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Joiner v. General Electric Company
78 F.3d 524
11th Cir.
1996
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*1 susсeptible particularly never be can carjacking. victims vulnerable

otherwise a defendant selects example, For where he knows the because dispatched cab driver fare, or where cannot refuse driver specific driver requests a because defendant him or unique make characteristics carjacking than the vulnerable her more driver, and thus ordinary dispatched cab culpable more than make the defendant carjacker, ordinary enhancement would be appropriate. See id. short, nothing in I these circum- see dispatched cab indicating that stances “unusually vulnerable victim.” was an driver comment, (n. 1). 3A1.1, § See U.S.S.G. the two-level therefore reverse .en- would § under 3A1.1. hancement JOINER, Joiner, Karen P. K. Robert Plaintiffs-Appellants,

v. COMPANY, A ELECTRIC GENERAL Westinghouse Corporation; New York Pennsylvania Corporation, A Electric Company, Corporation; A De- Monsanto Defendants-Appel- Corporation, laware lees. 94-9131.

No. Appeals, United States Court Circuit. Eleventh 27, 1996. March *4 Warshauer, Burge

Micahel J. & Wetter- Atlanta, Chesebro, mark, GA, Kenneth J. MA, Cambridge, aрpellants. for Grindler, Cochran, Anthony & L. Chilivis Flint, Flint, H. Wheeler & David Schreeder Simmons, Jr., Joseph Alexander Jackson Hawkins, Freeman, Jr., Freeman & Claude GA, Atlanta, Kuney, R. William & Steven D.C., Appellees. Connolly, Washington, for every most one out of five of transform-

presented a PCB hazard. ers tested repair, was in need of When transformer BARKETT, Circuit BIRCH and Before it, duty open drain out the it was Joiner’s SMITH,* Judge. Senior Circuit

Judges, and fluid, of the trans- dielectric bake the core fluid,2 dry repairs, of dielectric make former BARKETT, Judge: Circuit the transformer with fresh mineral oil refill wife, (“Joiner”) Kar- Joiner Robert fluid, the transform- dielectric and then test Joiner, suit in state court on brought this en repairs required that Joiner stick er. These 5, 1993, damages person- seeking August his hands and arms into the dielectric fluid. lung allegedly caused injuries cancer al got all Joiner testified that dielectric fluid polychlorinat- Joiner’s Robert times, him that he would swallow a over at (“PCBs”) working while for the biphenyls ed of dielectric fluid when it small amount Thomasville, (“City”). Georgia Mon- City of mouth, splashed into his and that dielectric santo, Company, and West- Electric General eyes splashed fluid had intо his on several (“defendants”) Corporation inghouse Electric occasions. court, action to federal district removed age Joiner was testimony of the Joiners’ which excluded *5 lung diagnosed with cancer. The Joiners’ motion experts granted and the defendants’ theory that while of the case was Joiner’s summary judgment, which Joiners for history cigarette smoking family of and his the dis- we find that appeal. Because now history lung may predisposed of cancer have assessed the admissi- improperly trict court cancer,3 developing lung exposure him his to bility proffered scientific testi- of the polychlori- to PCBs and their derivatives — establishing mony overlooked evidence and (“furans”) polychlo- nated dibenzofurans and fact, of we reverse the sum- disputed issues (“dioxins”) rinated dibenzodioxins to —served mary judgment. “promote” lung his small cell cancer.4 Facts summary judg- Defendants for moved 1973, grounds worked as an ment on the that there was no Beginning in Joiner City’s Light evidence that Water & De- admissible scientific PCBs electrician cancer, position requiring promoted him tо work Joiner’s and there was partment, a significant City’s trans- no evidence that Joiner suffered with around the electrical and PCBs, furans, employment, exposure Throughout dioxins. The formers. Joiner’s City’s responded depositions should have Joiners with the and all transformers of the experts oil-based dielec- affidavits of who testified that used as a coolant a mineral promote Howev- alone can cancer and that tric was free of PCBs.1 PCBs fluid which cancer, er, 1983, promote City PCB contam- furans and dioxins can also discovered PCBs, furans, exposed of in the fluid used some Joiner was ination dielectric 1993, dioxins, that, experts’ in these From 1983 to its transformers. opinions, responsible City concluded that al- such was for conducted tests and * Joiner, Smith, cigarettes approxi- Circuit 3. who had smoked S. Senior U.S. Honorable Edward 1981, Circuit, mately eight ‍‌‌‌‌‌​​​‌‌​​‌​‌​​​​​​​​‌‌‌​​‌​‌​‌​‌‌‌​​‌​‌‌‌​​​‌‍years, stopped smoking by ten sitting by designa- Judge for the Federal diagnosed years lung before his doctor can- tion. Co., F.Supp. cer. Joiner v. General Elec. 864 1310, (N.D.Ga.1994). production Congress 1. In banned 1312 One of the Joiners’ 1978 that, notwithstanding they "prеsent testified Joiner's sale PCBs because an unreason- of "lung history smoking, extremely of cancer is injury or the environment.” able of to health risk thirty year rare for a seven old white male in the 2605(a)(2)(A). § 15 U.S.C. United States.” Id. 1313-14. "baiting during process followed a out” Joiner experts explained 4. One of the Joiners’ that can- remaining dielectric fluid that covered which all begin cers often with an initiated cell which heat for the core was baked off under intense promoted. "promoter” not do harm until A time, days point smoking, agent provokes at a to the of several an initiated cell to turn dry. cancerous. Id. at 1313. until the transformer core was

529 (3d 717, Litigation, 35 F.3d 750 court deemed PCB Cir. The district cancer. Joiner’s 1994). testimony presented To the extent that the district court’s all of the inadmissible interpretation ruling turns on an of a Federal granted sum- experts and by the Joiners’ Evidence, plenary. our Id. In Rule of review is defendants.5 ad- mary judgment for the at 749. dition, exposed was although it found Joiner PCBs, that there was the court asserted that Joiner had been credible evidence

no Admissibility Expert B. The Testimo- of dioxins, granted exposed to furans and ny summary judgment against the Joiners on 1923, Frye In v. United States established exposure to furans and di- question “general acceptance” guided test that dis- Co., Elec. 864 oxins. Joiner v. General determining trict courts in when to admit (N.D.Ga.1994). 1310, F.Supp. 1326 1013, Frye, scientific evidence. 293 F. the admis- appeal, the Joiners reassert On (D.C.Cir.1923). required This test courts to sibility their to establish any novel scientific not al- exclude evidence They also contest the district causation. ready grounded principle in a that had at- summary judgment on the grant court’s acceptance in “general particular tained exposure to furans and diox- issue of Joiner’s belonged. field” in which it Id. ins. 1975, the Federal Rules of Evidence (“Rules”) approach introduced a more liberal

Discussion question admissibility of to the scienti- A. Review Standard specifically fic evidence.6 Rule which testimony, governs expert provides: grant summary review a We scientific, technical, specialized If or other Edenfield, v. judgment de novo. Fane (11th knowledge will assist the trier of fact to Cir.1991), aff'd, F.2d *6 a understand the evidence or to determine 761, 1792, 543 113 S.Ct. 123 L.Ed.2d U.S. issue, qualified fact in as an (1993). a witness Summary judgment appropriate is skill, expert by knowledge, experience, genuine issue of material when there is no education, training, may testify thereto or fact, moving party is entitled to and the otherwise. the form of or law. judgment as a matter of Fed.R.Civ.P. 56(e). moving of party The bears the burden Notwithstanding the Fed.R.Evid. 702. of material showing that there is no issue Rules, continued to adhere to the most courts Catrett, 317, Carp. 477 fact. v. U.S. Celotex “general acceptance” test. 325, 2548, 2553-54, 265 106 S.Ct. 91 L.Ed.2d 1993, Supreme In the Court (1986). Daubert, at -, 113 S.Ct. at 509 U.S. superseded specifically that the Rules

A court’s on the ad held district acceptance” The Frye “general the test. missibility of evidence is reviewed for abuse Directory that the critical concerns of Ad-Vantage Tel. Court made clear of discretion. Consultants, evidentiary reliability and rele Corp., Rule 702 are Inc. v. GTE Directories Cir.1994). at -, (11th Daubert, vancy. 509 U.S. 113 S.Ct. F.3d 1463 Because Thus, expert’s bald statement governing at 2795. Federal Rules of Evidence imparting “scientific knowl preference for that he or she is expert display a automatically that ex edge” does not render admissibility, apply particularly strin we In to best judge’s pert’s opinion admissible. order gent of to the trial standard review See, testimony and testimony. e.g., relevant and reliable expert of ensure exclusion Pharmaceuticals, speculation,” Daubert “unsupported exclude v. Merrell Dow Daubert 2786, 2794, re 579, -, two-pronged test which 125 establishes 509 U.S. 113 S.Ct. court, (1993); it admit quires a district before In re Paoli R.R. Yard L.Ed.2d 104(a) provides court shall deter- that the denied both the Joiners’ and Rule 5. The district court concerning questions ... "[pjreliminary mine argument requests the defendants' for oral on admissibility of evidence.” Fed.R.Evid. judgment. joint summary motion for defendants' 104(a). Daubert, at -, testimony, fact in issue. 509 U.S. to determine “whether scientific testify regard, to to scien In the Daubert S.Ct. at 2795. expert proposing is “fitness,” of knowledge concept will assist trier Court discusses the of that tific is, testimony proffered a fact in expert or determine “whether fact to understand at -, sufficiently 113 S.Ct. at 2796. This the case is tied to the facts of the Id. issue.” judge resolving jury calls for the trial to it will aid the “gatekeеping” role ease that at -, of “preliminary dispute.” assessment whether factual Id. 113 S.Ct. at make a methodology underlying reasoning (quoting Downing, v. or 2795-96 United States (3d Cir.1985)). valid, i.e., 1224, 1242 scientifically whether 753 F.2d is reliable; reasoning or it and whether is analyzing admissibility applied can be to the methodology properly testimony, important for trial it is issue,” i.e., it is relevant to facts in whether keep separate courts to in mind the functions involved. Id. Proffered scientific the issue judge jury, and the intent of Daubert satisfy prongs to be ad evidence must both Frye make it loosen strictures missible. present legitimate conflicting views easier to prong, evidentiary the first Under jury’s Frye for the consideration. reliability, the district court must examine required testify, that before an could methodology underlying reasoning generally proffered opinion had to be it uti expert opinion to determine whether accepted pertinent in the field. The necessi procedures. lizes valid scientific methods ty acceptance for such broad as a condition judges process Trial must evaluate admissibility was еliminated Rule 702. they may not be es and studies with which The admission of scientific evidence that familiar, intimately be careful not but might yet generally accepted not be in the deciding whether the cross the line between field, however, contingent is on a trial court’s “scientifically expert’s testimony is based on finding that such evidence indeed scienti deciding upon principles” valid the cor fically “junk legitimate, and not science” or expert’s conclusions. rectness of the speculation. gatekeeping mere This role is and, therefore, jury inquiry is for the latter simply guard jury considering as judges may implicitly factor it into then- proof pure speculation presented guise in the reliability. assessment of legitimate scientifically-based expert opin judges It ion. is not intended to turn into suggests Daubert several factors to *7 Thus, jurors surrogate ga or scientists. the evaluating judges in whether a aid federal tekeeping responsibility of the trial courts is theory study particular or is reli scientific weigh conflicting not to or choose between (2) (1) testability; empirical able: its whether opinions, analyze study scientific or to and theory study published the or has been or question the in science order to reach its review; subjected peer whether the own scientific conclusions the material potential accept rate of known or error Rather, in the field. that an it is assure able; general the method is and whether expert’s opinions are based on relevant scien ly accepted community. in the scientific Id. methods, data, processes, tific and and not on at -, at 2797-98. These factors 113 S.Ct. speculation, they apply mere and that to the applicable are nor in ev neither exhaustive Keeping facts in issue. Daubert’s lower Paoli, ery also 35 F.3d at 742. case. See mind, threshold we turn to the facts of this appropriate, they serve as indicia of Where case. reliability expert’s the of the basis of an testimony. Application Daubert to this Case— of prong, the second Under rele Reliability

vance, the district court must determine Daubert, methodology reasoning un prong whether the or Under the first of the dis- derlying expert opinion identify relates trict the to the court must the basis of an ex- hand, i.e., pert’s testimony issue at it assists the trier whether and ascertain whether the methods, of in understanding procedures, fact the or a and information used evidence techniques. upon I reach his her conclusion assessment also relied by expert to scientifically experience my reliable. extensive with workers in my knowledge the electrical trades and of Expert’s Opinions a. The Basis toxicology of of the materials with which Mr. Joiner worked. I considered the fun- Dan experts chief were The Joiners’ toxicology damental of M.D., Schecter, mechanisms and Teitelbaum, T. Arnold iel and carcinogenesis as a manifestation of toxic M.D., The record that- each M.P.H. reflects outcome, biology including of cancer by experts as proffered Joiners’ cancer, biology lung of small cell and knowledge by the supported was education, regarding testing the state of the art respective expert’s specialized of physical and evaluаtion toxic substances for car- years experience, examination of of Joiner, cinogenic risk in familiarity general scien humans. and with the field, by tific in the well as literature as also and Schecter interviewed Joiner re- upon specific scientific studies relat reliance deposition testimony. viewed his and affidavit carcinogenic Ac ing effect of PCBs.7 to the He conducted review of Joiner’s medical vitae, ap cording to their curriculum each records, videotape working condi- pears reputation, a national and the to have involving repair tions of Joiner’s electrical qualified experts.8 as district court them transformers, testing of results PCB Both familiarized themselves with transformers, done on the relevant scien- disease, history and specifics of Joiner’s tific on of literature the toxic effects they the medical literature reviewed products, contained in substances defendants’ Teitelbaum, through his pertinent. deemed deposed testimony. and all In arriv- deposition testimony, set forth affidavit and ing opinion, at his claimed to Schecter have general methodology he utilized arriv potential other of eliminated causes Joiner’s ing expert opinion: at his lung degree cancer to a reasonable medi- comprehensive and tradi- [I conducted] certainty. cal occupational medical assessment tional addition, Joiner____ In each doctor utilized numerous part As this assess- Mr. Although scientific studies and authorities. him ... ment I interviewed and examined apparently only considered the district addition, hours. I reviewed several epidemiological and two animal four studies records, past his medical the data which studies, Teitelbaum to several addi- referred workplace about his and ma- was available forming which tional studies he utilized worked, depositions with which he terials Among views. those not mentioned Joiner, others, depositions of Mr. district court were studies researchers family about members and co-workers Hogsted, findings In- Gustavsson the nature of his work. I also considered Program Safety on Chemical ternational many to the other doсuments relevant (“IPCS”) Organization World Health Criteri- questions concerning which was asked on, [epidemiological relationship to and “a whole series of Mr. illness and its Joiner’s *8 Organi- in Health occupational exposures [the toxic sub- listed World studies] zation] stances .... utilized traditional medical document.” admissibility repeated experience treating patients Although each we consider of has expert's testimony separately, Additionally, we do see similar he has the electrical trades. lec- experts' supporting the both toxicology/epidemiology factors admission of medical tured on testimony, refer to and for convenience we often judges. federal collectively. them professor preventative is medicine Schecter of York, Binghamton, University New at State of co- 8. The evidence indicated Teitelbaum is researching time the health and works effects full Academy American Clinical founder of the of in various toxic substances encountered of Toxicology Medical and the American Board of workplace. published has He over articles published Toxicology. than 40 He has more subjected peer review on the and abstracts gradu- and articles in his field teaches numerous chemicals, workplace exposure of to toxic occupational effects ate in and environ- level courses of served on the editorial boards numer- toxicology epidemiology toxic and has mental and the of journals. practicing toxicologist and also a and ous scientific medical diseases. He is this, plish Similarly, in addition to the studies men- the court examines whatever evi opinion, in court’s Scheeter proffered supporting criticizing tioned the district dence is or relied, upon “recent work such as part, research, in keeping purpose in mind the George colleagues and at that of Dr. Lucier i.e., inquiry, opinions to exclude based on Health,” Institute of “IARC the National speculation. inquiry mere While this cannot studies, Agency on International Cancer be made without some consideration of the Organization,” Health studies World quality question, of the in research the dis “Dr. Huff of the National Institute of James trict court’s focus is a and narrow one does Health,” and Theiss studies from the Zober encompass deciding expert’s which con Germany, study “Manz[’] and also on Euro- appeal clusions are better reasoned or more pean workers.” ing. independent Nor should the court make judgments on the basis of individual b. Were the Methods and Procedures Un- example, “rejected” studies. For the court derlying Experts’ Testimony Reli- (1) the two animal studies there because able? (2) studies, only were two which used mas Likewise, the record reflects that PCBs, represented sive doses of which Teitelbaum and Scheeter each utilized scien research, preliminary stage of and which tifically procedures methods and in reliable animals, tested not humans. None these gathering assimilating all of and the relevant expert’s reasons is sufficient to render an respective forming opin their information opinion legally question unreliable. The is that his ions. Teitelbaum stated methodolo expert’s whether the use of these studies to gy diagnosis “has been the basis of for hun help methodologically formulate years.” dreds of Scheeter described his sound. The number of studies is irrelevant “usually methodology generally as one inquiry. Supreme to this As the Court made by physicians followed and scientists.” Each Daubert, clear in the fact that there are a acceptance general proce asserted the of the limited number of studies does not under they employed dures and defendants do not utility mine the assisting of those studies in challenge these claims. Daubert, opinion. to form an See Furthermore, expe the extensive at -, 509 U.S. 113 S.Ct. at 2797. Further specialized expertise rience and of each of more, improper it is to find research unrelia experts augment reliability ‍‌‌‌‌‌​​​‌‌​​‌​‌​​​​​​​​‌‌‌​​‌​‌​‌​‌‌‌​​‌​‌‌‌​​​‌‍these of their solely subjects. ble because it uses animal reasoning methodology. While this fac Paoli, (finding See 35 F.3d at 781 that the pertinent deciding separate tor is most district court abused its discretion exclud question qualified of whether the are ing animal indicating probable studies link testify, see Fed.R.Evid. it also has cancer). between PCBs and bearing some on the determination of the reliability underlying reasoning of the Opinions any kind derived methodology. Hopkins Corning v. Dow evidence, pieces from individual each of (9th Cir.1994) (con 1116, 1125 Corp., 33 F.3d conclusive, which might itself not be but sidering “expertise” to conclude that method entirety when viewed in their are the build ology underlying expert opinions satisfied ing perfectly blocks of a reasonable conclu Daubert); Downing, 753 F.2d at 1239 sion, enough one reliable to be submitted to a (recognizing qualifications “[t]he jury along with the tests and criticisms cross- professional ... stature witnesses examination contrary evidence would may also constitute circumstantial evidence supply. Supreme As the Court said Dau reliability technique”). of the *9 bert, devices, “[t]hese conventional rather than reliability uncompro

The wholesale exclusion an assessment of also under mising “general test, reviewing expert’s acceptance” ap involves the basis for an are the opinion. noted, propriate previously safeguards As when an ex where the basis of sci pert specific testimony relies on research to form an entific meets the standards of Rule opinion, Daubert, at -, the district court must ascertain 702.” 509 U.S. 113 at S.Ct. whether such research is reliable. To accom- 2798.

533 to Application 2. Daubert this Case— case, the Joiners’ In this Relevance thirteen of at least the studies discussed researchers, referred to sever and different prong of Daubert re second Organization Health the World reports al quires court to determine whether the PCBs question of whether that address “testimony the trier of fact to un ‘assist[s] experts testified The Joiners’ cause cancer. to a fact the evidence or determine derstand were conducted many of these studies that issue,’” examining “rea whether the hypotheses specific analyzed to test methodology [underlying the testi soning or relationship PCBs between about mony] applied can be facts issue.” cancer, published many have been that Daubert, at -, 113 S.Ct. at 2795- 509 U.S. they that journals, and reputable experts’ found that the 96. The district court using the scienti generated and tested were “fit” the facts in the case opinions did not the Joiners’ fic method. opinions [linking to can because “the PCBs however, inadmissible, appears it inextricably up the ex bound with cer] first viewed each ex court that the district exposed to perts’ assumption that Joiner was only on the six as based pert’s opinions Joiner, dioxins,” F.Supp. at 864 furans and opinion9 and then in her discussed studies un assumption the court deemed of the con accepted criticisms defendants’ indicates, of the record founded. Our review studies, stating in those clusions reached however, genuine appears that there to be a support the simply do not “the studies that dispute PCBs can factual as to whether alone probably position that PCBs more experts’ cancer, inap and that this issue was cause lung cancer.” promoted Joiner’s than not summary judgment. Although propriate for Joiner, F.Supp. 1326. As Daubert at “PCBs,” “dioxins,” and “furans” the terms clear, not de the district makes together expert’s in each appeared often opinions are cor expert’s cide whether testimony, proffered and at times Join rect, support merely whether the bases but it can assumed experts asserted that be ers’ Daubert, present are reliable. in the ing the conclusions dioxins were furans and/or (“The fluid, -, City’s transformer at 113 S.Ct. at PCB-contaminated 509 U.S. necessarily that ex course, follow each focus, solely principles it does not must be on caused can pert’s opinion that PCBs Joiner’s methodology, not on the conclusions fu contingent upon his cer was they generate.”). that During deposition, his or dioxins. rans that Teitelbaum testified of an viewing the bases Instead of out a whole to screen expert’s opinion as [tjhere’s information on PCBs. sufficient court assessed speculation, the district mere Organiza- Health brought the World IPCS upon only portion of the studies relied just it’s hot off because tion Criterion experts, and then exclud of the Joiners’ each summary ... that indicates press, and the testimony because it drew different ed that the had concluded as of IARC did each from the research than conclusions laboratory carcinogenicity in evidence Ultimately, should experts. the court the latest This is animals is sufficient. legal reliability information, satisfy as to the no reason itself and there is piece of jury that, testimony, leaving they concluded that also proffered to doubt hu- carcinogenic for competing expert probably PCBs are to decide the correctness mans. opinions. copy cited in the briefs of the studies court with a exception, district court did With one court, part any it cited in its has had to it of the studies for the most that] have before [and judgment. summary granting defendants excerpts order that rely from the studies on the Instead, very apparently relied on the the court briefs”). It further parties provided in their have pro- defendants criticisms of these studies brief Teitel- appears did not consider the court judgment summary motion. Join- vided in their sup- why studies baum's as er, (noting F.Supp. "[w]ith n. 27 cancer. ported opinion that PCBs cause provided party exception, neither has one *10 similarly degrees. testified that “PCBs alone er

Schecter exceeded The defendants explаining rebutting in that PCBs in also cause cancer” never succeeded the conclusions initiate, promote, by as well as cancer. experts establishing can of the Joiners’ either Thus, the claim that temperature in terms of Joiners’ a threshold for the conversion of cancer, solution, pre- can cause it becomes furans or in PCBs alone dioxins a PCB or senting any there were furans and immaterial whether direct evidence of the actual temperatures during dioxins in the fluid. attained either the process bake-out or In con- accidental fires. Similarly, with reference to the theo trast, Teitelbaum, when asked if he was able exposed ry was indeed to furans that Joiner temperature to “determine the created from dioxins, genuine appears dispute it that a and lights the stadium that were used to bake the over whether furans and diox likewise exists coils,” replied, says “[Joiner] transformer it present in have the dielectric ins could been smoke, enough was hot for it to and oil example, fluid. For both the Joiners’ ex degrees, degrees smokеs at around 700 generated perts that furans can be testified addition, [centigrade].” In while defendants’ exposed light to fires when PCBs are and Rouse, expert, Dr. Thomas O. testified that it ning, and that furans and dioxins are often “quite unlikely” lightening would be for a together found with PCBs. Schecter stated production strike to cause furans heating that is well documented that the “[i]t PCBs, id at 1317 n. Teitelbaum testified burning of or of PCBs will create both the directly his affidavit that “Mr. Joiner was deadly and dioxins.” Teitelbaum [furans] salvage involved in containing of PCB inevitably testified that furans would result transformers which had been involved City’s given the fact that transformers strike, lightning lightning [and that] strike lightning had fires and strikes on suffered overheating pres- of a transformer in the several occasions. Teitelbaum testified dur fluid, oxygen ence of in the dielectric inevita- ing deposition simply that “one has to bly produces [furans].” chemistry look at the of the situation and reasons, foregoing what’s known about PCBs manufactured For all of the the testi- period mony plaintiffs’ and assume that there was some experts erroneously was may present, summary judgment furan that thеre have been excluded and should present, depending par granted. Accordingly, some dioxin on the have been we reverse summary ticular fire and circumstances.” Id. at 1321. judgment pro- for remand ceedings consistent herewith. REVERSED sought impact Defendants to neutralize the and REMANDED. establishing the Joiners’ evidence neither furans nor dioxins would have been BIRCH, Judge, specially Circuit produced unless the transformer fluid ex- concurring: temperature. ceeded a certain Defendants’ Brown, Jr., expert, Dr. F. properly John testified that concur in this it because temperatures emphasizes of PCBs to of 300 the role of the district court as degrees centigrade days “gatekeeper.” several could judge, The role of the trial furans, generate unlikely properly mandate, but that it was following the Daubert City temperature would have allowed the ensure that the conclusions reached degrees during ever to experts reach 300 bake-out have some minimal level of potential damage reliability probative because of to the trans- value. This deter- comment, former core. Brown did not accomplished by how- mination is establishing that ever, temperatures predicate on the principles methodology have re- during upon by been reached an accidental transform- lied are valid and that which, planned by er they applied fire because it is not can be to the facts at issue. City, damage sufficiency does not involve intentional to The of the evidence and the evidence, weight however, transformer core. Nor did the defen- beyond provide dants tempera- scope analysis. evidence what the of the Daubert Whether been, might tures in these fires have the conclusions advanced from the stated fact, temperatures, establish that premises nev- in fact persuasive- follow and the

535 analytical leap whether a of faith across the in the ultimate res- those conclusions ness of that, gap great is so without further credible opinions, questions competing of olution grounds, the is inadmissible. The to the finder of fact. appropriately left court, nevertheless, responsi- retains its trial I. Standard Review of instructing jury on properly bility of that, majority although states we re- ultimately entering judg- proof and of burden admissibility rulings trial court’s view the circumstances —all appropriate ment after discretion, apply particularly abuse of “we through tested cross- evidence has been stringent standard of review to the trial evidence has been examination and rebuttal judge’s expert testimony” exclusion of introduced. plenary” “our review is over the trial court’s mandate, discharging In the Daubert interpretation of evidence rules. Because appel- record for trial court can enhance the understanding scope appellate of review by appointing expert, an under late review court, helps define the role of the trial I 706, in evalu- to assist the court Fed.R.Evid. should follow believe we other circuits and Augmen- ating proffered scientific evidence. present precise explanation a more of the testimony of a the record with the tation of See, e.g., standаrd of review. Cook v. Ameri- philosophically competent, independent and (6th Co., 733, Steamship 53 F.3d can 738 expert upon focused evalu- neutral Rule 706 Cir.1995) (Three reviewing standards ad- ating reliability proffered of the (1) missibility expert opinion: trial court’s likely promote compre- a more evidence will error; factfinding is reviewed for clear trial adequate ruling hensive and ruling opinion trial court’s whether is scienti- complex and technical court. As knowledge question requiring fic of law commonplace, in more this evidence becomes review; plenary trial court’s ever-advancing computer age, the need for whether assists the trier of fact is generalist expertise to seek the trial court discretion); Bradley v. reviewed for abuse responsibilities becomes discharging Daubert (7th Cir.1995) Brown, 434, 42 F.3d 436-37 increasing compelling. evident (Plenary ap- trial court review whether ft’amework, plied Daubert but trial court’s SMITH, Judge, dissenting: Senior Circuit manifestly findings not disturbed unless er- roneous.). majority respectfully dissent because improperly applies v. Dow Daubert Merrell stringent” applying “particularly re Pharmaceuticals, 579, 113 S.Ct. U.S. view, change we do not the threshold of 2786, (1993), 125 L.Ed.2d 469 and does not review, searching but conduct a review of clarify expert, the adequately the roles of the look”) (i.e., the record take “hard while appellate court and the court. The fol- trial maintaining proper standard of review. lowing analysis on a ideas. is based few basic See, Litigation, R.R. In re Paoli Yard PCB “gatekeeper,” the trial court must sift As a Cir.1994) (3d 717, (give a 35 F.3d “ 749-50 only through expert testimony to decide not (more review)” stringent look’ to de ‘hard discretion), testify, expert may but what whether its cide whether the trial court abused — portion expert’s is admissi- denied, -, t. U.S. cer expert may opin- single (1995). ble. A offer several This S.Ct. 131 L.Ed.2d 134 conclusion, and ions to reach his ultimate already suggested such a “hard look” court opinion must be admissible under Dau- each light Daubert where it remanded a case Further, expert’s testimony does bert. specif the trial court to make and instructed the trier of fact if the not “assist” factfindings appellate to facilitatе review. ic (11th explain steps Lee, does not he took reach v. 25 F.3d United States Cir.1994). look,” require the his conclusion. We should not I offer Under this “hard blindly expert’s accept terminology of fact to that is guidance trier for clear review analytical gap prof- firmly jurisprudence fill word to between established in the expert’s trial knowledge” and the and other circuits. Whether the fered “scientific Therefore, “ga- applied Rule 702 follow properly conclusions. the trial court ing tekeeper” has broad discretion to decide *12 in Daubert that a mistake is a definite and firm conviction set forth framework committed.”) v. this court exercis- Anderson (quoting law over which ‍‌‌‌‌‌​​​‌‌​​‌​‌​​​​​​​​‌‌‌​​‌​‌​‌​‌‌‌​​‌​‌‌‌​​​‌‍question of has been See, independent review. complete 573, City, 564, es Bessemer 470 U.S. 105 S.Ct. Authority, Housing v. Atlanta 998

Peterson (1985)) (internal 1511, 1504, L.Ed.2d 518 84 Cir.1993) (“The (11th 904, district F.2d 912 omitted); Cook, quotations 53 F.3d at 738. subject of law is to com- conclusion court’s framework, the Daubert applying the trial court.”) independent review plete and ruling expert opinion on court’s whether Sure-Snap Corp., F.2d (quoting, In re 983 (1) (i.e., knowledge is reliable (11th Cir.1993)); Bradley, 1015, 42 F.3d 1017 procedures grounded in the methods and of “complete suggest the term at 436-37. science) (2) (i.e., relevant “fits” the facts being precise and ac- independent” as more case) is reviewed for abuse of discre- ubiquitous novo” where than the “de curate See, Ltd. v. Hibiscus Associates tion.1 con- is in fact the first one ever the review Trustees, (11th 908, Board 50 F.3d 917 of novo” carries a connotation of ducted. “De Cir.1995) (“A judge to has broad discretion “trial novo” a repetition, as a de after expert testimony, and his action will exclude sug- To previously has been tried. matter erroneous.”). manifestly upheld be unless it is conducting a appellate court is gest that court’s of the trial conclusions “new” review accurate when in fact Admissibility Expert Testimony II. of law is less than of have never before been those conclusions presenting thorough After a review of the preliminary

reviewed. The trial court’s fact- standard, Daubert majority errs first 104(a) during hearing to de- finding Rule of Daubert applying reliability prong admissibility expert opinion of is termine the whole, experts’ оpinions as a and then See, v. Tal- Elston reviewed for clear error. relevancy prong. ap- applying the This Ed., 1394, ladega County Bd. 997 F.2d of proach offering only treats all the as Cir.1993) (“We (11th review the district 1405 leading one to the ultimate conclusion findings for clear error. A court’s of fact promoted transformer dielectric fluids clearly although when finding is erroneous it, lung Mr. Joiner’s small cell cancer. Howev- support reviewing there is evidence to er, expert actually offering is left with the each court on the entire evidence several evidence, addressing questions admissibility Daubert circuits have shown of dis Those - denied, admissibility courts.”), similar deference to the trial court's cretion of the district cert. See, Jones, e.g., -, 1105, v. 71 determinations. Pedraza U.S. 114 S.Ct. 127 L.Ed.2d 416 (trial 194, (5th Cir.1995) - court's denied, -, F.3d 197 (1994)), cert. U.S. 115 S.Ct. drug expert addict's inadmissible is 2631, (1995); 132 L.Ed.2d 871 American For & discretion); Gier v. Edu reviewed for abuse of Co., eign Insurance Co. v. General Electric 45 16, 940, 66 F.3d cational Service Unit No. 942 135, (6th Cir.1995) ("A 137 trial F.3d court has Cir.1995) (trial (8th ruling psychologist court’s broad discretion in the matter of the admission testimony inadmissible reviewed for "clear abuse evidence, expert or exclusion of and ... tois be discretion”); Deimer v. Cincinnati Sub-Zero erroneous.”) (inter manifestly sustained unless Products, Inc., 341, (7th Cir.1995) 58 F.3d 344 Brown, omitted); quotations Bradley nal v. 42 ("[W]e apply a deferential standard of review ... 434, (7th Cir.1995) ("We F.3d 436-37 first un A to allow is within the decision dertake de novo review of whether the district judge and broad discretion of the trial is to be court followed the framework set forth in Dau erroneous.”) (in manifestly sustained ... unless [, so,] bert and if we will not disturb the district omitted); quotations Cook v. American ternal findings they manifestly court’s unless erro Co., 733, (6th Cir.1995) Steamship 738 53 F.3d Paoli, 717, neous.”); (3d In re 35 F.3d 749-50 ("[Wjhether proffered expert opinion 'will Cir.1994) (a "hard look” at trial court's exercis assist the trier of fact to understand the evidence Rincon, discretion); ing its United States v. 28 issue,' relevancy or to a fact in is a determine 921, (9th Cir.1994) (admissibility F.3d 923 we determination and therefore one review for expert opinion eyewitness on identification re discretion.”); Dorsey, United States v. 45 abuse - discretion), denied, for abuse cert. viewed 809, (4th Cir.1995) ("[Ejven under the F.3d 814 U.S. -, 605, (1994); 115 S.Ct. 130 L.Ed.2d 516 judge great analysis, a trial has a deal of Daubert Muldrow, 1332, and United States v. 19 F.3d dеciding whether to admit or ex discretion in (10th Cir.1994) ("We 1337, review a testimony.”) (citing trial court's clude United States v. 769, (4th Cir.1993) ("The admission of under an abuse of discre Bynum, evidence F.3d 773 denied, - U.S. -, standard.”), emphasized prescrib tion cert. [Daubert Court that it was ] rule, committed, (1994). ing a as are 130 L.Ed.2d 110 'flexible' one most S.Ct. “fit”). (i.e., v. conclusion. tures in this case Joiner Gen- leading that ultimate opinions Co., opinions F.Supp. 1317-18 experts offer eral Electric example, For (N.D.Ga.1994). present were and dioxins furans promoted Mr. Joiner’s and dioxins furans majority concludes the trial court com sepa- assertions is a Each of these cancer. by overlooking mi mitted reversible error meet the Daubert opinion which must rate passage nor from Dr. Teitelbaum’s affidavit standard, the asser- regardless of whether *13 provides specific evidence of “fit”: that by or different given the same tions are smoking the transformer’s were which re stated, the Paoli court experts. As quires temperatures degrees of 700 to 800 reliability, “good requirement of or [T]he centigrade and some transformers were extends, step in to eаch an ex- grounds,” inevitably produces lightning struck which way through step analysis all the pert’s the majority suggests further furans. The expert to the work of the that connects the ruling was erroneous because the trial court’s step [A]ny ... that renders particular case presented defendants no evidence that Daubert analysis under the unreliable requisite temperature. fires did not reach the testimony in- expert’s factors renders However, disagree prepared I and I am not admissible. trial court on this issue be to reverse the Paoli, (emphasis omit- 35 F.3d at cause it is Mr. Joiner who has the burden of ted). at -, admissibility. proving Daubert trial court majority admonishes the The (citing Bourjaily at 2796 n. 10 v. Unit S.Ct. expert’s of an “viewing the bases States, 171, 175-76, 107 ed 483 U.S. S.Ct. However, sifting opinion as a whole.” 2775, 2778-79, (1987)); see 97 L.Ed.2d testimony through expert’s is crucial (The also, Deimer, expert 58 F.3d at 345 only requires “gatekeeping” function that not responsibility apply analysis “had the to experts may the trial court to decide which case.”); American & to the facts of this testify, requires the trial court to but also Co., Foreign 45 F.3d at 139 Insurance exрerts may testify about decide what the (“[T]he seeking [party is on the to burden (i.e., separate must the wheat the trial court testimony] persuade expert admit to this chaff). Litigants may not offer all from the testing sup court that the was reliable and long they can expert’s so as data.”). making ruling, ported raw In its portion that is admissi- search and find some through such over the trial court sifted may Similarly, not bombard ble. whelming inevitably it over evidence that then, court with innumerable studies and passage from Dr. Teitelbaum’s looked the hand, sleight leap to with blue smoke and importantly, Mr. him affidavit. More Joiner Instead, expert must the conclusion. passage to this notwith self failed disclose explain opinion drawn from each how the admissibility standing proving his burden (i.e., study acceptable how is under Daubert knowing hinged on such evi or his the case grounded study methodologically is any or Mr. failed to cite this case), dence. Joiner “fits” the facts of the else the Indeed, appeal. pas this study. passage similar on testify particular ‍‌‌‌‌‌​​​‌‌​​‌​‌​​​​​​​​‌‌‌​​‌​‌​‌​‌‌‌​​‌​‌‌‌​​​‌‍that cannot about forever lost had it not sage would have been PCBs, and Dioxins Exposure A Furans eye diligent, searching of the been for the majority. prepared place such a am not finding genuine dispute Although there is a appellate on the trial or courts. burden either PCBs, exposed to whether Mr. Joiner was encourage Similarly, prepared to I am not trial court found insufficient evidence with data litigants to inundate the courts raw exposed that Mr. Joiner was to furans process courts to the data and force the Mr. Join- dioxins. The trial court dismissed why evidence is admissi determine certain created from er’s assertion that furans were experts should litigants and their ble. The because, although in fire conditions PCBs anyone— than better know their evidence there was evidence of fire and other “hot” its they own advocates for conditions, should be their failed to show that Mr. Joiner requisite tempera- admission. conditions reached the adopts argu- opinion apparently Mr. Joiner’s trial court on the affirm the also I would ment, improper “it to find stating that The trial court to dioxins.

issue of solely because it uses research unreliable excerpts as inad- treatise properly discarded However, ignores the subjects.” this animal they not of- hearsay because were missible have trial court’s concern testimony. The trial through expert fered mice studies not demonstrated how these discretion in discard- not abuse its court did particular “fit” case. this formed testimony that dioxins can be ing there was no evidence Pyranol because “fit,” Supreme Court discussing present have been Pyranol was or stated, “fit”). (i.e., the trial Nor did case ... study phases of the moon excluding testi- abuse its discretion “knowledge” may provide valid scientific burning produces dioxins mony that PCBs dark, night whether a certain was about any not reference did where issue, fact and if darkness is a science). (i.e., grounded supporting studies *14 knowledge of fact. will assist the trier not abuse its Finally, the trial court did (absent grounds sup- However creditable testimony expert finding in discretion link), the porting such a evidence pro- “has little concerning specific incident night full on a certain will not moon was evidеntiary in given deficits value the bative determining assist the trier of fact at 1319. this ease.” Joiner unusually likely was whether individual irrationally night. to have behaved on that Cancer B. Causation —Promotion of —, (emphasis Daubert a 113 S.Ct. at 2796 t — added). “fit,” concept explaining gave two alternative trial court The stated, the Paoli court summary judgment on grounds granting for (i.e., testimony whether Mr. Join- if [Expert] of causation will be excluded it is issue promoted his knowledge purposes to dielectric fluid for the er’s not scientific (1) cancer): testimony experts’ did not animal [I]n of this case.... order for prove Mr. they assumed Joiner was studies to be admissible to causation “fit” because (2) humans, good grounds to and dioxins and there must be exposed to furans humans, just they extrapolate the studies from animals to experts did not show how methodology must Regarding as the of the studies this case. the for- on “fit” relied good grounds constitute to reach conclu- prepared not to reverse ground, I am mer animals themselves. failing sions about the due to Mr. Joiner’s the trial court passage regarding the the critical disclose Paoli, original). (emphasis 35 F.3d at 743 which would temperature of the transformers ruling not that animal The trial court’s was required “fit” to admit provided the have se, per but that Mr. studies are inadmissible exposure. furan and dioxin evidence about experts gener- general response that Joiner’s Moreover, court on I would affirm the trial ally rely on animal fails to show the studies ground it did not abuse its because latter reliability particular “fit” these animal finding failed to discretion 1324 n. 25. The trial studies. Joiner at “fit” proffered studies show how proffered court’s concern is that the studies ease. (1) (2) mice, humans; not were of were on substantially higher doses of PCBs than Mr. 1. trial court found Mice Studies. —The (3) exposure; in a mice studies was Joiner’s resulted different experts’ reliance on (4) Joiner’s; (1) yielded only than Mr. questionable there were two form cancer because (5) doses; only preliminary studies; results and were not the studies used massive (there yielded only preliminary accompanied other studies were the studies studies). only Mr. The trial court two Because Joiner failed results. at 1323. Joinеr concerns, two the trial Mr. Joiner did to address the latter excluded the studies because concerns, merely unreliable. Re- but court found the studies were respond to these “fit”, only garding the other concerns about “proceed[ed] as if the issue is whether trial found that Mr. Joiner did not [proper].” animal can ever Joiner court studies be added). supporting” majority present grounds “creditable (emphasis defects, mice studies and Mr. cause of birth the court found “[t]he link between these analytical gap present cancer.2 between the evidence Joiner’s ed and the inferences to drawn on be proponent of scien It incumbent on the ultimate issue ... is too such wide. Under analytical gap fill be tific evidence to circumstances, jury should not be asked to proffered study particular and the tween causation.”), speculate on the issue of cert. “fit”). (i.e., Daubert at- facts of the ease denied, 506 U.S. 113 S.Ct. 10,113 (citing Bourjai at 2796 n. 10 n. S.Ct. (1992). L.Ed.2d 47 This is not too onerous a States, 171, 175-76, 107 ly 483 U.S. v. United request expert certainly because the 2775, 2778-79, (1987)); should 97 L.Ed.2d S.Ct. (The Deimer, also, drawing havе reasons for his conclusions see 58 F.3d at 345 analysis study, responsibility apply from the else his is inadmis “had the case.”); “subjective facts of this American & unsupported to the sible as the belief Co., Foreign Insurance 45 F.3d at 139 speculation” requires that Daubert the trial (“[T]he [party seeking to burden is on the “gatekeeper” to screen out.4 Daubert testimony] persuade this admit at -, Therefore, 113 S.Ct. at 2795. testing sup reliable and court that the was trial court did not abuse its discretion in data.”). ported by raw The trial court exer the mice studies inadmissi cises its discretion to determine whether completely Mr. ble where Joiner failed to made, showing weighing such a has been respond to the trial court’s concerns. including several factors the “liberal thrust” Epidemiological Studies. —The trial evidence, admitting expert the adver toward *15 disregarded experts’ court the reliance on system’s ability to admitted sarial scrutinize epidemiological every “in studies because evidence, powerful of ex and the influence equivocal ... the case studies either -, -, pert opinion.3 Daubert аt helpful” “simply support not and do not 2794, scienti at 2798. Where no other S.Ct. experts’ position probably that more PCBs analytical fill fic is offered to evidence promoted lung than not cancer.” Joiner’s gap, required the trier of fact is to take the (emphasis original). in Joiner word, expert simply placing on blind faith his majority The reverses the trial court on this However, expertise. in if the trial court his issue, alleging improperly de- the trial court great expert testimony requires finds the too experts’ whether the conclusions were cided analytical gap, it leap a of faith across the limiting analysis to correct instead of its request good grounds bridge to properly respect- I See, whether the studies were reliable. admitting testimony. gap before disagree; Pharmaceuticals, fully the trial court’s concern is Turpin v. Merrell Dow (6th Cir.1992) “fit,” experts are Inc., with not whether the cor- 959 F.2d 1360-61 (Regarding animal studies used to show the rect. exposed precluded expert testify- an

2. Had this law suit involved mice to 4.Common law issue, high developed type relegat- ing doses of PCBs who some at all about an ultimate fact in cancer, lung up self- ing guiding the “fit" would have been his role to the trier of fact to the However, relationship evident. between taking step. the final Al- ultimate fact without studies and the facts of this case is much more though expert may testify an now to an ultimate tenuous. fact, per- permissiveness certainly does not expert testify solely fact mit an to to an ultimate stated, regard, the Court 3. In this Daubert guiding without the trier of fact to that conclu- give example, expert For could not sion. cross-examination, Vigorous presentation testimony, lung Joiner’s can- one sentence "Mr. evidence, contrary and careful instruction on promoted by exposure to dielectric cer was his proof and the burden of are the traditional fluid, you my can take word for it.” Nor would appropriate attacking shaky but ad- means evidence____ testimony by adding, heard of he save his “I’ve Expert missible evidence can be cancer in studies that show saccharine causes powerful quite misleading because of both laboratory to "assist” the animals.” order difficulty evaluating Because of this the risk, it. fact, expert explain further trier of must possible prejudice judge weighing reasoning by testifying he about what studies against probative Rule 403 ... force under opinion, rehable are relies on to form his how more control over than over exercises studies, the studies relate to this lay and how witnesses. at-, particular case. 113 S.Ct. at 2798. Daubert dioxins, Mr. exposed to furans and recognized that dis- sons court The Paoli study expert that the expert’s own testified focusing on an Joiner’s between tinction very convincing Japanese life- as the his conclusion “has “is methodology instead of suggestive ... but not style [it is] is different import.” Paoli at 746. practical only limited (quoting Deposi- convincing.” Joiner at 1326 explained, court The Teitelbaum). As the Bertaz- tion of Dr. with disagrees with the conclu- judge aWhen study, court did not abuse its zi the trial generally expert, it will ‍‌‌‌‌‌​​​‌‌​​‌​‌​​​​​​​​‌‌‌​​‌​‌​‌​‌‌‌​​‌​‌‌‌​​​‌‍be sions of respond failed to where Mr. Joiner discretion there is a mistake or she thinks because he provide fur- to the trial court’s concerns investigative or reason- step in the at some relying on these studies. grounds ther for expert.... chal- ing process [A] very challenge close to a lenge to “fit” is III. Conclusion ultimate conclusion about the expert’s case, part yet it is particular properly applied trial Daubert Dau- admissibility calculus under judge’s ruling its discretion and did not abuse bert. inadmissible. certain away By directing attention

Paoli at rulings, there is insufficient Based on these terminology court’s choice from the trial of causation. There- evidence on the issue analysis, I conclude its actual and toward fore, granting affirm the trial court’s would not abuse its discre- trial court did that the summary judgment in favor of defendants. study inadmissible. tion each Moreover, majori- against using I caution ty’s approach applies each DaubeH capaci- found the Bertazzi The trial court I would prong to the as whole. study be- inadmissible tor manufacturers ap- approve step-by-step court’s the trial grounds” “no results showed cause its anticipates single proach properly which cаncer, spe- lung and the linking exposure offering as more than one experts merely on excerpts cific relied support his ultimate conclusion. probability, that “plausibility,” not show the cancer. Joiner at 1324 exposure could cause *16 disposi- concerns alone are not

n. 26. These analyze study expert may tive because than conclusions and draw different However, study. should have rea- study differing with the or for find- sons for study supports his conclusion ing that study notwithstanding language to the failed to re- contrary. Because Mr. Joiner LAMB-WESTON, INC., Plaintiff- supporting grounds, the spond provide Appellant, its discretion trial court did not abuse v. inadmissible. this evidence FOODS, LTD. and McCain McCAIN Zaek Musch trial ruled the & Foods, Inc., Defendants- study inadmissable where the Monsanto Appellees. study were not that the results itself stated significant.” 93-1536, “statistically Joiner 1325. Nos. 94-1225. Norwegian cable The trial court ruled Appeals, United States Court study it inadmissible because manufacturers Federal Circuit. PCBs,” involves mineral oil “never mentions exposure, study itself concludes that and the Feb. “[fjurther ... ... up follow studies are need- any ed before firm conclusions be The trial court also

drawn.” at 1325. Joiner ruled accidental toxic the Yusho study study was a inadmissible because study per- “preliminary report,” the involves

Case Details

Case Name: Joiner v. General Electric Company
Court Name: Court of Appeals for the Eleventh Circuit
Date Published: Mar 27, 1996
Citation: 78 F.3d 524
Docket Number: 94-9131
Court Abbreviation: 11th Cir.
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