¶ 1. Wisсonsin makes full due process statutorily available to individuals subject to involuntary guardianship and protective placement petitions. Among the protections available is the requirement that an expert witness cannot simply summarize the findings and opinions of others but must reach an independent opinion only after a disinterested review of all relevant records. The record in this case does not support Therese B.'s contention that the expert witness simply regurgitated the opinions of others and the circuit court erred in not sustaining her objection to the admission of the expert's testimоny and opinion. In addition, there is substantial and credible evidence to support the circuit court's conclusion that Therese is incompetent and in need of protective placement. Therefore, we affirm.
PROCEDURAL BACKGROUND
¶ 2. Cheryle Gasch, a social worker with the Wal-worth County Department of Human Services (County) filed a Petition for Guardianship and Protective Place
¶ 3. At the evidentiary hearing, the County presented the testimony of the examining psychologist, Dr. Steven Braam, and the social worker. Therese lodged an objection to the testimony of Dr. Braam; she contended that Dr. Braam could not testify about the opinions formed by any other physician or psychologist who may have examined her because such testimony would be hearsay and would violate her confrontation rights. The circuit court overruled the objection, concluding that Dr. Braam could rely upon collateral sources, including the opinions of others, in testifying as to his professional opinion. The court also concluded that because Dr. Braam's testimony was an exception to the hearsay rule, there was no violation of Therese's confrontation rights. Dr. Braam testified that in his professional opinion Therese suffered from schizophrenia, paranoid type, the condition was permanent, and she has a primary need for residential custody and placement. The social worker also testified that Therese had a primary need for residential care and custody. Therese presented the testimony of Dr. Ronald G. Rubin, a psychiatrist who examined Therese on behalf of the State of Wisconsin, to determine if she matched the federal government's criteria for having a serious mental illness. He testified that he strongly disagreed with
DISCUSSION
¶ 4. On appeal, Therese contends that the circuit court erred in admitting the written report and testimony of Dr. Braam, the licensed psychologist appointed to examine her pursuant to Wis. Stat. § 880.33(1) (2001-02). 1 She complains that Dr. Braam's report and testimony were based entirely on hearsay because she did not cooperate with his examination and he instead had to reply upon the reports previously prepared by Robert Loiben, M.D., and David Thompson, Ph.D. Therese argues that because the County did not call Dr. Loiben or Dr. Thompson to testify, she was denied the opportunity to cross-examine them and to challenge their qualifications and diagnosis. She claims that Dr. Braam simply restated and summarized the findings of others and she was deprived of her right to cross-examine those who had previously examined her, a right guaranteed by § 880.33(2)(a) 1.
¶ 5. She also contends that the evidence is insufficient to support the circuit court's conclusion that she is incompetent due to a "mental disability." Finally, she asserts thаt even if there is sufficient evidence to support the conclusion that she is incompetent, there is no evidence that she is in need of protective placement.
¶ 6. Before considering Therese's first argument, we turn to the County's proposition that she is estopped from "complaining that Dr. Braam's testimony and report were based on hearsay because she refused to talk with him, forcing that result." Wisconsin Stat. § 880.33(1) provides that the examining professional inform the proposed ward that
he or she has a right to remain silent and that the examiner is required to report to the court even if the person remains silent. The issuance of such a warning to the person prior to each examination establishes a presumption that the person understands that he or she need not speak to the examiner.
It would be fundamentally unfair and a denial of due process to assure a person, through the warning required by § 880.33(1), that he or she has the right to remain silent and then penalize him or her for exercising that right by holding his or her silence judicially estops him or her from challenging the testimony of the reporting professional.
¶ 7. We agree with Therese that Wis. Stat. § 880.33(2)(a)l guarantees her the right to cross-examine the physiciаn or psychologist appointed to examine her and report to the circuit court.
2
In
R.S. v.
A witness in a contested guardianship proceeding would have to be qualified to give a medical or psychological opinion on, for example, a diagnosis of the proposed ward's mental disоrder or disability and whether the proposed ward's inability to care for himself or herself is caused by the mental condition alleged in the petition, not a physical disability. Section 880.01(4).
¶ 8. It is well settled that it is "proper for a physician to make a diagnosis based in part upon medical evidence of which he has no personal knowledge but which he gleaned from the reports of others."
Karl v. Employers Ins. of Wausau,
We need not reach the question of whether an expert's opinion based solely on inadmissible evidence, but that of a type reasonably relied on in his field, is admissible. However, this court has suggested that at some point when the reliability of the underlying evidence is called seriously into question, it is permissible to bar the expert's testimony.
¶ 9. Second, Wis. Stat. § 907.03 does not give license to the proponent of an expert to use the expert solely as a conduit for the hearsay opinions of others.
State v. Williams,
An expert's testimony that was based entirely on hearsay reports, while it might satisfy Rule 703, would nevertheless violate a defendant's constitutional right to confront adverse witnesses. The Government could 'not, for example, simply produce a witness who did nothing but summarize out-of-court statements made by others. A criminal defendant is guaranteed the right to an effective cross-examination.
¶ 10. Therese argues that in permitting Dr. Braam to testify to his opinion, which was not based upon personal knowledge coming from an interview with her but was based on the reports of two other professionals, she was denied the opportunity to cross-examine the actual authors of Dr. Braam's opinion. Because this is a civil proceeding there is no independent right to confront and cross-examine expert witnesses under the state and federal constitutions.
See W.J.C. v. Vilas County,
¶ 12. Therese has a huge liberty interest at stake because "[protective placements . . . are the only involuntary commitments under Wisconsin law that are indefinite in duration and thereby are tantamount to a life sentence to a nursing home or other custodial setting."
State ex rel. Watts v. Combined Cmty. Servs. Bd.,
The loss of liberty produced by an involuntary commitment is more.than a loss of freedom from confinemеnt. It is indisputable that commitment to a mental hospital "can engender adverse social consequences to the individual" and that "[wjhether we label this phenomena 'stigma' or choose to call it something else... we recognize that it can occur and that it can have a very significant impact on the individual."
¶ 14. The probable value of requiring the testimony of a professional who has an opinion based upon more than the opinion оf others is sizeable. The court appoints a professional it has trust in to examine the proposed ward,
see
Wis. Stat. § 880.33(1); the court, the
¶ 15. The government has several interests at stake. It is interested in the finder of fact correctly finding the facts. It is interested in providing services to "any citizen of the state, suffering from the infirmities of aging, chronic mental illness, mental retardation, other developmental disabilities or like incapacities incurred at any age," and to provide those services in a manner that places "the least possible restriction on personal liberty and exercise of constitutional rights consistent with due process and protection from abuse, exploitation and neglect." Wis. Stat. § 55.001. It is impossible to determine the government's interest in additional fiscal or administrative burdens that might be entailed by requiring the testimony of a professional who has examined the proposed ward.
¶ 16. Our balancing of the
Mathews
factors leads us to conclude that permitting an examining professional to be nothing more than a conduit for the opinions of othеrs would violate a proposed ward's due process rights. In a guardianship and protective placement proceeding, the finder of fact might make a decision that will result in a life sentence to a nursing home.
See Watts,
¶ 18. Due process requires that the examining professional, when confronted with an uncooperative individual, engage in an independent review of all of the rеcords that are available. Due process prevents the examining professional from regurgitating the opinions of other physicians and psychologists, without independently confirming the facts those opinions are based upon.
¶ 19. Our review of the record satisfies us that Dr. Braam was not simply a conduit for the opinions of other professionals who had previously examined Therese. Although he did review the reports prepared
¶ 20. While Therese refused to participate in an initial interview with Dr. Braam, she did speak with him when he visited her in preparation for the eviden-tiary hearing. He testified that the information he gained from the recent visit with Therese cemented his opinion that she had schizophreniа, paranoid type. The record establishes that in stating his professional opinion, Dr. Braam was not regurgitating the opinions of other professionals; he was stating an independent opinion based upon the medical observations and findings of others, as well as his own observations and findings, information which he normally relies upon in his daily practice.
See State ex rel. T.R.S. v. L.F.E.,
B. Sufficiency of the Evidence
¶ 21. Therese also argues that even if Dr. Braam's report and testimony are admissible, the evidence is insufficient to support the conclusion that she is incom
The circuit court's factual findings will not be overturned unless clearly erroneous. See § 805.17(2) Stats. The issues of whether the evidence satisfies the legal standard for incompetency and whether the evidence supports protective placement are questions of law, whiсh we review de novo. At a hearing on a petition for guardianship, the petitioner bears the burden of proving, by clear and convincing evidence, that the proposed ward is incompetent.
1. Incompetence
¶ 22. An incompetent is defined in Wis. Stat. § 880.01(4), as "a person adjudged by a court of record to be substantially incapable of managing his or her property or caring for himself or herself by reason of infirmities of aging, developmental disabilities, or other like incapacities. Physical disability without mental incapacity is not sufficient to establish incompetence." There are two elements to incompetency: an incapacity to care for oneself and the condition producing the incapacity is a mental disability.
R.S.,
¶ 23. The circuit court found that Therese was incompetent due to "[o]ther like incapacities," defined in Wis. Stat. § 880.01(8) as "those conditions incurred at any age which are the result of accident, organic brain damage, mental or physical disability, continued consumption or absorption of substances, producing a condition which substantially impairs an individual from providing for the individual's own care or custody."
¶ 24. The record supports the circuit court's findings that Therese is delusional. Dr. Braam testified that during his most recent visit with Therese she provided him information that reinforced his conclusion that she had schizophrenia. He testified that she believes "she has been or is being poisoned, that she has been inappropriately treated and diagnosed." He stated that Therese "explained to me that she did not wish to receive her Social Security benefits because she believed that the diagnosis of schizophrenia was inaccurate, illegal and fraudulent and that she believed that accepting Social Security funds based on that diagnosis was inappropriate for her to do." He related that Therese has written to her cardiologist requesting that he disconnect her pacemaker. He also offered the opinion that her delusional thought process interfered with her ability to make decisions for herself.
¶ 25. Therese submitted thе testimony of Dr. Rubin, who had examined her on behalf of the State of Wisconsin to determine if she met the federal criteria for mental illness. He testified that in his professional opinion, Therese did not have schizophrenia, paranoid type, and, while she did have delusions, those delusions were not consistent with schizophrenia because her high blood sugars and Graves' Disease were alternative and reasonable explanations for her thought process. He opined that Therese has demonstrated that she has the capability of caring for herself because of her
¶ 26. The circuit court was presented with a classic battle of the experts; it had to consider diametrically opposing opinions from two highly qualified professionals. As the finder of fact, the circuit court "was free to weigh the experts' testimony when it conflicted and decide which was more reliable; to accept or reject the testimony of any expert, including accepting only parts of an expert's testimony; and to consider all of the non-expert testimony in deciding whether" Therese was incompetent.
See State v. Kienitz,
¶ 27. Given that the circuit court's findings of historical facts are supported in the record, we will now apply them to the definition of "incompetence" in Wis. Stat. § 880.01(4). We determine that as a matter of law Therese is incapable of making and carrying out rational decisions about her own medical and physical care — functional inсapacity,
R.S.,
¶ 28. Before a circuit court can order the protective placement of a mentally ill individual, it must find:
1. That the individual to be placed is incompetent;
2. That the individual has a primary need for residential care and custody;
3. That, as a result of mental illness, the individual is so incapable of providing for his or her own care or custody that the condition creates a substantial risk of serious harm to the individual or others;
4. That the individual's disability is permanent or likely to be permanent.
K.N.K. v. Buhler,
¶ 29. Therese argues that the circuit court's ordering of protective placement is not supported by the record. Specifically, she contends that the evidence supports the conclusion that she could live independently as long as she received protective services, such as the assistance of a visiting nurse. She faults the court for failing to articulate why protective placement is needed to meet her medical needs.
¶ 30. Because we have already found that Therese has a functional incapacity caused by a mental disability, we will focus our attention on her position that her condition does not create а substantial risk of serious harm to herself and she does not require residential
¶ 31. The record contains crеdible and substan-tiad evidence to support the circuit court's findings of fact. It is not necessary for us to repeat the testimony of Dr. Braam that supports the circuit court's findings of fact. In addition to the testimony of Dr. Braam, there is the comprehensive evaluation and testimony of social worker Cheryle Gasch. She testified that Therese "has impairment with decision making, planning, goals, follow through, that in addition to her complicated list of medical problems interferes with her ability to take care of herself." She also testified as to why residential care and placement are necessary tо monitor and deal with Therese's multiple medical diagnoses.
¶ 32. We conclude that Therese's current mental and physical conditions warrant residential care and treatment because without it there is a substantial risk of harm to her. It is evident that her mental disability, accompanied by her bizarre delusional thought process,
By the Court. — Order affirmed.
Notes
All references to the Wisconsin Statutes are to the 2001-02 version unless otherwise noted.
Wisconsin Stat. § 880.33(2)(a)l contains the procedural due process guarantees for every person alleged to be incompetent and in need of a guardian.
The proposed ward has the right to counsel whether or not present at the hearing on determination of competency. The court shall inall cases require the appointment of an attorney as guardian ad litem in accordance with s. 757.48(1) and shall in addition require representation by full legal counsel whenever the petition contains the allegations under s. 880.07(lm) or if, at least 72 hours before the hearing, the alleged incompetent requests; the guardian ad litem or any other person states that the alleged incompetent is opposed to the guardianship petition; or the court determines that the interests of justice require it. The proposed ward has the right to a trial by a jury if demanded by the proposed ward, attorney or guardian ad litem, except that if the petition contains the allegations under s. 880.07(lm) and if notice of the time set for the hearing has previously been рrovided to the proposed ward and his or her counsel, a jury trial is deemed waived unless demanded at least 48 hours prior to the time set for the hearing. The number of jurors shall he determined under s. 756.06(2)(b). The proposed ward, attorney or guardian ad litem shall have the right to present and cross-examine witnesses, including the physician or psychologist reporting to the court under sub. (1). The attorney or guardian ad litem for the proposed ward shall be provided with a copy of the report of the physician or psychologist at least 96 hours in advance of the hearing. Any final decision of the court is subject to the right of appeal.
We reject the County's suggestion that Therese should have deposed or subpoenaed the professionals who had previously examined her if she had wanted to contest their findings. It is the County that bears the burden of proof.
See R.S. v. Milwaukee County,
This well-settled rule is codified in Wis. Stat. § 907.03:
The facts or data in the particular cаse upon which an expert bases an opinion or inference may be those perceived by or made known to the expert at or before the hearing. If of a type reasonably relied upon by experts in the particular field in forming opinions or inferences upon the subject, the facts or data need not be admissible in evidence.
The same result was reached in
State v. Towne,
The due process requirements for the appointment of a guardian also apply to proceedings to protectively place an individual. Wis. Stat. § 55.06(6).
Cross-examination has been described as the "greatest legal engine ever invented for the discovery of truth."
Vogel v. State,
We note that neither the definition of "incompetent" nor "other like incapacities" requires that a name — e.g., schizophrenia or bipolar disorder — be given to the mental disability that interferes with the individual's ability to care for himself or
The comprehensive evaluation prepared by a social worker lists thirty-five medical diagnoses for Therese, from "Rehabilitation Therapy Secondary to Acute Renal Failure" to "Remote History of Alcohol Abuse" and including congestive heart failure and Graves' Disease.
