State v. Colgrove
Citation370 Or. 474, 521 P.3d 456
Date Filed2022-12-01
DocketS068372
JudgeNelson
Cited35 times
StatusPublished
Full Opinion (html_with_citations)
474
Argued and submitted November 9, 2021, resubmitted January 25; decision
of Court of Appeals affirmed, circuit courtâs judgment of conviction affirmed
in part and vacated in part, and case remanded to circuit court for further
proceedings; circuit courtâs judgment for costs of appointed counsel reversed
December 1, 2022
STATE OF OREGON,
Respondent on Review,
v.
RHONDA COLGROVE,
Petitioner on Review.
(CC 17CR57106) (CA A169952) (SC S068372)
521 P3d 456
Defendant pleaded guilty to misdemeanor driving under the influence of
intoxicants and filed a petition to enter diversion. The trial court accepted defen-
dantâs guilty plea that had been filed as part of the petition, but it withheld entry
of a judgment of conviction. Defendant failed to pay $335 in fees and to attend a
victim impact panel within the diversion period. The trial court thereafter termi-
nated the diversion agreement and entered a judgment of conviction. Defendant
appealed, challenging her conviction on the ground that the trial court had erro-
neously terminated her diversion agreement. The Court of Appeals assumed that
defendantâs challenge was reviewable under ORS 138.105(5), but concluded that
it failed on the merits. Held: ORS 138.105(5) precludes a defendant who pleads
guilty or no contest from obtaining appellate review of legal challenges to the
âconvictionâ in the judgment entered in the trial court. As used in that statute,
the term âconvictionâ refers to the trial courtâs judgmentâthat is, the judicial
determination of guilt as reflected in the judgment entered on the plea, which
encompasses intermediate trial court rulings that led to the entry of the judg-
ment containing that judicial determination.
The decision of the Court of Appeals is affirmed. The circuit courtâs judgment
of conviction is affirmed in part and vacated in part, and the case is remanded
to the circuit court for further proceedings. The circuit courtâs judgment for the
costs of appointed counsel is reversed.
On review from the Court of Appeals.*
Kyle Krohn, Deputy Public Defender, Office of Public
Defense Services, Salem, argued the cause and filed the
briefs for petitioner on review. Also on the briefs was Ernest
G. Lannet, Chief Defender.
Rolf C. Moan, Assistant Attorney General, Salem, argued
the cause and filed the brief for respondent on review. Also
______________
* On appeal from the Umatilla County Circuit Court, Paul G. Crowley and
Daniel J. Hill, Judges. 308 Or App 441,480 P3d 1026
(2021). Cite as370 Or 474
(2022) 475
on the brief were Ellen F. Rosenblum, Attorney General, and
Benjamin Gutman, Solicitor General.
Before Walters, Chief Justice, and Balmer, Flynn, Duncan,
Nelson, Garrett, and DeHoog, Justices.**
NELSON, J.
The decision of the Court of Appeals is affirmed. The cir-
cuit courtâs judgment of conviction is affirmed in part and
vacated in part, and the case is remanded to the circuit
court for further proceedings. The circuit courtâs judgment
for the costs of appointed counsel is reversed.
______________
** Nakamoto, J., retired December 31, 2021, and did not participate in the
decision of this case.
476 State v. Colgrove
NELSON, J.
This criminal case concerns the meaning of ORS
138.105(5), which provides, in part, that â[t]he appellate
court has no authority to review the validity of * * * a convic-
tion based on the defendantâs plea of guilty or no contest[.]â
Specifically, we must determine whether that statute pre-
cludes a defendant who has pleaded guilty or no contest
from obtaining appellate review of legal challenges to the
conviction in the judgment entered in the trial court. For the
reasons that follow, we conclude that such challenges are not
reviewable under ORS 138.105(5). Accordingly, we affirm
the decision of the Court of Appeals on different grounds.
I. BACKGROUND
A. DUII Diversion Statutes
This case concerns a driving under the influence of
intoxicants (DUII) conviction following the termination of
a diversion agreement. We therefore begin by providing an
overview of the statutes governing DUII diversion. See ORS
813.200 - 813.270 (governing the diversion program for per-
sons charged with DUII).
Generally, a defendant charged with DUII who
satisfies certain eligibility requirements may file a peti-
tion for diversion. ORS 813.215. The content of the petition
is governed by ORS 813.200, and, among other things, it
must include a guilty or no contest plea. If the trial court
allows a diversion petition, the judge shall â[a]ccept the
* * * pleaâ but âwithhold entry of a judgment of conviction.â
ORS 813.230(1). The petition then becomes the agreement
between the defendant and the court. ORS 813.230(2). As
part of that agreement, the court âmay require as a con-
dition of a [DUII] diversion agreement that the defendant
attend a victim impact treatment sessionâ and âpay a rea-
sonable fee to the victim impact program to offset the cost of
the defendantâs participation.â ORS 813.235.
The diversion agreement âshall be for a period of
one year after the date the court allows the petition.â ORS
813.230(3) (emphasis added). However, if a defendant needs
additional time beyond one year to complete the require-
ments of diversion, the defendant may request an extension
Cite as 370 Or 474 (2022) 477
â[w]ithin 30 days prior to the end of the diversion period.â
ORS 813.225(1). The trial court has discretion to grant an
extension if it finds that âthe defendant made a good faith
effort to complete the conditions of the diversion agreement
and that the defendant can complete the conditions of the
diversion agreementâ within the requested extension of
the diversion period. ORS 813.225(4). Generally, the court
is permitted to grant only one extension of the diversion
period, which cannot exceed 180 days from the end date of
the original one-year period.1 ORS 813.225(5), (6). âDuring
the diversion period[,] the court shall stay the [DUII] offense
proceeding pending completion of the diversion agreement
or its termination.â ORS 813.230(3).
At any time before the court dismisses the DUII
charge with prejudice, or on the courtâs own motion or the
motion of a district or city attorney, the court may issue
an order requiring the defendant to show cause why the
court should not terminate the diversion agreement. ORS
813.255(1). The order to show cause must (1) state the rea-
sons for the proposed termination; (2) set an appearance
date; and (3) specify the amount of any fees owed and, if
the fees owed are less than $500, inform the defendant that
the court may dismiss the DUII charge with prejudice if the
defendant âhas complied with and performed all of the con-
ditions of the diversion agreement and pays the remaining
amount before or on the date of the hearing.â Id. The order
must be served on the defendant and on the defendantâs
attorney, if any. ORS 813.255(2). The court âshall terminate
the diversion agreement and enter the guilty plea or no con-
test pleaâ if the defendant âfails to appear at the hearing on
the order to show cause or if, at the hearing on the order to
show cause, the court finds by a preponderance of the evi-
denceâ that the defendant no longer qualifies for diversion
under ORS 813.215 or â[t]he defendant failed to fulfill all
of the terms of the diversion agreement.â ORS 813.255(3)
(emphasis added).
However, if a defendant has fully complied with and
performed the conditions of the diversion agreement, the
1
There is an exception that is inapplicable in this case. See ORS 813.225(7)
(exception for certain members of the military).
478 State v. Colgrove
defendant is entitled to dismissal of the DUII charge with
prejudice. See ORS 813.250(1) (âAt any time after the conclu-
sion of the period of a [DUII] diversion agreement described
in ORS 813.230, a defendant who has fully complied with
and performed the conditions of the diversion agreement
may apply by motion to the court wherein the diversion
agreement was entered for an order dismissing the charge
with prejudice.â); see also City of Pendleton v. Standerfer, 297
Or 725, 731,688 P2d 68
(1984), abrogated on other grounds by State v. Probst,339 Or 612
,124 P3d 1237
(2005) (explain-
ing that â[a] defendant who has fully complied with and per-
formed the conditions of the diversion agreement is entitled
to have the charge dismissed with prejudice,â citing the sub-
stantively identical statutory precursor to ORS 813.250(1)).
Additionally, if a defendant appears at a show cause hear-
ing, âthe court shall dismiss with prejudiceâ the DUII charge
if the defendant has complied with all diversion conditions
except for the payment of $500 or less in fees, provided the
remaining fees are paid by 5:00 p.m. on the day of the show
cause hearing. ORS 813.255(5) (emphasis added).
B. The Facts
With that understanding of the statutes, we set out
the basic facts. Defendant pleaded guilty to misdemeanor
DUII and filed a petition to enter diversion. Defendantâs
diversion petition stated, in part, that she had âread
and underst[ood] all of the information in the attached
Explanation of Rights and DUII Diversion Agreementâ and
âagree[d],â among other things, to â[a]ttend a victim impact
panel as ordered by the court.â (Emphasis in original.) The
accompanying Explanation of Rights and DUII Diversion
Agreement form stated, in part, that, if defendant âfail[ed]
to fulfill the terms of the agreement by the end of the diver-
sion period, the court [would] sentence [her] without a trial.â
Defendantâs guilty plea also included a statement that
defendant understood that, if she âfail[ed] to comply with
the diversion agreement within the diversion period, the
court [would] enter a judgment of conviction on the charge
and w[ould] sentence [her].â The trial court issued an order
allowing defendantâs diversion petition, ordering her to
attend a victim impact panel, and establishing a one-year
diversion period with specific beginning and ending dates.
Cite as 370 Or 474 (2022) 479
As required by ORS 813.230, the trial court also accepted
defendantâs guilty plea that had been filed as part of the
petition, but it withheld entry of a judgment of conviction.
Defendant failed to pay $335 in fees and to attend
a victim impact panel within the diversion period. The trial
court thereafter terminated the diversion agreement and
entered a judgment of conviction, and defendant appealed.2
As pertinent here, defendant challenged her conviction on
the ground that the trial court had erroneously terminated
her diversion agreement either because the agreement had
not set a deadline to attend the victim impact panel or
because the trial court had discretion to waive the atten-
dance requirement. The Court of Appeals assumed that
defendantâs challenge was reviewable under ORS 138.105(5),
but concluded that it failed on the merits. State v. Colgrove,
308 Or App 441,480 P3d 1026
(2021). We allowed defen-
dantâs petition for review and now address the reviewabil-
ity issue that the Court of Appeals did notâviz., whether
ORS 138.105(5) precludes a defendant who pleads guilty or
no contest from obtaining appellate review of legal chal-
lenges to the conviction in the judgment entered in the trial
court.
II. REVIEWABILITY UNDER ORS 138.105(5)
A. Defendantâs Arguments
Again, ORS 138.105(5)âset out in full belowâ
provides, in part, that the appellate court has no authority
âto review the validity of * * * a conviction based on the defen-
dantâs plea of guilty or no contest[.]â Defendant advocates a
2
After the trial court entered the original judgment of conviction, it amended
that judgment in ways that are not material to our review. Although defendant
appealed the original and amended judgments, we refer to âthe judgment of con-
victionâ throughout this opinion.
Defendant also appealed a separate judgment entered on December 3, 2018,
that required her to pay a particular amount for the cost of court-appointed coun-
sel. On appeal, defendant challenged, among other things, the imposition of var-
ious fines and fees in the judgment of conviction and the imposition of the costs
of counsel in the December 3, 2018, judgment. Ultimately, the Court of Appeals
reversed the latter judgment and vacated the $255 DUII conviction fee in the
judgment of conviction, remanded the entire case for resentencing, and otherwise
affirmed. On review, defendant has not challenged those rulings in the event that
we reject her contentions related to the conviction itself. Accordingly, we do not
discuss those rulings further.
480 State v. Colgrove
narrow reading of that statute. Specifically, she contends
that the resolution of the reviewability issue reduces to
the meaning of the term âconvictionâ as it is used in ORS
138.105(5). Noting that the term is not defined for purposes
of that statute, defendant asserts that the term should be
given its legal meaning. See Ogle v. Nooth, 355 Or 570, 578,330 P3d 572
(2014) (â[W]hen words are used in the context of a legal proceeding * * * they may be used as legal terms of art, and, if so, we give precedence to their legal meanings.â). According to defendant, in Vasquez v. Courtney,272 Or 477, 480
,537 P2d 536
(1975), this court explained that the term
âconvictionâ has two accepted meanings:
âThe first refers to a finding of guilt by a plea or verdict.
The second, more technical meaning refers to the final
judgment entered on a plea or verdict of guilt. In the latter
case conviction has not been accomplished until the judg-
ment is made by the court.â
See also Websterâs Third New Intâl Dictionary 499 (unabridged
ed 2002) (defining âconvictionâ to mean âthe act of proving,
finding, or adjudging a person guilty of an offense or crimeâ).
In the context of ORS 138.105(5), defendant contends
that the term â âconvictionâ means âfinding of guiltâ â because
the term âusually has that meaning in statutes governing
criminal proceduresâsuch as appealsâwhereas it means
judgment of conviction in statutes governing collateral con-
sequences or collateral review,â and because âinterpreting
conviction as a finding of guiltâ rather than as âa judgment
of convictionâ is consistent with â[o]ther parts of ORS chap-
ter 138.â Defendant further argues that the legislative his-
tory supports that interpretation. Specifically, as defendant
explains, â[t]he evolution of Oregonâs criminal appeal stat-
utes contains little evidence that the legislature intended
to preclude appellate review of diversion terminations. And
the legislatureâs 2017 revision of the appeal statutes shows
that it intended to relax the strict limits on review after a
guilty plea that had previously applied.â Accordingly, defen-
dant reasons that, â[u]nder ORS 138.105(5), defendants
who plead guilty may not challenge their factual guilt, but
they may raise other legal challenges to the entry of a judg-
ment of convictionâincluding the erroneous termination of
diversion.â
Cite as 370 Or 474 (2022) 481
To resolve defendantâs contentions, we must inter-
pret ORS 138.105(5). When interpreting a statute, our goal is
to determine the legislatureâs intent by examining the stat-
utory text in context along with any legislative history that
appears useful to our analysis. State v. Gaines, 346 Or 160,
171-72,206 P3d 1042
(2009). As we will explain, although
defendantâs proposed construction of the term âconvictionâ
in ORS 138.105(5) to mean âfinding of guiltâ is not wholly
implausible, her construction becomes untenable when the
text of the statute is viewed in context and in the light of its
legislative history.
B. Statutory Text
We begin with the text of the statute, which was
enacted as part of Senate Bill (SB) 896 (2017). ORS 138.105(5),
provides, in full:
âThe appellate court has no authority to review the valid-
ity of the defendantâs plea of guilty or no contest, or a con-
viction based on the defendantâs plea of guilty or no contest,
except that:
â(a) The appellate court has authority to review the
trial courtâs adverse determination of a pretrial motion
reserved in a conditional plea of guilty or no contest under
ORS 135.335.
â(b) The appellate court has authority to review
whether the trial court erred by not merging determina-
tions of guilt of two or more offenses, unless the entry of
separate convictions results from an agreement between
the state and the defendant.â
(Emphases added.)
According to defendant, the legislature intended
the term âconvictionâ in the first part of that statute to mean
âfinding of guilt.â It is plausible that, as used in the phrase
âa conviction based on the defendantâs plea of guilty or no
contest,â the term âconvictionâ could have that meaning. As
noted, in Vasquez, this court identified âfinding of guilt by
a plea or verdictâ as an accepted legal meaning of the term
âconviction.â 272 Or at 480.
Further, defendant argues that â[t]he fact that ORS
138.105(5) proscribes review of challenges to both the plea
482 State v. Colgrove
and the conviction suggests that those words encompass
different thingsââthat is, â[t]he plea is the defendantâs
acknowledgment of guilt, whereas the conviction is the
courtâs finding of guilt based on the plea.â (Emphases omit-
ted.) According to defendant, if âconvictionâ means â âjudg-
ment of conviction,â a challenge to the plea would be pre-
cluded as a challenge to the conviction,â and the word âpleaâ
becomes redundant. As defendant reasons,
âinterpreting âconvictionâ to mean âfinding of guiltâ avoids
redundancy by allowing conviction and plea to mean dif-
ferent things. By precluding review of the plea, the stat-
ute bars defendants from arguing that their decision to
plead guilty was not knowing or voluntary.[3] By precluding
review of the conviction, the statute bars defendants from
disputing the courtâs finding of guilt based on the plea. But
the statute does not bar defendants from arguing that, not-
withstanding their factual guilt, some other legal imped-
iment precludes the entry of a judgment of conviction.
Defendantâs interpretation avoids redundancy and gives
full effect to each word in the statute.â
However, defendantâs proffered interpretation of
the term âconvictionâ also introduces redundancy into the
statute. That is so because, if defendant were correct that
an appellate court has authority to review all legal chal-
lenges other than challenges to the validity of the plea or the
âfinding of guiltâ in the plea, then much of ORS 138.105(5)
becomes meaningless surplusage. Specifically, there would
have been no reason for the legislature to have authorized
review of an adverse determination of a pretrial motion
reserved in a conditional plea under ORS 135.335 or a trial
court ruling not to merge determinations of guilt into one or
more separate convictions.
By contrast, as noted above, âconvictionâ also can
refer to âthe final judgment entered on a plea or verdict of
guilt.â Vasquez, 272 Or at 480; seeid. at 479
(âA âjudgmentâ in
a criminal case constitutes a judicial determination of guilt
3
See ORS 135.390(1) (âThe court shall not accept a plea of guilty or no contest
without first determining that the plea is voluntary and intelligently made.â);
Dixon v. Gladden, 250 Or 580, 585,444 P2d 11
(1968) (explaining that a valid guilty plea âmust be voluntary and must be understandingly made with knowl- edge by the party of his rightsâ); see also State v. King,361 Or 646, 666
,398 P3d 336
(2017) (same). Cite as370 Or 474
(2022) 483 based on a verdict or plea of guilty and imposes a penalty for the transgression committed by the defendant.â); see also State v. McDonnell,306 Or 579, 581-82
,761 P2d 921
(1988)
(âA plea or verdict of guilty is not synonymous with a con-
viction. * * * A âjudgment of convictionâ represents the com-
bined factual and legal determinations that the defendant
committed acts constituting a crime and that there is no
legal impediment to so declaring; it is the string that ties up
the package.â). If âconvictionâ refers broadly to the judicial
determination of guilt reflected in the judgment entered on
the plea and an appellate court has no authority to review
challenges to the âconviction,â then the need for the express
exceptions embodied in ORS 138.105(5)(a) and (b) becomes
apparent.
Further, adopting defendantâs understanding of ORS
138.105(5) would require us to conclude that the word âcon-
victionâ means different things within the statute itself.
Specifically, ORS 138.105(5)(b) also uses the term âconvic-
tionâ in the context of an exception authorizing the appellate
court to review a trial courtâs decision not to merge multiple
determinations of guilt, âunless the entry of separate con-
victions results from an agreement between the state and
the defendant.â (Emphasis added.) In that context, âconvic-
tionâ more naturally refers to the judicial determination
of guilt reflected in the judgment entered on the plea. See
ORS 137.071(2)(f) (providing that a âjudgment documentâ
shall include the courtâs determination of each charge); ORS
137.071(2)(g) (noting that a âdeterminationâ may include a
âdetermination * * * of convictionâ); see also State v. White,
346 Or 275, 279 n 4,211 P3d 248
(2009) (explaining that a
âdefendant is not formally âconvictedâ on any charge until
the trial court enters a judgmentâ).
When interpreting statutes, we generally assume
that âthe legislature intended the same word to have the
same meaning throughout related statutes unless some-
thing in the text or context of the statute suggests a con-
trary intention.â Village at Main Street Phase II v. Dept. of
Rev., 356 Or 164, 175,339 P3d 428
(2014). Further, we typi- cally presume that the legislature intended to avoid âmean- ingless surplusage.â State v. Clemente-Perez,357 Or 745, 755
,359 P3d 232
(2015); see also Vsetecka v. Safeway Stores, 484 State v. Colgrove Inc.,337 Or 502, 510
,98 P3d 1116
(2004) (âWhen, as in this
case, a statute contains multiple provisions, ORS 174.010
directs us to read those provisions, if possible, in a way that
will give effect to all of them.â). Because defendantâs pro-
posed construction of the term âconvictionâ would render
significant parts of ORS 138.105(5) meaningless and would
require us to assume that the legislature ascribed different
meanings to the term âconvictionâ within the statute itself,
we conclude as a textual matter that the legislature appears
to have intended the term to have its alternative, accepted
legal meaningâthat is, âconvictionâ refers to the judicial
determination of guilt reflected in the judgment entered on
the plea of guilty or no contest.
C. Statutory Context
1. ORS 138.105 and related statutes
Further examination of the statutory context con-
firms that conclusion. See SAIF v. Ward, 369 Or 384, 394,506 P3d 384
(2022) (âThe context of a statute includes other
provisions of the same statute and related statutes, as well
as the preexisting common law and the statutory frame-
work within which the statute was enacted.â (Internal quo-
tation marks omitted.)). As noted, ORS 138.105(5) is a single
provision enacted as part of SB 896âa comprehensive bill
addressing the procedural law governing criminal appeals
that was submitted to the legislature by the Oregon Law
Commission.
As a result of the enactment of SB 896, separate but
interrelated statutes govern âappealabilityâ and âreviewabil-
ityâ in appeals by defendants and by the state. See ORS 138.035
(governing appeals by defendants); ORS 138.105 (governing
reviewability in defendantsâ appeals); ORS 138.045 (govern-
ing appeals by the state); ORS 138.115 (governing review-
ability in stateâs appeals); see also ORS 138.005(2) (defining
âappealable,â to mean, âin reference to a judgment or order
rendered by a trial court, that the judgment or order is, by
law, subject to appeal by a partyâ); ORS 138.005(4) (defining
âreviewableâ to mean, âin reference to a particular decision of
a trial court on appeal from an appealable judgment or order,
that the appellate court may, by law, consider the decision
and resolve an issue regarding the decisionâ).
Cite as 370 Or 474 (2022) 485
As pertinent here, a defendant, among other things,
âmay take an appeal from the circuit court * * * to the Court
of Appeals from a judgment:
â(A) Conclusively disposing of all counts in the accu-
satory instrument or conclusively disposing of all counts
severed from other counts;
â(B) Convicting the defendant of at least one count;
and
â(C) Imposing sentence on all counts of which the
defendant was convicted.â
ORS 138.035(1)(a); see also ORS 138.071(1) (requiring gen-
erally that an appeal be filed within 30 days âafter the
judgment or order appealed from is entered in the registerâ
(emphasis added)). In sum, a defendant may appeal a âjudg-
mentâ that has been entered in the register that contains a
âconvictionâ and a âsentence.â
If a defendant appeals such a judgment, ORS
138.105 governs the issues that an appellate court may
review. ORS 138.105(5)âthe provision at issue in this
caseâis one of many interrelated subsections in a statute
that appears designed to function as an integrated whole.
Appellate courts are authorized âto review the judgment or
order being appealed, subject to the provisions of this sec-
tion.â ORS 138.105(1). Generally, â[e]xcept as otherwise pro-
vided in [ORS 138.105], the appellate court has authority
to review any intermediate decision of the trial court.â ORS
138.105(3) (emphasis added). To the extent that âconvictionâ
is understood to mean the judicial determination of guilt as
reflected in the judgment entered on the plea (as our textual
analysis suggested), the appellate courtâs lack of author-
ity to review âthe validity of * * * a conviction based on the
defendantâs plea of guilty or no contestâ in ORS 138.105(5)
is an exception to the general authority to review interme-
diate decisions in ORS 138.105(3). That is so because, if the
lack of authority to review a âconvictionâ in ORS 138.105(5)
did not also encompass intermediate trial court rulings that
led to the entry of the judgment containing that judicial
determination, there would have been no need to explicitly
486 State v. Colgrove
authorize review, as set out in ORS 138.105(5)(a), of âthe trial
courtâs adverse determination of a pretrial motion reserved
in a conditional plea of guilty or no contest under ORS
135.335.â
In addition, although ORS 138.105(5) precludes review
of âthe validity of * * * a conviction based on the defen-
dantâs plea of guilty or no contest,â ORS 138.105(7) gener-
ally authorizes the appellate courts to âreview any sentence
to determine whether the trial court failed to comply with
the requirements of law in imposing or failing to impose
a sentence,â subject to two exceptions. See ORS 138.105(8)
(governing reviewability of âa sentence imposed on convic-
tion of a felony committed on or after November 1, 1989â);
ORS 138.105(9) (precluding review of âany part of a sentence
resulting from a stipulated sentencing agreement between
the state and the defendantâ). The term âsentenceâ is defined
to mean âall legal consequences established or imposed by
the trial court after conviction of an offense,â including, but
not limited to, a long list of consequences.4 ORS 138.005(5)
(emphasis added). Thus, the use of the term âconvictionâ
in the definition of âsentenceâ supports our understanding
that the term was intended to refer to a judicial determina-
tion of guilt reflected in a judgment for which a trial court
could impose a sentence. See McDonnell, 306 Or at 581
(â[T]he statutory scheme concerning the conviction of crim-
inal defendants * * * include[s] the following four distinct
events: (1) defendantâs act of pleading guilty or a juryâs act
in reporting a verdict of guilty; (2) acceptance by the trial
judge of the guilty plea or verdict; (3) conviction of the defen-
dant on the plea or verdict; and (4) pronouncement and entry
of defendantâs sentence.â).
4
ORS 138.005(5) provides:
â âSentenceâ means all legal consequences established or imposed by the
trial court after conviction of an offense, including but not limited to:
â(a) Forfeiture, imprisonment, cancellation of license, removal from
office, monetary obligation, probation, conditions of probation, discharge,
restitution and community service; and
â(b) Suspension of imposition or execution of any part of a sentence,
extension of a period of probation, imposition of a new or modified condition of
probation or of sentence suspension, and imposition or execution of a sentence
upon revocation of probation or sentence suspension.â
Cite as 370 Or 474 (2022) 487
2. Preexisting common law and statutory framework
As noted, the context of a statute also includes
âthe preexisting common law and the statutory framework
within which the statute was enacted.â Ward, 369 Or at 394(internal quotation marks omitted); see State v. Cloutier,351 Or 68, 100
,261 P3d 1234
(2011) (âOur analysis of [a statute] is also informed by this courtâs prior construction of that statute or its predecessors.â); see also State v. Rusen,369 Or 677, 685
,509 P3d 628
(2022) (recognizing principle that
context includes case law existing at the time of a statuteâs
adoption). Because SB 896 retained significant features
of the preexisting common law and statutory framework
related to the concepts of âappealabilityâ and âreviewabil-
ityâ in cases involving guilty and no contest pleas, an under-
standing of that framework is an appropriate place to start
before we turn to the billâs legislative history.
In a nutshell, the task of determining whether an
appellate court had jurisdiction of an appeal in a criminal
case and, if it did, whether the appellate court had authority
to review the issues that an appellant had raised on appeal,
was complex. To resolve those issues, appellate courts were
often placed in the position of applying multiple interrelated
statutes in ORS chapter 138 that, in turn, had been inter-
preted by the courts in myriad contexts over the course of
many years. Those statutes, and the case law interpreting
them, did not always clearly distinguish between the con-
cepts of âappealabilityâ and âreviewability.â
That lack of clarity was particularly acute in the
context of cases in which defendants had pleaded guilty or
no contest and thereafter sought to appeal. In Cloutier, this
court described, in detail, the history of four interrelated
statutes in ORS chapter 138 that governed appealabil-
ity and reviewability following a guilty or no contest plea,
which were all eventually repealed by SB 896: (1) former
ORS 138.040 (2015), repealed by Or Laws 2017, ch 529, § 26
(generally governing appeals by defendants in criminal mat-
ters); (2) former ORS 138.050 (2015), repealed by Or Laws
2017, ch 529, § 26 (generally governing appealability and
reviewability following guilty or no contest pleas); (3) for-
mer ORS 138.053 (2015), repealed by Or Laws 2017, ch 529,
488 State v. Colgrove
§ 26 (governing appealable dispositions); and (4) former ORS
138.222 (2015), repealed by Or Laws 2017, ch 529, § 26 (gov-
erning appeal and review of sentences imposed for felonies
committed on or after November 1, 1989).5
As the court in Cloutier explained, in 1864, the âleg-
islature first conferred appellate jurisdiction to review a judg-
ment entered in a criminal caseâ in a statute that also per-
mitted review of intermediate trial court rulings. 351 Or at
76. Thereafter, the legislature enacted new sentencing laws in 1905, and this court was eventually asked to determine whether an appellate court could review a sentence imposed under those laws after a defendant had pleaded guilty.Id. at 77
. The court concluded that the legislature had implicitly conferred such authority in the 1864 statute that authorized appeals from judgments of conviction, âwhich the court held included convictions based on guilty pleas.âId.
(describing State v. Lewis,113 Or 359
,230 P 543
(1924), adhâd to on rehâg, 113 Or 370, 232 P 1013 (1925)). â[T]he effect of a guilty plea [was] to admit the facts as charged in the indict- ment; but that [did] not preclude a defendant who [had] so pleaded from advancing purely legal challenges to the law- fulness of the conviction or the sentence that resulted.â Id. (describing Lewis,113 Or at 361-62
). Then, in 1945, the law
changed when the legislature enacted a new statute that
explicitly gave defendants who pleaded guilty the right to
appeal, but âlimited the nature of the issues that could be
the basis of such an appeal to the excessiveness of the sen-
tence.â Cloutier, at 77-78.
In 1953, the legislature revised and codified the
stateâs then-existing statutes into the Oregon Revised
Statutes. Id. at 79. The legislatureâs original 1864 grant
of appellate jurisdiction to review a judgment entered in a
criminal case was codified at former ORS 138.040, essen-
tially unchanged from the original version. Id. And the
5
As we will explain, the history of those statutes spans a period exceeding
150 years. Statutes were enacted, repeatedly amended, and at times recodified.
Further, the statutes were interpreted by the appellate courts at various points
in between. Our typical practice is to specify the date associated with a former
statute each time we refer to it. However, for convenience, we depart from that
practice here and, throughout the remainder of this opinion, refer generally to
each former statute without further specification.
Cite as 370 Or 474(2022) 489 legislatureâs 1945 authorization of appeals from judgments on guilty pleas was codified at former ORS 138.050, also essentially unchanged from its original version.Id.
This court was later asked to address the effect of
former ORS 138.050 in State v. Jairl, 229 Or 533,368 P2d 323
(1962). In Jairl, the defendant appealed a judgment of conviction based on a guilty plea, arguing that the trial court had erred in failing to dismiss the charge against him for violation of a state statute that required the timely return of an indictment and in pronouncing sentence in the absence of counsel. The defendant contended that, because of those errors, he had been denied a fair trial as guaran- teed by the state and federal constitutions.Id. at 538
. The court explained that former ORS 138.050 prohibited âappel- late review of convictions based upon a plea of guilty except to the limited extent granted byâ the statute itself.Id. at 541
. Noting that former ORS 138.040 was the only statute with wording broad enough to encompass the defendantâs challenge, the court reasoned that the restrictions in for- mer ORS 138.050, in effect, had overruled the courtâs earlier decision in Lewis in which the court had held that former ORS 138.040 permitted defendants who had pleaded guilty to advance legal challenges to the lawfulness of the convic- tion or the sentence that resulted from the plea.Id. at 539, 541
.
Thereafter, the legislature amended former ORS
138.050 on multiple occasions to effect changes in the scope
of appealability and reviewability. See Cloutier, 351 Or at
80-90(describing 1977 and 1985 amendments to former ORS 138.050). In 1989, the legislature overhauled the stateâs sentencing laws.Id. at 90
. As a result, âappeal and review of sentences imposed for felonies committed after November 1, 1989, [was] governed by [former] ORS 138.222,â and â[for- mer] ORS 138.040 and [former] ORS 138.050 [applied] only to appeal and review of sentences for misdemeanor offenses.âId. at 91
. In addition, the legislature sought âto make clear that probation [was] among the categories of sentencing decisions that [were] subject to the appellate jurisdiction of the courts.âId.
As a result, the legislature amended both former ORS 138.040 and former ORS 138.050 by replacing the word âsentenceâ with the word âdisposition,â and then 490 State v. Colgrove enacted former ORS 138.053, which specified five types of appealable dispositions.Id. at 91-92
.
Although the scope of appellate court review of sen-
tences or dispositions in cases involving guilty or no con-
test pleas varied over the years, one aspect of the law had
remained constant: Former ORS 138.050 and former ORS
138.040 prohibited âa defendantâs challenge to a convictionâ
as opposed to a sentenceâwhen the defendant ha[d] pleaded
guilty.â State v. Clements, 265 Or App 9, 21,333 P3d 1177
(2014), rev den,356 Or 689
(2015); see also State v. Davis,265 Or App 425, 431
,335 P3d 322
(2014), rev den,356 Or 837
(2015) (â[Former] ORS 138.050 prohibits a defendant who
pleads guilty or no contest to either a misdemeanor or a fel-
ony from challenging his conviction on appeal.â (Emphasis
omitted.)).
As the foregoing history demonstrates, when the
legislature passed SB 896 in 2017, it had long been settled
that, when a defendant who had pleaded guilty or no con-
test appealed, the defendant could not challenge the convic-
tion. Over time, many legal challenges arising in different
contexts before the enactment of SB 896 were deemed to
be challenges to a defendantâs conviction that fell within
the bar just described. See, e.g., State v. Clevenger, 297 Or
234, 236,683 P2d 1360
(1984) (entry of judgment without making a proper inquiry into the adequacy of the factual basis for the plea); State v. Woodard,121 Or App 483, 485
,855 P2d 1139
, rev den,318 Or 26
(1993) (conviction for the crime to which the defendant had pleaded as opposed to another crime); State v. Balukovic,153 Or App 253, 255-56, 258
,956 P2d 250
(1998) (revocation of defendantâs deferred sentencing program for failure to comply with a purportedly unlawful condition and failure to furnish a competent inter- preter at the revocation hearing); State v. Anderson,215 Or App 643
,171 P3d 972
(2007) (lack of authority to enter a judgment of conviction where the plea had a proviso that a conviction would not be entered unless the defendant failed to satisfy a condition and the court erroneously determined that a condition had not been satisfied); State v. Brown,225 Or App 207, 208
,199 P3d 890
(2009) (acceptance of an involuntary plea); State v. Landahl,254 Or App 46, 48-49
,292 P3d 646
(2012), rev den,353 Or 788
(2013) (set aside of Cite as370 Or 474
(2022) 491 previous judgment dismissing DUII charge); Clements,265 Or App at 23
(denial of motion to withdraw plea); State v. Herrera,280 Or App 830, 832
,383 P3d 301
(2016), rev den,360 Or 852
(2017) (entry of judgment where the state had
failed to initiate revocation proceedings before the period of
conditional discharge had expired).
One legal challenge had âvexedâ the Court of
Appeals over the yearsânamely, whether âa challenge to a
trial courtâs decision not to merge multiple determinations
of guilt, resulting in the entry of a judgment reflecting mul-
tiple convictions, is a challenge to one or more of those con-
victionsâ that âcannot confer jurisdiction on [the] court in a
case in which the defendant had pleaded guilty or no con-
test.â Davis, 265 Or App at 433-34. In State v. Sumerlin,139 Or App 579, 584-85
,913 P2d 340
(1996), the Court of Appeals had ruled that such challenges were reviewable because they pertained to whether a disposition exceeded the max- imum allowable by law. Thereafter, the Court of Appeals repeatedly adhered to its decision in Sumerlin, rejecting arguments that that case had been wrongly decided. Davis,265 Or App at 434
.
In sum, at the time that the Oregon Law Commission
submitted SB 896 to the legislature for consideration in 2017,
the preexisting statutory and common law framework had
three salient features. First, a defendant who had pleaded
guilty or no contest could not obtain review of legal chal-
lenges pertaining to a conviction, but could obtain review of
challenges pertaining to a sentence, the scope of which was
governed by statute. Second, âconvictionâ was understood
broadly to encompass all decisions that led to the entry of
the judgment reflecting the trial courtâs judicial determi-
nation of a defendantâs guilt. Third, legal challenges con-
cerning merger were reviewable. As we will explainâand
contrary to defendantâs contentions that SB 896 âis more
like the 1864 lawâ on reviewability and was intended to
âpreclude[ ] review of the guilty finding but permit[ ] review
of other rulingsââthe legislative history demonstrates an
intent to retain those three aspects of the preexisting frame-
work while making some changes to the scope of review of
sentencing decisions in misdemeanor cases.
492 State v. Colgrove
D. Legislative History
The primary legislative history is a work group
report that the commission submitted to the legislature,
explaining SB 896 in detail. Exhibit 37, Senate Committee
on Judiciary, SB 896, Apr 6, 2017 (Report of the Direct
Criminal Appeals Work Group on SB 896 (2017), Oregon Law
Commission) (Criminal Appeals Report). The work group had
been tasked with âreorganizing, streamlining, and clarify-
ing existing statutory provisions.â Criminal Appeals Report
at 2. In addition, the work group âpropose[d] to codify some
case law, to modernize some older statutory provisions, and
to make a few substantive changes to the law, as outlined in
this Legislative Report.â Id. As Judge Stephen Bushongâa
Commissioner of the Oregon Law Commission and the work
groupâs chairâexplained to the legislature, the purpose of
the report was to provide âa roadmap for the practitioners
who utilize this * * * system,â because, âany time you change
a word or two in a * * * statute,â lawyers âthink * * * thereâs
some significance or whatâs the meaning of that changeâ and
the work group âwanted to explain in some detail what [it]
did and why, so that it was clear and understandable.â Audio
Recording, Senate Committee on Judiciary, SB 896, Apr 6,
2017, at 1:28:47 (testimony of Judge Stephen Bushong),
https://olis.oregonlegislature.gov (accessed Nov 16, 2022).
Although defendant points to various memoranda
in appendices attached to the report to support her conten-
tion that the work group likely intended to make legal chal-
lenges reviewable (such as, e.g., an erroneous termination
of a defendantâs diversion), the report explained that â[t]he
memoranda reflect[ed] the views of the respective authors
of the memoranda and [did] not necessarily reflect the view
of all Work Group members or the Work Group collectively.â
Criminal Appeals Report at 3. Further, each memorandum
began with a disclaimer stating, âDisclaimer: Any legal
analysis or expression of opinion is that of the author of the
memorandum and do not necessarily reflect the views of the
Oregon Law Commission, the Work Group as a whole[,] or
its members.â See, e.g., id. at 29 (boldface omitted). Because
the memoranda did not reflect the intention of the work
group or the Oregon Law Commission, and because there
is no indication that the legislature intended to depart from
Cite as 370 Or 474(2022) 493 the work groupâs official position, we focus on the text of the report itself as opposed to its appendices. See Gaines,346 Or at 166
(â[T]he court may give whatever weight it deems
appropriate to the legislative history that a party offers.â).
According to the report, âthe current statutory
scheme (and case law)â did not âalways clearly distinguishâ
between âappealabilityâ (i.e., âa circuit court decision that
the Legislature has authorized the State or the defendant
to appeal, such as a judgment of conviction and sentenceâ)
and âreviewabilityâ (i.e., âwhether the appellate court may
consider and decide requests to review the validity of any of
the myriad decisions a trial court may make along the way
to rendering an appealable judgment or orderâ). Criminal
Appeals Report at 5-6. The report explained that those con-
cepts were not congruent for a variety of reasons, including
that, in the context of cases involving guilty or no contest
pleas, âthe Legislature ha[d] disallowed appellate court
review of the trial courtâs decision to enter a judgment of
conviction for [the] crime.â Id. at 6.
As pertinent to the interpretive issue in this case,
the report explained that the primary intent behind what is
now ORS 138.105(5) was to restate existing legal principles.
Paragraph (5)(a) was âintended to restate the principle cur-
rently found in [former] ORS 138.050(1)(a)ââthat is, when a
defendant has âpleaded guilty or no contest to the offense of
which the defendant was convicted, on appeal, the appellate
court may not review the validity of the plea or the conviction,
except when the defendant, under ORS 135.335, has reserved
in writing an adverse pre-trial trial court ruling for appeal.â
Criminal Appeals Report at 20. Paragraph (5)(b) was ânew
statutory law relating to merger of determinations of guilt.â Id.
Citing the Court of Appeals decisions in Sumerlin and Davis,
the report explained that, âconceptually, merger has to do
with whether the defendant is guilty of one or more offenses.â
Id. The report further explained that paragraph (5)(b)
reflected the current âappellate practice and authorize[d]
appellate court review of a merger issue,â subject to a new
limitation precluding review âif the trial court convicted the
defendant of multiple offenses pursuant to a plea agreement
in which the defendant agreed to plead guilty or no contest to
the convictions in question.â Id. at 20-21.
494 State v. Colgrove
Further, the report identified an intent to expand
the scope of review of sentences for misdemeanor offenses,
in what became ORS 138.105(7). Criminal Appeals Report
at 21; see id. at 9 n 4 (â[T]he Work Group does intend to
change the scope of review on appeal of sentences for misde-
meanor convictions.â). Relatedly, the report explained that
the work group had broadly defined the term âsentenceâ
to mean âall of the legal consequences a court may impose
based on a conviction, including post-judgment events such
as probation revocationâ and that the nonexclusive list of
legal consequences specifically delineated in what is now
ORS 138.005(5)(a) and (b) were âderived from the list of legal
consequences described in ORS 137.071(1)(g) that a judge
may impose and, if so imposed, must be in the judgment
of conviction,â and âthe list of âdispositionsâ presently found
in [former] ORS 138.053(1),â respectively. Criminal Appeals
Report at 9.
In sum, consistently with the preexisting common
law and statutory framework, the work group intended to
ârestateâ the principle that a defendant who had pleaded
guilty or no contest could not obtain review of legal chal-
lenges to the judicial determination of guilt reflected in the
judgment on appeal, which encompassed intermediate trial
court decisions, as evidenced by the exception identified for
review of adverse pretrial rulings under ORS 135.335.6 The
work group also acknowledged that, conceptually, âmergerâ
relates to whether a trial court may convict a defendant of
one or more offenses, and it created an exception authoriz-
ing review, which essentially codified the existing appellate
practice. Finally, the work group retained appellate court
6
See also Criminal Appeals Report at 14 (âHistorically, Oregon law has
imposed limits on a defendantâs opportunity to appeal when a conviction is based
on a plea of guilty or no contest. However, there are exceptions. [Former] ORS
138.050(1) currently allows a defendant to appeal from a judgment of convic-
tion based on a guilty or no contest plea if, under ORS 135.335, as a part of
the defendantâs plea, the defendant has reserved in writing an adverse pre-trial
court ruling for appeal. [Former] ORS 138.050(1) also allows an appeal where the
defendant wishes to take issue with the sentence imposed by the trial court.â);
id. at 20 (discussing the provision of the bill that became ORS 138.105(3), the
general authorization to review âany intermediate decision of the trial courtâ;
explaining that the text of that provision includes âa qualifierââexcept as pro-
vided in this sectionââbecause, under current law, there are limits on the appel-
late courtsâ authority to review intermediate trial court decisions, and the bill
carries forward those limitationsâ (brackets omitted)).
Cite as 370 Or 474 (2022) 495
authority to review challenges to sentencesâthe legal con-
sequences that a court may impose after convictionâbut
expanded the scope of that sentence review in the context of
misdemeanor cases.
Defendant contends, however, that the legislative
history indicates that âthe legislature did not retain the limits
of former ORS 138.050 or anything like them.â Specifically,
defendant points to aspects of the legislative history indi-
cating that the legislature understood that SB 896 âwould
expand appellate review in misdemeanor cases.â From
that history, defendant reasons that it should âcome as no
surprise that the bill would allow review in misdemeanor
cases that were not reviewable before, such as DUII
diversion cases.â See, e.g., Audio Recording, Senate Floor
Debate, SB 896, June 14, 2017, at 35:16 (statement of Sen
Floyd Prozanski), https://olis.oregonlegislature.gov (accessed
Nov 16, 2022) (âThe measure provides more opportunity for
the appeal of misdemeanor cases, but, at this point, weâre not
sure exactly what impact it may have or not have. The num-
ber of appeals will increase.â). However, our understanding
of the legislative history is different than defendantâs.
Defendantâs contention finds its origin in discus-
sions concerning the expansion of the scope of review of mis-
demeanor sentences. The fiscal impact statement associated
with SB 896 indicated that the impact was âindeterminateâ
and explained that â[t]he Department of Justice (DOJ) [had
noted] that[,] because the measure provides for more oppor-
tunity to appeal misdemeanor cases, there is likely to [be]
some impact on the Appellate Divisionâs Defense of Criminal
Convictions program.â Fiscal Impact Statement, SB 896,
Apr 5, 2017.
In addressing the potential, indeterminate fiscal
impact, then-Appellate Commissioner James W. Nassâ
who had authored the Criminal Appeals Report as the
work groupâs reporterâacknowledged that the change in
the scope of review of misdemeanor sentences could lead to
an increase in the number of cases. Audio Recording, Joint
Committee on Ways and Means Subcommittee on Public
Safety, SB 896, June 5, 2017, at 22:58 (testimony of James
W. Nass), https://olis.oregonlegislature.gov (accessed Nov 16,
496 State v. Colgrove
2022). However, Nass explained that such an increase was
ânot likelyâ because misdemeanor sentences cannot exceed
one year in length and cases challenging such sentences
therefore âusually become mootâ while an appeal is pending.
Id. at 23:02. According to Nass, the expansion of the scope of
review of sentences in misdemeanor cases
âwas one of the contentious issues that the representatives
of the district attorneysâ office[s], defense bar, and then the
Office of Public Defense Services and Solicitor Generalâs
Office * * * discussed and worked their way through. I was
not a party to that, but the representation at the end of the
day was that they all could live with this.â
Id. at 24:38. In conclusion, Nass commented, the work group
âcertainly would not have advocated for making a change in
the law if [the group] thought it would substantially increase
the courtâs workload.â Id. at 24:05. Aaron Knott, Legislative
Director for the Department of Justice, essentially expressed
agreement with Nassâs assessment of the potential fiscal
impact, id. at 27:35, as did Ernest Lannet, Chief Defender
of the Criminal Appellate Section of the Appellate Division
of the Office of Public Defense Services and a member of the
work group, who testified that âCommissioner Nass has * * *
represented what has gone on and the process and where we
ended up,â id. at 30:38.
In the light of that history, defendant is correct
that the legislature understood that SB 896 could cause an
increase in the number of appeals in misdemeanor cases.
However, the history clearly demonstrates that any such
increase would be attributed to the expansion of the scope
of review of sentences in appeals involving misdemeanors.
Thus, defendantâs reliance on that history to conclude that
the legislature intended to permit defendants who plead
guilty or no contest to challenge their convictions on appeal
is misplaced.
The foregoing analysis demonstrates that defen-
dantâs proposed reading of âconvictionâ in ORS 138.105(5)
to mean âfinding of guiltâ is untenable when the text is
examined in context and in light of its legislative history.
We conclude that the legislature intended the term âcon-
victionâ to refer to the trial courtâs judgmentâthat is, the
Cite as 370 Or 474 (2022) 497
judicial determination of guilt as reflected in the judgment
entered on the plea, which encompasses intermediate trial
court rulings that led to the entry of the judgment contain-
ing that judicial determination. Accordingly, we further
conclude that the legislature intended for ORS 138.105(5) to
preclude a defendant who has pleaded guilty or no contest
from obtaining appellate review of legal challenges to the
conviction in the judgment entered in the trial court.
III. CONSTITUTIONAL CHALLENGES
That brings us to defendantâs final contentionâviz.,
that âinterpreting ORS 138.105(5) to preclude review in
this case would render the statute unconstitutionalâ under
the state and federal constitutions, and that, to avoid such
a constitutional problem, we should adopt her construction
of ORS 138.105(5). See State v. Kitzman, 323 Or 589, 602,920 P2d 134
(1996) (â[W]hen one plausible construction of a statute is constitutional and another plausible construction of a statute is unconstitutional, courts will assume that the legislature intended the constitutional meaning.â). We turn first to defendantâs arguments concerning the state consti- tution. See Sterling v. Cupp,290 Or 611, 614
,625 P2d 123
(1981) (âThe proper sequence is to analyze the stateâs law,
including its constitutional law, before reaching a federal
constitutional claim.â).
A. Oregon Constitution
Relying on Article VII (Amended), section 3,7 defen-
dant contends that âthe legislature can control how a party
initiates an appeal, but it cannot limit the courtâs powers
7
Defendantâs arguments are based primarily on the second and third sen-
tences of Article VII (Amended), section 3, which provide:
â[2] Until otherwise provided by law, upon appeal of any case to the supreme
court, either party may have attached to the bill of exceptions the whole testi-
mony, the instructions of the court to the jury, and any other matter material
to the decision of the appeal. [3] If the supreme court shall be of opinion,
after consideration of all the matters thus submitted, that the judgment
of the court appealed from was such as should have been rendered in the
case, such judgment shall be affirmed, notwithstanding any error committed
during the trial; or if, in any respect, the judgment appealed from should be
changed, and the supreme court shall be of opinion that it can determine
what judgment should have been entered in the court below, it shall direct
such judgment to be entered in the same manner and with like effect as
decrees are now entered in equity cases on appeal to the supreme court.â
498 State v. Colgrove
and duties on appealâ and that appellate courts have âthe
power and duty to review the lawfulness of trial court judg-
ments whenever the legislature has authorized a party to
appeal the judgment.â According to defendant, â[t]he distinc-
tion between appealability and reviewability is keyâ:
âWhen the legislature makes decisions about appealabil-
ity, its power over the appellate process is at is greatestâit
alone decides whether to authorize a party to appeal. A dis-
pute about whether a particular judgment or order should
be appealable is a dispute between the legislature and the
party who wishes to appeal, not the judiciary.
âBut when the legislature makes decisions about review-
ability, its power is at its weakestâit is limiting the power
of the court to adjudicate a case that is properly before the
court. A dispute over whether an appellate court should
affirm or reverse a judgment is a dispute between the par-
ties and the court, in which the legislature should have lit-
tle or no role.â
However, as we will explain, defendantâs argument rests on
a faulty premiseânamely, that the right to appeal a judg-
ment or order implicates only appealability.
Contrary to defendantâs position, in State v. Nix, 356
Or 768, 772,345 P3d 416
(2015), we explained that the right to appeal, which is a legislative prerogative, encompasses both âappealabilityâ and âreviewabilityâ: âThere is no inherent right to an appeal. State v. McAnulty,356 Or 432, 438
,338 P3d 653
(2014)[, cert den,577 US 829
(2015)]. Instead, the right to appeal must be statutorily authorized. Waybrant v. Bernstein,294 Or 650, 653
,661 P2d 931
(1983). The statute authorizing an appeal may include limitations on the issues that may be reviewed in an appeal. Logsdon v. State and Dell,234 Or 66, 70
,380 P2d 111
(1963).â See also State v. Endsley,214 Or 537, 546
,331 P2d 338
(1958) (â âThe legislature * * * has the power to define in what cases, and under what circumstances, and in what manner, an appeal may be taken to this court.â â (Quoting City of Portland v. Gaston,38 Or 533, 535
,63 P 1051
(1901)). Before the enactment of SB 896, statutes authorizing an appeal often governed both âappealabilityâ and âreviewability,â and Cite as370 Or 474
(2022) 499
the grants were often coextensive. The legislatureâs decision
in SB 896 to express those concepts in more than one statute
does not affect the long-standing principle that the legisla-
ture may limit the issues that a court may review on appeal.
Defendant further contends that Article VII
(Amended), section 1, in providing that â[t]he judicial power
of the state shall be vested in one supreme court and in
such other courts as may from time to time be created by
law,â thus prohibits legislative limitations on reviewabil-
ity because such statutes âinterfere[ ] with the judiciary
in a manner which prevents or obstructs the performance
of its irreducible constitutional task, adjudication.â Circuit
Court v. AFSCME, 295 Or 542, 550,669 P2d 314
(1983). In AFSCME, however, we explained that â[t]here can be no question that the legislature may enact laws prescribing the exercise of judicial powers.â295 Or at 549
. âOnly an outright hindrance of a courtâs ability to adjudicate a caseâ or âthe substantial destruction of the exercise of a power essential to the adjudicatory function will prompt an [A]rticle VII, section 1[,] violation.âId. at 551
(internal citations omitted). We do not understand ORS 138.105(5) to affect the courtâs adjudicative function. The limits on review in that statute affect what issues the court is authorized to review, not how the court may resolve them. Cf. City of Damascus v. State of Oregon,367 Or 41, 68-69
,472 P3d 741
(2020) (declining leg-
islatureâs instruction to decide reviewable issues in a partic-
ular order). Although defendant is correct that an appellate
court will âaffirmâ a judgment to the extent that an issue is
unreviewable, that reflects nothing more than the courtâs
understanding of the proper disposition when an issue is not
within the scope of review on appeal. Thus, we conclude that
ORS 138.105(5) does not violate the Oregon Constitution as
defendant contends.
B. United States Constitution
Defendant also contends that, if ORS 138.105(5)
bars review of a decision to terminate diversion, the statute
violates the Fourteenth Amendment to the United States
Constitution, which provides that â[n]o State shall * * *
deprive any person of life, liberty, or property, without due
process of law; nor deny to any person within its jurisdiction
500 State v. Colgrove
the equal protection of the laws.â We have considered defen-
dantâs arguments and reviewed the cases she has cited in
support of them. Ultimately, defendant has not presented
a sufficiently well-developed argument to persuade us that
the statute is unconstitutional.
IV. CONCLUSION
We have examined the text of ORS 138.105(5) in
contextâwhich included a comprehensive review of the pre-
existing common law and statutory framework within which
the statute was enactedâalong with the statuteâs legislative
history. Having done so, we conclude that ORS 138.105(5)
precludes a defendant who pleads guilty or no contest from
obtaining appellate review of legal challenges to the âconvic-
tionâ in the judgment entered in the trial court. As used in
that statute, the term âconvictionâ refers to the trial courtâs
judgmentâthat is, the judicial determination of guilt as
reflected in the judgment entered on the plea, which encom-
passes intermediate trial court rulings that led to the entry
of the judgment containing that judicial determination.
The practical effect of the reviewability bar in ORS
138.105(5) will vary depending on context. In the context
of DUII diversion, ORS 138.105(5) precludes a defendant
from obtaining direct appellate review of legal rulings made
during the lengthy post-plea diversion process. However, it
appears that, if a trial court dismisses a defendantâs DUII
charge, the state is permitted to appeal and obtain review
of the courtâs post-plea rulings that led to the dismissal.
This case highlights that distinction, which appears to be
a function of the interrelationship between the DUII diver-
sion scheme and the law governing criminal appeals. The
inability of a defendant to obtain direct appellate review
of a trial courtâs post-plea legal decisions during the DUII
diversion process is curious, particularly when the legisla-
ture has enacted a detailed statutory scheme that affords
DUII defendants various rights and, in some circumstances,
imposes duties on the trial courts. Now that the practical
interrelationship between the DUII diversion scheme and
the law governing criminal appeals is clearly in focus, the
legislature, if it chooses to do so, can revisit and recalibrate
its enactments and permit defendants who plead guilty or
Cite as 370 Or 474 (2022) 501
no contest to DUII to challenge on direct appeal the legal
rulings that were made as part of the post-plea diversion
process as long as the law that it enacts is consistent with
any limits imposed by state and federal law.
The decision of the Court of Appeals is affirmed.
The circuit courtâs judgment of conviction is affirmed in part
and vacated in part, and the case is remanded to the circuit
court for further proceedings. The circuit courtâs judgment
for the costs of appointed counsel is reversed.