Opinion ID: 760895
Heading Depth: 1
Heading Rank: 1

Heading: exclusion of expert testimony regarding the reliability

Text: OF EYEWITNESS IDENTIFICATION 5 Hall's first challenge is that the district court abused its discretion in excluding expert testimony concerning the reliability of eyewitness identification. The conviction in this case was aided by the testimony of three eyewitnesses who placed Hall in the approximate location of the crime the day before it was committed and the testimony of another eyewitness who saw Hall exit a cornfield in which the victim's body was later found. Seeking to challenge the reliability of these eyewitness identifications, Hall filed a motion requesting that the district court permit him to present expert testimony from Dr. Gary L. Wells, a professor of psychology at Iowa State University. Dr. Wells' testimony would have commented on the scientific bases for eyewitness identification and on those factors that give rise to suggestiveness and the likelihood of mistaken identification. 1 Subsequently, the district court held a hearing during which these eyewitnesses testified at length and during which the district court considered arguments on Hall's motion to admit Dr. Wells' testimony. Although Hall was prepared to offer testimony from Dr. Wells at that hearing, the district court ruled that Dr. Wells need not testify. The district court explained that even though Dr. Wells appear[ed] to be qualified as an expert in the field of eyewitness identification, memory and recall, his testimony would not aid the trier of fact under Rule 702, and that appears to be the controlling law in the Seventh Circuit. Consequently, the district court denied Hall's motion. Hall now appeals that ruling. 6 When a party challenges the acceptance or rejection of expert scientific testimony on appeal, this Court first undertakes a de novo review of whether the district court properly followed the framework set forth in Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993). See United States v. Yoon, 128 F.3d 515, 527 (7th Cir.1997); Hall, 93 F.3d at 1342; Bradley v. Brown, 42 F.3d 434, 436 (7th Cir.1994). Upon a determination that the district court properly applied the Daubert framework, the district court's decision to admit or exclude expert testimony is reviewed only for an abuse of discretion. General Elec. Co. v. Joiner, 522 U.S. 136, 118 S.Ct. 512, 517, 139 L.Ed.2d 508 (1997); Target Mkt. Publ'g, Inc. v. ADVO, Inc., 136 F.3d 1139, 1143 (7th Cir.1998). As such, a trial court has broad discretion under Rule 702 of the Federal Rules of Evidence to admit or exclude evidence, and its ruling will not be reversed absent an abuse of that discretion. United States v. Larkin, 978 F.2d 964, 971 (7th Cir.1992); United States v. Hudson, 884 F.2d 1016, 1023-24 (7th Cir.1989). 7 As stated above, in reviewing the district court's application of Rule 702, we first must consider whether the district court followed the standard set forth in Daubert. In Daubert, the Supreme Court established the approach a district court must take in determining the admissibility of expert scientific testimony under Rule 702. The text of Rule 702 provides: 8 If scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education, may testify thereto in the form of an opinion or otherwise. 9 Focusing on the language of Rule 702, the Supreme Court concluded that when faced with a proffer of expert scientific testimony, a district court must determine whether the expert is proposing to testify to (1) scientific knowledge that (2) will assist the trier of fact to understand or determine a fact in issue. Daubert, 509 U.S. at 592, 113 S.Ct. 2786. 10 We have interpreted Daubert as requiring a district court to conduct a two-step analysis when a party proffers expert scientific testimony. See Yoon, 128 F.3d at 527; Wintz v. Northrop Corp., 110 F.3d 508, 512 (7th Cir.1997); Hall, 93 F.3d at 1341; Porter v. Whitehall Labs., Inc., 9 F.3d 607, 614-16 (7th Cir.1993). First, when faced with a proffer of expert scientific testimony, the district court must consider whether the testimony has been subjected to the scientific method; it must rule out 'subjective belief or unsupported speculation.'  Porter, 9 F.3d at 614 (citation omitted). This step requires that the district court determine whether the reasoning or methodology underlying the testimony is scientifically valid. Daubert, 509 U.S. at 592-93, 113 S.Ct. 2786. Second, the district court must determine whether the evidence or testimony assists the trier of fact in understanding the evidence or in determining a fact in issue. Porter, 9 F.3d at 616. This second step requires that the district court consider whether the proposed scientific testimony fits the issue to which the expert is testifying. Daubert, 509 U.S. at 591, 113 S.Ct. 2786; Gruca v. Alpha Therapeutic Corp., 51 F.3d 638, 643 (7th Cir.1995); Porter, 9 F.3d 607 at 616. In other words, a district court may admit expert testimony only if such testimony will assist the trier of fact to understand the evidence or to determine a fact in issue. 11 On appeal, Hall essentially argues that the district court believed it had no discretion under the law of this Circuit to admit expert testimony regarding the reliability of the eyewitness identifications, and, therefore, the district court erroneously excluded Dr. Wells' testimony. Because we conclude that the district court conducted a proper inquiry under Daubert and Rule 702 and because we find that the district court properly exercised its discretion in precluding Hall's proffer of Dr. Wells' testimony, we reject Hall's argument. 12
13 Hall contends that the district court believed it had no discretion to allow expert testimony regarding the reliability of eyewitness identifications. For this reason, Hall submits the district court excluded Dr. Wells' testimony without properly testing the proffer under the framework set forth in Daubert. Relying heavily on our decision in Hall I, Hall argues that the district court failed to make the requisite preliminary findings as to the reliability and helpfulness of Dr. Wells' testimony as required by Daubert and the law of this Circuit. 14 In Hall I, we reversed Hall's earlier conviction on the basis that the district court did not apply the proper Daubert framework in evaluating Hall's proffer of an expert on false confessions. Hall, 93 F.3d at 1346. In reaching that conclusion, we stated that [t]he judge never mentioned Daubert specifically, and thus he never focused on the individual questions that must be answered. The only thing that is clear is his conclusion that the testimony would not assist the jury in its task. Id. at 1342. As a result, we concluded [t]he district court's failure to test the [expert] proffers under [the Daubert] framework may have led to the exclusion of critical testimony for Hall. Id. at 1346. Therefore, we reversed and remanded for a new trial. Id. In this case, however, our review of the record indicates the district court adhered to the framework set forth in Daubert in reaching its decision to exclude Dr. Wells' testimony. 15 As an initial matter, the record plainly reveals that the district court recognized the applicability of Daubert to the task at hand. At the hearing conducted by the district court, the Daubert standard was discussed at length. 2 Furthermore, it is equally evident from the record that the court recognized that Daubert required it to determine whether the proffered testimony was scientifically valid and whether such testimony would assist the trier of fact. 16 With respect to the first prong under Daubert, the district court correctly noted that the scientific theories underlying Dr. Wells' testimony must be found to be scientifically valid in order for his testimony to be admissible as scientific knowledge under Rule 702. However, because the government challenged Dr. Wells' testimony solely on the basis that it would not assist the trier of fact--the second prong of Daubert--the district court assumed, as do we, that the proposed testimony qualified as scientific knowledge under Daubert and Rule 702. 3 Because the district court presumed the scientific reliability of Dr. Wells' testimony, a claim that the court failed to conduct a proper inquiry under the first prong of Daubert and Rule 702 cannot form a basis for reversing Hall's conviction in this case. 4 17 The district court recognized that this Court's presumption against admission of expert testimony on eyewitness identifications stemmed from our concerns about whether such expert testimony would actually assist the trier of fact, rather than about its reliability. For this reason, the district court focused its attention primarily on the second inquiry under Daubert. The record reveals that the court properly inquired as to how Dr. Wells' testimony would assist the trier of fact in understanding the eyewitness evidence in this case. When counsel for Hall proceeded to present Dr. Wells' qualifications in response to the district court's inquiry, the court interrupted stating, [c]ounsel you're not addressing the issue that concerns me. If you want me to rule in your favor, I'm not concerned about whether or not the scientific basis for Dr. Wells' theories are reliable. Rather, the district court sought to inquire about the proposed fit between Dr. Wells' testimony and the eyewitness identifications in this case. A colloquy ensued between the district court and counsel for Hall regarding the specifics of Dr. Wells' testimony and its proposed relation to the eyewitness identifications. For example, counsel for Hall stated that Dr. Wells would testify regarding the correlation between a witness's confidence in making an identification and the resulting reliability of that identification. In response, the court asked, [w]ho is the eyewitness that he is going to relate? What's the fit between that testimony and our case? Counsel then was provided with the opportunity to explain what he perceived to be the fit between Dr. Wells' testimony and the eyewitness identifications in this case. Thus, it is clear that the district court considered the second inquiry under Daubert--whether Dr. Wells' testimony would assist the trier of fact to understand the eyewitness identification evidence. 18 In summary, our review of the record indicates that the court made proper use of the framework established by Daubert in arriving at its decision to exclude Dr. Wells' testimony. The district court explicitly referenced the Daubert decision and addressed the two threshold inquiries regarding the reliability of the expert testimony and whether such testimony would assist the trier of fact in this case. Therefore, we turn to whether the district court abused its discretion in precluding Dr. Wells' testimony. 19
Wells' Testimony 20 When the district court's analysis satisfies the requirements of Daubert, we affirm its decision to preclude expert scientific evidence unless the decision constitutes an abuse of the court's discretion. See General Elec. Co., 118 S.Ct. at 517, 118 S.Ct. 512; Bradley, 42 F.3d at 436-37; Cella v. United States, 998 F.2d 418, 422-23 (7th Cir.1993). We find no such abuse in this case. The district court found that Dr. Wells' testimony would not be helpful to the jury in assessing the reliability of the eyewitness identifications and, therefore, excluded Dr. Wells' testimony because it would not assist the trier of fact as Rule 702 requires. 21 Hall contends that the district court abused it discretion in excluding Dr. Wells' testimony regarding the eyewitness identifications. First, Hall argues that the district court did not exercise discretion because the court was led by the prosecutor to believe that it had no discretion under controlling Seventh Circuit caselaw to allow the defense expert to testify. Hall points to the following statement by the district court as illustrative of the court's belief that it lacked discretion: 22 [I]t appears to me that it's not a question of whether or not there is a valid scientific basis for Dr. Wells' testimony but simply whether or not the Seventh Circuit believes that this type of testimony will aid the jury. And it seems to me all the Seventh Circuit case law says it will not, and for that reason the Court will not receive the testimony of Dr. Wells. 23 Second, Hall argues that we should reconsider our position that this type of testimony is inappropriate in light of Daubert and recent decisions by other circuits which have admitted such testimony in limited circumstances. In essence, Hall contends that this Court's line of cases amount to a per se ban of expert testimony pertaining to the reliability of eyewitness identifications and this ban offends the principles articulated in Daubert. We conclude, however, that the district court did exercise discretion in excluding Dr. Wells' testimony and we decline to reassess our position regarding the admissibility of this type of evidence.
24 This Court has a long line of cases which reflect our disfavor of expert testimony on the reliability of eyewitness identification. See, e.g., United States v. Daniels, 64 F.3d 311 (7th Cir.1995); United States v. Larkin, 978 F.2d 964 (7th Cir.1992); United States v. Curry, 977 F.2d 1042 (7th Cir.1992); United States v. Hudson, 884 F.2d 1016 (7th Cir.1989). We previously considered the issue in United States v. Hudson. In Hudson, the defendant offered expert testimony to show: (1) the effect of stress on eyewitness identification; (2) the problems associated with cross-racial identifications; (3) an overview of the memory process; and (4) the impact of a short viewing period upon the accuracy of an identification. 884 F.2d at 1023. In affirming the district court's decision to exclude the proffered expert testimony, we concluded that the district court need not determine whether expert testimony on eyewitness identification is sufficiently reliable to go to the jury because it is properly excludable in any event under Rule 702 because it will not assist the trier of fact. Id. at 1024. In other words, [s]uch expert testimony will not aid the jury because it addresses an issue of which the jury is already generally is aware, and it will not contribute to their understanding of the particular dispute. Id. Therefore, we held that the district court did not abuse its discretion in excluding the evidence as unhelpful to the jury. Id. 25 In United States v. Curry, we once again affirmed a district court's decision to exclude expert testimony on the issue of eyewitness identifications under Rule 702. 977 F.2d at 1051-52. Like Hall, the defendant in Curry sought to offer expert testimony on a number of factors relating to the accuracy of eyewitness identifications including: (1) witnesses often overestimate the duration of their observation of an individual; (2) a witness' confidence in his identification bears little or no relationship to the accuracy of that identification; (3) memory fades at a geometric rather than arithmetic rate; (4) post-event phenomena may affect original memory, and memory is easily distorted by leading questions or other manipulations; and (5) prior photographic identifications increase the likelihood that later in-person identifications will be erroneous. Id. at 1051. While we recognized that expert testimony generally is admissible under Rule 702 if it assists the trier of fact to understand the evidence, we reasoned that a district judge has broad discretion to exclude relevant evidence that is confusing or redundant under Rule 403. Id. at 1051-52. In fact, we noted that our Rule 702 analysis incorporates a consideration of the Rule 403 dangers--particularly the danger of unfair prejudice. Id. at 1051. That is, Rule 702 compels a district court to consider whether the expert testimony would be misleading or confusing in the context of the trial. Id. While recognizing that expert testimony on eyewitness identification may not be totally unhelpful because a jury may not understand all the intricacies of perception, retention, and recall, we nevertheless concluded that the district court's preclusion of the such evidence was a proper exercise of discretion whether under Rule 702 or 403. Id. at 1051-52. Buttressing our decision in Curry was the fact that the eyewitness testimony was not the only evidence against the defendants and that the record revealed vigorous cross-examination by the defendant regarding the circumstances surrounding the identifications. Id. at 1052. In other words, the jury was alerted to the problems associated with eyewitness identification, including many of the factors that could affect perception, retention, and recall, despite the absence of expert testimony on the subject. 26 In later cases, we reaffirmed the principle that expert testimony relating to eyewitness identification is strongly disfavored. In United States v. Larkin, the district court denied a defendant's request to appoint an expert witness to testify about the undependability of eyewitness identification under stressful circumstances. 978 F.2d at 971. In affirming the district court's ruling, we explained, expert testimony regarding the potential hazards of eyewitness identification--regardless of its reliability--will not aid the jury because it addresses an issue of which the jury already generally is aware, and it will not contribute to their understanding of the particular factual issues posed. Id. (citation and internal quotations omitted). Because the hazards of eyewitness identification are well within the ken of most lay jurors and counsel was granted ample opportunity at trial to discuss those hazards and cast doubt upon the witnesses' eyewitness identification of his client, we concluded that the district court's decision not to appoint the expert witness requested was proper. Id. 27 Finally, in our most recent pronouncement on this issue, we affirmed a district court's denial of a defendant's request for the appointment of an expert to testify regarding the reliability of eyewitness identifications. Daniels, 64 F.3d at 315. The defendant in Daniels argued that the expert was necessary to prepare his defense. Relying on the principles articulated in Larkin and Hudson that expert testimony regarding the potential hazards of eyewitness identifications will not assist the jury under Rule 702, we held that the district court properly exercised its discretion in denying Daniels' motion. Id. 28 In this case, the district court, relying on Hudson, Larkin, and Daniels, concluded that Dr. Wells' testimony regarding the reliability of the eyewitness identifications would not assist the jury and, therefore, excluded the testimony under Rule 702. Despite Hall's assertion to the contrary, we believe the district court recognized that it had the discretion to admit this testimony--and that the court exercised sound discretion by following and applying the principles articulated by this Court in reaching its decision to exclude Dr. Wells' testimony. While the government did argue to the district court at the hearing that it believed the court lacked discretion to admit the expert's testimony, 5 we believe that the record shows that the district court recognized that it was within the court's discretion to admit Dr. Wells' testimony. First, contrary to Hall's assertion, the district court did not automatically exclude Dr. Wells' testimony--rather it excluded the testimony only after having considered whether Dr. Wells' testimony would assist the trier of fact in this case. It would seem counter-intuitive for the district court to engage in an analysis of whether an expert's testimony on the reliability of eyewitness identification would assist the trier of fact if it is predetermined that all expert testimony on that topic is automatically excluded as unhelpful. Second, the record provides no indication that the district court believed there was an absolute bar to the admission of such evidence. To the contrary, the district court stated that [t]here seems to be this authority in the Seventh Circuit that it somewhat generally disapproves of expert witness testimony. See also Curry, 977 F.2d at 1052 ([I]t is likely that it was within the discretion of the trial court to allow the eyewitnesses expert testimony here, [but] we decline to hold that the court was required to do so.). 29 In sum, the record reveals that the district court considered the reliability and potential helpfulness of Dr. Wells' testimony, balanced the proffered testimony against cases in which we have expressed a strong disfavor towards the admission of such evidence, and concluded that Dr. Wells' testimony would not assist the trier of fact under Rule 702. For these reasons, we conclude that the District Court did not abuse its discretion in excluding Dr. Wells' testimony.
30 Hall also contends that we should reassess our position regarding the admissibility of this type of evidence in light of Daubert and in light of recent developments in other circuits that now permit the admission of such testimony in limited circumstances. Implicitly, Hall argues that Daubert lowered the standard for admissibility of expert testimony dealing with eyewitness identification and, therefore, this Circuit's pre-Daubert cases excluding such testimony should no longer be followed. We conclude, however, that Daubert does not undermine our prior analysis of the admissibility of expert scientific testimony under Rule 702. Further, we do not believe our precedent conflicts with those decisions of other circuits which Hall contends are more open to the admission of this type of evidence. Therefore, we reject Hall's arguments. 31
32 As we mentioned previously, in Daubert, the Supreme Court established the approach a district court must take in determining the admissibility of expert scientific testimony under Rule 702. In so doing, the Supreme Court rejected the rigid test set forth in Frye v. United States, 293 F. 1013 (D.C.Cir.1923), which required expert scientific testimony to be generally accepted as reliable in the relevant scientific community in order to be admissible, see Daubert, 509 U.S. at 584-87, 113 S.Ct. 2786, and adopted the more liberal standard embodied by Rule 702 that the expert need only testify to (1) scientific knowledge that (2) will assist the trier of fact to understand or determine a fact in issue. Id. at 592, 113 S.Ct. 2786. Because this Court has consistently affirmed district court decisions rejecting expert testimony pertaining to the reliability of eyewitness identifications on the basis that it will not assist the trier of fact under Rule 702, rather than because such testimony was unreliable under the Frye test, we conclude that Daubert leaves intact our pre-Daubert caselaw interpreting this issue. See generally United States v. Smith, 122 F.3d 1355, 1359 (11th Cir.) (Thevis [a pre-Daubert decision] held that expert testimony regarding eyewitness reliability does not assist the jury, and we conclude that that holding is in harmony with Daubert. Therefore, it is as true after Daubert as it was before that a district court does not abuse it[s] discretion in excluding such testimony.), cert. denied, --- U.S. ----, 118 S.Ct. 614, 139 L.Ed.2d 500 (1997). 33
34 In addition, Hall argues that recent decisions by other circuit courts, which have admitted expert testimony on this topic in narrow circumstances, suggest it is time for us to revisit our position that the admission of such testimony is strongly disfavored. See, e.g., United States v. Brien, 59 F.3d 274, 277 (1st Cir.1995) (declining to adopt a blanket rule that qualified expert testimony on eyewitness identification must either be routinely admitted or excluded); United States v. Amador-Galvan, 9 F.3d 1414, 1417-18 (9th Cir.1993) (declining to follow per se rule excluding expert testimony regarding the credibility of eyewitness identification). We need not do so because a careful examination shows no inconsistency between our decisions and those relied upon by Hall. As we have previously stated, the district court has discretion under Rule 702 to admit or exclude expert testimony on witness identification. See Hudson, 884 F.2d at 1023-24; see also Curry, 977 F.2d at 1051-52 (noting that the district court has the discretion to admit expert testimony on eyewitness identifications). Likewise, the unifying principle of those cases cited by Hall is that expert testimony on eyewitness identification comes within the scope of Rule 702 and, thus, should not be excluded automatically. See, e.g., Brien, 59 F.3d at 277 (concluding that its within the broad discretion of the trial court to admit or exclude expert testimony on eyewitness identification); United States v. Rincon, 28 F.3d 921, 923 (9th Cir.1994) (same). Thus, we believe that our position is consistent with these cases because most courts allowing such expert eyewitness testimony recognize that the determination of admissibility rests within the sound discretion of the district court.
35 Our conclusion that the district court did not abuse its discretion in this case is further supported by three additional considerations. First, Hall had the opportunity to thoroughly cross-examine all of the eyewitnesses in order to cast doubt on their ability to identify him. As we have explained, any weaknesses in eyewitness identification testimony ordinarily can be exposed through careful cross-examination of the eyewitnesses. See Larkin, 978 F.2d at 971 (excluding proffered expert testimony, in part, because defendant's counsel had the opportunity at trial to discuss the potential hazards of eyewitness identification and cast doubt upon the witnesses' eyewitness identifications); Curry, 977 F.2d at 1052 (concluding that vigorous cross-examination by the defendants, which revealed the weaknesses of the eyewitness identifications, made expert testimony on the identifications unnecessary); see also United States v. Thevis, 665 F.2d 616, 641 (5th Cir.1982) (concluding that expert testimony on eyewitness identification is properly excludable because the question of accuracy of perception and memory can be adequately addressed in cross-examination and that the jury can adequately weigh these problems through common-sense evaluation). Furthermore, we believe that the credibility of eyewitness testimony is generally not an appropriate subject matter for expert testimony because it influences a critical function of the jury--determining the credibility of witnesses. See, e.g., United States v. Kime, 99 F.3d at 884 (concluding that the evaluation of eyewitness testimony is for the jury alone. It is the exclusive province of the jury to determine the believability of a witness.... An expert is not permitted to offer an opinion as to the believability or truthfulness of a witness's story) (citation and internal quotations omitted). 36 Second, the district court properly gave the jury an instruction on the reliability of eyewitness identification to aid the jury in evaluating the eyewitness identification testimony introduced at trial. See United States v. Anderson, 739 F.2d 1254, 1258 (7th Cir.1984) (finding that [i]n cases where witness identification is an issue, the trial judge must, at the defendant's request, instruct the jury about eyewitness identification testimony). Specifically, the district court cautioned the jury to consider: (1) the opportunity the witness had to observe the offender at the time in question and later to make a reliable identification; (2) the influences and circumstances under which the witness has made the identification; (3) the credibility of each identification witness; (4) whether the witness is truthful; and (5) whether the witness had the capacity and opportunity to make a reliable observation on the matter covered in the witness's testimony. These instructions adequately focused the jury's attention on the reliability of the witness identifications and ... acquainted[ed] the jury with factors relevant in evaluating those identifications. Id. at 1258; see also Rincon, 28 F.3d at 925-26 (suggesting that the use of cautionary instructions which address many of the factors about which an expert would testify is an alternative way of educating jurors of the problems arising from eyewitness identifications). Thus, with the aid of cross-examination and cautionary instructions, we believe the jury was adequately focused on the issue of eyewitness identification and fully able to assess the ability of the eyewitnesses to perceive and remember. 37 Finally, it is important to note that there was substantial corroborating evidence to implicate Hall as the perpetrator of the crime. Generally speaking, the existence of corroborating evidence undercuts the need, except in the most compelling cases, for expert testimony on eyewitness identifications. See Curry, 977 F.2d at 1052; see also Kime, 99 F.3d at 885 (expressing the court's reluctance to find an abuse of discretion in precluding expert testimony on eyewitness identifications unless the government's case against the defendant rested exclusively on uncorroborated eyewitness testimony) (citations and quotations omitted). In this case, the eyewitness identifications were of secondary importance to the government's case--the main evidence was Hall's confession to the crime. 38 Based on the considerations expressed above, we conclude that the district court's decision to preclude Dr. Wells' from testifying at trial was proper. 39