Opinion ID: 773161
Heading Depth: 2
Heading Rank: 1

Heading: Admissibility Of Polygraph Examination Results

Text: 13 As stated above, Lea filed a pretrial motion seeking permission to call Agent West to testify as to the results of Werch's polygraph examination. On April 6, 2000, the district court conducted a telephone hearing with West in order to determine whether West's testimony was admissible consistent with the gatekeeping test enunciated in Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579 (1993). In a written order that same day, the court noted that [i]n considering the reliability of proffered scientific testimony [here, Werch's polygraph examination], the court must determine whether the proffered theory or technique has been tested, whether the theory or technique has been subjected to peer review and publication, the known or potential error rate of the technique or expert, and whether the theory at issue has gained 'general acceptance' in the relevant scientific community. The court further noted that the Seventh Circuit regards the admission of polygraph evidence as within the discretion of the district court, which is required to engage in a Fed. R. Evid. 403 balancing test. 2 Turning to the testimony at issue, the court observed that West could only speculate as to the accuracy of the polygraph examination he performed, and was unaware of whether there were any known statistics on the accuracy rate of a test using the methodology employed in examining Werch. Concluding that the defendant had failed to establish the reliability of West's opinion, the district court did not allow the evidence to be admitted at trial. 14 On appeal, Lea asserts multiple foundations for considering the district court's exclusion of West's testimony to be in error. First, Lea contends that the district court incorrectly analyzed the admissibility question by proceeding under a Daubert framework, as the Seventh Circuit has articulated that such inquiries are to be handled under a Rule 403 balancing of probative value versus prejudicial effect. Alternatively, Lea posits that if a Daubert examination was appropriate, the district court's application of the Daubert gatekeeping test was unsound. We begin by examining the appropriate method for determining the admissibility of polygraph evidence. 15 As the Supreme Court has noted, there is simply no consensus that polygraph evidence is reliable. To this day, the scientific community remains extremely polarized about the reliability of polygraph techniques. United States v. Scheffer, 523 U.S. 303, 309 (1998). 3 In this Circuit, the admissibility of polygraph evidence is a matter within the discretion of the district court. See United States v. Robbins, 197 F.3d 829, 844 (7th Cir. 1999). A district court's decision on the admissibility of polygraph results deserves considerable deference, and will be reversed only when the district court has abused its discretion. See United States v. Olson, 978 F.2d 1472, 1480 (7th Cir. 1992). When dealing with the admissibility of polygraph evidence, and the accuracy thereof, the trial court must engage in a delicate balancing of many factors including probative value, prejudicial effect, confusion of the issues, misleading the jury, and undue delay. Id. As such, in Robbins we noted that [i]n determining whether to admit polygraph evidence, the district court must take as its guide Rule 403 of the Federal Rules of Evidence. 197 F.3d at 844. 16 Building on the language in Robbins, Lea suggests that the Seventh Circuit has determined that lie detector examinations should not be excluded because of reliability concerns. Rather, he argues that only the concerns listed in 403 can serve as reasons for exclusion. An examination of Seventh Circuit case law does suggest that we have progressed farther than other courts in allowing the admission of polygraph evidence. 4 Yet, despite the veracity of Lea's contention regarding the applicability of 403, a district court need not abandon its reservations regarding the reliability of polygraph procedures. In United States v. Dietrich, we noted that while the decision whether to admit polygraph evidence was left to the discretion of the district court, district judges often excluded such evidence because doubts about the probative value and reliability of this evidence outweighed any rationale for admission. 854 F.2d 1056, 1059 (7th Cir. 1988) (emphasis added). 17 While our recent case law has not explicitly retained the notion that reliability concerns can factor into the admissibility decision, we note that Rule 403 allows for the exclusion of otherwise relevant evidence if the probative value is substantially outweighed by the danger of . . . misleading the jury. As Justice Thomas's majority opinion in Scheffer noted, [a] fundamental premise of our criminal trial system is that 'the jury is the lie detector.' 523 U.S. at 313 (quoting United States v. Barnard, 490 F.2d 907, 912 (9th Cir. 1973)). Jurisdictions may be legitimately concerned that juries might be misled, and give excessive weight to the opinions of a polygrapher, clothed as they are in scientific expertise . . . . Id. at 313-14. Justice Thomas further commented that the aura of infallibility attending polygraph evidence [could] lead jurors to abandon their duty to assess credibility and guilt. Id. Such concerns are undoubtedly heightened when the reliability of the particular examination is called into question. As the reliability of the evidence decreases, the likelihood increases that the probative value may be substantially outweighed by the prejudicial effect. Thus, while reliability is an explicitly referenced concern that is appropriately discussed in a Daubert framework, the issue may also become an integral part of a 403 inquiry. 18 Consistent with the above analysis, in United States v. Taylor, we found that a district court had not abused its discretion in excluding evidence of a polygraph examination because it determined that the expert's application of the technique in the case was not reliable. 154 F.3d 675, 683 (7th Cir. 1998). The court had examined the reliability concerns under the Daubert framework, and determined that the reliability problems rendered the probative value minimal . . . [while] there was a danger that the jury would consider the polygraph test to be conclusive regarding [the witness'] veracity. Id. In affirming the decision of the district court, we examined the testimony's reliability using concerns outlined in Daubert, including the methodology employed and the qualifications of the expert. See id; Daubert, 509 U.S. at 590-95. However, our ultimate conclusion was that the concerns regarding reliability tipped the 403 analysis in favor of excluding the polygraph evidence. 19 We read the district court in this case to have proceeded in a similar vein. While the district court did repeatedly reference its obligation under Daubert, it noted that it was required to engage in a delicate balancing of many factors including probative value, prejudicial effect, confusion of the issues, misleading the jury, and undue delay. Against that backdrop, the district court focused on the known or potential rate of error. Looking towards Daubert as a guide, the court was concerned with West's inability to conclusively provide the accuracy rates for the polygraph examination he conducted. More troubling to the court were the facts that West was (1) unaware as to whether there were any known statistics on the accuracy rate of the test he had given, and (2) unable to complete his examination of Werch and determine why it was that he had considered Werch deception indicated. 5 These factors reduced the reliability of West's opinion, tipping the balance under Rule 403 in favor of exclusion. 20 As stated above, we afford district courts a great deal of discretion in deciding whether to admit polygraph evidence. See Olson, 978 F.2d at 1480. Here, the district court had legitimate concerns regarding the reliability of the examination performed. The court attempted to assuage its concerns by conducting a hearing with Agent West. When West was unable to allay the district court's uneasiness regarding reliability, the court concluded, as Rule 403 permits, that the evidence should be excluded. Accordingly, we find that the district court did not abuse its discretion in excluding West's testimony regarding Werch's polygraph examination. As such, we continue to hold that a district court need not conduct a full Daubert analysis in order to determine the admissibility of standard polygraph evidence, and instead may examine the evidence under a Rule 403 framework. Nonetheless, we posit that the factors outlined by the Supreme Court in Daubert remain a useful tool for gauging the reliability of the proffered testimony, as reliability may factor into a 403 balancing test. 6 21