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State v. Castaneda
621 N.W.2d 435
Iowa
2001
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*1 Iowa, Plaintiff-Appellee, STATE v. CASTANEDA,

John Defendant- Appellant.

No. 98-0835. Supreme of Iowa. Court Jan. *2 Iowa, from City,

Sioux California. as a City, Castaneda worked substi- Sioux tute and later became a full-time teacher City elementary teacher at a Sioux school. *3 In 1992 Castaneda Johnson became brother, parents foster and her S.C. night, leaving M.C. worked at Johnson alone with the children. On Castaneda occasions when Johnson returned from work, sleeping she found S.C. Castane- room, was da’s sometimes while Castaneda sleeping there too. occasions, saw Cas-

On several Johnson together This taneda and S.C. bed. Johnson, and she talked to Cas- angered however, practice, taneda about it. The Gallo, Appellate De- Linda Del continued. fender, Japuntich, Assis- Stephan J. Defender, appel- Appellate for In 1994 and Johnson were tant State Castaneda process adopting S.C. and M.C. lant. time, Johnson moved out of During this General, Miller, Attorney Thomas J. home, eventually she divorced .the Tauber, Attorney Thomas S. Assistant Castaneda, however, went for- Castaneda. General, Mullin, County Attor- Thomas S. adoption, which the district ward with Jr., Assistant ney, Kittredge, and Pahl E. in 1995. court finalized Attorney, appellee. County for final, adoption Before the became S.C. grade-school told a friend that Castaneda raped parent, As a foster care had her. LAVORATO, Justice. Chief mandatory reporter. As was a Castaneda juryA convicted John Castaneda of sex- such, report bound to legally he felt his ten- degree ual abuse in the second Hu- Department to the Iowa allegation adopted daughter. appealed He year-old Services, depart- man which he did. The of conviction and sen- judgment from the un- ment determined the accusation was tence, contending the district court founded. damag- in admitting its discretion abused Later, a com- department received He testimony from his former wife. ing physically had plaint that Castaneda his also contends the district court violated during investiga- abused S.C. It was right Amendment to confrontation Sixth of sexual abuse allegations tion that the videotaped into evidence a when it allowed department re- question surfaced. transcript and a daughter interview of the police, after ported complaint the case of that interview. We transferred removed from which and M.C. were appeals, which affirmed. to the court of home. Castaneda’s appeals further review of the court of On decision, decision, we vacate that reverse 8, 1996, police the Mar- May had On sentence, judgment of conviction and Health Child Protection Center ion Center and remand for a new trial. Kircher, a social interview S.C. Janet center, conducted employed worker Proceedings. Background I. Facts and interview, videotaped. Dur- which was interview, 1990s, related that over early ing and his she wife, Johnson, years, beginning when past moved to the two former Patricia old, years right Castaneda had on five violate his Amendment con- eight Sixth committed various sex frontation. seven occasions acts her or looked her while she upon hearing, judge district Following Dew- was naked. videotaped ie J. Gaul found the interview Duey met the requirements regard- Dr. Patrick James conducted a of the rule ing hearsay exception. medical examination S.C. and deter- residual judge videotaped mined the examination consistent with also found that the inter- A deposi- examination. Class 3 exami- view was than the Class 3 more suspicious is classified as one tion that was filled nation child’s talk and unwillingness abuse. reluctance to However, give answers. the judge de- Based on the interview and the medical *4 admissibility clined to rule on the of the examination, charged the State Castaneda time, videotaped pending interview this on with three counts of June 3 a time of determination at the trial as to see Iowa Code degree, abuse in the second give whether was unavailable to S.C. live 709.3(2) 702.17, 709.1, (1995), §§ B a class testimony. felony, and one count of indecent contact child, 709.12, see April § with Iowa Code judge On 3 district Michael S. aggravated presided misdemeanor. Walsh hearing over a second admissibility videotaped of the inter- attorney On December Castaneda’s view. judge videotape, The reviewed the depose attempted During depo- to S.C. report from Dr. Richard C. Brown—a doc- sition, uncooperative S.C. was and fre- tor who had interviewed S.C.—and the quently to evade the attor- answering tried deposition. judge, The over Castaneda’s ney’s she questions. She said did not want objections, with judge concurred Gaul’s alleged talk about sexual abuse. ruling. Judge Walsh also found that S.C. attorney S.C. referred the to her video- testify was “unavailable” to trial and taped Although interview. she often said ruled that the State would be allowed to remember, that she did not S.C. did an- admit the videotaped interview to the ex- attorney’s questions swer of the some tent it was otherwise admissible. alleged about the sex acts that Castaneda supposedly April parties had committed. tried the On 27 the case jury. Because was unable to 1997, February On the State filed a verdict, reach a unanimous the court Videotape” pursu- of Intent to Use “Notice granted Castaneda’s motion for mistrial. 803(24) ant to Iowa Rules Evidence 804(b)(5), 13, 1998, and Iowa section On January Code before the and/or start of 910A.14(3) trial, that (providing recorded state- second Castaneda filed motion describing ments of a child asking sexual contact the district court reconsider may or on the child be if the admitted whether was unavailable to testify. S.C. substantially comport statements with the Castaneda also asked the court to that rule requirements proposed for admission under Iowa testimony of Patricia John- 804(b)(5), Rule of Evidence the residual son concerning allegedly per- sex acts she motion, In its hearsay exception). formed on him he was while observing irrelevant, a probability State noted that existed that children unfairly was well as pursu- prejudicial, would be deemed “unavailable” and therefore inadmissible. 804(a). ant to Iowa Rule of Evidence judge Phillip District Dandos presid- S. that the argued State had not ed over hearing on Castaneda’s motion shown that S.C. was “unavailable” to testi- and the second trial. on the reason, fy. For that motion immediately Castaneda insisted was held to the that, if allowed the beginning the court State to use of the second trial on March interview, the videotaped such previous use would 1998. addition to the rulings relevant, Walsh, value of this even if judge Dandos by judges Gaul unfairly outweighed by its therapist, evidence from S.C.’s a letter considered under Iowa Rule of Evi- prejudicial Loeffelholz. nature Doreen M. worker social he contended such previous Finally, dence 403. this letter and upon Based Walsh, judge testimony constituted character judges Gaul findings of Evidence 404 “currently un- Iowa Rule of governed Dandos held trial; were she and not admissible. testify at available to would be testify in to brought contended that the would add her and that damaging to 404(b) under rule to show was admissible little, in this anything, if to the evidence objections, the intent. Over Castaneda’s videotaped Judge Dandos ruled case.” testimony. court allowed the district that interview transcript interview Specifically, the court ruled the tes- were admissible. “strictly limited to the timony would be attorney did hearing, At the Castaneda’s - any part intent on the purpose showing and, letter object therapist’s the crimes of the defendant commit fact, objection to the admission waived alleged.” transcript. videotaped interview and of the the ob appeal, Castaneda reasserts On Dan- objections, judge Over Castaneda’s *5 testimony that he jections to Johnson’s tes- also ruled that Patricia Johnson’s dos in court. The State as made the district Dandos timony Judge was admissible. district court did not abuse serts that the testimony was that Johnson’s concluded testimony admitting in her its discretion only “goes to the extent that admissible in activity Johnson described because intent.” fantasizing that Castaneda was dicated March 24 the returned verdicts On having activity with children. about except charges on all as guilty of not asserts that Johnson’s The State therefore in of sexual abuse the second one count intent to have testimony was relevant as to degree. The court sentenced Castaneda t Additionally, with indecent contac twenty-five-year term. to an indeterminate that, prejudicial, if even the State asserts First, presents two issues. appeal This unfairly prej testimony was not Johnson’s the district court abuse its discretion did udicial. testimony about the sex allowing Johnson’s Applicable Rule of Evi- B. law. Iowa upon allegedly performed acts Cas- she 404(b) provides dence Second, court did the district vio-

taneda? [ejvidence crimes, wrongs, of other right Amendment late Castaneda’s Sixth the char- prove not admissible to acts is evi- when it admitted into to confrontation person in order to show acter of videotaped interview and dence S.C.’s It conformity therewith. he acted transcript that interview? however, be admissible for may, motive, op- proof purposes, such Prior Acts With II. Evidence of Sexual intent, preparation, plan, portunity, Than the Other Victim. One or absence of mis- knowledge, identity, parties’ In a A. The contentions. take or accident. motion, pretrial on a Castaneda of our common- testimony The rule is a codification objected to Johnson’s about the proved rule that one crime cannot be performed upon law alleged oral sex acts she purpose of the by proof while of another. on two different occasions from the rule was to “exclude play- common-law allegedly observing children he which has no jury’s consideration evidence testimony was He contended that the ing. the defen- relevancy except to show that of Evidence under Iowa Rules irrelevant likely com- that, person and thus is a bad further dant 401 and 402. He contended rule). analysis “An question.” mitted the crime in State v. under common-law (Iowa 1979). Cott, finding pro- 283 N.W.2d affirmative balancing law, the common evidence that was Under precludes admissibility cess of even rele- prove fact or element Plaster, “relevant to some vant evidence.” 424 N.W.2d at criminal issue other than the defendant’s two-step analysis, employing prohibi- disposition escapefd] the rule’s the district court must exercise its discre- accordingly recog- tion.” Id. This court tion. Id. at 229. We will reverse its deci- categories permissible nized certain ob- sion when we find a clear abuse of jectives proof prior criminal acts. for Id. discretion. categories

Id. These included: Analysis. We assume without C. “(1) (2) (3) motive, intent, absence of deciding testimony that Johnson’s was rel (4) accident, mistake -or a common However, follow, evant. for reasons that system activity scheme or of criminal unfairly prej we believe the embracing the commission of two or udicial, and the district court abused its proof more crimes so related that of one admitting discretion in it into evidence. other, prove identity tends to person charged the commission “any Evidence is relevant when it has of a crime.” tendency to make the existence of fact Folkens, (quoting State v. 281 N.W.2d consequence that is of to the determination (Iowa 1979)). 1, 5 probable proba- of the action more or less ble than it would be without the evidence.” 404(b), Under rule we continue to added). (emphasis R. All Iowa Evid. 401 recognize that there must be some factual except relevant evidence is admissible permit issue raised to evidence of other exceptions applicable certain here. crimes, wrongs, or acts under the noted Iowa R. Evid. 402. Plaster, exceptions. See State v. *6 (Iowa 1988). N.W.2d 229 If the evi may Even relevant evidence be ex test, dence prima meets this it is facie probative cluded “if its value is substantial admissible, though even the evidence’s ten ly outweighed by the danger of unfair dency is to demonstrate the defendant’s prejudice....’’ Iowa R. Evid. 403. Proba Plaster, bad character. 424 N.W.2d at gauges strength tive value and force of 229. Plaster, relevant evidence. 424 N.W.2d at In determining whether the chal admissible, lenged evidence is the district prejudice” in “Unfair rule 403 is defined employ two-step analysis. court must a “ tendency suggest ‘an undue deci-

Id. The court must first decide whether basis, improper sions on an commonly the evidence If is relevant. Id. it is not though necessarily, not an emotional relevant, challenged then the evidence is ” (quoting one.’ Id. Fed.R.Evid. 403 adviso- (“Evi inadmissible. Iowa R. Evid. 402 note). ry Evidence, therefore, committee’s dence which is not relevant is not admissi that ble.”). However, if the court finds that the “appeals jury’s sympathies, arous- challenged relevant, evidence is the court horror, provokes es its sense of its in- must then decide whether the evidence’s probative punish, triggers stincts to or substantially outweighed value is of human by mainsprings may action cause danger prejudice. of unfair Iowa relevant, jury a to base its decision on something R. Evid. (“Although may propositions be other than the established excluded if its value is appellate substantially by may the case. The court outweighed danger Plaster, prejudice....”); prejudice’ unfair that ‘unfair conclude occurred 231; Cott, N.W.2d at see because an insufficient effort was also 283 N.W.2d made (employing two-step at 328-29 a dangers prejudice, similar below to avoid the evi- mis- accidentally, which the S.C.’s breast or that S.C. theory because the on or to elicit designed interpreted Finally, was offered was an innocent action.” dence justified response jurors argues from that “although the State Johnson’s by the evidence.” testimony may prejudiced have Castane- case, it bore on a legitimate da’s issue and (quoting at 231-32 Jack B. Weinstein unfairly prejudicial.” was not Berger, A. Evi- Margaret Weinstein’s & ¶ (1986)). 403[03], at 403-33-40 dence testimony, Johnson’s to the extent it had mentioned, the Cas- charged As State value, any probative bore on Castaneda’s abuse taneda with three counts of sexual specific intent —the fact—an consequential degree and counts includ- the second those IV. element count (1) following acts: between ed the contact jury did not convict Castaneda genitalia or hand finger his and S.C.’s IV, count in- specific count requiring (2) (count I), genitalia contact between his jury tent. Rather the convicted Castaneda (count (3) II), and contact genitalia and her (contact one count—count III be- (count genitalia his mouth and between her tween his mouth and her genitalia) III). also charged The State Castaneda guilty remaining found him not (count contact a child with indecent with act significant counts. This is because this IV) in he “fondled or touched is similar to the act claimed she Johnson “with intent to specific breast” of S.C. performed on while he was ob- Castaneda or satisfy” arouse or his sexual desires serving jury likely children. The inferred those of S.C. (1) testimony from this was Castaneda (indecent with a As to count IV contact sexually fantasizing at the about children child), jury district court instructed he was relieving same time himself sexual- prove that the was required prone ly and therefore be “fondled or the breast” Castaneda touched child, in similar acts in this engage specific “with the intent to arouse of S.C. case, tempting While it is to draw satisfy” his sexual or those of desires inference, it this kind precisely such an added.) (Emphasis As to the remain- 404(b) of character inference that rule was counts, three instructed the ing court prevent jury drawing. from designed to prove required that the State Obviously, Johnson’s —which “performed a sex act with in the context of children—would specified the conduct counts [S.C.] *7 jury’s sense and would arouse a of horror II, I, In the specific and III. intent instruc- its provoke punish its instinct to and base tion, jury that the court instructed the on testimony on this rather than decision act “with “specific doing intent” means an specific intent. the issue Additionally, specific purpose mind.” a instruction, wisely concerning jury As one court observed in this told the the court prior acts evidence: only necessary prove specific that is to “[i]t con- regarding intent the crime of indecent jurors hear has When that a defendant tact with a child under count IV and is occasions essential- on earlier committed I, II, and III.” necessary under counts crime which he is ly the same as that for trial, unquestionably support In of its contention that John- on information powerful prejudicial impact. rule testimony was admissible under has a son’s That, course, 404(b), why prosecution it had to is argues the State that specific in order it can. prove Castaneda’s intent uses such evidence whenever introduced, a acts him of contact with When evidence is to convict indecent purpose, of the argues regardless that John- stated child. State further very great jurors is that the testimony “had likelihood significant son’s precisely prove value to intent and to will use Castaneda’s to may it allay any purpose considered[:] doubt that touched not be 442 contact, per- that the defendant a bad

suggest argues is indecent the State criminal, son, that if jurors a convicted he under the court’s instruction the probably again.” it before he did it “did could not make further use of John- testimony. son’s Johnson, 1186, States v. 27 F.3d United Cir.1994). (6th specific intent instruction did advise vein, suggests In the same one writer jury prove that the State had to prosecutors rely uncharged that when on specific regarding intent the crime of inde- prove conduct to intent cent contact with a under count child IV jurors that the will grave there is risk necessary prove and it was not such tempted guilty be to return verdict on I, II, intent under counts and III. Con- improper an basis. Evidence of the ac- assertion, however, trary to the State’s poten- uncharged cused’s misconduct is instructions, nowhere in the did the court tially prejudicial jurors per- because the jury tell the it could not consider uncharged ceive the conduct as immoral testimony Johnson’s three consequently adversely react I, II, charges under counts and III. In part, accused. For the most is fact, the district limiting court’s instruction wrongful gives accused’s intent which actually permitted jury as worded perceived the conduct its quali- immoral consider testimony charges. her on all the wrote, ty. Shakespeare As “[T]here charges very One of those included one bad, nothing good thinking either but of which Castaneda was convicted. On makes it so.” When a writer wants to point, limiting instruction stated: express thought person that a has may “You testimony] only [Johnson’s use criminal disposition, frequent- the writer purpose determining for the the defen- ly person describes the aas “criminal dant’s intent to commit the crimes al- mind”-—-rather than a criminal arm or leged.” Suppose leg. concludes Moreover, even had the district court warped has a accused mind instruction, given a limiting correct we inclined to criminal intent. That conclu- think it would not have removed the un- jurors experience sion can cause the fairly prejudicial nature of Johnson’s testi- very type of revulsion which the mony. inherently Her was so prohibition character evidence is de- prejudicial that no amount of admonition signed guard against. by the court was sufficient to remove the Imwinkelried, Edward J. The Use Evi- prejudice. dence Uncharged Accused’s Miscon- Marvin, v. 197 Iowa duct to Prove Mens Rea: The Doctrines (1924), N.W. 315 charged the State had Which Threaten to Engulf the Character defendant with Prohibition, lascivious acts with a child. Evidence St. L.J. Ohio (1990). The trial court jury’s withdrew from the *8 prior consideration evidence similar of bad preju- The State contends there nowas 444, acts with another child. Id. at 197 contention, support dice. In of its the appeal, N.W. 315-16. On this court First, points State out following. the the trial, that, granted new holding given the district court’s limiting instruction told the nature of the testimony, the trial court’s jury they that could use Johnson’s testimo- action was to enough not remove the ny only to determine Castaneda’s intent. testimony harmful effect of such to the Second, jury the court also instructed the 444, 445, defendant. Id. at 197 N.W. at that the prove State had to intent with point, thisOn the court said: contact, respect charge of indecent respect but not with to the three charges questioned Did the withdrawal of the Last, degree of second testimony abuse. be- from the consideration of the jury cause the found guilty jury Castaneda not cure the error of its admission in not, videotaped The concedes that the think and State first instance? We the However, hearsay. The the is evidence interview was reason obvious. the jurors minds of the leave the contends no constitutional violation State contention, prone- of defendant’s impression support the of the occurred. its the and the knowl- things, to do such exception ness the residual for State relies on jury the had received edge which hearsay in Iowa found Rule of Evidence 804(b)(5). the the defendant with to acts of relation by be erased girl could not another of constitu Our review Castaneda’s part of the trial direction on the mere de tional to confrontation is novo. right court, that when was determined such 659, Rojas, See State v. N.W.2d should be held inadmissible. (Iowa 1994). think the 197 N.W. at 316. We Applicable B. Rule of Evi- said also State v. law.Iowa same can be here. See (Iowa that App. provides “[hjearsay dence 802 is not Hardy, 492 N.W.2d 1992) (holding except provided by of substantial the Con- because admissible Iowa, statute, by the of unfairly prejudicial nature assault stitution of convictions, evidence], by by the [the curative instruction that rules of the rules of court].” consider the evidence for [this could in purpose showing defendant’s limited 804(b)(5) pro- Iowa Rule of Evidence inadequate to alleviate unfair tent vides: prejudice). by not following The are excluded probative Because the value John- hearsay rule if the declarant is unavail- substantially out- son’s able as a witness: unfair danger prejudice, weighed re- we reverse Castaneda’s conviction and specifically cov- A statement not this case must be mand for new trial. As exceptions by any foregoing ered retried, may issue we address another equivalent having but circumstantial on retrial. arise trustworthiness, if the guarantees of Right III. The Amendment Sixth (A) the statement court determines Videotaped In- Confrontation: fact; is evidence of a material offered as Transcript. terview Interview (B) the statement more than point which it is offered parties’ contentions. A. Cas- proponent which can other evidence court taneda contends the district denied efforts; procure through reasonable right to confront wit- him his constitutional (C) purposes of these rules general against him when the court ruled nesses justice interests of will best be jury would be allowed to view by admission of the statement served videotaped interview and consider S.C.’s However, statement into evidence. transcript of that interview. excep- may be admitted under this not trial did Because Castaneda’s counsel proponent tion of it makes unless object admission of video- sufficiently adverse party known to the transcript, taped interview and the Cas- advance of trial or argued appellate counsel has taneda’s provide with a fair party the adverse in the context confrontation issue it, opportunity prepare to meet his claim. As ineffective-assistance-of-eounsel *9 the to offer statement the intention mentioned, this case must be retried. We it, name particulars including the dispense analysis an the therefore address of the declarant. claim and ineffective-assistanee-of-eounsel added.) proceed guidance (Emphasis consider for The State contends to the issue Rule of “unavailable” under Iowa on retrial. 444 804(a)(4), 2537, provides impor- which that a L.Ed.2d at 606.

Evidence 65 The two clause, the declar- declarant is unavailable when accord- policies underlying tant the present testify Court, to at ant “is unable to be preference to the was a for ing of death or the trial or because face-to-face confrontation at trial and the existing physical or mental illness or then right of cross-examination. Id. added.) The dis- infirmity." (Emphasis Nevertheless, the recognized Court court was unavail- trict concluded “may dispens- competing interests warrant the evidence she suf- able because showed 65, at at ing with confrontation trial.” Id. posttraumatic from stress disorder fered 2538, 607; at 100 65 L.Ed.2d at ac- S.Ct. alleged sexual abuse. related 524 accom- Rojas, cord N.W.2d at 664. To Amendment to the Federal Sixth interests, the competing modate these “in all guarantees that crimi Constitution adopted “a general approach” Court enjoy shall prosecutions, nal the accused determining when state- incriminating right ... to the the be confronted with exception admissible under an to ments against him.” U.S. Const. witnesses hearsay require- the rule also meet the VI. The Amendment amend. Sixth the ments of Confrontation Rob- Clause. binding on the through states Four erts, 65, 2538, at 448 U.S. 100 at 65 S.Ct. teenth Amendment to the Federal Consti 607; Rojas, at L.Ed.2d at 524 N.W.2d 805, 813, Wright, tution. Idaho v. 497 U.S. noted that Court the Confrontation 3139, 3145, 638, 111 651 110 S.Ct. L.Ed.2d “operates separate ways in two to Clause (1990). range hearsay.” restrict of admissible Although Supreme Court has “First, in Id. conformance with Fram- recognized hearsay rules and the Con accusation, preference ers’ for face-to-face generally designed Clause frontation are prosecution ... produce, must either values, protect similar the Court does of, unavailability or demonstrate the equate pro the Confrontation Clause’s declarant whose statement it to use wishes general with the prohibiting hibitions rule Roberts, against the defendant.” 448 U.S. of hearsay the admission statements. Id. 65, 2538, 607; at at at 100 S.Ct. 65 L.Ed.2d 814, 3146, at 110 S.Ct. at 111 L.Ed.2d at Rojas, 524 accord N.W.2d at 664. 651; Rojas, 524 In N.W.2d at 664. other Second, once a witness is to be shown words, the Confrontation Clause bars the unavailable, the witness’ is ad statement of some admission evidence that would if missible statement “bears ade excep otherwise be admissible under ” Roberts, quate reliability.’ ‘indicia of hearsay tion to rule. Id. 66, 100 2539, U.S. at S.Ct. at at 65 L.Ed.2d Roberts, Ohio v. recognized the Court 608; Rojas, N.W.2d at 664. Reliabili that, if literally, the clause were read Court, ty, according to the be in “can require, objection, on the exclusion ferred without more in a case where statement made a declarant not within firmly evidence falls hear rooted 63, 56, present at trial. 448 U.S. 100 S.Ct. cases, say Id. In exception.” 2531, 2537, (1980). 597, 65 L.Ed.2d insisted, Court “the evidence must be ex that, The Court also if recognized cluded, partic least absent a showing at manner, applied were every clause in this ularized guarantees trustworthiness.” hearsay exception abrogated, would be rejected “long result Court has 63, unintended and Id. at Applying general too extreme.” framework analysis, 100 S.Ct. 65 L.Ed.2d 605-06. the Court in Roberts held that Relying precedent policies of testimony given prelimi- admission at a clause, Court, however, supporting hearing, nary which failed the declarant despite noted the clause at trial appear was intended ex- issu- State’s her, hearsay. separate clude some subpoenas Id. at S.Ct. at ance of five did

445 making round the and Clause. 448 the statement violate the Confrontation 2540-45, 66-77, particularly that render the declarant wor- at 100 S.Ct. at 65 U.S. that, thy The found Id. at Court belief.” The Court noted that L.Ed.2d 609-15. (1) precedents its burden its that recognized the had carried statements State a “firmly hearsay that declarant was unavailable admitted under rooted” showing the (2) (for trial, exception an testify example at and the at excited utter- declaration) dying sufficient in- ance and preliminary bore are so trust- worthy reliability testing because defense that adversarial add dicia of counsel Wright, little adequate opportunity reliability. to cross-ex- to their 497 U.S. had 3149, 820-21, Id. at 110 S.Ct. at 111 amine declarant. L.Ed.2d By testing, at 656. adversarial the Court Supreme applied Wright, Court obviously meant face-to-face confrontation of analysis Roberts to hear- framework and The then cross-examination. Court say three-year-old statements of a victim imposed pos- the condition that “evidence found, The trial court of sexual abuse. ‘particularized sessing guarantees of trust- agreed, that child and defense counsel ... similarly worthiness’ must trust- be so incapable communicating with the worthy testing that adversarial would add reason, Supreme For Court jury. that 821, little Id. 110 reliability.” to its at was an unavailable wit- assumed child 3149, 111 S.Ct. at L.Ed.2d at 656. meaning ness within the of the Confronta- 816, 497 at The went Wright, identify tion Clause. U.S. 110 Court on to several 8147, at 111 L.Ed.2d at 652. nonexclusive factors that relate to whether S.Ct. hearsay made a wit- statements child Wright remaining question ness in child reli- sexual abuse cases are incriminating the child’s state- whether able but endorse a declined to mechanical sufficient ments to doctor bore indicia of assessing test for Rath- trustworthiness. reliability to under scrutiny withstand er, the Court decided that trial courts The trial court Confrontation Clause. had leeway should have considerable to consid- admitted statements under residu- appropriate case-by- er factors on a hearsay exception. al As to the issue of 822-23, case basis. at 110 S.Ct. at reliability” “indicia of first Court noted 656-57; 3150, Rojas, 111 L.Ed.2d 524 at exception firmly that the is not a residual (1) N.W.2d at 664. These factors bear on exception hearsay rooted for Confrontation particu- child “whether the declarant was 817, purposes. Wright, at 497 U.S. Clause larly likely telling to be the truth when the 8147-48, 653; at 111 at 110 S.Ct. L.Ed.2d (2) in- statement was do not made” at Rojas, 524 N.W.2d 664. For rea- corroborating Wright, clude 497 evidence. son, incriminating the child’s statements “ 822, 3150, 110 111 L.Ed.2d U.S. at S.Ct. at ‘presumptively were therefore unreliable 656-57; Rojas, at 524 N.W.2d at 664-65. and inadmissible for Confrontation Clause on, factors the trial court relied Of the 818, 497 at purposes.’” Wright, U.S. 110 Supreme found two relevant: Court 3148, at 111 at (quoting L.Ed.2d 654 S.Ct. child ‘make “whether the had motive to Illinois, 530, 543, v. 476 U.S. 106 Lee S.Ct. whether, nature,’ up story (1986)). 2056, 2063, 514, 90 L.Ed.2d 528 child’s are of given age, statements required was therefore to show expect type ‘that one would a child incriminating child’s statements ” Wright, fabricate.’ 497 U.S. at “particularized guarantees had of trust- 3151, 111 at L.Ed.2d at 659. S.Ct. be from worthiness” that must shown “the totality of Id. at the circumstances.” Wright, on the decision in Based 3139, 3148, S.Ct. L.Ed.2d that, we conclude if a trial court finds 655; Rojas, N.W.2d at 664. (1) par hearsay a residual statement has trustworthiness, Court, According guarantees ticularized the relevant cir- “only the declarant is unavailable to tes- cumstances include those sur- *11 tify, statement is admissible in describing even that her gets upset stomach of face-to-face absence confrontation and she feels like she up.” “could throw and cross-examination. We reached the Rojas, same conclusion 524 N.W.2d at It seems clear that would suffer [S.C.] 663. having testify trauma from either Analysis. Here, C. the district court presence, John by Castaneda’s or closed One, had to decide two issues. was S.C. circuit camera where he is observing, 804(a)(4) (providing unavailable under rule present. but not intense feel- [S.C.’s] present

that declarant is “unable to be or ings would difficulty create tremendous testify at trial or because of with testifying court and Mr. Castane- then-existing physical death or or mental presence da’s likely retraumatize Two, infirmity”)? illness or did the video- her in emotionally vulnerable state taped “particularized interview have the unlikely she in. It is also guarantees of required trustworthiness” she would be able to communicate the hearsay residual statement? occurred, offenses that and as stated mentioned, previously, just expressed she has her un- As before the second started, willingness to talk judge trial about these offenses. Dandos ruled that S.C. forced, If additional physiological and testify unavailable to at trial. He psychological harm would occur. ruling part based his on a recent letter Loeffelholz, from social worker Doreen M. The State relies on cases from several therapist. S.C.’s Loeffelholz noted that jurisdictions which “psy- have held that a alleged Castaneda’s abuse chologically unavailable” witness is un- being therapy, addressed in but that purposes available for of the Confrontation Clause. We discussed of these several very remains resistive to talking about cases in v. Gregg, 464 N.W.2d 431 very this.... She becomes anxious (Iowa 1990). However, we ultimately con- I approach subject. when Consis- cluded that the facts made that case “an mood, tently, attitude, [S.C.’s] and be- inappropriate case to decide whether to clearly convey havior her extreme un- adopt ‘psychologically justifi- unavailable’ comfortableness conversation cation substituting deposition for trial abuse, questions related to sexual testimony.” Gregg, 464 N.W.2d Castaneda, John or even the basic sub- in Gregg jurisdic We noted that “those ject of sex. She reacts very strongly to tions that theory apply subscribe to the abuse,”' “sex,” the terms “sexual and reluctance, with some in rare even to Mr. Castaneda’s name. She has circumstances.” Id. at 432. We also not asked if I would refer to by them other “ ed one court ‘psychological held that una “code words.” Her preference overall vailability must exist to such a degree as to would be that we not even talk about attendance, render the witness’ or his tes “it” at all. tifying, relatively impossible and not mere ap- various times that I have ” ly inconvenient.’ Gregg, 464 N.W.2d at proached about testifying [S.C.] ... she Gomez, 432-33 (quoting People v. 26 Cal. consistently verbalizes that she does not App.3d 225, 230, Cal.Rptr. 83-84 (1) want to do so because she’s “mad” (1972)). people want to make her do some- (2) thing with, she’s not comfortable Supreme United States “mad” she’s and “sad” about how her life Court has not articulated specific require (3) this,” has by been affected “all of ments for the “psycholog determination of (i.e.: “icky” she feels violated and taken unavailability.” Nevertheless, ical we think Castaneda), advantage certain, John given it is the serious constitution Castaneda, she is scared implication to see John potential al of the loss of a We to sanction a new that the standard must do not intend right, fundamental *12 However, one in all necessarily high. category unavailability cannot of medical be extremely likely is difficult to are dispute that cases where witnesses to suf- person’s response to accurately predict a psychological fer adverse emotional or Therefore, trauma. while psychological testifying against as a result of effects closely guard a defendant’s must we in their assailants. But the extreme carefully we must balance those rights, here, presented agree circumstances we potential for against the real harm rights psy- grave the risks witness’ tender, fully developed, yet and as to justify health chological excusing her mind, this in we psyches. With concern live testimony. expert in-court tes- adopt stringent the Gomez standard of relating to timony mental [the victim’s] merely in- “relatively impossible and not health established that there was both a standard, applying In this convenient.” high of temporary psychologi- likelihood judges take into consideration trial should injury, perhaps psychosis, cal even and a factors set forth in Warren v. following the possibility permanent of psychological United States: persuaded are of injury. We also the

(1) probability inju- of psychological the ruling correctness of trial the court’s (2) the ry testifying, as a result of de- expert’s agreement because of the (3) injury, the gree anticipated of ex- the comparative severity the of victim’s injury, pected probable duration of the and testifying again. reaction to expected inju- psychological whether the (footnote omitted). Id. 829-30 substantially greater the ry is than reac- At of in March average rape, victim of a the time trial S.C. tion She is fourteen. terrorist act.... The fac- twelve. now Two kidnapping or years passed ex- weighed in the have since Loeffelholz’s tors should be context now, other, By well amination and letter. S.C. is each as in context of perhaps testify alleged- able to about what preexist- the nature of crime and remand, her. ly happened to the State ing psychological history of the witness. On again prove will to is have burden (1981). 436 A.2d 830 n. 18 if it to use unavailable wants the video- Warren, trial court excused transcript taped and the of that interview victim rape testifying from because at the of this This interview retrial case. she experts agreed medical “would obliged prove time will the State be to undergo greater anguish far mental than for S.C.’s condition meets the test unavail- normally appearances accompanies court ability have set out. we rapes ... that her victims of and likely in court ... be appearance lapse of time Given psychosis, possible lead to severe even sui- adopted fact now that we have standard Id, ample at 828. There was rec- cide.” determining psychological unavailabili that the witness had suffered ord evidence prudence ty, a new examination of dictates depression that severe had reached suicid- should S.C. The examination cover Additionally, independent al levels. Id. enough detailed Warren factors be sup- of the witness psychiatric evaluation allow district court to determine decision, ported court’s the trial psychologically whether is unavailable independent witness concurred with the adopted. under have the standard we expert opinion the State’s witness. at 828-29. court, If in applying the district unavailable, standard, in is passage think the determines S.C. following

We War- up then to determine if the aptly feeling ren our as when it the court will need sums “particu- meets the appropriate apply theory psy- videotaped interview ac- chological unavailability: guarantees larized of trustworthiness” CADY, cording Supreme (dissenting). to the factors the Court Justice Wright found appropriate. respectfully I dissent from the conclu- Wright imply do not the factors We majority sion reached the trial may consider. are the factors a court admitting its court abused discretion mentioned some additional factors We I Castaneda’s act. sex Rojas. See N.W.2d would conclude the trial within court acted its discretion to admit the evidence. Disposition. we Because conclude

IV. *13 admitting in the district court erred the majority The assumes evi- disputed the challenged testimony for- of Castaneda’s specific dence relevant to intent the wife, we the of the mer vacate decision the element of crime of indecent contact appeals, of judgment court reverse the of assumption with a child. This is correct sentence, conviction and remand for a because the intent or state mind associ- of new trial. prior the ated with sex act makes more AP- DECISION OF COURT OF probable than not that VACATED; PEALS OF JUDGMENT specific the have had intent to arouse or REVERSED; DISTRICT COURT CASE if satisfy his desire other evidence REMANDED FOR TRIAL. NEW engaged prohibit- at trial he showed the child. See Iowa Rs. with a ed contact justices All concur except SNELL and 404(b). Thus, Evid. fighting ques- the NEUMAN, JJ., who concur specially, tion is whether this relevant is evidence CADY, LARSON, TERNUS, JJ., who pro- nevertheless inadmissible “its because dissent. is substantially outweighed by bative value prejudice.” the of danger unfair Iowa R. SNELL, specially). Justice (concurring Evid. 403. opinion I majority concur with the hold- I acknowledge danger prejudice a of ing the case must be and re- reversed by permitting jury exists to hear evi- a manded for new trial. evidence of The prior dence of Castaneda’s How- sex act. prior the defendant’s sexual acts with one ever, danger of unfair prejudice is not than the victim should have been enough exclude evidence under rule 403. as excluded inadmissible of a evidence requires probative The rule value of trait of character under Iowa Rule Evi- substantially the evidence to be out- 404(b), prejudicial dence and as unfairly by weighed danger of prejudice. unfair under Iowa evidence Rule of Evidence 403. “hostility This means evidence arouses addition, the evidence should have sympathy regard for one side without as not under been excluded relevant probative value of the evidence.” by standards established Rule Evi- Iowa of McCormick Evidence on Strong, John W. prior-acts dence is dis- evidence (4th ed.1992). § Yet, we can- to the charged similar offense to which prejudice not assume will occur based sim- relevancy is claimed. engag- Defendant’s ply on the nature of In- the evidence. a ing in sex act with not his wife was stead, 403 requires rule of assessment legal any but did not involve children value of the evidence and the act. illegal The State’s of rele- assertion degree danger, compari- by followed stretches vancy the word “relevant” Fishman, son of the two. Clifford S. unreasonably fashion that would admit re- (7th Jones on Evidence 11:12, § at 290 motely subject connected having matter ed.1994). sex nexus. agree pro- I with the majority that the NEUMAN, J., joins special prior bative value of the act is concurrence. specific diminished this case because the particular prior act evi- manner prohibited contact in the engage intent to dence. or not secondary to whether a child Nevertheless, specific the act occurred. prior the value of the comparison A the crime an element intent remains prejudice with the fear act evidence prove. required the State is a clear conclusion produce does should be excluded. prior act evidence hand, danger degree the other On cau- by is reinforced conclusion This also diminished. evidence is by the posed by given instruction tionary illegal and was not prior act indication court and a lack district charged. the act from factually dissimilar improperly prior act evidence was that the similarity between Generally, greater in argument. used charged gives and the crime act prejudice. unfair risk of greater to a rise in an issue of this appeal Our role Fishman, on Evidence Jones S. judgment 3 Clifford our not to substitute nature is ed.1998). case, (7th In this 17:93, § at 618 judge trial made for the decision *14 likely dissimilarity makes it less the factual of discretion a clear abuse to look for but the evidence misuse jury recognize must of that decision. We crime committed conclude Castaneda is diffi- under rule 403 balancing task have fan- may he simply because charged to dif- cult, may come judges and “[w]ise committing a children while about tasized situations.” similar fering conclusions is evidence Thus, an adult. When judges act with § sex trial at 782. Strong, dissimilar, is less likelihood there to make such deci- position in the are best guilt. it to infer misuse leeway.” will “much given should be sions and failed to majority has at 783. pri- likelihood that Additionally, the important precept. follow generate in this case would evidence or act way to render or shock such disgust TERNUS, JJ., join this LARSON verdict a rational jury unable to return dissent. if the it would be far less than is an actual consisted of charged The crime of a child. abuse most of shocking, and

this case is necessarily be support it will

evidence to Yet, suggest nothing

shocking. there strong particularly in a jury will react

Case Details

Case Name: State v. Castaneda
Court Name: Supreme Court of Iowa
Date Published: Jan 18, 2001
Citation: 621 N.W.2d 435
Docket Number: 98-0835
Court Abbreviation: Iowa
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