Filed: December 17, 1998
STATE OF OREGON,
Petitioner on Review/
Respondent on Review,
v.
GARY TODD STEVENS,
Respondent on Review/
Petitioner on Review.
On review from the Court of Appeals.*
Argued and submitted January 7, 1998.
Ann Kelley, Assistant Attorney General, Salem, argued the cause and filed the briefs for petitioner on review/respondent on review. With her on the briefs were Hardy Myers, Attorney General, and Virginia L. Linder, Solicitor General.
Stephen A. Houze, Portland, argued the cause and filed the briefs for respondent on review/petitioner on review.
Before Carson, Chief Justice, and Gillette, Van Hoomissen, and Durham, Justices.**
GILLETTE, J.
The decision of the Court of Appeals is affirmed in part and reversed in part. The judgment of the circuit court is affirmed.
*Appeal from Lane County Circuit Court,
James R. Hargreaves, Judge.
147 Or App 592, 938 P2d 780 (1996).
**Fadeley, J., retired January 31, 1998, and did not participate in this decision; Graber, J., resigned March 31, 1998, and did not participate in this decision; Kulongoski, J., did not participate in the consideration or decision of this case.
GILLETTE, J.
In this criminal case, defendant was charged with murdering an eighteen-month-old child. At trial, his theory of defense was that the death was caused by the child's mother, who also was his girlfriend. A jury convicted defendant. He appealed, arguing, among other things, that the trial court erred in permitting the state to present expert testimony that the mother suffered from a psychological condition known as Battered Woman Syndrome (BWS). Although the Court of Appeals rejected that and several other of defendant's assigned errors, it ultimately reversed the conviction and remanded for a new trial on two grounds: (1) the trial court erred in excluding evidence of the mother's prior assaults on her two other children; and (2) the trial court erred in denying defendant's motion to limit the state's use of certain evidence of defendant's prior "bad acts." State v. Stevens, 147 Or App 592, 938 P2d 780 (1997).
Both defendant and the state petitioned for review of the Court of Appeals' decision. The state challenges the reversal of defendant's conviction on the two grounds mentioned, while defendant adheres to his earlier arguments, including his argument that the trial court erred in permitting expert testimony regarding BWS. We allowed both petitions. We now conclude that none of the trial court rulings at issue constituted reversible error. Accordingly, we reverse, in part, and affirm, in part, the decision of the Court of Appeals and affirm the judgment of the circuit court.
At the time of the murder, defendant was staying with his girlfriend, Rambeck, and her three children in Rambeck's apartment. On the morning of May 8, 1992, Rambeck called 9-1-1 to report that she was unable to awaken Sarah, her youngest child. When emergency personnel arrived, they found that Sarah was dead, and had been for some time. Later, the medical examiner determined that Sarah had been beaten to death sometime between 9:00 p.m. and midnight the night before. Only two adults had been in the apartment with Sarah during that time period: Rambeck and defendant.
After Sarah's death, defendant moved out of the apartment. However, Rambeck continued to see defendant on a regular basis, against the advice of her family, friends, and attorney. Months later, when defendant was arrested and charged with intentional murder and murder by abuse of Sarah, Rambeck agreed to testify for the state.
From the beginning of the trial, the defense attempted to convince the jury that Rambeck, not defendant, was responsible for Sarah's death. In presenting its theory, the defense placed particular emphasis on Rambeck's allegedly "mellow" response to Sarah's death and her continuing relationship with defendant after the death.
Before trial, the state indicated that it intended to offer the expert testimony of Professor Klingbeil that Rambeck suffered from BWS. That evidence was relevant, the state argued, because it would offer an alternative explanation of Rambeck's state of mind, both with respect to her failure to recognize and report signs that Sarah was being abused physically before Sarah's death and her continued relationship with defendant after Sarah died. Without such testimony, the state contended, the jury erroneously might believe that the only reasonable explanation for Rambeck's conduct was that she, rather than defendant, was responsible for Sarah's death and earlier injuries.
Defendant moved to exclude the BWS testimony, arguing
that: (1) Klingbeil lacked the training and expertise required
to make what essentially was a medical diagnosis that Rambeck
suffered from BWS, which, according to Klingbeil, is a variety of
Post-Traumatic Stress Disorder; (2) Klingbeil's "diagnosis" of
Rambeck would be nothing more in fact than improper profile
evidence, i.e., evidence that Rambeck fit the profile of a woman
with BWS; and (3) Klingbeil's testimony would amount to a
disguised opinion as to Rambeck's credibility. The trial court
reserved its ruling on those issues until later in the trial,
when the state could make an offer of proof.
At trial, Rambeck appeared as a witness for the state.
She testified about her own and defendant's actions at the time
of Sarah's death. Rambeck also testified that defendant had
abused her physically. When Rambeck began to describe particular
instances of abuse, defendant objected that the evidence was
unduly prejudicial and of questionable relevance, particularly
when there had been no ruling on the admissibility of the state's
BWS evidence. The trial court overruled the objection, noting
that, regardless of the admissibility of BWS evidence, the
defense had staked out its position -- that Rambeck had killed
the child -- thus making the relationship between Rambeck and
defendant, and its effect on the respective conduct of each,
relevant.(1) Later, after hearing the state's offer of proof with
regard to Klingbeil's BWS testimony, the trial court concluded
that that evidence was admissible scientific evidence.
On appeal, defendant assigned error to both the
foregoing rulings. Although he acknowledged that evidence of his
physical abuse of Rambeck was relevant for a noncharacter purpose
(to explain Rambeck's conduct), defendant argued that that
evidence nevertheless should have been excluded, because its
prejudicial effect outweighed its probative value. With respect
to Klingbeil's testimony, he argued that, although general expert
testimony about BWS is admissible as scientific evidence, certain
aspects of Klingbeil's testimony, including her diagnosis of
Rambeck as suffering from BWS, were not. The Court of Appeals
rejected both arguments, concluding that Klingbeil's testimony
satisfied the standard of admissibility for scientific evidence
and that the necessity of laying a foundation for Klingbeil's
testimony completely justified any evidence of defendant's
physical abuse of Rambeck. Stevens, 147 Or App at 599.
In his petition for review, defendant reiterates the
arguments that he made to the Court of Appeals with regard to the
foregoing rulings. The state responds that both issues were
resolved correctly by the Court of Appeals, and also contends
that the argument concerning the admissibility of BWS evidence
was not preserved and never should have been taken up on appeal.
We begin with the latter point.
Before this court, defendant challenges Klingbeil's
testimony on two grounds. He argues, first, that certain themes
running through Klingbeil's testimony are not "relevant" or
"helpful" to the trier of fact under the framework for
considering the admissibility of scientific evidence set out in
State v. Brown, 297 Or 404, 687 P2d 751 (1984), because, among
other things, those themes are not supported by current
research.(2) In that regard, defendant focuses on three aspects of
Klingbeil's testimony: (1) her general assertion that BWS is
diagnosable and her specific diagnosis of Rambeck as suffering
from BWS; (2) her presentation of theories of "learned
helplessness" and the "cycle of violence" to explain why battered
women behave as they do; and (3) her assertion that BWS is a
"subset" of Post-Traumatic Stress Disorder.(3) In addition to
those specific concerns, defendant argues that the testimony as a
whole was unfairly prejudicial, because there was a substantial
risk that it would mislead or, at least, be given undue weight
by, the jury.
As noted, the state asserted that defendant had not
preserved his arguments. The Court of Appeals' majority,
however, concluded that defendants' arguments to the trial court
had been sufficient to preserve the issue of the admissibility of
BWS testimony as scientific evidence. The majority held that,
regardless of any failure to assert a particular argument or
source of law, plaintiff had satisfied the preservation
requirement by raising, at trial, the general issue of BWS as
scientific evidence. Stevens, 147 Or App at 596.
This court has held that, for purposes of preserving
error, it is essential to raise the relevant issue at trial, but
less important to make a specific argument or identify a specific
legal source with respect to the issue raised. State v. Hitz,
307 Or 183, 188, 766 P2d 373 (1988). Although that principle
imparts some degree of liberality to the preservation
requirement, it does not transform that requirement into a
cursory search for some common thread, however remote, between an
issue on appeal and a position that was advanced at trial.
Instead, in considering whether an objection at trial raised the
"issue" being advanced on appeal, an appellate court must view
the facts in light of the purposes of fairness and efficiency
that underlie the requirement.
In the present case, the state gave notice before trial
that it intended to offer testimony pertaining to BWS and agreed
to submit a brief on the issue. The state submitted its
memorandum early in the trial. In that memorandum, the state
outlined the BWS phenomenon, including the theories of "learned
helplessness" and the "cycle of violence," as those ideas were
described in the literature. It also acknowledged that it was
required to lay a foundation establishing the admissibility of
the proffered testimony as scientific evidence pursuant to the
Brown framework. Finally, the state appended cases and materials
that included discussions relevant to the seven-factor Brown
inquiry and argued that the testimony that it proposed to offer
would be admissible under Brown.
Later, the state made an offer of proof by orally
examining its designated expert, Klingbeil. Klingbeil described
her credentials and her method of diagnosing BWS. She also
testified that the field of psychiatry generally has accepted BWS
as a diagnosis (with acceptance occurring through an evolutionary
process over the course of 20 to 25 years), that her diagnostic
method is accepted in the psychological community, and that
diagnosis of BWS involves no greater rate of error than any other
psychiatric or psychological diagnosis. Finally, Klingbeil
described the syndrome itself and her findings with respect to
Rambeck.
Defendant objected to Klingbeil's testimony, both
orally (following the state's offer of proof) and in writing,
arguing that Klingbeil's testimony was "mere quasi psychiatric or
psychological evidence, which is really nothing more than profile
evidence," that it impermissibly commented on a witness'
credibility, and that Klingbeil was not qualified to make a
psychological diagnosis. Although defendant's written objections
did make general reference to the seven-factor test for
admissibility of scientific evidence set out in State v. Brown,
they raised no issue, as contemplated by Hitz, regarding the
admissibility of Klingbeil's testimony as scientific evidence.
Of particular relevance here, defendant never objected to the
state's evidence regarding the general acceptance of BWS as a
diagnosis, its 25-year history, the wide judicial usage of BWS
evidence, or the rate of error involved in BWS diagnosis.
Despite the foregoing, the Court of Appeals concluded
that defendant's objections at the trial level were sufficient
under Hitz to preserve the argument that he now wishes to pursue,
because, in that court's view, they raised the general issue of
the admissibility of BWS as scientific evidence. However, we are
not persuaded that, under the circumstances described, defendant
satisfied the Hitz standard.
Defendant offered extremely narrow objections to
Klingbeil's testimony. Those objections did not assert that the
state had failed to satisfy the applicable criteria for admission
of that testimony as scientific evidence. By calling Klingbeil's
testimony "quasi psychiatric or psychological evidence,"
defendant sought to persuade the trial court that the testimony
was inadmissible profile evidence, not that it was inadmissible
as scientific evidence. The trial court was entitled to be told
that, in defendant's view, it was committing error by admitting
evidence that did not satisfy the legal standards applicable to
scientific evidence. No such objection was made. Permitting
review under such circumstances, on the theory that defendant's
objections raised the general "issue," would represent an
abandonment of the preservation requirement, as discussed in
Hitz, and the purposes that it serves.
We are satisfied that defendant's arguments pertaining
to the relevance and helpfulness of Klingbeil's testimony under
the Brown analysis were not preserved at trial. We therefore do
not consider them.
The foregoing comments do not apply to defendant's
present contention that the probative value of Klingbeil's
testimony was substantially outweighed by its prejudicial effect.
Defendant did articulate that objection at trial. In particular,
he argued (as he does now) that there was a grave danger that the
jury would overvalue or be misled by Klingbeil's testimony. We
consider that issue.
As noted, defendant contends that Klingbeil's testimony
would tend to "snow" the trier of fact -- that "there is a very
real likelihood that the jury simply accepted her analysis of the
dynamics of defendant's relationship with Lisa Rambeck." We are
not persuaded. There is nothing about Klingbeil's testimony that
would have any greater tendency than that of any other expert to
invade the province of the jury. Although it is true that jurors
may tend to give significant weight to the testimony of experts,
expert testimony, like any other evidence, is open to rebuttal.
Defendant points to nothing that would make Klingbeil's testimony
any more persuasive than that of any other qualified expert. We
reject defendant's argument that Klingbeil's testimony was unduly
prejudicial.
Defendant's second assignment of error pertains to the
admission of evidence of specific instances of his physical abuse
of Rambeck. Defendant correctly notes that such "other wrongs"
evidence is admissible only if: (1) it is independently relevant
for a noncharacter purpose; (2) it is supported by sufficient
proof; and (3) it passes the balancing test of OEC 403, that is,
its probative value is not substantially outweighed by its
potential negative effects. OEC 404(3).(4)
See also State v.
Hampton, 317 Or 251, 254, 855 P2d 621 (1993) (stating and
applying test); State v. Johnson, 313 Or 189, 195, 832 P2d 443
(1992) (same). With respect to the challenged evidence,
defendant concedes the first two requirements -- that it has
independent relevance and is supported by sufficient proof -- are
met here. He argues, however, that the evidence should have been
excluded pursuant to the balancing test of OEC 403 -- that, when
balanced against its limited value to the state's case, the
evidence was too prejudicial, too distracting, and too time-consuming.
For purposes of the foregoing argument, defendant
suggests that evidence of abuse was relevant only as foundation
evidence for later expert BWS testimony and, consequently, that
testimony about specific instances of abuse was unnecessary and
of slight probative value:
"[T]here was no need for the testimony of Rambeck or
third parties concerning specific incidents, because
the jury had already heard testimony that Rambeck had
been physically abused by Defendant. The latter
testimony was sufficient to lay a foundation for the
subsequent expert testimony on battered women."
"* * * * *
"* * * The important testimony with respect to
Rambeck's state of mind was the expert testimony
concerning battered women, and not the foundational
evidence of battering."
Defendant also appears to suggest that the trial court had an
independent responsibility to decide, sua sponte, which evidence
of abuse, and how much, was sufficient to fulfill the permissible
noncharacter purposes for which it was offered.
Neither suggestion is correct. Although evidence of
abuse was admissible for the foundational purpose that defendant
identifies, it also was admissible for at least one other
noncharacter purpose -- to explain Rambeck's conduct and state of
mind independent of Klingbeil's testimony. The state was
entitled to rebut the defense's suggestions regarding Rambeck's
conduct and motives, not only by offering Klingbeil's diagnosis,
but also by setting out direct evidence that helped to explain
the dynamics of Rambeck's relationship with defendant, so that
the jury could draw its own conclusion about the meaning of
Rambeck's conduct. Viewed in that light, we do not accept
defendant's low valuation of the evidence at issue. Whether or
not it was essential as a foundation for Klingbeil's testimony,
Rambeck's testimony about individual instances of abuse lent
significant credibility and force to her own testimony and to the
state's theory that lengthy abuse by defendant had influenced her
behavior. And, because it supports that theory, third-party
testimony about specific instances of abuse also had significant
probative value.(5)
In short, we do not agree with defendant's conclusion
that the evidence at issue had little probative value. Moreover,
although we agree with defendant that the evidence was
potentially prejudicial, it was not unfairly so, in light of the
fact that defendant's own trial strategy opened the door to its
admission. In short, we hold that the trial court was within the
range of discretion granted to it in concluding that, on balance,
the evidence was more probative than prejudicial.
Defendant argues that State v. Hansen, 304 Or 169, 743
P2d 157 (1987), supports his position that evidence of specific
acts of abuse are inadmissible in these circumstances. In
Hansen, a child sex-abuse case, the court held that expert
testimony offered to explain a child's denial of the alleged
abuse could not include testimony regarding the "grooming"
techniques used by child abusers. The court explained that
testimony pertaining to the typical responses of sexually abused
children
"arguably is admissible * * * because it might assist
the trier of fact to understand the student's initial
denial. But the specific techniques used by some child
abusers 'to get close to the victim,' which may result
in the child's emotional dependence on the abuser, are
irrelevant to the effect the dependence has on the
child's willingness to implicate the abuser. It is the
emotional dependence, not the specific acts that
produce it, that helps to explain the child's
behavior."
304 Or at 176. Defendant maintains that the foregoing passage
controls the present issue, i.e., that the fact that Rambeck's
state of mind was relevant did not make the specific acts that
produced that state of mind relevant.
Although Hansen indicates that testimony that describes
the process of victimization may be inadmissible in some
circumstances, either because it is irrelevant or unduly
prejudicial, that case does not hold that such testimony is, in
all circumstances, inadmissible. Hansen involved the testimony
of an expert who purported to explain the seemingly abnormal
responses of a certain class of victims to a particular type of
criminal behavior. In general, such experts can and must do so
without providing details of the victimization process: Those
details are irrelevant to the expert's subject matter and, as
such, rarely will pass the balancing test of OEC 403. The same
is not true when a victim is put on the stand to explain, among
other things, the effects of her own victimization on her
behavior with respect to the defendant.
In conclusion, we hold that the evidence pertaining to
defendant's abuse of Rambeck was admissible. The trial court did
not err in admitting it.
We turn now to the procedural facts that are relevant
to a third set of issues, having to do with defendant's various
attempts to place certain of Rambeck's actions before the jury.
As previously noted, defendant's primary trial strategy was to
convince the jury that there was a substantial probability that
Rambeck, not defendant, had killed Sarah. In support of that
theory, defendant hoped to introduce evidence suggesting that
Rambeck physically had abused her two other children on at least
two occasions before Sarah's death. In particular, defendant
attempted to offer testimony of former neighbors regarding: (1)
an incident that occurred in 1989, in which screaming and noise
from Rambeck's apartment led a neighbor to believe that Rambeck
had shaken her oldest daughter, then 18 months old, and thrown
her into her crib or against a wall; and (2) an incident that
occurred about a month before Sarah's death, in which Rambeck was
observed "screaming and cussing" at her two older children while
slapping their heads and pulling their hair.
Defendant attempted to offer the foregoing evidence at
three different points in his trial and was rebuffed by the trial
court in three separate rulings. The Court of Appeals concluded
that two of those rulings were correct, but ultimately held that
the trial court should have admitted the evidence during the
cross-examination of Klingbeil, the state's BWS expert. Stevens,
147 Or App at 603-04. The state argues that the Court of Appeals
erred in reversing the trial court on that point, while defendant
challenges the trial court rulings barring his use of the
evidence in his case-in-chief or in his cross-examination of
Rambeck. We consider defendant's challenges first.
Regarding his offer of evidence during his case-in-chief,
defendant acknowledges that evidence that Rambeck had
attacked her older children is "other wrongs" evidence that,
under OEC 404(3), is admissible only if it is relevant for a
noncharacter purpose. He argues, however, that the evidence is
relevant for three noncharacter purposes: (1) to establish the
identity of Sarah's killer based on modus operandi; (2) to
establish the intent of Sarah's killer; and (3) to provide a
complete account of the crime.
With respect to the first identified purpose, defendant
notes, correctly, that evidence of other wrongs is admissible to
establish identity if the occurrences share an identifiable modus
operandi -- that is, if there is a high degree of similarity
between the present charge and the past conduct and both involve
a distinctive methodology. He argues that the testimony
regarding the 1989 incident passes that test: that that incident
and Sarah's murder are similar, and distinctively so, in that
both involved violent physical attacks on an 18-month-old female
child in the vicinity of the child's crib.
The state responds that the two incidents are not
similar in any way that could assist in identifying the killer.
Although it acknowledges that, like Sarah, the "victim" in the
1989 incident also was an 18-month-old female, the state
maintains that the similarity between the incidents ends there --
that, contrary to defendant's characterization, there is no
evidence that Sarah was killed in or near her crib or that the
1989 incident involved anything approaching the magnitude of
violence that resulted in Sarah's death. We agree. This is not
the level of distinctiveness and similarity that can establish a
modus operandi.
Defendant also argues that his proffered evidence was
admissible to show the intent of Sarah's killer. In so arguing,
defendant draws on the suggested six-factor analysis in State v.
Johns, 301 Or 535, 725 P2d 312 (1986), which states:
"[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?"
Id. at 555-56. Defendant argues that, when analyzed in terms of
those six factors, his evidence of Rambeck's earlier treatment of
her children is admissible as evidence going to intent.
Again, we disagree. Defendant is attempting to squeeze
the present circumstance into an analysis for which that analysis
was not designed. The state did not charge Rambeck with any
crime, and her intent is not relevant to defendant's defense.(6)
The fact that the charges against defendant -- intentional murder
and murder by abuse -- require proof of intent by him has no
bearing on whether Rambeck's prior bad acts are admissible.
Defendant's final claim in this regard is that
Rambeck's treatment of her other children is necessary to
"complete the picture." Defendant contends that exclusion of
that evidence permitted the state to create a false impression
that Rambeck was a mild and compassionate mother. We agree with
the state, however, that the two events at issue are such that
their admission cannot be justified under defendant's theory.
The only picture that they can "complete" is that of defendant's
version of Rambeck's character. As such, they fall within the
category of evidence that is prohibited by OEC 404(3).
Defendant also argues that, because the events were
within the general subject matter of her direct testimony in the
state's case-in-chief, he should have been permitted to cross-examine Rambeck
about the two events.(7) In that regard, defendant
suggests that Rambeck's direct testimony involved statements
about the "inter-personal dynamics of her household," including
her behavior and attitudes toward her children.
Defendant's characterizations of the testimony aside,
we find nothing in Rambeck's statements that would justify a
cross-examination along those lines. Although Rambeck did
describe some aspects of her relationship with Sarah, and did
describe certain differences in her children's behavior, she did
not discuss her treatment of her two older children or her
relationships with them. Thus, even if we were to agree with the
general proposition that inquiry into those matters on cross-examination
would be proper if Rambeck's direct testimony had
opened the door, that door was not opened.
Defendant's third attempt to place the two instances of
mistreatment before the jury -- in his cross-examination of
Klingbeil -- also was unsuccessful in the trial court. However,
the Court of Appeals disagreed with the trial court's ruling in
that regard and reversed. Consequently, it is the state, rather
than defendant, that now seeks review of that issue. Before we
consider the parties' arguments in that regard, we review the
relevant facts.
As previously discussed, the state examined Klingbeil
extensively about BWS and her diagnosis of Rambeck in an offer of
proof. During that offer of proof, Klingbeil explained BWS,
offered her diagnosis that Rambeck suffered from BWS, and
testified that BWS might explain Rambeck's failure to report
signs that Sarah was being abused or to suspect defendant's
involvement in the death. Also during that offer, defendant
cross-examined Klingbeil about "pecking order battering" (POB) --
a theory that some women who suffer from BWS respond to repeated
battering by, in turn, battering others lower in the family
hierarchy. After Klingbeil explained the phenomenon, defendant
briefly described the two events at issue and asked if knowledge
of those events would change Klingbeil's diagnosis. Klingbeil
responded that it would not -- that the events described had
nothing to do with Rambeck's relationship with defendant.
Klingbeil also agreed that, depending on the circumstances,
irritability, outbursts of anger, and POB itself might be
"included in" a BWS diagnosis.
Later, after the state offered Klingbeil's testimony
before the jury and defendant began to cross-examine on the issue
of POB, the state intervened, suggesting that Klingbeil's
responses during the offer of proof had established that that
line of questioning was irrelevant. After hearing oral argument
on the matter, the court concluded that, although defendant
properly could elicit testimony from Klingbeil that persons
suffering from BWS sometimes engage in POB (with an explanation
of what that was), he could not use Klingbeil's testimony to
"bootstrap" testimony about Rambeck's conduct toward her older
children into the case. At that, defendant announced that he was
inclined to avoid the whole area of POB.
On appeal to the Court of Appeals, defendant assigned
error to the trial court's ruling precluding inquiry into the
import of specific instances of Rambeck's mistreatment of her
older children. The Court of Appeals rejected the state's
contention that defendant had waived that objection by not
pursuing the issue before the jury and concluded, on the merits,
that the attempted inquiry was responsive to the testimony on
direct and admissible under OEC 404(3).(8) The Court of Appeals
held:
"The trial court erred when it reasoned that the
evidence of specific instances of misconduct was
inadmissible under OEC 404. In particular, OEC 404(3)
allows evidence of specific instances of bad conduct as
proof of an actor's intent or state of mind. In this
case, the state put Rambeck's state of mind in issue by
introducing the BWS testimony to refute defendant's
claim that Rambeck was the perpetrator of the crime and
to explain what otherwise could be considered
incriminating conduct. Defendant was entitled to
elicit evidence on cross-examination of Klingbeil that
would affirmatively support his contrary position."
Stevens, 147 Or App at 604.
In its petition for review, the state argues that the
Court of Appeals explanation reflects a misunderstanding of the
"state of mind" exception at OEC 404(3), as well as an
inconsistent approach to the use of "other wrongs" as substantive
evidence. With regard to the latter point, the state maintains
that the evidence at issue ultimately was being offered only to
show propensity and that the fact that it was being offered
through cross-examination of an expert should not change the OEC
404(3) analysis. Defendant responds that the state is missing
the point -- that Klingbeil had suggested that Rambeck's conduct
reflected a particular state of mind and the evidence was being
offered to rebut that suggestion, i.e., to show that Rambeck's
state of mind at the relevant time was not as Klingbeil's
testimony suggested. Thus, defendant argues, in this particular
context, the evidence was not offered to show Rambeck's
propensity to assault her children physically but, instead, for
the independent, noncharacter purpose of showing that Rambeck did
not necessarily have the state of mind characteristic of those
suffering from BWS.
We agree with defendant that Klingbeil's testimony
explored aspects of Rambeck's state of mind both before and after
Sarah's death. We also agree that, once an issue is raised on
direct examination, it is fair game on cross-examination, even to
the extent of inquiring into a different set of facts than those
that were elicited on direct. See Ritchie v. Pittman, 144 Or
228, 231, 24 P2d 328 (1933) (cross-examination "should not be
limited to the exact facts stated on the direct examination, but
[may] extend[] to other matters which tend to limit, explain, or
qualify them, or to rebut or modify any inference resulting
therefrom, provided they are directly connected with the matter
stated in the direct examination"). However, the cross-examiner's right
to elicit peripheral facts is subject to OEC
404. The question thus becomes whether, in this particular case,
defendant's intended use of the evidence was for a noncharacter
purpose. As noted, defendant argues that it was -- that it was
offered to show Rambeck's state of mind, i.e., to rebut the
state's evidence on that point.
The difficulty with defendant's argument lies not in
what it purportedly addressed. Rambeck's state of mind, and
Klingbeil's impressions of it, already were at issue. Instead,
the difficulty lies in the only way that, on this record,
defendant could demonstrate any connection between the incidents
involving Rambeck's children and the death of Sarah. He could
not offer it in direct impeachment of Klingbeil's testimony or
her diagnosis, because it had been established during the state's
offer of proof that Klingbeil would testify that knowledge of the
two incidents would not alter her opinion. Defendant could have
offered it for impeachment in an indirect sense, if he had had an
expert of his own who would have testified either that knowledge
of those two incidents should alter a diagnosis or that the two
incidents would be used by a competent professional in
determining whether Rambeck was affected, for example, by POB.
But defendant had no such expert witness.
Absent the foregoing justifications for offering the
evidence during the cross-examination of Klingbeil, defendant's
only other justification would be to use evidence of the two
incidents substantively to establish an alternative hypothesis
for Rambeck's state of mind. But the syllogism that defendant
would be setting up with that evidence would not be permissible.
It would have to go like this: On two separate occasions in the
past, Rambeck abused her older children. Therefore, Rambeck is a
child abuser. Sarah was Rambeck's child. Sarah is dead, and
Rambeck, the abuser of the other children, had the opportunity to
commit the crime. Rambeck acted in accordance with her
propensity to hurt her children and killed Sarah.
In fact, counsel for defendant acknowledged during a
colloquy with the trial court that he was seeking to have the
jury draw that inference. Counsel's candor is commendable, but
only confirms that what defendant was offering was evidence of
prior bad acts that was inadmissible under OEC 404. The contrary
conclusion of the Court of Appeals was error.(9)
Ultimately, then, we agree with the trial court that
defendant's bid to inquire about Rambeck's wrongs toward her
other children could not be bootstrapped into the case on the
theory that they showed Rambeck's "state of mind." The only
relevance that defendant's proffered evidence had was in placing
before the jury an indirect and impermissibly propensity-based
inference. The Court of Appeals erred in concluding otherwise.
We turn to the second issue raised in the state's
petition and the final issue in this case. That issue pertains
to the trial court's denial of the following defense motion:
"Comes now the defendant * * * and hereby moves
the Court for an order limiting the state from arguing
that the Defendant's actions towards * * * Rambeck can
be viewed as evidence that Defendant has a propensity
towards violence and is therefore more likely to have
injured or killed Sarah Rambeck."
The motion was filed just before final arguments. The trial
court denied it, stating:
"[The testimony regarding defendant's abuse of
Rambeck] didn't come in with any restrictions, such as
an impeachment or something like that. It's evidence
in the case to prove a particular thing. If it proves
something else, so be it. Motion will be denied."
On appeal, defendant argued that the denial of his motion
permitted the state to make an extended and improper argument
regarding his propensity toward violence.
The Court of Appeals interpreted defendant's motion as
a request for a limiting instructions to the jury under OEC
105.(10) That evidentiary rule provides:
"When evidence which is admissible as to one party
or for one purpose but not admissible as to another
party or for another purpose is admitted, the court,
upon request, shall restrict the evidence to its proper
scope and instruct the jury accordingly."
In concluding that denial of defendant's motion was improper, the
Court of Appeals noted that OEC 105 does not impose any temporal
requirement and that, under that rule, if a defendant requests a
limiting instruction, the trial court has no discretion to deny
it. The majority explained:
"Our research does not reveal any Oregon cases
interpreting when a defendant must ask for a limiting
instruction. However, federal law provides some
guidance in interpreting the rule. OEC 105 is
identical to Rule 105 of the Federal Rules of Evidence
(FRE). OEC 105 Commentary (1981). In Lubbock Feed
Lots, Inc. v. Iowa Beef Processors, 630 F2d 250, 266
(5th Cir 1980), the court held under FRE 105 that
'[o]nce the court determines that such
evidence should be admitted, however, it
cannot refuse a requested limiting
instruction. * * * Although generally more
effective at the time the evidence is
presented, limiting instructions may be
requested and given as part of the court's
final instructions to the jury." (Citations
omitted; emphasis supplied.)
See also Jack B. Weinstein & Margaret A. Berger, 1
Weinstein's Evidence, ¶ 105[05] (1996) (suggesting that
it is a better practice to give limiting instructions
as the evidence is received but acknowledging that they
may be given at the end of trial)."
Stevens, 147 Or App at 606.
In challenging that decision, the state argues that it
was improper to construe defendant's motion as a request for a
limiting instruction to the jury, particularly when defendant had
not assigned error to the trial court's denial of defendant's
actual and express request for a limiting instruction on the same
general theme. The state also argues that an anticipatory motion
to limit arguments is not an adequate substitute for the
contemporaneous objections that generally are required to
preserve a claim that a parties' argument was impermissible.
Finally, the state argues that, with the exception of one
statement, the state's closing arguments did not rest on
propensity theory and were not objectionable.
We agree with the first argument -- that the Court of
Appeals erred in first turning defendant's motion into a request
for a limiting instruction and then, having so construed it,
finding error in the trial court's failure to give that
instruction. With respect to the first point, litigants are
treated as meaning what they say. A trial court may have some
discretion to interpret a motion, but it cannot be faulted for
failing to recognize a motion as one for a limiting instruction,
when the motion has been designated by its proponent as having an
entirely different purpose and effect.
The foregoing leads us to conclude that, if error
exists here, it must exist because defendant's motion is well
taken when considered at face value. However, that brings us to
the state's second argument -- that, at least for purposes of
preserving error, an anticipatory motion to limit a party's
arguments simply is not a device that is so workable that
prejudicial error can be predicated on a trial court's failure to
allow it. We agree that the trial court is not so circumscribed.
Even if a trial court properly can limit a party's use of
evidence in argument and may choose to do so before argument
begins, the trial court cannot be forced to shoulder a
responsibility (that normally would fall to a party) of
monitoring the opposing party's arguments. In terms of the
present case, that means that, regardless of whether, on the
showing made, the trial court could have allowed defendant's
motion to limit argument, it did not have to do so. Defendant's
subsequent failure to offer contemporaneous objections to the
allegedly offending arguments therefore waived the issue.
Finally, the state's arguments aside, we are persuaded
that the challenged ruling was justified by the explanation that
the trial court offered at the time. In that regard, we note
that the trial court stated that the evidence at issue had come
in, as far as it was concerned, without restriction. In essence,
that statement conveyed the trial court's view that the time for
seeking a limitation on the use of the evidence in question had
passed. We agree that the trial court's ruling was within the
range of discretion that the court is allowed in such
circumstances.
The authorities cited by the Court of Appeals to
support its contrary conclusion that a limiting instruction that
is requested at a later point must be honored are not to the
contrary. For example, the Court of Appeals cites a number of
cases and treatises concerning the federal equivalent of OEC 105
for the general proposition that limiting instructions can be
given as part of the court's final instructions to the jury. See
__ Or at __ (slip op at 28). However, those materials do not
speak to the issue at hand, viz., whether a later request for a
limitation must be honored, although the evidence was admitted
without restriction and no request for limitation was made
contemporaneously with that event.
The Court of Appeals also relied on the fact that OEC
105 contains no express temporal requirement. However,
objections to the admission of evidence for one or more
particular use falls within the general rubric of OEC 103(1)(a),
which requires that "a timely objection or motion to strike
appear[ ] on the record, stating the specific ground of
objection," before error will be considered prejudicial.
Timeliness, in this context, as in almost any context
in which the admissibility of evidence is at issue, means at or
before the time that the evidence is offered to the jury. At the
very least, it must occur at a time when the trial court is able
to take appropriate action to mend the harm. See State v.
Shafer, 222 Or 230, 235, 351 P2d 941 (1960) (illustrating point).
Here, the defendant waited until nearly a month after the
evidence was admitted, without restriction, before he filed his
motion. During that period, the state was left to labor under
the impression that the evidence had been admitted for any
purpose and set its strategy accordingly. To suggest, as does
the Court of Appeals' majority, that the trial court committed
reversible error in failing to treat defendant's motion as timely
ignores the realities of litigation.
For the reasons stated, we conclude that, regardless of
how it is designated, defendant's motion to limit the use of
evidence of his abuse of Rambeck properly was denied. The Court
of Appeals erred in ruling otherwise.
In conclusion: We reject, as unpreserved, defendant's
challenge to the admission of Klingbeil's testimony. We also
reject defendant's contentions that evidence of his physical
abuse of Rambeck was admitted erroneously and that evidence of
Rambeck's treatment of her older children was excluded
erroneously in the context of his cross-examination of Rambeck
and his case-in chief. The Court of Appeals correctly affirmed
the trial court's rulings on those issues. We hold that the two
other parts of the Court of Appeals' decision -- its conclusions
that inquiry into specific instances of Rambeck's treatment of
her older children was admissible in defendant's cross-
examination of Klingbeil and that defendant's motion to limit use
of evidence of his own abuse of Rambeck was erroneously denied --
were erroneous.
The decision of the Court of Appeals is affirmed in
part and reversed in part. The judgment of the circuit court is
affirmed.
1. The trial court employed the same reasoning to admit
testimony by third parties about defendant's abuse of Rambeck.
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2. In Brown, this court held that scientific evidence is
admissible if it meets three criteria: (1) It must be
"relevant," OEC 401; (2) it must be "helpful" to the trier of
fact, OEC 702; and (3) its probative value must not be
substantially outweighed by its potential for unfair prejudicial
effect, confusion, or delay, OEC 403. To determine the relevance
or probative value of proffered evidence, seven factors are to be
considered:
"(1) The technique's general acceptance in the field;
"(2) The expert's qualifications and stature;
"(3) The use which has been made of the technique;
"(4) The potential rate of error;
"(5) The existence of specialized literature;
"(6) The novelty of the invention; and
"(7) The extent to which the technique relies on the subjective interpretation of the expert."
Brown, 297 Or at 417. As this court later stated in State v.
Lyons, 324 Or 256, 271, 924 P2d 802 (1996):
"The Brown factors were not intended to be
exclusive, nor were they intended to be taken as a
mechanical checklist of foundational requirements.
What is important is not lockstep affirmative findings
as to each factor, but analysis of each factor by the
court in reaching its decision on the probative value
of the evidence under OEC 401 and OEC 702."
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3. Notably, defendant appears to concede that some BWS
testimony -- in particular, testimony about the characteristics
of battered women -- would satisfy the requirements of Brown.
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4. In 1997, the legislature enacted OEC 404(4), which
purports to make admissible in criminal actions relevant
"evidence of other crimes, wrongs or acts by the defendant," with
exceptions that do not apply here. Or Laws 1997, ch 313, § 29.
The legislature directed that that statute "apply to all criminal
actions pending or commenced on or after December 5, 1996." Or
Laws 1997, ch 313, § 38. Neither party has argued that the
enactment of OEC 404(4) applies to this case.
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5. Defendant also points to some evidence that was
admitted under the same general theory that cannot, in his
estimation, be justified as evidence going to Rambeck's state of
mind. In particular, there was testimony that defendant had
assaulted a friend of Rambeck's whom defendant perceived as
meddling in his relationship with Rambeck and testimony about a
threat that defendant had made against Rambeck to a third party.
Although that evidence presents a closer question, we ultimately
are persuaded that it, too, was probative, because it added
credibility to the state's general theory that Rambeck's
responses were shaped by the fact that she was operating under a
constant threat of abuse from defendant.
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6. The essence of that defense is that Rambeck killed
Sarah. If accepted, that defense would be valid regardless of
whether Rambeck intended to cause Sarah's death.
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7. Defendant contends that OEC 611(2) provides the correct
framework for deciding this point. OEC 611(2) relates to the
scope of cross-examination and provides, in pertinent part:
"Cross-examination should be limited to the
subject matter of the direct examination and matters
affecting the credibility of the witness."
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8. In his dissent, Judge Warren concluded that defense counsel had acquiesced in the trial court's ruling and therefore had waived any objection. Stevens, 147 Or App at 613 (Warren, P. J., dissenting). However, we agree with the Court of Appeals majority that, when the relevant colloquy is examined in its entirety, defense counsel's statements do not suggest a waiver. In particular, the defense was told, in no uncertain terms, that it would not be permitted to question Klingbeil about specific instances of behavior that might tend to suggest POB. Neither is counsel's failure to make an offer of proof at that point dispositive, because the material at issue had been covered in defendant's cross-examination of Klingbeil during the state's offer of proof and was well understood by the court and opposing counsel.
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9. Defendant might argue, of course, that our characterization of the issue is too narrow -- that the evidence of Rambeck's other wrongs speaks directly to Rambeck's state of mind vis-a-vis her children. But even if Klingbeil's testimony had opened up that quite different issue -- and it did not -- defendant still would be trying to use the evidence of particular bad acts for the impermissible purpose of showing that Rambeck had a particular propensity and that she had acted in conformance therewith.
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10. The court stated: "Defendant's motion is tantamount to a request for a limiting instruction to the jury. If granted, it would have restricted the use of the evidence by the parties in argument and by the jury in it deliberations." Stevens, 147 Or App at 605.
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