Advanced Evidence
Cardozo Law School
Professor Peter Tillers
WILSON v. MARYLAND
COURT OF APPEALS OF MARYLAND
370 Md. 191, 803 A.2d 1034 (August 5, 2002)
Opinion by Raker, J.
The
primary question we address in this appeal is whether the trial court abused
its discretion in permitting the State to use statistical data and a product
rule computation to prove the improbability of two Sudden Infant Death Syndrome
("SIDS") n1 deaths in a single family. We shall hold that because the
evidence did not satisfy the test we adopted in Reed v. State, 283 Md.
374, 391 A.2d 364 (1978), which guides the admissibility of expert testimony in
Maryland, the trial court abused its discretion in admitting the evidence.
n1 In
1989 the National Institute of Child Health and Human Development published the
following definition of Sudden Infant Death Syndrome (SIDS):
"The
sudden death of an infant under 1 year of age, which remains unexplained after
a thorough case investigation, including performance of a complete autopsy,
examination of the death scene, and review of the clinical history."
M. Willinger et al., Defining
the Sudden Infant Death Syndrome (SIDS): Deliberations of an Expert Panel
Convened by the National Institute of Child Health and Human Development,
11 PEDIATRIC PATHOLOGY 677 (1991). See also State v. Aten, 130 Wash. 2d 640, 927 P.2d
210, 220 (Wash. 1996).
Garrett
Eldred Wilson, petitioner, was convicted by a jury in the Circuit Court for
Montgomery County of first degree premeditated murder of his infant son,
Garrett Michael Wilson. He was sentenced to a term of imprisonment of life
without the possibility of parole. The Court of Special Appeals affirmed his
conviction. Wilson v. State, 136
Md. App. 27, 764 A.2d 284 (2000).
We
granted Wilson's petition for writ of certiorari to consider the following
questions:
"1.
May the State use statistical data and a product rule computation to prove the
improbability of two SIDS deaths in a family where such evidence lacks an
adequate foundation and is highly susceptible to misuse by the jury?
2. Did
the trial judge take inadequate corrective action when the State's Attorney
argued to the jury that a statistical computation he performed accurately
represented the 1 in 10 million probability of petitioner's innocence?
3. May
State experts in forensic pathology tell the jury that they drew incriminatory
inferences from the defendant's purchase of life insurance on his infant
children and that they made credibility assessments of witnesses in the case?
4. Did
the trial judge err in prohibiting
the defense pathologist from explaining why, in his opinion, the defendant's
purchase of life insurance on his children is irrelevant to an expert pathologist's
opinion as to matter of death?
5. Did
the trial judge err in admitting evidence of Appellant's alleged murder of his
infant daughter six years before the alleged murder in this case?"
Wilson v. State, 363 Md. 662, 770 A.2d
169 (2001).
On February
25, 1981, Deborah Oliver Fennell, then petitioner's wife, gave birth to a
daughter, Brandi Jean Wilson. After Brandi's birth, petitioner purchased two
life insurance policies, worth a total of $ 40,000, on Brandi's life. Petitioner
was the primary beneficiary of these policies, Ms. Fennell the contingent beneficiary. On April 30, 1981, Brandi
died. After an autopsy, her death was labeled as a SIDS death.
On March
22, 1987, Mary Anastasi, petitioner's wife as of March 1986, gave birth to
a son, Garrett Michael Wilson. After Garrett's birth, petitioner purchased
two life insurance policies, worth a total of $ 150,000, on his son's life.
As with his daughter Brandi's insurance policies, petitioner was the primary
beneficiary and his wife the contingent
beneficiary. On August 13, 1987, Garrett died. After an autopsy, his death
was also attributed to SIDS.
On May
28, 1998, the Grand Jury for Montgomery County indicted petitioner for the
murder of Garrett Michael Wilson. Wilson proceeded to trial before a jury in
the Circuit Court for Montgomery County.
At
trial, Ms. Fennell testified that the night Brandi died was the first and only
night that petitioner took care of the child. Soon after Brandi's death,
petitioner filed claims with the two insurance companies from which he had
purchased the policies on Brandi's life, and he collected the insurance
proceeds. Like Ms. Fennell, Ms. Anastasi testified that the night of Garrett's
death was the first night that petitioner alone took care of their baby.
Petitioner collected the money from insurance policies he had taken out on
Garrett's life soon after the infant's death.
At trial,
the State presented testimony from the doctors who performed autopsies on
Brandi and Garrett. Dr. Ann Dixon performed the autopsy on Brandi. Dr. Dixon
testified that she changed her opinion as to the cause of death in Brandi's
case to "probable suffocation" and the manner of death to "undetermined" on the basis of information provided by the
police, including witnesses' statements and information about the life insurance
policies on the two children taken out by petitioner.
Dr. Charles
Kokes performed the autopsy on Garrett. He testified that he changed his opinion
as to the cause of death in Garrett's case to smothering and the manner of
death to homicide. Dr. Kokes changed his opinion based on additional
investigative information provided by the State, including the facts
surrounding Brandi's death and interviews with Garrett's mother.
Dr. John
Smialek, the chief medical examiner for the State of Maryland, reviewed the
original autopsy reports on Brandi and Garrett. In addition, the State
provided Dr. Smialek with statements by the children's parents, family
friends, and information regarding the life insurance policies. Dr. Smialek
changed his opinion as to the cause of death in Brandi's case to suffocation
and the manner of death to undetermined. Focusing largely on swelling in Garrett's
brain, Dr. Smialek changed his opinion in Garrett's case to suffocation and
the manner of death to homicide.
Dr. Linda
Norton did not conduct the autopsy on Brandi or Garrett. She was
hired by the State to review the children's deaths. Dr. Norton concluded
that the cause of death in Brandi's case should be changed to suffocation
and the manner of death to homicide. She focused on the similarity between
Brandi and Garrett's deaths and pictures that suggested Brandi's face was
pushed into the mattress of her crib. Dr. Norton also concluded that the cause
of death in Garrett's case was suffocation and that the manner of death was
homicide. Her opinion was based on the fact that petitioner was caring for
both children at the time they died, and that these occasions were the only
times petitioner had cared for either child during the night. She also considered
statements from Garrett's mother and the insurance policies taken out by petitioner.
Two of
the experts, Dr. Kokes and Dr. Norton, also relied on statistics, utilizing
the product rule, n2 as a basis for their opinion and in calculating the probability
that Garrett had not died of SIDS.
Dr. Kokes testified that "the death rate from Sudden Infant Death Syndrome
back in 1987 was somewhere between 1 to 2 deaths for every 1,000 live births."
n3 He also noted that Garret had cerebral swelling, a condition that effects
less than one percent of children who die from SIDS. Employing the
product rule, Dr. Kokes multiplied the probability of a child's dying of SIDS
and the probability of a SIDS death involving cerebral swelling. He concluded
that the "the mathematical possibility of having a SIDS death occurring
with cerebral swelling would be 1 in 100,000 live births." Dr. Kokes
then took into account the fact that Garrett was the second child in the family
to die of SIDS. He multiplied the probability of Garrett's dying from SIDS,
1 in 100,000, by the probability of Brandi's dying of SIDS, 1 in 1,000. He
concluded that the probability that Garrett died from SIDS was 1 in 100,000,000.
n2 We
discuss the product rule in Section II. In general terms, the product rule has
been defined as follows: that "the probability of the joint occurrence of
a number of mutually independent events is equal to the product of the
individual probabilities that each of the events will occur." People v.
Collins, 68 Cal. 2d 319, 438 P.2d 33, 36, 66 Cal. Rptr. 497 (Cal. 1968)
(emphasis in original).
n3 Dr.
Kokes testified that this figure was drawn from ARMED FORCES INSTITUTE OF
PATHOLOGY, HISTOPATHOLOGY ATLAS FOR SUDDEN INFANT DEATH SYNDROME (1993). He
also specified that he was testifying as to statistics on Caucasian children
(both Brandi and Garrett were Caucasian) and that the statistics were relevant
to the time period when Garrett died.
Dr. Norton
also testified as to the probability that Garrett died of SIDS. Dr. Norton
relied on different statistics that indicated that SIDS occurs in 1 infant
out of every 2,000 live births. n4 Dr. Norton employed
the product rule and concluded that
the probability of two SIDS deaths occurring in one family is 1 in 2,000 multiplied
by 1 in 2,000, or 1 in 4,000,000.
n4 Dr.
Norton testified as to the source of her statistics as follows:
"The
figure that I use ... is derived from the statistics that are coming out of
what I consider to be good medical examiner's offices, where the criteria -
where the minimum criteria are adhered to.
So
that I know that the child at least has been autopsied; that the child is not
of an inappropriate age, you know, 12 months, 15 months, something of that
nature; that toxicology of a reasonable nature has been done; that microscopic
examination has been done; and that we can be reasonably assured that at least
the death does fall within what is supposed to be the rules, as it were, before
you can call a death SIDS.
***So,
the information or the statistic that I use is one that is generally accepted
as that which is produced by a good medical examiner system."
Petitioner
moved in limine to exclude the expert testimony regarding the
probability that a single family would suffer two SIDS deaths as well as the
evidence that he was involved in Brandi's death. The trial judge denied both
motions.
During
rebuttal closing argument, the State's Attorney referred to the statistics that
the experts relied on in forming their opinion that Garrett's death was
criminal homicide, and argued the probability of petitioner's innocence. The
State's Attorney did not merely argue that there was a low probability that two
SIDS deaths would occur in one family; he argued that there was a low
probability that petitioner was innocent. He told the jury, "if you
multiply his numbers, instead of 1 in 4 million, you get 1 in 10 million that
the man sitting here is innocent. That was what a doctor, their expert, told
you." Defense counsel's motion for a mistrial was denied and, instead, the
court gave a curative instruction.
We turn
first to petitioner's argument that the trial court erred in admitting expert
testimony that relied on the product rule to calculate the probability that
petitioner's children died of SIDS. [HN1] It is the general rule that the
admissibility of expert testimony is within the sound discretion of
the trial judge and will not be disturbed on appeal unless clearly erroneous.
In this regard, the trial judge has wide latitude in determining whether expert
testimony is sufficiently reliable to be admissible. See In Re Adoption No. CCJI4746, 360 Md. 634,
759 A.2d 755 (2000). [HN2] Maryland Rule 5-702, addressing the admissibility
of expert testimony, provides that such testimony is admissible "if the
court determines that the testimony will assist the trier of fact to understand
the evidence or to determine a fact in issue." Testimony concerning an
unreliable scientific process, technique or unreliable opinion is of little
value to a jury.
In Reed
v. State, 283 Md. 374, 391 A.2d 364 (1978), this Court adopted the standard
set forth in Frye v. United States, 54 App. D.C. 46, 293 F. 1013 (D.C.
Cir. 1923), for determining the admissibility of scientific evidence and expert
testimony. See Reed,
283 Md. at 389, 391 A.2d at 372. Writing for the Court, Judge Eldridge noted
that prior to the admission of expert testimony based on the application of
new scientific techniques, it must
be first established that the particular scientific method is itself reliable.
Reed, 283 Md. at 380, 391 A.2d at 367. Where the validity and reliability
of a scientific technique is so broadly and generally accepted within the
scientific community, as is the case of ballistic tests, blood tests, and
the like, a trial court may take judicial notice of its reliability. Id.
Likewise, a court may take judicial notice that certain procedures, widely
recognized as bogus or experimental, are unreliable. Id.When the reliability
of a particular technique is not subject to judicial notice, however, "it is necessary that the reliability
be demonstrated before testimony based on the technique can be introduced
into evidence. Although this demonstration will normally include testimony
by witnesses, a court can and should also take notice of law journal articles,
articles from reliable sources that appear in scientific journals, and other
publications which bear on the degree of acceptance by recognized experts
that a particular process has achieved." Id. The Court concluded
that the proper test for establishing the reliability of scientific opinion is whether the basis of the opinion is generally
accepted as reliable within the expert's particular scientific field.
Reed, 283 Md. at 381, 391 A.2d at 368. n5
n5 Appellate
review of a trial court's decision regarding admissibility under Frye-Reed
is de novo, as both petitioner and the State concede. The contours
of appellate review were cogently discussed in Jones v. United States,
548 A.2d 35 (D.C. 1988), where the Court of Appeals of the District of Columbia
reviewed a number of cases, including this Court's decision in Reed. The
court found:
"General
acceptance means just that; the answer cannot vary from case to case. For this
reason, when the ... Frye test ... is at issue, it becomes the 'threshold
question' of admissibility, to be resolved as a matter of law before the court
exercises its discretion in applying all the criteria to a particular proffered
expert:
The
question of the reliability of a scientific technique or process is unlike the
question, for example, of the helpfulness of particular expert testimony to the
trier of facts in a specific case. The answer to the question about the
reliability of a scientific technique or process does not vary according to the
circumstances of each case. It is therefore inappropriate to view this
threshold question of reliability as a matter within each trial judge's
individual discretion.
Reed v. State, 283 Md. 374, 391 A.2d
364, 367 (1978). But more succinctly 'courts should not subsume the question of
qualifying the [scientific] process ... under the question of qualifying the expert.'
People v. Law, 40 Cal. App. 3d 69, 75, 114 Cal.Rptr. 708, 711 (1974). It
follows that, in evaluating whether a scientific technique has gained general
acceptance, appellate courts review the trial court's analysis de novo. See,
e.g., id.; Reed, 283 Md. 374, 391 A.2d at 377; Commonwealth
v. Lykus, 367 Mass. 191, 327 N.E.2d 671, 675 (1975); see also Addison, 162 U.S. App. D.C. 199, 202-03,
498 F.2d 741, 744-45; United States v. Brown, 557 F.2d 541, 557 (6th
Cir. 1977); see generally Giannelli, The Admissibility of Novel
Scientific Evidence: Frye v. United States, a Half-Century Later, 80 COLUM.
L. REV. 1197, 1222-23 (1980); Case Comment, Evidence: Admissibility of
Spectrographic Voice Identification, 56 MINN. L. REV. 1235, 1245
(1972)."
548 A.2d at 40. See also F. MURPHY,
MARYLAND EVIDENCE HANDBOOK § 1406, at
553 (3d ed. 1999) ("if the trial judge admits the [expert testimony], the
appellate court also may independently apply the Reed-Frye test).
The
question of whether Frye-Reed applies to the use of statistics arose in Armstead
v. State, 342 Md. 38, 673 A.2d 221 (1996). We held there that the Frye-Reed
test applies where the proper choice of statistical technique depends upon the
applicability of an underlying scientific phenomenon or principle. Id. at 80 n.33, 673 A.2d at 242 n.33.
We reasoned as follows:
"The
Frye-Reed test often will not apply to statistical calculations because
the choice between alternative statistical techniques, although subjective,
is often merely a choice between equally valid methods of describing the same
underlying scientific data. Statistics are inherently flexible, and thus there
are usually multiple correct statistics that can be used to describe the same
set of data. Statisticians routinely make choices in presenting data; for
example, they may choose to present either the mean, the median, or the mode to describe the "center"
of a data set. This type of format choice is not subject to Frye-Reed
analysis. There are, however, instances, as in this case,
where the proper choice of statistical techniques is dependent on an underlying
scientific phenomenon or principle.
For example, suppose that a new species of flower is discovered. When it is
discovered, a white-flowered variety and a red-flowered variety are observed.
It would be incorrect to calculate the probability of a new plant having white
flowers based on a normal distribution, because this would depend on whether
flower colors varied along a continuum from white to pink to red, or whether
there were only discrete possibilities for the flower color, i.e.,
white or red. See R. FREUND & W. WILSON, STATISTICAL METHODS 65-66,
70-76. Under this scenario, the correct choice of probability calculations
would depend on the underlying genetics of the plant."
Armstead,
342 Md. at 80 n.33, 673 A.2d at 242 n.33. Thus, before a scientific expert
opinion may be received in evidence, the basis of that opinion must be shown to
be generally accepted as reliable within the expert's particular scientific
field.
A brief
discussion of SIDS and the product rule is helpful in understanding how Frye-Reed
applies to the case before us. Approximately fifty years ago, the medical
community began a search to understand and prevent SIDS. See Committee
on Child Abuse and Neglect, Distinguishing
Sudden Infant Death Syndrome From Child Abuse Fatalities, 107 PEDIATRICS
437 (2001). Today, understanding of the etiology of SIDS still is incomplete.
SIDS remains a "diagnosis of exclusion," meaning that a "diagnosis
of SIDS reflects the clear admission by medical professionals that an infant's
death remains completely unexplained." See id.
Medical
studies consistently have identified the following risk factors for SIDS:
prone sleep position, sleeping on a soft surface, maternal smoking during
pregnancy, overheating, late or no prenatal care, young maternal age, prematurity
and/or low birth weight, and male sex. See Task
Force on Infant Positioning and SIDS, Changing Concepts of Sudden Infant
Death Syndrome: Implications for Infant Sleeping Environment and Sleep Position,
105 PEDIATRICS 650 (2000). African Americans and American Indians have consistently
higher rates, two to three times the national average. Id. Because
the cause of SIDS remains unknown, none of those risk factors are of help
in calculating the probability that a child will die of SIDS. Robert M. Reece,
Fatal Child Abuse and Sudden Infant Death Syndrome:
A Critical Diagnostic Decision,
91 PEDIATRICS 423 (1993).
Beyond
these commonly accepted risk factors, there is little agreement as to the
causes of SIDS. This is particularly true with regard to the role of genetics.
Some, including the State, argue that it is generally accepted that there is no
genetic defect or condition that can be tied to SIDS. See id. (noting
that "the issue of recurrent SIDS within a family raises the possibility
of genetically determined conditions. ... But when SIDS occurrences among
siblings of SIDS cases were compared with those among non-SIDS siblings in
maternal age - and birth rank matched - control families, there was no
statistically significant difference in SIDS rates .... Thus, the notion that
having a SIDS baby makes having another more likely was dispelled.").
In contrast,
a recent article in the Journal of the American Medical Association presents
a study suggesting that SIDS may result from a genetic condition. See
Michael J. Ackerman et al., Postmortem Molecular Analysis of SCN5A Defects
in Sudden Infant Death Syndrome, 286 JAMA 2264
(2001). n6 This study draws into question the assertion
that SIDS deaths within a single family
are independent or unrelated events. Similarly, in the March 2000 edition
of Pediatrics, the Task Force on Infant Positioning and SIDS, chaired
by John Kattwinkel, M.D., expressed uncertainty as to the risk of SIDS among
siblings. The report noted:
"Several
studies that have evaluated SIDS among siblings have found that having a
sibling who died of SIDS is a significant risk factor. However, others have
failed to find such a relationship or have shown that siblings of infants who
have died of SIDS are at risk for all causes of infant death, not just SIDS. In
addition, most of the studies reporting familial SIDS have the limitation of
having been conducted during a period when case and scene investigations were
not routine and assignment of the SIDS diagnosis may have been flawed. Thus,
the true risk is unknown."
John Kattwinkel, et al., Changing Concepts
of Sudden Infant Death Syndrome: Implications for Infant Sleeping Environment
and Sleep Position, 105 PEDIATRICS 650 (2000). In addition, the recent
discovery of a deficit in a serotonergic pathway in the brainstem has provided
promising insight into the mechanisms responsible for SIDS. Id. See
also, HC Kinney et al.,
Medullary Serotonergic Nework Deficiency in the Sudden Infant Death Syndrome,
60 J. NEUROPATHOL. EXP. NEUROL. 228 (2001); A. Panigraphy et al., Decreased
Serotonergic Recepter Binding in Rhombic Lipderived Regions of
the Medulla Oblongata in the Sudden Infant Death Syndrome, 59
J. NEUROPATHOL. EXP. NEUROL. 377 (2000).
n6 The
authors explained the context for their study as follows:
"Despite
numerous hypotheses for the causes of SIDS ... the pathophysiological
mechanisms responsible for SIDS remain poorly understood. ... Investigators
have postulated that ventricular arrhythmias and the congenital long QT
syndrome (LQTS) may be responsible for some cases of SIDS. Clinically, LQTS
affects approximately 1 in 5000 individuals .... Long QT syndrome presents with
syncope, seizures, or sudden death if the LQTS substrate degenerates into a
polymorphic ventricular tachyarrhythmia (torsade de pointes). Long QT
syndrome is a primary cardiac channelopathy with 6 identified chromosomal loci
and 5 cardiac ion channel genes implicated. Defects in the cardiac sodium
channel gene (SCN5A) account for approximately 5% to 10% of LQTS and
individuals with SCN5A mutations have an increased risk of cardiac events
during sleep."
Michael J. Ackerman
et al., Postmortem Molecular Analysis of SCN5A Defects in Sudden Infant
Death Syndrome, 286 JAMA 2264 (2001). The authors concluded:
"Approximately
2% of this prospective, population-based cohort of SIDS cases had an
identifiable SCN5A channel defect, suggesting that mutations in cardiaction
channels may provide a lethal arrhythmogenic substrate in some infants at risk
for SIDS."
Id.
With
this background in mind, we now turn to the product rule. [HN7] The product
rule "states that the probability of the joint occurrence of a number
of mutually independent events is equal to the product of the individual
probabilities that each of the events will occur." People v. Collins,
68 Cal. 2d 319, 438 P.2d 33, 36, 66 Cal. Rptr. 497 (Cal. 1968) (emphasis in
original). See also Armstead, 342 Md. at 69-70, 673 A.2d at 236
(noting that the product rule is a probability principle that establishes
that "the probability of two events occurring together is equal to the
probability that event one will occur multiplied by the probability that event
two will occur."). In Armstead, we explained that "the classic
illustration is coin tossing; the probability of finding heads on two successive
coin tosses is equal to the probability of heads
on the first toss, 50%, times the probability of heads on the second toss,
50%, equaling 25%." Id. at 70, 673 A.2d at 236. We noted that
the product rule may be applied only to events that are unrelated to one another,
or are independent. We explained:
"In
the coin toss example, this means that the
outcome of the first coin toss does not affect the outcome of the second coin
toss, which is a valid assumption. By comparison, assume we wish to calculate
the probability of having both a checking account and a loan from a particular
bank. This is an example of non-independent or linked events. We can not calculate
the probability of having both a loan and a checking account at the same bank
by multiplying together the individual probabilities under the product rule
because a person is more likely to obtain a loan from the bank where he maintains
a checking account. To illustrate nonindependence as it applies to human characteristics
(although not genetic characteristics), assume we wish to determine the probability
a man will have both a beard and a moustache. Also assume that the probability
of having a beard is 1/20, and the probability of having a moustache is 1/10.
It would be incorrect to infer that the probability of having both a beard
and a moustache, applying the product rule, is 1/200, because it is likely that these are non-independent
events; men who have beards are probably more likely than others to also have
moustaches."
Id.
at 70, 673 A.2d at 236 (citations omitted).
In the
case sub judice, petitioner contends that the product rule should not
have been used to calculate the likelihood that both of his children died of
SIDS because it is not generally accepted in the medical field that SIDS deaths
within a single family are independent. The State argues that the statistical
evidence introduced at trial was generally accepted and reliable, and further,
that because the risk factors for SIDS are independent, it was appropriate for
the experts to utilize the product rule and to multiply the probability of one
child dying of SIDS times the probability of a second child also dying of SIDS.
The State posits that it is accepted universally that SIDS is not caused by any
genetic defect, and that the testimony based on the product rule was therefore
permissible. The State relies heavily on the conclusion of the Court of Special
Appeals that SIDS deaths are independent events. The Court of Special Appeals
reasoned as follows:
"We
merely note that appellant's argument that SIDS deaths are interrelated is
not totally accurate. It is accurate to assert that the deaths labeled as
SIDS deaths may indeed have a connection. The inaccuracy arises once that connection is discovered, because
the deaths should no longer be identified as SIDS deaths. We must keep in
mind that SIDS is a diagnosis of exclusion that is subject to change if an
actual cause is uncovered. The scientific literature has shown that, from
what is currently known, SIDS risk factors are not interrelated but are independent.
This is particularly true of multiple SIDS deaths in one family, where the
likelihood of recurrence is less than one percent."
Wilson,
136 Md. App. at 70, 764 A.2d at 307 (citing Catherine L. Goldenberg, Comment: Sudden
Infant Death Syndrome as a Mask for Murder: Investigating and Prosecuting
Infanticide, 28 SW. U. L. REV. 599, 606 (1999).
The State
and the Court of Special Appeals cite articles that suggest that there is
no genetic component to SIDS. Both fail to acknowledge that most of the articles reflect that it is unknown whether there
is a genetic component to SIDS. n7 For example, the intermediate appellate
court cited the Task Force on Infant Positioning and SIDS, Changing Concepts
of Sudden Infant Death Syndrome: Implications for Infant Sleeping Environment
and Sleep Position,, 105 PEDIATRICS 650 (2000), for the proposition that
SIDS deaths are independent. Wilson,
136 Md. App. at 69, 764 A.2d at 306. The court omitted the author's discussion
of genetics as a risk factor:
"Several
studies that have evaluated SIDS among siblings have found that having a
sibling who died of SIDS is a significant risk factor. However, others have
failed to find such a relationship or have found that siblings of infants who
have died of SIDS are at risk for all causes of infant death, not just SIDS. In
addition, most of the studies reporting familial SIDS have the limitation of
having been conducted during a period when case and scene investigations were
not routine and assignment of the SIDS diagnosis may be been flawed. Thus,
the true risk is unknown."
Id. (emphasis added). The Court of Special Appeals also relied
on a student note for the proposition that multiple SIDS deaths in single
family are unrelated. Wilson,
136 Md. App. at 70, 764 A.2d at 304 (quoting Goldenberg, Comment: Sudden
Infant Death Syndrome as a Mask for Murder: Investigating and Prosecuting
Infanticide, 28 SW. U. L. REV. 599, 606 (1999)). n8
n7 A
strong argument that there is no genetic component to SIDS is found in the
article by Robert M. Reece, Fatal Child Abuse and Sudden Infant Death
Syndrome: A Critical Diagnostic Decision, 91 PEDIATRICS 423 (1993). The
author states:
"The
issue of recurrent SIDS within a family raises the possibility of genetically
determined conditions. It also provokes questions of a forensic nature. In a
14-year study of subsequent siblings of SIDS victims in Norway, and in a
Washington State study over 16 years, the SIDS sibling risk was seen to be
almost four times that of the SIDS risk among births at large. But when SIDS
occurrences among siblings of SIDS cases were compared with those among
non-SIDS siblings in maternal age- and birth rank-matched control families,
there was no statistically significant difference in SIDS rates or in total
infant mortality rates in families with a history of SIDS compared with
families with no SIDS. Thus, the notion that having a SIDS baby makes having
another more likely was dispelled. With the exclusion from the SIDS statistics
of some of the deaths now thought to be due to inborn errors of metabolism, the
chances for subsequent SIDS in families seems even less likely."
As demonstrated above,
few authors in this area exhibit such confidence that there is no genetic
component to SIDS.
n8 Both
the State's brief before this Court and the Court of Special Appeal's opinion
omit the designation "Comment" in the citation of this student note,
thereby failing to indicate that it is a student-written piece. See
THE BLUEBOOK: A UNIFORM SYSTEM OF CITATION R. 16.6.2(a), at 121 (Columbia
Law Review Ass'n et al. eds., 17th ed. 2000) (noting that signed and titled
notes, comments, projects, etc. are cited in the same manner as any other
signed article in a law review, except that the designation of the piece
should appear before the title of the work to indicate that it is student-written).
We hold
that the trial court erred in admitting expert testimony based on the product
rule because a condition necessary to the proper application of the product
rule was lacking: there was inadequate proof of the independence of Brandi
and Garrett's deaths. As evidenced by the authorities above cited, there is
not general agreement in the scientific community as to the relationship between
SIDS deaths within a single family. Stated another way, there is not general
agreement in the medical community that
multiple SIDS deaths in a single family are genetically unrelated. The literature
continues to reflect a lively debate concerning the role
of genetics in SIDS. Moreover, the recent study in the Journal of the American
Medical Association suggests that there may well be a genetic component to
SIDS. See Michael J. Ackerman et al., Postmortem Molecular Analysis
of SCN5A Defects in Sudden Infant Death Syndrome, 286 JAMA 2264 (2001).
If there is any consensus in the field, it is that more research into the
question is necessary before general acceptance is reached. One article, which
is reflective of thinking in the field, states:
"The
extent to which the risk of SIDS is increased in subsequent siblings of a
prior SIDS victim has been a subject of active debate. A ten-fold increase
in United States SIDS rates in subsequent siblings was initially reported,
and an 18% SIDS rate was reported among 27 infants with at least two
prior SIDS events in siblings. A report from Norway indicated a 3.7 times
greater SIDS incidence in subsequent siblings. A subsequent United States
study found a four-fold increase but attributed this to increased parity and
maternal age. Taking the average of
these and other studies, the increased risk of SIDS in subsequent siblings
is about five-fold; assuming a SIDS risk of 1.3/1000 live births in the United
States, then subsequent siblings have about a 0.65% risk of also dying of
SIDS. This relationship was further confirmed in an analysis of the SIDS rate
in prior siblings of SIDS victims; Beal et. al., reported a relative
risk of 6.8 for SIDS in prior siblings compared with controls, and a comparable
rate has been reported in twins. It is also important to note that the risk
for infant death from causes other than SIDS also increases about six-fold
in siblings of a prior SIDS victim, because many of the epidemiological risk
factors for SIDS and other causes of infant mortality are identical, it has
not been possible to determine whether increased infant mortality in subsequent
siblings of prior SIDS victims relates to biological and/or to epidemiological
risk factors. Regardless of cause, however, the important question is thus
not whether infant mortality increases in subsequent siblings of prior SIDS
victims, but what are the biological and/or epidemiological mechanisms?"
Carl E. Hunt, Sudden Infant Death Syndrome
and Subsequent Siblings, 95 PEDIATRICS 430 (1995). See also Committee
on Child Abuse and Neglect, Distinguishing Sudden Infant Death Syndrome
From Child Abuse Fatalities, 107 PEDIATRICS 437 (2001) (noting that "despite
extensive research, understanding of the etiology of SIDS remains incomplete").
In light
of the widespread disagreement as to the causes of SIDS, we are unable to
find general acceptance of the notion that there is no genetic component to
SIDS. Unanimity is not required for general acceptance, see State v. Copeland, 130 Wash. 2d 244, 922
P.2d 1304, 1319 (Wa. 1996), but it is clear to us that a genuine controversy
exists within the relevant scientific
community. In sum, there was inadequate proof of the statistical independence
of SIDS deaths within a single family. Therefore, based on the current state
of medical opinion, the product rule should not be employed in calculating
the likelihood of multiple SIDS deaths within a single family. See People v. Collins, 68 Cal. 2d 319, 438 P.2d
33, 39 n.14, 66 Cal. Rptr. 497 (Cal. 1968) (noting that "the multiplication
rule cannot be used without some degree of error where
the traits are not independent").
The State
argues that error, if there be any, was cured by the trial court's jury instruction
on the use of statistics. In this regard,
the court instructed the jury as follows:
"During
this trial, you have heard testimony regarding statistical probabilities.
Certain experts in rendering their opinions relied in part on the statistical
probabilities of a SIDS death occurring twice within the same family.
You
may consider this testimony only in evaluating the weight to be given to those
opinions. The weight of the evidence does not depend on the number of witnesses
on either side."
The instruction did not, in any way,
communicate to the jury that the experts' calculations may have been based on a
theory that is not commonly accepted in the relevant scientific community. The
instruction therefore failed to alleviate any of the dangers that arise when
jurors are left to assess scientific evidence that is not generally accepted.
As a
fall back position, the State argues harmless error. Two of the State's four
expert witnesses testified that the chances of two SIDS deaths in one family
were infinitesimal. Dr. Kokes testified that there was one chance in 100,000,000 that two babies of a single
family would die of SIDS, where one has brain edema. He characterized these
odds as "so low [as] to make it impossible." Dr. Kokes also testified
that absent these statistics, his characterization of Garrett's death would
have changed. Dr. Norton testified that the chance of SIDS occurring twice
in the same family is one in 4,000,000.
She also testified that the statistics contributed to her conclusion that
Garrett's death was a homicide.
In Reed,
we noted that "lay jurors tend to give considerable weight to 'scientific'
evidence when presented by 'experts' with impressive credentials." Reed,
283 Md. at 386, 391 A.2d at 370 (quoting People v. Kelly, 17 Cal. 3d 24, 549
P.2d 1240, 1245, 130 Cal. Rptr. 144 (Cal. 1976)). The case sub judice was
based entirely on circumstantial evidence. In light of the role the statistics,
and particularly the product rule, played in the expert's testimony, we are
unable "to declare a belief, beyond a reasonable doubt, that the error
in no way influenced the verdict." Dorsey v. State, 276 Md. 638,
659, 350 A.2d 665, 678 (1976). The error was not harmless.
Accordingly, we find that the trial committed reversible error in admitting
the statistical calculations based on the product rule. Inasmuch as the other
matters raised on appeal by petitioner may come up again at any new trial,
for the guidance of the trial court, we shall comment upon petitioner's remaining
contentions.
Petitioner
argues that the trial court took inadequate corrective action when the State's
Attorney, in closing argument, calculated the statistical probability of
petitioner's innocence. Prior to closing arguments, the court reviewed proposed
jury instructions with counsel. The State's Attorney desired a particular
instruction to guide the jury's consideration of the statistical evidence. n9
The following discussion ensued:
"STATE'S
ATTORNEY: I mean we shouldn't stand up ... and say there is a one-in-200-million
chance that this man is innocent. We shouldn't be able
to say that. What we should
be able to say is - and this limits it. ... 'Ladies and gentlemen, Dr. Kokes
thinks that the chances of SIDS happening the second time is one in 200 million.
And you - that is the only purpose for which we can argue and for which they
can consider. They can't and shouldn't
be able to perhaps -
COURT:
And you are afraid they are going to misuse that evidence.
STATE'S
ATTORNEY: They might. And if this instruction is given - and the jurors are
presumed to follow the Court's instructions - then there could be no prejudice
inured from the use of statistics at all during the course of this trial,
because the only purpose for the statistics to be introduced was to assist -
was because the medical experts relied on those statistics."
n9 The
court instructed the jury as follows:
"During
this trial, you have heard testimony regarding statistical probabilities.
Certain experts in rendering their opinions relied in part on the statistical
probabilities of a SIDS death occurring twice within the same family. You may
consider this testimony only in evaluating the weight to be given to those
opinions."
Despite
his knowledge that he was prohibited from using the statistics to calculate
the probability of petitioner's innocence, the State's Attorney argued, in
closing, as follows:
"But
what he also told you in terms of the statistics we have talked about, the
doctors, relying on the statistics of SIDS, he told you that in his numbers
that it was 3 in 1,000 certain SIDS deaths.
The
second time, the death could be attributed to SIDS. There is 3 in 1,000 live
births that would be a SIDS. Well, let us use his numbers and be conservative.
Assuming
it is 3 in 1,000 for the first. He also told you that less than 1 percent of
SIDS deaths had the brain swelling, the edema.
If
you multiply his numbers, instead of 1 in 4 million, you get 1 in 10 million
that the man sitting here is innocent.
That was what a doctor, their expert, told you."
Petitioner
moved for a mistrial on the grounds that the State improperly used the statistical
evidence to calculate the probability that petitioner was innocent. The court
denied the motion, and petitioner requested a curative instruction. Defense
counsel stated: "I would ask you to ... tell [the jury] that you can
disregard it. You can never ever, ever, use
statistics and compare that to the burden of proof or reasonable doubt.
They have no place in this case, and that is what I am asking." The court
declined to instruct the jury as requested
by defense counsel and, instead, essentially reiterated the earlier instruction.
The
State's Attorney's comment constituted error. n10 The statistics stated by the
experts in this case were admitted as evidence to satisfy the State's burden
that Garrett's death was a homicide, not that petitioner was the person
who committed the homicide. The State's Attorney, however, improperly used the statistics
to argue that there was only a minuscule possibility that the defendant was
innocent. The State's Attorney was well aware that the statistical evidence
could not be used to calculate the probability of petitioner's innocence. The
colloquy at the bench makes this crystal clear. His argument was improper.
n10
The Court of Special Appeals found the State's Attorney's argument
"perplexing and disturbing," Wilson, 136 Md. App. at 73, 764
A.2d at 309, but held that the improper remark was not so egregious as to have
undermined the presumption that appellant was innocent. Id. at 78, 764
A.2d at 311.
The courts
that have considered this issue have concluded that it is impermissible to
assign a number to the probability of guilt or innocence. See e.g., People
v. Collins, 68 Cal. 2d 319, 438 P.2d 33, 40, 66 Cal. Rptr. 497 (1968).
In Collins, the Supreme Court of California stated:
"Confronted
with an equation which purports to yield a numerical index of probable guilt,
few juries could resist the temptation to accord disproportionate weight to
that index; only an exceptional juror, and indeed only a defense attorney
schooled in mathematics, could successfully keep in mind the fact that the
probability commuted by the prosecution can represent, at best, the
likelihood that a random couple would share the characteristics testified
to by the People's witnesses-- not necessarily the characteristics of the
actually guilty couple."
Id. See also United States v. Massey, 594 F.2d
676, 681 (1979) (finding that "by using such mathematical odds the prosecutor
'confused the probability of concurrence of the identifying marks with the
probability of mistaken identification"); CHARLES MCCORMICK, McCormick
ON EVIDENCE 810 (John W. Strong ed.,, 5th ed. 1999); Annotation, Admissibility,
in Criminal Case, of Statistical or Mathematical Evidence Offered for Purpose
of Showing Probabilities, 36 A.L.R.3d 1194 (1971). Other courts have addressed
the impact of probability statistics upon the jury. In State v. Harbold,
124 Ill. App. 3d 363, 464 N.E.2d 734, 79 Ill. Dec. 830 (Ill. App. Ct. 1984),
the court stated:
"'Testimony
expressing opinions or conclusions in terms of statistical probabilities can
make the uncertain seem all but proven, and suggest, by quantification, satisfaction
of the requirement that guilt be established 'beyond a reasonable doubt.'
We believe that testimony to statistical probabilities encouraged the jury
to disregard evidential risks traditionally weighed in determining guilt or
innocence, and focused unfairly upon a numerical conclusion. As such, we find
that the testimony violated one of the primary requirements of expert opinion,
that the opinion be an aid to the jury. In light of the closeness of this
circumstantial case, we cannot say that this improper testimony, which gave
a false impression of precision in the measurement of guilt, did not affect
the jury's deliberations. "
464 N.E.2d at 749 (quoting State v. Carlson,
267 N.W.2d 170, 176 (Minn. 1978)) (citations omitted).
In general,
counsel are permitted wide latitude in closing arguments. Counsel may comment
on matters in evidence and any reasonable inferences to be drawn therefrom.
Arguments that diminish the presumption of innocence, however, are not permitted.
It is self-evident that an attorney may not argue inferences that are improper
or are not warranted by the evidence. n11
n11 ABA
STANDARDS FOR CRIMINAL JUSTICE: PROSECUTION FUNCTION AND DEFENSE FUNCTION
§ 3-5.8 (3d ed. 1993) provides, in relevant part:
"(a) In closing argument to the jury, the prosecutor may argue all reasonable
inferences from evidence in the record. The prosecutor should not intentionally
misstate the evidence or mislead the jury as to the inference it may draw."
Moreover,
the trial judge's supplemental instruction did not cure the prejudice caused
by the State's Attorney's remark. The instructions directed the jurors to
use the statistical evidence only to evaluate the expert's testimony, but,
given the powerful nature of statistics, did nothing to cure the prosecutor's
invitation to misuse the evidence to conclude that there was a 1 in 10,000,000
chance that petitioner was innocent. The trial court's instructions did not
cure the prejudice the State's comment engendered.
We now
address petitioner's argument that the trial court abused its discretion in
prohibiting the defense pathologist from
testifying as to retail practices in the life insurance industry. The trial
judge sustained the State's objection that Dr. Jones, the defense pathologist,
was not qualified to testify as to statistics concerning the number of people
who purchase life insurance on their children. n12
n12
Petitioner's defense counsel proffered at the bench that Dr. Jones knew of a
study from a company in Connecticut which apparently found that 22 or 23% of
parents purchased infant life insurance.
Under
Maryland Rule 5-702, the trial judge:
"shall
determine (1) whether the witness is
qualified as an expert by knowledge, skill, experience or training or education,
(2) the appropriateness of the expert testimony on the particular subject,
and (3) whether a sufficient factual basis exists to support the expert testimony."
Trial judges have "wide latitude in
deciding whether to qualify a witness as an expert or to admit or exclude
particular expert testimony." Massie v. State, 349 Md. 834, 850-51,
709 A.2d 1316, 1324 (1998). The record supports the trial judge's ruling that
Dr. Jones was not qualified as an expert in the insurance industry and was
not competent to express an opinion as to what percentage of the population
buys life insurance on infants. The trial judge did not abuse her discretion
in excluding the testimony.
We turn
next to petitioner's contention that the trial court erred in admitting evidence
of the alleged murder of his infant daughter, Brandi, six years before the
alleged murder in this case. The State sought a pre-trial ruling regarding
the admissibility of evidence related to Brandi's death. The court considered
certain exhibits introduced by the State, facts agreed to by both parties
as uncontested and the arguments of counsel. In a memorandum opinion and order,
the trial court ruled that the evidence was admissible.
Before
this Court, petitioner argues that the evidence of Brandi's death was
inadmissible other crimes or bad act evidence under Md. Rule 5-404(b) because
it lacked special relevance, there was not clear and convincing evidence of his
involvement in Brandi's death, and the probative value of the evidence was
outweighed by unfair prejudice. The State argues that the evidence was
admissible on several bases - for identity, motive, absence of accident and
intent. The State maintains that petitioner's involvement in Brandi's death was
established by clear and convincing evidence, and that the probative nature of
the evidence outweighed the prejudice.
We shall
not address this issue because in light of our ruling as to the expert's reliance
on the product rule, it is unclear what the substance of the testimony will
be in any future proceeding. The expert testimony on the cause and manner
of Brandi's death will bear on the determination of whether her death is viewed
properly as a prior bad act and, consequently, whether the admissibility of
evidence surrounding her death is subject
to Maryland Rule 5-404(b). The expert testimony will also affect if, and how,
the evidence of Brandi's death may be used to prove the corpus delicti.
n13
n13
The evidence relating to Brandi's death was admitted to establish the corpus
delicti of the crime, as well as to establish petitioner as the criminal
agent. Before this Court, neither party presented any argument on the question
of whether "other crimes evidence" and the like is admissible to
prove the corpus delicti. For discussion of the issue, see, e.g., United States v. Woods, 484 F.2d 127 (4th
Cir. 1973); EDWARD J. IMWINKELRIED, UNCHARGED MISCONDUCT EVIDENCE § 6:04 (1995).
For
all the reasons stated herein, the judgment of conviction is reversed.
JUDGMENT OF THE COURT OF SPECIAL APPEALS
REVERSED. CASE REMANDED TO THAT COURT WITH DIRECTIONS
TO REVERSE THE JUDGMENT OF THE CIRCUIT COURT FOR MONTGOMERY COUNTY AND REMAND
THE CASE TO THE CIRCUIT COURT FOR A NEW TRIAL. COSTS IN THIS COURT AND THE
COURT OF SPECIAL APPEALS TO BE PAID BY RESPONDENT.
Concurring Opinion by Harrell, J.
I join
in the judgment based solely on the discussion in Part III of the opinion
regarding the prosecutor's prejudicial error in commenting on the statistical
probability of innocence.