State v. Cox

• Decision Date: 30 April 2010
• Docket Number: No. 07-2083.,07-2083.
• Citation: 781 N.W.2d 757
• Parties: STATE of Iowa, Appellee, v. Matthew Earl COX, Appellant.
• Court: Iowa Supreme Court

781 N.W.2d 757

STATE of Iowa, Appellee, v. Matthew Earl COX, Appellant.

No. 07-2083.

Supreme Court of Iowa.

April 30, 2010.

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Mark C. Smith, State Appellate Defender and David Arthur Adams, Assistant Appellate Defender, for appellant.

Thomas J. Miller, Attorney General, Kevin Cmelik, Assistant Attorney General, Harold Denton, Linn County Attorney, and Jerry Vander Sanden, Assistant County Attorney, for appellee.

STREIT, Justice.

Matthew Cox was convicted pursuant to Iowa Code sections 709.1, 709.3(2), and 709.4(2)(b) (2005) of one count of sex abuse in the second degree and one count of sex abuse in the third degree for sexually abusing his younger cousin. The State presented evidence of Cox's prior sexual abuse of two other cousins. Cox appealed, asserting the district court erred by admitting the instances of sexual abuse against other victims pursuant to Iowa Code section 701.11 (2007). Admission of prior bad acts solely to show a general propensity instead of a legitimate issue violates the due process clause of the Iowa Constitution. Because Cox's prior bad acts with different victims are not relevant to a legitimate issue, section 701.11 is unconstitutional as applied to the facts of this case and we reverse.

I. Background Facts and Prior Proceedings.

Fourteen-year old J.M. accused her cousin Matthew Cox of fondling her on several occasions beginning when she was between four and six years old in about 1996-1998 and raping her beginning when she was a pre-teen in about 2003. According to J.M., most of these incidents took place at her grandmother's house, where Cox lived. The State charged Cox with sexual abuse in the second degree for acts between January 1, 2003, and October 31, 2005, and later added a charge of sexual abuse in the third degree for acts after J.M. turned twelve.

At trial, T.C. and A.L., two of Cox's other cousins, testified to prior sexual contact with Cox. T.C., a female, described two occasions when Cox forcibly fondled her, once at her grandmother's house when she was ten, in about 1998, and once in a car when she was thirteen, in about 2001. A.L., a male and J.M.'s half-brother, described a pattern of abuse that began with inappropriate touching and forced oral sex when he was around age six, in about 1992, and escalated to incidents during which Cox forcibly performed anal intercourse with him. A.L. testified some of these alleged acts took place at his grandmother's house.

Charges had been filed jointly based on Cox's alleged abuse of A.L., but these charges were severed from those relating to J.M. prior to trial¹. Cox then filed a motion in limine seeking to exclude prior-bad-acts evidence under Iowa Rules of Evidence 5.404(b) and 5.403. The State asserted such evidence was admissible under Iowa Code section 701.11. Cox argued that section 701.11 only applies to evidence of other sexual abuse with the same victim and application of section 701.11 here would be unconstitutional under the Iowa Constitution.

The State argued the prior acts of sexual abuse should be admitted under section 701.11 because of "common threads" in the testimony: all of the alleged victims were cousins of the defendant, all were abused as children or young adults, and all testified to some abuse at the grandmother's house. The State also argued the evidence showed the "defendant's MO" and "a pattern of behavior," making it admissible even under rule 5.404(b).

Ruling in favor of the State, the court concluded the evidence was admissible under section 701.11 because "the Legislature found it necessary in sexual abuse cases to make an exception. The statute doesn't limit it to other sexual abuse against the same victim." The court found the evidence relevant and also found the probative value of the evidence outweighed the prejudicial effect because of the arguments put forth by the State, including "the similarities," and because the testimony "bolsters J.M.'s credibility as to ... her recitation as to the events as occurred."

The district court ordered the State to lay the foundation for these witnesses outside the presence of the jury and again determined the testimony was admissible. The court gave a limiting jury instruction that "evidence of another offense for which a defendant is not on trial does not mean that the defendant is guilty of the charges for which he is on trial." The jury returned a guilty verdict, and Cox appealed.

II. Scope of Review.

We review a district court's evidentiary rulings regarding the admission of prior bad acts for abuse of discretion. State v. Parker, 747 N.W.2d 196, 203 (Iowa 2008). "An abuse of discretion occurs when the trial court exercises its discretion `on grounds or for reasons clearly untenable or to an extent clearly unreasonable.'" State v. Rodriquez, 636 N.W.2d 234, 239 (Iowa 2001) (quoting State v. Maghee, 573 N.W.2d 1, 5 (Iowa 1997)). However, to the extent a challenge to a trial court ruling on the admissibility of evidence implicates the interpretation of a statute or a rule of evidence, our review is for errors at law. See State v. Stone, 764 N.W.2d 545, 548 (Iowa 2009); State v. Jordan, 663 N.W.2d 877, 879 (Iowa 2003). We review constitutional claims de novo. State v. Bumpus, 459 N.W.2d 619, 622 (Iowa 1990).

III. Merits.

A. Prior Bad Acts Evidence. Cox asserts the district court erred by admitting evidence of his prior acts of sexual abuse under Iowa Code section 701.11. Cox argues if section 701.11 is read to allow prior bad acts against individuals other than the victim, it violates the due process clause of the Iowa Constitution.

Under Iowa Rule of Evidence 5.404(b), "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." Iowa R. Evid. 5.404(b). Therefore, such evidence "is not admissible to demonstrate the defendant has a criminal disposition and was thus more likely to have committed the crime in question." State v. Reynolds, 765 N.W.2d 283, 289 (Iowa 2009). The public policy for this rule

"is founded not on a belief that the evidence is irrelevant, but rather on a fear that juries will tend to give it excessive weight, and on a fundamental sense that no one should be convicted of a crime based on his or her previous misdeeds."

State v. Sullivan, 679 N.W.2d 19, 24 (Iowa 2004) (quoting United States v. Daniels, 770 F.2d 1111, 1116 (D.C.Cir.1985)).

However, prior bad acts are admissible if offered for the purpose of establishing "motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or accident." Iowa R. Evid. 5.404(b). "The purposes listed in rule 5.404(b) are not exclusive." State v. Plaster, 424 N.W.2d 226, 228 (Iowa 1988). A court may admit evidence of prior bad acts when it determines (1) the evidence is "`relevant and material to a legitimate issue in the case other than a general propensity to commit wrongful acts,'" and (2) the probative value of the evidence is not substantially outweighed by the danger of unfair prejudice to the defendant. Reynolds, 765 N.W.2d at 289-90 (quoting Sullivan, 679 N.W.2d at 25).

Iowa Code section 701.11 applies specifically to prior acts of sexual abuse and provides:

In a criminal prosecution in which a defendant has been charged with sexual abuse, evidence of the defendant's commission of another sexual abuse is admissible and may be considered for its bearing on any matter for which the evidence is relevant. This evidence, though relevant, may be excluded if the probative value of the evidence is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or misleading the jury, or by considerations of undue delay, waste of time, or needless presentation of cumulative evidence. This evidence is not admissible unless the state presents clear proof of the commission of the prior act of sexual abuse.

Iowa Code § 701.11(1). Section 701.11 appears to allow introduction of prior sexual abuse without limiting such evidence to the specific categories in Iowa Rule of Evidence 5.404(b): "motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or accident."

B. Constitutionality of Iowa Code Section 701.11. Cox argues Iowa Code section 701.11 violates the due process clause of the Iowa Constitution by allowing a defendant to be tried and convicted based on a general propensity instead of the charged offense.² Article I, section 9 of the Iowa Constitution guarantees that "no person shall be deprived of life, liberty, or property without due process of law." Iowa Const. art. I, § 9. Although in the past we have interpreted the United States and Iowa Constitutions "in a similar fashion," State v. Seering, 701 N.W.2d 655, 662 (Iowa 2005), we "`jealously guard our right and duty to differ in appropriate cases.'" State v. Cline, 617 N.W.2d 277, 285 (Iowa 2000) (quoting State v. Olsen, 293 N.W.2d 216, 220 (Iowa 1980)), overruled on other grounds by State v. Turner, 630 N.W.2d 601, 606 n. 2 (Iowa 2001). Cox asserts the history and case law of our state supports an interpretation of the Iowa Constitution that differs from the interpretation federal courts have afforded the United States Constitution with regard to this specific issue. Although decisions interpreting the Federal Constitution are not binding on us with respect to the Iowa Constitution, such cases may be persuasive. State v. Hoskins, 711 N.W.2d 720, 725 (Iowa 2006).

In State v. Reyes, 744 N.W.2d 95 (Iowa 2008), we examined the constitutionality of Iowa Code section 701.11 with respect to the admissibility of other sexual abuse involving the same victim. We reasoned the evidence was relevant to a legitimate issue because it "shows the nature of the relationship between the alleged perpetrator and the victim." Reyes, 744 N.W.2d at 102. "The evidence was thus not offered to show a general propensity to be attracted...