In this criminal case, defendant appeals a judgment convicting him of one count of fourth-degree assault, ORS 163.160, of his wife, arguing that the trial court erred in admitting evidence that defendant had previously threatened to kill her. The trial court admitted the evidence on the theory that it was relevant to show that, contrary to defendant’s assertions, he had caused the complainant’s injuries intentionally, not accidentally. On appeal, defendant contends, among other things, that the court erred in admitting the evidence because the state failed to carry its burden of demonstrating, as required by OEC 404(3), that the evidence was logically relevant to show something other than defendant’s bad character. We agree that the court erred in admitting the evidence of the threat, and we conclude that that error was not harmless. Accordingly, we reverse defendant’s conviction and remand for further proceedings.
“‘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 [made its decision].”’ State v. Johnson,
One afternoon in December 2011, shortly after the complainant arrived home from work, defendant and the complainant had an altercation at their home. The complainant’s boss, who had dropped her off, heard the altercation and called 9-1-1. A Klamath County Sheriffs Deputy responded, and the complainant told him that defendant had punched her twice in the face. The complainant had an abrasion on her face, and defendant had recent injuries on his knuckles.
In an interview with the deputy, defendant said that he had not punched the complainant. Instead, he asserted that, while he had been angrily pulling his coat out of a closet during the argument, the closet door had gotten caught on the coat and the door had bounced off of his own face and then hit the
During the complainant’s testimony, the state sought to present evidence of a threat that defendant had made against the complainant at some point in the past. At a hearing outside the presence of the jury, the complainant testified, without elaboration, that, “a few years ago,” defendant had threatened to take her out into the woods and kill her. The court decided that, in light of defendant’s assertion that he had injured the complainant accidentally, not intentionally, and the suggestion that he might have been acting in self-defense (by “stiff-arming” the complainant while she tried to push him out the door) the evidence was admissible under State v. Harris,
After the ruling, the complainant testified before the jury that, sometime in the past, defendant had threatened to take her out into the woods to kill her. The jury found defendant guilty, and he appeals the resulting conviction.
Before setting out the parties’ arguments, we explain the relevant law in some detail. In this case, our analysis is governed by OEC 404(3), which 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.”1
In State v. Hampton,
“‘(1) The evidence must be independently relevant for a noncharacter purpose [such as, in this case, proof of motive]; (2) the proponent of the evidence must offer sufficient proof that the uncharged misconduct was committed and that defendant committed it; and (3) the probative value of the uncharged misconduct evidence must not be substantially outweighed by the dangers or considerations set forth in OEC 403. Each of these requirements must besatisfied before uncharged misconduct evidence is admissible under OEC 404(3).’”
Id. at 254 (quoting State v. Johnson,
In Johns,
Because the idea underlying the doctrine of chances is that “‘similar results do not usually occur through abnormal causes,”’ id. (quoting Wigmore, 2 Evidence § 302 at 246), “[i]n order for other acts evidence to be logically relevant under the doctrine of chances, the other act must be similar to the charged act.” State v. Tena,
After Johns was decided, both we and the Supreme Court applied the Johns test to a wide variety of evidence offered to show intent under OEC 404(3), sometimes without considering whether the evidence was offered on a doctrine-of-chances theory. See, e.g., State v. Moen,
However, in Turnidge, the Supreme Court recently explained that the Johns test applies only to evidence admitted under a doctrine-of-chances theory.
Instead of applying the Johns test, the court in Turnidge considered whether the evidence at issue in that part of the opinion—evidence that the defendant had previously conducted a “trial run” of the charged bank bombing by calling in a bomb threat to a nearby bank and watching the law enforcement response—was logically relevant to show that the defendant had formed and executed a plan that included both the trial run and the charged bank bombing.
With that legal context in mind, we turn to the parties’ arguments in this case. In his opening brief, defendant argues that his threat against the complainant was not relevant to his intent in injuring the complainant because it failed the Johns test.
“We review for legal error [a] trial court’s decision to admit evidence of uncharged misconduct under OEC 404(3).” State v. Stubblefield,
The facts of Harris did not allow an inference that the defendant shot at the victim by accident and, accordingly, we did not mention that possibility in our analysis. See Johns,
As the Supreme Court explained in Turnidge, the Johns test does not apply to evidence offered to prove intent on a theory other than the doctrine of chances. Turnidge,
In this case, defendant did assert that he had caused the complainant’s injuries by accident: he contended that he had injured the complainant’s face by accidentally hitting it with the closet door and, perhaps, by “stiff-arming” her while she tried to push him out the door. Nevertheless, the court did not admit the evidence of the threat under a doctrine-of-chances theory. As explained above, the doctrine of chances relies on the understanding that, the more often a particular result has occurred because of an abnormal cause, the less likely it is that the abnormal cause is the explanation for another occurrence of the result. Johns,
Thus, we turn to the state’s argument that the evidence was relevant for a nonpropensity
The parties dispute whether that requirement is satisfied here. As noted above, the evidence of the prior threat was that, “a few years ago,” defendant had told the complainant that he would take her out into the woods to kill her. The record does not reveal anything else about the context in which the threat was made. It does reveal that defendant and the complainant had known each other since they “were kids going to school.” At the time of the charged assault, they had been married for not quite three years, lived together, and had a three- or four-year-old child. The complainant testified that the argument that led to the charged assault began when she got home from work, when she and defendant “started arguing around, yelling at each other back and forth.” She did not remember what the argument was about; she explained, “It was probably something little and then it just got blown up.” There is no evidence about any previous arguments or that either party had been injured in an argument before.
The state contends that “a threat to kill someone gives rise to the following reasonable inference: the person making such a serious threat must have deep-seated hostile feelings for the target of the threat, which feelings are unlikely to dissipate to an insignificant level even over a period of years.” Defendant responds that, in the absence of further development of the record, it is not reasonable “to infer that defendant’s hostility toward [the complainant] persisted over a period of years * * * and that that hostility resurfaced on the day of the alleged assault.”
Thus, the state’s proffered theory of relevance is that the threat evidence is probative of defendant’s intent to injure the complainant by way of a theory of motive: The threat evidence demonstrates that defendant felt hostility toward the complainant a few years before the charged assault, and, in the state’s view, the jury could infer that that hostility continued sufficiently until the day of the charged assault to provide a reason for defendant to have intentionally injured the complainant on the day in question.
“‘Motive is *** a cause or reason that moves the will and induces action, an inducement which leads to or tempts the mind to commit an act.’ State v. Walker,244 Or 404 , 412,417 P2d 1004 (1966) (citations omitted). Motive is a relevant circumstantial fact that refers to why a defendant did what he did; it generally need not be established by the prosecution to prove guilt. State v. Rose,311 Or 274 , 283,810 P2d 839 (1991). Evidence of motive is often pertinent as the basis to infer that the act was committed, or to prove the requisite mental state, or to prove the identity of the actor. Wright & Graham, 22 Federal Practice and Procedure 479, & 5240. Of course, ‘courts must be on guard to prevent the motive label from being used to smuggle forbidden evidence of propensity to the jury.’ Id.”
Hampton,
To determine whether evidence of a prior act is relevant to show the defendant’s motive to commit the charged act, we look to whether the state has showed “‘some substantial connecting link between the two acts.’” Turnidge,
In Turnidge, one of the questions before the court was whether evidence that the defendant vehemently disliked police, corrections officers, and the government made it more likely that he intended to kill law enforcement officers when he planted a bomb at a bank and made a bomb threat to that bank and another bank.
“In Flett, the defendant was accused of killing her husband, and she argued at trial that his death had occurred during a violent fight. The state introduced evidence that the defendant had told a neighbor several months before that she had had a one-time affair. [The Supreme C]ourt assumed that the state permissibly could use evidence of marital infidelity (particularly, recently occurring infidelity) ‘in a proper case/ because it might have ‘some slight probative value/ such as proving motive, particularly where ill will toward the deceased spouse might be an issue. [Flett, 234 Or] at 126-27. The court stated, however, that ‘the connection between isolated acts of marital infidelity and the purposeful slaying of a spouse is extremely tenuous in any case.’ Id. at 127. Turning to the record, the court observed that the defendant and the victim regularly had quarreled and drunk excessively, and ‘no evidence [tended to show] that the hostility, if any, of one spouse toward the other had anything to do with marital fidelity.’ Id. at 127-28. Given those circumstances, the court concluded that the trial court abused its discretion in admitting the evidence, which ‘had nothing to do with the issues that the jury was called upon to decide.’ Id. at 128. In noting further that the state had attempted to ‘blacken the defendant’s character by proof of collateral misconduct having so little to do with the crime as to be virtually irrelevant/ the court commented that the evidence was improper ‘unless the state is prepared to show some substantial connecting link between the two acts.’ Id.”
Turnidge,
In State v. Garrett, as in Flett, the Supreme Court concluded that the record did not support the inference that the state sought to have the jury make. In that case, the defendant was charged with the murder of Williams, and the state sought to admit evidence relating to the defendant’s earlier convictions for assault of Moore, which had been motivated by the defendant’s desire to steal drugs from Moore.
The Supreme
“There is nothing in the record to establish that a robbery or burglary was committed during the Williams homicide. Instead, the record shows that nothing was missing from Williams’s residence and that Williams’s checkbook, cash, and jewelry were undisturbed. The state’s assertion that Williams’s marijuana was stolen is based on a detective’s testimony that it is common for drug dealers to possess large quantities of marijuana and that detectives were surprised that only a small amount of marijuana was found in Williams’s residence. The detective’s experience that drug dealers usually have large quantities of drugs on hand is insufficient in this context to give rise to a permissible inference that the person or persons who murdered Williams did so in the course of burglarizing and robbing Williams of a large quantity of marijuana. In light of the evidence of sexual assault [of Williams] and the absence of any evidence of robbery or burglary, the state’s claim that a robbery or burglary took place in furtherance of the Williams homicide is mere conjecture.”
Garrett,
Flett and Garrett demonstrate that the mere possibility that the same motive that caused an earlier crime or act also caused the charged crime is not enough to make evidence of the prior act relevant. Instead, something in the circumstances of the charged crime must suggest that the identified motive is at work. Said another way, there must be a logical match between the motive and the specific circumstances of the charged crime, or, as the Supreme Court put it in Flett, a “substantial connecting link” between the two acts.
In Flett, as described above, the state contended that the defendant’s one-time affair demonstrated ill will toward the victim (the defendant’s husband) and that ill will could have caused her to kill him during an argument.
Similarly, in Garrett, the record did not support the inference that robbery or burglary might be the motive for the charged murder. Although a detective had testified that the victim was known as a marijuana dealer and that investigators were surprised that she did not have more marijuana in her house, the circumstances of the crime did not support an inference that she had been robbed.
In State v. Clarke,
Finally, we turn to the arguments and facts before us. As noted above, the state contends that, once one person has threatened to kill another, it is reasonable to infer that, at any time in the future, the hostility demonstrated by the threat persists and provides a motive for injuring the other. That assertion is similar to the state’s assertion in Flett that an act of infidelity is always relevant in a case involving the murder of a spouse. It is possible that the ill will demonstrated by a prior infidelity—or, in this case, the hostility demonstrated by a prior threat—could motivate a later assault or murder. As Flett and Garrett demonstrate, however, that possibility is not enough to make the purported motive evidence relevant. Instead, courts must evaluate a past act to determine, first, what motive the prior threat demonstrates, and, second, whether the circumstances of the charged crime support an inference that the same motive is at work.
Here, regarding the prior act, the record reveals only that, a few years before the charged conduct, defendant threatened to kill the complainant. We agree with the state that the threat shows that, when it was made, defendant was angry with, and hostile toward, the victim. However, on this record, we have no way of evaluating whether a substantial link exists between that hostility and the charged assault. That is, the record lacks the information necessary to determine whether the same hostility might have been at work in both incidents.
The record contains no evidence about the context in which the threat was made. It lacks information about what, if anything, preceded or led to the threat and whether the threat was the type of threat that, in another context, has been described as “hyperbole,” “rhetorical excess!],” or an “impotent expression!] of anger or frustration.” State v. Rangel,
The threat does not suggest any motive more specific than generalized hostility. Cf., e.g., Turnidge,
Furthermore, to the extent that generalized hostility can provide the necessary link
Given the lack of information about the circumstances surrounding the threat, the lack of any suggestion of a particular motive in the circumstances of the assault, and the lack of support for an inference that defendant’s general hostility continued over the intervening “few years,” the record does not support an inference that the hostility that caused the threat also motivated the charged assault. Accordingly, the state did not carry its burden of showing that the evidence of the threat was relevant, and the court erred in admitting the evidence.
We cannot say that the error was harmless. See State v. Davis,
Reversed and remanded.
Notes
In State v. Williams,
Here, because the state has not argued, below or on appeal, that the evidence is relevant and admissible for propensity purposes under OEC 404(4), we need not decide that question. See State v. Hudman,
As we observed in Tena,
“Because the doctrine of chances is premised on the idea that it is unlikely that multiple instances of similar conduct will be the result of an innocent intent, evidence is logically relevant under the doctrine only when the other acts involve innocent intents. In other words, because the doctrine is based on the idea that recurring similar mistakes or accidents are increasingly unlikely, the doctrine supports the admission of other acts evidence only when the other acts were, or are claimed to have been, the product of a mistake or accident.”
Specifically, in Johns, the Supreme Court stated:
“[I]n evaluating prior crime evidence on the issue of intent or absence of mistake, the trial judge should make these determinations:
“(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?
“(6) If these criteria are met, is the probative value of the prior act evidence substantially outweighed by the danger of unfair prejudice, confusion of issues or misleading the jury, undue delay or presentation of cumulative evidence?”
Following the enactment of OEC 404(4) in 1997, we held that evidence of other acts by a criminal defendant could be admitted without applying the sixth Johns factor; that is, it could be admitted without balancing the probative value of the evidence against the danger of unfair prejudice. See, e.g., State v. McIntyre,
Although the court did not cite Hampton in that section of its analysis, it evaluated the logical relevance of the disputed “plan” evidence; in doing so, it was applying the first requirement of the Hampton test—that the evidence be independently relevant for a noncharacter purpose. See Turnidge,
We reject the state’s argument that that argument was not preserved because defendant did not raise it to the trial court until after the court admitted the evidence. The trial court made its ruling, which, as we have explained, was based on Harris, without giving defendant an opportunity to object. Defendant objected when the victim testified to the threat, and he raised the Johns issue at the next available opportunity, noting that the court had not given him an opportunity to raise it earlier. The court agreed and addressed defendant’s argument, adhering to its determination that the evidence was admissible under Harris. Under those circumstances, defendant was not required to raise his argument before the court ruled. See Peeples v. Lampert,
In Turnidge, the court explained how to determine the relevance of motive evidence to prove intent under OEC 401. The same principles apply to determine, under OEC 404(3), whether prior bad acts evidence is relevant to prove motive and thereby to prove intent, with additional focus on the requirement that the “chain of logical relevance” connecting the disputed evidence to the charged crime must “not ultimately rely on an inference relating to [the] defendant’s character or propensity.” Garrett,
