MEMORANDUM OPINION
THIS MATTER comes before the Court on Defendant Intel Corporation’s (“Defendant”) July 28, 2006 motion to strike (Doc.
Background
This case stems from Plaintiffs assertion that he developed rhinitis (inflammation of the nasal mucosa) as a result of his exposure to ammonium hydroxide fumes while working as a pipefitter for a subcontractor at Defendant’s Rio Rancho, New Mexico plant. See Pl.’s Compl., ¶¶ 1, 4 (Doc. No. 1); Def.’s Mot. Strike, Ex. A. Following his exposure, Plaintiff filed suit against Defendant asserting claims of negligence, respondeat superior, and strict liability for abnormally dangerous activity. Id. at ¶¶ 14-39. On April 19, 2006, the Court entered an Initial Pre-Trial Report (Doc. No. 10) in which Plaintiff identified William Christensen, M.D., M.P.H. as a treating physician who “will testify as to [his] knowledge regarding the incident, [Plaintiffs] injuries, diagnosis, prognosis, cost and treatment.” The Initial Pre-Trial Report also set forth, inter alia, the discovery deadlines in this case. See Initial Pre-Trial Report. One such deadline was June 5, 2006 — the date by which Plaintiff was required to “identify to all parties in writing any expert witness to be used by Plaintiff at trial and to provide' expert reports pursuant to Fed.R.Civ.P. 26(a)(2)(b).” This deadline passed without Plaintiff submitting expert disclosures or reports.
On June 9, 2006, Plaintiffs counsel sent Defendant’s counsel a letter reiterating Plaintiffs intention to call some or all of his treating physicians to testify to the matters set forth in the Initial Pre-Trial Report. See Pl.’s Resp. to Def.’s Mot. Strike, Ex. A. The letter also stated:
As part of their testimony regarding [Plaintiffs] injuries, it is our intention to elicit the opinions of his treating physicians regarding the cause of those injuries (exposure to ammonium hydroxide and/or other hazardous ehemi-cals/fumes). Based on our research and understanding of [Federal Rule of Civil Procedure] 26, we do not believe an expert disclosure/designation regarding such treating physicians’ testimony is required.
Id. On July 25, 2006, approximately seven weeks after the June 5th deadline, Plaintiff served Defendant with two reports from Dr.' Christensen. See Def.’s Mot. Strike, Ex. A. These two reports include a three-page letter from Dr. Christensen to Plaintiffs counsel, dated June 29, 2006, and a two-page medical progress note concerning Plaintiff, dated June 16, 2006. Id. The reports do not include any articles, reports, or studies concerning ammonium hydroxide inhalation exposure or references thereto. Id. Along with these reports, Plaintiff served a “Supplemental and Rebuttal Expert Witness Disclosure,” designating William Christensen as a “rebuttal” expert. Id.
Importantly, however, the reports proffered by Dr. Christensen, dated June 16, 2006 and June 29, 2006, could not possibly rebut Defendant’s causation opinions since Defendant was not required to make its expert disclosure until July 5, 2006.
See
Initial Pre-Trial Report; Certificate of Service of Defl’s Rule 26 Expert Witness Disclosure (Doc. No. 13). Further, as explained in Plaintiffs own response (Doc.
Discussion
I. Defendant’s Motion to Strike Dr. Christensen’s Expert Report and Testimony
Defendant contends that Plaintiff failed to timely comply with the expert disclosure requirements set forth in Federal Rule of Civil Procedure 26(a)(2) and therefore, pursuant to Federal Rule of Civil Procedure 37, moves to strike Dr. Christensen’s expert report and testimony in this case. Rule 37 provides, in relevant part, that “[a] party that without substantial justification fails to disclose information required by Rule 26(a) ... is not, unless such failure is harmless, permitted to use as evidence at a trial ... any witness or information not so disclosed.” Fed.R.Civ.P. 37(c)(1). “The determination of whether a Rule 26(a) violation is justified or harmless is entrusted to the broad discretion of the district court.”
Woodworkers Supply, Inc. v. Principal Mut. Life. Ins. Co.,
With respect to the first factor, the Court agrees that Defendant would be prejudiced by permitting inclusion of Dr. Christensen’s report. As Dr. Christensen’s report was not disclosed until after Defendant’s expert disclosure deadline had passed, Defendant is unable to offer a report in which its expert can analyze the statements made by Dr. Christensen. However, the Court also notes that the prejudice and surprise to the Defendant was somewhat mitigated by the fact that Dr. Christensen was identified as a treating physician in the Initial Pre-Trial Report and the opinions at issues were all contained in Plaintiffs medical records, which were produced to Defendant on May 26, 2006. Further, the expert disclosure and report were provided to Defendant approximately two weeks before Dr. Christensen’s August 11, 2006 deposition, and Defendant thoroughly questioned Dr. Christensen about his report and causation opinion at this deposition. Thus, the first factor is fairly evenly balanced.
Regarding the second factor, as noted above, Defendant actually deposed Dr. Christensen regarding his report and causation opinions. However, the only way to fully cure the prejudice to Defendant is to reopen its right to designate experts in light of Dr. Christensen’s expert report. Doing so would certainly implicate the third factor because it would disrupt the existing case management deadlines and, at this point, the trial setting itself. Therefore, while the second factor does not tip the scale heavily in one direction or the other, the third factor weighs in favor of excluding the expert report.
Although it is a close call, the Court will not strike Dr. Christensen’s testimony. Rather, in the interest of fairness he is deemed to be timely disclosed as an expert for Rule 26(a)(2)(A) purposes. However, Dr. Christensen’s Rule 26(2)(2)(B) expert report was not timely disclosed and therefore it will be stricken.
Woodworkers Supply, Inc.,
Thus, Defendant’s motion to strike is GRANTED in part and DENIED in part.
A. The Scope of Dr. Christensen’s Expert Testimony is Limited to “Fact Opinions” Formed During the Course of Plaintiffs Treatment
The fact that Dr. Christensen’s expert report has been stricken does not, however, preclude the Court from considering his “fact opinion” testimony. Rule 26(a)(2) delineates two distinct types of disclosures: (1) disclosure of the identity of any witness who may provide opinion testimony at trial in accordance with Federal Rules of Evidence 702, 703, and 705; and (2) the far more comprehensive written and signed report which Federal Rule of Civil Procedure 26(a)(2)(B) requires for “a witness who is retained or specially employed to provide expert testimony in the case or whose duties as an employee of the party regularly involve giving expert testimony.”
1
Fed.R.Civ.P. (26)(a)(2). This distinction is important here because Rule 26(a)(2)(A) clearly controls disclosure requirements for “hybrid” fact/expert witnesses, the most obvious example being a treating physician. The commentary to Rule 26 explains that the report required by Rule 26(a)(2)(B) does not apply to treating physician.
2
Thus, it is clear that, as
As a hybrid witness, Dr. Christensen is permitted to testify to “fact opinions.” However, the scope of such opinion testimony is circumscribed.
Hall v. Sykes,
II. Toxic Tort Litigation and Causation
In a toxic tort lawsuit, a plaintiff must show both general and specific causation.
Norris v. Baxter Healthcare Corp.,
III. Defendant’s Daubert Motion to Exclude Dr. Christensen’s Expert Testimony
A. Legal Standard
Federal Rule of Evidence 702 lays the foundation for this Court’s Daubert analysis, providing as follows:
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.
Fed.R.Evid. 702.
In
Daubert v. Merrell Dow Pharmaceuticals, Inc.,
the Supreme Court observed that “unlike an ordinary witness, see [Federal Rule of Evidence] 701, an expert is permitted wide latitude to offer opinions, including those that are not based on first-hand knowledge or observation.”
Under Daubert, expert testimony is admissible if: (1) the expert is competent and qualified to testify regarding the subject matter of his testimony; (2) the methodology by which the expert reached his conclusions is sufficiently reliable; and (3) the expert, through scientific, technical or specialized expertise, provides testimony that assists the trier of fact to understand the evidence or determine a fact in issue. 3
Regarding the second element, in order to be reliable, expert testimony must be supported by scientific knowledge. The
Daubert
Court explained that “the adjective ‘scientific’ implies a grounding in the methods and procedure of science. Similarly the word ‘knowledge’ connotes more than subjective belief or unsupported speculation.”
Daubert,
A. Dr. Christensen’s Qualifications
Dr. Christensen earned his medical degree from Harvard Medical School and received a Masters Degree in public health from the Medical College of Wisconsin.
See
Pl.’s Resp. to Def.’s Mot. Exclude, Ex. 8. He is currently the Medical Director at the Presbyterian Occupational Medicine Clinic in Albuquerque, New Mexico, and is board certified in internal medicine, pulmonary disease, and occupational
It is generally recognized that in the toxic tort context, “with respect to general causation, the relevant scientific field is epidemiology and not clinical medicine.”
Siharath,
B. Reliability: Dr. Christensen’s General Causation Opinion
Dr. Christensen proffered two key general causation opinions. One, it is Dr. Christensen’s opinion that ammonium hydroxide inhalation exposure causes rhinitis, sinusitis, and vertigo. See Christensen Tr., p. 50:1-5. Two, assuming that ammonium hydroxide inhalation exposure causes rhinitis, it is Dr. Christensen’s opinion that mild ammonium hydroxide inhalation exposure causes a chronic form of rhinitis that does not resolve for more than three-and-a-half years. 4 See Christensen Tr., p. 100:11-18; p. 104:9-15.
In assessing the reliability of Dr. Christensen’s general causation opinions it is important to note that “epidemiology is the best evidence of general causation in a toxic tort case.”
Norris,
397 at 882;
Mancuso v. Consol. Edison Co. of New York,
As set forth in greater detail below, Dr. Christensen did not identify a single article, study, or report anywhere in his deposition testimony to support his theory of injury in this case.
5
Further, he has not described any scientific study or methodology that he conducted in forming his opinion regarding Plaintiffs injury. Thus, in considering Dr. Christensen’s general causation opinion, it important to keep the following in mind: “Nothing in either
Daubert
or the Federal Rules of Evidence requires a district court to admit opinion evidence that is connected to existing data only by the
ipse dixit
of the expert.”
Gen. Elec. Co. v. Joiner, 522
U.S. 136, 139,
Dr. Christensen’s first general causation opinion in this case — that ammonium hydroxide inhalation exposure causes rhinitis, sinusitis, and vertigo — was not based on any identifiable methodology that has been tested, subjected to peer review, and/or generally accepted in the medical community. Dr. Christensen’s answers to the following questions regarding the foundation for his first general causation opinion reveal the lack of such a foundation:
Q. I take it from your opinions that you’ve offered that ammonium hydroxide ... inhalation exposure[ ] is capable of causing rhinitis, sinusitis, and vertigo; is that right?
A. Yes.
Q. So in determining whether ammonium hydroxide is capable of causing those ailments, did you review any information from other scientists?
A. No.
Q. Would you identify for me any peer review literature that shows that ammonium hydroxide is capable of causing vertigo?
A. No.
Q. Do you have evidence that indicates that persons exposed to ammonium hydroxide have more rhinitis than individuals not exposed to ammonium hydroxide.
A. No.
Q. Same question with regard to sinusitis.
A. No.
Q. Same question with regard to vertigo.
A. No.
Q. As I understand it, you don’t have any epidemiological studies regarding ammonium hydroxide that compare exposed and nonexposed [sic] groups; do you?
A. I was unable to find any, and I don’t have any, no.
Q. Do you have any idea what percentage of people exposed to ammonium hydroxide fumes develop rhinitis, sinusitis, or vertigo?
A. No.
Christensen Tr., p. 50:1-9; p. 51:16-16, 18; pp. 53:12-54:1-2.
Ironically, however, Defendant has presented the Court with a medical text that saves a portion of the very testimony it works so hard to exclude. In particular, Defendant attached a toxicological text entitled “Clinical Environmental Health and Toxic Exposures” to its
Daubert
motion.
However, Dr. Christensen’s second general causation opinion regarding rhinitis does not satisfy Daubert. Again, it is Dr. Christensen’s second general causation opinion that a mild ammonium hydroxide inhalation exposure can result in a chronic form of rhinitis that comes and goes and does not resolve in three-and-a-half years. No scientific research is offered in support of this opinion:
Q. Inside of his [Plaintiffs] nose is either red and inflamed or it is not; right?
A. Right.
Q. And on February 5, 2003, it wasn’t; correct?
A. Yes.
Q. On February 19th, 2003, your next visit with him, it wasn’t?
A. Yes.
Q. Can you explain, I guess — maybe I’m just not following it — how on March 12, 2003, he would have new onset irritation in the nasal mucous membranes from an exposure in January[ ] 2003?
A. I think it’s not unusual that they— that the evidence of inflammation can wax and wane.
Q. From a chemical burn?
A. Well from a chemical exposure, yes.
Q. Do you have any peer review medical literature to support that?
A. No.
Christensen Tr., p. 100:3-21. To the contrary, Defendant’s toxicological text states that, for a mild case of ammonium hydroxide inhalation exposure, “[s]igns of improvement are generally apparent within 48-72 hours of admission and most patients recover without significant residual impairment.” John B. Sullivan, Jr. M.D., CLINICAL ENVIRONMENTAL HEALTH AND TOXIC EXPOSURES (2nd ed.2001). Thus, the record contains no foundation of epidemiological or toxicological methodology that has been tested, subjected to peer review, and generally accepted in the medical community supporting Dr. Christensen’s second general causation opinion. Further, it appears to directly conflict with the only scientific text in this record. Therefore, the Court finds that it is not reliable and does not meet
Daubert’s
standards.
Wynacht v. Beckman Instruments, Inc.,
C. Reliability: Dr. Christensen’s Specific Causation Opinion
Having concluded that Dr. Christensen’s opinion concerning general causation does not satisfy
Daubert,
the Court need not discuss specific causation. However, the Court notes that Dr. Christensen’s specific causation opinion has severe problems. First, Dr. Christensen has not adequately accounted for alternative explanations for Plaintiffs chronic rhinitis. Indeed, “courts have insisted time and time again that an expert may not give opinion testimony to a jury regarding specific causation if the expert has not engaged in the process of differential diagnosis — that is the process of eliminating other possible diagnoses.”
Rutigliano v. Valley Bus.
Forms,
First, Plaintiff has suffered from chronic rhinitis since his exposure to welding dust in 1999, yet Dr. Christensen did not rule that out as the “cause” of his current condition (i.e., did not consider that Plaintiffs present condition is simply a continuation of the condition he has treated since 1999). See Christensen Tr., p. 85:11-19. In this regard, the Court finds the following testimony particularly troubling:
Q.' Is it fair to say that your opinions as to the medical cause of [Plaintiffs] nasal irritation were made in the absence of information as to whether the chronic rhinitis you’ve diagnosed him with in 1999 had ever resolved prior to his alleged exposure in January[ ] 2003?
A. Yes.
Christensen Tr., p. 72:10-16. Second, Plaintiff has a severely deviated septum, which can apparently mimic rhinitis. See Onyia Tr., p. 20:5-24. However, Dr. Christensen never ruled that out as a cause of Plaintiff condition. See Christensen Tr., p. 84:2-5. Additionally, although Plaintiff takes two medications known to cause rhinitis (an ace inhibitor and aprazo-lam), Dr. Christensen also failed to rule those out as potential causes of his rhinitis. See Christensen Tr., p. 86:10-P. 87:15. Dr. Christensen’s opinion regarding specific causation thus cannot satisfy Daubert’s requirements on this record.
Dr. Christensen’s specific causation opinion is further undermined by his failure to testify about Plaintiffs specific level of exposure to the ammonium hydroxide. In a toxic tort suit, like this one, the Tenth Circuit requires that a plaintiff demonstrate “the levels of exposure that are hazardous to human beings generally as well as the plaintiffs actual level of exposure to the defendant’s toxic substance before he or she may recover.”
Mitchell,
Based on the above, Defendant’s motion to exclude the medical causation opinions of Dr. Christensen must be GRANTED.
IV. Defendant’s Motion for Summary Judgment
A. Summary Judgment Standard
Summary judgment is not “a disfavored procedural shortcut but rather [it is] an integral part of the Federal Rules as a whole, which are designed ‘to secure the just, speedy, and inexpensive determination of every action.’ ”
Celotex Corp. v. Catrett,
The movant’s burden is “discharged by showing ... that there is an absence of evidence to support the nonmoving party’s case.”
Celotex,
An issue of fact is “material” if it is essential to the proper disposition of the claim.
Anderson v. Liberty Lobby, Inc.,
B. Analysis
General causation and specific causation are essential elements of Plaintiffs
prima facie
case for each claim asserted in this litigation.
Norris,
Therefore, Defendant’s motion for summary judgment is GRANTED.
IV. Plaintiffs Motion for Summary Judgment
Plaintiff moved for partial summary judgement on the grounds that the there is no “genuine issue” as to any material fact regarding liability and that he is entitled to judgment on the issue of liability as a matter of law. However, as set forth above, Plaintiff has not established medical causation. Plaintiffs failure to establish a prima facie element of each of its claims precludes the Court from considering this motion. Therefore, Plaintiffs motion for partial summary judgment is DENIED.
Conclusion
Based on the foregoing, Defendant’s motion to strike should be GRANTED in part and DENIED in part; Defendant’s Dau-bert motion should be GRANTED; Defendant’s motion for summary judgment should be GRANTED; and Plaintiffs motion for partial summary judgment should be DENIED.
Notes
. Rule 26(a)(2) provides in full:
(2) Disclosure of Expert Testimony.
(A) In addition to the disclosures required by paragraph (1), a party will disclose to other parties the identity of any person who may be used at trial to present evidence under Rules 702, 703, or 705 of the Federal Rules of Evidence.
(B) Except as otherwise stipulated or directed by the court, this disclosure shall, with respect to a witness who is retained or specially employed to provide expert testimony in the case or whose duties as an employee of the party regularly involve giving expert testimony, be accompanied by a written report prepared and signed by the witness. The report shall contain a complete statement of all opinions to be expressed and the basis and reasons therefor; the data or other information considered by the witness in forming the opinions; any exhibits to be used as a summary of or support for the opinions; the qualifications of the witness, including a list of all publications authored by the witness within the preceding ten years; the compensation to be paid for the study and testimony; and a listing of any other cases in which the witness has testified as an expert at trial or by deposition within the preceding four years.
Fed.R.Civ.P. 26(a)(2).
. In particular, it states:
The requirement of a written report in paragraph 26(a)(2)(B), however, applies only to those experts who are retained or specially employed to provide such testimony in the case or whose duties as an employee of a party regularly involve the giving of such testimony. A treating physician, for example, can be deposed or called to testify at trial without any requirement for a written report, (emphasis added).Commentary to Fed.R.Civ.P. 26(a) (1993).
. In
Kumho Tire Co., Ltd. v. Carmichael,
the Supreme Court made clear that
Daubert
applies to all expert matters described in Federal Rule of Evidence 702, even when an expert’s opinion relies on a skill or experience-based observation.
. Based on Plaintiff’s symptoms during his initial examination, Dr Christensen agreed with Defendant’s counsel that Plaintiff had experienced a mild exposure level:
Q. And mild cases present with inflamed mucous membranes in a normal chest examination. That’s exactly what he had when he was first seen by Dr. Vitek on January 24th [2003]; right?
A. Yes.
Q. When we're talking about his level of exposure, we’re talking about a mild case; right?
A. Yes.
Christensen Tr., pp. 95:20-25-96:1-2.
. The Court’s assessment of the reliability of Dr. Christensen’s general causation opinions would not change even if it considered the excluded Rule 26(a)(2)(B) expert report submitted by Plaintiff since the three-page report did not append or refer to any articles, reports, or studies and did not even offer an opinion regarding general causation. See Def.’s Mot. Strike, Ex. A.
