381 P.3d 921
Or. Ct. App.2016Background
- Petitioner was tried (2009) on four identical counts of first-degree rape alleging forcible intercourse with his niece C between 2001–2008; C testified to at least four discrete incidents (and elsewhere referenced up to six).
- The indictment and verdict form did not link any particular count to a specific incident; the prosecutor never elected incidents to particular counts.
- The jury convicted petitioner on two of C-related counts and acquitted him on two; the jury foreperson later confirmed at least 10 jurors agreed on each count.
- Trial counsel did not request a jury-concurrence ("Boots") instruction requiring at least 10 jurors to agree on which factual occurrence supported a conviction; counsel believed each count corresponded to a specific time/place.
- Post-conviction court denied relief concluding counsel should have requested Boots but petitioner was not prejudiced because incidents were distinguishable and the jury differentiated counts; petitioner appealed.
- The appellate court reversed, holding counsel was constitutionally inadequate for failing to request a Boots instruction and that petitioner demonstrated prejudice because the omission created a permissible risk of a "mix-and-match" verdict.
Issues
| Issue | Petitioner's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether counsel was constitutionally ineffective for not requesting a Boots (jury-concurrence) instruction | Counsel should have requested Boots because the evidence presented multiple incidents that could support convictions on the identical counts | No Boots problem because each count corresponded to a distinct incident as presented at trial; counsel reasonably concluded instruction unnecessary | Held: Counsel should have requested a Boots instruction; omission was unreasonable under prevailing law (Boots and progeny) |
| Whether failure to request Boots caused prejudice | The omission created a risk that fewer than ten jurors agreed on the same factual occurrence for any given count (impermissible mix-and-match) | No prejudice: jury showed it could differentiate incidents by acquitting two counts; no evidence jurors were confused | Held: Petitioner demonstrated prejudice — reasonable possibility of nonconcurrence sufficient to affect verdict; reversal warranted |
| Whether prosecution or court had to elect or instruct when multiple occurrences are proven for identical counts | Election or concurrence instruction is required when evidence permits multiple separate occurrences supporting the same charged crime | If presentation effectively tied counts to incidents, no election/instruction required | Held: Where identical counts and multiple occurrences exist without election or explicit linking, either election or a Boots instruction is required |
| Appropriate remedy | Vacatur and remand for further proceedings (post-conviction relief) | No relief needed | Held: Convictions reversed and case remanded on post-conviction claim |
Key Cases Cited
- State v. Boots, 308 Or 371 (explains jury-concurrence requirement and need for unanimity on material factual predicates)
- State v. Hale, 335 Or 612 (failure to give concurrence instruction was error where multiple underlying felonies/victims could support counts)
- State v. Lotches, 331 Or 455 (unanimity required as to material elements when different factual circumstances could satisfy the charge)
- State v. Pipkin, 354 Or 513 (summarizes contexts requiring concurrence instruction: statutory alternatives and multiple occurrences evidence)
- State v. Houston, 147 Or App 285 (trial court erred by not requiring election or concurrence instruction where evidence supported multiple occasions)
- Mellerio v. Nooth, 279 Or App 419 (post-conviction Boots case assessing prejudice in context; counsel’s omission can have tendency to affect outcome)
- State v. Ashkins, 357 Or 642 (instructs that instructional-error prejudice assessment must consider entire trial context)
