Defendant appeals a judgment of conviction for three counts of sexual abuse in the first degree, ORS 163.427.
We evaluate the denial of a defendant’s motion to exclude evidence of other acts in light of the record made before the trial court when it issued the order, not the trial record as it may have developed at some later point. State v. Pitt,
Before the trial, the state filed a motion in limine seeking to admit evidence of defendant’s convictions for the 2006 incident and the 1998 incidents to show defendant’s intent to commit sex abuse under OEC 404(3)
Later in the trial, the state sought admission of the judgment of conviction relating to the 2006 incident and the testimony of a detective describing the particulars of that incident. Defendant objected, stating:
“I think that the court at this point is obligated to take [an OEC] 104 hearing and to determine whether * * * this happened, how it’s related to the case, whether it is deemed relevant and whether or not the prejudicial value would substantially outweigh its marginal relevance to the case at this time.”
In response, the state argued that the evidence was admissible to show intent under the Johns test and argued that the evidence was also relevant to show that defendant had a sexual interest in his granddaughter and to explain why she delayed in reporting the conduct alleged in the present case. Defendant contended that the 2006 incident was not relevant to show defendant’s intent during the charged acts because defendant denied that the charged acts had occurred and, moreover, the 2006 act was not sufficiently similаr to the charged acts under the fourth Johns factor. The court found that each of the Johns factors favored admission and that the evidence was relevant “with regard to whether in fact these acts occurred,”
After the court stated that conclusion, the following exchange occurred:
“[DEFENSE COUNSEL]: [I]s the court also ruling that the prejudicial value is not — or I guess is — outweighed by its relevance?
“THE COURT: Arguably that’s the [OEC] 403[8 ] balancing test that you’re requesting the court make, and the court is ruling that this comes in under [OEC] 404(4), which doesn’t require the bаlancing to be occurred [sic]. Both the Court of Appeals as well as the Supreme Court have reiterated that over and over again to the trial courts, that the balancing does not occur.
“Clearly it is prejudicial. From the court’s perspective it is prejudicial without a doubt. So—
“[DEFENSE COUNSEL]: The question then, Judge, is the prejudice unfair? And I understand that — I would like to lodge a continuing objection for the purposes of this witness’ testimony and going forward so I’m not bouncing up and down.”
The court acknowledged defendant’s continuing objection.
Later in the trial, the state introduced recordings of interviews between defendant and a detective that followed defendant’s arrest for the charged acts. Defendant did not initially object to that evidence. In the course of one recording, defendant referred to the 1998 incidents stating, “And I wouldn’t want to see any lasting harm come to anybody— any of the girls that I touched.” At that point, defense counsel objected, the jury was excused, and the parties made arguments regarding the admission of evidence of the 1998 incidents. Defense counsel stated:
“Again, I’ve objected to the introduction of testimony about that case as well as the convictions in this particular case. These are prior bad acts. These are prior bad acts that, again, as the court’s — and I’m not going to hide that it has very high prejudicial value.
“I think that the degree — or the age of the cases, the differentiation between the cases, the manner in which [defendant] was questioned and his ongoing treatment, I think that there’s a more — there’s a higher likelihood that using this information that the jury would takе an unfair position and find that — or I think the jury would be more likely to misuse this evidence and argue that — or find that because — or think that because [defendant] is who he is that this — these allegations necessarily must have taken place.
“So again, Your Honor, we’ve consistently been objecting to the introduction of all of these three — primarily these three bad acts.”
The court overruled defense counsel’s objection, concluding that it was appropriate to admit further evidence of the 1998 incidents, including the judgment of conviction and the age of one of the victims. The state then continued to play the recorded interviews. In the course of the remaining recorded interviews, defendant discussed his sexual attraction to children, in general, and his sexual attraction to his granddaughter, in particular.
On appeal, defendant contends that the trial court was required to subject evidence of his other acts to balancing as described in Williams. The state argues that defendant failed to preserve his argument before the trial court.
A brief overview of the state of the law related to OEC 403, OEC 404(3), and OEC 404(4) at the time of the trial provides useful context for the discussion of preservation in this case.
State v. Dunn,
Consequently in Dunn, we confronted the question whether the recently enacted OEC 404(4) made admissible “evidence that is relevant only to show[] that a person has a propensity to do certain things.” Id. at 428. After analyzing the Supreme Court’s decisions in Johns (discussing the admissibility of evidence to show intent) and State v. Pinnell,
In State v. Wyant,
We return to the state’s contention in this case that defendant’s argument on appeal is unpreserved. The state acknowledges that, at trial, defendant asked the court to weigh the “unfair prejudice” against the “relevance of the evidence,” but contends that defendant’s argument is unpreserved because he failed to identify the Due Process Clause as the source of that requirement. We disagree.
To preserve an argument for appeal,
“a party must provide the trial court with an explanation of his or her objection that is specific enough to ensure that the court can identify its alleged error with enough clarity to permit it to consider and correct the error immediately, if correction is warranted.”
Here, defendant asked the court to subject evidence related to the 2006 and 1998 incidents to a balancing test to determine whether the risk of unfair prejudice posed by that evidence rendered it inadmissible. Indeed, after the court noted that evidence of the 2006 incident was prejudicial and that our case law did not require OEC 403 balancing, defendant responded, “The question then, Judge, is the prejudice unfair?”
OEC 404(4) requires that the court only admit evidence to the extent permissible under the Oregon and United States Constitutions, and the Due Process Clause is central to the analysis of that issue Therefore, in ruling that OEC 404(4) did not require balancing in this case, the trial court necessarily ruled that due process did not require the court to perform a balancing test. Moreover, after the court madе that ruling, defendant prodded the court further, inquiring whether the admission of the evidence was unfairly prejudicial. That inquiry coincides with the issue on appeal — whether admission of the evidence without balancing rendered the trial fundamentally unfair. See Wyant,
Turning to the merits, defendant argues that, under Williams, upon request, the court must balance the danger of unfair prejudice posed by evidence of uncharged misconduct against the probative value of that evidence. Furthermore, he asserts that the balancing required by due process is equivalent to the balancing conducted pursuant to OEC 403. The state responds that there is a meaningful distinction between the balancing required by due process and OEC 403. In the state’s view, due process balancing is more favorable to the admission of evidence than the balancing required by OEC 403. We conclude that, in light of Williams, the trial court erred because it did not subject the other acts evidence to OEC 403 balancing.
We review whether a trial court properly applied a balancing test prescribed by law to evidence of other acts for legal error. State v. Shaw,
As explained further below, the Supreme Court reached four conclusions in Williams that bear on our analysis here: The court concluded that (1) evidence offered to show a person’s character and propensity to act accordingly may be relevant under OEC 401;
In Williams, the state sought admission of testimony that the defendant’s landlord had found children’s underwear in the defendant’s residence in a prosecution for first-degree sexual abuse for conduct involving a child.
The court also concluded, in light of the text, context, and legislative history of OEC 404(4), that OEC 404(4) supersedes OEC 404(3) in a criminal case except to the extent required by the state or federal constitutions. Id. at 15. Consequently, the prohibition in OEC 404(3) against the admission of “[ejvidence of other crimes, wrongs or acts * * * to prove the charactеr of a person in order to show that the person acted in conformity therewith,” gives way in criminal cases, under OEC 404(4), to the admissibility of “evidence of other crimes, wrongs or acts by the defendant * * * if relevant except as otherwise provided by [various evidentiary statutes including OEC 403] and, to the extent required by the United States Constitution or the Oregon Constitution, [OEC 403].”
However, the court reached a different determination with regard to the relationship between OEC 404(4) and OEC 403, concluding that OEC 404(4) did not supersede OEC 403. Rather the court conсluded that OEC 404(4) is subject to OEC 403 balancing “‘to the extent required by the United States [and Oregon] [constitution [s].’” Id. at 15-16. Consequently, the court turned to examine federal due process jurisprudence to determine what limitations the United States Constitution might place on the application of OEC 404(4).
The court noted that evidence that is so extremely unfair that it violates “fundamental conceptions of justice” violates the Due Process Clause. Id. at 18 (citing United States v. Lovasco,
Thus, the court held:
“[I]n a prosecution for child sex abuse, the admission of ‘other acts’ evidence to prove character and propensity under OEC 404(4) depends on whether the risk of unfair prejudice outweighs the probative value of thе evidence under OEC 403. That determination must be made on a case-by-case basis.”
Williams,
“In our view, the only way that a court can ensure that the admission of ‘other acts’ evidence is not unfairly prejudicial anda violation of ‘fundamental concepts of justice’ is to conduct OEC 403 balancing. We therefore hold that that balancing is required by the Due Process Clause.”
Williams,
In light of Williams, we conclude that OEC 403 balancing is “the only way that a court can ensure that the admission of ‘other acts’ evidence is not unfairly prejudicial and a violation of ‘fundamental concepts of justice.’” Williams,
The trial court declined to subject evidence of the 2006 and 1998 incidents to OEC 403 balancing. Consequently, the court erred by admitting that evidence.
Furthermore, we conclude that the error was not harmless. Under Williams, a failure to perform the requisite balancing test is a violation of defendant’s due process rights under the United States Constitution. Williams,
“Whether such an error is harmless in a particular case depends upon a host of factors *** including] the importance of the witness’ testimony in the prosecution’s case, whether the testimony was cumulative, the presence or absence of evidence corroborating or contradicting the testimony of the witness on material points, the extent of cross-examination otherwise permitted, and, of course, the overall strength of the prosecution’s case.”
Van Arsdall,
Although defendant’s recorded interview contains his statement that he is sexually attracted to his granddaughter, the state does not prove that a person has committed an act of sexual abuse simply by showing that the person has a deviant sexual predisposition. Williams,
Moreover, as the trial court acknowledged “from the court’s perspective [the evidence in question] is prejudicial without a doubt.” To be sure, the court did not decide that the evidence is unfairly prejudicial, but in exercising its discretion, the trial court could do so. Furthermore, the court could conclude that the evidence is so unfairly prejudicial as to be inadmissible under OEC 403. Cf. State v. Davis,
In sum, when a defendant requests a balanсing test “in a prosecution for child sexual abuse, the admission of ‘other acts’ evidence to prove character and propensity under OEC 404(4) depends on whether the risk of unfair prejudice outweighs the probative value of the evidence under OEC 403.” Williams, 357 Or at 20 (footnote omitted). Here, defendant requested that the court apply a balancing test to determine whether the risk of unfair prejudice posed by evidence of other acts made such evidence inadmissible. Because the trial cоurt did not conduct the requisite balancing test, it was error to admit the evidence. Accordingly, we must reverse and remand this case.
Reversed and remanded.
Notes
ORS 163.427 provides, in part:
“(1) A person commits the crime of sexual abuse in the first degree when that person:
“(a) Subjects another person to sexual contact and:
“(A) The victim is less than 14 years of age[.]”
ORS 163.305(6), in turn, defines “sexual contact” as
“any touching of the sexual or other intimate parts of a person or causing such person to touch the sexual or other intimate parts of the actor for the purpose of arousing or gratifying the sexual desire of either party.”
Defendant also argues that the court erred by imposing a sentence of life without the possibility of parole. Our disposition of this case obviates the need to address that argument.
The state further argues that the purpose for which the court admitted the evidence is dispositive, at least as to evidence of defendant’s past conviction for sexual abuse committed against the same victim as in the present charges. The state contends that that purpose was to “explain and buttress defendant’s own admission to [a detective] that he had an arоusal and self-control problems around young girls.” We reject that argument without further discussion because we conclude that, regardless of the purpose for which evidence of other acts is relevant, Williams holds that, to comply with the due process requirement of the Fourteenth Amendment to the United States Constitution, courts must perform the requisite balancing test, upon request, before admitting that evidence under OEC 404(4). Williams,
OEC 404(3) provides:
“Evidence of other crimes, wrongs or acts is not admissible to prove the character of a person in order to show that the person acted in conformity therewith. It may, however, be admissible for other purposes, such as proof of motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or accident.”
OEC 404(4) provides:
“In criminal actions, evidence of other crimes, wrongs or acts by the defendant is admissible if relevant except as otherwise provided by:
“(a) [OEC 40.180 to 40.210] and, to the extent required by the United States Constitution or the Oregon Constitution, [OEC 403];
“(b) The rules of evidence relating to privilege and hearsay;
“(c) The Oregon Constitution; and
“(d) The United States Constitution.”
Under Johns, the admissibility of evidence of uncharged misconduct used to prove intent is determined based on the following factors:
“(1) Does the present charged act require proof of intent?
“(2) Did the prior act require intent?
“(3) Was the victim in the prior act the same victim or in the same class as the victim in the present case?
“(4) Was the type of prior act the same or similar to the acts involved in the charged crime?
“(5) Were the physical elements of the prior act and the present act similar?”
State v. McIntyre,
We note that the doctrine of chances theory advancеd under the Johns test goes to show that a person acted with intent on a particular occasion, not that alleged acts occurred. State v. Leistiko,
OEC 403 provides:
“Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or misleading the jury, or by considerations of undue delay or needless presentation of cumulative evidence.”
OEC 401 provides:
“‘Relevant evidence’ means evidence having any tendency to make the existence of any faсt that is of consequence to the determination of the action more probable or less probable than it would be without the evidence.”
The defendant did not raise state constitutional issues. Williams,
The state points to the Supreme Court’s express reservation of the question whether “‘due process’ balancing differs from ‘traditional’ or ‘subconstitutional’ balancing.” Williams,
