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For a list of questions to ask experts, see the bottom of this page.
Daubert v Merrell Dow Pharmaceuticals Inc.,
509 U.S., 113 S Ct 2786 (1993) Daubert is one of the most important decisions
to come along in years. In the most simple terms, Daubert states that all
expert testimony must be based on scientific foundation and not simply an
opinion. While that may not seem important, consider this. Many innocent
men have been convicted on charges of sexual abuse, simply because of the
"expert" opinion of a psychologist; an opinion that was absolutely worthless,
but was accepted by the jury because that psychologist was qualified as an
"expert," and was called "Doctor." Also consider that, prior to Daubert,
when psychologists testified for both the prosecution and the defense, the
"winner," was the one, not necessarily with the facts or the truth, but with
the "silver tongue." In Daubert, the Court stated;
The trial judge must ensure that any and all scientific testimony or evidence
admitted is not only relevant, but reliable." Daubert, 113 S Ct at 2795.
Experts purport to offer testimony that is scientific. By the use of the
adjective "scientific," Mr. Justice Blackmun wrote, the witness is implying
a "grounding in the methods and procedures of science". Id. at 2795.
"Knowledge" "connotes more than subjective belief or unsupported speculation".
Id. at 2795. "In order to qualify as 'scientific knowledge', an inference
or assertion must be derived by the scientific method. Proposed testimony
must be supported by appropriate validation, i.e., 'good grounds', based
on what is known."
"Experts" permitted wide latitude. Therefore an expert's opinion must "have
a reliable basis in the knowledge and experience of his discipline." Daubert
at 2796. Scientific Methodology is Essential.
"Scientific methodology today is based on generating hypotheses and testing
them to see if they can be falsified; indeed, this methodology is what
distinguishes science from other fields of human inquiry." Id. at 2796.
"Key Question" which must be answered is, "Whether a theory or technique
is scientific knowledge that will assist the trier of fact and whether it
can be (and has been) tested."
The Court's instructions to the trial courts is that when "expert", "scientific"
testimony is offered, the trial judge must determine at the outset, pursuant
to Rule 104, whether the expert is proposing to testify to Scientific knowledge
that will assist the trier of fact to understand or determine a fact in issue.
This entails a preliminary assessment of whether the reasoning or methodology
underlying the testimony is scientifically valid and of whether that reasoning
or methodology properly can be applied to the facts in issue. Focus must
be solely on principles and methodology "error rate" Court's analysis cites
to United States v Smith, 869 F2d 348, 353-354 (CA7 1989). Scientists typically
distinguish between 'validity' (does the principle support what it purports
to show?) and 'reliability' (does application of the principle produce consistent
results?) Our reference here is to evidentiary reliability; that is,
trustworthiness. In a case involving scientific evidence, evidentiary reliability
will be based upon scientific validity. Daubert at 2795.
Idaho v Wright, 497 US 805, 110 S Ct 3139 (1990). In Idaho v Wright,
the Court struck down a conviction based in part upon the testimony of a
physician as to what a child had told him. The Court insisted upon
"particularized guarantees of trustworthiness" and said that this trustworthiness
could not be "bootstrapped" from other evidence, but must be seen to arise
from the statements themselves which should be analyzed from: "The totality
of the circumstances that surround the making of the statement and that render
the declarant particularly worthy of belief.....Thus, unless an affirmative
reason, arising from the circumstances in which the statement was made, provides
a basis for rebutting the presumption that a hearsay statement is not worthy
of reliance at trial, the Confrontation Clause requires exclusion of the
out-of-court statement." Wright, 110 S Ct at 3149-3151.
White v Illinois, 502 U.S., 112 S Ct 736 (1992). In White v Illinois,
the Court spoke to the medical diagnosis exception again and reasoned: "...the
evidentiary rationale for permitting hearsay testimony regarding spontaneous
declarations and statement made in the course of receiving medical care is
that such out-of-court declarations are made in contexts that provide substantial
guarantees of their trustworthiness.....a statement made in the course of
procuring medical services, where the declarant knows that a false statement
may cause misdiagnosis or mistreatment, carries special guarantees of
credibility...." White, 112 S Ct 748.emphasis added.
New Jersey v Margaret Kelly Michaels, 136 N.J. 299, 642 A2d 1372 (June
13,1994). A unanimous Supreme Court overturned the conviction of Ms.
Michaels on the basis of science and reliability. The Court stated;
The issue we must determine is whether the interview techniques used by the
State in this case were so coercive or suggestive that they had a capacity
to substantially distort the children's recollections of actual events and
thus compromise the reliability of the children's statements and testimony
based on their recollections. New Jersey vs. Margaret Kelly Michaels, 136
N.J. 299, 642 A 2d 1372, 1377 (June 13, 1994).
If a child's recollection of events has been molded by an interrogation,
that influence undermines the reliability of the child's responses as an
accurate recollection of actual events. Michaels 136 N.J. 299, 642 A 2d 1372,
1377 (June 13, 1994).
We note that a fairly wide consensus exists among experts, scholars, and
practitioners concerning improper interrogation techniques. They argue that
among the factors that can undermine the neutrality of an interview and create
undue suggestiveness are a lack of investigatory independence, the pursuit
by the interviewer of a preconceived notion of what has happened to the child,
the use of leading questions, and a lack of control for outside influences
on the child's statements, such as previous conversations with parents or
peers. 136 N.J. 299, 642 A 2d 1372, 1377 (June 13, 1994).
A lack of objectivity also was indicated by the interviewer's failure to
pursue any alternative hypothesis that might contradict an assumption of
defendant's guilt, and a failure to challenge or probe seemingly outlandish
statements made by the children. The record is replete with instances in
which children were asked blatantly leading questions that furnished information
the children themselves had not mentioned. Michaels 136 N.J. 299, 642 A 2d
1372, 1380 (June 13, 1994).
To ensure defendant's right to a fair trial a pretrial taint hearing is essential
to demonstrate the reliability of the resultant evidence. 136 N.J.
299, 642 A 2d 1372, 1382 (June 13, 1994) 13. Assessing reliability as a predicate
to the admission of in-court testimony is a somewhat extraordinary step.
Nevertheless, it is not unprecedented. [Citing to Mason v Braithwaite, 432
US 98, 97 S Ct 2243, 53 L Ed2d 140 (1977) & Jackson v Denno, 378 US 368,
84 S Ct 1774, 12 L Ed2d 908 (1964)] 136 N.J. 299,642 A 2d 1372, 1381 (June
13, 1994).
Specific points addressed by the Michaels Court;
Failure to videotape initial interview;
Lack of control for outside (family) influences;
Absence of spontaneous recall in the supposed victims;
Interviewer bias - A preconceived notion that alleged wrongdoer, "did it";
Repeated leading questions;
Incessant questioning, either by examiners of by family members;
Multiple interviews;
Transmission of suggestion to children ie: tone of voice;
Positive reinforcement of inculpatory statements;
Negative reinforcement of exculpatory statements;
Failure to probe outlandish statements;
Contact with peers and reference to their statements;
Use of mild threats, bribes or cajoling;
Vilification of alleged wrongdoer.
The following supports a Motion in Limine to exclude prosecution expert testimony
as not admissible because it is not generally accepted in scientific community
and cannot be properly done.
The five factors which the Supreme Court adopted are:
the evidence will assist the trier of fact to understand the evidence or
to determine a fact in issue;
the evidence will add to the common understanding of the jury;
the underlying theory is generally accepted as valid;
the procedures used are generally accepted as reliable if performed properly;
the procedures were applied and conducted properly in the present instance.
The concept of sexual abuse accommodation syndrome does not meet any of the
requirements of the five factors. The concept was advanced by Roland Summit,
M. D., not as an aid to understanding, nor as a determinant of fact, but
rather, by his own description, as a consciousness raising experience for
mental health professionals to sensitize them to what Summit believed was
a tendency to minimize or be unaware of the prevalence of sexual abuse. He
maintains he never intended the concept to be used to make any diagnosis
or determination of fact and that people who attempt to use it in that fashion
are misusing his concept. There is no factual basis for this concept at all.
There is no scientific quantifiable evidence to support it. It is only a
speculative, subjective, and personal conceptualization. It cannot add to
the common understanding of the jury. It is not generally accepted in the
scientific community. It has been specifically rejected even for further
study by the Revision Committee of DSM III-R and judged to be without scientific
merit (Corwin, 1988). The Supreme and Appellate Courts in several states
have ruled that the use of this concept is not permitted because it does
not meet the requirement to be generally accepted in the scientific community.
Most recently the Report No. 8 of the San Diego County Grand Jury, June 29,
1992, which investigated the handling of sexual abuse cases for several years,
decries the use of the sexual abuse accommodation syndrome, holds it not
generally accepted, and regards it as confusing and harmful to children and
families.
The concept of sexual abuse accommodation syndrome cannot be used in a proper
manner by anybody. It is not possible for any human being to properly use
any procedure, no matter what it is, for which it cannot be demonstrated
that there is a better than chance 50% reliability of the outcomes. There
is no evidence that this concept improves upon chance. Rather, a recent analysis
of decision making in sexual abuse allegations suggests it may contribute
to a grotesquely unacceptable level of false positives, that is concluding
there was abuse when there was not (Horner & Guyer, 1991a, b). If a procedure
cannot be shown to improve upon chance level, the only operative principle
is chance and any procedure from casting chicken bones, reading goat entrails,
flipping coins, or hours of sophistry can be followed by chance events.
The concept of behavioral indicators that can be used to establish whether
or not a person has been sexually abused also does not meet any of the five
requirements of the Supreme Court. There is no scientific quantifiable data
that establishes a causal relationship between any of the behaviors on the
various lists and a prior experience of sexual abuse. There is no scientific
quantifiable data that demonstrates a rate of any of these behaviors in a
sample advanced as sexually abused that exceeds the base rate of those behaviors
in the nonsexually abused population. The behaviors are at most stressor
responses which can be associated with many, many stressor experiences other
than abuse. To offer nondiscriminatory evidence suggesting through an expert
that it can be used to make a discrimination is to generate great confusion,
misperception, and damage the ability of a jury to reach the most rational
decision possible (Arkes & Harkness, 1983; Bell & Loftus, 1989; Cutler,
Dexter, & Penrod, 1989; Faigman, & Baglioni, 1988; Faust, 1989; Saks,
& Kidd, 1980-81; Kovera, Levy, Borgida, & Penrod, 1992).
In that, according to Daubert and Goodson vs. The State of Mississippi, there
are no "characteristics" of a sexually abused child, short of absolute medical
findings, an "expert" opinion that a child matches the profile of a sexually
abused child," is absolutely worthless. Any expert opinion must be based
on scientific foundation and not simply the "flip" of a coin.
Henry Krugman, M. D., Director of the Kempe Center, has written, "The medical
diagnosis of sexual abuse usually cannot be made on the basis of physical
findings alone. With the exception of acquired gonorrhea or syphilis, or
the presence of forensic evidence of sperm or semen, there are no pathognomic
findings for sexual abuse" (Krugman, 1989, p. 165-166). As an example, there
is no validity to the statement, "An absent hymen means probable sexual
intercourse." Paradise (1989) examines the significance of hymenal tissue
and concludes that attempting to use physical findings of the hymenal tissue
will produce 65% false positives in cases of penile penetration and 73% false
positives in cases of digital penetration. There is no evidence supporting
the conclusion that hymenal tissue or the absence thereof can be used to
conclude a high probability of sexual intercourse.
Use of concepts or phrases such as "often", "most commonly," "not unusual,"
"are likely" imply some quantification and some data. If there is no
quantification, but only reliance upon personal experience and non systematic
personal observations this is not science, but personal speculation. It is
not proper nor is it acceptable in the scientific community to use clinical
experience or clinical observations to support such claims. There is over
forty years of research demonstrating that clinical observations and experience
are unreliable and cannot be used as anything other than a possible source
for hypotheses which then must be carefully examined by a quantified approach
(Einhorn & Hogarth, 1978; Brehmer, 1980; Dawes, 1989; Dawes, Faust, &
Meehl, 1989; Stanovich, 1992; Turk & Salovey, 1985). This same criticism
applies to any opinions offered as testimony which are based upon anecdotes
(Herbert, 1977).
While testimony based upon experience may be legally admissible, it cannot
be offered under the rubric of science nor as being generally accepted in
the scientific community. Reliance upon experience alone may, in fact, increase
error (Faust, 1986; Gambrill, 1990). In the absence of any support for accuracy
such speculative, non scientific opinion cannot assist the jury nor add to
their understanding except to increase an erroneous understanding. Use of
experience alone as support for opinion is not scientifically sound nor is
it accepted. Therefore the use of experience as a base for an opinion is
not able to be done properly nor is there any basis for seeing it as reliable.
References supporting are as follows;
Arkes, H. R. & Harkness, A. R. (1983). Estimates of contingency between
two dichotomous variables. Journal of Experimental Psychology: General, 112(1),
117-135.
Brehmer, B. (1980). In one word: Not from experience. Acta Psychological,
45, 223-241.
Bell, B. E., & Loftus, E. F. (1989). Trivial persuasion in the courtroom:
The power of (a few) minor details. Journal of personality and social Psychology,
56(5), 669-679.
Corwin, D. L. (1988). Early diagnosis of child sexual abuse: Diminishing
the lasting effects. In G. E. Wyatt & G. J. Powell (Eds.), Lasting Effects
of Child Abuse (pp. 251-269). Newberry Park, CA: Sage Publications.
Cutler, B. L., Dexter, H. R., & Penrod, S. D. (1989). Expert testimony
and jury decision making: An empirical analysis. Behavioral Sciences &
the Law, 7(2), 215-225.
Dawes, R. M. (1989). Experience and validity of clinical judgment: The illusory
correlation. Behavioral Sciences & the Law, 7(4), 457-467.
Dawes, R. M., Faust, D., & Meehl, P. E. (1989). Clinical versus actuarial
judgment. Science, 243, 1668-1674.
Einhorn, H. J., & Hogarth, R. M. (1978). Confidence in judgment: Persistence
of the illusion of validity. Psychological Review, 85(5), 395-416.
Faigman, D. L., & Baglioni, A. J. (1988). Bayes' theorem in the trial
process: Instructing jurors on the value of statistical evidence. Law and
Human Behavior, 12(1), 1-17.
Faust, D. (1986). Research on human judgment and its application to clinical
practice. Professional Psychology: Research and Practice, 17(5), 420p;430.
Faust, D. (1989). Data integration in legal evaluations: Can clinicians deliver
on their premises? Behavioral Sciences and the Law, 7(4), 469-483.
Gambrill, E. (1990). Critical Thinking in Clinical Practice. San Francisco.
Josey-Bass.
Herbert, V. (1977). Acquiring new information while retaining old ethics.
Science, 198, 690-693.
Horner, T. M., & Guyer, M. J. (1991). Prediction, prevention, and clinical
expertise in child custody cases in which allegations of child sexual abuse
have been made: I. Predictable rates of diagnostic error in relation to various
clinical decision making strategies. Family Law Quarterly, 25(2),
217p;252.
Horner, T. M., & Guyer, M. J. (1991). Prediction, prevention, and clinical
expertise in child custody cases in which allegations of child sexual abuse
have been made: II. Prevalence rates of child sexual abuse and the precision
of 'tests' constructed to diagnose it. Family Law Quarterly, 25(3),
381p;409.
Krugman, R. D. (1989). The more we learn, the less we know "With reasonable
medical certainty"? Child Abuse & Neglect, 13 (2), 165-166.
Kovera, M. B., Levy, R. J., Borgida, E., & Penrod, S. D. (1992, March).
Expert witnesses in child sexual abuse cases: Effects of expert testimony
and cross-examination. Paper presented at the meeting of the American
Psychology-Law Society, San Diego, CA.
Paradise, J. E. (1989). Predictive accuracy and the diagnosis of sexual abuse:
A big issue about a little tissue. Child Abuse & Neglect, 13 (2), 169-176.
Saks, M. J., & Kidd, R. F. (1980-81). Human information processing and
adjudication: Trial by heuristics. Law & Society Review, 15(1), 123-159.
Stanovich, K. E. (1992) How to Think Straight About Psychology. New York.
Harper Collins.
Turk, D. C., & Salovey, P. (1985). Cognitive structures, cognitive processes,
and cognitive-behavior modification: II. Judgments and inferences of the
clinician. Cognitive Therapy and Research, 9(1), 19-33.
One of the most important aspects in either preparing for trial or during
trial is in the proper and adequate questioning of experts. For a listing
of possible questions to consider, please see
Questioning Experts
in False Allegation Cases.
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