Doe v. Ortho-Clinical Diagnostics, Inc.Doe v. Ortho-Clinical Diagnostics, Inc.
Plaintiffs John and Jane Doe 2 (“Plaintiffs”) have initiated this lawsuit based upon their contention that the thimerosal in Defendant Ortho-Clinical Diagnostics, Inc.’s (“Ortho-Clinical” or “Defendant”) biologic product RhoGAM caused them child’s autism. This matter is presently before the Court on three motions: Defendant’s Motion to Exclude All Testimony that Thimerosal-Containing RhoGAM Causes Autism [Document # 63], Defendant’s Motion to Exclude Plaintiffs’ Expert Suzanne Parisian, M.D. [Document # 65], and relatedly, Defendant’s Motion for Summary Judgment [Document # 94]. The Court heard testimony concerning Defendant’s motions to exclude witnesses for three days at the end of May 2006. Based upon the testimony at that hearing, the Court will grant Defendant’s Motion to Exclude All Testimony that Thimerosal-Containing RhoGAM Causes Autism. More specifically, the focus of the Court’s present Memorandum Opinion is the testimony of Plaintiffs’ expert witness, Dr. Mark Geier. Dr. Geier was the only expert offered in this case by Plaintiffs who is designated to testify as to both general and specific causation. For the reasons given by the Court herein, Dr. Geier’s testimony is specifically being excluded pursuant to Defendant’s Motion to Exclude. As such, without Dr. Geier’s testimony, Plaintiffs are unable to meet their burden to demonstrate that the thimerosal in Defendant’s RhoGAM product caused Plaintiff Minor Child Doe 2’s autism, a result that leads directly to the failure of all of Plaintiffs’ claims. Accordingly, for the reasons detailed below, the Court will also grant Defendant’s Motion for Summary Judgment.
1. FACTUAL BACKGROUND 1
Plaintiffs allege that Minor Child Doe 2 (“Minor Child Doe”) has suffered severe neurodevelopmental disorders and permanent injuries from exposure to toxic levels of mercury. Plaintiffs claim that this mercury exposure resulted from one single shot of RhoGAM that Jane Doe received while 28-weeks pregnant and another shot of RhoGAM that Jane Doe received shortly after Minor Child Doe’s birth.
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Plaintiffs argue that this limited amount of thimerosal, which contains a mercury derivative, in both of those shots given to his mother caused Minor Child Doe to develop autism approximately sixteen months after his birth. Based upon these allegations, Plaintiffs’ several claims against Defendant consist of the following: (1) negligence; (2) negligent failure to warn; (3) breach of express warranty; (4) breach of implied warranty; (5) negligent misrepresentation; (6) intentional misrepresentation and fraud; (7) unfair and deceptive trade practices; (8) inadequate design; (9) negligent
In order to prove their claims, Plaintiffs designated three experts on the question of whether thimerosal could cause autism: Dr. Mark Geier (“Geier”), Boyd Haley, Ph.D. (“Haley”) and George Lucier, Ph.D. (“Lucier”). As a separate matter, Plaintiffs have designated a fourth expert, Dr. Suzanne Parisian, to testify about the FDA regulatory process as it relates to claims regarding negligent failure to warn and inadequate design. The Court conducted a Daubert hearing in this matter that included the testimony of Dr. Geier, as well as testimony from several of Defendant’s experts who asserted that Dr. Geier’s methodology that supports his proffered opinion on the causal connection, both general and specific causation, as it relates to the autism of Minor Child Doe, was flawed, as well as his conclusions in that regard. 3
II. THE DAUBERT STANDARD
The nature and necessity of a
Daubert
hearing is derived from the case of
Daubert v. Merrell Dow Pharms.,
In
Daubert
and related eases, the U.S. Supreme Court has elucidated a number of factors for District Courts to consider when determining whether to admit expert testimony under Federal Rule of Evidence 702.
4
For example, the U.S. Supreme Court stated in
Daubert
that courts may consider whether the theory or technique employed by the expert is generally accepted in the scientific community; whether it has been subjected to peer review and publication; whether it can be and has been tested; whether the known or potential rate of error is acceptable; and the existence and maintenance of standards and controls.
Id.
at 593-95,
In this case, much, but not all, of Dr. Geier’s proposed testimony is not based upon his own research, but instead upon a review of the relevant literature. Where proffered expert testimony is not based on independent research, but instead on such a literature review, the party proffering such testimony must “come forward with other objective, verifiable evidence that the testimony is based on ‘scientifically valid principles.’ One means of showing this is by proof that the research and analysis supporting the proffered conclusions have been subjected to normal scientific scrutiny through peer review and publication.”
Daubert II,
While
Daubert
itself focused on an expert’s methodology, the Court notes that later decisions have gone beyond methodology in certain instances. While in
Daubert
the U.S. Supreme Court stated that a
Daubert
analysis must “focus ... solely on principles and methodology, not on the conclusions that they generate,” the Court later recognized that “conclusions and methodology are not entirely distinct from one another.”
GE,
In addition to a consideration of the
Daubert
analysis, the Court notes that it must also distinguish in this case between Dr. Geier’s proffered testimony as to both “general causation” and “specific causation.”
See, e.g., Dunn v. Sandoz Pharms. Corp.,
With these legal standards in mind, it was the Court’s undertaking to determine whether Plaintiffs’ evidence satisfied their burden of proof to show that their experts used proper scientific methodology in reaching their ultimate conclusion that Minor Child Doe’s autism was caused by the thimerosal in Defendant’s product Rho-GAM. At the close of Plaintiffs’ presentation at the Daubert hearing, Plaintiffs argued that their evidence would support such a conclusion. In response to Plaintiffs’ position, Defendant challenged Plaintiffs’ proffer by way of a cross examination of Plaintiffs’ expert Dr. Geier and by offering its own experts to demonstrate that Plaintiffs’ experts used unsound methodology or otherwise failed to follow sound protocol. Having closely considered the evidence and arguments both by Plaintiffs and Defendant, the Court has made a number of findings with respect to the testimony by Plaintiffs’ primary expert Dr. Geier. These findings form the basis of the Court’s ultimate conclusion that Plaintiffs have not met their burden under the Daubert analysis.
III. ANALYSIS OF DAUBERT AS APPLIED TO DR. MARK GEIER
As initial background information with respect to the qualifications of Dr. Geier, the Court notes that he is the president of his own company, The Genetic Centers of America. He is a medical doctor who specializes in obstetrical genetics with a Ph.D. as well in genetics. He is board certified in medical genetics and forensic medicine. However, it is significant to the Court that he is not board certified in pediatrics or in pediatric neurology, nor is he certified as an epidemiologist or biostat-istician. Dr. Geier did serve as a researcher at the National Institutes of Health for 10 years and worked as a professor at John Hopkins University. While he has published more than 50 peer-reviewed medical papers, none of these prior publications were on the specific issue at hand, that is, whether RhoGAM with thim-erosal causes autism. The Court has taken into account, as well, the fact that Dr. Geier has testified as an expert witness in about one hundred cases before the National Vaccine Injury Compensation Program of the United States Court of Federal Claims. It is noteworthy that in more than ten of these cases, particularly in some of the. more recent cases, Dr. Geier’s opinion testimony has either been excluded
A. Dr. Geier’s Review of Literature Concerning Whether RhoGAM Causes Autism
In examining Dr. Geier’s methodology, the Court notes that, in fact, a literature review can be an appropriate part of a method of determining general causation.
See, e.g. Benedi v. McNeil-P.P.C., Inc.,
However, upon being subjected to extensive cross examination, much of Dr. Geier’s analysis, based upon his collective review of a motley assortment of diverse litera
Beyond the literature review, Dr. Geier also relied upon the results of his own studies of the Vaccine Adverse Event Reporting System (“VAERS”) database,
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and his currently non-published studies showing an increased frequency of maternal Rh negativity in children with autistic disorder in comparison with the general population. The VAERS database is a passive reporting system for physicians and others to report adverse events after the administration of vaccines. Although Dr. Geier is neither an epidemiologist or biostatistician, Dr. Geier’s studies examined the incidence of autism by comparing reported incidents of adverse events after the administration of the Diphtheria, Tetanus & Pertussis (“DTP”) vaccine that contained thimerosal against reported incidents of adverse events after thimerosal was removed from the DTP vaccine. However, the Court finds that Dr. Geier’s published VAERS studies have been severely criticized by The Institute of Medicine as having “serious methodological flaws,” analytic methods that were “nontransparent,” and generally “non-contributory with respect to causality.”
(See
Def. Apx. Tab 6,
IOM Report
at pp. 7, 52, 55-58, 60-62,119-120). More specifically, one of the particular criticisms leveled at Dr. Geier’s study was that, as a passive reporting system, it would be inappropriate to calculate incidence rates based upon the data in VAERS because it “does not have complete reporting of all adverse events and because many report events lack a confirmed diagnosis or confirmed attribution to vaccine.”
(Id.
at p. 59 n. 18.) Finally, the Court also finds that Dr. Geier’s two most recent papers, concerning
B. Dr. Geier’s Differential Diagnosis of Minor Child Doe
As previously noted, the Court has found that Dr. Geier’s methodology, concerning the general causation question, that is, whether the thimerosal in Rho-GAM could cause autism, has not met the
Daubert
standard. Based upon this finding, the Court need not go further.
See Dunn,
However, “[a] differential diagnosis that fails to take serious account of other potential causes may be so lacking that it cannot provide a reliable, basis for an opinion.”
Roche v. Lincoln Property Co.,
In this case, Plaintiffs have failed to show that applying a differential diagnosis is appropriate methodology, standing alone, given the possibility of a finding by the Court, as in this instance, that Plaintiffs’ expert witness could not establish general causation with respect to RhoGAM and autism. However, even if the Court were to assume that general causation had been shown in this instance, the Court finds that Dr. Geier’s application of the differential diagnosis technique suffers from its own irregularities. First, the Court notes that Dr. Geier is not a pediatrician or a pediatric neurologist. In fact, testimony was presented to the Court that Dr. Geier was not even successful in sitting for his Medical Board examination in the specific field of pediatric genetics.
(See
Transcript, Vol. II of III, Document # 121, at 65.) Thus, there is a threshold question as to whether Dr. Geier is even qualified to perform a differential diagnosis so as to give a causation opinion with respect to the cause of a neurological disorder such as autism in a child such as Minor Child Doe. More troubling, however, is that Dr. Geier’s differential diagnosis failed to acknowledge the one conclusion that is generally accepted in the medical community with respect to the causation of autism, which is, that its cause is genetic, but that the exact genetic sequence of autism is unknown.
See, e.g.,
McDougle CJ, et al., “Neurochemistry in the Patho-physiology of Autism.”
J. Clin. Psychiatry
2005; 66(suppl.l0); 9-18; Veenstra-VanderWeele J, et. al., “Autism as a Paradigmatic Complex Genetic Disorder.”
Annu. Rev. Genomics Hum. Genet.,
2004; 5: 379-405 (“Autism is one of the most heritable complex disorders, with compelling evidence for genetic factors and little to no support for environmental influence.”). From the evidence presented to the Court, this appears to be the prevailing medical view on the subject of autism among experts in the field. Dr. Geier does not even profess to be, nor has he or any other proposed expert witness for Plaintiffs tendered to the Court, an expert on autism. Although Dr. Geier apparently
IV. DEFENDANT’S MOTION FOR SUMMARY JUDGMENT
Summary judgment is appropriate when “there is no genuine issue as to any material fact and ... the moving party is entitled to a judgment as a matter of law.” Fed.R.Civ.P. 56(c). A fact is considered “material” if it “might affect the outcome of the suit under the governing law .... ”
Anderson v. Liberty Lobby, Inc.,
As the Court has found that testimony from Dr. Geier and as previously noted, relatedly, the proffered testimony of Drs. Haley and Lueier must be excluded, the Court further finds that Defendant’s Motion for Summary Judgment must be granted as to all of Plaintiffs’ claims. This is particularly true because all of Plaintiffs’ claims, including negligence, product liability, and failure to warn, hinge on Plaintiffs’ allegation that Defendant’s product RhoGAM, both generally and specifically caused Minor Child Doe’s autism. Given the Court’s ruling above excluding Dr. Geier’s testimony, and his role as Plaintiffs’ sole expert on both general and specific causation, Plaintiffs cannot meet their burden of proof on the essential element of causation. Plaintiffs indeed have the burden of presenting acceptable expert medical opinion testimony on causation in this case.
See Holley v. ACTS, Inc.,
V. CONCLUSION
Based upon the foregoing analysis, the Court hereby grants Defendant’s Motion to Exclude All Testimony that Thimerosal-Containing RhoGAM Causes Autism [Document # 63]. Because Plaintiffs cannot
Finally, the Court notes that this opinion does not determine that future plaintiffs with autistic children will never be able to establish causation in similar cases. However, what it does determine is that, at this point in time, Plaintiffs have failed to present sufficient evidence from which a jury could conclude the thimerosal in RhoGAM caused Minor Child Doe’s autism. During the history of this case, given the significance of this issue in the scientific community, Defendant sought a stay of these proceedings so as to allow a greater consideration of these issues by the Special Master in the Vaccine Court in the U.S. Court of Federal Claims. As is widely known, the Special Master is specifically charged with examining whether the thim-erosal in vaccines could cause autism, and has been studying this issue without resolution for several years. In fact, the Court notes that the Special Master has allowed plaintiffs in the vaccine cases until the end of 2006 to prepare expert reports, because those plaintiffs requested more time as “relevant, peer reviewed, independent, published science,
unavailable today,
will likely become available ...”
(See
Def. Apx. Tab 44, PSC Submission Re Expert Designations and Expert Reports.) However, Plaintiffs in this instance, who also have a vaccine claim pending in that matter, elected not to wait on the ruling by the Special Master and actively opposed a stay in this ease. Instead, Plaintiffs requested that their case proceed based upon their belief that this case presented an issue that was not being addressed in the Vaccine Court, that is, whether the administration of a non-vaccine, RhoGAM containing thimero-sal, to a pregnant mother of a child both prenatally and shortly after birth to a breast-feeding mother, was a cause of autism in a minor child. Plaintiffs’ burden, however, was no less in this case than that the plaintiffs generally are facing in the Vaccine Court, that is, to present acceptable expert medical opinion testimony as to the causation of autism. Plaintiffs’ gambit failed. Thus, the result reached by the Court in this instance followed based upon Plaintiffs’ insufficient showing. For sufficient reasons given, the Court therefore finds that summary judgment for Defendant is appropriate at this time.
See Grant v. Bristol-Myers Squibb,
Notes
. The Court in this Memorandum Opinion will refer to some scholarly works and other documents that were attached to Defendant’s Brief in Support of the Motion to Exclude All Testimony that Thimerosal-Containing Rho-GAM Causes Autism. For ease in citing to these articles, the Court will refer to the Appendix filed by Defendants and located in the record as Documents ## 67-70. The format for such references will be “Def. Apx. Tab # , name of article, p.# .” In other instances, the Court will refer to articles discussed by either Plaintiffs' or Defendant’s experts during the hearing, and will cite those articles as appropriate.
. RhoGAM is used to suppress the immune response of Rh negative women to Rh positive red blood cells. This treatment is used whenever it is suspected that fetal red blood cells have entered the circulation of an Rh negative mother, unless either the fetus or the father is shown to be Rh negative. Without such treatment, the immune response of the mother could cause Hemolytic Disease of the Newborn, which in turn may lead to perinatal injury or death.
. At the hearing, Plaintiffs also made available expert reports from their other two experts, Dr. Haley and Dr. Lucier, as to the general causation question. The Court has appropriately taken this information into account, but nevertheless finds that Dr. Haley's report does not state an expert opinion that thimerosal causes autism, rather just that he has a
theory, (see
Def. Apx. Tab 18, Dep. of Boyd Haley, at 190), about how such a thing could happen. At best, he expressed "strong belief" that the cause of "neurodevelopmental disorders in infants” is exposure to an organic-mercury compound such as thimerosal.
(See
Def. Apx. Tab. 14, Haley Expert Report, p. 5.) Additionally, Plaintiffs proffered the report of Dr. Lucier, who is an expert in
methyl
mercury and not
ethyl
mercury, which is the substance in RhoGAM. Dr. Lucier does not offer an opinion that methylmercury causes autism, but rather that it may cause "developmental disorders.” Significantly, the Court notes that neither Dr. Haley nor Dr. Lucier asserts that he is an expert on autism nor are they offered as such. In any event, the Court finds that neither of the proffered reports of Dr. Haley nor Dr. Lucier are sufficiently reliable under
Daubert
on the general causation issue because neither is relevant to the “task at hand.” It would be an unacceptable scientific leap to suggest that they serve as proof, by a preponderance of the evidence, of Plaintiff's claim that the thimerosal in RhoGAM can cause autism.
See Dunn v. Sandoz Pharms. Corp.,
. Rule 702 of the Federal Rules of Evidence provides that "if scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education, may testify thereto in the form of an opinion or otherwise, 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.”
.
See, e.g., Piscopo v. Sec'y of HHS,
Plaintiffs point to a number of cases in which Dr. Geier was apparently able to give his opinion as to causation in vaccine cases. However, the Court finds that the majority of cases cited in Plaintiffs' Response concern testimony by Dr. Geier on vaccine issues prior to 1995. Plaintiffs, however, do not assert that any of these cases or any previous testimony by Dr. Geier concern or even address the issue of whether thimerosal in RhoGAM causes autism.
. Leong CWC, Syed NI, Lorscheider FL. "Retrograde degeneration of neurite membrane structural integrity of nerve growth cones following in vitro exposure to mercury." NeuroReport 2001; 12: 733-737.
. Grandjean P, Weihe P, White RF, Debes F. "Cognitive deficit in 7-year-old children with prenatal exposure to methylmercury.” Neu-rotoxicol. Teratol. 1997; 19:417-28; and Grandjean P, Weihe P, White RF, Debes F. "Cognitive performance of children prenatally exposed to 'safe' levels of methylmercury.” Environ. Res. 1998; 77:165-72. These studies and the Iraqi study both looked at children whose mothers had ingested high levels of methylmercury in their diets while pregnant and found some neurodevelopmental effects such as delayed onset of speech, tunnel vision, increased reflexes, delayed motor development, and small head size.
. Amin-Zaki, L, S. Elhassani, et al. (1974). "Intra-uterine methylmercury poisoning in Iraq.” Pediatrics 54(5): 587-95.
. Slikker W. "Developmental neurotoxicology of therapeutics: survey of novel recent findings." Neurotoxicology 2000; 21:250.
. Digar A, Sensharma GC, Samal SN. "Lethality and teratogenecity of organic mercury (thimerosal) on the chick embryo.” J. Anat. Soc. India 1987; 36:153-9.
. Heinonen, Olli P. et. al., Birth Defects and Drugs in Pregnancy 302 (1977).
. Hornig M, Chian D, Lipkin Wi. "Neurotoxic Effects of Postnatal Thimerosal are Mouse Strain Dependent.” Mol. Psychiatry 2004;9:833-45. However, it is significant that this particular study also noted that it is based upon the assumption that autism is caused by an autoimmune reaction, there is a lack of evidence to show that an autoimmune disease caused damage in the brains of patients with autism, and the relevance of mouse models is difficult to assess because "rodent clinical pinpoints may not reflect human ones” and because "there is limited understanding of the etiology of autism.”
. Holmes A.S., Blaxill M.F., et al. (2003). "Reduced Levels of Mercury in First Baby Haircuts of Autistic Children.” Int. J. Toxi-col. 22(4): 277-85. This study has been criticized, among other reasons, because its findings have not been duplicated and are not consistent with two other studies that used better methods. (See Def. Reply Brief, Document # 102, Expert Report of Susan E. Fol-stein, Ex. 2 at 4 ("Thus, the study by Holmes is highly suspect — it used a peculiar sample, a suspect laboratory (IOM 2004) and uncertain methods of statistical analysis, and it offered a highly idiosyncratic interpretation of data.”).)
. The Court is applying a definition of autism which is "a complex and severe set of developmental disorders characterized by sustained impairments in social interaction, impairments in verbal communication, and stereotypically restricted or repetitive patterns of behaviors and interests.” (See Def. Apx. Tab 6, Institute of Medicine of'The National Academy of Sciences, Immunization Safety Review: Vaccines and Autism, p. 32 (2004).) Thus, a patient must exhibit a number of specific symptoms in order to receive an "autism” diagnosis, symptoms that fall on a "continuum of related cognitive and neurobe-havioral disorders.” Id.; see also Diagnostic and Statistical Manual of Mental Disorders, 4th edition (DSMIV-TR) (APA, 2000). Plaintiffs often appear to argue that the mercury in thimerosal could cause some specific neurological or developmental disorder, such as the delayed motor development seen in the Amin-Zaki study of Iraqi suckling infants. However, these studies also suggest that mercury poisoning can cause many symptoms different than the symptoms that most often characterize autism. (See Def. Reply Brief, Document # 102, Expert Report of Susan E. Folstein, Ex. 2 at 27-30 (comparing descriptions of mercuiy poisoning with autism symptoms and finding some similarities and some differences but stating that "any claimed similarities are based on an imprecise use of words.”).)
. The Court notes that Dr. Geier also exhibited some bias against health agencies that have criticized his methodology on other issues to such an extent that he has publicly accused the Centers for Disease Control ("CDC”), the World Health Organization, the American Academy of Pediatrics, and the National Academy of Sciences of deceiving the American public as to the dangers of mercury and specifically called the CDC a "rogue or
. Geier DA, Geier MR (2003a). "An assessment of the impact of thimerosal on childhood neurodevelopmental disorders.” Pe-diatr. Rehabil. 6(2): 97-102; Geier M, Geier D. (2003b). "Neurodevelopmental disorders after thimerosal-containing vaccines: a brief communication.” Exp. Biol. Med. (Maywood) 228(6): 660-4; Geier MR, Geier DA (2003d). "Thimerosal in childhood vaccines, neurode-velopmental disorders and heart disease in the United States.” J. Am. Phys. Surg. 8: 6-11.