State v. Holt
State v. Holt
Opinion of the Court
*199*828This case comes to us on remand from the Supreme Court. State v. Holt,
To frame the issues before us on remand, we recite an abbreviated version of the procedural history from our original opinion:
"Defendant was charged with [two counts of third-degree sexual abuse] for kissing [EC], a friend of his daughter, during a sleepover. Defendant moved in limine to exclude evidence that defendant had previously kissed [EC], snuggled with her, lain with her on the couch, talked to her on the phone, and asked her for photographs. Defendant's motion included an assertion that he was relying on OEC 403 [.] ***
"* * * * *
"At a pretrial hearing, the state argued that the evidence was admissible to show defendant's 'sexual propensity toward [the] victim' under the reasoning set out in State v. McKay ,309 Or. 305 , 308,787 P.2d 479 (1990). Defendant argued that the evidence was not relevant and the court *829rejected that argument. Defendant did not reiterate his request for OEC 403 balancing, and the court admitted the evidence without conducting balancing. The jury convicted defendant, and this appeal followed.
"After this case was argued, the Supreme Court decided [ State v. Williams ,357 Or. 1 ,346 P.3d 455 (2015) ], in which it held that * * * 'propensity evidence is relevant in child sexual abuse cases to show that a defendant committed the charged acts.' State v. Turnidge (S059155) ,359 Or. 364 , 432,374 P.3d 853 (2016) ( Turnidge ) (discussing Williams ). And it decided that, 'in child sexual abuse prosecutions where the state offered prior bad acts evidence to prove that the defendant had a propensity to sexually abuse children, due process "at least requires that, on request, trial courts determine whether the probative value of the evidence is outweighed by the risk of unfair prejudice." ' Turnidge ,359 Or. at 431 [374 P.3d 853 ] (quoting Williams ,357 Or. at 19 [346 P.3d 455 ] )."
Holt I ,
Relying on Williams , defendant argued that the trial court erred in failing to balance the probative value of evidence of his previous conduct toward EC against the risk of unfair prejudice from that evidence. Holt I ,
We agreed with defendant's understanding of Williams and rejected the state's preservation and "due process balancing" arguments. Holt I ,
" 'Under Williams , a failure to perform the requisite balancing test is a violation of a defendant's due process rights under the United States Constitution.'
*830Brumbach ,273 Or. App. at 564 [359 P.3d 490 ] (citing Williams ,357 Or. at 18 [346 P.3d 455 ] ). Thus, we must reverse and remand for a new trial unless we can confidently say, ' "on the whole record, that the constitutional error was harmless beyond a reasonable doubt." ' Id. at 564 [359 P.3d 490 ] (quoting Delaware v. Van Arsdall ,475 U.S. 673 , 681,106 S.Ct. 1431 ,89 L.Ed.2d 674 (1986) ). Here, the trial court could conclude that 'the evidence is so unfairly prejudicial as to be inadmissible under OEC 403.' Brumbach ,273 Or. App. at 565 [359 P.3d 490 ]. And, with that evidence excluded, the outcome of the trial could have been different. Accordingly, we cannot say that the error in admitting the evidence at issue-that defendant had been intimate with the victim prior to the charged acts of kissing the victim-without first conducting balancing would not have affected the jury's determination of whether defendant kissed the victim as charged. See id . Thus, we reverse and remand for a new trial."
Holt I ,
After we reversed and remanded for a new trial, the state petitioned for review in the Supreme Court. While the petition was pending, the Supreme Court issued a trilogy of cases involving OEC 403 balancing, Baughman , Mazziotti , and Zavala . That trilogy addressed many of the issues posed in this case.
In Baughman , the court held that OEC 404(4) requires trial courts to conduct balancing under OEC 403 rather than a "narrower, 'due process' standard for evaluating the admissibility of evidence." 361 Or. at 399,
*831In Mazziotti , the court similarly rejected the state's argument that "traditional" OEC 403 balancing was not required, and it held that the trial court in that case erred by failing to conduct the necessary OEC 403 balancing. 361 Or. at 374-75,
Both Mazziotti and Baughman involved preserved claims of error with regard to the trial court's failure to conduct OEC 403 balancing. In the third case of the trilogy, Zavala , the question of preservation was in dispute. But rather than work through those preservation issues, which the court described as a "briar patch," it affirmed the trial court's judgment-and reversed our decision-on the ground that any error was harmless. 361 Or. at 384,
After issuing those three decisions, the Supreme Court allowed the state's petition for review and remanded the case to us for reconsideration in view of those cases. Holt II ,
We begin with the question of harmless error. As set out previously, 292 Or. App. at 829-30, 425 P.3d at 199-200, our original opinion in this case applied the federal "harmless beyond a reasonable doubt" test to determine whether the trial court's failure to balance under OEC 403 was prejudicial. Holt I ,
In the state's view, the balancing error in this case had little likelihood of affecting the judgment for the same reasons as in Zavala : The evidence of defendant's previous intimate conduct with EC was admitted, like the evidence in Zavala , to prove defendant's sexual disposition toward the victim, and "[s]uch nonpropensity evidence is generally admissible, unless, of course, the particular facts demonstrate a risk of prejudice that substantially outweighs its probative value." 361 Or. at 385,
Defendant disagrees with each part of the state's harmless error analysis. In defendant's view, evidence of his *833sexual predisposition toward EC is simply propensity evidence, because "[a] person's 'sexual disposition' is a character trait of that person," and the person's "sexual inclination" toward a person "is another way of saying that he or she is likely to act in conformity with that character trait." Defendant argues that such evidence is manifestly unfairly prejudicial, because it asks the jury to find that he engaged in the charged acts of intimate conduct because he had done so before. Furthermore, he argues that evidence that he previously kissed EC, snuggled with her, lay with her on the couch, talked to her on the phone, and asked her for photographs had relatively little probative value with respect to his sexual predisposition toward EC compared to other unchallenged evidence-specifically, that defendant had asked EC whether he could "finger" her or have sex with her during one of the *202charged incidents. In defendant's view, a trial court conducting OEC 403 balancing with regard to evidence not only could determine that the probative value was substantially outweighed by the risk of unfair prejudice, it would be required to make that determination and exclude the evidence.
We are not persuaded by either of the parties' polar positions with respect to the permissible outcomes of balancing in this case. Defendant's argument that the trial court would have had no choice but to exclude the evidence follows from his contention that a theory of relevance based on "sexual predisposition" is actually a propensity theory and that the evidence has no other probative value. That argument conflicts with Zavala , which is expressly predicated on the understanding that the McKay theory of relevance to show sexual predisposition is a nonpropensity theory. 361 Or. at 385,
We likewise reject the state's contention that it would have been error for the trial court to exclude the evidence after conducting OEC 403 balancing. Whether or not *834"sexual predisposition" is a propensity theory, admission of evidence of defendant's intimate conduct toward EC, a 15-year-old girl, posed a risk that the jury would use that evidence improperly to convict defendant based on his character rather than on whether the charged acts occurred. At the same time, the trial court could have determined that, under the circumstances, the probative value of that earlier intimate conduct to show "sexual predisposition" was relatively low in light of the unchallenged evidence that defendant explicitly propositioned sexual contact with EC, which provided more direct evidence that he had a sexual interest in her and that the charged acts were motivated by and consistent with that sexual interest. Depending on how the trial court weighed that probative value against the risk of unfair prejudice, it permissibly could have exercised its discretion to admit or exclude some or all of the evidence of defendant's previous conduct with EC; either decision would have fallen within the permissible range of outcomes.
For that reason, this case is distinguishable from Zavala in that defendant has identified a "meritorious argument that could persuade a trial court to exclude the challenged evidence." 361 Or. at 385,
*835That brings us to the parties' dispute over the appropriate remedy for the error. The state asserts that, if the error was not harmless, we should remand to the trial court to determine "whether, after conducting a correct analysis under OEC 404 and OEC 403, other acts evidence should again be received and whether a new trial is required or appropriate." Baughman , 361 Or. at 410,
As previously discussed, 292 Or. App. at 833, 426 P.3d at 201-02, we disagree with defendant's premise that exclusion of the evidence is necessarily required by OEC 403 on this record. We therefore agree with the state that the appropriate remedy is the limited remand described in Baughman .
Reversed and remanded.
Nothing in the Supreme Court's trilogy of OEC 403 cases changes our conclusions that defendant's claim of error was preserved and that it was, in fact, error for the trial court to admit the evidence without conducting OEC 403 balancing. We adhere to those conclusions and, on remand, address only the questions of harmlessness and remedy raised in the parties' supplemental briefing.
We reached the same conclusion in our original opinion when applying the federal harmless error analysis. Holt I ,
Reference
- Full Case Name
- STATE of Oregon, Plaintiff-Respondent v. David Henry HOLT
- Cited By
- 5 cases
- Status
- Published