365 P.3d 1133
Or. Ct. App.2015Background
- Defendant and Dawson encountered park caretaker Borella; after being told to leave, an altercation occurred in which Borella was knocked down and beaten and suffered scratches and bruises.
- Dawson pleaded guilty to third-degree assault; at trial Dawson testified that defendant suggested hitting and running and then hit Borella; defendant denied striking Borella and said he pushed Borella’s hands off his legs.
- State prosecuted defendant for third-degree assault under ORS 163.165(1)(e) (causing physical injury while aided by another actually present).
- At trial the state advanced two alternative factual theories to prove the causation element: (1) defendant directly caused injury while aided by another, or (2) defendant’s conduct was so extensively intertwined with Dawson’s that it produced the injury.
- Jury was instructed using the statutory language including both alternative means of proving causation; defendant did not request a jury-concurrence instruction or an aiding-and-abetting instruction.
- Jury convicted defendant of third-degree assault; on appeal he argued the court plainly erred by failing to instruct that jurors must concur on which factual theory supported guilt.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether trial court erred by not instructing jury that jurors must concur on the factual means (direct causation vs. extensively intertwined conduct) used to prove the causation element of third-degree assault | State: No plain error; concurrence instruction is required only if requested; alternatively, existing precedent forecloses defendant’s claim | Defendant: Court should review for plain error because jury could convict under different factual theories without juror concurrence on which one | Court: No error — the two factual methods are alternative means to prove a single legislatively defined element under Phillips, so a concurrence instruction was not required |
| Whether plain-error review is available when defendant did not request a concurrence instruction | State: Plain-error review unavailable if defendant failed to request appropriate instruction | Defendant: Plain-error review is available; Phillips does not preclude it | Court: Declined to apply plain-error review because, under current law (Phillips), there was no error to correct |
Key Cases Cited
- State v. Phillips, 317 P.3d 236 (Or. 2013) (holding two alternative means to prove causation for ORS 163.165(1)(e) are alternative factual means of a single element and do not require juror concurrence)
- State v. Gaines, 365 P.3d 1103 (Or. Ct. App. 2015) (discussion of availability of plain-error review when concurrence instruction not requested)
- State v. King, 852 P.2d 190 (Or. 1993) (aiding-and-abetting and principal liability principles)
- State v. Pine, 82 P.3d 130 (Or. 2003) (concurrence instruction jurisprudence)
- State v. Brown, 800 P.2d 259 (Or. 1990) (plain-error review standards)
- State v. Lotches, 17 P.3d 1045 (Or. 2000) (reviewing evidence in light most favorable to the state following conviction)
