Lead Opinion
W.C. Lane, Jr., a boilermaker, suffers from asbestosis. On March 31, 1982 he filed suit in the United States District Court for the Southern District of Georgia, claiming exposure to asbestos fibers over a thirty-nine year work span. The complaint alleges that part of that exposure was to asbestos dust emitted from products manufactured by Keene Corporation.
I.
Under the Federal Rules of Civil Procedure, summary judgment is appropriate only “if the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law.” Fed.R.Civ.P. 56(c). The burden of proof falls upon the party seeking the summary judgment, and “[a]ll doubt ‘as to the existence of a genuine issue of material fact’ must be resolved against the moving party.” Southern Distributing Co. v. Southdown, Inc.,
II.
A.
The central dispute in this case concerns whether Lane produced sufficient evidence to support a finding that he was directly exposed to any of Keene’s asbestos-con-taming products. In order to pursue this lawsuit against Keene, Lane must make this threshold showing. See Blackston v. Shook & Fletcher Insulation Co.,
On November 23, 1983 Keene moved for summary judgment. Keene based this motion on “the fact that through the course of. discovery, neither the plaintiff nor any other competent source of evidence has identified or substantiated the plaintiff’s use or exposure to any products manufactured by Keene.” Lane opposed the motion arguing that a genuine issue of material fact existed which precluded the grant of summary judgment. Lane submitted the affidavit of a co-worker, Wilmer Ring, dated December 16, 1983.
Even in light of Ring’s affidavit, Keene argued that summary judgment was appropriate.
B.
In support of the district court’s decision, Keene cites Perma Research & Development Co. v. Singer Co.,
The Second Circuit’s rationale has been followed by other courts faced with a party’s attempt to create a factual dispute through a contradictory affidavit. For example, in Radobenko v. Automated Equipment Corp.,
The Eleventh Circuit authority is Van T. Junkins & Associates v. U.S. Industries,
The crux of these cases rests with the reviewing court’s determination that an issue raised by an affidavit is a sham because it contradicts or conflicts with earlier deposition testimony. In Kennett-Murray Corp. v. Bone,
Certainly, every discrepancy contained in an affidavit does not justify a district court’s refusal to give credence to such evidence. In light of the jury’s role in resolving questions of credibility, a district court should not reject the content of an affidavit even if it is at odds with statements made in an earlier deposition.
Id. at 894 (citation omitted). The plaintiff in Kennett-Murray brought suit against Bone, a former employee, to recover on a promissory note and an employment contract. Bone’s defense was that no consideration existed for the note because he was fraudulently induced to sign the employment agreement. During his lengthy deposition, Bone gave inconsistent testimony regarding whether his former employer, the plaintiff, made any “statements ... that could be construed as a fraudulent misrepresentation.” Id. at 890. In a subsequent two-page affidavit, however, Bone explained his earlier deposition testimony and supported his allegations of fraud. In reversing the district court’s grant of summary judgment, the Fifth Circuit found that Bone’s affidavit was not “inherently inconsistent” with his earlier testimony. Id. at 894. “While some statements in Bone’s deposition differ with those in his affidavit, these conflicts present questions of credibility which require jury resolution.” Id. at 895.
III.
Despite the broad language in KennettMurray, this court found that “[tjhere is no conflict in the Perma Research and Radobenko decisions and the Fifth Circuit opinion in Kennett-Murray Corp.” Van T. Junkins,
Given the facts in this case, we hold that the district court improperly granted Keene’s motion for summary judgment. As an initial matter, we note that Wilmer Ring is not a party to this lawsuit. In Perma Research, Radobenko, Kennett-Murray and Van T. Junkins, the contradictory affidavits were submitted by a party and, thus, the possibility of sham factual issues was raised. Here there is little chance of sham factual issues. Ring is a disinterested witness and it is our view that any inconsistency in his testimony is more likely the result of his faulty memory than
We need not decide, however, whether a district court should be permitted to disregard a disinterested witness’ affidavit merely because it is inconsistent with prior deposition testimony. Even were we to assume that the rationale behind Perma Research, Radobenko, Ken-nett-Murray and Van T. Junkins is appli-' cable to a .case such as this, summary judgment would still be inappropriate because Ring’s affidavit is not “inherently inconsistent” with his earlier deposition testimony.
In his affidavit, Ring recalled the use of Keene’s product Monoblock “with and in close proximity to” Lane “in approximately 1969” at the ITT Rayonier plant in Jesup, Georgia. In his deposition, Ring did not mention his work at ITT Rayonier in 1969
First, Keene argues that Ring’s affidavit must be disregarded because, during his deposition, Ring testified that he recalled working for Rust Engineering at ITT Rayonier in 1967 and in early 1968 but did not testify that he worked there at any other time. In his affidavit, Ring recalled working at the ITT Rayonier plant “in approximately 1969.” Keene’s position is that Ring was “under substantial financial motivation to recall as completely as possible his work history and product exposure at [his] deposition.” Thus, Keene concludes that Ring’s deposition is “thoughtful and complete,” and his “affidavit shifting dates of employment from 1967 and early 1968 to 1969 is clearly a substantial direct and fatal departure from his previous deposition testimony.” We disagree.
Ring’s affidavit is not necessarily inconsistent with his earlier deposition testimony. According to Keene, Ring's deposition testimony evidences that Ring only worked at the ITT Rayonier plant in 1967 and 1968. Keene is incorrect. At one point in his deposition Ring did testify that he recalled working at ITT Rayonier in 1967 and 1968
Second, Keene argues that Ring’s affidavit may properly be characterized as a sham because Ring, during his deposition, testified “that the only time he used Monoblock was on a pulpmill (Brunswick Pulp & Paper Company) in Brunswick, Georgia, sometime in the 1960’s.” Since Ring, in his affidavit, recalled the use of Monoblock at ITT Rayonier in 1969, Keene maintains that the affidavit “is in irreconcilable and total conflict” with his deposition testimony and must be disregarded. Our interpretation of Van T. Junkins, however, necessitates a different result.
As we read Van T. Junkins, we may only disregard an affidavit that “contradicts, without explanation, previously given clear testimony.” Van T. Junkins,
Ring was asked whether he “recall[ed]” using Monoblock “on any job other than the Brunswick paper mill.” He was not asked whether he could recall exposure to, or “working with and in close proximity to” others using Monoblock. In his affidavit, Ring “recall[ed] the use of and exposure to” Monoblock at ITT Rayonier. Ring’s affidavit, however, does not state that Ring recalled using Monoblock at ITT Rayonier. Ring may have used Monoblock only at the Brunswick paper mill. His deposition testimony does not necessarily rule out exposure to the product, with Lane, at ITT Rayonier. Because Ring’s affidavit may be harmonized with his earlier deposition testimony and because his deposition testimony is not clear but equivocal (“I believe that was it.”), we feel that submission of the case to a jury is warranted.
IV.
Ring’s affidavit is not inherently inconsistent with his prior deposition testimony. Ring’s affidavit should not have been disregarded but considered with “everything in the record.” Keiser,
Notes
. The complaint named twenty-four manufacturers and sellers of asbestos-containing products as defendants. Two million dollars in compensatory and punitive damages was sought for personal injuries allegedly caused by the defendants’ failure to warn Lane of the dangers associated with asbestos. Keene is the only defendant involved in this appeal.
. The Eleventh Circuit, in Bonner v. City of Prichard,
. The complete affidavit reads as follows:
Personally appeared before the undersigned officer, duly authorized to administer oaths, WILMER RING, who after being first duly sworn, deposes and says:
1. Affiant is an insulator/pipefitter who throughout his work career has been exposed to numerous asbestos-containing thermal insulation products.
2. Affiant was employed at ITT Rayonier, Jesup, Georgia in approximately 1969 and recalls the use of and exposure to various asbestos-containing products.
3. Affiant recalls working with and in close proximity to the other trades including the boilermakers.
4. Affiant recalls boilermaker, W.C. Lane, working with and in close proximity to him at ITT Rayonier, Jesup, Georgia.
5. Affiant further recalls the use of and exposure to Caltemp Pipe Insulation, Monoblock, and a black weatherkote which was supplied in five gallon pails and fifty-five gallon drums while working with and in close proximity to W.C. Lane.
6. That Affiant as well as the other trades such as the boilermakers, including W.C. Lane, were exposed to the dust emitted by these asbestos-containing products.
. The parties do not dispute that Monoblock contains asbestos.
. Lane also submitted an affidavit in which he recalled working "with and in close proximity to Wilmer Ring” at the ITT Rayonier plant "in approximately 1969.”
. In Blackston v. Shook & Fletcher Insulation Co.,
. Wilmer Ring was deposed in 1981 in connection with his unrelated lawsuit for asbestos-related injuries. Short excerpts from this deposition were included in the record and attached to Keene’s Brief.
. The reason for the summary judgment is not at all clear from the record. On March 6, 1984 the district court heard oral argument and indicated it would grant Keene's motion for summary judgment. The court stated: “I looked at it [the motion] again last night after looking at it yesterday. I’m going to grant the motion for summary judgment as to Keene, and I will point out in the motion the order I went through in determining whether or not to grant it.” On March 16, 1984 the district court entered an order granting Keene’s motion for summary judgment "[fjor the reasons stated in open court on March 6, 1984.”
In reviewing the district court’s ruling, we can only assume that the summary judgment was premised on Keene’s sole argument to that court — that Ring’s affidavit is a sham because it is "clearly inconsistent” with his prior deposition testimony. See Harris v. United States,
. In that case, the plaintiff, Van T. Junkins and Associates, Inc. ("Junkins"), alleged that the defendant’s agents told Junkins’ president that one of the terms and conditions of a dealership agreement would be that Junkins purchase one of defendant's buildings. Seeking damages for fraud and misrepresentation, Junkins claimed that it purchased one of defendant’s buildings but the defendant refused to enter into the deal
. At oral argument, even Keene's counsel chose not to question Wilmer Ring’s truthfulness: "I would not use the word perjury____ I have no desire to attribute that motive to Mr. Ring in this case even if it might benefit me. I know Mr. Ring from a lot of dealings with these cases and I don’t want to attribute that to him.” We applaud counsel’s candor and appreciate such conduct.
. In Vanlandingham v. Ford Motor Co.,
Vanlandingham appears to be the only case in which a non-party’s affidavit was disregarded because it conflicted with earlier deposition testimony. It is clear that the witness’ deposition testiomony was in irreconcilable conflict with her affidavit. Such is not our situation.
. When asked about his work at ITT Rayonier, Ring testified as follows:
Q. How about Rust Engineering?
A. Yeah, I worked for Rust.
Q. Where did you work for them in 1967?
A. I worked for them in Jesup.
Q. For Rayonier?
A. Uh-huh.
Q. What were you doing for them over there?
A. Insulating.
Q. How long were you on that job, three or four months?
A. Yes, sir, something about that — about all of them.
Q. Now, your Social Security printout reflects that you may have worked for them in ’67 into 1968. Do you recall being over there that long?
A. Well, Rust done that one, and then they come over to Port Wentworth. Wait a minute, now. Yeah, I think we stayed at Jesup that long, yeah.
Q. What were you doing over at Rayonier this time?
A. What year are you up to now?
Q. We are talking about 1967 going up to 1968.
A. (No response).
Q. Do you recall being over at Rayonier in '67 and '68?
A. Not definitely. I am trying to think where I was at.
Q. Can you recall working for Rust Engineering in '67 or '68?
A. Not definitely, I can't.
. Ring testified about his use of Monoblock as follows:
Q. You do recall Mono-Block?
A. Yes.
Q. Do you recall when or where?
A. At the pulpmill in Brunswick.
Q. Approximately when was that?
A. In the '60s.
Q. Sometime in the 1960s?
A. Yes, sir, I think so.
Q. By whom were you employed on that job?
A. North Brothers.
Q. For what purpose did you use the Mono-Block?
*1532 A. We used it on some breechings.
Q. Boiler breechings?
A. Yes, sir.
Q. Do you recall that Mono-Block had a nickname of some type?
A. Chocolate Block.
Q. Was that the first occasion that you had to use the Mono-Block?
A. Yes.
Q. Do you recall using it on any job other than the Brunswick pulpmill?
A. I believe that was it.
. At another point in the deposition, however, Ring could “[n]ot definitely" recall working at ITT Rayonier in 1967 and 1968. His deposition testimony can thus hardly be characterized as clear and unambiguous under Van T. Junkins. See infra p. 1532.
. As an additional argument in support of the summary judgment, Keene notes that Ring was not included in Lane’s witness list; Ring’s "affidavit was [therefore] properly rejected by the trial court because it constituted hearsay evidence, inadmissible at trial, and improper in opposition to the Motion for Summary Judgment of Keene.” Keene had filed a motion to strike Ring’s affidavit for this reason but the district court did not rule on the motion. At oral argument, Keene’s counsel indicated that the district court only "ruled on the merits of the summary judgment and, at that time, all the parties were satisfied to have it determined on that basis. We thought that was a clear matter for appeal.”
It is, of course, the general rule that a federal appellate court will not consider an issue not passed upon below. See Singleton v. Wulff,
Dissenting Opinion
dissenting:
As the majority opinion notes, it is the general rule in this circuit that “[w]hen a party has given clear answers to unambiguous questions which negate the existence of any genuine issue of material fact, that party cannot thereafter create such an issue with an affidavit that merely contradicts, without explanation, previously given clear testimony.” Van T. Junkins & Associates v. U.S. Industries,
I would apply this rule with as much force in this particular context, however, as in the context in which it was developed. I am not as confident as the majority seems to be in Ring’s neutrality in this litigation; I certainly would not consider him “disinterested” in a practical rather than purely legalistic sense. Lane and Ring have, through the same counsel, filed lawsuits alleging asbestos-related injuries against many of the same manufacturers of asbestos-containing products. Evidence of exposure to the defendants’ products is obviously essential to the success of such claims. There may not exist, as Keene suggests, a “cooperative arrangement” whereby workers “exchange” testimony of product exposure in each other’s cases; the threat of such a situation developing, however, is clear. Without passing upon the applicability of the Van T. Junkins rule to witnesses who are without question certain to be entirely disinterested in the outcome of the case, I would find it applicable here.
Applying the Van T. Junkins rule, the court in the majority opinion finds that “Ring’s affidavit is not necessarily inconsistent with his earlier deposition testimony.” In my view, the Ring affidavit does indeed clearly contradict his earlier deposi
I would also add a further comment. These asbestos cases have imposed a heavy burden on the district courts. The district court whose decision we reverse in this case has prescribed precise, orderly and efficient procedures for the processing of such claims. These procedures, the integrity of which is essential to the success of the tasks the court must perform, included the requirement that Lane provide the defendants with a list of the witnesses he intended to produce at trial by November 30, 1983. Lane provided Keene with a list of nineteen witnesses that Lane indicated he might call to testify at trial. That list did not include Ring. Each of the witnesses on Lane’s “may call” list was deposed; because no witness indicated any knowledge that Lane had been exposed to any Keene asbestos-containing products, Keene filed its motion for summary judgment. The Ring affidavit was only produced by Lane in response to the motion for summary judgment. Ring’s name was never added to Lane’s witness list. Keene filed with the district court a motion to strike the Ring affidavit on the grounds that it should not be considered on summary judgment in a case in which the affiant will not be permitted to testify at trial. As this court’s opinion notes, the district court did not rule on the motion to strike the Ring affidavit, and it is therefore not before us now. I simply add to what the majority has already said the observation that, on remand, the propriety of considering the Ring affidavit on summary judgment in light of Lane’s failure to include Ring on his witness list will apparently still be before the district court.
