FILED: October 8, 1998
STATE OF OREGON,
Petitioner on Review,
v.
TEDDY HALL,
Respondent on Review.
On review from the Court of Appeals.*
Argued and submitted May 5, 1998.
David B. Thompson, Assistant Attorney General, Salem, argued the cause and filed the petition for petitioner on review. With him on the petition were Hardy Myers, Attorney General, and Michael D. Reynolds, Solicitor General.
Steven V. Humber, Deputy Public Defender, Salem, argued the cause and filed the brief for respondent on review. With him on the brief was Sally L. Avera, Public Defender.
Before Carson, Chief Justice, and Gillette, Van Hoomissen, Durham, and Leeson, Justices.**
LEESON, J.
The decision of the Court of Appeals is affirmed in part and reversed in part. The judgment of the circuit court is affirmed.
Durham, J., dissented and filed an opinion.
*Appeal from Multnomah County Circuit Court,
Janice R. Wilson, Judge.
149 Or App 358, 942 P2d 882, modified on recons 149 Or App 757, 944 P2d 1000 (1997).
**Kulongoski, J., did not participate in the consideration or decision of this case.
LEESON, J.
In this criminal case involving multiple charges, a jury convicted defendant of two counts of robbery in the first degree, ORS 164.415, one count of robbery in the third degree, ORS 164.395, and one count of felon in possession of a firearm, ORS 166.270. The Court of Appeals reversed defendant's conviction for robbery in the third degree and affirmed his other convictions. State v. Hall, 149 Or App 358, 942 P2d 882, modified on recons 149 Or App 757, 944 P2d 1000 (1997). We allowed review to determine whether the trial court erred in denying defendant's motion for judgment of acquittal on the count of third-degree robbery. For the reasons that follow, we conclude that the trial court did not err. The Court of Appeals' contrary holding on that count is reversed, and its decision otherwise is affirmed.
We view the evidence in the light most favorable to the state to determine whether a rational trier of fact, making reasonable inferences, could have found the essential elements of the crime proved beyond a reasonable doubt. State v. Cunningham, 320 Or 47, 63, 880 P2d 431 (1994). The issue is not whether we believe defendant is guilty beyond a reasonable doubt, but whether there was sufficient evidence for a jury to so find. State v. Rose, 311 Or 274, 281, 810 P2d 839 (1991). When analyzing the sufficiency of the evidence, we make no distinction between direct and circumstantial evidence as to the degree of proof required. State v. Lerch, 296 Or 377, 396, 677 P2d 678 (1984).
Defendant walked into the McDonald's restaurant at Jantzen Beach on June 21, 1994, at about 10:40 p.m., twenty minutes before the restaurant closed for the night. He wore a leather jacket over his clothing and a bandana on his head that covered his hair completely. Although it was late at night, he also had on sunglasses.
Defendant went to the counter near a cash register. He saw Ahyek, an employee, standing at the end of the counter. He made a motion to her with his hand and told her to "Come here." Ahyek walked toward defendant and stood directly across the counter from him near the cash register. As she stood across from him, defendant said to Ahyek, "Put all of the money into this bag. I want all of your money." He held out a small paper bag that he had brought into the restaurant with him. Ahyek opened the top drawer of a cash register and gave defendant all the money in it. Defendant told her, "No, I want what is underneath." Ahyek reached beneath the drawer and gave defendant the money that was there. Defendant still was not satisfied that Ahyek had given him all the money. He told her, "No. I want what is in the other drawers." Ahyek pulled the cash drawers out of the other cash registers and set them on the counter to show defendant that she "didn't have anything else." Defendant took the money and left the restaurant. On his way out, defendant told Atkinson, a maintenance worker, not to follow him. Ahyek called the police, who arrested defendant several days later. He was indicted for robbery in the third degree.
Defendant represented himself at trial. Just before instructing the jury, the court sua sponte raised the issue of whether the state had presented sufficient evidence to support a conviction for robbery in the third degree. ORS 164.395(1) defines robbery in the third degree:
"(1) A person commits the crime of robbery in the third degree if in the course of committing or attempting to commit theft the person uses or threatens the immediate use of physical force upon another person with the intent of:
"(a) Preventing or overcoming resistance to the taking of the property or to retention thereof immediately after the taking; or
"(b) Compelling the owner of such property or another person to deliver the property or to engage in other conduct which might aid in the commission of the theft." (Emphasis added.)
In response to the trial court's having raised the issue, defendant moved for judgment of acquittal, on the ground that he had not said any threatening words to Ahyek or made any threatening gestures towards her. The trial court denied the motion, concluding that "[t]he circumstances may give rise to the threat." In a unanimous verdict, the jury found defendant guilty of robbery in the third degree.(1)
On appeal, defendant assigned error to the trial court's denial of his motion for judgment of acquittal, arguing that the state had presented insufficient evidence to convict him of third-degree robbery, because he did not use actual force or threaten the immediate use of physical force against Ahyek. The state responded that an implied threat is sufficient to establish robbery in the third degree and that a rational trier of fact could find that defendant's demand to Ahyek to give him all the money carried with it an implied threat that defendant would use physical force if Ahyek refused to comply.
A two-judge majority of the Court of Appeals agreed with defendant. The majority concluded that the trial court erred in denying defendant's motion for judgment of acquittal, because "[t]here is no evidence that defendant made verbal threats or engaged in conduct that indicated that he would, in fact, immediately resort to physical force unless his demand was met." Hall, 149 Or App at 365 (emphasis added). Chief Judge Deits dissented, arguing that, considering the entire circumstances, there was sufficient evidence from which a rational jury could infer that defendant implicitly had threatened to use immediate physical force against Ahyek if she did not comply with his demands. Id. at 368.
On review, the questions are what the legislature intended by the phrase, "threatens the immediate use of physical force upon another person," in ORS 164.395(1), and whether the trial court erred in denying defendant's motion for judgment of acquittal on the charge of robbery in the third degree, because the state failed to present sufficient evidence to permit the jury to find that defendant had threatened the immediate use of physical force on Ahyek if she did not comply with his demands.
The first inquiry is a matter of statutory construction. In construing a statute, our task is to discern the intent of the legislature. PGE v. Bureau of Labor and Industries, 317 Or 606, 610, 859 P2d 1143 (1993). We begin with the statute's text and context and give words of common usage their "plain, natural, and ordinary meaning." Id. at 610-11.
The criminal code does not define the word "threatens" as used in ORS 164.395(1). However, the dictionary defines the word "threaten" as follows:
"1: to utter threats against: promise punishment, reprisal, or other distress to * * * 2 * * *: to charge under pain of punishment: WARN * * * 3: to promise as a threat: hold out by way of menace or warning * * * 4a: to give signs of the approach of (something evil or unpleasant): indicate as impending: PORTEND * * * b: to hang over as a threat: MENACE
* * * 5: to announce as intended or possible * * *." Webster's Third New Int'l Dictionary, 2382 (unabridged ed 1993).
The dictionary definition indicates that the act of threatening another person can be explicit (such as uttering threats) or implicit (such as giving signs of the approach of something evil or unpleasant). That conclusion is supported by examining the dictionary definition of the noun "threat," which is used repeatedly in the definition of the verb threaten. A "threat" is:
"1: an indication of something impending and usu. undesirable or unpleasant * * * as a: an expression of an intention to inflict evil, injury, or damage on another usu. as retribution or punishment for something done or left undone * * * b: expression of an intention to inflict loss or harm on another by illegal means and esp. by means involving coercion or duress of the person threatened ([threats] inducing fear of bodily harm are often cause of legal action even in the absence of overt violence) 2: something that by its very nature or relation to another threatens the welfare of the latter * * *." Id.
Like the act of threatening, a threat can be explicit (an expression of an intention to inflict harm or loss on another) or implicit (something that by its nature or relation to another announces that a person's welfare is in danger). Whether a person implicitly threatens another in the course of an encounter depends on the reasonable inferences that the fact finder can draw from that encounter.
ORS 164.395(1) requires that, in the course of committing or attempting to commit theft, a defendant use or threaten to use immediate physical force on another person with the intent of preventing or overcoming resistance to the taking of property or compelling the person to deliver property. Having concluded that the act of threatening can be explicit or implicit, the next inquiry is whether, under ORS 164.395(1), a person who demands that the victim deliver property, or not resist the taking of property, implicitly can threaten the immediate use of physical force if the victim does not comply. The answer to that question is yes. If the context in which the demands were made supports a reasonable inference that the person implicitly threatened the immediate use of physical force if the victim did not comply, a trial court does not err in denying a motion for judgment of acquittal on robbery in the third degree.
We turn to the facts of this case. Defendant came into the restaurant late at night, just before its closing time, dressed in a manner that disguised his identity. He does not contest that his purpose in coming into the restaurant was to obtain money. He made a series of demands on Ahyek while she was standing close to him: While making a gesture to Ahyek, defendant told her to "Come here" and, when she was standing across the counter from him, near a cash register, told her to put all the money into the bag that he was carrying. After Ahyek put the money from the drawer of the cash register into the bag, defendant told her to give him the money underneath the cash drawer. He then told her that he wanted the money in the other cash registers as well.
From the facts of this case, a jury reasonably could infer that, if Ahyek did not comply with defendant's demands to give him all the money, he would reach across the counter and take the money that he had demanded and that he immediately would use physical force against Ahyek if she tried to stop him from doing so. A jury also reasonably could infer that, if Ahyek did not comply with defendant's demands, he immediately would use physical force on her to compel her to give him the money. Finally, a jury could infer that, if Ahyek did not comply with defendant's demands, he would abandon his intent to commit theft and simply leave the restaurant. Any of those inferences is reasonable; therefore, it was appropriate to allow the jury to decide the question. Consequently, the trial court did not err in denying defendant's motion for judgment of acquittal on the count of robbery in the third degree.
The decision of the Court of Appeals is affirmed in part and reversed in part. The judgment of the circuit court is affirmed.
DURHAM, J., dissenting.
Without question, defendant committed serious criminal
conduct when he entered the restaurant, told the cashier to put
the restaurant's money into his bag, and fled. The legal
question before the court is whether the evidence was sufficient
to support the charge of robbery in the third degree. The
parties disagree about whether the evidence would permit a jury
to find beyond a reasonable doubt that, in the course of
committing theft, defendant "threaten[ed] the immediate use of
physical force upon another person" within the meaning of ORS
164.395(1).(2) The task of statutory interpretation is
particularly important here because the statutory requirement of
proof that the perpetrator "use[d] or threaten[ed] the immediate
use of physical force upon another person" while committing theft
is common to all statutes that define the degrees of robbery.
See ORS 164.405(1); ORS 164.415(1).
In view of the importance of a proper legal analysis of
that question, the opinion offered by the majority is a
disappointment. Two critical methodological mistakes, identified
below, lead the majority into legal error. Because the
majority's errors concern methodology, and because the majority
opinion does not clarify the point, the reader is left to guess
whether this case exhibits an analysis that affects only this
case or, instead, represents a change in the way that the court
goes about resolving statutory interpretation and sufficiency of
evidence problems. In either case, the majority's rationale is
incorrect.
The majority's first error occurs in its attempt to
interpret the word "threaten." The majority properly quotes the
following dictionary definition of the verb "threaten":
"1 : to utter threats against: promise punishment,
reprisal, or other distress to * * * 2 * * *: to
charge under pain of punishment: WARN * * * 3 : to
promise as a threat: hold out by way of menace or
warning * * * 4a : to give signs of the approach of
(something evil or unpleasant): indicate as impending :
PORTEND * * * b : to hang over as a threat : MENACE * *
* 5 : to announce as intended or possible * * *."
Webster's Third New Int'l Dictionary, 2382 (unabridged ed 1993).
From that definition, the majority draws the conclusion
that the act of threatening another can be explicit or implicit.
I agree with that conclusion. For example, if defendant had
displayed a clenched fist to Ahyek, that would satisfy the
requirement of the robbery statute that he "threaten" to use
force on another person immediately, even if he made no explicit
statement that he would strike her if she failed to comply with
his demands.
Having observed that the act of threatening may be
explicit or implicit, the majority ceases its analysis of the
definition of the term "threaten." The majority turns, instead,
to the definition of the term "threat," finds further support for
its already-stated conclusion that a threat may be explicit or
implicit, and concludes that an "implicit" threat is "something
that by its nature or relation to another announces that a
person's welfare is in danger." State v. Hall, ____ Or ____,
____, ____ P2d ____ (1998) (slip op at 7). That analysis is
flawed.
The term set forth in ORS 164.395(1) is the verb
"threaten," not the noun "threat." A verb expresses action.
Every usage in the dictionary for the verb "threaten" states that
that term describes communicative action, that is,
Webster's at 2382 (emphasis added). The emphasized portions of
the dictionary definition deserve analysis, but the majority
ignores them. Those portions of the definition demonstrate that
the statutory term "threaten" requires proof of communicative
action by defendant that, by word or conduct, utters, warns,
promises, portends, or menaces the immediate use of physical
force upon another person.
The majority's attempt to analyze the noun "threat" in
this context is misleading. The word "threat" does not appear in
the statute. The majority's effort improperly draws the court's
attention away from the statutory term that the court must
interpret.
Ultimately, the majority adopts definitional reasoning
that can only be described as circular. First, it defines
"'implicit' threat" as "something" that announces a threatening
message. The noun "threat" is a "something," but saying so does
not advance the legal interpretation of the verb "threaten." Second, the majority says that an "implicit" threat is
one that arises from something that "by its nature or relation to
another announces that a person's welfare is in danger." Hall,
____ Or at ____ (slip op at 6) (emphasis added). The majority
does not quote the illustrations that accompany the portion of
the definition of "threat" on which it bases that statement. The
full definition states:
"2 : something that by its very nature or relation to
another threatens the welfare of the latter <the
crumbling cliff was a constant [threat] to the village
below> <economic depressions constitute a major
[threat] to party hegemony--C.A.M. Ewing>."
Webster's at 2382. Those illustrations demonstrate that the
usage of "threat" on which the majority relies has nothing to do
with defining threatening conduct by a person and furnishes no
assistance in identifying the distinction, on which the majority
places heavy reliance, between an explicit and an implicit
announcement of a threat. The majority's attempt to analyze the
definition of "threat" leaves it no closer to an explanation of
why defendant's behavior meets any of the dictionary definitions
of "threaten."
Moreover, in creating its paraphrased definition of an
"implicit" threat, the majority replaces the dictionary's verb
"threaten" with the verb "announce." Those terms are synonyms.
Taken together, they illustrate my point. The statute requires
some form of communicative behavior that conveys the actor's
intention immediately to use physical force. In my view, any
word or action that announces the required message, either
explicitly or implicitly, would suffice to support a conviction.
Although the majority's definition of an implicit threat
expressly requires conduct that announces the message described
in the statute, the majority fails to apply its own definition.
The majority never identifies the word or act by defendant that
announced his intention to use force immediately during the
episode. The majority's approach simply dodges defendant's
argument and necessarily will mislead or confuse judges and
lawyers who must apply the majority's definition in the future.
There is, however, a more serious problem beneath the
surface of the majority's attempt to analyze statutory text.
Ordinarily, when it considers dictionary definitions of statutory
terms, the court evaluates all relevant definitions and endeavors
to draw meaning from all of them. The premise for that exercise
is that the definitions -- all of them -- may disclose the plain,
natural, and ordinary meaning of the statutory term in question.
If the court can discern a statutory term's plain meaning, and
nothing in the statute's context creates a plausible doubt about
whether the legislature intended that meaning, the court will
adopt that plain meaning as the correct interpretation of the
statutory term. See PGE v. Bureau of Labor and Industries, 317
Or 606, 611, 859 P2d 1143 (1993) (in analyzing statutory text,
words of common usage should be given their plain, natural, and
ordinary meaning; if the legislature's intent is clear from an
analysis of text and context, further inquiry is unnecessary).
Without explanation, the majority adopts a different
approach here. It conducts no analysis of the meaning conveyed
by each of the dictionary definitions of "threaten." As noted,
those definitions uniformly require communicative action, that
is, some act that, in this context, conveys the threat of the
immediate use of physical force on another person. Instead, the
majority selects a single definition of a different term,
"threat," i.e., "something that by its very nature or relation to
another threatens the welfare of the latter." Aside from
substituting the word "threaten" with the word "announce" in its
definition of an "implicit" threat, the majority never returns to
the long list of other definitions of "threaten" that all require
some form of communicative action to convey the threat. Instead,
the majority treats its alteration of one definition of the noun
"threat" as the plain meaning of the verb "threaten." That is
not how this court determines the plain meaning of a key term in
a statute.
The majority's approach indicates, incorrectly, that
this court will determine a statutory term's plain meaning by
examining only one dictionary usage even though other usages
listed in the dictionary are relevant and more completely and
accurately describe the term's plain meaning. The majority never
explains why it declines to consider and analyze the complete
definition of the statutory term "threaten." In short, the
majority ceases the task of statutory interpretation long before
that work is done.
One example illustrates my point. In State v.
Chakerian, 325 Or 370, 938 P2d 756 (1997), the court interpreted
the phrase "tumultuous and violent conduct" in ORS 166.015. The
court quoted and analyzed all relevant dictionary definitions for
the terms "tumultuous," "violent," and "conduct." Chakerian, 325
Or at 377-78. The court concluded that the definitions conveyed
common and well-understood meanings, and that the statutory
context confirmed that the legislature intended to adopt those
meanings. Id. at 379-80. Only after conducting that complete
analysis did the court conclude that the statute's meaning was
clear. Id. at 380.
The majority's mistake in statutory interpretation
leads to the second methodological error concerning the
assessment of substantial evidence to support the verdict. The
majority correctly concludes that "[w]hether a person implicitly
threatens another in the course of an encounter depends on the
reasonable inferences that the fact finder can draw from that
encounter." Hall, ____ Or at ____ (slip op at 6). That test
requires an evaluation of defendant's communicative actions in
the restaurant, such as his orders and gestures to Ahyek. In my
view, none of those actions explicitly or implicitly
communicated, or even referred to, any plan or intention by
defendant to use force on Ahyek, either immediately or at any
other time.
The majority points instead to facts that describe the
atmosphere of the crime, including the time of day and
defendant's manner of dress. I agree that a person's clothing
can convey information about the wearer in a variety of
circumstances (e.g., a gang affiliation), but nothing in the
record about defendant's clothing, when considered alone or in
the context of defendant's communicative actions and the time of
day, conveyed the specific threat that ORS 164.395 requires.
The majority ultimately concludes that its speculative
guesses about the potential for violence from defendant's crime
constitute evidence that defendant did threaten to use force
during his crime. I am aware of no precedent that approves the
assessment of substantial evidence of threatening conduct in that
manner, and the majority cites none.
The statutory requirement that defendant "threaten" the
immediate use of physical force calls for an evaluation of
evidence in the record about what defendant did to determine
whether he conveyed the required threat. That requirement does
not authorize the court to fabricate hypothetical scenarios about
what defendant might have done if the victim had not complied
with his directives. To state the obvious, the record contains
no evidence about other possible reactions by either defendant or
Ahyek because those reactions never happened. The majority's
claim that it is drawing "reasonable inferences" about
defendant's conduct cannot supply the missing link between the
act that the statute requires ("threatens") and the evidence in
this case. The rationale offered by the majority to support its
result fails to withstand legal analysis. The Court of Appeals
captured my point precisely:
"* * * At the very least, however, an 'implied
threat' must mean something more than the
circumstantial potential for violence that exists in
every personal theft. Otherwise, 'threatens the
immediate use of physical force upon another person'
would, as a practical matter, be read out of the
statute. Accord ORS 174.010 (in construing a statute,
a court shall not 'insert what has been omitted, or
[]omit what has been inserted').
"* * * * *
"It cannot be gainsaid that here, as in every
personal theft, there was a generic potential for
violence. That circumstantial potential is not,
however, sufficient, without more, to establish the
statutorily prescribed threat of the 'immediate use of
physical force upon another person.'"
State v. Hall, 149 Or App 358, 366-67, 942 P2d 882 (1997)
(footnote omitted).
For the reasons stated above, I conclude that the Court
of Appeals did not err in deciding that the state failed to
submit evidence from which a jury could find, beyond a reasonable
doubt, that defendant had threatened anyone with the immediate
use of physical force. Ahyek reasonably could be frightened by
defendant's criminal behavior and by the atmosphere surrounding
the incident. However, I am compelled to agree with the Court of
Appeals that that understandable fear does not serve as a
substitute for proof that defendant threatened her with the
immediate use of physical force as required by ORS 164.395(1).
I dissent.
1. The jury also found defendant guilty of other charges that are not at issue in this appeal.
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2. The question here concerns the meaning of one element of the robbery statute, ORS 164.395(1). The question is not whether Oregon's law should treat defendant's conduct as "robbery" rather than "theft," as those terms commonly might be understood. The legislature possesses broad authority to include a host of criminal activities, including defendant's conduct here, within a statutory definition of robbery if it so desires.
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