v.
JOHN E. QUATTROCCHI III
C.A. No. P92-3759
SUPERIOR COURT OF RHODE ISLAND
1999 R.I. Super. LEXIS 129, April 26, 1999, Filed
DECISION.
CLIFTON, J. Pursuant to a Supreme Court directive in Quattrocchi, this Court held a preliminary evidentiary hearing in order to determine the reliability of repressed recollection, and the appropriateness of using expert testimony at trial to assist the trier of fact in understanding the scientific evidence. See State v. Quattrocchi, 681 A.2d 879, 884 (R.I. 1996). A fourteen day hearing was held during which testimony from nine witnesses was presented, seven of whom testified as experts. In addition, the parties offered and the court considered, prior trial testimony of the complainant.
The criminal prosecution underlying the preliminary hearing involves an indictment against the defendant, John E. Quattrocchi III ("Quattrocchi"), which charges him with two counts of first-degree sexual assault in violation of G.L. 1956 ## 11-37-2 and 11-37-3, as amended. The alleged victim, "Gina," [1] testified to the grand jury and the trial jury regarding memories or flashbacks of the sexual assaults which she became conscious of after a substantial interval of time in which she had no awareness or memory of the assaults. Gina underwent outpatient and inpatient psychotherapy treatment before, during, and after the recovery of these memories which formed the basis of the indictment.
In 1988, at the age of thirteen, Gina began a process of psychotherapy which would continue, with intermittent stoppages, for the next four years. Gina first worked with Linda Tschirley ("Tschirley"), R.N., in the spring of 1988. [2] Gina's therapy with Tschirley addressed sleep and appetite irregularities, loss of concentration, and mood swings. [3] In February 1989, an escalation of depression and suicidal tendencies resulted in Gina's hospitalization at Rhode Island Hospital. [4] Subsequently, Gina began treatment with Terry Bosworth ("Bosworth"), a clinical nurse specialist. Bosworth's treatment notes revealed that Gina's mother, at an initial interview with Bosworth, stated that Gina's erratic behavior began after she (the mother) had "cautioned her daughter about the potentially sexualized behavior of a family friend who had since an early age been thought of by Gina as a father figure." [5] As to this relationship with the family friend, Gina revealed to Bosworth the following information: "Upon questioning about their relationship Gina reveals that she has recently experienced some inappropriate contacts and that she has some vague recall of other episodes during her childhood that cause her discomfort to remember." [6] Bosworth's therapy notes dated April 21, 1989 stated the following: "Final topic explored today was that of her ongoing questions with regard to the events of her relationship with 'Jack,' wanting her memories to return so that she can either confirm or deny the impressions that she has about their past contacts." n7
In December 1989, Dr. David Savitzky ("Savitzky"), M.D., diagnosed Gina with bipolar disorder. [8] Savitzky referred Gina to Patricia Gavin-Reposa ( "Gavin-Reposa"), R.N., M.S.N., C.S., for therapy which began in January 1991 and continued through December 1994. Gina's treatment resumed again in December 1996. [9] Gavin-Reposa testified that the type of therapy she engaged in with Gina can be termed as problem solving whereby Gavin-Reposa followed Gina's "lead " as to the issues to be addressed and symptom management. [10] Gavin-Reposa further testified that she did not utilize sodium pentothal, hypnosis, or guided imagery in her treatment of Gina. [11] Additionally, Gavin-Reposa stated that she did not use any memory recovery technique in her therapy sessions with Gina. [12]
On July 9, 1991, seven months into treatment with Gavin-Reposa, Gina began reporting to Gavin-Reposa her concerns about possible physical or sexual abuse in her childhood. [13] The first written notation concerning the topic of sexual abuse appeared in Gavin-Reposa's July 9, 1991 therapy notes: "In today's session, Gina talks more about her concerns that there may have been an abusive or sexual relationship between her and one of her mother's boyfriends when she was very young. Gina does not recall any of the details other than some creepy feeling around this boyfriend when she runs into him on occasion now. I explained to her that as she begins to look at it more, she may notice an increase of symptoms . . . ." [14]
In the next session on July 18, 1991, Gavin-Reposa reported in her therapy notes that she and Gina had the following discussion:
"talked more about her sort of limited recollections of some abuse in her past. She recalls riding in a car, a red Mercedes, with the gentleman and remembers various landmarks along the way which was a ride to someplace and when she gets to a certain point, she is unable to remember any more, she feels stressed by this and worried about what's going to happen when she does completely remember . . . I am very concerned about what's going to happen when she does completely remember . . . ." [15]
Gavin-Reposa's therapy notes for August 2, 1991 stated:
"we then talked about her ongoing dealing with whether or not she was sexually abused or taken advantage of in some way by one of mom's former boyfriends. Gina still is having one dream which is a recurrent dream where she's in a car with this man on her way to camp . . . he drives by, a large statue in the road, which Gina says she recalls as not being on the way to camp and this causes Gina to start crying and in her dream she wakes up and is unable to take it any further. She retraced her steps somewhat to where the statue used to be but it's no longer there . . . ." [16]
Gavin-Reposa concluded by saying that she was "concerned about the fragility of Gina's current state and worry that if she pushes herself too hard to uncover all these things that it may result in her decompensating. I advised her of the same." [17]
On September 9, 1991, Gavin-Reposa recorded in her therapy notes that she told Gina that "when she does remember what it is that is problematic for her, it may involve reporting to DCF [sic] and she's agreeable to that." [18] In the October 1, 1991 therapy notes, Gavin-Reposa reported that Gina "still cannot recall anything" about a potentially abusive relationship with her mom's old boyfriend. n19
The October 24, 1991 therapy notes revealed that Gavin-Reposa received a telephone call from Dick Doolittle ("Doolittle") of Psychiatric Associates, a counselor for Gina's mother. [20] Doolittle had seen Gina's mother in therapy the night before. [21] Doolittle informed Gavin-Reposa that Gina's mother told him that she (the mother) suspected that Quattrocchi had sexually abused Gina as a child. [22] Gavin-Reposa noted that "this issue has come up in our therapy and Gina states that it's been a suspicion of her mother's but that Gina cannot recall any specific incident that ever happened. She really can't recall when it might have happened or what might have happened and, in fact, part of my treatment with Gina has been to help her try to re-create those memories to see if there is any actual basis for this concern." [23] According to Gavin-Reposa's therapy notes, Doolittle stated that he felt the need to report the suspected child abuse to the Rhode Island Department of Children, Youth, and Families ( "DCYF") based upon what Gina's mother had reported. [24] Gavin-Reposa informed Gina about the potential DCYF notification, and Gina expressed some concerns about this occurring. [25] Gavin-Reposa asked Gina "if there was anything she could remember and she continues to deny any recollection of any type child abuse . . . ." [26]
Gavin-Reposa concluded her therapy notes on a January 20, 1992 office visit with the statement that she would "continue to see Gina biweekly for supportive and exploratory psychotherapy." [27] However, Gina was first hospitalized at Butler Hospital adolescent unit from March 18, 1992 until March 21, 1992 due to severe depression and thoughts of suicide. [28] The discharge diagnosis was "bipolar disorder, depressed, without psychotic features." [29] Gina was readmitted to Butler Hospital on March 23, 1992 and discharged on April 3, 1992. [30]
At Gina's first therapy session on April 6, 1992 following her hospitalization, Gavin-Reposa wrote, in part:
". . . It is clear that Gina recalls something about her relationship with 'Jack' and I am assuming, as is her mother, that he sexually abused her, but Gina refuses to discuss it. 'Nothing ever happened. He was like my father. I would never ruin his life.' I told Gina that talking would help and she continues to refuse . . . ." [31] (Emphasis added.)
Following a session with Gina on April 15, 1992, Gavin-Reposa wrote that Gina was "feeling better than last week - denies S.I. still very hesitant to discuss? of sexual abuse - repeatedly states 'I really don't remember' but I [Gavin-Reposa] do not believe this to be so. States 'he is like my Dad, he couldn't have done anything bad to me.' Plan (1) continue working towards dealing with abuse issue . . . ." [32]
On April 28, 1992, Gavin-Reposa alleged in a report to DCYF the sexual abuse of Gina by Quattrocchi. [33] On April 29, 1992, Maureen Murphy ("Murphy"), a DCYF investigator, interviewed Gavin-Reposa by telephone. [34] Gina reported to Murphy on April 29, 1992, three instances of sexual abuse committed by Quattrocchi as follows: (1) fondling her breasts in a store dressing room when she was age twelve; (2) being driven to someone's house instead of summer camp, and touching Quattrocchi's penis while pictures were being taken; and (3) digital penetration by Quattrocchi in the shower. [35]
Following a therapy session on May 4, 1992, Gavin-Reposa wrote that Gina was "dealing fairly well with fact that she reported alleged sexual abuse. Discussing difficult dichotomy of having had loving feelings for someone who sexually abused her - explained this to her as a common phenomena memories quite clear for incidents." [36]
On May 6, 1992, Gina filed a report with the Lincoln Police Department stating that Quattrocchi had committed the following acts: (1) fondled her breasts in a store dressing room while watching her undress in a store dressing room when she was about thirteen years old; and (2) at the age of four, Quattrocchi drove her to someone's house, instead of to summer camp, where he digitally penetrated her and had her touch his penis while pictures were taken. [37] In the May 19, 1992 session, Gina reported to Gavin-Reposa the following instances of sexual abuse by Quattrocchi: ". . . picture taking . . . recalls 'him touching me and making me touch him' . . . and recalls, 'the shower' - 'he would go in with me . . . he put his fingers inside of me . . . .'" [38] The therapy notes concluded with Gavin-Reposa's statement of "good that she is directing anger outward at this time." [39]
At Gina's next "medication visit" on May 21, 1992 with Dr. Asher, M.D., it was noted following the printed heading "Patient Status:" that Gina felt "flashbacks of abuse feels stressed by Flashbacks; little energy." [40] On June 2, 1992, Gina reported to Gavin-Reposa three more instances of sexual abuse by Quattrocchi upon her, namely: (1) oral sex on a sailing dinghy; (2) forcing Gina to touch him when her mother was sleeping on the sailboat and threatening to tell her mother if she did not; and (3) that he raped her once and told her he had to "because I was such a pretty young girl." [41]
Gina gave a written statement to the Lincoln Police Department on July 24, 1992, indicating three instances of alleged sexual abuse by Quattrocchi, namely: (1) he made Gina touch his penis when she was approximately age six or seven; (2) oral sex on a sailing dinghy when she was approximately age six; and (3) intercourse at the guest cabin at Quattrocchi's house in Lincoln when she was approximately age eight. [42] (Two of those acts formed the basis of this indictment: vaginal intercourse when Gina was approximately eight years of age in a cabin near the pool at Quattrocchi's Lincoln home, and fellatio on a boat in Narragansett Bay when Gina was between six and seven years old.) [43]
In this preliminary hearing, the State has written it intends at re-trial, similar to its use during the prior proceeding, to offer expert testimony concerning Gina's diagnosis of Post Traumatic Stress Disorder (PTSD) in rebuttal "after the defendant opens the door" [44] by cross-examination of Gina. In State v. Quattrocchi, the Rhode Island Supreme Court held that when expert testimony is proffered relating to the basis for repressed recollection and for the diagnosis of Post Traumatic Stress Disorder (PTSD), which provided the rationale for such repression and flashbacks, the trial justice ". . . should exercise a gatekeeping function and hold a preliminary hearing outside the presence of the jury in order to determine whether such evidence is reliable and whether the situation is one on which expert testimony is appropriate." State v. Quattrocchi, 681 A.2d 879, 883-84 (R.I. 1996) (citing State v. Wheeler, 496 A.2d 1382, 1386-88 (R.I. 1985)).
This court, accepting the likelihood that at re-trial Quattrocchi would "open the door," rules as a matter of law that the burden of proof rests upon the State, as it does on every proponent, to satisfy the requirements for admissibility of expert testimony. R.I. R. Evid. 702; Rodriquez v. Kennedy, 706 A.2d 922, 923 (R.I. 1998) (citing Wheeler, 496 A.2d at 1388); see also Daubert v. Merrell Dow Pharm., Inc., 509 U.S. 579, 113 S. Ct. 2786, 125 L. Ed. 2d 469 (1993); State v. Cote, 691 A.2d 537, 541 (R.I. 1997). In an effort to sustain its burden of proof at the hearing, the State presented the testimony of the following witnesses: Gina; Dr. Daniel Brown, Ph.D.; Patricia Gavin-Reposa, R.N., M.S.N., C.S.; Dr. Barry Wall, M.D.; and Dr. Paul Appelbaum, M.D. Quattrocchi presented the testimony of the following witnesses: Dr. Paul McHugh, M.D.; Dr. Richard Ofshe, Ph.D.; Dr. William Grove, Ph.D.; and Dr. Elizabeth Loftus, Ph.D.
In Daubert, the United States Supreme Court provided guidelines which a trial court should consider in determining the admissibility of scientific evidence:
(1) whether the proffered knowledge can be or has been tested;
(2) whether the theory or technique has been subjected to peer review and publication;
(3) the known or potential error rate; and
(4) whether the theory or technique has gained general acceptance in the relevant scientific discipline.
Daubert, 509 U.S. at 593-94, 113 S. Ct. at 2796-97, 125 L. Ed. 2d at 482-83. In Quattrocchi, while directing the trial court to use the guidelines expressed in Daubert in determining the admissibility of scientific evidence, our Supreme Court clearly stated in footnote 2 that "our citing Daubert [citation omitted] . . . does not indicate that this court has abandoned the test enunciated in Frye [citation omitted], as analyzed in State v. Wheeler [citation omitted], and applied in State v. Dery [citation omitted]." Quattrocchi, 681 A.2d at 884, n.2. Our Supreme Court has left "to a later day the emphasis to be placed on general acceptance as set forth in both Frye and Daubert as opposed to the three other factors set forth in Daubert." Id.
The court in Frye decided the admissibility of a novel scientific testimony by setting forth the following standard:
"Just when a scientific principle or discovery crosses the line between the experimental and demonstrable stages is difficult to define. Somewhere in this twilight zone the evidential force of the principle must be recognized, and while courts will go a long way in admitting expert testimony deduced from a well-recognized scientific principle or discovery, the thing from which the deduction is made must be sufficiently established to have gained general acceptance in the particular field in which it belongs."
Frye v. United States, 54 App. D.C. 46, 293 F. 1013, 1014 (D.C. Cir. 1923) (emphasis added). Basically, the "general acceptance" test enunciated in Frye set the standard for determining the admissibility of scientific evidence at trial. Daubert, 509 U.S. at 585, 113 S. Ct. at 2792, 125 L. Ed. 2d at 478. In Wheeler, the Rhode Island Supreme Court, after discussing various opinions regarding the Frye test, held:
"Where the subject matter of the testimony is of a mechanical, scientific, professional or like nature, none of which is within the understanding of laymen of ordinary intelligence, and where the witness seeking to testify possesses special knowledge, skill or information about the subject matter acquired by study, observation, practice or experience, the trial justice must determine if 'such an individual's opinion may be heard as aid to the jury in its quest to discover the truth.'"
Wheeler, 496 A.2d at 1388 (citation omitted).
However, the Dery court reversed the trial court's decision to
admit the results of a polygraph examination which supported
defendant's claim of truthfulness and reaffirmed Although the United States Supreme Court stated that the
Frye standard was superseded by the Federal Rules of Evidence,
our Supreme Court has made the opposite ruling. Daubert,
509 U.S. at 587, 113 S. Ct. at 2793, 125 L. Ed. 2d at 479;
Quattrocchi, 681 A.2d at 884, n.2. From an analysis of
the foregoing cases, this court concludes that before the proffered
scientific evidence can be considered, the State must prove, at a
minimum, the criteria set forth in Daubert and
Quattrocchi, which includes proving the theory which the
expert intends to expound upon has been generally accepted within the
relevant scientific community under the Frye standard.
According to the testimony offered by Dr. Daniel Brown ("Brown"),
Ph.D., at the preliminary hearing, the term "memory" can be subdivided
into at least two categories. The two categories of "memory"
consist of continuous memory and recovered memory.
I. Continuous Memory
A continuous memory is the recollection of an event which, although
it may not be a current thought, is something that a person never
forgot, e.g., where one was when they heard that President Kennedy had
been shot and killed. According to Brown, Gina has a continuous
memory of an incident she indicated occurred when she was thirteen
years old while shopping at Cherry & Webb. Quattrocchi went into
the dressing room while Gina was trying on a sun dress.
Quattrocchi pointed out that the dress was too tight around Gina's
chest while rubbing her breasts. [45]
Gina has a continuous memory of an incident which occurred when she
was fourteen years old while she was shopping at the Swansea
Mall. Quattrocchi went into a dressing room with Gina over her
objection, stating that he liked to watch her because she got excited
when she tried on new clothes. [46] Gina also has a continuous
memory of an incident in Quattrocchi's law office which occurred in
June 1991 when she was sixteen. She went to Quattrocchi's office
to tell him about her grades on final exams. Quattrocchi, she
claims, pulled her down onto his lap and looked down her blouse.
[47] Gina also has a continuous memory of having stopped seeing
Quattrocchi following the June 1991 visit to his office. [48] She
has a continuous memory that either shortly before or shortly after
visiting Quattrocchi's office in June 1991, she began having a dream
about him taking her in his car to summer camp (when she was a child),
but he turns right instead of left and they pass by a lumberjack
statue which is not on the way to camp. [49]
Gina has a continuous memory that her first memory of alleged sexual
abuse by Quattrocchi occurred while she was hospitalized at Butler
Hospital in March 1992. [50] She has a continuous memory that
either during or following her hospitalization at Butler in March of
1992, she had her first complete recall of the alleged sexual abuse by
Quattrocchi at someone's house on a day when she was supposed to be
taken to summer camp, when she was approximately age four. [51]
II. Recovered Memory
A recovered memory is an event that is forgotten for a period of
time but is subsequently remembered. As will be addressed infra,
controversy is rampant amongst individuals who profess knowledge within
the relevant scientific communities of psychiatry, psychology, and
sociology as to whether or not it can be reliably shown that repressed
recollection exists.
At this point, the court is not ruling as to whether it has been
shown that reliable repressed recollection as a concept exists, and
whether it has been shown that Gina's recovered memory is in and of
itself reliable. The State argues that the incidents alleged in
the indictment were recalled by Gina through "flashbacks." [52]
Gina described her recovery of memories of childhood sexual abuse as
occurring "like a dream" or "flashbacks." [53] She described her
"flashbacks" as a physical sensation generating mental imagery which
allowed her to see and feel the whole event taking place. Gina
felt like she was "there again." She did not feel her age, but felt
like a little girl. Gina was awake, her eyes were closed, and her
breathing changed. Gina was aware of what was going on around
her, but was not really able to react to the situation. She
experienced physical sensations of touch and smell. [54] Some of
the flashbacks occurred when Gina was in a relaxed state, preparing to
take a nap and thinking about sleeping. [55] The flashback of
alleged digital penetration in the shower came when Gina was in her own
shower at home washing her hair. [56]
III. Recovered Memories - Areas of Consensus
Although a major debate exists within the scientific community as to
the concept of repressed recollection, the State argues that, according
to its witnesses presented at the preliminary hearing, a consensus of
opinions can be found in certain areas. Brown, a State expert,
testified that "it is possible for memories of abuse to have been
forgotten for a long period of time and to be remembered." [57]
Further, Brown testified that "it's also possible to construct
convincing pseudo memories for events that never occurred." [58]
Dr. Elizabeth Loftus ("Loftus"), Ph.D., Professor of Psychology,
University of Washington in Seattle, a defense expert, testified that
memories for childhood sexual abuse that are recovered outside of the
context of therapy are not inherently unreliable because they are
forgotten for a period of time. [59] Loftus testified that people
have the experience of recovery of previously non-remembered childhood
sexual abuse. [60] Furthermore, Loftus stated that in some cases
of recovered memories of childhood sexual abuse, the recollections are
essentially true. [61] In still other cases of recovered memories
of childhood sexual abuse, the recollections are essentially false;
[62] although barring exposure to suggestive influences, true
recollections of childhood sexual abuse may be more common than false
recollections. [63]
Dr. Paul McHugh ("McHugh"), M.D., Chairman of the Department of
Psychiatry and the Director of Psychiatry at Johns Hopkins University,
testified that people can forget a series of traumatic events and later
remember them. [64] Loftus stated that according to the
principles of ordinary memory, recovered memories are retained in the
human mind in the same manner as continuous memories. [65]
Additionally, according to research conducted by Loftus, people can
accurately remember the gist of an event and even some of the details
of an event over time without mental rehearsal. [66] Mental
rehearsal of a memory of an experience forestalls forgetting details of
an event. [67] Recovered memories are not inherently false just
because they are retrieved through the use of memory recovery
techniques. [68] Finally, it is agreed that recovered memories
are not inherently false just because they are retrieved in therapy in
which suggestive techniques were used. [69]
The composition of the standard for the admissibility of scientific
evidence, the criteria to be considered by the court, remains very much
in dispute between the parties. The State argues for what it
terms a "relaxed Daubert criteria applicable to the 'soft
sciences.'" [70] The State contends that the standard in
establishing general acceptance should be flexible for much of the data
at work in the fields of psychiatry and psychology is subjective and
many theories are difficult to verify. [71] In further support of
this relaxed standard, the State points to federal case law decided
subsequent to Quattrocchi and Hungerford (cited
infra) in which a relaxed standard is applied to the soft sciences.
[72] The State reads these cases as standing for the
relinquishment of Daubert's hard science criteria including
the "falsifiability" or "testability" prong and the "known or potential
error rate" prong. [73]
Quattrocchi, in arguing against a relaxed Daubert standard,
proffers his own applicable criteria using a standard modeled after the
analysis utilized in State v. Hungerford, 142 N.H. 110, 697
A.2d 916 (N.H. 1997). In Hungerford, the New Hampshire
Supreme Court articulated the standard to be met by the proponent of
repressed memory evidence. Id. The Hungerford
model adopted the previously outlined four prong analysis of
Daubert plus four additional factors. Hungerford, 697
A.2d at 925. The additional four criteria were utilized to
address the Hungerford court's noted concern for the "great
possibility of suggestiveness in therapy," a point to be further
developed infra. Hungerford, 697 A.2d at 924. The four
additional criteria used by the (1) the age of the witness at the time the event or
events occurred; Hungerford, 697 A.2d at 925 (citations
omitted). In support of the application of these four additional
criteria, Quattrocchi states that they "make sense and lend themselves
to being applied in the case." [74] Quattrocchi also implies that
the Quattrocchi court would have, in all likelihood, adopted
the additional four criteria had its decision not pre-dated the
Hungerford decision. [75]
Since the preliminary hearing on this matter, the United States
Supreme Court has decided Kumho Tire Co., LTD v. Carmichael,
No. 97-1709, 1999 WL 152275 (U.S. March 23, 1999). The State
argues that this court has the discretion and flexibility as to which
of the Daubert criteria should be applied in the case at bar.
[76] Additionally, the State asserts that the Kumho
court rejected the notion that the Daubert criteria
constitutes a definitive checklist. [77] Id. at 6.
Quattrocchi argues that the Kumho court rejected the argument
that the Daubert criteria was applicable only to "hard
sciences" [78] since the gatekeeping obligation "applies to all expert
testimony." [79] Id. at 5. Additionally, Quattrocchi
contends that the Kumho decision allows this court to consider
the additional criteria utilized by the Hungerford court. [80]
Id. at 6.
As previously noted, Quattrocchi provides direction to this
court on the course to be taken in evaluating and determining the
"reliability" and "appropriateness" of expert testimony on the subject
of repressed recollection (or recovered memory).
Quattrocchi, 681 A.2d 879 (R.I. 1996). It is decided by
this Court that at a minimum, the four criteria enunciated in
Daubert and Quattrocchi are to be met in order to
allow expert testimony on repressed recollection as evidence for the
jury's consideration. Furthermore, it is clear to this Court that
the factor examining the theory's general acceptance in the relevant
scientific disciplines is of utmost and key importance in determining
the ultimate admissibility of the scientific evidence offered.
See Quattrocchi, 681 A.2d at 884, n.2 (for full quote see
infra). Additionally, this court's reading of Kuhmo is
consistent with the court's foregoing analysis of Daubert and
Quattrocchi.
At the Rule 104(a) hearing, the parties elected to provide, through
testimony and argument, additional criteria for the Courts'
consideration, such as the additional four factors cited in
Hungerford. Given the broad nature of a Rule 104(a)
hearing and our Supreme Court's enumeration of the Daubert
criteria in its discussion of the trial court's gatekeeping function as
well as this court's need to be edified on this complex scientific
subject, the testimony and argument served an appropriate purpose in
the court's consideration. However, while these factors played
some role, thus meriting further discussion infra, the four criteria
enunciated in Daubert and Quattrocchi, including the
general acceptance standard enunciated in Frye, remain the
critical factors for the Court's determination of admissibility.
Daubert, 509 U.S. at 593-94, 113 S. Ct. at 2796-97, 125 L. Ed.
2d at 482-83; Quattrocchi, 681 A.2d at 884; see Frye,
293 F. at 1013.
I. Whether the Proffered Knowledge Can Be or Has Been
Tested
Whether or not a theory or technique becomes scientific knowledge is
"based on generating hypotheses and testing them to see if they can be
falsified." Daubert, 509 U.S. at 593, 113 S. Ct. at 2796, 125
L. Ed. 2d at 483 (citation omitted). The State argues that
federal case law and commentary favors the application of a relaxed
Daubert criteria. [81] Federal case law and commentary
allude to whether or not the Daubert criteria should be
applied to the "soft sciences" since the theories and opinions in the
foregoing area do not have the exactness of hard science methodologies.
[82] The State maintains that the Daubert criteria
should be applied in differing degrees to the "soft sciences."
[83] Quattrocchi argues that his expert testimony and various
published articles conclude that the topic of repressed recollection
and recovery needs further study, or that the testing completed to date
has left the reliability issue undetermined. [84]
As the testimony at the preliminary hearing indicates, the experts
are "deeply divided on the reliability or accuracy of recovered
memories." Hungerford, 697 A.2d at 925 (citations
omitted). The basis for rejection of repressed recollection as a
scientific knowledge is the lack of an empirical test that will
demonstrate the reliability of the memory. Hungerford,
697 A.2d at 926 (citations omitted). The quandary of the matter
is that a complete laboratory study on repressed recollection of sexual
abuse could never be attained. Hungerford, 697 A.2d at
926. Based upon case law, the testimony of experts, and various
articles on the topic, this court finds that repressed recollection has
not been tested adequately to ensure the reliability and accuracy of
the recovered memory.
II. Whether the Theory or Technique Has Been Subjected to Peer
Review and Publication
The concept of repressed recollection has received extensive peer
review and publication as evidenced by the submission of articles by
the parties and testimony of the parties' experts. [85] The
"submission to the scrutiny of the scientific community is a component
of 'good science,' in part because it increases the likelihood that
substantive flaws in methodology will be detected. "
Hungerford, 697 A.2d at 925 (citing Daubert, 509 U.S.
at 593, 113 S. Ct. at 2797, 125 L. Ed. 2d at 483). Although the
level of peer review and publication on the topic of memory repression
and recovery is high, the "debate over methodology and the meaning of
the results continues." Hungerford, 697 A.2d at 925. As
such, this court relies upon the premise that the publication on a
specific scientific theory or technique is only one factor for
consideration in the admissibility of the scientific evidence, and does
not necessarily correlate with the reliability of that theory or
technique. Daubert, 509 U.S. at 594, 113 S. Ct. at 2797,
125 L. Ed. 2d at 483.
III. The Known or the Potential Error Rate
The known or potential error rate of a scientific theory or
technique is an aid in determining "the existence and maintenance of
standards controlling the technique's operation" to determine the
reliability and accuracy of that theory or technique.
Daubert, 509 U.S. at 594, 113 S. Ct. at 2797, 125 L. Ed. 2d at
483 (citations omitted). The State argues that the known or
potential error rate should not apply to the behavioral sciences, which
includes psychology. [86] The State contends that behavioral
scientists deal with complex and intricate issues that are not easily
lent to study in a laboratory setting, thus necessitating a relaxed
Daubert standard. [87] Quattrocchi argues that the
State's expert, Brown, did not testify as to the error rate of
repressed recollection, but could only state that the error rate of a
scientific technique "goes down" with the increased amount of studies.
[88] Furthermore, Quattrocchi states that Brown testified he did
not believe it was possible to calculate an error rate "in any area of
science." [89] Lastly, Quattrocchi maintains that all the defense
experts agree an error rate cannot be established for repressed
recollection as there is no way to distinguish accurate and inaccurate
memories in the absence of independent corroboration. [90]
The calculation or estimation of the number of "false" repressed and
recovered memories is difficult to ascertain.
Hungerford, 697 A.2d at 928 (Cf. Daubert v. Merrell Dow
Pharms, 509 U.S. 579, 594, 113 S. Ct. 2786, 2797, 125 L. Ed. 2d
469, 483 (1993)). The heart of the problem lies in tracking the
percentage of false memories that occur when the experts are divided as
to methodology, reliability, and accuracy of repressed
recollection. Hungerford, 697 A.2d at 928 (citations
omitted). "Although some individuals who have recovered memories
have since withdrawn their claims, (citation omitted), there is no way
to track the percentage of such false memories, especially when the
phenomenon is still subject to such vigorous debate."
Hungerford, 697 A.2d at 928. Based upon case law, expert
testimony, and various articles on the topic, this court finds that
there is no quantifiable error rate regarding "false" repressed and
recovered memories.
IV. Whether the Theory or Technique Has Gained General
Acceptance in the Relevant Scientific Discipline and the Frye
Standard
For repressed recollection testimony to be admissible at trial as a
scientific principle for its evidentiary value, the court should look
to whether the theory has gained general acceptance in the relevant
scientific discipline. Daubert, 509 U.S. at 594, 113 S. Ct. at
2797, 125 L. Ed. 2d at 483; Quattrocchi, 681 A.2d at
884. To gain general acceptance, a scientific principle must be
"sufficiently established" in its field. Dery, 545 A.2d
at 1016 (citing Frye v. United States, 54 App. D.C. 46, 293 F.
1013, 1014 (1923)); see also In Re Odell, 672 A.2d 457, 459
(R.I. 1996). While the general acceptance criteria is one of the
enumerated guidelines set forth in Quattrocchi, our Supreme
Court stated that they had not abandoned the general acceptance
standard in Frye. Quattrocchi, 681 A.2d at 884,
n.2. However, the general acceptance criteria set forth in
Quattrocchi and the Frye general acceptance standard
are both the same (collectively called "the general acceptance
standard") and dictate the same analysis.
In regards to the concept of general acceptance in the relevant
scientific discipline, the court in Daubert determined that a
"reliability assessment does not require, although it does permit,
explicit identification of a relevant scientific community and an
express determination of a particular degree of acceptance within that
community." Daubert, 509 U.S. at 594, 113 S. Ct. at 2797, 125
L. Ed. 2d at 483 (citation omitted). Additionally, "widespread
acceptance can be an important factor in ruling particular evidence
admissible, and a 'known technique which has been able to attract only
minimal support within the community,' [citation omitted], may be
properly viewed with skepticism." Id.
The State did not squarely address the general acceptance standard,
choosing instead to argue, as noted, for a relaxed Daubert
standard. The State did confront the general acceptance issue
when it stated that "though the tenor of the discussion on recovered
memories is sometimes described as acrimonious, with polarized groups
staking out extreme positions on either end of the spectrum, there is
consensus in the areas that are particularly important in this case . .
. certain fundamental ideas about recovered memory are not disputed."
[91] The areas of consensus or general acceptance, the State
argues, include the existence proof that a series of traumatic events
can be forgotten and remembered at a later point in time. [92]
Studies in support of this proof are said to "constitute a body of
scientific knowledge drawn from systematic observations of the
phenomenon. Each 'generation' of studies answered the
methodological critiques of the former." [93]
Further, the State declares a consensus as to the point that "false
memories" do. [94] The State emphasizes that it had established
the existence of the phenomenon of recovered memories, and only the
frequency of its occurrence is open to debate. [95] What remains
of "pressing concern," as termed by the State, to the applicable
scientific fields is understanding "how and under what conditions a
recovered memory can be retrieved from memory accurately and how and
under what conditions a false memory can be created." [96]
Additionally, theories of causation of recovered memories are a focal
point of controversy. However, the State argues that this point is not
"germane" to the present matter. The State then circles back to
its original proposition of general acceptance of the phenomena or
existence proof of recovered memories. In sum, the State seeks to
focus the Court's attention on the "fundamental fact that, based on
principles of ordinary forgetting and remembering, people can forget a
series of traumatic events and later reliably remember them." [97]
The State posits that recovered memories model "continuous" memories
in that they are "stored or retained in the mind the same way."
[98] As such, both recovered and "continuous" memories are
subject to the same pattern of potential memory retention and
deterioration. Despite the potential workings of retention and
deterioration, the State argues that "the usually accepted position" in
regards to the accuracy of general autobiographical memory, meaning how
well the memory corresponds to the facts of the actual event, is that
the "gist" of a remembered event is accurate, but the details of the
event may be lacking. [99] Based on available research, the State
maintains that the gist of Gina's memories of child sexual abuse are
expected to be accurate. Furthermore, the State contends that
because Gina's memories of child sex abuse are "events of impact,"
research has revealed that the gist of such events is "highly
well-retained and accurately retained over a long retention period."
[100]
Quattrocchi argues that the State has not provided the requisite
explanation of the repressed recollection phenomenon, thus leaving this
Court in the position of having to "determine the reliability of
'memories' recovered through an unexplained and unknown process."
[101] Quattrocchi contends that the State's efforts to equate
recovered memories with ordinary principles of forgetting and
remembering fall short of the State's burden of proof.
Quattrocchi relies on the opinions of his experts, each of whom
opined that the phenomenon of recovered memory is not
generally accepted within the field of psychology or any other
scientific community. Dr. Paul McHugh, M.D., Chairman of the
Department of Psychiatry and the Director of Psychiatry at Johns
Hopkins University, testified that there is a raging controversy in the
scientific world as to the existence of repressed memories. [102]
He further stated that "the concept of repressed memory is gradually,
and with some struggle in the field, being refuted, argued against,
ultimately disappearing." [103] Dr. Richard Ofshe, Ph.D., a
social psychologist serving as a full professor at the University of
California at Berkeley in the sociology department, testified that the
relevant scientific communities "have rejected the idea of repression .
. . that there is no credible evidence suggesting that the mental
mechanism known as repression, dissociative amnesia, robust repression,
or traumatic amnesia exists at all. It has never been
demonstrated." [104]
Additionally, Dr. William Grove, Ph.D., an Associate Professor of
Psychology at the University of Minnesota, testified that the
psychological community has not generally accepted the phenomenon of
repressed or recovered memories. [105] Quattrocchi asked Dr.
Elizabeth Loftus, Ph.D., Professor of Psychology at the University of
Washington in Seattle, the following questions: "Do you have an opinion
as to whether or not the theory that human beings can repress,
dissociate, or block out streams of traumatic events and later recover
so-called memories of those events with a predictable degree of
accuracy, do you have an opinion as to whether that theory or notion
has been found to be reasonably reliable by the relevant scientific or
professional community."[106] Loftus responded with this opinion:
"that theory is completely controversial and unsupported . . . ."
[107] As further support of Quattrocchi's contention of a lack of
general acceptance of the repressed recollection phenomenon, he
introduced into evidence position statements on the subject from the
Canadian Psychiatric Association, the American Medical Association
("AMA"), the British Royal College of Psychiatrist (2 reports), and the
Board of Directors of the Australian Psychological Society
Limited. Quattrocchi stated that each paper demonstrates an
attitude of "great caution" regarding acceptance of repressed
recollection. Of note, the AMA paper stated that "the AMA
considers recovered memories of childhood sexual abuse to be of
uncertain authenticity, which should be subject to external
verification. The use of recovered memories is fraught with
problems of potential misapplication." [108]
Our Supreme Court has elaborated upon the academic and judicial
controversy surrounding the admissibility and reliability of repressed
recollections, as well as supportive expert testimony.
Quattrocchi, 681 A.2d at 881 ("Perhaps no area of the law has
been more productive of controversy . . . ."). Our Supreme Court
remanded the matter to this court for the exercise of its gatekeeping
function. Quattrocchi, 681 A.2d at 884 (citing This court believes that the phenomenon of repressed recollection
has not gained general acceptance in the fields of psychology and
psychiatry. See Frye, 293 F. at 1014. Because
theories in support of repressed recollection have not gained general
acceptance, they are deemed to be unreliable. Id.
This court adopts the reasoning of the Hungerford court
which stated:
"There is, however, a vigorous debate on the question
of how the process of repression occurs, how the process of
retrieval occurs, and indeed if in fact retrieval is possible at
all. [citations omitted] A central and divisive question in this
debate is whether a person's memory of an event can be accurate or
authentic or 'true,' having been long lost in the person's
subconscious mind and subsequently remembered, either
spontaneously or by some method seeking to recover the memory."
Hungerford, 697 A.2d at 921 (citations omitted). The
dissension as to the accuracy and authenticity of repressed
recollection prevents its categorization as reliable, and is
representative of the lack of general acceptance of the theory by the
members of the applicable scientific communities. This court, in
formulating this decision, particularly noted the expert testimony
presented by the defense. The defense experts were acknowledged
by the State and its witnesses and recognized by this court to be
national leaders in their respective fields.
The State vigorously argues that Daubert's "falsifiability"
or "testability" criteria be excluded from this court's evaluation of
the repressed recollection phenomenon. This Court agrees that any
testability criteria for the recovery of child sexual abuse memories is
unavailable due to the ethical considerations implicated by such a
study. [109] Typical empirical data or laboratory studies will
not accompany a scientific theory of this nature, and are not a
consideration in weighing the overall reliability and acceptance of the
theory. However, the Hall opinion cited by the State in
support of its soft science criteria argument still requires "some
degree of reliability of the expert and the methods by which he has
arrived at his conclusions." U.S. v. Hall, 974 F. Supp. 1198,
1202 (C.D. Ill. 1997). As noted, the degree of reliability that
this court requires, the amount which equates to general acceptance,
has not been established by the State.
In its consideration of the reliability of repressed recollection,
the Hungerford court was particularly cognizant of the
"uniquely suggestive environment of psychological therapy."
Hungerford, 697 A.2d at 924. The Hungerford
court set forth the following four additional factors to the
Daubert four prong test to address the possible presence of
suggestion in the alleged victim/witness's memory:
"(5) the age of the witness at the time the event or
events occurred [citation omitted]; Hungerford, 697 A.2d at 925. If psychological therapy
accompanies a witness' recovery of memories, Hungerford
further warrants an inquiry into that process. Id. In the case
where psychological therapy is used, a review of the therapist's
qualifications, the type of therapy used, whether complaints of false
accusations have been filed against the therapist, "whether the
therapist ordinarily seeks hidden memories or believes that many
psychological problems stem from sexual abuse, and whether the
therapist remains detached during the process or 'validates'
allegations of abuse that arise" are additional considerations to be
reviewed. Id. As a result of finding that repressed
recollection was unreliable, the Hungerford court did not
analyze the suggestiveness of the therapeutic process.
Hungerford, 697 A.2d at 930.
Gina was seventeen years of age when she made the statements
recounting sexual abuse to the Lincoln Police Department in May
1992. An indictment of Quattrocchi on two counts followed.
The two acts forming the basis of the indictment are said to have
occurred in 1981 and 1983, when Gina was between the ages of six and
nine. Gina had recovered these memories just prior to reporting
them to the police. Thus, a period of between ten and twelve
years elapsed before Gina had "recovered" her memories in sufficient
detail to report them. Objective and reliable corroborative
evidence of the alleged events is not available.
The Hungerford court found a period of four years between
the event and the memory recovery to be "a relatively small period of
time," a factor working in favor of reliability.
Hungerford, 697 A.2d at 929. A period of ten to twelve
years, as evidenced by the present facts, is a significantly lengthy
period of time during which the unreliability of the memory gains
momentum. Citing scientific authorities, the Hungerford
court found that young children have "incomplete narrative memories of
traumatic events" and that "individuals are almost completely amnesic
for the first few years of their own life." Id. As to Gina's
age at the time of the charged events, it is no doubt likely that she
had grown out of the period of "childhood amnesia" all humans
experience, but she remained a young child "subject to the influence of
innumerable external influences during the 'retention' stage of
remembering." Id. Her age at the time of the event and the
substantial gap between the events and recovery rule against their
reliability, favoring conditions ripe for suggestion.
Furthermore, Gina's therapy, particularly the Gavin-Reposa treatment
and the attendant circumstances, create an air of suggestion as to her
recovered memories. Quattrocchi argues that, in fact, Gina was
"primed" by her mother and a number of therapists to believe that
inappropriate sexual contact had occurred with Quattrocchi.
The defense experts testified that the course of therapy which
accompanied Gina's memory recovery was highly suggestive. Based
upon a review of Gavin-Reposa's therapy notes, McHugh stated that "an
atmosphere of suspicion" was built. [110] McHugh stated that the
therapy notes revealed many instances of leading and suggestive
questions as well as bias. [111] McHugh also stated that this
line of questioning offered the opportunity to attempt to recreate
Gina's memories. [112] McHugh noted the following as exemplifying
suggestiveness as to the therapeutic process: Gavin-Reposa's
expectation that memories would be recalled; [113] Gavin-Reposa
continued to pursue the issue of sexual abuse even though Gina
repeatedly was in denial; [114] Gavin-Reposa assumed that Gina had been
sexually abused by Quattrocchi; [115] Gavin-Reposa assumed Gina's
memories were true; [116] Gavin-Reposa did not offer the possibility
that the memories might be false or in the realm of fantasy; [117] and
Gavin-Reposa's treatment did not meet the applicable standard of care
for a therapist. [118]
Ofshe testified that Gavin-Reposa validated, and drew attention to,
a relationship between Gina's symptoms and her repressed memories.
[119] Ofshe stated a link exists to "the discovery of symptoms to
the target of this process which would be Mr. Quattrocchi and the
possibility of repressed memory of his inappropriate actions."
[120] In summary, Ofshe stated that Gavin-Reposa's repeated line
of questioning regarding sexual abuse equated to "communicating to the
patient the therapist's expectation that a repressed memory of sexual
abuse is there." [121]
The assumption of sexual abuse held by Gina's mother and
Gavin-Reposa, as evidenced by her therapy notes, prompted Dr. William
Grove to testify to the following:
"I don't know if you could get a lot of clearer
evidence of a
therapist's expectation that there were repressed memories of
sexual abuse, and that they might be expected to emerge in the
short-to-intermediate term future in therapy . . . [as to]
potential priming by Gina's mother . . . [mother] told Gina prior
to the emergence of what came to be termed repressed or otherwise
forgotten memories of abuse, that Jack Quattrocchi had been
charged with some type of child molestation-type charge, which
would tend to create in the child's mind, Gina's mind, the
expectation that perhaps he had done similar to her. That is
what I mean by priming, that it sets up an expectation in the
client's mind that something is a possibility to a greater degree
than it would be before you heard such a thing." [122]
Loftus testified that Gavin-Reposa, though perhaps unwittingly, was
"pursuing sex-abuse memories. She was pursuing an agenda of
trying to recreate memories." [123] Furthermore, Loftus stated
that "there is ample evidence that memories that follow suggestive
procedure are definitely less reliable than memories that do not."
[124]
The therapy undertaken by Gavin-Reposa has, therefore, an element of
suggestibility that, when coupled with other reliability factors,
renders the recovered memories it helped produce unreliable.
Hungerford, 697 A.2d at 925. Gavin-Reposa, a Registered Nurse,
denied that her therapy efforts were directed toward the recovery of
repressed memories. [125] Nonetheless, expert testimony evidences
that at least a measure of implicit suggestion accompanied
Gavin-Reposa's therapy work with Gina. Furthermore, it appears
that Gavin-Reposa did not remain "detached" during the therapeutic
process and she may have, in fact, improperly "validated" Gina's sexual
abuse memories, dreams, and flashbacks. Id. Therefore,
under the additional criteria set forth in Hungerford,
repressed recollection as a scientific knowledge is unreliable.
The State has not met its burden of establishing that repressed
recollection is reliable and admissible as scientific evidence.
As a result, expert testimony on the subject is inadmissible. The
areas of consensus regarding repressed recollection remain greatly
clouded by continuing and overriding division and discrepancy within
the applicable fields. The status of dissension within the
scientific discipline as to repressed recollection renders potential
expert testimony of little assistance to the trier of fact to date.
Counsel shall submit the appropriate judgment for entry.
v. JOHN E. QUATTROCCHI,
III SUPERIOR COURT OF RHODE ISLAND, PROVIDENCE
2001 R.I. Super. LEXIS 9
January 19, 2001, Filed
DECISION CLIFTON, J. This matter comes before the Court on the State's Motion
for Reconsideration and Clarification of this Court's written decision
filed in the within matter on April 26, 1999. Specifically, the
State requests reconsideration in light of our Supreme Court's
evidentiary analysis in DiPetrillo v. Dow Chemical Co., 729
A.2d 677 (R.I. 1999) and further, requests clarification of this
Court's decision as it pertains to Gina's [1] testimony and the
testimony of experts.
The detailed recital of the background facts leading to defendant's
conviction at his 1994 trial is contained in the opinion rendered by
our Supreme Court in State v. Quattrocchi, 681 A.2d 879 (R.I.
1996), and in this Court's April 26, 1999 decision, and need not be
recapitulated here but shall be incorporated herein by reference.
After our Supreme Court vacated defendant's judgment of conviction on
July 31, 1996, this Court exercised its gatekeeping function on remand
to determine the reliability of repressed recollection testimony and
whether expert testimony was necessary for further elucidation.
See Quattrocchi, supra at 884.
This Court conducted a hearing during which a combination of lay
witnesses and experts testified upon the subject of repressed
recollection. In addition to the testimony proffered during the
hearing, prior trial testimony of the complainant was also considered
in formulating the April 1999 decision. Ultimately, this Court
determined that the State had failed to meet its burden in proving the
reliability of repressed recollection and its admissibility as
scientific evidence.
On October 22, 1999, oral arguments were heard on the State's Motion
for Reconsideration and Clarification. The State asserts that the
Court's previously issued decision should be reconsidered in light of
DiPetrillo v. Dow Chemical Co., supra, which was fortuitously
issued on April 26, 1999 -- the same date that this Court filed its
decision.
Rather than reiterating the evidence proffered during the Rule
104(a) hearing which was ultimately integrated into the thirty-one page
decision on the within matter, this Court will encapsulate the
pertinent portions of its decision as it relates to the State's
questions for reconsideration. It should however be established
at the outset that the earlier decision was predicated on the posture
of the law relating to scientific evidence admissibility as defined by
our Supreme Court. It should be further noted that this Court
does not perceive DiPetrillo as reversing or overturning any
portion of this area of the law but rather, as more palpably and
comprehensively summarizing acceptable guidelines for the trial justice
as gatekeeper of evidence. Consequently, this Court deems that it
need not reconsider its prior decision in light of DiPetrillo, but
shall, however, clarify pertinent portions to demonstrate its alignment
with DiPetrillo.
After the landmark decision Daubert, infra, by the United
States Supreme Court, holding that Frye, infra, was inflexible
and not compatible with Rule 702 or with the Federal Rules of Evidence
and prior to the publication of DiPetrillo, our Supreme Court
had not definitively promulgated what, if any, changes it should
endorse in instructing trial justices on the admittance of scientific
evidence. In fact, in Quattrocchi, supra at 884 n. 2,
the Court stated: "We shall leave to a later day the emphasis to be
placed on general acceptance as set forth in both Frye and
Daubert as opposed to the three other factors set forth in
Daubert."
The State has mistakenly argued that the standard for the
admissibility of scientific evidence has changed in light of
DiPetrillo. Briefly, DiPetrillo involved a
product liability claim against a herbicide manufacturer brought by a
worker who applied these herbicides and later contracted cancer.
The defendants in DiPetrillo challenged expert testimony which
would purportedly show plaintiff 's cancer was casually related to his
exposure to the herbicide manufactured by defendant. See
Id. at 683. In paving a clearer path to guide trial
justices in their gatekeeping duties, the Court stated that they "must
control the gateway for expert scientific testimony by conducting,
pursuant to Rule 104 an early preliminary assessment of the evidence .
. . this entails a preliminary assessment of whether the reasoning or
methodology underlying the testimony is scientifically valid and of
whether the reasoning or methodology properly can be applied to the
facts in issue." Id. 686-87 (citing DaubertI, 509
U.S. at 592-93, 113 S. Ct. at 2796, 125 L. Ed. 2d at 482).
DiPetrillo reiterates the discretionary role of the trial
judge at these hearings and the "importance of [this] pretrial
procedure by which the trial judge gathers the necessary information
and evaluates both the reliability of the underlying principles and
methodology employed by the proposed expert witness and the potential
relevance of the proposed evidence." Id. at 688.
Upon the execution of this hearing by the trial judge, the next step
in the admissibility analysis remained the standard to be engaged in
assessing reliability. The Court "offered guidance on the
standard for admissibility that should govern preliminary hearings and
hearings out of the presence of the jury. " Id. at 686.
In articulating this standard the Court stated: "Prior decisions of
this Court have adverted to the Frye 'general acceptance'
standard (citations omitted), even though this Court has not strictly
adhered to that standard." Id. However, DiPetrillo
does not fully embrace the Daubertstandard:
"Though we declined expressly to adopt the
DaubertI standard, our previous cases have endorsed its
principles . . . if such evidence was relevant, appropriate and of
assistance to the jury." Id. Our Court sanctions "a more
flexible relevance/helpfulness analysis." Id. "The test is
whether or not the reasoning is scientific and will assist the jury."
Id. at 690. The State maintains that DiPetrillo set a new evidentiary
standard which warrants reassessment of the evidence by this
Court. This is simply incorrect. Our Supreme Court has
consistently followed a flexible relevance/helpful approach to evidence
admissibility. See, e.g., DiPetrillo, supra at 686;
State v. Morel, 676 A.2d 1347, 1355 (R.I. 1996); In re
Odell, 672 A.2d 457, 459 (R.I. 1996); State v.
Wheeler, 496 A.2d 1382, 1388 (R.I. 1985). DiPetrillo
explicitly states that the pre-trial assessment of the evidence is
largely within the trial court's discretion. [2] Id.
DiPetrillo identifies the four Daubert factors as
material guides in adducing reliability. [3] This Court applied
this precise analysis in reaching its decision. The four
Daubertfactors were identified and were each considered on its
merit. See Decision at 9, 18, et seq. While going through
the steps of the analysis, this Court emphasized the criterion of
general acceptance in the scientific community.
DiPetrillo expressly states that: "These [Daubert]
factors need not and most likely will not be given equal weight in the
analysis." Id. at 689 (emphasis added). This Court's
opinion is that its decision was consistent with the analysis
recommended by DiPetrillo. Thus, after hearing the
arguments and reviewing the memorandum submitted by the parties, this
Court maintains its prior analysis that the repressed recollection
evidence in this matter is unreliable and therefore inadmissible.
The State requests clarification of this Court's previous decision
regarding the admissibility of Gina's testimony. This Court finds
State v. Hungerford, infra, particularly illuminating on this
issue and shall once again utilize its reasoning in its analysis. [4]
In Hungerford, the Court engaged a novel approach to
determine the admissibility of testimony by percipient witnesses or a
single witness who experienced repressed recollection of sexual
abuse. In excluding such testimony, the Hungerford Court
utilized the scientific standards of admissibility because expert
testimony would have been required to explain to the jury the
machinations of repressed and recovered memories. Thus, the
percipient witness here, Gina, may not testify about repressed
memories, when this Court as gatekeeper, has deemed such expert
testimony unreliable.
The State fails to grasp the concept that "[this] witness [is] not
[an] ordinary eyewitness with ordinary memories" and thus the Court
must examine the reliability of these memories rather than mere
competence as a witness. See Hungerford at 920.
Gina's memories have "undergone a physiological process unlike ordinary
memory, with which an average juror would be familiar." Id. at
922.
Because of the process that Gina went through in retrieving these
memories, she is not the average witness complaining of sexual
abuse. Thus she is precluded from testifying about these
repressions that fall outside of the purview of the common juror.
Contrary to the State's assertion, this inadmissibility does not
contradict G.L. # 11-37-11, which allows a witness to testify about
sexual abuse without corroboration. [5] Ultimately, if Gina were
allowed to testify upon her repressions, jurors would be required to
"determine the credibility of [her] memory as well as the soundness of
the scientific methodology upon which the memory is based." [6]
Because this Court determined that expert testimony relating to
repression of recollection is unreliable and therefore inadmissible, it
would be wholly inconsistent to allow Gina to testify as to
inadmissible matters. [7]
For the foregoing reasons, an order may enter denying the Motion for
Reconsideration.
Evidence Regarding the Memory of the
Victim
45 Vol. # 1, pp. 9-10.
46 Id. at 10.
47 Id. at 8.
48
Id.
49 Id. at 9.
50 Id. at 11.
51 Id. at 11.
52 Id. at 26; State's Daubert Hearing Brief,
Corrected Version, p. 12.
53 Id. at 11; State's
Daubert Hearing Brief, Corrected Version, p. 12.
54
Id. at 11-13.
55 Id. at 12.
56 Id.
at 13.
57 Vol. # 3, p. 192 (citation omitted).
58 Id. at 193
(citation omitted).
59 Vol # 15, p. 1877.
60 Id. at
1880.
61 Id.
62 Id.
63 Id. at
1880.
64 Vol. # 9, p. 578.
65 Vol. # 15, p. 1897.
66 Id.
at 1896.
67 Id.
68 Id. at 1900.
69
Id. at 1900-01.
Admissibility of Evidence
70 The soft sciences include the fields of psychiatry, psychology,
and sociology.
71 State's Daubert Hearing Brief, Corrected
Version, p. 22 (citation omitted).
72 Id. at 23-26.
73 Id. at 25 (citation omitted).
(2) the length of time between the event and
recovery of the memory;
(3) the presence or absence of objective,
verifiable corroborative evidence of the event; and
(4) the
circumstances attendant to the recovery of the memory, i.e., whether
the witness was engaged in therapy or some other process seeking to
recover memories or likely to result in recovered memories.
74 Def. Brief, Corrected Version, p. 14. (The full title of
this memorandum is Defendant's Brief in Support of Motion to Bar
Repressed Recollection Testimony, Corrected Version, July 27, 1998.
75 Id.
76 State's Letter dated March 26, 1999.
77 Id.
78
See State's Daubert Hearing Brief, Corrected Version, p. 26 (a
relaxed Daubert criteria should apply to the "soft sciences").
79 Def. Letter dated April 2, 1999.
80 Id.
81 State's Daubert Hearing Brief, Corrected Version, p.
23.
82 Id. at 23-26.
83 Id. at 25.
84
Def. Brief, Corrected Version, pp. 43-44.
85 State's Ex. 8, 18, 20, 21, 22, 23, 24, 25, 26, 27, 28, 30, 32,
33, 34, 35, and 35; Def. Ex. M, N, O, P, Q, R, S, U, Z, AA, CC, DD, EE,
GG, HH, NN, and OO.
86 State's DaubertHearing Brief, Corrected Version, p. 25.
87 Id. at 25-26.
88 Def. Brief, Corrected Version, p.
44; Vol. # 3, p. 215.
89 Id.
90 Id. at 44-46.
91 State's Daubert Hearing Brief, Corrected Version, p.
27.
92 Id. at 28.
93 Id. at 30 (citation to
transcript omitted).
94 Id.
95 Id. at 30, 33.
96 Id.
at 30-31.
97 Id. at 32-33.
98 Id. at 34.
99 Id. at 35.
100
Id. at 36.
101 Def. Brief, Corrected Version, p. 21.
102 Vol. # 9, p. 534.
103 Vol. # 9, p. 490.
104 Vol. # 10,
pp. 872-73.
105 Vol. # 13, pp. 1290-91.
106 Vol. # 15, p. 1829.
107
Id.
108 Def. Brief, Corrected Version, pp. 45-46 (citation
omitted).
Additional Factors for Consideration
109 See Def. Brief, Corrected Version, p. 42.
(6) the length of time
between the event and the recovery of the memory [citation
omitted];
(7) the presence or absence of objective, verifiable
corroborative evidence of the event [citation omitted]; and
(8) the circumstances attendant to the witness's recovery of
the memory, i.e., whether the witness was engaged in therapy or
some other process seeking to recover memories or likely to result
in recovered memories [citation omitted]."
110 Vol. # 9, p. 607.
111 Id. at 537, 541-42.
112
Id.
113 Id. at 537.
114 Id. at 612.
115 Id. at 542.
116 Id. at 625.
117
Id. at 598, 602, 604, 624.
118 Id. at 540.
119 Vol. # 10, p. 833.
120 Id. at 835.
121
Id. at 845.
122 Vol. # 13, pp. 1345-46.
123 Vol. # 15, p. 1917.
124
Id. at 1875.
125 Vol. # 8, p. 65.
Conclusion
STATE OF RHODE ISLAND
P1/92-3759
1 The Court will continue to refer to the complaining witness by
this name, as it had in its previous decision.
Travel/Facts>
State of the Law in Rhode Island
Neither Strict Frye nor Express Daubert
Alignment with DiPetrillo
2 As further testament that our Supreme Court grants discretionary
latitude to trial justices as evidentiary gatekeepers, this Court finds
it significant that the Court bypassed its opportunity in
Quattrocchi, supra, to comment upon the reliability of
repressed recollection but expressly declined:
"We do not attempt at this time to resolve the controversy
concerning the reliability and admissibility of repressed
recollections as well as the expert testimony that may corroborate
and support the basis for such repression and the reliability of
the flashbacks or recovered recollections when they are offered at
trial." Id. at 883
3 The four Daubertfactors are:
Id. at 593-94, 113 S. Ct. at 2796-97, 125 L.Ed. at 482-83.
(1) whether the proffered knowledge can be or
has been tested;
(2) whether the theory or technique has been subjected to peer
review and publication;
(3) the known or potential rate of error; and
(4)
whether the theory or technique has gained general acceptance in the relevant
scientific field.
Request for Clarification
4 State v. Hungerford, 697 A.2d 916 (N.H. 1997).
5 Incidentally, almost every state in the country allows testimony
by a witness complaining of sexual abuse without corroboration.
This is not a unique facet of the law.
6 Joseph A. Spadaro, An Elusive Search For the Truth: The
Admissibility of Repressed and Recovered Memories in Light of
Daubertv. Merrell Dow Pharmaceuticals, Inc., 30 Conn. Law
Review 1147, 1173 (1998).
7 The following testimony by both State and defense experts took
place during hearing and was integrated in this Court's previous
decision:
State v. Quattrocchi, C.A. 92-3759, April 26,
1999, Clifton, J. at 13-14.