Timothy Ray HADDEN, Petitioner,
v.
STATE of Florida, Respondent.
Richard BEAULIEU, Petitioner,
v.
STATE of Florida, Respondent.
Supreme Court of Florida.
*574 Nancy C. Daniels, Public Defender and P. Douglas Brinkmeyer, Assistant Public Defender, Chief, Appellate Intake and Kimberly A. Johnson, Florida State University College of Law, Certified Legal Intern, on behalf of Public Defender's Office, Second Judicial Circuit, Tallahassee, and William F. Jung of Black & Jung, P.A., Tampa, for Petitioners.
Robert A. Butterworth, Attorney General; James W. Rogers, Bureau Chief, Criminal Appeals and Carolyn J. Mosley, Assistant Attorney General, Tallahassee, and Steven J. Guardiano, Assistant Attorney General, Daytona Beach, for Respondent.
WELLS, Justice.
We have for review the decisions of the First District Court of Appeal in Hadden v. State,
IN VIEW OF THE SUPREME COURT'S HOLDING IN TOWNSEND V. STATE, DOES FLANAGAN V. STATE, REQUIRE APPLICATION OF THE FRYE STANDARD OF ADMISSIBILITY TO TESTIMONY BY A QUALIFIED PSYCHOLOGIST THAT THE ALLEGED VICTIM IN A SEXUAL ABUSE CASE EXHIBITS SYMPTOMS CONSISTENT WITH THOSE OF A CHILD WHO HAS BEEN SEXUALLY ABUSED?
Hadden,
Further, we hold that at the present time, a psychologist's opinion that a child exhibits symptoms consistent with what has come to be known as "child sexual abuse accommodation syndrome" (CSAAS)[1] has not been proven by a preponderance of scientific evidence to be generally accepted by a majority of experts in psychology. Therefore, such opinions (which we will refer to as "syndrome testimony") may not be used in a criminal prosecution for child abuse. In such testimony, the expert (usually a psychologist by training) testifies on the basis of studies that children who have been sexually abused develop certain symptoms. For example, in Ward v. State,
sexual behavior (suggestions of sexual activities, e.g., sexual play with toys); behavioral reactions (extreme passiveness or aggressiveness, changes in eating, underachievement); and emotional reactions (sleep disturbances, physical and depressive reactions).
The psychologist then links the type of syndrome symptoms to the child who is the victim in the case being tried.
Accordingly, we approve Hadden in part to the extent that the district court found the issue of the reliability of the expert opinion preserved, and we quash the remainder of the decision. We remand that case with directions that the case be remanded to the trial court for a new trial.
Likewise, we quash Beaulieu and remand for a determination of whether an objection to the admission of the expert's testimony was properly preserved below on the basis of the testimony not passing a Frye test and for further proceedings consistent with this opinion.
Facts
Timothy Ray Hadden was charged by amended information with three counts of sexual battery on a person under twelve by vaginal penetration with his finger. During the trial, the State proffered out of the jury's presence opinion testimony from a mental health counselor concerning the symptoms and diagnostic criteria typically associated with sexually abused children. Hadden objected to this testimony on the basis that it lacked scientific reliability and that the expert failed to identify enough diagnostic criteria to give an adequate description of the victim's condition. The State argued that the evidence was admissible under Ward, in which the First District found similar testimony admissible as circumstantial evidence of sexual abuse. In Ward, the district court applied a three pronged analysis to determine the admissibility of this evidence: (1) the expert was qualified to express an opinion; (2) the subject area of child abuse was so developed to permit an expert to express an opinion; and (3) child abuse is not so well *576 understood that a properly qualified expert would know more than a lay person. Id. at 1083. The trial court overruled Hadden's objection and allowed the expert to testify. Hadden was thereafter convicted of the lesser charge of lewd assault.
On appeal, the First District affirmed. Hadden v. State,
The district court ultimately concluded that for alternate reasons, the testimony in the case did not need to be subject to a Frye test. First, the district court turned to State v. Townsend,
Judge Ervin dissented. Judge Ervin wrote that the parties were procedurally barred from claiming the evidence here was pure opinion testimony as defined in Flanagan, and even if properly before the appellate court, the testimony went beyond pure opinion testimony. Hadden at 85 (Ervin, J., dissenting). Further, Judge Ervin concluded from his analysis of the Florida appellate decisions on this issue that no appellate court had addressed the question of whether this type of evidence was admissible under Frye, but rather, the question had only been addressed as a question of relevance. Id. at 85-88. Consequently, this evidence needed to be examined in light of the record, scientific literature, and judicial decisions. Judge Ervin then set out his examination of whether such opinion testimony was generally accepted and concluded that this testimony was not accepted in its particular field as a diagnosis of sexual abuse. Id. at 88-91. Accordingly, Judge Ervin would have held that it was error to admit this testimony as substantive evidence because it bolstered the child's credibility, and he would have reversed the convictions. Id. at 91.
In the consolidated case, Richard Beaulieu was charged with various sex acts with a minor. At trial, the victim testified about being abused by the defendant, and this testimony was corroborated by the victim's own *577 hearsay statements to others. Additionally, a psychologist testified that from his interviews with the child victim and the child's drawings and other tests, the victim fit the child-abuse profile. Beaulieu v. State,
Analysis
We likewise agree with Judge Ervin's conclusions that syndrome testimony in child abuse prosecutions must be subjected to a Frye test and that such evidence has not to date been found to be generally accepted in the relevant scientific community. Therefore, we hold that expert testimony offered to prove the alleged victim of sexual abuse exhibits symptoms consistent with one who has been sexually abused should not be admitted. We recognize that this decision comes after our decision in Glendening v. State,
The issue of the admissibility of syndrome evidence has been the subject of substantial appellate review in the district courts since the enactment of the Florida Evidence Code, which applied to all cases for crimes occurring after July 1, 1979, ch. 78-379, § 23, Laws of Fla., and all civil cases pending or brought on or after October 1, 1981, see ch. 81-93, § 1, Laws of Fla. Since the Frye standard is not mentioned in the evidence code, several district courts concluded that the evidence code did away with this standard and replaced it with a relevancy standard. See, e.g., Andrews v. State,
The question of the appropriate standard of admissibility of novel scientific evidence of any kind following the adoption of the evidence code was resolved by this Court in favor of the Frye test. See, e.g., Stokes v. State,
The underlying theory for this rule [Frye] is that a courtroom is not a laboratory, and as such it is not the place to conduct scientific experiments. If the scientific community considers a procedure or process *578 unreliable for its own purposes, then the procedure must be considered less reliable for courtroom use.
Id. at 193-94. We have subsequently reaffirmed our allegiance to Frye several times. See, e.g., Brim; State v. Vargas,
Our specific adoption of that test after the enactment of the evidence code manifests our intent to use the Frye test as the proper standard for admitting novel scientific evidence in Florida, even though the Frye test is not set forth in the evidence code. See Brim; Ramirez,
The reasons for our adherence to the Frye test announced in Stokes continue today. Moreover, we firmly hold to the principle that it is the function of the court to not permit cases to be resolved on the basis of evidence for which a predicate of reliability has not been established. Reliability is fundamental to issues involved in the admissibility of evidence. It is this fundamental concept which similarly forms the rules dealing with the admissibility of hearsay evidence. As a rule, hearsay evidence is considered not sufficiently reliable to be admissible, and its admission is predicated on a showing of reliability by reason of something other than the hearsay itself. See § 90.802, Fla. Stat. (1995) ("Except as provided by statute, hearsay evidence is inadmissible."). This same premise underlies why novel scientific evidence is to be Frye tested. Novel scientific evidence must also be shown to be reliable on some basis other than simply that it is the opinion of the witness who seeks to offer the opinion. In sum, we will not permit factual issues to be resolved on the basis of opinions which have yet to achieve general acceptance in the relevant scientific community; to do otherwise would permit resolutions based upon evidence which has not been demonstrated to be sufficiently reliable and would thereby cast doubt on the reliability of the factual resolutions.
Using the Frye test, we addressed the admission of profile testimony as substantive evidence of the defendant's guilt. See Flanagan. In Flanagan, we recognized the danger of the fact finder overemphasizing expert testimony couched in terms of a profile. We specifically stated:
Profile testimony ... by its nature necessarily relies on some scientific principle or test, which implies an infallibility not found in pure opinion testimony. The jury will naturally assume that the scientific principles underlying the expert's conclusion are valid. Accordingly, this type of testimony must meet the Frye test, designed to ensure that the jury will not be misled by experimental scientific methods which may ultimately prove to be unsound.
Id. at 828.
In our decision in Flanagan, we found helpful Judge Ervin's concurring and dissenting opinion. Id. at 828-29; see Flanagan v. State,
We specifically note that the appropriate standard of review of a Frye issue is de novo. See Brim, 22 Fla. L. Weekly at S47, ___ So.2d at ___. Thus, an appellate court reviews a trial court's ruling as a matter of law rather than under an abuse-of-discretion standard.[4]Brim at S47, ___ So.2d at ___. When undertaking such a review, an appellate court should consider the issue of general acceptance at the time of appeal rather than at the time of trial. See generally id. at 14, ___ So.2d at ___ (stating that a report issued during the pendency of the appeal should be considered in determining whether novel scientific evidence is admissible under Frye); Hayes v. State,
In his dissent in Hadden, which we approve, Judge Ervin concluded that while the debate continues among experts regarding whether the child sexual abuse accommodation syndrome is an adequate therapeutic tool for determining the presence of abuse, there is no consensus among experts that it is useful as substantive evidence of guilt. Hadden,
Summit [the author of the article first describing child sexual abuse accommodation syndrome] did not intend the accommodation syndrome as a diagnostic device. The syndrome does not detect sexual abuse. Rather, it assumes the presence of abuse, and explains the child's reactions to it. Thus, child sexual abuse accommodation syndrome is not the sexual abuse analogue of battered child syndrome, which is diagnostic of physical abuse. With battered child syndrome, one reasons from the type of injury to the cause of injury. Thus, battered child syndrome is probative of physical abuse. With child sexual abuse accommodation syndrome, by contrast, one reasons from presence of sexual abuse to reactions to sexual abuse. Thus, the accommodation syndrome is not probative of abuse.
Id.
We did point out in Flanagan that the Frye standard for admissibility of scientific evidence is not applicable to an expert's pure opinion testimony which is based solely *580 on the expert's training and experience. See
Moreover, it is only upon proper objection that the novel scientific evidence offered is unreliable that a trial court must make this determination. Unless the party against whom the evidence is being offered makes this specific objection, the trial court will not have committed error in admitting the evidence. See Archer v. State,
We now apply this clarified standard to the facts of the two cases below. In Hadden, after the State proffered the testimony of a mental health counselor, the defendant objected to the testimony on the basis that the syndrome does not have scientific reliability. We find this objection sufficiently brought the question to the trial court's attention and preserved the issue for appellate review. On this issue, we approve the district court. Hadden,
Next, we address the question of whether the testimony in Hadden was pure opinion testimony or scientific-expert testimony. The expert in Hadden testified on direct examination that based upon his experience and training in child sex-abuse cases, the victim exhibited symptoms consistent with a child who had been sexually abused. However, as the answer was clarified on cross-examination, the expert's answer was based not only upon the expert's experiences *581 but on syndromes such as posttraumatic stress disorder and related diagnostic criteria. Consequently, the expert's opinion was based upon diagnostic standards which must pass the Frye test. Hadden,
Our finding of error does not necessarily require reversal because even if the evidence is found to be inadmissible under Frye, the error may still be harmless. See Flanagan,
In Beaulieu, the district court did not deal with the issue of whether there was a sufficient objection to the expert's testimony on the basis that it was not reliable. Therefore, we remand this case to the district court to make that initial determination and for further proceedings consistent with this opinion.
Conclusion
In sum, we answer the certified question in the affirmative and hold that prior to the introduction of expert testimony offered to prove the alleged victim of sexual abuse exhibits symptoms consistent with one who has been sexually abused, upon proper objection the trial court must find that the expert's testimony is admissible under the standard for admissibility of novel scientific evidence announced in Frye v. United States,
Accordingly, we approve Hadden to the extent the district court found the question of reliability of the expert opinion preserved; we quash the remainder of the Hadden decision and the decision in Beaulieu; and we remand these cases for proceedings consistent with this opinion.
It is so ordered.
OVERTON, SHAW, GRIMES, HARDING and ANSTEAD, JJ., concur.
NOTES
Notes
[1] In footnote 22 of his concurring and dissenting opinion in Flanagan v. State,
CSAAS was first described in a 1983 article by Dr. Ronald Summit, listing five general attributes of child sexual victims (secrecy, helplessness, denial, delayed disclosure, and retraction), whom he had treated over a substantial period of time. Summit, The Child Sexual Abuse Accommodation Syndrome, 7 Int'l. J. of Child Abuse & Neglect 177 (1983). CSAAS as a means of predicting sexual abuse has been the subject of considerable criticism because the syndrome assumes the existence of abuse, and was not developed as a method of detecting abuse. See In re Sara M.,
[2] We have recently defined "general acceptance" to mean acceptance by a clear majority of the members of the relevant scientific community, with consideration by the trial court of both the quality and quantity of those opinions. Brim v. State,
[3] In Stokes, this Court addressed the question of admissibility of post-hypnotic testimony.
[4] We recently addressed the proper procedures for the admission of expert opinion testimony in Ramirez v. State,
[5] We caution that our holding should not be used to determine the admissibility of syndrome evidence other than as evidence of child sexual abuse. The admissibility of syndrome evidence in other cases will have to be decided on the basis of the intended purpose of the admission of that evidence and whether the evidence is new or novel scientific evidence which requires a Frye test. Nor should our decision here be read so broadly as to require Frye tests for psychological testimony which is not new or novel such as that pertaining to competency or intelligence quotient.
[6] Similarly, in Toro v. State,
