Bennett v. RichmondBennett v. Richmond
Thе sole issue in this appeal is whether the trial court abused its discretion when it permitted a psychologist to testify on behalf of a plaintiff in a personal injury case
Background
In May, 2004, Henry Bennett, while operating a roll-off container truck for Schu-pan & Sons, Inc. (referred to collectively as “Bennett”), rear-ended John Richmond’s vehicle. Bennett’s truck weighed 42,000 pounds; Richmond was driving a van. In December, 2005, Richmond and his wife sued Bennett for injuries Richmond sustained in the collision to his neck and back. 2
In October, 2006, pursuant to a referral by his attorney, Richmond underwent a neurоpsychological evaluation with Dr. Sheridan McCabe, a psychologist. Richmond had been experiencing headaches and memory loss since the accident but had not been diagnosed with a brain injury. Dr. McCabe reviewed Richmond’s medical records and Richmond’s deposition; he also interviewed Richmond and his wife and administered a battery of neuropsychological tests to Richmond. As a result of the evaluation, Dr. McCabe testified that Richmond had “experienced a traumatic brain injury in the accident.” Appellant’s App. 105. This testimony forms the basis of this appeal.
Bennett objected to Dr. McCabe as an expert witness on three separate occasions during this litigation, each time challenging the admissibility of Dr. McCabe’s testimony that Richmond experienced a traumatic brain injury in the accident. Bennett first filed a pretrial motion to exclude Dr. McCabe as an expert witness. The trial court denied Bennett’s motion. 3 Bennett again objected to Dr. McCabe’s testimony at trial, which the trial court overruled. Then, after the jury returned a $200,000 judgment in favor of Richmond, Bennett filed a motion to correct error on the basis that Dr. McCabe should not have been permitted to testify. The trial court also denied that motion.
Bennett appealed, contending that the trial court erred when it permitted Dr. McCabe to testify that Richmond had sustained a traumatic brain injury in the accident.
4
The Court of Appeals agreed and reversed and remanded the case for a new trial.
Bennett v. Richmond,
Richmond sought, and we granted, transfer,
Bennett v. Richmond,
Discussion
I
While there is little dispute that a psychologist may testify as to the existence of
For its part, the Court of Appeals in this case held that psychologists are not per se unqualified to opine on issues of medical causation, but rather, under Indiana Evidence
Although we disagree with the result reached by the Court of Appeals, we do agree with its general approach in this case, and in doing so, align ourselves with
II
Bennett objected to Dr. McCabe’s testimony under
The trial court is considered the gatekeeper for the admissibility of expert opinion evidence under
(a) If scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or tо determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education, may testify thereto in the form of an opinion or otherwise.
(b) Expert scientific testimony is admissible only if the court is satisfied that the scientific principles upon which the expert testimony rests are reliable.
Ind. Evidence
A
With regard to his qualifications, Dr. McCabe obtained a Masters degree in General Psychology in 1956 and a Ph.D. in Counseling Psychology in 1958. 9 He taught in the psychology department at the University of Portland from 1958 to 1967 and taught courses in performing psychological assessments at the University of Notre Dame from 1967-1997. Dr. McCabe served as a psychological consultant for Elkhart General Hospital. He has been in clinical practice since 1981, in which he primarily performs psychological assessments. He has continued his education by attending professional workshops specializing in forensic applications of psychology, which “touched on subjects that relate to evaluation of traumatic brain injuries.” Appellant’s App. 69. Dr. McCabe also testified that he has had patients referred to him by medical doctors. Specifically, two neurologists referred cases to him for “specific aspects of brain behavior relationship questions,” id. at 70, and other general practitioners referred cases to him for insight into the “relаtionship between the presenting psychological problems and ... underlying medical issues,” id.
With the assistance of a video, Dr. McCabe testified extensively about the physiological aspects of the brain and how a closed head injury 10 might occur from a rotational impact or whiplash motion. He explained that when the
head is forced either forward and backward or somehow side to side ... the brain, which is the consistency maybe of jello or oatmeal, moves at a different pace than the hard shell of the skull. And as that kind of whiplash-kind of motion occurs, the brain tissues are dragged across those bony protuberances and that’s the source of the difficulty in many closed head injuries.
Id. at 79. Dysfunction, he explained, may result from this rotational motion.
Dr. McCabe also thoroughly described the methodology he used to reach his conclusion that the accident caused Richmond’s brain injury. He interviewed both Richmond and his wife, reviewed both Richmond’s medical records and deposition, and conducted a series of tests. Dr. McCabe drew conclusions from each of the tests he performed on Richmond. From the Wechsler Adult Intelligence Scale-Ill, which he explained was a “widely used test, almost universal” and “very good from a scientific point of view,”
id.
at 88, he noted a disparity between Richmond’s verbal and performance tests that he attributed to “some sort of interference with his cognitive processing that [he called] kind of cognitive inefficiency,”
id.
at 90 (emphasis omitted). From the Wechsler Memory Scale, “another widely used clinical memory test,”
id.
at 90, Dr. McCabe also noted a pattern of discrepancy or inefficiency that led him to conclude that there were “difficulties ... getting in the way of [Richmond’s] smooth memory function,”
id.
at 90. Lastly, from the Halstead Neuropsychological Test Battery, again “a very widely used battery,”
id.
at 91, Dr.
So we put all this information together and relate it to the facts of the injury and the manifestation in his life of these growing cognitive processing difficulties. And that’s how I arrived at the hypothesis that I did; namely, that in the course of this rear-ending accident, he sustained what we saw in that video: diffuse axonal injury; that is to say, that kind of motion to the head caused damage to the connections between the cells of the brain through the axons. They were sufficiently messed up to provide him with these processing problems that he has manifested — by the time I saw him two years later.
Id. at 92.
Over Bennett’s objection, Dr. McCabe then testified that it was his opinion that Richmond “experienced a traumatic brain injury in the accident.” Id. at 105. He explained that “[gjiven the absence of any of the symptoms of this condition prior to the accident, either in his report, the medical record, or the observations of his wife, it seems evident that the accident produced the brain injury.” Id. at 105-06. According to Dr. McCabe, Richmond’s experiencing “chroniс headaches, a loss of cognitive efficiency, difficulties in information processing, and some adverse personality changes” appeared to be a result of his brain injury. Id. at 106.
B
The Court of Appeals concluded that Dr. McCabe was not qualified under
We note here that Dr. McCabe’s testimony on causation relates to his opinion as to the existence and evaluation of a brain injury that he in fact was uniquely qualified to offer, especially considering his testimony that brain injuries such as Richmond’s often go undiagnosed by medical professionals for various reasons.
See Bennett,
In any event, we think that the Court of Appeals imposed more stringent requirements on Dr. McCabe than are required under
Other jurisdictions analyzing this issue under vаrious analogs to our
Lastly, Bennett argues that the proper qualifications to testify as to the cause of a brain injury are those of a “neuropsychologist,” and because Dr. McCabe has not claimed to be a neuropsychologist and has not presented any credentials identifying himself as a neuropsychologist, his qualifications are distinguishable from those psychologists that were qualified to testify to the medical cause of brain injuries in other cases. But even if we were to require under
We conclude that the trial court did not abuse its discretion in finding that Dr. McCabe was qualified to offer his opinion as to the cause of Richmond’s brain injury.
C
Admissibility under
First, Bennett argues that the scientific basis of Dr. McCabe’s testimony should have been examined through means of a
Daubert
hearing and that the trial court erred in not holding such a hearing.
15
But we note that Bennett never requested that the trial court hold a
Daubert
hearing and never raised an objection in the trial court on this basis. Moreover, the substance of such a hearing was by and large served during the hearing on his pretrial motion to exclude, at which time Bennett offered and the trial court admitted Dr. McCabe’s deposition testimony.
Cf. TRW Vehicle Safety Sys.,
We conclude that the trial court did not abuse its discretion in finding that Dr. McCabe’s testimony was based on reliable scientific principles.
Related to the reliability of his testimony, the Court of Appeals concluded that even if Dr. McCabe were qualified to opine as to the cаuse of Richmond’s brain injury, his testimony lacked probative value because he did not testify regarding the mechanics of the accident or describe the force or speed of the impact.
Bennett,
We concludе that the trial court did not abuse its discretion in finding that Dr. McCabe’s testimony was based on reliable scientific principles that could be applied to the facts at issue.
Conclusion
Our review of the record, read in conjunction with the requirements of
Notes
. This case involves similar issues to those we address in another case decided today,
Person v. Shipley,
. Richmond also sustained a back injury in the course of his employment in December, 2004, which apparently exacerbated the injuries he had sustained in the May, 2004, accident.
. The trial court also denied Richmond's motion to exclude Dr. David Kareken, a psychologist who had examined Richmond on behalf of Bennett. Bennett, however, did not call Dr. Kareken as a witness at trial.
. Bennett's brief in the Court of Appeals suggests that he also challenges Dr. McCabe’s qualifications to evaluate whether Richmond in fact suffers from а brain injury. However, in subsequent filings in that court and during oral argument before this Court, Bennett clarified that he only challenges Dr. McCabe's qualifications to offer an opinion as to the cause of Richmond's brain injury.
. We have been advised that John Richmond passed away in February, 2011, and that an Estate has been opened for the purposes of this case.
. " '[Njeuropsychology’ is a term used by psychologists to selfdesignate themselves as having expertise in diagnosing brain injuries.” Joseph M. Desmond, Admissibility of Neuropsychological Evidence in New Hampshire, N.H. B.J., Winter 2007, at 12, 14.
. Five members of the Supreme Court of Florida in
Grenitz v. Tomlian
agreed that neu-ropsychologists were not qualified to tеstify as to the medical cause of organic brain damage, while two members rejected a bright-line rule that neuropsychologists can never testify in this regard.
Compare Grenitz,
. We note that this approach differs from the per se exclusion by the Court of Appeals of nurses' testimony in medical malprаctice cases on the medical cause of injuries.
See Long v. Methodist Hosp. of Ind., Inc.,
. In his deposition, Dr. McCabe explained that Counseling Psychology was an applied field that involved “working with people who were not psychiatric patients, but rather kind of regular people who had some sort of problem and counseling dealt with that,” and that it involved "the assessment of a patient’s psychological well-being.” Appellant’s App. 235.
. Dr. McCabe explained that a "closed head injury” is one where there is "no open wound to suggest that the head was significantly injured.” Appellant's App. 77.
.
Hannan,
in turn, cites
Brown v. Terre Haute Regional Hospital,
. Dr. McCabe testified in his deposition that traumatic brain injuries do not occur in the absence of some sort of closed head injury.
. Specifically, Dr. McCabe explained in his deposition: "Traumatic brain injury characteristically affects certain kinds of cognitive functioning, not across the board .... because we’re not destroying the cortex. We're destroying connections. Consequently, we look for particular kinds of inefficiency as suggestive of traumatic brain injury.” Appel-lee’s App. 238. "Other kinds of patterns,” Dr. McCabe continued, "would not suggest traumatic brain injury, but rather some other kind of — like a tumor or some other sort of brain injury.” Id. Dr. McCabe also testified at trial that he had rejected other possible causes of Richmond's cognitive inefficiencies through his evaluation, including back injuries, notable life events, anxiety, and depression.
. In his response to a juror question, Dr. McCabe similarly described neuropsychology as "the study of the relationship between the brain and behavior.” Appellant’s App. 184.
. A
"Daubert
hearing” refers to a hearing usually conducted before trial to determine whether proposed expert testimony meets the requirements of
. The trial court went on to state in a footnote:
Plaintiffs should consider, however, that they may have trouble in convincing the Court that sound scientific principles exist to allow McCabe, a non-medical doctor, to "diagnose” whether Mr. Richmond sustained a traumatic brain injury as a result of the accident. This is a different question, however, from testifying that persons suffering from traumatic brain injuries exhibit symptoms similar to the ones he observed when examining Mr. Richmond. From the record before the Court, however, the Court will not exclude McCabe's testimony wholesale. The myriad of issues that McCabe might be asked to testify upon may very well include ones outside the bounds of reliable scientific principles upon which he is competent to testify. Conversely, McCabe is undoubtedly competent to testify on some issues. Whether these issues will be enough to convince the trier of fact to award Plaintiffs compensation for a "traumatic brain injury” is another question. The Court will not speculate as to each issue or adopt Defendant's wholesale approach of excluding McCabe as a witness at this time. To do otherwise would amount to "micro-managing” the Plaintiffs' case for them, which the Court will not do.
Appellant’s App. 30 n.3.