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Vol. 19, 2005
Forensic Evaluations
277
Protecting Children From
Incompetent Forensic Evaluations and
Expert Testimony
Mary Johanna McCurley*
Kathryn J. Murphy**
Jonathan W. Gould***
I. Introduction
Mental health professionals are frequently appointed by
courts to become involved in custody cases in the role of child
custody evaluator. This role requires that the mental health pro-
fessional assess the fit between a minor child’s emerging develop-
mental and socioemotional needs and the parents’ comparative
ability to meet those needs. Following that assessment, the
mental health professional is expected to tender recommenda-
tions to the court regarding the extent to which various parenting
plans will further the child’s best psychological interests.
A. Influence of the Evaluator
The recommendations contained in child custody evalua-
tions (“CCEs”) exert considerable influence on the course of
ongoing custody litigation. Many courts accord significant weight
to the opinions of child custody evaluators, often accepting the
evaluator’s recommendations without challenge.1 An evaluator’s
recommendations can also precipitate case settlement or material
concessions once both parties become aware of the evaluator’s
findings. Given the import of CCEs, it is imperative that these
* Partner, McCurley, Orsinger, McCurley, Nelson & Downing, L.L.P.,
Dallas, Texas.
** Partner, Koons, Fuller, Vanden Eykel, and Robertson, P.C., Dallas,
Texas.
*** Forensic and Clinical Psychologist, Private Practice, St. Paul,
Minnesota.
1
THE
SCIENTIFIC
BASIS
OF
CHILD
CUSTODY
DECISIONS
(Robert
Galatzer-Levy & Louis Kraus, eds., 1999); James N. Bow & Francella A. Quin-
nell, A Critical Review of Child Custody Evaluation Reports, 40 FAM. CT. REV.
164 (2002).
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evaluations should be conducted with due regard for scientific
methods, extant behavioral science research, ethical standards
and professional practice guidelines. This responsibility is further
heightened by the need to protect the well-being of children of
divorcing parents2 and to avoid inadvertently harming families at
a time of enormous stress and conflict.3
B. Criticism of Evaluations Falling Below APA Standards
Unfortunately, CCEs frequently fall below recommended
practice methods promulgated by the American Psychological
Association (“APA”). Commentators have criticized the quality,
reliability, and utility of CCEs by noting the lack of scientific
methodology, empirical grounding, and psycholegal relevance
common among these reports.4
This article discusses the requirement that expert testimony
regarding parenting competency and comparative custodial suita-
bility must meet legal standards of admissibility. It builds on a
prior article coauthored by Dr. Jonathan Gould.5
2
ROBERT H. WOODY, CHILD CUSTODY: PRACTICE STANDARDS, ETHI-
CAL ISSUES, AND LEGAL SAFEGUARDS FOR MENTAL HEALTH PROFESSIONALS
(2000).
3
Marc J. Ackerman & Melissa C. Ackerman, Child Custody Evaluation
Practices: A 1996 Survey of Psychologists, 30 FAM. L.Q. 565 (1996).
4
THE SCIENTIFIC BASIS OF CHILD CUSTODY DECISIONS, supra note 1;
GARY B. MELTON, JOHN PETRILA, NORMAN G. POYTHRESS, & CHRISTOPHER
SLOBOGIN, PSYCHOLOGICAL EVALUATIONS FOR THE COURTS: A HANDBOOK
FOR MENTAL HEALTH PROFESSIONALS AND LAWYERS (2nd ed. 1997); Daniel
A. Krauss & Bruce D. Sales, Legal Standards, Expertise, and Experts in the
Resolution of Contested Child Custody Cases, 6 PSYCHOL., PUB. POL’Y & L. 843
(2000); Timothy M. Tippins & Jeffrey P. Wittman, Empirical and Ethical
Problems with Custody Recommendations: A Call for Clinical Humility and Ju-
dicial Vigilance, 43 FAM CT. REV. 193 (April 2005); Ira D. Turkat, Questioning
the Mental Health Expert’s Custody Report, 7 AM. J. FAM. L. 175 (1993).
5
The authors wish to thank Dana Royce Baerger, Robert Galatzer-
Levy, and Sandra G. Nye for allowing us to liberally use their prior article:
Dana Royce Baerger, Robert Galatzer-Levy, Jonathan W. Gould, & Sandra G.
Nye, Methodology for Reviewing the Reliability and Relevance of Child Custody
Evaluations, 18 J. AM. ACAD. MATRIM. LAW. 35 (2002).
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C. Differences Between Therapeutic and Forensic Mental Health
Assessment
Some child custody evaluators do not adequately under-
stand the distinctions between a therapeutic and a forensic role.
Furthermore, much of the testimony offered by child custody
evaluators is based upon clinical impressions uninformed by em-
pirical research, yet presented as empirical science. These two
points merit further discussion. First, as the field of forensic
mental health has grown to constitute a distinct subspecialty,
commentators have noted the increasing need for practitioners to
obtain specialized and advanced training.6 The reason for this is
that the field requires appreciably distinct competencies and
skills than does the treatment of patients. Moreover, differences
between forensic and therapeutic services have now been codi-
fied in ethical guidelines7 and clarified in the behavioral science
literature.8
II. Expert Testimony in Child Custody
Evaluations — Daubert/Frye
A. Frye v. United States
Expert testimony has long played a substantial role in the
trial of a child custody case. Whether in the form of a social
study or a psychiatric evaluation after a battery of tests, testi-
mony based on the social sciences has become the norm. Expert
testimony regarding parenting competency and comparative cus-
todial suitability must meet legal standards of admissibility.
In 1923, the U.S. Supreme Court in Frye v. United States9
issued the primary determinative test for the admissibility of
“novel” scientific evidence. For seventy years, the general stan-
6
Randy K. Otto & Kirk Heilbrun, The Practice of Forensic Psychology:
A Look Toward the Future in Light of the Past, 57 AM. PSYCHOLOGIST 5 (2002).
7
AMERICAN ACADEMY OF PSYCHIATRY AND THE LAW, ETHICAL
GUIDELINES FOR THE PRACTICE OF FORENSIC PSYCHIATRY (1995); Committee
on Ethical Guidelines for Forensic Psychologists, Specialty Guidelines for Fo-
rensic Psychologists, 15 LAW & HUM BEHAV. 655 (1991).
8
Lyn R. Greenberg & Jonathan W. Gould, The Treating Expert: A Hy-
brid Role with Firm Boundaries, 32(5) PROF. PSYCHOL.: RES. & PRAC. 469
(2001).
9
293 F. 1013 (D.C. Cir. 1923).
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dard for admissibility of expert testimony in most jurisdictions
was the Frye test, which permits admission of evidence when the
foundational scientific principle has achieved “general accept-
ance” in the scientific field.10
In Frye, defense counsel sought to introduce expert testi-
mony explaining the results of a test, similar to today’s polygraph
test. In upholding the trial court’s refusal to admit the expert
evidence, the court of appeals stated that while courts will go a
long way in admitting expert testimony, “the thing from which
the [expert testimony is deduced must be] sufficiently established
to have gained general acceptance in the particular field in which
it belongs.”11 Even though the Court cited no authority to sup-
port this statement, the “general acceptance” standard became
the cornerstone for the admissibility of novel scientific evidence
in the federal courts and most of the state courts for many years.
The Frye standard has generated and continues to provoke
great debate and commentary.12
Proponents advocate that the
Frye “general acceptance” standard is the proper test for admissi-
bility because: its conservative nature ensures the reliability of
novel scientific evidence; it better promotes uniformity of deci-
sions; scientific evidence tends to have a substantial impact on a
jury; without a standard test to determine admissibility, trials
could become mini-trials concerning the scientific evidence, thus
distracting the jury from the merits of the case to be tried; and
there will be a reserve of experts who may be called upon to
express an opinion regarding the validity of the evidence.13
After adoption of the Federal Rules of Evidence in 1975, the
issue of the appropriate standard for admissibility of scientific ev-
idence became confusing. The federal circuits and state courts
were split on what the standard should be. The Rules had been
in existence for eighteen years by the time the U.S. Supreme
Court announced a novel standard for the admissibility of scien-
tific evidence. Immediately before the end of the 1993 term, the
Supreme Court unanimously rejected the Frye test, stating that it
10
Id. at 1014.
11
Id.
12
E.g., Mike McCurley & C. Andrew Ten Eyck, Daubert and the Admis-
sibility of Expert Testimony in Child Custody Disputes, 19 No. 2 MATRIM.
STRATEGIST 1 ( 2001).
13
See, e.g., Reed v. State, 391 A.2d 364, 369-372 (Md. 1978).
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had been superseded by the Federal Rules of Evidence. Further,
a majority of the Court suggested new standards for the admissi-
bility of scientific evidence in the pivotal case of Daubert v. Mer-
rill Dow Pharmaceuticals, Inc.14
B. Daubert v. Merrill Dow Pharmaceuticals, Inc.
In Daubert, the Court reinterpreted Rule 702 of the Federal
Rules of Evidence and established criteria for the admissibility of
scientific expert testimony. Amended Rule 702 reads:
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, train-
ing or education, may testify thereto in the form of an opinion or oth-
erwise, if (1) the testimony is based upon sufficient facts or data, (2)
the testimony is the product of reliable principles and methods, and
(3) the witness has applied the principles and methods reliably to the
facts of the case.15
Although numerous states have followed Daubert,16 many have
not. States that have rejected Daubert in favor of Frye, or an
alternative standard, have expressed concerns about the reliabil-
ity and relevance of proffered expert testimony.17
14
509 U.S. 579 (1993).
15
FED. R. EVID. 702 (emphasis added).
16
As of 2004, all but 15 states have adopted Daubert or some variation of
Daubert to examine whether an expert’s testimony is admissible as scientific
evidence. Alice B. Lustre, Annotation, Post-Daubert Standards for Admissibil-
ity of Scientific and Other Expert Evidence in State Courts, 90 A.L.R.5th 453,
520-37 (2004). Some states, such as New York, apply the Daubert examination
in limited circumstances. The largest state to continue to adhere to the Frye
approach is California.
17
Because not all states have adopted the Daubert standard for admissi-
bility of expert testimony, and because some states have retained the Frye gen-
eral acceptance criterion, or some modification thereof, or are using a
combination of Frye and Daubert, it is essential to attend to the evidentiary
standards of the jurisdiction in which the testimony is given. Generally, even in
locales where Frye and similar standards continue in force, custody evaluators
are increasingly expected to base their opinions on scientifically sound methods.
At a minimum, evaluators should clearly state the methodological basis for
their opinions. See Daniel W. Schuman, The Role of Mental Health Experts in
Custody Decisions: Science, Psychological Tests, and Clinical Judgment, 36 FAM.
L.Q. 135 (2002).
In jurisdictions that continue to use the Frye rule, the proponent of the
expert testimony must establish the qualifications of the expert, as well as that
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According to Daubert, a “scientific expert” is an expert who
relies upon the application of scientific principles, rather than
upon skill or experience, in forming his or her opinions. Moreo-
ver, according to the Supreme Court’s later pronouncement in
Kumho Tire Co., Ltd. v. Carmichael,18 Daubert applies to all ex-
pert testimony, not just to scientific testimony. Thus, in Daubert
jurisdictions, the distinction between scientific and nonscientific
expert testimony is not significant in establishing admissibility;
the same criteria apply to both. Moreover, the admissibility of
expert testimony based upon personal observation and clinical
experience is subject to judicial scrutiny regarding its reliability.
Expert testimony that goes to the causation of a condition is also
subject to scrutiny for reliability.19
The Daubert court made clear that when it used the term
“reliability,” it was referring both to scientific reliability and sci-
entific validity.20 Essentially, scientific reliability refers to consis-
tency. In the realm of psychological testing, scientific reliability
refers to the consistency of test scores. For example, assume that
a psychologist wishes to construct a new measure of stable per-
the espoused theory has gained general acceptance in the expert’s scientific
field. When the expert testimony being offered is not scientific, but rather is
based upon observation and experience, Frye does not apply and no Frye hear-
ing is required. However, the court may still conduct a hearing on the reliabil-
ity of the testimony being offered. Berry v. City of Detroit, 25 F.3d 1342, 1349-
50 (6th Cir. 1994). In a Frye jurisdiction, counsel should be prepared to lay the
following foundation for admissibility of expert testimony: (1) the evidence
that is being proffered; (2) the fact that the proffered testimony will assist the
trier of fact in understanding the evidence or determining facts in issue (and the
way in which the proffered testimony will so assist); (3) whether the proffered
testimony constitutes ‘science;’ and (4) the qualifications of the expert (includ-
ing knowledge, skill, training, experience, and education) to testify and render
an opinion. See, e.g., In re Jawad, 759 N.E.2d 1002 (Ill. App. Ct. 2001).
Whether or not Daubert has replaced Frye in a given jurisdiction, the concepts
established by Daubert seem to be finding their way into Frye jurisdictions. See
Harris v. Cropmate Co., 706 N.E.2d 55 (Ill. App. Ct. 1999), for a comparison of
Daubert and Frye that describes the evolution of Frye into a “Frye plus reliabil-
ity” standard for the introduction of novel scientific evidence.
18
526 U.S. 137 (1999).
19
See, e.g., Commonwealth v. Lanigan, 641 N.E.2d 1342, 1348 (Mass.
1994)(applying both the Daubert and Kumho Tire Co. criteria); see also In Re
Canovan’s Case, 733 N.E.2d 1042, 1047-51 (Mass. 2000)(containing a summary
of the standards for admission of expert testimony).
20
509 U.S. at 590.
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sonality traits, with responses summed on a scale of zero to one
hundred. If a test subject takes the test four separate times, and
each time receives a widely divergent score (despite the fact that
his or her mood has remained stable), then we can say that the
test is not reliable, since the test subject did not receive scores
that were consistent over time and the construct being measured
was assumed to be consistent over time. Another way to think
about reliability is as the answer to the question, “Are we mea-
suring something (e.g., a genuine trait, behavior, factor, or phe-
nomenon) consistently?”
Scientific validity refers to accuracy and utility (mental
health professionals use the term “validity” to refer to what legal
professionals call “reliability”). In the realm of psychological
testing, scientific validity refers to the extent to which the test
measures what it purports to measure. In the example above,
once the psychologist has established that the new measure of
personality traits is reliable, he or she will want to know whether
it actually measures a known personality trait—as opposed to,
say, mood variability that often changes over time. If that is the
case, the measure will not be able to discriminate between test
subjects who have a specific personality trait and the test subjects
who are displaying mood variability (e.g., the measure will lack
“discriminant validity”). Another way to think about validity is
as the answer to the question, “Are we measuring what we think
we’re measuring?” As the above example makes clear, a test
must be scientifically reliable to be scientifically valid, although
the reverse is not true. In other words, reliability is a part of
what makes a test valid, since if a test cannot consistently mea-
sure some factor, then it is highly unlikely that the test can impart
any useful information.
A proper Daubert challenge may include not only an attack
on the entire methodology used by the testifying professional,
but specific challenges as to the reliability and validity of each
psychological instrument administered. Attorneys involved in
custody cases, therefore, must have a general working knowledge
of how such tests meet or fail to meet a serious analysis of their
reliability and validity.
Daubert has had a significant impact on the admissibility of
behavioral and psychological evidence offered by expert psychol-
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ogist witnesses, mainly in child abuse and molestation cases.21
Experts who routinely testify in divorce and custody cases some-
times report that their efforts to testify regarding novel theories
have been thwarted by trial courts based on the restrictive guide-
lines of Daubert.
To defend against a claim that the psychologist’s testimony is
inadmissible, the psychologist should make every effort to follow
proper procedures for selecting, administering, scoring, and in-
terpreting tests, while taking care to follow all applicable ethical
standards and professional practice guidelines for his or her field.
In custody cases, the examination of the child and the family as a
whole needs to be undertaken with extreme care. The psycholo-
gist or psychiatrist needs to understand what his or her role is in
the case and make sure that he or she stays within those
parameters.
To determine whether testimony about scientific knowledge
will assist the trier of fact in assessing a controverted issue,
Daubert requires that the judge ask two questions: (1) whether
the reasoning or methodology underlying the testimony is scien-
tifically valid, and (2) whether that reasoning or methodology
can be properly applied to the facts in issue.22
C. Federal Rule of Evidence 702
For a witness to qualify to testify as an expert under Rule
702, the following steps must be taken. First, the expert must be
qualified to give an opinion.23
Second, the opinion must be con-
sidered reliable.24 Third, the testimony must be relevant and as-
sist the trier of fact in coming to a decision in the case; in other
words, the expert must convey specialized knowledge beyond
that of a layperson.25
21
See, e.g., State v. Foret, 628 So.2d 1116, 1123 (La. 1993)(refusing to
accept testimony from a child psychologist regarding the child sexual abuse ac-
commodation syndrome (CSAAS), because the absence of methods to distin-
guish valid CSAAS claims from manufactured claims meant that testimony
based on the syndrome did not survive the Daubert test for scientific validity).
22
Daubert, 509 U.S. at 592-93.
23
Id. at 592 n.10.
24
Id. at 590 n.9.
25
Id. at 591-92.
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1. The Expert Must Be Qualified
The testifying expert should be prepared to testify that he or
she possesses the qualifications (education, experience, etc) and
knowledge necessary to relate the information to the fact finder.
Rule 702 requires that experts be qualified “by knowledge, skill,
experience, training, or education” and that their testimony assist
the trier of fact in determining a fact issue.26 Whether an expert
is qualified is a preliminary question decided by the trial court.27
The party offering the expert must show that the expert’s
knowledge, experience, skill, or training or education renders the
expert qualified to give an opinion regarding the specific issue
before the court.28 For example, not every doctor is qualified to
testify as an expert on every medical question.29 The party offer-
ing the expert’s testimony bears the burden to prove that the wit-
ness is qualified under Rule 702. The offering party must
demonstrate that the witness possesses special knowledge regard-
ing the very matter on which he proposes to give an opinion. Not
every psychologist is qualified to testify on all psychological
issues.
If the opinion relates to the standard of care within a li-
censed profession, the expert will generally be required to be li-
censed in that same profession. The expert should be familiar
with as much of the available literature on the field as possible
and be prepared to respond to inquiries on that literature, partic-
ularly any publications that are critical of the expert’s own theo-
ries or practical application of those theories.
26
FED. R. EVID. 702.
27
FED. R. EVID. 104.
28
Daubert, 509 U.S. at 597 (stating that “an expert’s testimony” [must be]
“relevant to the task at hand.”); FED. R. EVID. 401. In proffering evidence as to
the qualifications of one’s expert witness, one should elicit from the witness the
following types of testimony: the profession or occupation of the witness; the
length of time in the profession or occupation; the educational background, in-
cluding degrees obtained, of the witness; the professional training in which the
witness has participated; licensure of the witness; membership of the witness in
professional associations; research, publications, writing, or articles by the wit-
ness; past experience as an expert witness; and, academic positions if any.
29
See Christophersen v. Allied-Signal Corp., 939 F.2d 1106, 1112-13 (5th
Cir. 1991), cert. denied, 503 U.S. 912 (1992), in which the Fifth Circuit Court of
Appeals states that one possessing a medical degree is not qualified to give an
opinion on every medical question.
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2. The Expert’s Opinion Must Be Reliable
Again, it is important to recognize that while courts use the
terms “reliability” and “validity” interchangeably, mental health
professionals use the terms in distinctly different ways.30 Social
scientists consider “reliability” to mean the technical accuracy of
a test, while the “validity” of the test is based on whether the test
leads to a legitimate conclusion.
To be reliable, the underlying scientific technique or princi-
ple must be grounded in the methods and procedure of science.
To show reliability, the party who is offering the opinion should
address the “non-exclusive” list of factors in Daubert,31 as well as
additional factors addressed in each state’s case law.
a. Testing32
Whether the theory or technique in question can be (and has
been) tested (referred to as the “falsifiability” of a theory). This
factor recognizes that testing is central to scientific methodol-
ogy.33
If a theory or technique has been or can be tested, the
trial judge can better determine “whether a theory or technique
is scientific knowledge that will assist the trier of fact.”
b. Peer review
Whether the theory or technique has been or could be sub-
jected to peer review or publication is an important factor. Pub-
lication and other peer review is a significant indicia of the
reliability of scientific evidence when the expert’s testimony is in
an area in which peer review or publication would not be uncom-
mon. Publication in a reputable, established, scientific journal
and other forms of peer review increase the likelihood that sub-
stantive flaws in methodology will be detected. Although peer
review and publication are indicators of evidentiary reliability,
30
See Daubert, 509 U.S. at 590 n.9.
31
Id. at 592-94.
32
Id. at 592 (discussing testing).
33
“If theories are non-falsifiable, they are unscientific. Hypotheses that
avoid testability . . . are not scientific. Likewise, theories that purport to explain
everything, theories that are unconditional and admit no negative evidence and
theories that are vague or otherwise self-protected are not falsifiable.” Nancy
Levit, Listening to Tribal Legends: An Essay on Law and the Scientific Method,
58 FORDHAM L. REV. 263, 271 (1989).
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the Daubert Court emphasized that “publication (or lack
thereof) in a peer-reviewed journal” is not dispositive of the
question of scientific validity.34
c. Error rates
The theory or technique’s “known or potential error rate.”
In this context, “error rate” refers to the probability that the ap-
plication of a particular technical procedure or theory can lead to
a mistake in classification of an object, event or person. Daubert
says that trial courts should survey studies of the error rates of
the specific technique, as well as the standards controlling the
technique’s operation.35
d. General acceptance
Whether the theory or technique has been generally ac-
cepted as valid by the relevant scientific community. “General
acceptance” continues to be a significant persuasive factor in de-
termining whether particular evidence is admissible. It is not,
however, the dispositive requirement.36
3. The Expert’s Opinion Is Relevant
The expert’s opinion must be relevant. To be relevant, the
evidence must have probative value and must have consequence
to some issue in the trial. Relevancy is the threshold question to
the admissibility of evidence regardless of whether it is the testi-
mony of a fact witness or an expert witness.37
The evidence
must be sufficiently tied to the facts of the case that it will aid the
jury in resolving a factual dispute. Evidence that has no rela-
tionship to any of the issues in the case is irrelevant, and there-
fore inadmissible under Rules 401, 402, and 702.
Relevance refers to the extent that the gathered data bear
upon the issue before the court. In the contest of a CCE, in
which the issue before the court is one of comparative custodial
suitability, relevant data will include information that relates to
the litigants’ parenting strengths and deficits, the child’s relation-
ship with each parent, and the quality of fit between the child’s
34
Daubert, 509 U.S. at 594. See also id. at 593 (discussing peer review).
35
Id. (discussing error rates).
36
Id. (discussing general acceptance).
37
Id. at 587.
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needs and the parents’ respective care giving competencies. For
example, data relevant to a CCE will include information regard-
ing how each parent supervises, disciplines, supports, nurtures
and instructs the child.
Relevance also refers to the extent to which a data-gathering
technique is valid (e.g., useful) for the purpose for which it is
used. A psychological test can be reliable and valid, and still lack
relevance in the context of a CCE because it is does not measure,
either directly or indirectly, relevant factors associated with psy-
chological factors of concern to the court. For example, with the
exception of serious cognitive impairment that would make ade-
quate childcare difficult, no empirically established relationship
exists between intellectual functioning and parenting capacity.38
Since no methods are available to discern how a parent’s intellec-
tual functioning as identified through an IQ score might impact
(if at all) on his or her parenting capabilities, it is unlikely that
tests of intellectual functioning will be valid (e.g., useful) for the
purpose of determining parenting competencies. In this sense,
tests of intellectual functioning are not relevant to the legal issue
of comparative custodial suitability.
Reliability and relevance can be illustrated by the multi-
trait/multi-method model of assessment. Forensic assessment is
predicated upon the idea of convergent validity, or the idea that
particular issues should be investigated from a variety of view-
points and with a variety of methods. Addressing the same issue
through a number of different data sources will likely increase
the reliability of the information gathered, since the evaluator
can then look for consistent trends across the data. Hence, a
competently conducted forensic evaluation utilizes multiple
sources of information to assess multiple aspects of a situation;
this is referred to as the multi-trait/multi-method model of assess-
ment. This model of obtaining convergent data from multiple
sources for a CCE has achieved increasing professional consen-
sus over the past ten years, and has been described as the model
that best serves the evidentiary needs of the court.39 Further-
38
Thomas Grisso, The Economic and Scientific Future of Forensic Psy-
chological Assessment, 42 AM. PSYCHOLOGIST 831 (1987).
39
Ackerman & Ackerman, supra note 3, at 567; Jon K. Amundson,
Roshni Daya, & Eamon Gill, A Minimalist Approach to Child Custody Evalua-
tions, 18 AM. J. FORENSIC PSYCHOL. 63 (2000); James N. Bow & Francella A.
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more, this model is included in almost all recommended ethical
standards and professional practice guidelines for conducting fo-
rensic evaluations, including the American Psychological Associ-
ation,40 the Association of Family and Conciliation Courts,41 and
the Specialty Guidelines for Forensic Psychologists.42
Hence, the objective of a CCE is to assess functional parent-
ing competencies in a reliable and relevant manner. Currently,
there exist a number of different CCE models;43 no requisite set
of procedures or tests has been defined. However, a consensus is
emerging in the behavioral science literature regarding the man-
ner in which CCEs should be conducted and the procedures that
are most likely to ensure the assessment’s reliability and rele-
vance. Greenberg and Gould44 have proposed a five-part meth-
odological framework that synthesizes the legal and behavioral
science literature,45 empirical research,46 ethical guidelines,47 and
Quinnell, Psychologists’ Current Practices and Procedures in Child Custody
Evaluations: Five Years After the American Psychological Association Guide-
lines, 32 PROF. PSYCHOL.: RES. & PRAC. 261 (2001).
40
American Psychological Association, Ethical Principles of Psycholo-
gists and Code of Conduct, 57 AM. PSYCHOLOGIST 1060 (2002).
41
Association of Family and Conciliation Courts, Model Standards of
Practice for Child Custody Evaluations, 32 FAM. & CONCILIATION CTS. REV.
504 (1994).
42
Committee on Ethical Guidelines for Forensic Psychologists, supra
note 7.
43
See, e.g., MARC J. ACKERMAN, CLINICIANS GUIDE TO CHILD CUSTODY
EVALUATIONS (1995); PHILIP M. STAHL, CONDUCTING CHILD CUSTODY EVAL-
UATIONS: A COMPREHENSIVE GUIDE (1994).
44
Greenberg & Gould, supra note 8, at 471-73.
45
See generally, Grisso, supra note 38; Melton, et al, supra note 4 ; see
also RICHARD ROGERS, DIAGNOSTIC AND STRUCTURED INTERVIEWING: A
HANDBOOK FOR PSYCHOLOGISTS (1995); BENJAMIN M. SCHUTZ, ELLEN B.
DIXON, JOANNE C. LINDENBERGER, & NEIL J. RUTHER, SOLOMON’S SWORD:
A PRACTICAL GUIDE TO CONDUCTING CHILD CUSTODY EVALUATIONS (1989);
David L. Faigman, The Evidentiary Status of Social Science under Daubert: Is it
‘Scientific,’ ‘Technical,’ or ‘Other’ Knowledge?, 1 PSYCHOL., PUB. POL’Y, & L.
960 (1995); David L. Faigman, Struggling to Stop the Flood of Unreliable Expert
Testimony, 76 MINN. L. REV. 877 (1992); Jane Goodman-Delahunty, Forensic
Psychological Expertise in the Wake of Daubert, 21 LAW & HUM. BEHAV. 121
(1997); Kirk Heilbrun, The Role of Psychological Testing in Forensic Assess-
ment, 16 LAW & HUM BEHAV. 257 (1992).
46
See, e.g., Marc J. Ackerman & Melissa C. Ackerman, Custody Evalua-
tion Practices: A Survey of Experienced Professionals (Revisited), 28 PROF.
PSYCHOL.: RES. & PRAC. 137 (1997); Peter Ash & Melvin J. Guyer, Biased
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model standards of practice48 regarding CCEs. This framework
for CCEs incorporates five core data-gathering components:
(1) a definition of the scope of the evaluation;
(2) the use of forensic interview techniques;
(3) psychological testing with objective and self-report measures;
(4) direct behavioral observations of parent-child interactions; and
(5) interviews with collateral sources and review of relevant records.
Consistent with Daubert, this approach to CCEs assesses pa-
rental competencies within the parameters of reliability and rele-
vance, and thus constitutes a genuinely scientific methodology.
Moreover, this approach can also be used as an organizational
structure with which to evaluate the methodological strengths
and shortcomings of other CCEs.49
III. Five Core Components for Data Gathering
Following is an explication of Gould’s five-part methodology
for an analysis of the reliability and relevance of CCEs.
A. Define the Scope of the Evaluation
When a forensic mental health professional begins a CCE,
he or she should identify the specific questions to be investigated
prior to the initiation of the evaluation.50 In this way, the evalu-
Reporting by Parents Undergoing Child Custody Evaluations, 30 J. AM. ACAD.
CHILD & ADOLESCENT PSYCHIATRY 835 (1991); Kay Bathurst, Allen W. Gott-
fried, & Adele E. Gottfried, Normative Data for the MMPI-2 in Child Custody
Litigation, 9 PSYCHOL. ASSESSMENT 205 (1997); Chery Hysjulien, Barbara
Wood, & G. Andrew H. Benjamin, Child Custody Evaluations: A Review of
Methods Used in Litigation and Alternative Dispute Resolution, 32 FAM. & CON-
CILIATION CTS. REV. 466 (1994).
47
See generally American Psychological Association, supra note 40; Com-
mittee on Ethical Guidelines for Forensic Psychologists, supra note 7.
48
See generally Association of Family and Conciliation Courts, supra note
45.
49
Jonathan W. Gould & Lisa C. Bell, Forensic Methods and Procedures
Applied to Child Custody Evaluations: What Judges Need to Know in Determin-
ing a Competent Forensic Work Product, 38(2) JUV. & FAM. CT. J. 21 (2000);
Jonathan W. Gould & Debra H. Lehrmann, Evaluating the Probative Value of
Child Custody Evaluations, 53 JUV. & FAM. CT. J. 17 (2002).
50
Jonathan W. Gould, Conducting Scientifically Crafted Child Custody
Evaluations, Part One: A Model for Interdisciplinary Collaboration in the De-
velopment of Psycholegal Questions Guiding Court Ordered Child Custody
Evaluations, 37 FAM. & CONCILIATION CTS. REV. 64 (1999); Jonathan W.
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ator clearly defines the questions and areas of concern that guide
the entire evaluation. This approach has been termed a “mini-
malist approach,” because it provides focused support and infor-
mation for the trier of fact in resolving a child custody dispute.51
Thus, an important responsibility of the child custody evaluator is
to take the legally relevant dimensions that are the court’s con-
cern and to define each dimension in a manner that allows for
proper psychological assessment. This results in a reliable child
custody evaluation. Moreover, the evaluator must also demon-
strate that these psycholegal dimensions have an empirical foun-
dation in the psychological literature, and that they are related to
the questions that are before the court.52 This results in a rele-
vant child custody evaluation.
The scope of a custody evaluation is properly determined by
the court’s order. Court orders regarding CCEs vary widely in
the extent to which they specify the questions to be addressed by
the evaluator. Frequently, court orders simply direct the litigants
to undergo an evaluation in accordance with a cited custody stat-
ute. Alternatively, many orders request a “psychological evalua-
tion” of the parent-litigants and their children. Too often, child
custody evaluators do not further query the court or the attor-
neys involved in the case regarding the specific concerns that led
to the order for evaluation. This common lapse on the part of
evaluators constitutes poor practice.53 Moreover, it may reflect a
lack of understanding that the proper role of a forensic specialist
in assisting the trier of fact is to provide reliable psychological
information that is relevant to the pending legal issue.
Judges and attorneys can greatly increase the utility of eval-
uations by crafting court orders that pose referral questions spe-
cific to each family. This practice increases the likelihood that
evaluators will address matters of central importance to the liti-
gation, and diminishes the likelihood that evaluators will address
Gould, Conducting Scientifically Crafted Child Custody Evaluations, Part Two:
A Paradigm for the Forensic Evaluation of Child Custody Determination, 37
FAM. & CONCILIATION CTS. REV. 159 (1999).
51
Amundson et al, supra note 39, at 63-87.
52
Failing that, the evaluator must make clear the basis on which his or
her opinions are given, so that the court may decide how much weight to give
the opinion.
53
Gould, supra note 50, at 183-195.
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irrelevant issues that confuse the litigation and increase the cost
of the evaluation. For example, in a case in which one party has
made allegations of excessively harsh physical discipline against
the other, useful referral questions might focus on issues such as
the manner in which each parent disciplines the children, the
manner in which the children respond to each parent’s behavior
management strategies, whether the children fear the parent
against whom the allegations were made, and each parent’s ca-
pacity to tolerate frustration.
In the context of defining the scope of the evaluation,
problems of reliability refer to instances in which the evaluator
uses unreliable methods or goes beyond the scope of his or her
training and expertise in offering opinions to the court. For ex-
ample, many child custody evaluators go beyond their expertise
in offering opinions on issues such as the comparative educa-
tional quality of school districts, the quality of community life in
a particular geographic area, or the benefits of certain financial
arrangements. When evaluators engage in this practice, they are
no longer properly testifying as experts.
Problems of relevance refer to instances in which the evalu-
ator offers opinions about issues irrelevant to the pending legal
issue, or fails to explain the relationship between the parties’ ob-
served capacities and the pending legal issue. A particularly
problematic situation can arise when an evaluator offers opinions
about issues that are both irrelevant to the pending legal issue
and highly prejudicial. For example, consistent with their pri-
mary training as clinicians who diagnose and treat psychiatric dis-
orders, many child custody evaluators routinely report
psychiatric diagnoses for both parent-litigants. We maintain that
it is poor professional practice for evaluators to report such diag-
noses in the absence of any indication that the court has concerns
about the parents’ diagnostic status, and in the absence of any
demonstration how these diagnoses impact the litigants’ capacity
to parent. Placing a child in the primary custodial care of a par-
ent suffering from “Generalized Anxiety Disorder and Personal-
ity Disorder Not Otherwise Specified, with avoidant and
obsessive-compulsive features” sounds almost negligent—despite
the fact that this diagnosis may have nothing whatever to do with
care giving capacity.
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B. Use Forensic Interview Techniques
A CCE represents an assessment of two parents’ compara-
tive custodial strengths and limitations. Thus, the evaluator must
gather interview information regarding the litigants’ parenting
competencies according to variables that are directly related to
the pending legal issue. This includes gathering information re-
garding, among other relevant variables, the parents’ respective
capacities to nurture, support, discipline, instruct, and supervise
their child. In this manner, the evaluator will be able to compare
and assess the parents’ responses to interview questions that are
directly relevant to the court’s concerns. Moreover, the evalu-
ator must make direct comparisons of similar sets of parental
competencies to reach conclusions that will be of use to the
court.
The child custody evaluator ensures the relevance of the in-
terviews by asking questions that directly relate to the pending
legal issue. According to the functional approach to CCEs,54 a
parent’s past and present caretaking abilities are of greater rele-
vance than distal events that do not relate to parenting. For ex-
ample, in a case in which there are concerns regarding one
parent’s alleged propensity for harsh corporeal discipline, the
evaluator should interview both parents about their disciplinary
styles, behavior management strategies, methods of dealing with
frustration, and beliefs regarding concepts such as obedience and
deference to authority. Issues such as a parent’s work history or
prior romantic relationships may indeed have bearing on a given
case, and we are not suggesting that evaluators should refrain
from addressing topics not directly related to childcare. How-
ever, such issues should be evaluated within a prevailing discus-
sion of functional parenting competencies. The evaluator’s
primary interviewing goal should be to elicit information from
both parents regarding their caregiving strengths and limitations.
The child custody evaluator ensures the reliability of the in-
terviews by gathering a reasonably uniform set of interview data,
and by examining a parent’s responses for consistency across va-
rious sources of parenting information. For example, a parent’s
responses can be examined for consistency across time (i.e., a
54
See, e.g., THOMAS GRISSO, EVALUATING COMPETENCIES: FORENSIC
ASSESSMENTS AND INSTRUMENTS (1986).
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comparison of the parent’s responses to identical questions given
at different times), across question formats (i.e., a comparison of
the parent’s responses to structured and unstructured questions),
across parties (i.e., a comparison of the parent’s responses to the
responses given by the other parent, and/or by the children), and
across collateral sources (i.e., a comparison of the parent’s re-
sponses with the responses given by collateral sources).55
Re-
turning to the case in which allegations have been made
regarding one parent’s excessively harsh physical discipline, the
evaluator can examine each parent’s responses to questions of
disciplinary and behavior management strategies for consistency
across a number of different sources of information. For exam-
ple, one parent’s vociferous denial of allegations of excessive
physical punishment may be contradicted by interview data gen-
erated by the other parent, by the children, by a variety of collat-
eral sources, and by the allegedly abusive parent’s own responses
to interview questions regarding parenting values and beliefs,
disciplinary strategies, and frustration tolerance.
When reviewing a CCE, it is also important to assess the
weight assigned by the evaluator to the interview data. In distin-
guishing between therapeutic and forensic roles, Stuart Green-
berg and Daniel Shuman state that forensic evaluators must use a
higher level of scrutiny for interview information than do ther-
apists.56 They note that forensic interviews take place in a signifi-
cantly different context than do therapeutic or diagnostic
interviews. In a therapeutic interview, the patient perceives that
there is benefit to providing accurate and detailed information
about his or her emotional condition, with the expectation that
such information will assist treatment. In this context, the pa-
tient is motivated to provide the therapist with information that
is as truthful as possible, even if the patient harbors concerns that
such information might create an unfavorable impression. In
contrast, in a child custody interview, the parent perceives that
there is benefit to providing complimentary information about
55
ROGERS, supra note 45, at 113 & 367; Richard Rogers, Structured Inter-
views and Dissimulation, in CLINICAL ASSESSMENT OF MALINGERING AND DE-
CEPTION (Richard Rogers ed., 1988).
56
Stuart A. Greenberg & Daniel W. Shuman, Irreconcilable Conflict Be-
tween Therapeutic and Forensic Roles, 28 PROF. PSYCHOL.: RES. & PRAC. 50
(1997).
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his or her parenting, with the expectation that such information
will assist his or her legal goal. In this context, the parent is moti-
vated to supply the evaluator with caregiving information that is
as favorable as possible, and to withhold information that might
create an unfavorable impression of his or her parenting. Al-
though it is possible that a given parent is being truthful and not
attempting to influence the interview, it is more likely that the
parent is attempting to positively influence the evaluator’s per-
ception of the parent’s caregiving capabilities. It is important to
remember that mental health professionals are not more skilled
than are laymen at assessing the credibility of interview state-
ments.57 Therefore, in a forensic context, evaluators should as-
sess the utility of interview data by comparing them to other
sources of information, and by searching for general trends and
consistencies across multiple data sources.
One way that a child custody evaluator can increase the reli-
ability and relevance of interviews is by using a questionnaire
that asks parents a standard set of questions, while also providing
for opportunities to ask questions regarding areas of functioning
that may be unique to only one parent. This method is referred
to as a semi-structured interview format.58 Unlike a fully struc-
tured interview format, which consists of a fixed set of questions
that allow no opportunity for digression, a semi-structured for-
mat is sufficiently flexible to permit exploration of topics that are
not predetermined but that may be of substantial importance
nonetheless. Unlike an unstructured interview format, which
lacks any predetermined questions, a semi-structured format is
sufficiently methodical to permit the evaluator to ask the same
set of general questions to each parent, while also permitting
deviation from those questions into areas unique to that particu-
lar parent and his or her relationship with the child.59
In this
way, while collecting a set of data common to both parents, the
evaluator can pursue additional areas that are specific to one par-
ent or to the context of the evaluation. Therefore, the use of a
semi-structured interview protocol provides a systematic and sci-
57
PAUL EKMAN, TELLING LIES (1992).
58
See generally, GRISSO, supra note 54 (credited with developing the
semi-structured interview techniques); SCHUTZ, ET AL., supra note 45.
59
Gould, supra note 50, at 167; Gould & Lehrmann, supra note 49, at 17-
29.
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entific means of data collection that is consistent with evidentiary
requirements for scientific information.60
When evaluating the quality of interviews in the context of a
CCE, attorneys should be attentive to problems of reliability and
relevance. Problems of reliability refer to the evaluator’s gather-
ing of interview data in a subjective, partial, or unscientific man-
ner. One example of a reliability problem is “confirmatory bias,”
or an evaluator’s tendency to seek out data that supports his or
her preconceived hypothesis, and to ignore data that is inconsis-
tent with that hypothesis.61
Confirmatory bias can significantly
distort the reliability and utility (validity) of interview data, and
can lead the evaluator to inaccurate or one-sided conclusions un-
supported by other evidence.
Gould provides an excellent example of how confirmatory
bias can diminish the reliability of interview information in a
CCE: The evaluator directed the judge to pay particular atten-
tion to the father’s interview data. It was highly credible, she
testified. The father had been living with his 17-year-old son for
about a year. Each had a history of relationship difficulties with
the mother. The evaluator interviewed the father and son over 3
days. She concluded that the father and son had an accurate
view of the mother. Their opinions were judged to be credible
and consistent. Based solely upon the information drawn from
the father’s and son’s interviews, the evaluator concluded that
the mother was abusive and therefore a threat to her children.
Custody of all three boys was recommended to the father.
When the mother was interviewed, the evaluator began by
complimenting her son and former husband for teaching her so
much about their family life. She followed this statement with
asking the mother, “How long have you been abusing your chil-
dren?” In the body of the report, the evaluator commented that
as the interview with the mother continued, the mother appeared
to become increasingly defensive and unwilling to provide de-
tailed answers. The evaluator never saw how her opening com-
60
Gould & Bell, supra note 49, at 21-27; Jonathan W. Gould & Philip M.
Stahl, The Art and Science of Child Custody Evaluations: Integrating Clinical
and Mental Health Models, 38 FAM. & CONCILIATION CTS. REV. 392 (2000).
61
Randy Borum, Randy Otto, & Stephen Golding, Improving Clinical
Judgment and Decision Making in Forensic Evaluation, 21 J. PSYCHIATRY & L.
35 (1993).
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ments frightened the mother, creating a cognitive set of caution
and distrust. Based on the mother’s defensive responses, the
evaluator concluded that the child’s credibility was firmly
established.
When an independent evaluator became involved and
gained access to collateral information, it became clear that the
younger children’s teachers, coaches, youth minister, therapist
and neighborhood parents described mother-child interactions as
above average. These same sources described the father-child
and father-mother interactions as significantly problematic. The
father was a weekend alcoholic who often became violent and
verbally abusive. Police records showed three arrests for DUI
and one court appearance for disorderly conduct. The seven-
teen-year-old son had also been drinking for about eighteen
months and developed a style of verbal abuse similar to his fa-
ther’s. He had his license suspended until he was twenty-one for
driving while under the influence. Father and son often drank
together during the evenings.
Furthermore, test data revealed a father whose scores were
significantly elevated on a number of scales suggestive of severe
psychopathology. Elevation on each scale was tied directly to
collateral data supportive of the father’s substance abuse, disre-
gard for rules, and highly suspicious beliefs.
Finally, interview data from the younger children revealed
children who were afraid of their father, particularly when he
was drinking. In separate interviews, they reported that their
older brother often hit them and verbally abused them while the
father was in the kitchen observing their interactions, sipping a
beer and doing nothing to intervene.62
Problems of relevance refer to the evaluator’s gathering of
interview data in a manner that fails to address the pending
psycholegal issue of comparative parenting capacity. One exam-
ple of a relevance problem is the use of a traditional “clinical
interview” in the context of a CCE. The primary purpose of a
clinical or diagnostic interview is the identification of psychopa-
thology and emotional distress. An additional purpose is the
identification of intervention or treatment methods most likely to
facilitate the subject’s recovery. Unless the court will evaluate an
62
Gould, supra note 50, at 74-75.
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issue regarding a parent’s diagnostic status or psychological well-
being, clinical data regarding psychopathology is not relevant to
the pending legal issue. Child custody evaluators who engage in
traditional clinical interviewing are not only likely to fail to ade-
quately address the pending legal issue, but are also on a “fishing
expedition” for psychopathology that can lead them astray from
the court’s need for reliable and relevant information.
C. Psychological Testing with Objective and Self-Report
Measures
The purpose of psychological testing in CCEs is to provide
the court with a set of objective scientific data. Psychological
tests can provide a reliable and valid set of data that allow for
more precise measurement of individual characteristics than can
be obtained from interviews alone. Along with data generated
by other sources of information, psychological test data can pro-
vide objective support to an expert’s opinion and produce data
grounded in empirical research.63 Moreover, the objective data
generated by psychological tests can balance the bias and poten-
tial errors inherent in clinical interview data.64 By using multiple
tests, the evaluator can search for trends across the data, and can
cross-check his or her hypotheses. By incorporating multiple
measures of multiple dimensions of functioning, the evaluator
can gather a wide range of information with which to understand
each parent’s comparative caregiving strengths and limitations,
both as compared to one another and as compared with a group
of peers.65
In his analysis of the role of psychological testing in forensic
evaluation, Kirk Heilbrun lists seven criteria that should be met
by assessment instruments used in a forensic context.66 Heilbrun
states that tests used in forensic mental health assessment should
be: (1) commercially available, adequately documented in tech-
63
DAVID L. SHAPIRO, PSYCHOLOGICAL EVALUATION AND EXPERT TES-
TIMONY: A PRACTICAL GUIDE TO FORENSIC WORK (1984).
64
FORENSIC APPLICATIONS OF THE MMPI-2 (Yossef S. Ben-Porath, et al.,
eds., 1995); JOSEPH T. MCCANN & FRANK J. DYER, FORENSIC ASSESSMENT
WITH THE MILLON INVENTORIES (1996).
65
Gregory J. Meyer, et al., Psychological Testing and Psychological As-
sessment: A Review of Evidence and Issues, 56 AM. PSYCHOLOGIST 128 (2001).
66
Heilbrun, supra note 45, at 257-272.
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nical manual, and reviewed in at least two professional sources;
(2) sufficiently reliable; (3) relevant to the ultimate legal issue, or
to a psychological construct underlying the ultimate legal issue;
(4) administered in a standard manner; (5) applicable to the pop-
ulation being assessed; (6) evidencing an objective test format
with an actuarial basis for diagnosis and prediction (as opposed
to a subjective or impressionistic interpretive method); and (7)
amenable to the explicit assessment of response style.
Essentially, these seven criteria demand that assessment in-
struments used in a forensic context be both reliable (i.e., valid)
and relevant.67
Important considerations in choosing a psycho-
logical test include published psychometric data supporting its re-
liability and validity, its acceptance as scientific evidence in other
jurisdictions, its relevance to the psycholegal questions being ex-
amined, and its basis in scientific theory.68 An additional consid-
eration is that the assessment instrument should be a tool
generally relied upon by professionals in the field for use in child
custody matters.69
Finally, the test should generate hypotheses
that are directly relevant to the psycholegal questions posed by
the court. For example, in the assessment of parental competen-
cies, several personality tests are available that may be used to
generate hypotheses about whether measured personality fea-
tures influence an individual’s parenting. However, it is impor-
tant to note that no personality tests measure parenting
competency, nor has any constellation of personality traits been
67
Forensic assessment is premised upon the idea of convergent validity.
A critical issue in the use of a multi-trait/multi-method model is the extent to
which distinct assessment methods provide unique versus redundant informa-
tion. It is important to recognize that more data does not always mean more
accurate results. For example, when using tests that are intercorrelated, it is
possible that the predictive power of the two tests combined is less than the
predictive power of the psychometrically sounder test. The idea behind multi-
trait/multi-method assessment is to increase the predictive power of the data. If
a method does not increase the ability of the data to predict the behavior of
interest, then there is no incremental validity derived from the use of the
method. If there is no incremental validity, then there is no reason to adminis-
ter the test.
68
FORENSIC APPLICATIONS OF THE MMPI-2, supra note 64, at 117-125;
MCCANN & DYER, supra note 64; KENNETH S. POPE, K.S., JAMES N. BUTCHER,
& JOYCE SEELEN, THE MMPI, MMPI-2 & MMPI-A IN COURT: A PRACTICAL
GUIDE FOR EXPERT WITNESSES AND ATTORNEYS (2d ed., 2000).
69
Ackerman & Ackerman, supra note 46.
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linked to skill as caregiver.70 It is impossible to determine from
test results alone if a parent’s measured response patterns are
related, either directly or indirectly, to parenting competencies.71
When discussing test results, child custody evaluators must
remember that whether the test results accurately describe a par-
ent is dependent upon the degree to which other sources of infor-
mation provide confirming or disconfirming data. Current
forensic practice is to frame psychological test interpretations as
hypotheses or general trends, and to avoid considering test re-
sults in isolation.72
Similarly, current forensic practice is to de-
scribe interpretative statements as actuarial and expert
predictions based upon test results. Personality test results may
indicate that a parent exhibits characteristics similar to individu-
als with similar response patterns; however, such test results are
probabilistic in nature. Moreover, evaluators should interpret
test results cautiously and in light of other data collected from
multiple sources.73
It is critical that the evaluator understand
that test results provide only hypotheses, which then must be
subjected to verification from alternative data sources.74
70
Grisso, supra note 54 ; MCCANN & DYER, supra note 64.
71
SCHUTZ ET AL., supra note 45.
72
ELIZABETH M. ELLIS, DIVORCE WARS: INTERVENTIONS WITH FAMI-
LIES IN CONFLICT (2000).
73
Gould, supra note 50.
74
In In re B.M., 682 A.2d 477, 481 (Vt. 1996), a termination proceeding,
the Vermont Supreme Court addressed the limitations of testing in a forensic
assessment of parenting capacity:
[T]he court’s emphasis on psychological testing is disturbing. Such
tests, when relied on by expert witnesses, may have a small place in
the overall evaluation of a person’s parenting ability. Parents facing
the loss of parental rights, however, must be judged on their conduct,
not on their test-taking skills or psychological traits. In this case, for
example, the court first labeled father, based on his MMPI results, as
‘a person with hedonistic, narcissistic and impulsive tendencies and
over controlled hostilities.’ The Court then linked these personality
traits to likely behaviors, noting that ‘such, persons typically seek im-
mediate gratification, blame others for their own problems, and ma-
nipulate others for their own desires, experiencing little guilt about the
effects of their actions on other.’ Finally, the court closed the door on
possible changes or improvements, finding that ‘these are consistent
and pervasive traits which no form of intervention will change.’ Al-
though recognizing that parenting skills can be learned, the court
nonetheless found that ‘in times of stress [father] will fall back on his
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Whether the tests are accurate enough for such use is an open
question; and such tests raise concerns of cultural, educational,
and socioeconomic bias. Moreover, characterizing individuals as
bad parents based on “pervasive traits which no form of inter-
vention will change” is inconsistent with the goal of fostering pa-
rental improvement. Finally, the use of psychological tests in a
forensic evaluation should include a discussion of the limitations
of the test data.75
Examination of the scientific integrity of the measurement
tools used in CCEs goes to the heart of the question of reliability.
If an evaluator elects to use a given measurement tool in a CCE,
the tool should evidence an appropriate level of scientific relia-
bility and validity with regard to the specific issue in dispute.
Such psychometric information allows the evaluator to consider
the strength and limitations of the test data; without such infor-
mation, evaluators have little ability to gauge the accuracy of the
data upon which their conclusions are based. If a test used to
measure a factor does not have adequate reliability, then the
data upon which the evaluator’s interpretations, conclusions, and
recommendations are based will be seriously flawed.76
Moreo-
ver, if an evaluator elects to use a given measurement tool in a
CCE, the evaluator should provide information about whether
the instrument in question has normative data for male and fe-
male custody litigants (and, if so, how each parent’s scores com-
inherent personality traits.’ The court was apparently further per-
suaded by the correlation of father’s test results, finding that the
‘PASS results and MMPI scores reinforce each other and show a per-
vasive lack of empathy.’ We are unable to share the court’s confi-
dence in this fact, as the findings and the record lack a meaningful
explanation of the purposes, appropriate uses, or scoring methods for
these tests. For example, expert testimony and the court’s findings
emphasize that father’s PASS results were ‘clinically low.’ According
to the PASS manual, however, the PASS is scored subjectively, by the
individual evaluator. B. BRICKLIN, PARENT AWARENESS SKILLS SUR-
VEY MANUAL 6 (1990). There is no evidence in the record to explain
the expert’s scoring decisions or standard for comparison, or to justify
reliance on the test scores in a proceeding to terminate parental
rights. . . . The PASS manual provides little help in understanding the
test scores, however, because the scoring is subjective. . . .
75
Committee on Ethical Guidelines for Forensic Psychologists, supra
note 7; American Psychological Association, supra note 40.
76
Gould & Lehrmann, supra note 49.
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pare to such normative data). An increasing pool of empirical
data is developing with regard to how male and female custody
litigants score on a number of psychological tests commonly used
in CCEs.77
In addition to demonstrating reliability, psychological tests
ought to yield data that are relevant to the issues of concern to
the court. In other words, psychological tests used in CCEs
should demonstrate a valid scientific connection to the pending
legal issue. For example, many evaluators use the Minnesota
Multiphasic Personality Inventory - Second Edition (MMPI-2)
and the Millon Clinical Multiaxial Inventory - Third Edition
(MCMI-III) in child custody evaluations.78 Although neither test
directly measures parenting capacity, the inferences drawn from
these tests may provide useful information about a parent’s per-
sonality characteristics and emotional style. These constructs are
relevant in the context of a CCE because a parent’s psychological
functioning is relevant to the issue of comparative custodial suita-
bility. Normative data regarding the male and female custody
litigants have now been published79 that enable evaluators to
compare a given parent’s scores on the MMPI-2 and MCMI-III
to normative scores obtained by other custody litigants, thereby
further increasing the relevance of the obtained data.
In the context of psychological testing, problems of reliabil-
ity refer to the use of measurement tools that lack the requisite
scientific reliability and/or validity. One example of a reliability
problem is the use of projective drawings to make inferences
about a parent’s psychological functioning, or about the issue of
comparative parenting ability. Projective drawings lack the nec-
essary validity and reliability for admissibility in court.80
At a
minimum, the subjectivity of the administration and interpreta-
tion procedures for projective drawings render them inappropri-
ate for use in a legal proceeding. No normative data exist
regarding the personality correlates of projective drawings
among adults. Similarly, no empirical behavioral science litera-
77
See, e.g., Bathurst et al, supra note 46; Joseph T. McCann, et al., The
MCMI-III in Child Custody Evaluations: A Normative Study, 1 J. FORENSIC
PSYCHOL. PRAC. 27 (2001).
78
Ackerman & Ackerman, supra note 3, Bow & Quinnell, supra note 1.
79
Bathurst et al, supra note 46; McCann, et al., supra note 77.
80
Faigman (Evidentiary Status), supra note 45.
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ture exists demonstrating that projective drawings are related to
any specific element of a parent-child relationship, or are predic-
tive of any particular parenting practices or developmental out-
comes. It therefore constitutes poor professional practice for an
evaluator to render psycholegal conclusions about adult person-
ality structure and psychological functioning on the basis of pro-
jective drawings.
The use of psychological tests that do not provide data that
is related, either directly or indirectly, to the pending legal issue
raise issues of relevance. For example, many child custody evalu-
ators administer measures of intellectual functioning to each par-
ent.81
However, unless specific concerns arise regarding a
parent’s intellectual functioning, such data will be irrelevant to
the evaluation. In other words, a psychological test ought to pro-
vide data that is useful in answering some question or issue
before the court. Therefore, unless parental intellectual func-
tioning is an issue before the court, there is no psycholegal rea-
son to administer such a test. Significantly, there exists no
empirical data to suggest that parents of above-average intellec-
tual functioning provide more competent parenting than do par-
ents of average intellectual functioning. Similarly, there exists no
empirical data that links above-average intellectual functioning
with superior caregiving skills or with any uniquely positive ele-
ments of a parent-child relationship. One parent’s superior
scores on a test of intellectual functioning might inadvertently
give the court the incorrect impression that the “smarter” parent
will make the “better” parent. In such an instance, the presenta-
tion of data that appears to suggest a scientific comparison but
does not will be more prejudicial than probative.
Once an assessment tool is identified in a report as a psycho-
logical test, and if the case is in a state in which Daubert is ac-
cepted, the expert should be prepared to defend the choice and
the use of a particular test in a Daubert challenge. Such a chal-
lenge may include explaining to the judge information about a
test’s underlying theory of science, whether it has been published
in a peer-reviewed journal, status as a current standard among
81
Ackerman & Ackerman, supra note 46, at 579-84.
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the psychological community, psychometric data about its relia-
bility, validity, base rate estimates and its falsifiability.82
If the expert bases his or her opinion on a certain instru-
ment, that instrument’s scientific validity for the purpose used
may be the focus of a Daubert challenge. If the expert bases his
or her opinion on a particular methodology, then it is the meth-
odology that will be the focus of a Daubert challenge.
With respect to psychological testing, there are two ways to
approach a Daubert challenge: First, focus attention on each test
used in the battery of tests. Most of the psychological tests and
measures used in child custody evaluations might have difficulty
surviving a Daubert challenge because the tests have not been
developed for use in child custody assessments. Therefore, the
expert should not base his or her opinion upon the results of a
specific test or a specific set of tests.
Second, the expert should focus less attention on individual
tests and more attention on the scientific methodology used in
the evaluation process. Rather than examining each test used in
the evaluation process, the evaluator describes the usefulness
and breadth of data from alternative independent sources of in-
formation. As noted in Daubert: “Scientific methodology today
is based on generating hypotheses and testing them to see if they
can be falsified; indeed, this methodology is what distinguishes
science from other fields of human inquiry.”83
The evaluator must describe how information from any one
data source may be used to generate hypotheses about the par-
ent, the child, or the family. It is important to describe how in-
formation from one source of data is used to confirm or
disconfirm hypotheses generated from other independent
sources of information. One view is that psychological test data
are weighed no more heavily than collateral data or direct obser-
vational data. Another view is that psychological testing should
be weighed more heavily than other sources of data because a
well-developed test will have standardized norms, quantitative
measurements, multiple validity studies, standardized observa-
tional conditions and other psychometric properties.
82
David Medoff, The Scientific Basis of Psychological Testing: Considera-
tions Following Daubert, Kumho and Joiner, 41 FAM. CT. REV. 199 (Apr.
2003).
83
Daubert, 509 U.S. at 593.
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How the usefulness of data is weighed from different infor-
mation sources depends on the characteristics of each case. It is
the convergence of independent sources of data that help to
make one hypothesis more likely than another to be supported,
and the weight assigned to each information source may vary
from case to case depending upon the quality of the data and the
way in which the data may be interpreted within the larger con-
text of the family system.
In reality, Daubert challenges are rarely used in child cus-
tody cases. If it is a Frye jurisdiction, the task of the lawyer may
be very different in defending the use of a psychological test or
measure. Several publications describe how psychologists and
other mental health professionals use psychological tests in cus-
tody evaluations,84 and a number of upcoming articles investigate
evaluators’ knowledge of Frye and Daubert issues when selecting
and interpreting psychological tests.85
Based upon a Frye stan-
dard, it is possible that the use of the House-Tree-Person test,
Sentence Completion test or Themetic Apperception Test would
be ruled admissible because of their general acceptance among
evaluators as reported in these peer-reviewed articles.
It is the intention of the current APA Ethics Code and the
Specialty Guidelines for Forensic Psychologists to focus attention
on the reliability, validity and relevance of tests and measures
used in a forensic context. A test that is widely used by col-
leagues does not mean that the test is psychometrically sound.
An assumption built into the Frye standard is that a test
would not be commonly used among professionals in a field if its
reliability had not been previous demonstrated. As summarized
previously in a recent Illinois State Supreme Court decision, “A
technique, however, is not ‘generally accepted’ if it is experimen-
tal or of dubious validity. Thus, the Frye rule is meant to exclude
methods new to science that undeservedly create a perception of
84
See, e.g., Ackerman & Ackerman, supra note 46; Bow & Quinnell,
supra note 1. .
85
James N. Bow, James R. Flens & Jonathan W. Gould, J.W., Testing in
Child Custody Evaluations- Selection, Usage, and Daubert Admissibility, ___ J.
FORENSIC PSYCHOL. PRAC. (forthcoming 2005); James N. Bow, James R. Flens
& Jonathan W. Gould, An Analysis of Administration, Scoring, and Interpreta-
tion of the MMPI-2 and MCMI-III in Child Custody Evaluations (on file with
authors).
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certainty when the basis for the evidence or opinion is actually
invalid.”86
Such is not the case with many assessment techniques used
in the child custody field. Many clinical assessment techniques
drawn from clinical practice have been used in child custody
evaluations and, until recently, have been accepted as commonly
used among custody evaluators despite their lack of reliability
and relevance.87
The use of unreliable, clinically derived techniques such as
human figure drawings, sentence completion tests and other sim-
ilar projective techniques may have earned a place in the scien-
tific community and have undeservingly created a perception of
reliability when, in fact, there is no basis for such belief. An as-
sumption of the Frye standard that a principle or technique is not
generally accepted in the scientific community if it is by nature
unreliable does not appear to be reflected in custody evaluators’
historical use of projective techniques. Unreliable methods and
the interpretation of unreliable information that has been drawn
from those unreliable methods have been used as a basis upon
which evaluators have offered opinions about custodial place-
ment and visitation access. Reliance upon unreliable techniques
serves neither the families nor the courts. Fortunately, child cus-
tody evaluators increasingly focus on the use of reliable and rele-
vant assessment techniques.88
D. Direct Behavioral Observations of Parent-Child Interactions
When a forensic evaluator is assessing a parent’s caregiving
capacities, the evaluator must engage in direct observation of
parent-child interactions.89 This is true regardless of whether the
evaluator is assessing child custody, parental competency, or pa-
rental risk to the child and is expressly stated in the professional
86
Donaldson v. Central Illinois Pub. Serv. Co., 767 N.E.2d 314, 324 (Ill.
2002).
87
Ackerman & Ackerman, supra note 46, at 565-67.
88
Bow & Quinnell, supra note 1, at 261-68.
89
Some commentators suggest that such observations are not always nec-
essary for older children involved in custody disputes. See, e.g., STAHL, supra
note 43. We are not in agreement with this position.
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guidelines.90 For example, the Guidelines for Child Custody
Evaluations in Divorce Proceedings state that a child custody
evaluation should include “an evaluation of the interaction be-
tween each adult and child.”91 Direct behavioral observation can
provide information about a parent’s caregiving strengths and
weaknesses, such as a parent’s communication skills, perception
of the child, provision of structure and support, manner of ex-
pressing love, manner of providing discipline and knowledge and
expectations regarding the child’s developmental needs and abili-
ties. Since the heart of any CCE is the relationship between par-
ent and child, direct behavioral observation increases the
relevance of the data. Moreover, since observation provides an
opportunity to test hypotheses regarding parental strengths and
weaknesses, direct behavioral observation increases the reliabil-
ity of the data.
Observation of parent-child interactions can occur in struc-
tured or unstructured formats. Structured observational formats
typically require a parent and child to engage in a series of tasks,
or require an observer to score the parent and child according to
a series of interactional ratings. For example, the Parent-Child
Early Relational Assessment92 is a structured parent-child obser-
vation system that can be used to assess the quality of the rela-
tionship between a young child and his or her parent. The parent
and child are observed interacting during four segments of an
observational protocol: a feeding exercise; a structured task
(e.g., reading); free play; and a separation and reunion.93
Un-
90
American Psychological Association, supra note 40; Association of
Family and Conciliation Courts, supra note 45; Committee on Professional
Practice and Standards, APA Board of Professional Affairs, Guidelines for Psy-
chological Evaluations in Child Protection Matters, 54 AM. PSYCHOLOGIST 586
(1999); SCHUTZ ET AL., supra note 45.
91
American Psychological Association, supra note 40, at 678.
92
ROSEANNE CLARK, THE PARENT-CHILD EARLY RELATIONAL ASSESS-
MENT (1985); Roseanne Clark, Andrew Paulson & Susan Conlin, Assessment of
Developmental Status and Parental-Infant Relationships, in HANDBOOK OF IN-
FANT MENTAL HEALTH (Charles Zeanah ed., 1993).
93
An evaluator may indicate that he or she has followed a standardized
procedure to gather observational data. Although some of these standardized
procedures have an empirical basis, some have little or not empirical evidence
to support their validity. Moreover, some empirically-based observational pro-
cedures require that a practitioner undergo extensive training to qualify as an
expert in their use (e.g. the “strange situation,” which is used to classify young
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structured parent-child observation consists of simply observing
the parent and child together in an office setting or a naturalistic
environment such as the home, where observations can be made
of daily activities such as meals and bedtime routine.94 In prac-
tice, Marc Ackerman and Andrew Kane are likely correct in
their assertion that “[t]here are probably as many different ways
to perform observations as there are evaluators.”95
Regardless of the setting and structure for the observation,
the evaluator’s task is to assess the nature and quality of the in-
teractions between the parent and child, including assessing such
critical issues as the way in which the parent expresses love, af-
fection or support to the child; the way in which the parent pro-
vides discipline or structure to the child; the parent’s capacity to
understand and respond to the child’s cues; the parent’s capacity
to experience the child as a separate individual, with distinct
preferences and relationships; the parent’s sense of enjoyment or
competence in the parenting role; and the parent’s sense of frus-
tration or inadequacy in the parenting role.
Careful observation of parent-child interactions can be sig-
nificantly revealing, as the evaluator has the opportunity to wit-
ness patterns of interaction outside the parent’s awareness. For
example, phenomena such as a parent’s sour expression when the
other parent is mentioned or a parent’s repeated depreciation of
the child in an attempt to be educative may become obvious dur-
ing an observation session. Even more important, the child’s re-
sponses to parental behavior also become clear. An example
follows: During interviews, Ms. Jones seemed overly concerned
with her four-year-old son’s cognitive development to the exclu-
sion of almost all other aspects of the child’s development. In-
structed by the evaluator to bring materials to the observation
session with which she and her son would like to work, Ms. Jones
brought in a large shopping bag full of reading material and
games designed to teach arithmetic. She proceeded to invite the
children’s attachment status). Whenever an evaluator claims to be using a stan-
dardized observational method, the attorney should attempt to clarify the sup-
port the method has from validation studies, as well as the evaluator’s
qualification to use the method.
94
STAHL, supra note 43.
95
MARC J. ACKERMAN & ANDREW W. KANE, PSYCHOLOGICAL EXPERTS
IN DIVORCE ACTIONS 159 (1998).
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child to work with them. To the evaluator’s surprise, the child
instantly cuddled up to his mother, who put her arm around him
with warm affection. He worked assiduously at the games with
evident delight. When he grew tired of an activity, he readily
communicated this to his mother; his mother repeatedly re-
sponded by encouraging him to select an activity he would enjoy
more or by gently telling him that the activity was difficult at this
point in time but that she was sure he could do it if he persisted.
Observing the mother and child together, the evaluator con-
cluded that the mother’s style, which might have been problem-
atic for some children, worked extremely well for her son.
Problems of reliability can occur when an evaluator offers
conclusions in the absence of any observational data. For exam-
ple, many evaluators describe observational sessions as revealing
“a warm relationship” or “a positive attachment,” without eluci-
dating the data upon which these conclusions are based. In the
absence of any observational data to support this conclusion
(e.g., warm physical contact, gentle redirection, verbal praise and
encouragement), it is not possible to assess the reliability of the
evaluator’s conclusions. Problems of relevance can occur when
an evaluator offers peripheral data that lack any relationship to
the underlying psycholegal issue of comparative parenting capac-
ity. For example, some evaluators report observational sessions
as verbatim transcripts and do not appear to employ any guiding
observational methodology. In the absence of a conceptual
framework with which to organize and understand observational
data, it is likely that the evaluator’s conclusions will lack the req-
uisite relevance.
Finally, videotaping behavioral observation sessions can fa-
cilitate both the reliability and relevance of the data gathered.
Currently, the videotaping of such sessions is uncommon in most
jurisdictions. Videotaping has some disadvantages, including
cost, time and potential evidentiary problems. However, video-
tapes can provide a particularly informative record of parent-
child interactions. Reviewing the videotape can allow the evalu-
ator to observe exchanges that went unnoticed during the obser-
vation session itself. Moreover, videotaping permits third parties
(such as the court) to see the data described in the evaluator’s
report, including gestures and vocal tones, which can be ex-
tremely significant. We believe that because videotaped record-
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ings provide one of the best means of reducing reliance on
impressionistic descriptions of parent-child interactions and thus
increase the reliability of behavioral observations, legal profes-
sionals should encourage videotaping of observation sessions
whenever practical.
E. Interviews with Collateral Sources and Review of Relevant
Records
The acquisition of reliable and relevant collateral informa-
tion is arguably the most important component of a child custody
evaluation. Forensic evaluation differs from clinical evaluation in
its emphasis on establishing historical truth.96
Forensic evalu-
ators can utilize collateral data sources to help determine the
facts underlying the psycholegal issue before the court. Collat-
eral data serves a number of important functions in a CCE. First,
such data can support or contradict a custody litigant’s allega-
tions regarding comparative parenting competency. Second,
such data can control for the potential effects of deception and
malingering, since parents may—intentionally or unintention-
ally—distort information in a manner that serves their legal posi-
tion. Third, such data can provide a way for the evaluator to
increase the confidence of interpretations and conclusions, be-
cause the obtained information derives from sources external to
the evaluation and provides external validation in support of one
or more hypotheses. Fourth, such data can make a significant
contribution to an understanding of the litigant’s behavior prior
to the current legal dispute. For example, in a child custody case,
collateral interviews can provide historical data about the parent-
child relationship that may be critical to the examiner, yet other-
wise unavailable.
The decision to interview collateral sources should be
“based upon criteria of relevancy, reliability and necessity.”97 A
more valuable collateral source will be one who is not related to
either parent and who has no vested interest in the outcome of
the evaluation. We support William Austin’s model98 of dia-
96
Shuman, supra note 17.
97
Herbert N. Weissman, Child Custody Evaluations: Fair and Unfair
Professional Practices, 9 BEHAV. SCI. & L. 469, 473 (1993).
98
William G. Austin, Guidelines for Utilizing Collateral Sources of Infor-
mation in Child Custody Evaluations, 40 FAM. CT. REV. 177 (2002).
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gramming collateral sources as a series of concentric circles in
which more distant emotional relationships with the litigants pro-
duce more neutrality. According to this diagrammatic model, in-
ner circles are occupied by family members and friends; circles of
middle distance are occupied by individuals such as coaches and
scout leaders; and outer circles are occupied by individuals such
as pediatricians, teachers and other community professionals.
The reliability of collateral interviews is increased when the
evaluator uses neutral, non-aligned sources who can provide a
credible view of the litigants’ parenting over time. The relevance
of collateral interviews is increased when the evaluator gathers
information about a parent’s real-life caregiving practices, com-
petencies, and difficulties.99
Any competent CCE must include
information about how the parent and child operate in the real
world, outside the artificial and contrived circumstances of the
evaluator’s office. Obtaining information from people who have
direct observational knowledge of the parent and child in differ-
ent situations is often the most important data obtained in a
CCE. Evaluators can also interview sources who do not have
knowledge of parent-child interactions, but who have observa-
tional knowledge of the child’s functioning and adjustment in a
variety of domains (e.g., academic, social, emotional), such as
teachers or day care providers.
Problems of reliability can occur when the evaluator inter-
views individuals who are aligned with one litigant and are there-
fore personally invested in the outcome of the litigation.
Examples of such individuals include a litigant’s parents, siblings
or new spouse.100 Although it will be helpful to talk with such
99
Id.; see also Gould, supra note 50, at 162-63.
100
It is also important for the evaluator to understand how each collateral
informant may know each parent. For example, it is not uncommon for a
teacher to have more contact with a stay-at-home mother than with a working
father. When such situations arise, it is important for the evaluator to examine
the degree to which a teacher, who otherwise would be considered a neutral
informant, may have aligned herself with one parent due to her increased con-
tact with that parent and that parent’s perspective on the custodial conflict.
Similarly, when interviewing a child’s therapist, it is important for the evaluator
to determine whether the therapist has received information from both parents
before determining that the therapist is a neutral source of information. Ther-
apists, who may be viewed as credible because of their professional credentials,
may become aligned with their adult patient or with the parent of their child
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individuals, it is critical that the evaluator treat their reports simi-
larly to information from the parent-litigants themselves: as data
that may be intentionally or unintentionally biased, and that
therefore must be corroborated with other sources of informa-
tion. The more emphasis an evaluator places on collateral infor-
mants from within the parent’s close emotional circle, the greater
the likelihood that the obtained information is biased. Con-
versely, when information from a parent’s close friends and fam-
ily is corroborated by information from neutral and non-aligned
informants, an evaluator can have greater confidence in the accu-
racy and utility of the information.
Problems of relevance can occur when the evaluator accepts
and considers information not relevant to the issue of compara-
tive parenting capacity. For example, parents may ask their fam-
ily and friends to provide letters that serve as “character
affidavits” attesting to the parent’s good will and moral charac-
ter. When such letters are provided by friends or co-workers
who have no observational knowledge of parent-child interac-
tions and little or no knowledge of the child involved in the dis-
pute, they lack the requisite relevance to be of use. There may
be cases in which such information is of use, and we are not sug-
gesting that evaluators should never consider input from friends
or co-workers. However, in our experience, these letters rarely
contain any information relevant to the issue of parenting
capacity.
IV. Complex Issues in Child Custody
Evaluations: Domestic Violence and Child
Alienation
It is particularly important for legal professionals to assess
the reliability and relevance of CCEs in complex cases that in-
volve allegations of domestic violence, abuse or child alienation.
The forensic assessment of such allegations remains a controver-
sial topic in CCEs. These assessments present a unique challenge
because of the complexity of psychological variables involved in
a comprehensive assessment and because of the social policy im-
patient who supports treatment. Therefore, they may be an unreliable source
of collateral information.
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plications and political passions that are evoked when such alle-
gations are part of a custody case.
Writing about allegations of domestic violence in the context
of child custody litigation, Austin notes, “there is probably no
forensic question on which overreaching by mental health profes-
sionals has been so common and egregious.”101
Overreaching
occurs because evaluators reach conclusions based upon inade-
quate or incomplete data, or upon outdated research or personal
beliefs presented as professional judgments. Significantly, a rela-
tionship exists between allegations of child alienation and domes-
tic violence. Recently, the concept of alienation has undergone
both revision102 and critique.103
Child alienation is currently
viewed as a family system process in which the alienating parent,
the alienated parent and the child all contribute to dysfunctional
relationships within the family system.
One important criticism of CCEs that assess for domestic
violence or child alienation is that evaluators often are poorly
trained to discriminate alienation from abuse. A parent who has
been abused, or who is protecting a child from abuse, may ap-
pear to be alienating the child from the abusive parent when, in
fact, the protective parent is attempting to keep the child safe.
As a result of this criticism, some researchers have re-conceptual-
ized alienation by looking at the child’s behaviors and attach-
ments and assessing whether the parent’s behaviors may be
alienating in nature.104 These researchers have proposed a series
of areas to explore in determining whether abuse and/or aliena-
101
William G. Austin, Assessing Credibility in Allegations of Marital Vio-
lence in the High Conflict Child Custody Case, 38 FAM. & CONCILIATION CTS.
REV. 462, 463 (2000).
102
Joan B. Kelly & Janet R. Johnston, The Alienated Child: A Reformula-
tion of Parental Alienation Syndrome, 39 FAM. CT. REV. 249 (2001); Richard A.
Warshak, Current Controversies Regarding Parental Alienation Syndrome, 19
AM. J. FORENSIC PSYCHOL. 29 (2001).
103
Carol S. Bruch, Parental Alienation Syndrome and Parental Alienation:
Getting it Wrong in Child Custody Cases, 35 FAM. L.Q. 527 (2001); Kathleen C.
Faller, The Parental Alienation Syndrome: What It Is and What Data Support It,
3 CHILD MALTREATMENT 100 (1998).
104
Leslie Drozd, Toby Kleinman, & Lenore Walker, How To’s in Family
Law Cases Involving Domestic Violence, in CONFLICT RESOLUTION, CHILDREN
AND THE COURTS: 38TH ANNUAL CONFERENCE OF THE ASSOCIATION OF FAM-
ILY AND CONCILIATION COURTS 309 (2001).
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tion are present in a custody case. Among the questions to inves-
tigate are: (1) is there a problem with the child’s attachments?;
(2) is there a problem with the child’s behavior?; (3) if so, is there
a reality-based reason for the child’s troubled behavior?; (4) are
there reasons to believe that the child has been exposed to some
form of abuse; (5) are there reasons to believe that the child has
been the victim of some form of abuse?; (6) are there reasons to
believe that the child has interpreted events as abusive?; and (7)
if the child has been exposed to or a victim of abuse, is the abuse
“pure abuse” or is it combined with alienation dynamics?
The competent evaluator needs to be aware of how different
factors are empirically linked to specific areas of family function-
ing. The competent evaluator also needs to systematically ex-
plore each of the variables known to be associated with different
forms of violence and maltreatment. For example, if a referral
question focuses attention on partner violence during the mar-
riage, the evaluator must explore concerns about child abuse per-
petrated by each parent, and not merely by the alleged aggressor.
V. Considerations in Using Mental Health
Professionals in Child Custody Litigation
Given the above analysis of methodological problems com-
mon to CCEs, a threshold question in the preparation of a cus-
tody dispute case is whether to use a forensic mental health
expert at all. In cases in which the facts clearly mitigate in favor
of one parent and against the other as custodian, expert testi-
mony may add little or no new information. Conversely, a CCE
will be indicated in cases in which expert testimony can assist the
trier of fact in understanding the evidence or in determining the
facts at issue and when the expert is qualified by adequate
knowledge, skill, experience, training or education.105
If lawyers are generally ill-prepared to cope with scientific
and technical material, many mental health professionals are sim-
105
While a licensed mental health professional may generally be permit-
ted to opine in all areas of his or her discipline, when a matter arises in a new
and emerging field that is highly specialized, most courts also require additional
expertise before admitting testimony on the subject. Examples of such highly
specialized areas include clinical phenomena such as recovered memories of
sexual abuse and clinical diagnoses such as Munchausen’s Syndrome by Proxy.
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ilarly unprepared to work with legal concepts and evidentiary is-
sues. Nonetheless, forensic training is more available in the
mental health field than is behavioral science and research train-
ing in the legal field. The preferred custody expert is one who
has had significant education in the area in which he or she is
opining, as well as experience with the rules of evidence.106
Re-
view and verification of the expert’s curriculum vitae is essential;
copies of prior forensic mental health reports and authored arti-
cles may also prove useful. If psychological tests will be used, the
expert can be asked for a copy of the manual and any articles in
the legal and scientific literature that explain or critique the tests
and their application in CCEs.
Local rules will govern discovery opportunities with respect
to adverse expert testimony. To the extent permitted by local
law, production can be demanded of all notes and material in any
media (including electronic media), and any test results (includ-
ing raw data). Practitioners should demand an index of any ma-
terial asserted to be privileged, the nature of the material, and
the basis for the assertion of privilege. This can constitute the
foundation for a subsequent motion to compel production or an
in camera inspection of the material asserted to be privileged.
Finally, since most law school curricula do not include statistics
or research methodology classes—fields of learning essential to
106
Who qualifies as an expert obviously depends upon the issues in a
given case. Where a specific clinical condition is at issue, it would appear that
training and experience relevant to the diagnosis and treatment of that condi-
tion would be necessary. However, this is not necessarily the case. Jurisdictions
do not agree as to the necessity of a local license or specific training and experi-
ence. For example, North Dakota takes the position that Federal Rule of Evi-
dence 702 does not require licensure in a particular field, or licensure in the
court’s jurisdiction, to qualify as an expert. Rather, it is the witness’s actual
qualifications that count. Anderson v. A.P.I. Co., 559 N.W.2d 204, 206-07 (N.D.
1997); State v. Carlson, 559 N.W.2d 802, 809 (N.D. 1997); Oberlander v. Ober-
lander, 460 N.W.2d 400, 402, (N.D. 1990). Furthermore, in North Dakota, any
educated and experienced psychologist should be able to qualify as an expert to
testify about child custody factors. Unfamiliarity with the statutory factors af-
fecting the legal determination of custody, a potential conflict of interest, and
bias might affect the weight given the opinion, but these factors go to the credi-
bility–not to the admissibility–of the evidence. Kluck v. Kluck, 561 N.W.2d 263,
266 (N.D. 1997). Obviously, a review of the local jurisdiction’s views on these
issues is necessary both in choosing an expert and in questioning an adverse
expert.
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the litigation of admissibility issues and the examination and
cross-examination of scientific experts—counsel may wish to
hire a consulting expert who can explain the scientific methodol-
ogy underlying the expert’s opinions, critique flawed or unscien-
tific methodologies and assist in preparing direct and cross
examination.107
VI. Ethical Principles of Psychologists and Code
of Conduct Relevant to Daubert
The American Psychological Association’s Ethical Principles
of Psychologists and Code of Conduct (Ethics Code) set forth
enforceable rules for conduct as psychologists.108
The Ethical
Standards (ES) are not exhaustive: if conduct is not specifically
addressed, it does not mean the conduct is ethical or unethical.
The newest version of the Ethics Code came into effect on
June 1, 2003, and amended the 1992 version of that Code. The
amended Code is designed to give the psychologist a greater abil-
ity to exercise professional judgment regarding the appropriate
response to a variety of situations, in part by increased use of the
terms like “reasonably,” “appropriate,” and “potentially,” and
decreased use of “must” or “should.” The general directive is to
do what a “reasonable psychologist” would do.109
The Ethics Code applies only to psychologists’ activities that
are part of their scientific, educational, or professional roles as
psychologists (i.e., counseling, clinical, research, teaching, foren-
sic activities), not their private conduct. Further, a finding that a
psychologist has violated a provision of the Ethics Code is not
intended to be a basis of civil liability against that psychologist.
A psychologist who violates the Ethical Standards faces sanctions
107
See also Barbara Ellen Handschu, Tips, Strategies for Questioning Your
Expert on Direct Exam, 15 MATRIM. STRATEGIST 1 (Dec. 1997); James J. Jim-
merson, Cross-Examining an Opposing Expert at Trial: Preparation (Part I of
II), 18 FAIR$HARE 2 (May 1998); Stuart B. Walzer & Jan C. Gabrielson, Strate-
gic Cross-Examination in Commandments of Cross-Examination, 3 LITIGATION
18 (Winter 1977).
108
American Psychological Association, supra note 40 .
109
MARC J. ACKERMAN, CLINICIANS GUIDE TO CHILD CUSTODY EVALU-
ATIONS (1995); PHILIP M. STAHL, CONDUCTING CHILD CUSTODY EVALUA-
TIONS: A COMPREHENSIVE GUIDE (Supp. 2005).
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ranging from educational advisories to an expulsion from the
APA (if he/she is a member).
Several Ethical Standards have specific relevance to the re-
quirements set down by the Court in Daubert.
1. ES 9.01(b) – “Except as noted in 9.01(c), psychologists provide
opinions of the psychological characteristics of an individual only
after they have conducted an examination of the individual ade-
quate to support their statements or conclusions. When, despite
reasonable efforts, such an examination is not practical, psycholo-
gists document the efforts they made and the result of those efforts,
clarify the probable impact of their limited information on the relia-
bility and validity of their opinions, and limit the nature and extent
of their conclusions or recommendations.”110
Exception – ES 9.01(c) – “When psychologists conduct a record
review or provide consultation and an individual examination is not
necessary for the opinion, psychologists can explain this and the
sources of information on which they based their conclusions and
recommendations.”111
This Ethical Standard specifically addresses the importance
of in-person evaluations of individuals about whom psychologists
will offer a professional opinion. Under this standard, with few
exceptions, psychologists must conduct individual examinations
sufficient to obtain personal verification of information on which
to base their professional opinions and refrain from providing
opinions about the psychological characteristics of an individual
if they themselves have not conducted an examination of the in-
dividual adequate to support their statement or conclusions.
2. ES 9.02(a) – “psychologists administer, adapt, score, interpret, or
use assessment techniques, interviews, tests, or instruments in a
manner and for purposes that are appropriate in light of the re-
search on or evidence of the usefulness and proper application of
the techniques.”112
3. ES 9.02(b) – “psychologists use assessment instruments whose va-
lidity and reliability have been established for use with members of
the population tested. When such validity or reliability has not
110
American Psychological Association, Ethical Principles of Psycholo-
gists and Code of Conduct, Ethical Standards § 9.01(b) (2002) available at http:/
www.apa.org/ethics/code2002.pdf.
111
Id. at § 9.01(c).
112
Id. at § 9.01(a).
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been established, psychologists describe the strengths and limita-
tions of test results and interpretations.”113
A psychologist should ensure that a test has been validated
for use with individuals of the age, gender, ethnicity, etc. of the
client. Some of this information will come from the test manual.
The psychologist also needs to be sufficiently familiar with the
research on the test to be able to assess whether new research
supports or questions particular uses of the test or interpretations
of the results. If a test is used despite the lack of research-based
support for the particular use, the psychologist is required to
specify why it was used, the advantages of using it and any limita-
tions on interpretations and recommendations as a result of its
use.
4. ES 9.06 – “When interpreting assessment results including auto-
mated interpretations, psychologists take into account the purpose
of the assessment as well as the various test factors, test-taking abil-
ities, and other characteristics of the person being assessed, such as
situational, personal, linguistic, and cultural differences, that might
affect psychologists’ judgments or reduce the accuracy of their in-
terpretation. They indicate any significant limitations of their
interpretations.”114
5. ES 9.08(a) – “Psychologists do not base their assessment or inter-
vention decisions or recommendations on data or test results that
are outdated for the current purpose.”115
VII. Conclusion
Given the psycholegal import of CCEs, it is imperative that
forensic mental health professionals tender evaluations that have
113
Id.at § 9.02(b). Of note, on April 8, 2005, a Youngstown, Ohio psychol-
ogist’s license was suspended for two years. Among the factors considered by
the Board in making its decision was the use by the psychologist of “an insuffi-
ciently validated instrument . . . as a basis for reaching conclusions in psycholog-
ical assessments.” Other factors were also considered by the Board, so there is
no way of knowing how much weight was assigned to this one particular ele-
ment. Also of interest, from the same case, the Board cited a section of Ohio
law referred to as the “Specialty Standard of Care,” which states that “one who
undertakes practice in a given specialty area will be held to the standard of care
within that specialty while he/she is practicing in that area.” The suspension is
stayed pending its appeal. See https://license.ohio.gov
114
Id. at § 9.06.
115
Id. at § 9.08(a).
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been conducted with due regard for scientific methodology, be-
havioral science literature and ethical guidelines. Evaluators
who purport to assess the best psychological interests of children
involved in custody disputes must take precautions not to inad-
vertently harm those interests. As Chief Justice Frank D. Cele-
brezze of the Ohio Supreme Court wrote, “While statues can be
amended and case law can be distinguished or overruled, we take
judicial notice of the fact that children grow up only once. When
a mistake is made in a custody dispute, the harmful effects are
irrevocable.”116
116
In re Wonderly, 423 N.E.2d 420, 427 (Ohio 1981).
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