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Full Opinion
This case involves a challenge to a juvenile courtâs decision to waive its jurisdiction over a 13-year-old boy who was alleged to have committed aggravated murder. Under the relevant statutes, ORS 419C.352 and ORS 419C.349, a youth under the age of 15 who is alleged to have committed murder may be waived into adult court only if, at the time of the conduct, he or she âwas of sufficient sophistication and maturity to appreciate the nature and quality of the conduct involved.â In this case, based on evidence suggesting that youth was of âaverageâ sophistication and maturity for his age and was âjust as effectiveâ as peers of his age in understanding that his conduct was wrong, the juvenile court found that the statutory âsophistication and maturityâ requirement had been satisfied. The Court of Appeals affirmed in an en banc decision, holding that the âsophistication and maturityâ provision requires only an awareness of the physical nature and criminality of the conduct at issueâa test that generally has been considered sufficient to establish criminal capacity. State v. J. C. N.-V., 268 Or App 505, 539, 342 P3d 1046 (2015). As discussed below, we agree with youth that the âsophistication and maturityâ requirement is more demanding. Accordingly, we reverse the judgment of the Court of Appeals and the decision of the juvenile court, and remand the case to the juvenile court for further proceedings in accordance with this opinion.
I. FACTUAL BACKGROUND
Youth was 13 years and eight months old when he allegedly participated in a violent murder and robbery. When he was taken into custody, youth was deemed to be within the exclusive jurisdiction of the juvenile court. ORS 419C.005(1); ORS 419C.094. The state, however, petitioned the juvenile court to waive youth into Washington County Circuit Court so that he could be tried as an adult for, among other things, aggravated murder, ORS 163.095.
At a hearing on the stateâs petition, the parties presented evidence addressing the requirements for waiver. To show that youth possessed âsufficient sophistication and maturity to appreciate the nature and quality of the conduct
The state also relied on an evaluation of youth submitted by a psychologist, Dr. Sebastian. Sebastianâs report acknowledged youthâs immaturity. She reported that, on a well-accepted âSophistication-Maturity Scaleâ designed for use by courts in making waiver decisions, youth was immature in many ways: he âha[d] not developed an internal locus of control,â he was âinfluenced and led by older youth,â and his âself-concept [was] not yet solidly developed.â His âmoral development [was] still immature in that he c[ould] identify the impacts of his behavior on his immediate family * * * but he was unable to appreciate the impact of his behavior on his victims.â Sebastianâs conclusion, however, was that youth exhibited average sophistication and maturity for his age and that he understood that his conduct was wrong:
*564 âBy structured interview, testing and collateral dat[a], it is this examinerâs opinion that [youth] is as sophisticated and mature as one might expect of a thirteen/fourteen-year old. In other words, he is average in sophistication and maturity for his age. Using records, testing and interview it is clear this young man has the ability to: (1) think independently, (2) understand behavioral norms and expectations of adolescents in the larger picture, (3) weigh the risks and benefits of his action, (4) demonstrate age appropriate social skills, (5) anticipate the consequences of his actions, [and] (6) discern which of his behaviors are antisocial. When compared to his age mates, he is just as effective or more effective (because of his strong cognitive ability) in understanding that his crime was wrong and identifying alternatives to his actions. He is less able than his peers at understanding his emotions, resolving conflicts effectively and resisting the influence of other youth.â
To counter the stateâs contention that, at the time of the murder, youth had sufficient âsophistication and maturity to appreciate the nature and quality of [his] conduct,â youth presented neuro-scientific evidence about the limitations of adolescent brains in relation to those of adults. An expert, Dr. Nagel, testified about the undeveloped nature of the prefrontal cortex in adolescents, and about how that neurological difference makes it harder for adolescents to access the brainâs higher level, logical functions. Nagel also testified that not only do adolescents thus remain deficient in higher level thinking and decision-making, but the onset of puberty causes additional neurological âdisequilibriumâ by âturning up the volumeâ on the brainâs emotional and reward centers. The result, Nagel testified, is that adolescents have significantly more trouble than both adults and younger children in making moral choices in emotionally-charged or social reward-based situations. Although adolescents may have the capacity to understand the act of killing someone in a cold situation, Nagel explained, that capacity is easily overridden in emotionally-laden situations.
Youth also presented the report of a psychologist, Dr. Bolstad, who had performed an intensive examination of youth and his history. Bolstad concluded that cognitively and in most other respects youth was âaverageâ or ânormalâ for a 13-year-old. Bolstad noted, however, that young
Bolstad also noted that, because of their immature brains, 13-year-olds generally lack sophistication in terms of understanding abstract principles and have difficulty in weighing alternatives and in anticipating the consequences of their actions and decisions. Bolstad added that, because empathy and remorse require abstract thinking, 13-year-olds generally have limitations in those areas as well. He opined that much of the deficits in empathy and remorse that he and others had observed in youth was a product of his young age. He suggested, too, that a family culture of not talking about feelings and youthâs own personal strategies for distracting himself from difficult feelings also might play a role in those deficits. When pressed to speak to the âsophistication and maturityâ requirement of ORS 419C.349(3), Bolstad seemed to acknowledge that, at the time that youth participated in the murder, he could understand that what he was doing was against the law and that it potentially was going to harm someone; he opined, however, that, although youth thus could appreciate the nature of the crime at some level, he could not do so âat a level of having empathy because * * * thatâs a much more challenging task for a 13-year-old with an immature brain.â Bolstad concluded that the âcognitive deficitsâ associated with the typically undeveloped brain of adolescents âlikely would have interfered with [youthâs] capacity to appreciate the nature and quality of the conduct involved.â
The parties also offered evidence on another requirement for waiverâthat the juvenile court find that retaining jurisdiction over the youth would not serve âthe best interests of the youth and of society,â ORS 419C.349(4). That evidence addressed the considerations identified in the
After hearing the partiesâ evidence, the juvenile court granted the stateâs petition to waive youth into adult court. As required by ORS 419C.355, the court issued written findings in support of the required determinations under ORS 4190.349(3) and (4). Although the juvenile courtâs findings suggest some confusion about the significance of the determination required by ORS 419C.349(3),
âdemonstrate [d] a degree of maturity consistent with Youthâs biological age at the time of the event, and in several respects reflect [ed] a degree of maturity consistent with an older youth. Youthâs response to the police in the interview was coherent and responsive. Youth was able to respond to questions of motivation and intent, explain his behavior, and the decisions behind his conduct. * * * Youth was aware of the criminality of his conduct and told police he did not want to âget in troubleâ or âgo to jail.â Although Youthâs decisions were tragically flawed, his statements to police demonstrate awareness regarding the nature of the criminal act, the degree of his participation in the criminal act, and an awareness of the consequences of the criminal act if apprehended by authorities.â
In considering the issue of whether retention of the juvenile courtâs jurisdiction over youth was in the best interests of youth and of society, ORS 419C.349(4), the juvenile court paid considerable attention to youthâs history of unlawful and sometimes violent conduct, beginning at the age of nine. It also contrasted youthâs behavioral difficulties in
Youth appealed the judgment and order of waiver,
In an en banc decision, the Court of Appeals rejected youthâs interpretation of ORS 4190.349(3) along with youthâs ultimate contention that the juvenile courtâs decision was in error. It opined that the legislature had drawn the provisionâs ânature and qualityâ wording from the common-law test for criminal capacity as it relates to the insanity defense, which has been held to require only that the person understand the physical nature and criminality of the act.
II. THE STATUTE AND THE PARTIESâ ARGUMENTS
Youth is eligible for waiver under ORS 419C.352, which provides:
âThe juvenile court, after a hearing, * * * may waive a youth under 15 years of age at the time the act was committed to circuit court for prosecution as an adult if:
â(1) The youth is represented by counsel during the waiver proceedings;
â(2) The juvenile court makes the findings required under ORS 419C.349(3) and (4); and
*570 â(3) The youth is alleged to have committed an act or acts that if committed by an adult would constitute one or more of the following crimes;
â(a) Murder or any aggravated form thereof * * *;
â(b) Rape in the first degree * * *;
â(c) Sodomy in the first degree * * *; or
â(d) Unlawful sexual penetration in the first degree [.] â
(Emphasis added.) Subsection (2) of ORS 419C.352 refers to provisions from a different waiver statute, ORS 419C.349, that authorizes waiver of youths â15 years of age or older at the time of the commission of the alleged offenseâ who have committed any one of a number of specified criminal actsâbut only if
â(3) The youth at the time of the alleged offense was of sufficient sophistication and maturity to appreciate the nature and quality of the conduct involved', and
â(4) The juvenile court, after considering the following criteria,5 determines by a preponderance of the evidence that retaining jurisdiction will not serve the best interests of the youth and of society and therefore is not justified.â
The state contends that ORS 419C.349(3) requires that a youth have âenough knowledge of the world and enough of the qualities associated with a normal adult that the youth can understand what he physically did and that it was wrong.â So understood, the state acknowledges, the requirement sets a low threshold, based on historical notions of criminal capacity, that only a few intellectually challenged adolescents would be expected to fail. Generally, the state asserts, ORS 419C.349(3) is a rule of inclusion, and, therefore, youths of average abilities can be expected to meet the statutory standard.
Youth, on the other hand, argues that the provision sets a higher bar, permitting adult prosecution only of those juveniles who possess greater maturity and sophistication than the average adolescentâan adult-like ability to appreciate the gravity and wrongfulness of their conduct and its consequences on a deeper intellectual and emotional
III. LEGAL BACKGROUND
Before we analyze the partiesâ arguments, we think it helpful to describe the relevant legal framework in place at the time that the legislature enacted ORS 419C.349, along with the changes that the legislature made in that framework. That legal framework includes the common-law and statutory standards for determining criminal capacity and the statutes defining the juvenile courtâs jurisdiction and governing the waiver of that jurisdiction.
A. Criminal Capacity
In 1985, when ORS 419C.349 was enacted, a youth could be considered lacking in criminal capacity either because the youth was too immature to be held criminally responsible or because the youth had a mental disease or defect that constituted a defense to criminal responsibility. The concepts are similar but their origins and the particular terms used to describe them are somewhat different.
1. Immaturity
At common law, the law used a childâs age to assist in determining whether the child was too immature to have criminal capacity, distinguishing between children under and over the age of 14. Children under the age of 14 were presumed to lack criminal capacity that would justify holding them criminally responsible for their actions. For children under seven, that presumption was conclusive; for children between the ages of seven and 14, the presumption could be rebutted in individual cases. Wayne R. LaFave, 2 Substantive Criminal Law § 9.6(a) (2d ed 2003); State v. Nice, 240 Or 343, 345, 401 P2d 296 (1965); State v. Ewing, 174 Or 487, 506, 149 P2d 765 (1944). For the latter class of children, a jury was required to decide whether the child was âin possession and exercise
In 1971, the Oregon legislature codified the defense of immaturity, making the presumption of lack of criminal capacity conclusive for children who were under the age of 14 when the conduct occurred. ORS 161.380 (1971). The 1971 statute provided that a person being tried âin a court of criminal jurisdiction,â i.e., as an adult, was not âcriminally responsibleâ for any conduct that occurred when the person was under 14 years of age.
2. Insanity
At common law, the insanity defense was first described in an 1843 case, MâNaghtenâs Case, 10 Clark & Fin 200, 8 Eng Rep 718 (1843). The original MâNaghten rule, which early Oregon cases often quoted verbatim, set out a two-part test, one having to do with knowledge of the ânature and qualityâ of the act and the other having to do with the actorâs knowledge of the actâs wrongfulness:
âIf at the time of committing an act, the party was laboring under such a defect of reason from disease of the mind as not to know the nature and quality of the act he was doing, or if he did know the nature and quality thereof, that he did not know that he was doing what was wrong, he should not be held responsible under the criminal law.â
State v. Layton, 174 Or 217, 226, 148 P2d 522, cert den, 323 US 728 (1944) (emphasis added). See also State v. Wallace, 170 Or 60, 78, 131 P2d 222 (1942) (same); State of Oregon v. Zorn, 22 Or 591, 597, 30 P 317 (1892).
âA person is guilty except for insanity if, as a result of mental disease or defect at the time of engaging in criminal conduct, the person lacks substantial capacity either to appreciate the criminality of the conduct or to conform the conduct to the requirements of the law.â
B. Juvenile Court Jurisdiction and Waiver
1. Before 1985
Prior to 1959, juveniles, i.e., persons under 18 years of age, could be prosecuted in courts of criminal jurisdiction provided that they were of sufficient maturity to be criminally responsible. Beginning in 1907, however, juveniles also were subject to the jurisdiction of separate juvenile courts which emphasized rehabilitation rather than crime control. Reynolds, 317 Or at 567-68 (describing history). In 1959, the legislature gave those separate juvenile courts exclusive jurisdiction over juveniles and specified that adjudication by a juvenile court was not a criminal conviction. Or Laws 1959, ch 432, §§ 2, 36. Still, under the 1959 Juvenile Code, any juvenile 16 or older at the time of a âremandâ hearing could be âremandedâ to circuit court for prosecution as an adult on any criminal charge, based solely on a juvenile courtâs determination that retaining jurisdiction would not serve the childâs best interests. See ORS 419.533 (1983) (providing for waiver of any youth 16 years old or older upon a finding by the juvenile court that retaining jurisdiction would not serve the best interests of the child).
As noted, in 1971, the legislature adopted ORS 161.380 (1971), providing that juveniles under age 14 at the time of an offense could not be held criminally responsible for the offense. That immaturity statute set a practical limit on a juvenile courtâs âremandâ authority. Even if a juvenile were 16 years old at the time of a remand hearing,
2. Legislative changes in 1985
In 1985, the legislature enacted the waiver provision at issue in this case. Or Laws 1985, ch 631, § 1. The 1985 statute, now codified as ORS 419C.349(3),
Thus, under the 1985 statute, youths who were 14 at the time of an act remained immune from criminal
IV. ANALYSIS
Having set out the foregoing background, we return to the issue at hand. To determine what the legislature intended when it enacted ORS 4190.349(3) in 1985, we examine the statutory text in its context, along with its legislative history. State v. Gaines, 346 Or 160, 171-73, 206 P3d 1042 (2009).
A. Text
We begin with the statuteâs text, examining the ordinary meanings of its terms. In this case, the relevant text resolves naturally into three parts, which we analyze separately. The text requires that a youth have (1) âsufficient sophistication and maturityâ to (2) âappreciateâ the (3) ânature and quality of the conduct involved.â
The words in part one of the text describe adult-like qualities. The term âmaturity,â when viewed in isolation, describes a quality that is associated with normal, well-adjusted adults. See Websterâs Third New Intâl Dictionary 1395 (unabridged ed 2002) (defining âmaturityâ as, among other things, âhaving and expressing the mental and emotional qualities that are considered normal to an adult socially adjusted human beingâ). âSophisticationâ is similar, but carries with it a connotation of heightened worldliness and discernment.
Part two of the text requires that the youth have the ability to âappreciateâ the nature and quality of the conduct at issue. The word âappreciateâ ordinarily means to âcomprehend [it] with knowledge, judgment and discriminationâ or âto judge [it] with heightened perception or understanding.â Websterâs at 105.
Part three of the text describes the object of the youthâs appreciationâthe ânature and quality of the conduct involved.â In ordinary parlance, both ânatureâ and âqualityâ refer to a thingâs âessential character.â See Websterâs at 1507, 1858 (defining ânatureâ as, among other things, âthe essential character or constitution of somethingâ and defining âqualityâ as âa peculiar and essential characterâ). In this instance, the âthingâ is the conduct that constituted the alleged offense.
Based on the dictionary definitions of the words used in ORS 419C.349(3), the state argues that that provision requires that a youth have a level of understanding equivalent to the common-law concept of criminal capacity. The state uses the term âcriminal capacityâ to mean a minimal level of understanding of limited aspects of a criminal actâa mental grasp of the physical nature of an act and its wrongfulness. Thus, taking an example from LaFave, the state uses the term criminal capacity to mean that a person knows that he or she is holding a flame to a building, that holding a flame to a building will make it burn, and that burning a building is wrong. LaFave, 1 Substantive Criminal Law § 7.2(b)(3). In making that argument, the state acknowledges that the words âmaturityâ and âsophisticationâ describe adult-like qualities. However, focusing on the qualifying word âsufficient,â and the object of the understanding, the ânature and qualityâ of the conduct, the state contends that the statute requires no more than an adult-like mental grasp of the physical nature of an act and its wrongfulness.
Second, the understanding necessary to establish criminal capacityâa mental grasp of the physical nature of an act and its criminalityâis a basic awareness that would be better described by the word âknowâ than the word âappreciate.â As noted, 359 Or at 577, the word âappreciate,â describes an ability to comprehend with heightened understanding and judgment. The word âknowâ describes an awareness of a fact or concept.
Based solely on their ordinary meanings, the legislatureâs choice of the words âsophistication,â âmaturity,â and âappreciateâ suggests an intent to require an adult-like understanding of the nature and quality of an act that is beyond what ordinarily would be associated with criminal capacity.
B. Context
In interpreting a statute we also consider context. Gaines, 346 Or at 171. A statuteâs context includes other
1. The Insanity Defense
The state argues that the statuteâs use of the words ânature and qualityâ is informed by the use of those terms in the insanity defense. As noted, 359 Or at 573, the insanity defense was first described in an 1843 case, MâNaghtenâs Case, 10 Clark & Fin 200. And, as also noted, 359 Or at 573, the original MâNaghten rule set out a two part test, one having to do with knowledge of the ânature and qualityâ of the act and the other having to do with the actorâs knowledge of the actâs wrongfulness:
âIf at the time of committing an act, the party was laboring under such a defect of reason from disease of the mind as not to know the nature and quality of the act he was doing, or if he did know the nature and quality thereof, that he did not know that he was doing what was wrong, he should not be held responsible under the criminal law.â
The state argues that the statuteâs use of the words ânature and qualityâ is drawn from that test and thus indicates an intent to require a minimal showing of criminal capacity as the state explains that concept.
As an initial matter, we note that, although the phrase ânature and qualityâ was used in MâNaghten to refer narrowly to the nature of the act and its physical consequences, later cases and commentators suggested (in an era when psychiatry was expanding notions of mental incapacity) that the phrase was not so limited. For example, some suggested that the phrase âgives important emphasis to the realization of the wrongfulness of the act,â Abraham S. Goldstein, The Insanity Defense 50-51.(1967); State v. Esser, 16 Wis 2d 567, 115 NW2d 505, 521 (1962). Oregonâs most
We agree that the words ânature and qualityâ may well have roots in the MâNaghten rule and that that context is helpful to understanding what we have denominated as part three of the statutory phraseâthe object of the youthâs appreciation. However, we are not persuaded that, when it enacted ORS 419C.349(3), the legislature intended to use that phrase to require only the limited understanding of an act and its consequences described in the MâNaghten rule. We think it significant that, although MâNaghten and other common-law criminal capacity cases referred almost uniformly to a capacity to âknowâ the nature and wrongfulness of the conduct, the Oregon legislature, in enacting ORS 4190.349(3), chose a different wordââappreciate.â At the time that ORS 419C.349 was enacted, jurists and lawmakers had for some time been taking note of how the choice to use one or the other of those words tended to affect the criminal capacity test. For example, Goldstein noted, in his 1967 treatise on the insanity defense, that the bulk of the critics read the word âknowâ
âas referring to formal cognition or intellectual awareness alone. They distinguish this, the âlawâsâ meaning, from what they describe as the âpsychiatricâ meaningâwhich they take to connote a fuller, deeper knowledge, involving emotional as well as intellectual awareness.â
âthe act must necessarily involve more than mere knowledge that the act is being committed; there must be an appreciation of the factors involved in the act and a mental capacity to measure and foresee the consequences of the violent conduct. In this view, the word âappreciateâ draws most psychosis under the MâNaghten rules, because it addresses itself to the defendantâs awareness of the true significance of his conduct.â
Id. at 50. And closer to home, the Oregon Criminal Law Revision Commission had written commentary to accompany ORS 161.295, the 1971 statutory revision of the common-law insanity defense.
2. The Kent decision
Youth argues that the words âsophistication and maturityâ in ORS 419C.349(3) are informed by their use in a United States Supreme Court case, Kent v. United States, 383 US 541, 86 S Ct 1045, 16 L Ed 2d 84 (1966). In Kent, the United States Supreme Court was confronted