FILED: October 28, 1998
STATE OF OREGON,
Respondent,
v.
WILLIAM ROBERT DOERN,
Appellant.
En Banc*
Appeal from Circuit Court, Multnomah County.
David Gernant, Judge.
Argued and submitted March 24, 1998; resubmitted en banc June 10, 1998.
Peter Gartlan, Deputy Public Defender, argued the cause for appellant. With him on the brief was Sally L. Avera, Public Defender.
Katharine M. Hoskinson, Assistant Attorney General, argued the cause for respondent. With her on the brief were Hardy Myers, Attorney General, and Michael D. Reynolds, Solicitor General.
DEITS, C. J.
Reversed and remanded.
Landau, J., dissenting.
*Linder, J., not participating.
DEITS, C. J.
Defendant appeals his convictions and the resulting sentence on two counts
of assault in the second degree. ORS 163.175. He contends that the trial court erred by
limiting his time for closing argument to the jury to 20 minutes.(1) We agree and reverse
and remand.
Defendant was charged with first-degree assault, ORS 163.185, and with
the two second-degree assault counts as alternative theories of culpability for the same
crime.(2) Defendant shot and injured Marc Difrancisco in an encounter in a nightclub
parking lot. There was evidence that defendant drove to the location to confront
Difrancisco who, defendant thought, had raped defendant's girlfriend. Defendant
asserted a self-defense defense, ORS 161.209, and also presented evidence and argument
that the most serious crime of which he could be guilty was third-degree assault. ORS
163.165.
Defendant was apparently in his pickup truck at all times during the
encounter. Difrancisco's whereabouts at the various stages of the incident are less clear.
He was on foot at the beginning. According to defendant, Difrancisco pointed a
handgun and fired a shot at defendant while Difrancisco was still outside of his car.
Hence, defendant argued, he reached for and fired his own weapon only in response to
Difrancisco's attack. The state disputed that Difrancisco had a gun or fired one. The
door of Difrancisco's vehicle was damaged by defendant's shot. There was evidence that
was consistent with a number of possible spatial relationships between Difrancisco and
the car door and with various possible temporal relationships between the initiation of
the encounter and the firing of defendant's gun. A companion of Difrancisco's moved
him away from the area of the door and the driver's seat and drove him to the hospital, so
his exact location in or near the car at the time of the shooting was never certainly
determined.
During the course of the trial, defendant and his counsel disagreed about
trial tactics, which led to defendant electing and the trial court allowing him to proceed
pro se. Among the matters about which defendant and his attorney did not see eye to eye
was whether to present the testimony of defendant's girlfriend that she had been an
eyewitness to the events and that Difrancisco had indeed fired at defendant. Defendant
presented her testimony, and she was forcefully impeached.
The trial lasted five days. Before recessing for the evening on the day that
the parties concluded their evidentiary presentations, the court stated to defendant and to
the prosecuting attorney:
"I'd like to suggest to both of you, and I don't know how long you
anticipate, but I think especially with what I hope is the clarification of the
elements that we can hold closing argument down to 15 or 20 minutes a-piece."
The next day, the court reiterated its ruling in the following exchange:
"THE COURT: And for the information of [the prosecutor] Mr.
Kuykendall and Mr. Doern, we have about 60 minutes from now to bring
this case to a conclusion. The instructions are longer and more complicated
than usual, and I really need to ask each of you to limit yourselves to, I
would say, 15 minutes on your opening and closing, 20 minutes for you
and another five minutes for rebuttal.
"* * * * *
"[Kuykendall]: Thank you, Your Honor.
"THE COURT: --sir?
"[DEFENDANT]: And just for the record, I take exception to that -- to that limiting.
"THE COURT: Okay. * * *"
Insofar as we can determine from the record, defendant's argument lasted
for roughly the 20 minutes he was allotted. A significant portion of the argument was
devoted to his self-defense theory. Approximately three-fourths of the way through
defendant's argument, the prosecuting attorney objected and stated that it was his
understanding that the jury was not to be instructed on self defense. The court responded
that, although no self-defense instruction had been among the ones that it and the parties
had gone over the previous day, it was the court's understanding "that self defense was
part of the case," that defendant had requested an instruction on self-defense and that "I
do intend to instruct on that issue." The prosecutor responded, "Good. I would ask that
you do that."
Nevertheless, without any explanation that appears in the record at our
disposal, no such instruction was given. The only issue that was submitted to the jury
concerning Difrancisco's alleged hostile activities arose from the state's allegation, as a
potential sentencing factor relevant only to the first-degree assault charge, that
Difrancisco "did not substantially contribute to the commission of the * * * offense by
precipitating the attack." In addition to their immediately intended purpose, defendant's
arguments directed at his self-defense theory were also germane to that issue. Further,
they were relevant inferentially to the state of mind with which he acted and,
concomitantly, the degree of assault that he might have committed. The jury acquitted
defendant of first-degree assault and found him guilty on the two second-degree assault
charges. He appeals from the resulting conviction and sentence.
In his brief, defendant contends principally that the limitation on his
closing argument violated his rights under the state and federal constitutional jury trial
and counsel provisions. He relies on State v. Rogoway, 45 Or 601, 78 P 987, 81 P 234
(1904), where the Supreme Court held--without apparent differentiation between the
state and federal provisions--that the defendant's jury trial rights were abrogated by the
one-hour limit that the trial court had placed on his time for closing argument to the jury
in a criminal trial. Defendant mentions ORCP 58 B only in passing in his brief but, at
oral argument and in a memorandum of additional authorities, that rule became a focal
theory for defendant's assertion of error.
ORCP 58 B(5) is made applicable to criminal trials by ORS 136.330(1),
and provides:
"Not more than two counsel shall address the jury in behalf of the
plaintiff or defendant; the whole time occupied in behalf of either shall not
be limited to less than two hours."
Because defendant's ORCP 58 B argument provides a potential nonconstitutional basis
for our decision, we will reach the argument. See, e.g., Leo v. Keisling, 327 Or 556, ___
P2d ___ (1998); Zockert v. Fanning, 310 Or 514, 800 P2d 773 (1990).
There is no question that the trial court's limitation of defendant's closing
argument to 20 minutes violated ORCP 58 B and was error. The only issue is whether
the error is reversible. Although most of the state's arguments for a negative answer were
presented in its brief, and were accordingly responsive only to the constitutional issues
that defendant raised in his brief, we will assume that the state intends those arguments to
be considered in connection with the ORCP 58 B issue as well.(3)
The state contends first that the trial court did not actually impose a limit on
defendant's argument time but, rather, merely suggested to the parties that they confine
themselves to 20 minutes. We disagree. The fact that the court communicated its ruling
through words that might seem precatory in an everyday setting does not change the very
different import that those words carried when repeated twice by a judge from the bench
in a trial over which he was presiding. We agree with defendant that the 20-minute
limitation on his argument time constituted a ruling by the court.
The state next argues that defendant did not adequately preserve the error,
because his objection simply challenged "that limiting," and it specified no ground. As
indicated above, the state's argument was made in response to defendant's brief, in which
his theories were constitutional. Without deciding whether defendant's objection in the
trial court was adequate to preserve the constitutional arguments he advances on appeal,
we hold that there is no preservation problem with respect to his ORCP 58 B argument.
ORCP 58 B(5) deals solely and exclusively with closing jury arguments and with the
time constraints that trial judges may place on them. It disallows precisely what the trial
court did in limiting defendant's argument to less than two hours. Defendant objected to
the limitation itself. Under the preservation principles enunciated in State v. Hitz, 307 Or
183, 766 P2d 373 (1988), he thereby raised the relevant issue, and it was not necessary
for him to have also identified ORCP 58 B(5) to the trial court as the source for his
position in order to preserve the argument that he now makes on appeal.
This case is a particularly appropriate one for the application of the Hitz
principle, under which the raising of issues at trial "is essential" to preservation, but
identifying the "source for a claimed position" is "less so." Id. at 188. The issue raised
by defendant's objection was that the trial court erred in its sua sponte limitation of
defendant's closing argument time to one-sixth of the minimum time that ORCP 58 B(5),
the unmentioned "source," specifies. Although defendant made no reference to ORCP
58 B(5), it would seem to be a fair enough assumption that the judge presiding at
defendant's trial was or could readily become familiar with the rules of procedure that
govern and limit the exercise of his authority over the conduct of the trial. Under the
circumstances, defendant's objection to the ruling was enough to prevent the trial court
and the state from being "taken by surprise, misled, or denied opportunities to meet an
argument," Davis v. O'Brien, 320 Or 729, 737, 891 P2d 1307 (1995), and it was
sufficient under the rationale of Hitz to preserve the issue and the argument that
defendant raises now.(4)
The dissent criticizes Hitz as being conducive to and having been applied
in inconsistent ways. ___ Or App at ___ (dissenting slip opinion at 4). Consequently,
the dissent suggests that Hitz ought not to be applied in resolving preservation questions.
However, even if the dissent's characterization of Hitz is correct, it is a precedential
decision of the Oregon Supreme Court. This court is not free to disregard it.
Hitz is not--and does not purport to be--the sole and universal determinant
of all preservation questions. However, it is difficult to imagine a preservation question
that fits into the Hitz framework more neatly than the one in this case. There is simply no
doubt that defendant's objection to the "limiting" of his argument raised an "issue" and
omitted a "source." Any analytical problems that may inhere in Hitz itself, or in other
cases that have applied it, provide no basis for our not applying it here, where it is so
clearly apposite and the answer under it is so clear.
The state's final argument is that the trial court's error in violating ORCP 58
B is obviated by ORCP 12 B, under which the courts are to "disregard any error or defect
in the pleadings or proceedings which does not affect the substantial rights of the
[affected] party." In essence, the state appears to regard ORCP 12 B, a rule of civil
procedure, as serving the dual role of a harmless error rule on appeal. Whether or not
that understanding of ORCP 12 B is correct, but see Murphy v. Price, 131 Or App 693,
699, 886 P2d 1047 (1994), rev den 321 Or 137 (1995), we are required by more
conventional and more clearly applicable authority to consider whether the error that we
have found requires reversal. Under ORS 138.230, the so-called "harmless error" statute
applicable in criminal appeals, we are to affirm if the error "do[es] not affect the
substantial rights of the parties." More generally, the Supreme Court has articulated the
test for harmless error in criminal cases to be whether there is "little likelihood that the
error affected the verdict." State v. Hansen, 304 Or 169, 180-81, 743 P2d 157 (1987).
That statute and standard essentially parallel the corresponding statute, ORS 19.415(2)
(formerly ORS 19.125(2)), that applies to civil cases and the principles in the case law
applying the latter statute. As the Supreme Court explained recently in Baker v. English,
324 Or 585, 590-91, 932 P2d 57 (1997):
"We also note that, in applying ORS 19.125(2), this court often
examines whether it is likely that a trial court's error affected the outcome
of the case below. For example, in cases in which a trial court's error either
did or may have affected the outcome, such as an error concerning a key
issue before the jury, this court has concluded that the error substantially
affected the rights of a party and, therefore, was prejudicial. The rationale
behind such a conclusion is obvious: The rights of an aggrieved party are
substantially affected if the outcome either would have or may have been
different had the error not occurred.
"A review of our case law illustrates that principle. In U.S. National
Bank v. Boge, 311 Or 550, 555, 814 P2d 1082 (1991), the trial court
erroneously instructed the jury that, on the defendants' counterclaims, the
plaintiff must have presented evidence showing more than mere honesty on
its part in order to prove that it had acted in good faith. This court
concluded that giving the instruction constituted prejudicial error because
'[t]he standard for [the plaintiff's] conduct was the central issue to be
decided' and the jury may have reached its verdict based upon the
erroneous instruction. Id. at 566. Likewise, in Honeywell v. Sterling
Furniture Co., 310 Or 206, 211, 797 P2d 1019 (1990), this court held that
it was prejudicial error to instruct the jury about the statutorily mandated
distribution of a punitive damages award, despite the fact that the
instruction legally was correct. In so holding, the court reasoned that the
instruction 'encouraged the jury to award punitive damages for a [specific]
purpose' and, consequently, that '[o]ffering [the] jury an additional,
inappropriate basis for awarding punitive damages harmed the defendant.'
Id. at 211, 212. See also Brooks v. Bergholm, 256 Or 1, 6, 470 P2d 154
(1970) (prejudicial error to refuse to give a limiting instruction cautioning
the jury against considering the defendant's wealth in determining
compensatory damages because the error 'related to the amount of damages'
and, therefore, the court '[could not] say that it did not affect the jury's
verdict'); Armstrong v. Stegen, 251 Or 340, 344, 445 P2d 509 (1968)
(prejudicial error to submit to the jury a negligence allegation that was not
supported by any evidence because doing so required the jury to speculate
in reaching its result); Watson v. Dodson, 238 Or 621, 623, 395 P2d 866
(1964) (prejudicial error to deny a motion to amend a complaint to conform
to the proof because, had the trial court allowed the amendment, additional
instructions would have been given that might have affected the jury's
consideration of the evidence)."
See also Hernandez v. Barbo Machinery Co., 327 Or 99, 112, 957 P2d 147 (1998) (error
"substantially affects the rights of an aggrieved party if the outcome of the case either
would have or may have been different if the error had not occurred").
This case is analogous to those in the examples given by the Supreme
Court where the trial court's error was of a kind that plausibly may have affected the
outcome, and the appellate court could not say "that [the error] did not" have that effect.
Defendant presented an effective argument to the jury, and he was acquitted of the most
serious of the charged crimes. Whether his success might have been greater if he had
been able to argue at greater length is necessarily a matter of conjecture. However, we
are in no position to say that the denial of the requisite opportunity to argue could not
have affected the verdict. Certainly, depriving a party of the ability to present argument
to the jury is as intrinsically likely to affect its verdict as is misinstructing the jury in the
various ways described in the cases discussed in Baker.
Defendant advanced a defense that, had he prevailed, would have been
completely exculpatory, and he also relied on both evidence and argument that were
pertinent to his mental state and that could have led to a finding that he was guilty of
third- rather than second-degree assault. In sum, there were disputed factual issues and
there was evidence that supported defendant's view of them. That evidence, if believed
by the factfinder, could have resulted either in defendant's acquittal or his conviction of a
lesser offense than the one that the jury did find.
The state argues, albeit in a somewhat different connection, that the factual
issues were "simple." We reiterate, however, that the case took five days to try and
resulted in defendant's acquittal of the most serious of the crimes with which he was
charged. The two-hour minimum for argument time under ORCP 58 B does not apply
only to complex cases; indeed, it applies to all criminal cases that are triable in circuit
court and to the most trivial of civil disputes that rise above small claims jurisdiction. It
clearly applies to this Measure 11 case. The state's view that the factual issues here were
"simple" was a matter for it to argue to the jury, and defendant's view of the factual
issues was a matter that he had a right to argue to the jury as prescribed by law. The trial
court's truncation of that right was not harmless error.
Reversed and remanded.
LANDAU, J., dissenting.
At trial, defendant responded to the trial court's admonition to take no more
than 20 minutes for closing arguments with the words, "I take exception to that--to that
limiting." Defendant did not explain to the trial court the basis for his exception, why he
believed he was entitled to more time. He made reference to no rule, statute, or
constitutional provision requiring the trial court to give him more time.
On appeal, defendant asserted two arguments, and two arguments only, in
his brief. First, he argued that the trial court's time limit violated Article I, section 11, of
the Oregon Constitution. Second, he argued that the trial court's time limit violated the
Sixth Amendment to the United States Constitution. In the course of his Oregon
constitutional argument, defendant made the following remark:
"ORCP 58 B(5) provides that each side in a civil case 'shall not be limited to less
than two hours.' Ironically, if the victim had sued defendant for damages,
defendant would have been granted more time to address the jury."
Thus, defendant did not assert that ORCP 58 B(5) applied to this case. Nowhere in his
brief is there a reference to ORS 136.330(1). To the contrary, he noted what he
understood to be the disparity between civil and criminal rules of procedure.
Interestingly, the state did not mention ORS 136.330(1) in its brief on appeal either. At
oral argument, defendant noted for the first time that ORCP 58 B(5) was not actually
inconsistent with criminal procedure, but instead was directly applicable to criminal
proceedings by way of ORS 136.330(1).
The majority nevertheless resolves this case on the basis of ORS
136.330(1), which was not cited to the trial court, not cited in the opening brief on
appeal, not cited by the state, and only mentioned for the first time at oral argument. The
majority concludes that the argument that the statute controls was preserved by
defendant's words at trial: "I take exception to that."
There is, perhaps, some authority to support the majority's conclusion that
the matter properly has been preserved. The problem is, there also is ample authority to
the contrary. In truth, the decisions of the appellate courts in this state have become
difficult to reconcile, to put it charitably. For practically every decision holding that a
given objection is sufficient to preserve an argument on appeal, there is a contrary
decision holding that the same objection does not suffice. The majority's decision in this
case only makes matters worse. A few examples:
Point: In State v. White, 119 Or App 424, 427, 850 P2d 1158, rev den 317
Or 486 (1993), the trial attorney stated, "I object to this line of questioning." We held
that the objection "was not adequate to preserve the claimed error, because it did not
identify the ground on which defendant now challenges the ruling on appeal." Id.
Counterpoint: The defendant in this case said, "I take exception to that."
The majority holds that "it was not necessary for him to have also identified * * * the
source for his position in order to preserve the argument that he now makes on appeal."
___ Or App at ___ (slip op at 6; emphasis in original).
Point: In State v. Riggs, 143 Or App 427, 923 P2d 683 (1996), rev den
325 Or 247 (1997), the defendant at trial asserted a double jeopardy argument. In his
motion papers, he cited both the Fifth Amendment to the United States Constitution and
Article I, section 12, of the Oregon Constitution, but he argued only the federal
constitutional theory. When he attempted to argue the state constitutional theory on
appeal, we declared the argument not preserved, reasoning that, "[a]lthough defendant
below cited Article I, section 12, as a source, he cited no Oregon cases and gave no
indication to the trial court that a different analysis would apply under the Oregon
Constitution." Id. at 431 (emphasis in original).
Counterpoint: In State v. Cooper, 120 Or App 490, 852 P2d 948 (1993),
rev'd on other grounds 319 Or 162, 874 P2d 822 (1994), the defendant objected to the
presence of a police officer witness sitting at counsel table during trial. He cited OEC
615, but made a different argument under that rule on appeal than he did at trial. We
held that the argument was preserved. Id. at 493-94.
Point: In Hovey v. Davis, 120 Or App 425, 427, 852 P2d 929, rev den 318
Or 26 (1993), the defendant raised an objection, citing only a case. Although we
ultimately found that the argument was preserved for other reasons, we declared that
"only citing a case as the ground for an objection does not preserve an objection." Id. at
428.
Counterpoint: In State v. McCann, 144 Or App 403, 927 P2d 129 (1996),
rev den 324 Or 560 (1997), the state at trial asserted an argument on the basis of a single
cited appellate decision. On appeal, we held that, even though the decision was
inapposite, the state had preserved the underlying argument. Id. at 406-07.
The problem, in substantial part, appears to have its source with this court's
mechanical reliance on State v. Hitz, 307 Or 183, 766 P2d 373 (1988). In that decision,
the Supreme Court explained the law of preservation in the following terms:
"We have previously drawn attention to the distinctions between raising an issue at
trial, identifying a source for a claimed position, and making a particular argument.
The first ordinarily is essential, the second less so, the third least."
Id. at 188 (emphasis in original; citation omitted). With no examination of the
distinction between an issue, a source, and an argument, however, Hitz becomes no more
than a handy citation to support a desired outcome by simply lodging a particular
contention not raised at trial in the appropriate pigeonhole. Witness, for example, the
fact that the majority relies on Hitz to justify its decision in this case, in which defendant
took "exception" to the trial court's ruling but identified no particular rule, case, statute,
constitutional provision, theory, or argument. ___ Or App at ___ (slip op at 6-7).
Contrast that with our reliance on Hitz in Riggs, in which the defendant did raise his
double jeopardy claim and cited the Oregon Constitution, but still was held not to have
preserved his state constitutional double jeopardy claim of error. Riggs, 143 Or App at
430-31.
In my view, preservation issues should not be resolved by appeal to such empty and
elastic verbal formulae. The result is a body of cases that can only be a source of
confusion to the bench and the practicing bar. Preservation is better viewed in practical
terms. It is not so much a technicality of trial and appellate practice as it is a matter of
fairness and efficiency: Did the trial court have a realistic opportunity to make the right
call? The explanation of the Chief Judge in J. Arlie Bryant, Inc. v. Columbia River
Gorge Comm., 132 Or App 565, 568, 889 P2d 383, rev den 321 Or 47 (1995), is
especially helpful in making that point:
"Adherence to preservation requirements is important to the proper performance of
appellate review. There are at least two reasons why that is so. First, the
requirement that an issue be presented to the lower tribunal in order for it to be
raised on appeal serves to prevent error. If the first tribunal is given the opportunity
to make a ruling, its ruling may well be correct. Relatedly, it would be a disservice
to the economy of the process to require the lower tribunal to conduct further
proceedings in order to rectify an error that it was never given the initial
opportunity to avoid.
"The second reason is that requiring a party to present its issues at each
adjudicative level is essential to a fair process for the other parties and participants.
Generally, the opportunity to respond at the appellate level does not cure the denial
of that opportunity in trial court and agency proceedings, where all of the factual
and much of the legal development of cases must occur."
I would approach this case with precisely that sort of practical focus. Was
the trial court given a realistic opportunity to make the right decision? I think not. Given
the abbreviated objection--"I take exception to that"--there was no realistic way for the
trial judge to know the nature of defendant's complaint. Was there a rule that required a
longer time? Defendant did not say. Was there a statute that prohibited such a short
argument time? Defendant did not say. Was there a constitutional problem with the trial
court's ruling? Defendant did not say.
The majority appears to base its opinion as to preservation on the fact that
the rule so obviously permits at least two hours of closing argument. ___ Or App at ___
(slip op at 6-7). That argument cuts both ways, however. Can anyone seriously suggest
that the trial judge in this case, acting in good faith when confronted with a citation to the
proper rule, would have failed to make the right decision? Clearly, the only reason for
the ruling below was that no one informed the court of the application of the controlling
rule. Preservation is supposed to prevent precisely that sort of thing from happening.
The majority suggests alternatively that, even if not preserved, the error of
which defendant complains is apparent on the face of the record and, as such, remains
reviewable. Id. at n 4 (slip op at 7 n 4). In making the argument, however, the
majority forgets that an unpreserved argument is not instantly reviewable merely because
it involves apparent legal error. As the Supreme Court explained in Ailes v. Portland
Meadows, Inc., 312 Or 376, 382, 823 P2d 956 (1991), even if an error is plain on the
face of the record,
"the appellate court must exercise its discretion to consider or not to consider the
error, and if the court chooses to consider the error, the court must articulate its
reasons for doing so. This is not a requirement of mere form. A court's decision to
recognize unpreserved or unraised error in this manner should be made with utmost
caution. Such an action is contrary to the strong policies requiring preservation and
raising of error."
(Citation omitted.) The court held that, in deciding whether to exercise our discretion to
consider an error of law apparent on the face of the record, we must consider various
factors, including the competing interests of the parties, the nature of the case, the gravity
of the error, the ends of justice, the manner in which the error came to the attention of the
trial court, and whether the policies behind the general rule of preservation have been
served in some other way. Id. at 382 n 6.
In my view, assuming for the sake of argument that we are confronted with
error apparent on the face of the record, this is not a case in which we should exercise
our discretion to review the unpreserved error. I arrive at that conclusion principally
because defendant has identified no harm that has flowed from the trial court's ruling.
He argued his case in the allotted time and did not so much as suggest that he had
anything further to say. Even on appeal, defendant fails to identify how he was
prejudiced by the time limitation. In the absence of any identifiable harm that flowed
from the trial court's ruling, and in light of the Supreme Court's cautionary instructions in
Ailes, I find no basis for overcoming the general rule that this court does not review
unpreserved error.
I would, therefore, affirm the judgment on preservation grounds and would
not address the merits of defendant's contentions on appeal. I respectfully dissent from
the majority's contrary decision.
Warren and Haselton, J.J., join in this dissent.
1. Given our disposition of this contention, we need not reach defendant's
second assignment, in which he challenges the sentence that the trial court imposed.
Return to previous location.
2. He was also charged with two other offenses, neither of which is involved
in this appeal.
Return to previous location.
3. Both parties submitted short supplemental memoranda that deal with the
ORCP 58 B issues directly. We will of course address the arguments presented in those
memoranda, as well as the apposite contentions that appear in the briefs.
Return to previous location.
4. Alternatively--or perhaps analogously--the violation of ORCP 58 B is apparent on the face of the record, ORAP 5.45(2), and we might elect to reach the error in the interests of justice even in the absence of preservation.
Return to previous location.
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