2008 WI App 175
court of appeals of
published opinion
Case No.: |
2007AP1785-CR |
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Complete Title of Case: |
†Petition For Review Filed |
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State of
Plaintiff-Respondent, v. Craig A. Swope,
Defendant-Appellant.† |
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Opinion Filed: |
November 19, 2008 |
Submitted on Briefs: |
August 13, 2008 |
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JUDGES: |
Brown, C.J., |
Concurred: |
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Dissented: |
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Appellant |
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ATTORNEYS: |
On behalf of the defendant-appellant, the cause was
submitted on the briefs of Dianne M. Erickson of Wasielewski and Erickson, |
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Respondent |
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ATTORNEYS: |
On behalf of the plaintiff-respondent, the cause was submitted on the brief of William L. Ganser, assistant attorney general, and J.B. Van Hollen, attorney general. |
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2008 WI App 175
COURT OF APPEALS DECISION DATED AND FILED November 19, 2008 David
R. Schanker Clerk of Court of Appeals |
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NOTICE |
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This opinion is subject to further editing. If published, the official version will appear in the bound volume of the Official Reports. A party may file with the Supreme Court a petition to review an adverse decision by the Court of Appeals. See Wis. Stat. § 808.10 and Rule 809.62. |
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Appeal No. |
2007AP1785-CR |
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STATE OF |
IN COURT OF APPEALS |
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State of
Plaintiff-Respondent, v. Craig A. Swope,
Defendant-Appellant. |
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APPEAL
from a judgment of the circuit court for
Before
Brown, C.J.,
¶1
Facts
¶2 Duane and Carolee Recob had not been seen by their
grandchildren since the last weekend of 2003.
Becoming concerned about the grandparents, the grandchildren went to the
Recob home on February 29, 2004, and asked town of
¶3 After extensive investigation, the Recobs’ son, Craig Swope, was charged with two counts of first-degree intentional homicide in violation of Wis. Stat. § 940.01(1)(a) (2001-02).[1] At the preliminary examination, the medical examiner testified that the condition of the bodies made it impossible to determine a specific cause for the simultaneous death of the Recobs. The medical examiner’s opinion was that the deaths were homicides caused by some form of asphyxial type injury “or some other type of injury not detected at the time of the autopsy.” Defense counsel asked if there was another cause of death. The medical examiner replied that it was possible for the Recobs to have had simultaneous cardiac arrhythmia. However, he believed the chance of such an event to be so extremely rare that it was not a consideration.
¶4 In the course of the investigation, the authorities contacted
Supervisory Special Agent Mark Safarik of the Federal Bureau of Investigation,
Behavioral Analysis Unit (BAU) in
¶5 Swope renewed his motion on the fourth day of trial. Specifically, he moved to exclude any testimony from Safarik about his conversations with third parties regarding the probability of simultaneous death because Swope would not have the chance to cross-examine the third parties. Swope’s counsel contended that he did not have access to the data the third parties relied upon. While acknowledging that an expert can rely upon information from others,[2] he argued that the rule is only applicable to what is common knowledge within a specialty and does not apply when the information is in private databases, inaccessible to the public. The court denied the motion, ruling that Swope can expose the basis of Safarik’s opinion during cross-examination.
¶6 Safarik testified that he had a bachelor’s degree in human
physiology, a master’s degree in criminal justice, has been an agent for
twenty-two years, and for eleven and one-half years has been assigned to the
BAU within the FBI’s critical incident response group; specifically, the unit
that investigates homicides. He told the
jury that he had analyzed more than 1000 crime scenes, including at least
thirty crime scenes where there was an equivocal death—an undetermined cause of death. Some of the cases he has worked on were
referred by international law enforcement agencies. During the course of his career, he has
published articles in peer-reviewed journals and international criminology
journals. As a member of the BAU, he has
lectured on a variety of subjects to over 15,000 professionals.
¶7 Safarik said that one of his current duties is “the critical review of violent crime scenes” from both the “behavioral and forensic perspective, integrating the two.” He explained:
Well, the crime scene analysis that we do really is a multi disciplinary approach to looking at violent crime, that, you know, violent crimes can be very complex. They can be simple. They can be very complex. Typically the types of cases that we are sent in our unit because we’re a very small unit and specialized tend to be very violent types of cases, very unusual, very bizarre, high profile cases, and what we do is we look at the behavior at the crime scene, so ultimately almost everything you do involves a crime scene analysis, and it is a multi disciplinary approach, and I mean by that is I’m considering the forensic pathology, wound pathology, forensic blood stain analysis, any reports prepared by other experts, toxicology reports.
The autopsy report is prepared by a medical expert, and
then I integrate that with what I see in terms of the behavior, the crime scene
so that the totality of the circumstances that are occurring at the crime scene
are integrated together, so I’m looking at all of the attributes or all of the
components of what is happening with the crime scene.[3]
¶8 Safarik said that he conducted a death analysis, not a crime scene analysis, at the request of the investigating officers and prepared a written report. He did not visit the Recobs’ home, but reviewed photographs of the death scene and extensive investigative materials including the autopsy and toxicology protocols for both Recobs. In order to offer an opinion about the manner and cause of death he considered: the location of the death scene; the crime demographics of the geographic area; the ability to access the scene and the victims; the level of risk of violent crime to which the victims were exposed; the degree of control exercised over the victims and their movement within the scene; victimology information on Duane and Carolee; the absence of any identifiable injury and the relationship to manner of death; the sites within the scene where both victims were located and their positions; and the presence or absence of other activity at the scene.
¶9 Safarik gave detailed testimony about all nine factors. He also related discussions he had with two sources outside of the FBI. First, he discussed simultaneous natural death with Nicholas Christakis, M.D., Ph.D., of Harvard. Dr. Christakis had studied 1,040,000 elderly couples who had died over a period of nine years. Safarik said Dr. Christakis was of the opinion that “having two people die of natural death within a couple hours is such a statistically small number as to be almost impossible.”
¶10 Safarik also consulted with Richard Anderson, Chief of
Mortality Statistics for the Center for Disease Control.
¶11 After laying this foundation, the State asked the critical question:
STATE: So your conclusion then based on looking at all of these factors, looking at possibilities of equivocal death, what is your conclusion to a reasonable degree of scientific certainty regarding the deaths of Carolee and Duane Recob?
DEFENSE ATTORNEY: I’m going to object to that. Is he asking of this man’s opinion? What this man has done is he expressed opinions of two people he talked to. He has testified he is not a statistician. Is he asking for a reasonable degree of scientific certainty? He is not qualified to give that opinion. I think he has given his opinion that this is a remote possibility and that is about as good as he gets.
THE COURT: I think he is talking about the five categories of death, right?
STATE: Correct.
THE COURT: And do you have such an opinion as to that in this case?
SAFARIK: I do. But I would not say it is … scientific.
STATE: Reasonable degree of certainty in your profession?
SAFARIK: Of my
expertise and having looked at the scene, it is my opinion considering
everything together that the deaths of Carolee and Duane are most consistent
and supported by this being a smothering, an asphyxiant or smothering homicide.
¶12 The medical examiner testified after Safarik and stated that he
could not identify a specific cause of death.
He told the jury that he considered both deaths to be homicides. He offered his “opinion within a reasonable
[degree of] medical certainty that they died from asphyxia caused by another
person.” On cross-examination, he
rejected the theory that the Recobs died from simultaneous cardiac arrhythmia,
“[i]t would be extremely rare to have two people die at the same time.”
¶13 Swope was convicted of both counts of intentional first-degree homicide. The trial court sentenced Swope to concurrent life sentences, concurrent to sentences already being served. Further, the court found that he was ineligible for release to extended supervision. Swope appeals.
¶14 On appeal, he renews both objections to Safarik’s testimony. First, he asserts that Safarik assumed the jury’s role by evaluating the evidence and, thus, his testimony was improperly admitted. Second, he contends that the court erred in permitting Safarik to convey the hearsay opinions of the two experts he consulted.
Admission
of Expert Opinion
¶15 We first consider Swope’s challenge to the admission of the agent’s expert testimony. Wisconsin Stat. § 907.02 allows expert testimony to be admissible if it helps the trier of fact to understand the evidence or to determine a fact in issue:
If scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education, may testify thereto in the form of an opinion or otherwise.
¶16 Determining whether expert testimony assists the fact finder is
a discretionary decision of the circuit court.
¶17 Swope challenges Safarik’s testimony contending that it is supported by “little, if any, science”—he calls it “junk science.” Swope argues that because Safarik’s analysis and opinion were based on the same evidence presented to the jury, that his testimony was not expert testimony; that he was nothing more than a “super juror,” usurping the role of the jury.
¶18
¶19 One scholarly observer of the
The
relevancy test offers a substantively distinct alternative to the federal
reliability rule that is built upon a vastly different set of assumptions,
namely, a commitment to and confidence in the modern adversary trial. In contrast, the federal approach evinces a
distinct distrust of the adversary trial and lay fact finding, despite protests
to the contrary, and is more attuned to summary judgment adjudication than
trial. Under the relevancy test, the
strengths and weaknesses of an expert’s testimony are, one assumes,
sufficiently exposed through cross-examination and impeachment before a trier
of fact capable of sorting through the issues; it is unnecessary for trial
judges to first screen the testimony for reliability, especially as judges may
be no better equipped for the task than the lay jury. Thus, the relevancy test strives to assure
fair adversary trials, not arbitrate scientific disputes. This said, federal developments have,
however, affected
Daniel D. Blinka, Expert Testimony and the Relevancy Rule in the Age of Daubert, 90 Marq. L. Rev. 173, 175-76 (2006).
¶20 Relevancy. Wisconsin Stat. § 904.01 defines “relevancy”:
“Relevant evidence” means evidence having any tendency to make the existence of any fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence.
There are two features of
relevancy. First, the evidence must
relate “to a fact or proposition that is of consequence to the determination of
the action.” State v. Sullivan, 216
¶21 A central issue in this case was the cause of the Recobs’ deaths. Specifically, whether the simultaneous deaths of the Recobs were the result of natural causes, an accident, or of a crime. Safarik’s proffered testimony was directly on point; the investigating authorities sought out his expertise in analyzing death scenes or crime scenes. Because of the decomposition of the bodies, his help in determining a cause of death was critical to the success of the investigation. His conclusion, that the deaths were homicides and that it was improbable that they were brought about by simultaneous natural causes, establishes a consequential fact.
¶22 Swope appears to argue that the death scene analysis is not
relevant because it has very little science behind it; he goes so far as to
label it “junk science.” However, “scientific
evidence is admissible under the relevancy test regardless of the scientific
principle that underlies the evidence.” Peters,
192
¶23 Qualifications.
¶24 Put another way, “whether a witness ‘is qualified to give an
opinion depends upon whether he or she has superior knowledge in the area in which
the precise question lies.’” State
v. St. George, 2002 WI 50, ¶40, 252
¶25 The general field of crime scene analysis has been recognized
as being a body of specialized knowledge.
United State v. Meeks, 35 M.J. 64 (C.M.A. 1992). In Meeks, the defendant was on trial
for a grisly double homicide and, at his court martial, he objected to evidence
of an FBI crime analysis.
Crime-scene analysis, i.e., the gathering and analysis of physical evidence, is generally recognized as a body of specialized knowledge. Moreover, such evidence has been admitted in several state courts. Finally, admission of such evidence is consistent with the practice in Federal civilian courts of admitting evidence from qualified police officers concerning the techniques and methods employed in criminal acts.
Meeks, 35 M.J. at 68 (citations omitted).
¶26 Through education and experience, Safarik had the necessary knowledge to provide helpful answers the jury could use in answering the central question, whether the Recobs died simultaneously from natural causes or as the result of homicide. His education includes a bachelor’s degree in human physiology and a master’s degree in criminal justice. He has extensive experience including twenty-two years as an FBI agent, and for eleven and one-half years he has been assigned to the BAU of the FBI’s critical incident response group. He has analyzed more than 1000 crime scenes, including at least thirty crime scenes where there was an equivocal death—an undetermined cause of death. Some of the cases he has worked on were referred to the FBI by international law enforcement agencies. During the course of his career, he has published articles in peer-reviewed journals and international criminology journals. As a member of the BAU, he has lectured on a variety of subjects to over 15,000 professionals.[5]
¶27 Assistance.
A suggested “test” for deciding “when experts may be used” is “whether the untrained layman would be qualified to determine intelligently and to the best possible degree the particular issue without enlightenment from those having a specialized understanding of the subject….” In sum, the proper standard is helpfulness, not absolute necessity.
Meeks 35 M.J. at 68
(citations omitted). In
¶28 The jury was required to resolve a double homicide with no witnesses. The bodies were found in a decomposed and mummified state, raising questions as to the manner or cause of death. The jurors, faced with such a repellent job, would be assisted by a specialized analysis of the crime scene in light of other equivocal deaths and homicide cases. “A homicide and its crime scene, after all, are not matters likely to be within the knowledge of an average” juror. Meeks, 35 M.J. at 68-69.
¶29 One example of Safarik’s specialized analysis is his conclusion that there was “staging” at the death scene that was consistent with homicide. He explained:
Staging is a very interesting activity that occurs at a crime scene. It really is. It is an intentional and purposeful manipulation of the forensic and behavioral evidence at a crime scene by the offender.
And the purpose really is to create a new crime scene and a new motive, and the reason that it is done is because in a homicide, the offender perceives that if they simply—they have killed these people, if they simply did not do anything else to the scene, that is they simply just leave, that law enforcement when they look at the scene and … at the death investigation, that it’s their perception, not always accurate, but it’s their perception that law enforcement focus on them as a potential suspect.
After describing the “staging” he saw in photographs from the death scene, Safarik made clear why such evidence was significant:
That’s the important aspect about recognizing staging is that it tells law enforcement that on some level there is a relationship between the offender and the victim or the offender and the location or both, and the offender needs to change that perception.
It is beyond the everyday knowledge of an average juror to recognize evidence of “staging” or to understand the implication of such evidence. And, it is certainly beyond the ability of the average juror to correlate all nine factors Safarik considered in reaching his expert opinion.[6]
¶30 Swope relies on State v. Dalton, 98
¶31
Confrontation
Issue
¶32 Swope contends that the trial court erred in permitting Safarik to refer to hearsay opinions of Christakis of Harvard and Anderson of the CDC on the odds of both members of a couple dying simultaneously from natural causes. He asserts that any mention of the underlying statistical studies should have been excluded as inadmissible hearsay and because he did not have the chance to cross-examine either person.
¶33 “Whether the admission of hearsay violates a defendant’s
constitutional right of confrontation … is an issue subject to de novo
review.” State v. Bintz, 2002 WI
App 204, ¶6, 257
¶34 An expert’s reliance upon the hearsay statements of others is approved in Wis. Stat. § 907.03:
The facts or data in the particular case upon which an expert bases an opinion or inference may be those perceived by or made known to the expert at or before the hearing. If of a type reasonably relied upon by experts in the particular field in forming opinions or inferences upon the subject, the facts or data need not be admissible in evidence.
¶35 In State v. Watson, 227
[
State v. Weber, 174
¶36 Safarik was asked to analyze all of the evidence from the Recob home to determine if their simultaneous death was naturally or criminally caused—the medical examiner had ruled out accident or suicide. Naturally, he would seek out information on simultaneous death by natural causes to test his hypothesis that the deaths were the result of a crime. The statistics relied upon by Christakis of Harvard and Anderson of the CDC were not admitted into evidence; rather, they served to illustrate the basis for the opinion they shared that it was statistically impossible for a couple to suffer simultaneous death from natural causes—an opinion Safarik took into consideration when reaching his conclusion that death was by a criminal act. See Nachtsheim v. Beech Aircraft Corp., 847 F.2d 1261, 1270-71 (7th Cir. 1988) (The trial court may, in its discretion, allow an expert to testify to otherwise inadmissible facts for the limited purpose of serving as a basis of the expert’s opinion.). The trial court did not err in permitting Safarik to rely upon the opinions of Christakis and Anderson.
¶37 While Swope asserts that he could not confront these opinions,
he does not invoke Crawford. We will
discuss it to tie up loose ends. In Crawford,
the Supreme Court ruled that the testimonial statement of a person absent from
trial may only be admitted if the person is unavailable and the defendant has
had a prior opportunity to cross-examine the declarant about the statement. Crawford, 541
Conclusion
¶38 The court did not err in admitting the expert evidence of Safarik. Safarik’s death scene analysis went to a central issue in this case, the cause of the Recobs’ simultaneous deaths. Safarik was qualified through his education and experience to answer questions for the jury in a field—unexplained simultaneous deaths—that is beyond the ken of the average juror. Finally, Swope’s confrontation rights were not violated when the court permitted Safarik to testify concerning his consultations with third parties. Therefore, we affirm.
By the Court.—Judgment affirmed.
[1] Pursuant to a plea agreement in Walworth county case No. 2004CF221, Swope pled guilty to the twenty counts of forgery for writing checks on the Recobs’ checking account and other charges against him were dismissed and read in. He was sentenced to twenty years of initial confinement and twenty-one years of extended supervision on the first seven counts of forgery. The court withheld sentence and placed Swope on probation for ten years on the remaining counts. Swope appealed, and we rejected his challenge to his sentences. State v. Craig A. Swope, No. 2006AP408-CR, unpublished slip op. ¶2 (WI App Sept. 12, 2007).
All references to the Wisconsin Statutes are to the 2001-02 version unless otherwise noted.
[2]
The facts or data in the particular case upon which an expert bases an opinion or inference may be those perceived by or made known to the expert at or before the hearing. If of a type reasonably relied upon by experts in the particular field in forming opinions or inferences upon the subject, the facts or data need not be admissible in evidence.
[3]
Safarik was asked to compare his work for the FBI with television shows such as
Yes, it’s television and it’s—it is a problem for
law enforcement I think because there is an expectation by people who watch
those shows, things like Criminal Mind.
The FBI profile does not have a
What they do in television just many times is simply not feasible in the real world and it—it really takes at least from my perspective and looking and working with other law enforcement and medical professionals a critical detailed review of these types of crimes or these types of death scenes to figure out what is going on, and its very tedious, and it is not very glamorous, but that really would not work in a television show, so I think although it is entertaining, it is simply not reality.
For a discussion of what the main stream media has dubbed the “CSI effect” see Tom R. Tyler, Viewing CSI and the Threshold of Guilt: Managing Truth and Justice in Reality and Fiction, 115 Yale L.J. 1050 (2006).
[4] Professor Blinka warns against the trial judge making a specific finding that the witness is qualified in a “field such as engineering, medicine, or economics.” He writes that such a pronouncement is not required by the rules of evidence or case law and is of little use. Daniel D. Blinka, Expert Testimony and the Relevancy Rule in the Age of Daubert, 90 Marq. L. Rev. 173, 211 (2006).
[5] Challenges
to Safarik’s expert testimony have been rejected in other jurisdictions. State v. Yates, 168 P.3d 359, 386-87
(
[6] In
his reply brief, Swope ruminates, “it is time to examine the limits of