*1 (The People of the State of OF PAUL B. BOLTON In re DETENTION Bolton, Defendant-Appellant). Illinois, Plaintiff-Appellee, B. v. Paul 4 — 02—0515 District No. Fourth Opinion filed November Kennedy, Champaign, appellant. for
Daniel B. (William Browers, Attorney General, Chicago Anne S. Madigan, L. Lisa General, counsel), Attorneys Hoffman, Bagby, and Anne Assistant Lisa People. JUSTICE COOK delivered the of the court: Defendant, Bolton, Paul B. appeals April 16, 2002, jury verdict finding him to a sexually be violent pursuant to Illinois’s Sexu- (Act) (725 ally Violent Persons Commitment Act through ILCS 207/1 (West 2000)). We reverse and remand. I. BACKGROUND April 7, 1994, On *2 defendant pleaded guilty to criminal sexual as- (720 13(b) (West 1994)), sault ILCS a X felony, Class for molesta- 5/12— child, tion and oral sex a stepsister, began his which he admitted (Defendant when she yeárs was 6 old and he years was 12 old. was 1976.) born Defendant years’ was sentenced to four proba- intensive 19, 1995, tion. On June defendant was found in proba- violation of his tion for attempting five-year-old girl to lure a to an area secluded a tarp for a sexual accordingly offense. He was years’ sentenced to 12 (DOC). imprisonment Department in the Illinois of Corrections Defendant mandatory was scheduled for supervised release on Febru- ary
Prior to release, defendant’s Jacqueline Buck, Dr. a N. licensed psychologist clinical working special for the DOC, evaluation unit of reviewed defendant’s DOC file to determine whether he met the criteria for sexually a violent person under the Act and was therefore in need of a clinical interview. The purpose of a clinical interview is to identify leaving sex offenders who are high DOC and have a risk civilly reoffend in order to Department commit them to the of Human Services for sex-offender treatment.
On December Dr. Buck defendant and interviewed decided not to refer defendant for commitment under the Act because he had completed years almost two of sex-offender treatment at the Big Muddy Facility. January 2001, Correctional Swope, Amanda defendant’s ex-girlfriend child, and mother of his telephoned DOC and expressed concern for safety of herself and her child after call, defendant’s release. Due to this Dr. Buck reevaluated defendant using information she did not making have when her initial decision. Dr. Buck found this significant information and referred defendant for February 26, 2001, commitment. On petition seeking the State filed a finding a sexually that defendant was a violent and should be pursuant committed to the Act. trial, Reidda,
At the State presented Dr. Buck and Dr. Phil licensed clinical psychologist working Psychologists for Affiliated Limited, organization independently contracted State perform persons probable-cause evaluations on for whom an Act determination has been made. Both Dr. Buck and Dr. Reidda found (American Association, Psychiatric met the defendant DSM—IV—TR IV—TR, of Mental Disorders Diagnostic and Statistical Manual DSM— (1) 2000)) sexu- diagnostic pedophilia, criteria for at xxxiii rev. ed. (2) females, ally type; paraphilia, attracted to nonexclusive females, sexually nonconsenting attracted to specified, otherwise (4) disorder, personality type; voyeurism; nonexclusive antisocial disorder, severe; severe. personality narcissistic that he has They testified defendant has a mental disorder such behavior, and there is a substantial difficulty controlling serious his violence in the probability engage defendant will acts sexual ILCS significant place. future unless intervention has taken See 725 207/5(f) (West 2000). on the results of They opinions based their tools, psychological tests and actuarial as well as clinical interview juvenile criminal, sexual, and a review of and adult defendant’s treatment history. Davis, presented Larry
Defendant Dr. M. physician licensed specializing in psychiatry purpose who had examined defendant for the litigation. diagnosed this Dr. Davis defendant pedophilia, with sexu- females, ally type, voyeurism. attracted to nonexclusive He did not believe there was a substantial defendant probability would sexu- ally reoffend. He based on his evidence defendant’s treat- ment at Big Muddy Facility. high Correctional Due to defendant’s intelligence, activity, ongoing therapy, further education and direct *3 experience punishment, of DOC he felt that defendant’s behavior addition, controllable. In experts Dr. Davis contended that the field agree that the reoffense rate for incestuous sexual molesters is than lower nonincestuous molesters. The fact that defendant’s victims are female also lowers his reoffending. likelihood of Dr. Davis did not rely on actuarial tools to defendant’s assess risk recidivism. presented Campbell,
Defendant also Dr. Terence a licensed clinical psychologist psychological who reviewed defendant’s evaluations. Dr. Campbell length regarding history testified at criticisms many opinions actuarial tools used in this case. He based of his on two published analyzed articles after Dr. Buck and Dr. Reidda defendant. Campbell argued by Dr. the correlation the risk used between factors statistically significant; Dr. Buck and Dr. Reidda and recidivism was not cross-examination, the correlation could occur alone. On Dr. chance Campbell admitted that one of the he relied on concluded that articles (Violence Guide) Risk and Static-99 tools were Appraisal VRAG predict found to violent and sexual recidivism. He admitted that the actuarial He tools used this case are the best available. testified nation, although they the tools are used all over the are not necessarily being accurately. used Doren,
The State called rebuttal witness Dr. Dennis a licensed psychologist, testify regarding the actuarial tools. He testified that the concept goes psychology years of actuarial tools back in almost 100 the first intelligence with test. 14 of the 15 states have sex- statutes, offender civil-commitment at least some of the evaluators use actuarial part tools as of their assessment process. Association for (ATSA) the Treatment of Sexual Offenders a policy has that evalua- tors should use validated actuarial risk-assessment tools. He did not experimental consider actuarial tools to be nationally because internationally complete, well tested. Each instrument but the research improve upon product. continues to
juryA returned committing a verdict in favor of defendant as a sexually violent pursuant to the Act. On June the trial court found commitment to institutional facility, care a secure Department Services, of Human to be the least-restrictive treatment alternative and ordered defendant accordingly. appeal committed This followed.
II. ANALYSIS
(1)
appeal:
Defendant raises four issues on
whether the trial court
in refusing
erred
defendant’s proposed jury
regarding
instructions
his
(2)
ability
behavior,
to control his sexual
whether defendant’s court-
appointed counsel was ineffective for failing
object
to the introduc
prior
activity
tion of evidence of
sexual
that did not consist of “sexu
(725
ally violent offenses” as that term is defined in the Act
ILCS 207/
5(e) (West
2000)),
whether the Act is
unconstitutional
it
require
Department
fails to
provide
of Human Services to
treat
designed
ment
recovery
pertinent
disorder,
effect
from the
mental
whether the trial
in denying
court erred
defendant’s motion
(see
(D.C.
States,
for a Frye hearing
Frye v. United
Defendant, brief, supplemental in a asks this court to consider whether the trial improperly court denied defendant’s motion for a Frye evidentiary hearing admissibility on the of the actuarial tests witnesses, relied or referred to expert the State’s Dr. Buck proffered sexually- and Dr. Reidda. The trial court found that *4 risk not or violent-person assessments were “new” “novel” scientific subject Frye admissibility trial, evidence standards. At both doctors relied, part, upon scoring their and evaluation of defendant on tools, including the Sex Offender Screen- certain actuarial Minnesota (MnSOST), Screening Tool—Revised ing Tool Minnesota Sex Offender
1227
(MnSOST-R),
VRAG,
Hare
Checklist —Revised
Psychopathy
the
the
Static-99,
Meta-analysis, to
(PCL-R), the
and the Hanson and Bussiere
probability
defendant’s
of recidivism.
opinion regarding
form an
expert’s
that an
recent
cases have determined
Two
Illinois
MnSOST-R,
MnSOST,
(Rapid
RRASOR
testimony
upon the
predicated
Offense),
Static-99
does not
of Sexual
tests
Risk Assessment
3d
admissibility.
Taylor,
App.
v.
335 Ill.
satisfy
Frye
People
the
test for
(2002) (Second
920,
District); In re Deten
N.E.2d
932
782
557,
669, 675,
Ill.
3d
N.E.2d
562
Hargett,
tion
338
786
(Third District).
Illinois,
governed by
the
is
expert
admission
Frye
methodology
principle
or scientific
standard: whether
sufficiently
which the
is based is
established to have
gained general
belongs.
in the
field in
it
acceptance
particular
which
Co.,
63, 77,
Donaldson v. Central
2d
Illinois Public Service
199 Ill.
767
(2002) (see
(199
314,
n.1,
N.E.2d
footnote 1
Ill. 2d at 80
also
n.1,
There is a preliminary question
Frye applies
whether
at all to
psychological
Ward,
368, 373,
testimony.
People
See
71 Cal.
4th
Rptr.
(psychological
Cal.
evaluation is a learned
professional art rather
than
the exact science with which
concerned).
Circuit, however,
The Seventh
held
has
that Daubert “is
applicable
experts, just
applies
to social science
as it
experts
hard
Tyus
Management,
sciences.”
v. Urban Search
102 F.3d
1996); Daubert,
Cir.
unenthusiastically
psychiatrists’
declared that
predictions of future
violence are
are
persuaded
admissible. “We
not
that
such
is
almost entirely unreliable and that
adversary
factfinder and the
system
uncover,
will
competent
not be
to
recognize, and take due ac-
shortcomings.”
Estelle,
count of its
880, 899,
v.
463 U.S.
77 L.
Barefoot
(1983) (the
1090, 1108,
3383,
Ed. 2d
103 S. Ct.
3397-98
American
Psychiatric Association
had filed an
brief stating
amicus
that
unreliable).
psychiatric predictions
long-term
dangerousness were
As a
Barefoot,
result of
it
been
has
concluded that a psychologist’s
or psychiatrist’s opinion as to an
dangerousness
individual’s future
is
generally
admissible when that
is based upon clinical observa
tion or the
personal
evaluator’s
experience. Taylor,
App.
335 Ill.
3d at
976,
jurisdictions
We
with the well-reasoned
decision
that
psychological
psychiatric testimony
or
of an expert predicated upon
subject
actuarial
instruments
is scientific evidence
Frye. Taylor,
335
976,
Ill.
3d
App.
Taylor
at
There a danger upon actuarial instruments intrude a false jury, they may instill proper functioning infallibility. of scientific Donald carry misleading confidence or a sense 86-87, son, expert’s N.E.2d at 329. Where the principles comprehensible jury, methods involve that are to a inducing concerns influence and exerting over the evidence undue hand, battle of the the other experts have less force. On when esoteric, technique types nature of the is more as with some of statisti analyses, subjective cal judgments misleadingly presented or when science, stronger showing probative as hard value should be required. Strong, § 1 J. McCormick on Evidence ed. 1999). concluded, supreme Donaldson, “extrapola court tion,” similar, establishing a and effect relationship cause based identical, theories, yet scientific studies and did not require test. “[Extrapolation fallibility nature admits its lack of —the *6 specific of a effect support establish existence known cause and Donaldson, relationship.” at at 767 N.E.2d 329. That is instruments, not true of actuarial which are presented as reliable determining methods of future dangerousness.
Are these actuarial instruments no different from actuarial tables for life expectancy? Life expectancy single, easily tables look to a factor, identified age, and past experience announce what has been. The actuarial First, tests before us are more complicated. the relevant factors must be identified. Is the age? sex of the offender relevant? His Whether he likes broccoli? ignored? Can certain factors ever be Selec tion of the appropriate factors is not simply computa mathematical Next, tion. it must be determined weight assign what to the various factors, and then it must be determined how to score the results. Does a score of 23 equate high probability reoffending? with a It is not necessary to a Frye hearing motion, conduct on Newton’s laws but reasoning employed inductive presents these actuarial tests different question. The fact that many statistics have been used for years does mean impossible any controversy not that it is to arise. People Miller, See 173 Ill. 2d 670 N.E.2d 731-32 (1996) (controversy over frequency (deoxyribo statistical of a DNA acid) nucleic match within a certain population).
Some experts have testified that actuarial
provide
instruments
significant amount of
far
psychologist’s
information that
exceeds a
ability
predictions
to make
purely
expert opinion
based
on
or clinical
judgment
Taylor,
alone. See
335 Ill.
3d at
Dr. Doren testified that the of actuarial tools is not the concept goes psychology years back in almost 100 with the intelligence first test. Dr. Doren is a and it psychologist, is not clear expertise what he has in the field of statistics. See Dura Automotive Indiana, Systems Corp., Inc. v. CTS 285 F.3d Cir. 2002) (expert incorporate subject cannot of another on a qualified). any event, for which he is not Dr. Doren’s observation is general any significance. particular methodologies too to be of employed They in this case are of recent development. have not been subjected empirical testing. They been controversial frequently criticized.
It many psychologists psychiatrists is true that utilize these Taylor, 335 Ill. It instruments. clear, however, any whether these instruments have use outside the courtroom See Reference on setting. Manual Scientific Evidence (2d 2000) (concern ed. Federal Judicial Center with result sometimes reached under when admitted was once experts pointed to a consensus in a field narrow had themselves established). agree Taylor, any We with absence of significant peer validity reliability review of the of these instru *7 ments, accept conclusory we cannot the State’s that the assertions gained general acceptance instruments have in the scientific com they can accept ipse munities. Nor we the dixit the witnesses Taylor, experts are and know best whether these tests are valid. significant both Drs. Maskel and Leavitt testified that there was and manner in which controversy surrounding these instruments Drs. they should be used. To that must be added the Campbell and in this case. Davis
Psychologists testimony, are statistical permitted give experience categories has shown that certain of offend- example, jury given reincarcerated at a certain rate. Where the is not ers are it, however, simply but is asked to comprehensible evidence that is category accept the instrument’s conclusion that defendant is violence,” committing future acts of sexual there “very high risk of
1231 weighing its function of danger jury will abandon problem where present particular evidence. Statistical indicators pertain to volitional conduct. they conduct, pertain
“[Wlhere the statistical indicators to volitional they great weight concep- on a place the courts are cautious because tion of human autonomy dignity coldly that the statistical analysis put way, shying away undermine. To it another would everyone predictions from the statistical reflects a belief that should the statistical norm.” 1 J. opportunity depart from 1999). 210, Strong,. § McCormickon at 805 n.3 ed. Evidence
III. CONCLUSION Because the use actuarial instruments these cases has test, approved judgment been in a we reverse the trial court’s declaring defendant a sexually violent under the Act and proceedings. remand for further
Reversed and remanded.
MYERSCOUGH, EJ., concurs. APPLETON,
JUSTICE dissenting: reasons, For two I respectfully portion dissent from the majority’s opinion holding that the actuarial assessments were inadmissible under Frye: the actuarial not a instruments were test; scientific they test, even if they were a scientific were not novel.
Frye applies to deductions
purportedly
principle,
from a
scientific
technique,
Frye,
1014; Donaldson,
77,
or test.
gist experience draw inferences from historical data or the collective device, psychologists. They purportedly other are not a scientific like a polygraph. regard,
In this the at are no different than actuarial tests issue expectancy jury tables for life admitted as evidence to for the gross pain determination of the amount for future awarded suf- fering expert present or used an economic to determine the cash pension. value of a Russell, 747, 125 2d State v. Wash. 882 P.2d 756-58
(1994),
posed
the defendant had
the bodies of his three murder victims
cetera).
hand,
arm,
(put pinecone
prove
a book under the
et
To
that the murderer of the three
probably
person,
victims was
same
the State’s experts analyzed
computer
consisting
two
databases
“forms,
officers,
listing
filled out
local law enforcement
the various
Russell,
Washington
characteristics of homicides in
and the nation.”
69,
analysis,
Defendant’s own used an technique, actuarial although he did not explicitly say so. In support his unlikely reoffend, defendant was to Davis testified to a consensus “among the experts in the field that the reoffense rate for incestuous sexual [was] molesters lower than [that for] nonincestuous molest ers.” He also testified female, that because defendant’s victims were defendant had a lower likelihood of than if reoffending they had been “experts male. The in the field” could not have determined the “reoff ense rate” without an analysis. actuarial See J. Becker Murphy, & W What WeKnow and Do Assessing Not Know About and Treating Sex (1998) (“offenders Offenders, 4 Psych. Pub. Pol. & L. against unrelated 18.3%, females had a rate recidivism unrelated males 8.5%”). 35.2%, and incest majority cases ap endorses an actuarial proach says: when it “Psychologists permitted give statistical testimony, for example, that experience has shown that certain categories of offenders are reincarcerated at a certain rate.” 343 Ill. App. 3d at Apparently, permitted Davis is to do haphazardly what the State’s witnesses are forbidden to do more thoroughly and systematically.
Even those using who favor the actuarial tools have criticized them or pointed limitations, out their such as a lack of comprehensive- See, ness the factors e.g., Rogers, consider. R. The Uncritical Acceptance Practice, Risk Assessment in Forensic 24 L. & Human Behavior 595-96 on (emphasis risk factors to the exclusion of protective factors, relations, self-esteem, such as social religious
beliefs); Hanson,
(emphasis
L. at 65
on static risk
Psych.
Pub. Pol. &
factors).
criticisms, however,
dynamic
factors to the exclusion of
Those
but,
recidivism
approach
predicting
are aimed not at the actuarial
rather,
rigorously
follow the actuarial
properly
at the failure to
be,
might
and Reidda used
The actuarial tools that Buck
approach.
reason,
methodology,
inadequate application
of actuarial
whatever
(which
bring out in cross-
shortcoming
defendant could
but
examination)
assessments, not
go
weight
to the
of the actuarial
would
admissibility
Frye.
People Pope,
their
under
See
(1996).
1321, 1326
The two cases on which
relies,
Taylor
Hargett,
appreciate
fail to
majority chiefly
well-established, underlying methodology
distinction between
methodology.
and the
use of that
prediction
particular
actuarial
holding
psychologi
In
cited no case
Taylor, the Second District
on actuarial
was
psychiatric testimony relying
cal or
assessments
the Third District cited no such
Frye. Hargett,
inadmissible under
case,
reported
is the
Taylor.
appears
Taylor
other than
It
first
predict
to bar the use of actuarial tools to
decision
the United States
uniformly
jurisdictions
It
that courts in other
appears
recidivism.
Strauss, 106
tools. In re Detention
Wash.
allowed the use of such
(2001) (the
relevant
com
20 P.3d
scientific
*10
and, therefore,
and the
munity generally accepts the MnSOST
VRAG
Holtz,
unnecessary); In re Detention
653 N.W.2d
Frye hearing
a
is
of
2002)
(Iowa
(MnSOST, MnSOST-R, and Static-99 are
613, 619
App.
P.3d
admissible);
Fields,
201 Ariz.
Romley
State ex rel.
2001)
models
to the use of actuarial
(App.
(Frye
inapplicable
is
R.S.,
In majority’s expert expert custody here to the use psychological child is First, cases unwarranted and is no inappropriate. simply there comparison acceptance between psychological testimony statutorily required and such proffered by party that is as support for or her position. majority his If and Gitlin problem judgment with trial courts their to a abdicating mental health professional, problem properly judges so, their with who do psychologists who, making after investigation such as are bound provide their charge, do and factors which a competent facts judge may trial place varying making judicial weight decision. MARSH, OF Petitioner-Appellant, re MARRIAGE BROOKS MARSH, Respondent-Appellee.
FRANKIE Fourth District No. 4 — 03—0022 Argued July Opinion filed 2003. November
