Opinion ID: 1693750
Heading Depth: 1
Heading Rank: 8

Heading: Evidence of Prior Uncharged Sexual Assaults

Text: Sanchez' remaining assignments of error relate to the trial court's denial prior to trial of his motion in limine to exclude the testimony of L.G. and Au.G. that they had been sexually assaulted by Sanchez 22 years ago and 11 to 12 years ago, respectively, and the trial court's admission at trial of such testimony over Sanchez' objection. The admissibility of what has been characterized as other crimes or similar acts evidence is governed by rule 404(2), which provides: Evidence of other crimes, wrongs, or acts is not admissible to prove the character of a person in order to show that he or she 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. The admissibility of other crimes evidence under rule 404(2) must be determined upon the facts of each case and is within the discretion of the trial court. State v. White, 244 Neb. 577, 508 N.W.2d 554 (1993). Before the prosecution may offer other crimes evidence pursuant to rule 404(2) in a criminal case, it must first prove to the trial court, out of the presence of the jury, by clear and convincing evidence that the accused committed the crime, wrong, or act. Rule 404(3). Sanchez argues that the State failed to meet this burden because of inconsistencies in the testimony of L.G. and Au.G. at the pretrial hearing held pursuant to rule 404(3). We have not specifically defined the phrase clear and convincing evidence as it is used in this rule. However, we have stated that under rule 404(2), evidence of prior uncharged crimes cannot be admissible unless there is sufficient evidence that the crimes were actually committed and that the defendant committed them, to warrant submission to a jury if the other crimes had been charged. State v. Timmerman, 240 Neb. 74, 87, 480 N.W.2d 411, 419 (1992). In this case, L.G. and Au.G. testified that they were sexually assaulted at the ages of 13 and 5, respectively, and positively identified the assailant as Sanchez. L.G. testified that she gave birth to A.G. at the age of 14, after being impregnated by Sanchez. This evidence describes criminal conduct and would have been sufficient to warrant submission to a trier of fact if Sanchez had been charged with such crimes. We conclude that the State met the threshold requirement imposed by rule 404(3) and therefore turn our consideration to the issue whether evidence of the uncharged prior crimes was admissible in this case under rule 404(2). It is axiomatic that only relevant evidence is admissible. State v. McManus, 257 Neb. 1, 594 N.W.2d 623 (1999); State v. Merrill, 252 Neb. 736, 566 N.W.2d 742 (1997). Relevant evidence is that which has any tendency to make the existence of any fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence. Rule 401. Accord State v. McManus, supra . However, rule 404(2) prohibits the admissibility of relevant evidence for the purpose of proving the character of a person in order to show that he or she acted in conformity therewith. Stated another way, rule 404(2) prohibits the admission of other bad acts evidence for he purpose of demonstrating a person's propensity to act in a certain manner. State v. McManus, 257 Neb. at 6, 594 N.W.2d at 628. See, also, In re Interest of Floyd B., 254 Neb. 443, 577 N.W.2d 535 (1998); State v. Freeman, 253 Neb. 385, 571 N.W.2d 276 (1997). The reason for the rule is that such evidence, despite its relevance, creates the risk of a decision by the trier of fact on an improper basis. State v. McManus, supra . The exclusion of other crimes evidence offered to show a defendant's propensity protects the presumption of innocence and is `deeply rooted in our jurisprudence.' Id. at 7, 594 N.W.2d at 628, quoting People v. Crawford, 458 Mich. 376, 582 N.W.2d 785 (1998). However, evidence of other crimes which is relevant for any purpose other than to show the actor's propensity is admissible under rule 404(2). Evidence that is offered for a proper purpose is often referred to as having `special' or `independent relevance,' which means its relevance does not depend on its tendency to show propensity. State v. McManus, 257 Neb. at 8, 594 N.W.2d at 629. In Huddleston v. United States, 485 U.S. 681, 108 S.Ct. 1496, 99 L.Ed.2d 771 (1988), the U.S. Supreme Court stated that the protection against admission of unduly prejudicial other crimes evidence emanates from four sources: (1) from the requirement of Fed.R.Evid. 404(b) that the evidence be offered for a proper purpose; (2) from the relevancy requirement of Fed.R.Evid. 402; (3) from the assessment that the trial court must make under Fed.R.Evid. 403 to determine whether the probative value of the other crimes evidence is substantially outweighed by its potential for unfair prejudice; and (4) from the requirement of Fed.R.Evid. 105 that the trial court shall, upon request, instruct the jury that the other crimes evidence is to be considered only for the purpose for which it was admitted. We first recognized this analytical framework for reviewing the admissibility of other crimes evidence under the corresponding provisions of the Nebraska Evidence Rules in State v. Ryan, 233 Neb. 74, 444 N.W.2d 610 (1989), and have applied it in subsequent cases. See, e.g., State v. Carter, 255 Neb. 591, 586 N.W.2d 818 (1998); State v. Kirksey, 254 Neb. 162, 575 N.W.2d 377 (1998); State v. Freeman, supra . Recognizing that the first and second elements of this test are necessarily interrelated in that independent relevance is synonymous with proper purpose, we restated the test in State v. McManus, 257 Neb. at 9, 594 N.W.2d at 629, as follows: [T]his court's rule 404(2) analysis considers whether the (1) evidence was relevant for some purpose other than to prove the character of a person to show that he or she acted in conformity therewith, (2) probative value of the evidence is substantially outweighed by its potential for unfair prejudice, and (3) trial court, if requested, instructed the jury to consider the evidence only for the limited purpose for which it was admitted. We apply this analysis in reviewing the admissibility of other crimes evidence in the present case. In addressing the initial question of whether the evidence of other crimes was relevant for some purpose other than that prohibited by rule 404(2), we are hampered by the fact that the purpose for which this evidence was offered and received in this case is not clear from the record. In its Notice of Intent to Present 404 Evidence, the State expressed its intent to present evidence of other acts of the defendant pursuant to rule 404(2), but did not state the purpose for which such evidence would be offered. Likewise, the record of the hearing held pursuant to rule 404(3) does not disclose the purpose for which the evidence was offered, and in its order, the trial court did not identify the purpose for which it would be received, stating only that [t]he State is allowed to present such evidence ... within the bounds set by Neb.Rev.Stat. § 27-404(2). A similar ambiguity of purpose was addressed by the court in U.S. v. Murray, 103 F.3d 310 (3d Cir.1997), in which other crimes evidence was offered and received pursuant to Fed.R.Evid. 404(b), which is substantially similar to Nebraska's rule 404(2), without a clear statement of its purpose. The U.S. Court of Appeals stated that trial judges should exercise particular care in admitting other crimes evidence for two reasons: First, the line between what is permitted and what is prohibited under Rule 404(b) is sometimes quite subtle. Second, Rule 404(b) evidence sometimes carries a substantial danger of unfair prejudice and thus raises serious questions under Fed.R.Evid. 403. Therefore, it is advisable for a trial judge to insist that a party offering Rule 404(b) evidence place on the record a clear explanation of the chain of inferences leading from the evidence in question to a fact that is of consequence to the determination of the action. [Citation omitted.] And it is likewise advisable for the trial court to place on the record a clear explanation of the basis for its ruling on the admission of the evidence. Not only do these procedures help to ensure that sensitive Rule 404(b) rulings are made with care (and thus to diminish the likelihood that these rulings will result in reversals), but these procedures greatly assist the process of appellate review. U.S. v. Murray, 103 F.3d at 316. Similarly, the Sixth Circuit requires that the specific purpose of other crimes evidence be stated by its proponent so that the trial court can make a determination of its materiality. U.S. v. Merriweather, 78 F.3d 1070 (6th Cir.1996). See, also, 2 Joseph M. McLaughlin, Weinstein's Federal Evidence § 404.23[5][b] at XXX-XXX-XX (2d ed.1999) (court should require the proponent of [other crimes] evidence to identify the specific purpose for which the evidence is offered and if purpose is not clear, should not hesitate to press counsel to provide a clear explanation at sidebar). We agree with these authorities and therefore hold that henceforth, the proponent of evidence offered pursuant to rule 404(2) shall, upon objection to its admissibility, be required to state on the record the specific purpose or purposes for which the evidence is being offered and that the trial court shall similarly state the purpose or purposes for which such evidence is received. See State v. Osborn, 250 Neb. 57, 547 N.W.2d 139 (1996). Any limiting instruction given upon receipt of such evidence should likewise identify only those specific purposes for which the evidence was received. See U.S. v. Merriweather, 78 F.3d at 1077 (finding reversible error in limiting instructions which recited all permissible purposes of other crimes evidence set forth in Fed.R.Evid. 404(b), stating trial court must `clearly, simply, and correctly' instruct the jury as to the specific purpose for which they may consider the evidence, quoting U.S. v. Johnson, 27 F.3d 1186 (6th Cir.1994)). See, also, NJI2d Crim. 5.3, comment (limiting instruction must call the jury's attention to the particular evidence being limited to a particular use). In the present case, we will consider only those purposes for the other crimes evidence which are urged in the State's brief: intent, opportunity, motive, and identity.