OPINION
Norfolk Southern Railway Company ("Norfolk") appeals the trial court's denial of its motion to strike and its motion for summary judgment in the suit brought against it by The Estate of Robert G. Wagers, Sr., Tracy Wagers, Personal Representative ("the Estate"), raising the following issues for review:
I. Whether the trial court should have stricken the testimony of the Estate's expert witness on causation, Dr. David K. Parkinson, because Parkinson's testimony does not meet the standard for admissibility of expert testimony in toxic exposure cases.
II. Whether the trial court erred in denying Norfolk's motion for summary judgment because the Estate has failed to present any evidence on the amount or "dose" of the decedent's exposure.
We affirm.
FACTS AND PROCEDURAL
Robert Wagers, Sr. ("Wagers") worked for Norfolk as a track laborer and backhoe operator. In September 1999, he was diagnosed with small cell carcinoma of the lung. He died of lung cancer in May 2000. The Estate filed its complaint against Norfolk under the Federal Employer's Liability Act (FELA), contending that Wagers's lung cancer was caused by his workplace exposure to asbestos fibers, diesel fumes and exhaust, and herbicides. Wagers also had a significant history of smoking cigarettes. The Estate relied on the opinion of Parkinson, who acknowledged in an opinion letter that Wagers had both personal and work-related exposures that can cause lung cancer. He stated that "Mr. Wagers[']l exposure to diesel fumes and asbestos played a significant role in the induction of his lung cancer. I cannot estimate what proportion of risk was to cigarette smoking and what proportion to his exposures in the workplace." Appellant's Appendix at 488. Subsequently, Parkinson was deposed and testified that he had no knowledge about the frequency with which Wagers may have encountered or used materials containing asbestos and that he assumed, based on his review of Wagers's co-workers' depositions, that Wagers would have worked with diesel equipment four to five hours per day. Parkinson agreed that some dosage level is required before a person would develop asbestosis, but that he did not know at what level Wagers was exposed. He testified that he could not state to any reasonable degree of medical certainty 2 that Wagers would not have developed lung cancer if he had not been exposed to any asbestos or diesel fumes. He further stated that he had no specific quantitative data about Wagers's exposure to asbestos and diesel fumes 3
In October 20083, Norfolk filed a Motion to Exclude and Motion for Summary Judgment. It argued that Parkinson's opinion on the cause of Wagers's lung cancer should be excluded under Indiana Rules of Evidence 702(b), 401, 402, and 403. In addition, it argued that because the Estate offered no admissible expert testimony as to medical causation, it was entitled to summary judgment. In January 2004, the trial court denied Norfolk's Motion to Exclude and Motion for Summary Judgment. In February 2004, the trial court certified its order for interlocutory appeal, and we accepted jurisdiction of the case.
DISCUSSION AND DECISION
The Estate has brought its claim against Norfolk under FELA. FELA imposes upon the railroad a non-delegable duty to use reasonable care in furnishing employees with a safe place to work and promulgates a statutory remedy for injured railroad workers. N. Indiana Commuter Transp. Dist. v. Marron,
A railroad employer breaches its duty to provide a safe workplace when it knows or should know of a potential hazard in the workplace, yet fails to exercise reasonable care to inform and protect its employees. Baltimore & Ohio Ry. Co.,
To recover under FELA, the plaintiff must still prove that the employer was negligent. Schultz v. Hodus,
In FELA negligence actions, the role of the jury is much greater than in common-law negligence actions; the right of the factfinder to pass upon the question of the employer's liability must be most liberally viewed. Baltimore & Ohio Ry. Co.,
I. Motion to Strike
Norfolk argues that the trial court should have stricken Parkinson's testimony because his testimony does not meet the standard for admissibility of expert testimony in toxic exposure cases.
A trial court has broad disceretion in ruling on a motion to strike. In re Remonstrance Appealing Ordinance Nos. 98-004, 98-005, 98-006, 98-007 and 98-008, of Town of Lizton,
The trial court acknowledged Norfolk's "compelling" arguments that Parkinson's opinion should be excluded under Evid. R. 702(b). Appellant's Appendix at 673. However, it found controlling the Estate's argument that actions under FELA require less evidence of causation to establish lability than ordinary negligence actions and that a relaxed standard of causation in FELA actions also lowers the threshold of admissibility for expert testimony. Norfolk contends that the trial court erred in determining that this lower standard of admissibility applies in FELA cases We need not decide whether a lower standard of admissibility applies, however, because Parkinson's testimony meets the requirements of Evid. R. 702(b).
A. Is Parkinson's testimony admissible under Evid. R. 702?
When FELA actions are adjudicated in state courts, they follow state procedural rules, even though the proceedings are governed by federal substantive law. Eversole v. Consol. Rail Corp.,
Evid. R. 702 relates to the admissibility of expert testimony. It assigns to the trial court a gatekeeping function of ensuring that an expert's testimony both rests on a reliable foundation and is relevant to the task at hand. Lytle v. Ford Motor Co.,
Evid. R. 702 states:
"(a) 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.
(b) Expert scientific testimony is admissible only if the court is satisfied that the scientific principles upon which the expert testimony rests are reliable."
Accordingly, two requirements must be met in order for a witness to qualify as an expert. Hannan,
The Federal Rules of Evidence do not have a counterpart to Evid. R. 702(b), which was adopted before the United States Supreme Court's decision in Daubert v. Merrell Dow Pharmaceuticals, Inc.,
About Evid. R. 702, our supreme court has explained:
"In adopting Evidence Rule 702, this Court did not intend to interpose an unnecessarily burdensome procedure or methodology for trial courts. By requiring trial courts to be satisfied that expert opinions will assist the fact-finder and that the underlying scientific principles are reliable, Rule 702 guides the admission of expert scientific testimony. Although it authorizes the exclusion of purported scientific evidence when the trial court finds that it is based on unreliable principles, the adoption of Rule 702 reflected an intent to liberalize, rather than to constrict, the admission of reliable scientific evidence."
Sears Roebuck & Co. v. Manuilov,
"If applied to separately evaluate every subsidiary point made during the
Accordingly, when faced with a proffer of expert scientific testimony, the court must make a preliminary assessment of whether the reasoning or methodology underlying the testimony is scientifically valid and whether that reasoning or methodology properly can be applied to the facts in issue. Lytle,
Ordinarily, a key question to be answered in determining whether a theory or technique is scientific knowledge that will assist the trier of fact will be whether it can be empirically tested. Lytle
The inquiry envisioned by Evid. R. 702 is a flexible one with scientific validity-and thus the evidentiary relevance and reliability-of the principles that underlie a proposed submission as its overarching subject. Hottinger,
Norfolk looks to cases in which this court has found expert testimony in toxic exposure cases failed to meet Evid. R. 702(b)'s threshold. Specifically, Norfolk's criticism of Parkinson's testimony regarding the cause of Wagers's lung cancer is that it is unreliable because it is not based on any specific information regarding Wagers's level of exposure to, i.e., the dose of, asbestos and diesel fumes.
In Hottinger,
Heuser reviewed the plaintiffs medical history and determined that, before her exposure to the herbicide, she had had some mild chemical sensitivity that had not interfered with her ability to work full-time or to live a normal life. However, after her exposure, she had brain, peripheral nerve, and immune function deficits consistent with toxic exposure to the herbicide. Before her exposure, the plaintiff had had a serum test used to diagnose autoimmune disorders, the results of which had been normal. However, the same test performed after her exposure to the herbicide showed abnormal results.
The plaintiff's brain sean showed patterns consistent with other brain sean findings in patients exposed to neurotoxic chemicals, and other tests revealed that she had organic brain deficits compatible with toxic exposure. Heuser ordered several diagnostic tests that ruled out causes other than toxic exposure as the cause of the plaintiffs symptoms. He thus concluded that the plaintiff had suffered a chemical injury as the result of her exposure to the defendant's herbicide. His opinion was based upon the temporal proximity of the onset of the plaintiff's symptoms to her exposure to the herbicide, her medical history both before and after exposure, his examination, the diagnostic
We concluded that the scientific principles upon which Heuser's opinion were based were sufficiently reliable such that it would assist the trier of fact in its determination of whether the plaintiff's injuries and continuing disabilities were caused by her exposure to the herbicide, even though there was no evidence as to the dose or level of the plaintiff's exposure. We therefore concluded that the trial court abused its discretion in determining that Heuser's opinion failed to satisfy the standards of Evid. R. 702 for admissibility. Id.
We have also found an expert's opinion that was not based on dose or exposure level to be sufficient to withstand summary judgment. In Femco, Inc. v. Colman,
The defendant argued that Drew's affidavit was insufficient because it lacked any foundation for his conclusion that exposure to the cleaner was the cause of the plaintiffs ailments and was therefore concluso-ry. We noted that in addition to Drew's affidavit, the court had before it the Material Safety Data Sheet for the cleaner, noting its possible toxic effects, and the manufacturer's answers to interrogatories that established that all of the ingredients of the cleaner were toxic and that possible harmful effects included many symptoms of which the plaintiff complained. We held that this combination of materials sufficiently raised a material issue of fact as to the issue of causation, and the trial court did not err in denying the defendant's motion for summary judgment. Id. See also Harbin v. Burlington N. R.R. Co.,
By contrast, Norfolk points to Outlaw v. Erbrich Prods. Co., Inc.,
In Outlaw,
"In particular, when an expert witness testifies in a chemical exposure case that the exposure has caused a particular condition because the plaintiff was exposed and later experienced symptoms, without having analyzed the level, concentration or duration of the exposure to the chemicals in question, and without sufficiently accounting for the possibility of alternative causes, the expert's opinion is insufficient to establish causation because it is based primarily on the existence of a temporal relationship between the exposure and the condition and amounts to subjective belief and unsupported speculation."
Id. at 29. Ultimately, we held that the Worker's Compensation Board did not err in finding that the plaintiff did not meet her burden of proof where one medical expert testified that the plaintiff's exposure to unspecified harmful agents caused her condition, but another testified that her injuries could not have occurred from inhaling fumes from the toilet bowl cleaner, but more likely were the result of her cigarette smoking. Id.
In this case, however, unlike in Outlaw, the chemicals at issue are known. The Outlaw plaintiff was speculating about what chemicals were present in the cleaner that could have caused her respiratory disease. Here, evidence shows that Wagers was exposed to diesel fumes and asbestos, and Parkinson based his opinion on exposure to these two chemicals. Further, it is undisputed that both chemicals are carcinogens. Moreover, Parkinson did not attempt to exclude cigarette smoking as one of the causes of Wagers's lung cancer, but stated that it also could have been a contributing factor. Finally, Parkinson's opinion was based on a specified level of exposure.
In Hannan,
We reviewed the qualifications, opinion, and methodology of each expert in turn. The first, Dr. Johnson, would have testified that the plaintiffs suffered from multiple chemical sensitivity triggered by their exposure to the defendant's products. We noted that Johnson was an osteopathic physician who was not board certified in any relevant specialty. We observed that in order to arrive at his diagnosis, Johnson physically examined and interviewed one of the plaintiffs, but did not perform any testing, nor did he determine whether a chemical caused a particular illness. He also failed to include an analysis of the exposure levels or the dose of the chemical received by the plaintiffs. In fact, he had no information regarding the exposure level of the chemical in the plaintiffs' house or the dose allegedly received by any of them and had not attempted to calculate it. He had never visited their home, had no knowledge of the floor plan, size, dimensions, or window locations, and was not
The second expert, Dr. Evans, sought to testify that organophosphate exposure caused the plaintiffs' symptoms. We observed that Evans, who held a doctorate of philosophy in toxicology, did not have a medical degree, and by his own admission was not qualified to examine patients, define human medical diagnoses based upon neurological symptoms, or testify regarding medical causation. We also noted that Evans had no information regarding the exposure level of the chemicals or the actual dose received by any of the plaintiffs. Like Johnson, Evans had never inspected the plaintiffs' residence and was unaware of any specific information about it. He acknowledged that if the chemicals had been properly applied, the plaintiffs would not have suffered any medical effects from them, and further conceded that without evidence that the chemical was misapplied, there was no cause-and-effect basis to conclude that the plaintiffs were overexposed to the chemical.
Finally, Dr. Kelly contended that the plaintiffs acquired immunologic abnormalities as a result of the chemicals that the defendant applied to the residence. He based his conclusion on blood tests that had been taken five years after the exposure. However, Kelly conceded that the symptoms and alleged exposure did not satisfy the generally accepted and required criteria for his diagnosis, and there was no medical or scientific literature that supported the conclusion that the chemicals in question could cause the ailments at issue at any dose. Like the other experts, Kelly's diagnosis was devoid of any analysis of the exposure levels or the dose of the pesticides received by the plaintiffs, despite his- admission that such figures are relevant in the scientific methodology.
We concluded that the experts' opinions were based on a mere temporal coincidence of the pesticide application and the plaintiffs' alleged illness. We concluded that this relationship was insufficient to establish a prima facie case on the element of causation. We explained that none of the purported experts performed any testing that would rule out alternative causes of the plaintiffs' ailments ("differential diagnosis" testing) and noted that doing so is important in toxic tort cases so that other causes may be negated. Rather, we characterized the opinions of the plaintiffs' experts as tantamount to subjective belief or unsupported speculation because they failed to address or rule out other potential causes and were based on incomplete information. Id.
Norfolk also relies on cases from other jurisdictions brought under FELA where courts have excluded evidence that was not based on the dose or exposure level. For instance, in Schmaltz v. Norfolk & W. Ry. Co.,
Here, however, the Estate provided evidence as to the quantity of Wagers's exposure to asbestos and diesel fumes. Based on the depositions of Wagers's co-workers, Parkinson could have reasonably inferred that Wagers was "exposed on a daily basis to diesel fumes and diesel exhaust approximately five hours per day over a period of 21 years." Appellee's Brief at 54. Admittedly, Parkinson's opinion that workplace chemical exposure was a contributing cause of Wagers's lung cancer was not based on the results of any medical tests or the examination of x-rays or medical records that reveals any asbestos exposure. However, the evidence indicates that Wagers had more than a casual exposure to diesel fumes. Moreover, Parkinson testified that the scientific evidence absolutely demonstrates that diesel fumes are carcinogenic. Parkinson testified in his deposition about stacks of articles in scientific journals that support this conelusion. Parkinson relied on his review of the exposure evidence and his knowledge of the deleterious effects of diesel fumes to come to his conclusions. We hold that this testimony was admissible under Evid. R. 702.
B. Is the testimony relevant?
Norfolk further contends that Parkinson's testimony is inadmissible under Evid. R. 401 and 402 because it is not relevant. Specifically, it maintains that his testimony did not establish causation and therefore was not relevant.
This court employed a relevancy analysis to determine whether expert testimony should be admitted in Runge,
The defendant designated testimony from the plaintiffs' treating physicians, all of whom stated that they did not diagnose EMF exposure as the cause of the plaintiffs' medical complaints. The defendant also presented testimony from various experts that they could not offer an opinion that EMF exposure caused the plaintiffs' injuries.
The plaintiffs relied on the opinion of Smith, a Ph.D. in anatomy but not a medical doctor, to establish causation. Although the parties debated the admissibility of scientific expert testimony under Evid. R. 702, we looked first to Ind. Evidence Rule 401 to determine whether the evidence was relevant. We explained that evidence establishing a mere possibility of cause or which lacks reasonable certainty or probability is not sufficient evidence by itself to support a verdiet and that civil liability may not be predicated purely on speculation. We observed that regardless of Smith's qualifications to offer expert opinions under Evid. R. 702, his opinions to the issue of medical causation and the facts in issue were of doubtful relevance because an expert's opinion that something is possible is insufficient by itself to support a material factual question. We concluded that Smith's testimony regarding the possible effects of EMF on the plaintiffs' health was not relevant to the determination of causation, because he failed both to examine the plaintiffs' medical conditions and histories and to rule out other contributing factors.
We then examined the admissibility of the expert testimony under Evid. R. 702 and concluded that his testimony could not assist the trier of fact to understand the
We then examined the testimony of another expert, Dahlberg, and found the same flaws. We noted that Dahlberg did not have a medical degree or any medical training, had neither reviewed the plaintiffs medical records nor spoken with their treating physicians, had not conducted an independent evaluation of whether health risks actually existed on the plaintiffs' property, and had acknowledged uncertainty in determining cause and effect regarding EMF. We therefore reversed the trial court's denial of the defendant's motion to exclude Smith and Dahlberg's testimony. Id.
However, unlike the experts in Runge, Parkinson's testimony is not based on any novel scientific theory. Further, Parkinson's expertise is directly related to one of the central facts at issue, namely, whether Wagers's exposure to diesel fumes and asbestos had a causal relationship to his lung cancer. Moreover, in light of the lower burden of proof on the Estate in this FELA case, Parkinson's testimony has the tendency to make the existence of a "fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence." Ind. Evidence Rule 401. Apportioning fault between Norfolk for the chemical exposures and Wagers for his cigarette smoking is a function for the jury.
C. Is the testimony unduly prejudicial?
Finally, Norfolk asserts that Parkinson's testimony is inadmissible under Evid. R. 403 because the danger of unfair prejudice substantially outweighs its probative value. In Ollis v. Knecht,
II. Motion for Summary Judgment
Norfolk argues that the trial court erred in denying its motion for summary judgment because the Estate failed to present any evidence on the amount or "dose" of Wagers's exposure to diesel fumes and asbestos.
In reviewing the grant or denial of a motion for summary judgment, this court stands in the shoes of the trial court, applying the same standards in deciding whether to affirm or reverse summary judgment. Wilson v. Lincoln Fed. Sav. Bank,
When the defendant is the moving party, the defendant must show that the undisputed facts negate at least one element of the plaintiff's cause of action or that the defendant has a factually unchallenged affirmative defense that bars the plaintiffs claim. Runge,
Essentially, Norfolk argues that if Parkinson's testimony is stricken, the Estate has presented no evidence of causation, one of the elements for which it has the burden of proof. Where expert testimony is advanced to establish causation, summary judgment is properly entered in favor of the defendant where that testimony fails to meet the admissibility requirements of Evid. R. 702. Hannan,
Affirmed.
Notes
. We held oral argument on this case on January 19, 2005 in West Lafayette, Indiana at Krannert Center on the campus of Purdue University. We thank our host, the Krannert Executive Education Program, and we commend counsel on the quality. of their written and oral advocacy.
. We note that medical certainty is not the threshold for admissibility of expert witness testimony: See Kaminski v. Cooper,
. Parkinson's opinion does not mention herbicides. At oral argument, counsel for the Estate abandoned its claim as to herbicide exposure.
. Evid. R. 702(a) requires that the expert be qualified by knowledge, skill, experience, training or education. Hannan,
