhaps the most susceptible to criticism were that the undercover investigator did not “pester” people or engage in entrapment but was “very clean and *** successful.” Assuming that the investigator was expected to testify at the eventual trials, this statement could be understood to refer to the “credibility of a prospective witness,”
Perhaps, also, an estimate that a prosecutor expects a conviction rate between 90 and 100 percent inferentially, though not literally, states an “opinion as to the guilt or innocence of the accused,” or of an undifferentiated 9/10ths of them.
The record in this case does not demonstrate that the accused intended his remarks in his March 12 interview to create seriously prejudicial beliefs in potential jurors in an impending trial, or that he was knowingly indifferent to a highly likely risk that they would have this effect. It is as plausible a conclusion that he was motivated by the purpose to account for the performance of his office in an operation that was the subject of public discussion. For these reasons we find the accused not guilty of the violations charged by the Bar.
CAMPBELL, J., dissenting.
Lasswell, the District Attorney of Douglas County, is charged by the Oregon State Bar with violating
“(B) A lawyer * * * associated with the prosecution * * * of a criminal matter shall not, from the time of * * * indictment *** until the commencement of the trial * * * make *** an extrajudicial statement for public communication that relates to:
“* * *
“(5) The identity, testimony or credibility of a prospective witness;
“(6) Any opinion as to the guilt or innocence of the accused, the evidence, or the merits of the case.”
Lasswell‘s defense is based in part upon
“(H) The foregoing provisions of
DR 7-107 do not preclude a lawyer from replying to charges of misconduct publicly made against him * * * ”
The majority opinion considered Lasswell‘s freedom of speech rights in determining if there had been a violation of
The test adopted by the majority to determine if there has been a violation of
“*** [I]t is incompatible with [the prosecutor‘s] professional performance in a concrete case to make extrajudicial statements on the matters covered by the rule either with the intent to affect the factfinding process in the case, or when a lawyer knows or is bound to know that the statements pose a serious and imminent threat to the process and acts with indifference to that effect.” 296 Or at 126.
I accept the test adopted by the majority except I would delete the last phrase: “and acts with indifference to that effect.”2 I would prefer a simple test that the prosecutor “knew or was bound to know.”
Using an objective test-that Lasswell was “bound to know“-I would find that he violated
“I asked Mr. Lasswell to be numerically specific (on a scale of 1 to 10) on how successful he judged the operation. He replied that he expected a 90-100 percent conviction rate.”
The News Review article of March 15, 1981, made the following references to Lasswell:
“All of the persons arrested, aged 15 to 46, were sellers of narcotics, Douglas County District Attorney Bill Lasswell said.
“‘These people sold because they were making some money‘, he said. He expects a 90 to 100 percent conviction rate.
“* * *
“But Lasswell disputes that version of the narcotics officer‘s activities.
“‘He was not constantly pestering people‘, he said. ‘That might be their interpretation of it.’
“[The narcotics officer], chosen from among several candidates for the job, has conducted undercover operations in other cities, and his method of operation is ‘very clean and very successful,’ the district attorney said. If it wasn‘t, the city and county police wouldn‘t have hired him.
“‘We don‘t want him out there causing all kinds of legal problems,’ Lasswell said.
“*****
“Some professional drug dealers probably were nabbed in the law enforcement net. Lasswell said, ‘A lot of them offered [the narcotics agent] more than he bought.‘”
Although the Oregon State Bar‘s complaint alleged four separate specifications, it is only necessary to discuss two of them for the purposes of this dissent. Those two are: (1) that the narcotics officer was “very clean and very successful,”
These cases involved approximately 50 defendants. The majority of the defendants had been arrested on February 20th. The newspaper article appeared on March 15th - about three weeks later. It is very probable that some of the cases would be set for trial within the following 30 days. Under
Whether Lasswell recognizes it or not, he was vouching for the credibility of the narcotics agent by describing him as “very clean and very successful.” Granted, Lasswell did not mention him by name or in connection with any particular case. If the agent made the buys and that is the purpose of the entire undercover operation, how does the district attorney expect to get the 90 to 100 percent conviction rate unless the agent testifies? Lasswell was in fact commenting on the chief witness’ credibility in each case. This part of the case is further complicated by the fact that the newspaper contained a three inch by five inch photo of Lasswell with the caption: “Lasswell... ‘clean, successful operation.‘”
By any objective standard, Lasswell‘s comment that he expected a 90 to 100 percent conviction rate is an “opinion as to the guilt or innocence of the accused.”
The newspaper article of March 15th was a perfect example of what
The article contains extensive statements and quotes from Lasswell, the Roseburg chief of police, and a Roseburg police detective. To counterbalance the state‘s position, the article contains statements and quotes from four defendants
Lasswell‘s answer in effect invoked
“That Lasswell, in any such statements or remarks relied upon by the Bar herein, was replying to public charges made by those under indictment or others in sympathy or complicity with them or their conduct, to the effect that Lasswell had misconducted himself as District Attorney of Douglas County by, among other charges: misspending the public funds appropriated as ‘drug buy money’ for use in the drug commerce suppression effort which culminated in the arrests on February 20, 1981; and by using an undercover investigator whose methods, success, and race, were offensive to those making the public charges.”
The critical comments by the defendants and those in sympathy with the defendants were not directed at the district attorney individually. He appears to have been included in charges against the “establishment” in general. Lasswell introduced six letters to the editor of the News Review. None of them mentioned Lasswell or the district attorney‘s office. Only two of the letters are directed to the “big drug bust.” The other four letters are discussions of the pros and cons of the use of marijuana. In a sense Lasswell was baited into making the statements in the newspaper interview. The following testimony was given before the Trial Board:
“[THE CHAIRMAN]: Would it be fair to say that the Public Defender‘s office was feeding you information on a confidential or off the record basis which you would then relate to Mr. Lasswell and see what his response was?
“[THE NEWSPAPER REPORTER]: I would have to say yes that that probably did happen.”
The charges of misconduct by the public against Lasswell, on which he could defend himself under
“Q. What can you tell the Trial Board about the public outcry and controversy that was the subject of either press releases, newspaper articles, television or any other thing that you can identify as being this hue and cry against the propriety of the investigation at the time you met [the newspaper reporter]?
“A. Well, there had been a lot of comment brought to my attention raising questions about the wisdom of spending $20,000 on this type of operation. There was criticism of the process, screening process that we used in selecting the undercover agents. There was criticism about the procedures or tactics of the undercover agent. There had been some letters to the editor saying it was a *** pimp and he was trying to lure women into prostitution, things like that.” Tr. 76.
Black‘s Law Dictionary (5th Edition 1979) defines “misconduct” as follows:
“A transgression of some established and definite rule of action, a forbidden act, a dereliction from duty, unlawful behavior, willful in character, improper or wrong behavior; its synonyms are misdemeanor, misdeed, misbehavior, delinquency, impropriety, mismanagement, offense, but not negligence or carelessness. Term ‘misconduct’ when applied to act of attorney, implies dishonest act or attempt to persuade court or jury by use of deceptive or reprehensible methods. People v. Sigal, 249 C.A.2d 299, 57 Cal. Rptr. 541, 549.”
The criticism of Lasswell for hiring the undercover agent was not an allegation of “misconduct.” No one has said that Lasswell was bribed or broke the law in the screening and hiring process. At worst the criticism alleges negligence. As to the entrapment, it has not been contended that Lasswell was responsible for the actions and conduct of the undercover agent. It appears from the record that the agent was hired and paid as a deputy of the police department. Lasswell told the reporter that he did not see the agent until after the bust. Apparently, Lasswell interviewed previous employers of the agent and took part in the selection process. There being no allegation of “misconduct” in connection with the employment and activities of the undercover agent, Lasswell had no right to invoke
“As a Douglas County resident and taxpayer I question the authority of county officials on spending our hard earned tax dollars on this matter of a ‘big drug bust.’ All you succeeded in doing was arresting a few occasional pot smokers-they‘re not big time dealers.
“Couldn‘t you have concentrated your efforts on more worthy causes? The child molesters, thieves, killers, rapists-those criminals belong behind bars--with such ridiculously high bails that they couldn‘t get out of jail * * *.”
Although the writer questions “the authority of county officials“, she goes on to indicate that she is really questioning the judgment of officials. In any event, I fail to see how a statement by Lasswell that he expected to obtain a 90 to 100% conviction rate is relevant to the choice of spending $20,000 in county funds on an undercover drug operation or on apprehending child molesters, killers, and rapists.
I agree with the Disciplinary Review Board who in a 4-2 opinion found that Lasswell had violated
Roberts, J., concurs with this dissenting opinion.
ROBERTS, J., dissenting.
I write separately to dissent because I believe the majority opinion will result in undesirable consequences.
The majority, in requiring that a lawyer must act “with indifference” before violating
I respectfully dissent. I join in the separate dissenting opinion of Campbell, J.
Campbell, J., concurs with this dissenting opinion.
