State of Iowa v. Andrew Jerome Harris
CourtCourt of Appeals of Iowa
Date FiledNovember 4, 2026
Docket24-2032
StatusPublished
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Full Opinion
IN THE COURT OF APPEALS OF IOWA
_______________
No. 24-2032
Filed November 4, 2026
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State of Iowa,
Plaintiff–Appellee,
v.
Andrew Jerome Harris,
Defendant–Appellant.
_______________
Appeal from the Iowa District Court for Polk County,
The Honorable Celene Gogerty, Judge.
_______________
AFFIRMED
_______________
Erin Carr (argued) of Carr Law Firm, P.L.C., Des Moines,
attorney for appellant.
Brenna Bird, Attorney General, and Joshua Henry (argued), Assistant
Attorney General, attorneys for appellee.
_______________
Heard at oral argument
by Schumacher, P.J., Sandy, J., and Telleen, S.J.
Opinion by Schumacher, P.J.
1
SCHUMACHER, Presiding Judge.
Andrew Harris appeals his judgment and sentence following a jury trial
where he was found guilty of second-degree murder, in violation of Iowa
Code sections 707.1 and 707.3 (2022), being a felon in possession of a firearm,
in violation of sections 724.25 and 724.26(1), and going armed with intent, in
violation of section 708.8. Harris asserts the district court (1) abused its
discretion by admitting prior testimony of an unavailable witness, (2) erred
in not instructing the jury regarding a necessity defense, and (3) abused its
discretion by excluding portions of a defense expert’s testimony based on
certain facts underlying the expert’s opinion. Upon our review, we affirm.
I. Background Facts & Proceedings
In 2022, Harris went to Rico’s, a bar in Des Moines, shortly after 10:00
p.m. Tyrell Grimes and Allen Matthews were already at the bar when Harris
arrived. Harris walked through the bar, greeting several patrons that he knew,
then approached a group of individuals that included Grimes and Matthews.
Harris conversed with that group before moving on to speak with other
patrons. Matthews stated that at some point, Harris walked past him and
Grimes and said, “I’m gonna fuck one of these [n-word]s up.” Harris
contends that he simply said, “excuse me” as he walked by.
Grimes and Matthews exited Rico’s at around 10:30 p.m. to smoke
near Grimes’s vehicle that was parked directly on the street in front of the
bar. While Matthews was near Grimes’s car, Harris exited the bar and began
speaking with Grimes, who was seated in the front passenger seat with the
window down. The exact exchange of words is disputed, but video evidence
shows the conversation became argumentative. Matthews testified he told
Grimes to calm down, Grimes exited the vehicle, and asked Harris to leave.
2
Harris testified that Grimes said that next time he saw Harris “it’s that.”
Harris understood this to mean that Grimes would hurt him.
Harris walked away and got into his car parked down the street at a
barber shop. Video shows Harris driving west, past Grimes and Matthews,
wavering over the center line, and saying something to them with his window
rolled down. Surveillance cameras show Harris continue to drive west in the
direction of his residence, and then returning east to the area of Rico’s
approximately seven minutes later. Grimes and Matthews were still outside
and had approached a couple of women who had left a nearby restaurant.
Harris sped by in his car and parked nearby.
Harris exited his vehicle, walked by Rico’s, and looked in through the
front window. He spoke with a couple of people outside, while his right hand
was holding something in his pocket. One of the people outside Rico’s
appeared to point in the direction where Matthews and Grimes were talking
with the women. Harris then walked in the direction of Grimes and
Matthews. Matthews testified that Harris approached them, pulled a gun
from his pocket and stated, “What’s up now, [n-word]s?” This interaction
and the following shooting were not captured by video surveillance.
Harris fired two shots, both of which struck Grimes. Matthews and
Grimes ran, but Grimes collapsed across the street. Grimes died due to
gunshot wounds, one to his arm and the other to his chest. Harris ran back
toward his vehicle and fled to Saylorville, where he discarded the gun in a
spillway.
Harris then drove to a friend’s residence, where he had been that
evening before his arrival at Rico’s. He told the friend that he had shot
3
someone who was disrespecting him and would not leave him alone. Harris
stayed the night at his friend’s residence.
Law enforcement investigating the incident identified Harris as the
shooter and executed a search warrant on Harris’s residence early the next
morning. Police found ammunition that matched the bullet casings found on
the sidewalk near where Grimes was shot. They also found an empty gun box.
Law enforcement waited near Harris’s car that was parked a few blocks away
from his residence. When Harris’s friend dropped him off at the car, police
detained Harris. At the police station, Harris denied being at Rico’s the
previous night or owning a gun. When law enforcement asked Harris if it was
possible he acted in self-defense, he continued to deny involvement. Later, in
a recorded call from the jail, Harris indicated that he acted in self-defense and
attempted to defuse the incident.
Harris was charged with first-degree murder. After trial in 2023, a jury
found him guilty as charged. Following a combined motion for new trial and
arrest of judgment, the district court granted a new trial. While awaiting the
new trial date, the State charged Harris in a separate case, arising from the
same incident, with going armed with intent and felon in possession of a
firearm. The State moved to consolidate the two cases for trial, and the
district court granted the motion.
Prior to the second trial, Harris filed a notice of intent to rely on the
defenses of necessity and justification. After the close of evidence at trial, the
district court agreed with the State that the jury should not be instructed on
the necessity defense because Harris failed to show a fact question
concerning the defense.
4
Harris retained an expert witness, Dr. Christina Pietz, a forensic
psychologist. Dr. Pietz evaluated Harris’s mental state at the time of the
incident, reviewed his medical records, his background, his version of events,
and performed a personality assessment inventory. Dr. Pietz assessed
Harris’s history of trauma and how it could affect his decision making and
perception. Before trial, the State filed a motion in limine, requesting that Dr.
Pietz be prohibited from testifying about the justification defense, offering an
opinion based on Harris’s version of events instead of Dr. Pietz’s specialized
knowledge, testifying about Grimes’s alleged statements to Harris, and
opining about Harris’s credibility.
The defense resisted, asserting Dr. Pietz should be allowed to testify
that Harris believed he needed to defend himself based on life experience,
she was permitted to rely on hearsay in reaching her conclusions, and she
should be allowed to reference Harris’s statements if Harris testified. The
district court reserved ruling until trial.
At the start of trial, the district court ruled that Dr. Pietz could not
offer an opinion about justification as she was not an expert in that area, that
opinion was grounded in Harris’s version of events, and testimony about
justification would vouch for Harris’s credibility. During trial, when Dr. Pietz
was testifying, defense counsel asked her what Harris said concerning what
Grimes stated to him before Harris left Rico’s. The prosecution objected on
hearsay grounds.
The district court determined that Grimes’s statements would be
admissible through Harris’s testimony for effect on the listener, but the
statements attempted to be offered through Dr. Pietz were to prove the truth
of the matter asserted, rendering the statements hearsay. The district court
ruled that Dr. Pietz could testify that Harris said Grimes spoke to him but
5
was not allowed to testify as to the contents of Grimes’s statements. The
district court also determined the evidence’s probative value would not
substantially outweigh its prejudicial effect under Iowa Rule of
Evidence 5.703. Dr. Pietz then testified that her opinion was that Harris felt
threatened because of Harris’s hypervigilance and his description of how he
interacted with Grimes.
At a pretrial conference, the State informed the court it was having
problems with subpoenaing Matthews to testify at the second trial. The State
explained it started its efforts in June, with trial set for August, but was unable
to subpoena Matthews, even after locating him in Indiana. The State also
obtained a material-witness warrant, working with Indiana police to find
Matthews, but without success. Because of these difficulties, the State
informed the court it would move to admit Matthews’s prior testimony from
the first trial, under Iowa Rule of Evidence 5.804, because of his
unavailability.
At the beginning of trial, on August 19, the State asked for a ruling on
the prior testimony and informed the court that law enforcement was still
looking for Matthews. The defense resisted, arguing admission of prior
testimony would violate Harris’s right to confrontation. The district court
found Matthews to be unavailable under rule 5.804(a)(5) and that under rule
5.804(b)(1), his prior testimony was excepted from hearsay as the defense
had a previous opportunity to cross-examine him.
Following trial, the jury found Harris guilty of second-degree murder
under count I, and guilty as charged for being a felon in possession of a
firearm and going armed with intent under counts II and III. Harris now
appeals. Additional facts will be discussed as necessary below.
6
II. Analysis
A. Necessity Defense Jury Instruction
Harris asserts the district court erred by refusing to instruct the jury
regarding a necessity defense, contending he presented enough evidence on
the necessity elements to generate a required fact question.
“We review jury instruction issues for correction of errors of law.”
State v. Young, No. 14-0271, 2015 WL 1055070, at *1 (Iowa Ct. App. Mar. 11,
2015) (citing State v. Newell, 710 N.W.2d 6, 29 (Iowa 2009)).
A trial court must instruct on a defendant’s theory of defense provided the
defendant makes a timely request, the requested theory of defense
instruction is supported by substantial evidence, and the requested
instruction is a correct statement of law. In this case, the district court
determined the requested instruction was not supported by the evidence.
On appeal, we determine only whether the trial court correctly determined
the requested instruction did not have evidentiary support.
Id. (cleaned up).
We first must determine whether error was preserved concerning
Count I on this issue. The State argues Harris did not preserve error on
Count I for the following reasons: (1) Harris requested the necessity
instruction on Count I for the first time at the close of evidence, and not at
the earliest opportunity, (2) “the proposed instruction [defense] counsel
subsequently read into the record only concerned the necessity of Harris
illegally carrying a firearm in relation to count two,” and thus the district
court only ruled regarding Count II, and (3) Harris’s “more robust
argument” that a necessity instruction be afforded to Count I within his
motion for new trial was untimely.
7
Harris conversely asserts that (1) “error is preserved on a challenge to
[a] jury instruction where the challenge is raised prior to closing argument,”
(2) at the final pretrial conference, the district court clarified with defense
counsel that the necessity defense applied to both the original charge, murder
in the first-degree, and the additional charges pursued at the second trial, and
(3) Harris objected to the removal of the instruction immediately after the
district court announced its decision, thus raising “the issue at trial at the
earliest opportunity.”
Error is preserved on a challenge to jury instructions when a party
objects at the close of evidence, before closing arguments, and the district
court rules on that challenge. Iowa R. Civ. P. 1.924; Iowa R. Crim.
P. 2.19(4)(g); see State v. Reese, 259 N.W.2d 771, 777 (Iowa 1977). Here, Harris
raised a challenge to the instructions at the close of evidence, before
“arguments to the jury,” and again during the motion for new trial hearing.
See Iowa R. Civ. P. 1.924; see also Myers v. Crawford Heating & Cooling, No. 09-
1849, 2010 WL 4484386, at *4 (Iowa Ct. App. Nov. 10, 2010) (finding error
was preserved on a jury instruction challenge where the party “argued th[e]
point before the district court in both the jury instruction conference and
[their] motion for new trial” (citing Reese, 259 N.W.2d at 777 (“[W]e are
disposed to observe that error was preserved since a request for an
instruction was made and the motion for a new trial based in part on the
refusal to submit such an instruction was overruled.”))).
Regarding the State’s assertion that Harris in requesting a necessity
instruction at the close of evidence only referred to Count II, the illegal
carrying of a firearm, the record shows Harris referenced the remaining
counts earlier in proceedings. At the final pretrial conference, the district
8
court asked for clarification as to which counts the necessity defense would
apply:
COURT: So we’re clear, the justification defense applies the
charge of murder; necessity applies to the two new charges.
DEFENSE COUNSEL: No. I think they both apply to both.
COURT: Okay. I want to make sure I’m understanding.
DEFENSE COUNSEL: But in light of the fact that the Court
combined the cases, necessity is more appropriate related to the Going
Armed with Intent because that’s what our argument is. He had to carry
the firearm.
....
DEFENSE COUNSEL: The point I’m making is, I stand
corrected on what I filed, but this was filed months before the new charges
were filed, so I will be filing a necessity defense, as well, I guess.
COURT: Anything on behalf of the State?
STATE: We’ll just wait until they amend it, and then we’ll make
the determination whether or not we’ll have any objections.
COURT: That seems fair.
It appears from the record that Harris was pursuing a necessity defense for
all counts prior to trial. Further, the same day as the final pretrial conference,
Harris filed an amended notice of affirmative defenses showing intent to rely
on necessity in the first-degree murder case.
We turn to the actual challenge made to the proposed instructions at
the close of evidence. “Objections or exceptions to instructions must be
specific so as to alert the trial court to any alleged error to be corrected.” State
v. Harrison, 473 N.W.2d 242, 243 (Iowa Ct. App. 1991) (citation omitted)
(finding error not preserved on a challenge to exclusion of a necessity
instruction because “the requested instruction did not adequately alert the
9
trial court to this point of law defendant wished to have the jury informed
upon”). “[I]f the defendant makes an objection to an instruction at trial
court, [they] are bound by that objection on appeal.” Id. (citation omitted).
Also, “a defendant cannot amplify or change the objection on appeal.” Id.
(citation omitted).
The written proposed jury instructions provided by either party are
not present in the record before us. So, our only reference is to the trial
transcript. At the close of evidence, defense counsel appeared to orally argue
for inclusion of a necessity instruction only for the charge of illegally
possessing a firearm:1
DEFENSE COUNSEL: Since we adjourned just a few minutes
ago, I went back and I reviewed, and the Court’s Instruction Number 48—
and I can file this as an exhibit, if necessary, but that, from the Court is
the— “Andrew Harris claimed that possession of a firearm was
necessary— Andrew Harris’[s] possession of a firearm is necessary, if all
the following are true.” It then goes through, “There was an emergency
situation—”
....
And then the Court’s instruction provided last night, Instruction
Number 49, that mirrors the parties’ proposed Instruction Number 61,
although it does appear to merge or add some language, it reads, “If
Andrew Harris had a future—had a fear of future injury—” instead of
“present, imminent, or impending injury,[]—or if Andrew Harris’[s]
negligence or fault created the threat of injury, Andrew Harris’[s]
possession of a firearm was not necessary in Count II. . . .”
1
Counsel for Harris, during jury instruction deliberations, objected to several jury
instructions by number. However, the only objection made that specifically referenced the
contents of an instruction was to the instruction of necessity regarding illegal possession
of a firearm. The record before us does not allow us to discern the content of the other
proposed instructions that were challenged.
10
. . . . [A]nd so I would again renew my objection to the exclusion of
those necessity instructions.
And, in the motion for new trial, Harris again only referenced copied
proposed jury instructions that pertained to Count II, arguing that Harris’s
possession of a firearm was necessary. While the motion contained a footnote
stating, “The defense submitted and continues to submit that the necessity
instructions should be applied to all three counts in the Amended Trial
Information,” that assertion came too late, well after closing argument, the
point at which a party must challenge the submission or lack of instruction.
See Iowa R. Civ. P. 1.924.
We find that error was not preserved concerning Harris’s claim that
the district court erred by not submitting to the jury a necessity instruction
for first-degree murder. See State v. LeCompte, 327 N.W.2d 221, 223
(Iowa 1982) (“The defendant’s objection to the instruction did not preserve
the other grounds urged in his brief and the only issue for review regarding
the instruction is, [the one] defense counsel stated.”); see also Piper v. Jerry’s
Homes, Inc., No. 01-2018, 2003 WL 22199580, at *8 (Iowa Ct. App. Sep. 24,
2003) (“Without a more specific indication of what instruction [Harris]
11
sought, we are hard pressed to determine whether he was entitled to have the
instruction presented to the jury.”).2, 3
Having determined that Harris did not preserve error on the challenge
to the necessity instruction on the first-degree murder charge, we now
address his preserved claim as to whether the district court erred in not
2
The State urges us to find that the defense of necessity “should be deemed legally
unavailable for homicide offenses.” The State argues that “because the necessity defense
is rooted in the common law . . . it is generally not available when superseded by a
legislative determination of values.” See State v. Bonjour, 694 N.W.2d 511, 512 (Iowa 2005)
(citing Wayne R. LaFave, Substantive Criminal Law § 10.1 (2d ed. 2003)). The
superseding statute, as the State asserts leaves “no room for a common law necessity
defense,” is Iowa Code chapter 704, which grants immunity from civil or criminal liability
when an individual employs reasonable force against “damages incurred by the aggressor”
in specific circumstances. Iowa Code § 704.13; see id. §§ 704.1–.8 (outlining the
parameters and requirements of justification to immunize a defendant from criminal
liability by defining justifiable force and circumstances where justification is unavailable).
Because we find Harris failed to preserve error on his necessity claim pertaining to
his homicide charge, we decline to rule on whether the common law defense is precluded
by the legislature and thus unavailable for homicide cases, as we have for other criminal
charges. See Bonjour, 694 N.W.2d at 512–14 (rejecting a medical necessity defense because
the “legislature has . . . made the kind of determination of values . . . that effectively
forecloses our recognition of a common-law necessity defense” (citations omitted)). But
see State v. Corbett, No. 06-0572, 2007 WL 2256169, at *3 (Iowa Ct. App. Aug. 8, 2007)
(noting without deciding that “[o]ur law has not recognized necessity as an affirmative
defense to the crime of violation of a custodian order”); State v. Moment, No. 09-0533,
2010 WL 1052075, at *7 (Iowa Ct. App. Mar. 24, 2010) (noting “[i]t is unclear if the
defense of necessity is even available to one who allegedly seeks to avoid harm to others”);
State v. Erickson, No. 24-0049, 2025 WL 856117, at *1 (Iowa Ct. App. Mar. 19, 2025)
(assuming without deciding that the necessity defense is available to felons prohibited
from possessing firearms).
3
Even if we were to determine Harris’s request for a necessity defense on the
murder charge was preserved, the factual record does not support the request for a
necessity instruction.
12
instructing the jury on necessity pertaining to illegal possession of a firearm.
Regarding whether the necessity defense is available for an individual
charged with possession of a firearm by a felon, we note:
It is an open question whether necessity is a defense to possession of a
firearm by a prohibited person in Iowa. But we need not resolve the
question today. Instead, we follow the approach taken by our supreme
court more than forty years ago, and for the purposes of this case we
assume the necessity defense may be available to a felon possessing a
firearm.
Erickson, 2025 WL 856117, at *1 (quoting State v. Walton, 311 N.W.2d 113, 115
(Iowa 1981)) (cleaned up).
Harris argues that it was necessary to carry a firearm because Grimes
threatened his life. “The rationale of the necessity defense lies in defendant
being required to choose the lesser of two evils and thus avoiding a greater
harm by bringing about a lesser harm.” Walton, 311 N.W.2d at 115. When a
“defendant is not personally at fault in creating the situation calling for the
necessity” the court analyzes the following factors: “(1) the harm avoided,
(2) the harm done, (3) the defendant’s intention to avoid the greater harm,
(4) the relative value of the harm avoided and the harm done, and (5) optional
courses of action and the imminence of disaster.” Id. “The necessity defense
does not apply except in emergency situations where the threatened harm is
immediate and the threatened disaster imminent.” Id. For the necessity
defense to be submitted to the jury, “the defendant has the burden of
generating a fact question on the defense.” Id.
At trial, during the jury instruction proceedings, the district court
denied Harris’s request to submit the defense to the jury, ruling:
I do not think a fact issue has been generated in this particular case.
13
A necessity defense does not apply except in emergency situations,
where the threatened harm is immediate and the threat of disaster
imminent. The defendant must be stripped of options by which he or she
might avoid both evils.
It also further states that the requirement of the threat be
immediate and not future, is required, as well.
....
I don’t think there’s anything here to indicate this was an
emergency situation in any stretch of that word.
Even assuming the jury finds Mr. Harris credible, there was no
emergency.
I don’t think these elements have been met, and so I don’t think a
fact question has been generated.
We agree with the district court’s determination. The record demonstrates
that Harris, after allegedly being threatened by Grimes, left Rico’s in his
vehicle, then returned several minutes later before the shooting. Any
immediacy of danger subsided when Harris left the situation. There were
certainly optional courses of action, and the allegedly threatened harm was
not immediate.
We find the district court did not err in determining no fact question
was created regarding Harris’s claimed necessity defense.
B. Unavailable Witness’s Prior Testimony
Harris asserts that the State’s efforts to locate Matthews, a witness
who testified in the first trial, were insufficient to qualify him as unavailable
in the second trial. He argues the district court erred in allowing Matthews’s
prior testimony to be read at the second trial, and thus his constitutional right
to confrontation was violated. Harris also asserts that his right to
confrontation was violated because he did not have an opportunity to cross-
14
examine Matthews regarding the new charges added in the second
proceeding. The State contends that error is not preserved on the
constitutional claims.
We review issues involving the district court’s rulings on hearsay for
correction of errors at law, and “[t]his standard of review extends to
determining whether statements come within an exception to the general
prohibition on hearsay evidence.” State v. Paredes, 775 N.W.2d 554, 560
(Iowa 2009). We review claims concerning the Sixth Amendment right to
confrontation de novo. State v. Montgomery, 966 N.W.2d 641, 649
(Iowa 2021).
First, as with the previous claim, we must determine whether Harris
preserved his constitutional claims. The State argues that the district court
“did not address Harris’s confrontation claim, which was buried in the
written resistance that was only filed in one of the cases.” Further, the State
asserts that one of the reasons supporting Harris’s constitutional claim, that
new charges were added, is unpreserved because “it was neither raised nor
ruled upon.”
We note that the State moved to consolidate the retried first-degree
murder case with the second case that charged Harris with going armed with
intent and felon in possession of a firearm. Harris resisted the motion, but the
district court granted it, stating:
These cases were consolidated for purposes of trial only. The court also
approved an amended trial information that consolidated the charges for
trial, but again, for that purpose only. It was never the intention of the court
to completely consolidate these cases . . . and it was the court’s intention
that they should both remain separate once trial was complete.
15
The State filed a brief in support of utilizing Matthews’s prior
testimony due to unavailability in the first case. Then Harris filed a resistance
in the second case. The written resistance laid out Harris’s constitutional
concerns:
[N]otwithstanding the State’s lack of reasonable efforts in this case with
this witness, a transcript used in lieu of in-person trial testimony violates
the Defendant’s right to confrontation under the Confrontation Clause of
the Sixth Amendment of the United States Constitution and Article I,
Section 10 of the Constitution of the State of Iowa. A transcript is not the
same as face-to-face, in-person trial testimony, where the jury cannot
assess the witness’[s] appearance, conduct, demeanor, and memory while
testifying in-person.
See State v. Ary, 877 N.W.2d 686, 699 (Iowa 2016) (“To preserve error on a
constitutional claim, counsel should inform the district court of the
constitutional basis for any motion a party makes.”). Then, at the final
pretrial conference, the district court orally ruled that Matthews was
unavailable, thus allowing for an exception to the rule against hearsay:
Iowa Rule of Evidence 5.804 has exceptions to the rule of hearsay
when the declarant is unavailable as a witness. It does give criteria for being
unavailable.
Under (a)(5), “The declarant is absent from the trial or hearing,
and the statement’s proponent has not been able, by process or other
reasonable means, to procure the . . . the declarant’s attendance . . . . And
specifically in this case, this witness testified on this exact case at a prior
trial on these same issues.
It sounds like he’s been deposed. He certainly was cross-examined.
We agree with Harris that his confrontation challenge was preserved.
See State v. Houk, No. 23-1691, 2025 WL 854922, at *3 n.1 (Iowa Ct. App.
Mar. 19, 2025) (noting “our error preservation rules are not hypertechnical”
(citing Segura v. State, 889 N.W.2d 215, 219 (Iowa 2017))). Although he raised
16
the issue in only one of the cases, the district court’s ruling applied to both
cases that were consolidated for trial purposes. The ruling’s purpose was to
determine admissible evidence in the consolidated trial. The district court
referenced Matthews’s prior testimony and the fact he was cross-examined.
See Ary, 877 N.W.2d at 699 (finding error was preserved on a constitutional
challenge based on a motion to disqualify the jury as “the constitutional basis
for the claim was obviously apparent”). But see State v. Withers, No. 24-0661,
2025 WL 3165640, at *3 (Iowa Ct. App. Nov. 13, 2025) (finding a
constitutional claim unpreserved because the challenge was based on
statutory grounds, and “[t]he court did not address any constitutional
implications and . . . [defendant] did not raise any”). But we agree with the
State that Harris’s argument regarding the need for cross-examination based
on new charges addressed in the second trial is not preserved, as it was not
raised or ruled upon below.
We now determine whether the district court erred in deeming
Matthews as an unavailable witness and allowing a transcript reading of his
prior testimony at trial.
Harris argues that the State’s efforts to secure Matthews as a witness
for the second trial were insufficient, Matthews should not have been
considered an unavailable witness under rule 5.804(a)(4), and thus his former
testimony was not excepted from the rule against hearsay under
rule 5.804(b)(1). Harris asserts that the State’s initiating the subpoena
process just two months before trial does not support the district court’s
finding of unavailability.
The details of the State’s efforts to locate and serve a subpoena upon
Matthews are as follows: (1) an order for new trial was filed on February 19,
2024; (2) the State initiated efforts through investigators to locate Matthews
17
beginning on June 11, seventy days before trial; (3) a detective was assigned
to serve Matthews with a subpoena on June 12; (4) on June 12, the detective
learned that Matthews was residing in Gary, Indiana, observed Matthews’s
vehicle near the residence via a FLOCK camera, and called his phone
number, with no answer; (5) the detective requested assistance from local
Indiana law enforcement to locate Matthews on June 20; (6) the local Indiana
detective communicated with Iowa law enforcement that several attempts to
serve Matthews had failed in the period between June 21 and June 26; (7) on
July 2 and July 11, Iowa law enforcement requested additional assistance from
an Indiana deputy, and on July 19, the Indiana deputy requested an affidavit
from the Polk County prosecutor in order to serve Matthews; (8) the affidavit
was provided during the week of July 29; and (9) between August 1 and
August 12, several efforts including phone calls, social media messages,
communications with associates, and the issuance of a warrant, all failed to
locate Matthews. Matthews did not appear in Indiana court to be served the
subpoena.
Under the Sixth Amendment, in criminal prosecutions, “the accused
shall enjoy the right . . . to be confronted with the witnesses against him.”
State v. Kite, 513 N.W.2d 720, 721 (Iowa 1994) (quoting U.S. Const.
amend. VI). The right of confrontation allows a defendant to compel a
witness to testify live at trial, “allowing the fact finder to assess the [witness’s]
credibility.” Id. “An exception to the confrontation requirement exists for the
testimony of an unavailable witness who previously testified against the same
defendant and was subject to cross-examination.” Id.
“A witness is not considered unavailable unless the prosecutorial
authorities have made a good-faith effort to obtain his presence at trial.” State
v. Eaton, No. 14-2082, 2015 WL 8462318, at *3 (Iowa Ct. App. Dec. 9, 2015)
18
(cleaned up); accord Barber v. Page, 390 U.S. 719, 724–25 (1968). The efforts
of the State “to produce a witness is a question of reasonableness.” Eaton,
2015 WL 8462318, at *3 (citation omitted). “Due diligence requires more
than the issuance of a subpoena and the return of it not found.” Id. (cleaned
up). It is the State’s burden to show “its good-faith efforts to secure the
presence of a witness.” Id.
Harris relies on a single case, State v. Zaehringer, to assert that the
State’s efforts to locate Matthews were unreasonable. See 325 N.W.2d 754,
759 (Iowa 1982). But, in Zaehringer, the court determined the State’s minimal
efforts to serve subpoenas upon a witness were the result of “risky
oversight.” Id. The prosecution in Zaehringer was notified that the witness
had moved out of state fourteen months prior to trial, and “the State simply
sent out subpoenas in the immediate county area, and took no action
regarding the out-of-state lead.” Id.
Here, although the State did not commence attempts to serve
Matthews until a couple of months before trial, we agree with the district
court that its good-faith efforts were diligent and reasonable. As detailed
above, several intensive attempts and methods were utilized to locate and
serve Matthews, although to no avail, including the issuance of an order to
appear in Indiana court to be served. See Eaton, 2015 WL 8462318, at *3
(finding the State’s efforts to serve a witness reasonable when, nine days
before trial, law enforcement attempted to serve the subpoena, attempted to
call the witness, and questioned the witness’s neighbors and employer).
Accordingly, we find the district court did not err in ruling that
Matthews was unavailable for trial pursuant to rule 5.804(a)(5). At the first
trial, defense counsel had “an opportunity and similar motive to develop”
the testimony of Matthews, including utilizing cross-examination, so his
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prior testimony was admissible. Iowa R. Evid. 5.804(b)(1). “Because
[Matthews] was unavailable, the use of [his] prior testimony under rule
5.804(b)(1) did not violate [Harris’s] rights under the Confrontation Clause.”
See Eaton, 2015 WL 8462318, at *3.
C. Limitation of Expert Testimony
Harris asserts the district court abused its discretion by precluding his
expert witness, Dr. Pietz, from testifying about threatening statements that
Grimes allegedly said to Harris.4 Harris argues that, even if the statements
constitute hearsay, they should have been admissible under rule 5.703.
“We review a trial court’s decision to admit or exclude expert
testimony for an abuse of discretion.” Ranes v. Adams Lab’ys, Inc., 778
N.W.2d 677, 685 (Iowa 2010). “[W]e will reverse a decision by the district
court concerning the admissibility of expert opinions only when the record
shows the court exercised its discretion on grounds or for reasons clearly
untenable or to an extent clearly unreasonable.” Id. (cleaned up).
Untenability occurs when “[a] ground or reason . . . is not supported by
substantial evidence or when it is based on an erroneous application of the
law.” Id. (citation omitted).
Harris asserts that Grimes’s hearsay statements are admissible under
rule 5.703, which states:
An expert may base an opinion on facts or data in the case that the expert
has been made aware of or personally observed. If experts in the particular
field would reasonably rely on those kinds of facts or data in forming an
4
The statements that Harris alleges Grimes said to him include: “I know exactly
who you are, and the next time I see you, it’s that,” and “Didn’t I tell you, the next time I
see you, I’m going to shoot you?” Dr. Pietz testified in an offer of proof that Harris told
her Grimes made these statements to him.
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opinion on the subject, they need not be admissible for the opinion to be
admitted. But if the facts or data would otherwise be inadmissible, the
proponent of the opinion may disclose them to the jury only if their
probative value in helping the jury evaluate the opinion substantially
outweighs their prejudicial effect.
Iowa R. Evid. 5.703. Here, the district court ruled that Dr. Pietz was allowed
to offer an opinion about Harris’s perception of the incident but was
prohibited from detailing what Harris said Grimes told him. The court
reasoned that although inadmissible hearsay can be admitted if it assists in
forming an expert opinion, the statements’ probative value did not
substantially outweigh their prejudicial effect. Further, the court reasoned
that if Harris chose to testify, which he did, he could inform the jury of what
Grimes stated to him. At trial, Dr. Pietz testified that in her opinion, Harris
felt threatened by Grimes prior to the shooting.
Harris, on appeal, asserts that the excluded testimony was relevant and
not unfairly prejudicial. He cites rule 5.403, which concerns the exclusion of
“relevant evidence if its probative value is substantially outweighed by a
danger of . . . unfair prejudice.” Iowa R. Evid. 5.403. However, as the State
points out, rule 5.703 “operates in reverse,” allowing inadmissible evidence
that informs an expert opinion “only if [its] probative value . . . substantially
outweighs [its] prejudicial effect.” Iowa R. Evid. 5.703 (emphasis added).
Here, Dr. Pietz was able to testify to her opinion that Harris felt
Grimes threatened him because of how Harris described his interactions with
Grimes. And Harris ultimately testified about the exact statements that Dr.
Pietz relied upon in forming her opinion. If Dr. Pietz had been allowed to
refer to the hearsay in question, the testimony would have been cumulative
and added nothing to the jury’s understanding of her expert opinion. See
Brunner v. Brown, 480 N.W.2d 33, 37 (Iowa 1992) (finding no abuse of
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discretion where the excluded testimony underlying an expert opinion could
have been obtained “from examination of [other] witnesses”).
Further, even if we find that the district court abused its discretion in
prohibiting th