-1- NOT P RE CE DE NT I AL UN I TED STATES CO UR T OF A PP EALS F O R T H E T H IR D C IR C U IT

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___________ T HOMAS BU Z Z E RD ; KR I S T I CO UR T NE Y, A p p e llan ts v. F L A G S H IP C A R W A S H O F P O R T S T . L U C IE , IN C .; U- HAUL CO . OF F L OR I DA; U- HAUL CO . OF AR I Z ONA; U- HAU L I NTE RNATI ONA L, I NC. ; AM ERI CO

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ro m th e U n ited S tate s D istric t C o u rt f o r th e M id d le D istric t o f P e n n sy lv a n ia ( D . C . C i v. N o. 06- cv- 00981) D istric t Ju d g e : H o n o ra b le T h o m a s I. V a n a sk ie

___________ Subm i t t ed U nderT hi r d C i r cui tL . A . R . 34. 1( a)

on O ct ober4, 2010 B efore: S C IR IC A , F U E N T E S , and JO R D A N , C i rcui tJudg es.

( O pi ni on Fi l ed: O ct ober18, 2010) OPI NI ON O F THE COURT FU E N T E S, C i r cui tJ udge:T h e D is tr ic t C o u rt h a d ju ri s d ic tio n o v e r t h is c a s e p u rs u a n t to 2 8 U .S .C . § 1 3 3 2 . 1 W e e x e rc is e ju ri s d ic tio n p u rs u a n t to 2 8 U .S .C . § 1 2 9 1 . -2- T hi s act i on ar i s es outof A ppel l ant s ’ cont ent i on thattheyexper i ence d cogni t i ve and beha vi or al pr obl ems as a r es ul tof ca rbon m onoxi de expos ur e thatoccurr ed w hen theydr ove a U - H aul truck fr om Fl or i da t o Penns y l vani a. T he D i s tr i ctC our tgr ant ed the defe nd ants ’ m oti on for sum m aryj ud gm ent, con cl ud i ng that the tes t i m on yof A pp el l ants ’ fourexpertw i tnes s es w as i nadmi s s i bl e and thatA ppel l ant s had thus fai l ed t o r ai s e a genui ne fa ctual i s s ue as t o w hetherthei ri nj ur i es w er e ca us ed bycarbon m onoxi de e x p o su re in th e U -H a u l tru c k . W e c o n c lu d e th a t th e D istric t C o u rt d id n o t ab u se its d i s c r e t i o n i n s o ru l i n g a n d wi l l a f f i r m. 1 I. B ec au se w e w ri te fo r th e p arti es, w e d iscu ss the fa cts o n lyto the ex tent n ec essa ry forr es ol ut i on of the i s s ues r ai s ed on appe al . I n N ovember2004, T hom as B uzze r d and K r i s t i C our tneyr ent ed a U - H aul truck fr om Fl ags hi p C arw as h of Por tSt . L uci e i n or der t o m ove fr om Fl or i da t o Penns y l vani a. D ur i ng the thi r ty - hourdr i ve, B uzze r d and C our tneyexper i ence d heada ches , naus ea, di s or i ent at i on, and conf us i on, and B uzze r d had hal l uci nat i ons thatther e w er e dee ron the r oad. U pon thei rarr i val , the tw o w entt o s l eep, th in k in g th a t th e yw e re m e re lyf a tig u e d , b u t th e ya w o k e f e e lin g ill . B u z z e rd w e n t to w or k the nextday , butbythateveni ng both s t i l l fel tunw el l and theyw entt o the e m e rg e n c yro o m a t T y ler M e m o ria l H o sp ital. A t th e h o sp ital, th e p re lim in a ryd iag n o sis w as carbo n m on ox i de ex po sure. A l tho ug h carbo xyhem og l ob i n tes t s w ere or dered t o tes t-3-

forcarbon m onoxi de expos ur e, the r es ul t s of thes e t es t s di d notappea ri n the hos pi t al r ecor ds ; carbon m onoxi de exha l e br eath t es t s w er e w i thi n nor m al l i m i t s . B uzze r d and C o u rtn e yw e re a d m in iste re d o x y g e n , g iv e n T y len o l, an d w e re d isc h a rg e d . B o th a lleg e d ly ex p erien ce d co g n it ive a n d b eh av ioral ch an g es th ere af ter. O n e y e a r l a te r, B u z z e rd a n d C o u rt n e yv is ite d D r. W illia m J e f f re y s , a n e u ro lo g is t. D r . J eff r ey s found thatvar i ous obj ect i ve meas ur es t o t es tforcarbon m onoxi de expos ur e— i ncl udi ng M R I s , C T s cans , and EE G t es t s — w er e norm al forboth B uzze r d and C o u rtn ey . D r. Jef

fre y s ref erred A p p ell an ts t o D r. D ri sco ll , a n eu rop sy ch o log ist . D r. D r i s col l di agnos ed B uzze r d w i th a cogni t i ve di s or derand adj us t m entr eac t i on i nvol vi ng d e p re ss e d m o o d , an d h e d iag n o se d C o u rtn e yw ith a c o g n iti v e im p a irm e n t; D r. D risc o ll at tri bu t ed these cond i t i on s t o carbo n m on ox i de ex po sure based up on A pp el l ants ’ des cr i pt i on of the dr i ve and thei rs ym pt om s . Subse quent l y , D r . J eff r ey s di agnos ed B uzze r d w i th ence phal opathyand he di agnos ed C our tneyw i th per s onal i tyand beha vi or al pr obl ems; as w i th D r . D r i s col l , D r . J eff r ey s attr i but ed thes e condi t i ons t o carbon m onoxi de expos ur e as a r es ul tof the t empora l l i nk betw een the dr i ve and the ons etof the s ym p t o m s a s r e p o r t e d b y B u z z e r d a n d C o u r tn e y. B u z z e rd a n d C o u rtn e yf iled su it i n P e n n sy lv a n ia s tate c o u rt, an d D e f e n d a n ts tim e ly r emoved t he ca s e t o fede r al courton gr ounds of di ver s i ty . D efe ndant s m oved for s um m aryj udgm ent , ar gui ng thatB uzze r d and C our tneyfai l ed t o s how thatthei ri nj ur i es w e re c a u se d b yc a rb o n m o n o x id e e x p o su re in th e tru c k b e c a u se th e tes tim o n yo f th e ir e x p e rt w itn e ss e s w a s in a d m iss ib le u n d e r R u le 7 0 2 , F e d . R . E v id ., a n d D a u b e rt v . M e rre llA ppel l ant s or i gi nal l ynamed U - H aul I nt ernat i onal , I nc. and A M E R I C O as 2 d e f e n d a n ts , b u t th e yv o lu n ta ri ly d is m is s e d th e irc la im s a g a in s t th e s e tw o d e f e n d a n ts . A ddi t i onal l y , the D i s tr i ctC our tent er ed s um m aryj udgm enti n favorof U - H aul of A r i zona on the gr ounds thatA ppel l ant s ’ cl ai m s agai ns ti tw er e pr eempt ed bythe G r aves A m endment , 49 U . S. C . § 30106. B eca us e w e af fi r m the D i s tr i ctC our t ’ s det erm i nat i on thatA ppel l ant s ’ evi dence of ca us at i on w as i nadmi s s i bl e, w e do notaddr es s the p re e m p tio n is s u e . -4- D ow Phar m ace ut i cal s , I nc. , 509 U . S. 579 ( 1993) . T he D i s tr i ctC our t , aft erconduct i ng a D au b ert he aring , ag ree d w ith D ef en d an ts an d en tered su m m aryjud g m en t i n their fa v o r. 2

II. T h e p rin c ip a l issu e ra ise d o n a p p e a l is w h e th e r th e D istric t C o u rt a b u se d its di s cr et i on i n excl udi ng the t es t i m onyof A ppel l ant s ’ fourexpertw i tnes s es . See U ni t ed S tat es v . S ch iff, 60 2 F . 3 d 1 5 2 , 1 6 1 (3d C ir . 2 0 1 0 ) (tri al co u rt ’s de cisi o n to ex clud e e x p ert w itn ess testi m o n yis r ev iew ed fo r ab u se o f d iscreti o n ). T h e introd u cti o n o f e x p ert opi ni on t es t i m onyi s governed byFeder al R ul e of Evi dence 702, underw hi ch the admi s s i bi l i tyof expe r tt es t i m onyturns on ( 1) the qual i fi cat i ons of the expe r t , ( 2) the su ff ici en cyo f th e d ata u n d erly ing the e x p ert’s t esti m o n y , (3) the reli ab il ityo f th e e x p ert’s m e th o d o lo g ya n d (4 ) t h e e x p e rt ’s a p p lic a tio n o f th a t m e th o d o lo g yto th e f a c ts o f th e c a s e . See Fed. R . E vi d. 702. Forthe fol l ow i ng r eas ons , as w el l as the r eas ons s etfor th i n t he D i s tr i ctC our t ’ s cogentm emora ndum opi ni on, w e conc l ude thatthe D i s tr i ctC our tdi d not a b u s e its d is c re tio n in e x c lu d in g th e te s tim o n yo f A p p e lla n ts ’ e x p e rt w itn e s s e s . A p p ell an ts’ m o st i m p o rt an t w itn ess, fro m the s tand p o int of p rov ing that theyw ere expos ed t o carbon m onoxi de, w as J os eph C occi ar di , an i ndus tr i al hy gi eni s t . C occi ar di tes ted th e c a rb o n m o n o x id e lev e ls in th e U -H a u l tru c k d riv e n b yA p p e llan ts b yru n n in g itI n part i cul ar , overthe cour s e of thi r tyhour s , C occi ar di r ecor ded one i s ol at ed 3 r eadi ng of ca rbon m onoxi de i n t he ca b i n the r ange of fi ve ors i x part s perm i l l i on ( “ppm”) . T he U ni t ed St at es E nvi r onm ent al Pr ot ect i on A gency ’ s s t andar ds i ndi cat e that anythi ng s hor tof ni ne ppm i s s afe foran ei ght - hourper i od, and, i ndeed, the l evel of c a rb o n m o n o x id e in th e e x h a le d b re a th o f a n o n -s m o k e r i s b e tw e e n z e ro a n d s ix p p m . -5- forthi r tyhour s ( appr oxi m at el y2. 5 hour s of w hi ch w er e on the r oad, w i th the truck run n ing idle fo r th e re m aind er o f th e ti m e). C o cc iardi’s t ests sh o w ed (1) tha t th e truc k ’s carbon m onoxi de emi s s i ons w er e fa rbel ow the ave r age e m i s s i on l evel s forthi s type of truck, and ( 2) thatthe l evel s i n t he ca b w er e cons i s t entw i th s afe , natur al l yoccurr i ng l evel s of ca rbon m onoxi de. 3 N otw i ths t andi ng thi s dat a, C occi ar di opi ned thatB uzze r d and C our tneyhad bee n e x p o se d to c a rb o n m o n o x id e b a se d u p o n (1 ) th e f a c t th a t au to m o b ile e x h a u st d o e s c o n tain s uch a c om pound, ( 2) the fa ctthatthe exha us tm i ghthave e nt er ed the ca bi n, and ( 3) t he sym ptom s pl ai nti ffs exp eri enced . B ut as the D i stri ctC ou rtcorr ect l yreas on ed, the fir st tw o of thes e fa ct s ar e undi s put ed ( and undi s put abl e) , the thi r d i s a medi cal di agnos i s not w i th i n th e r a n g e o f

C o c c i a r d i ’ s e x p e r t i s e ( a s h e i s n o ta p h ys i c i a n ) , a n d , m o s ti m p o r t a n t l y, i n or dert o r eac h hi s concl us i on, C occi ar di had t o i gnor e hi s ow n dat a ( w hi ch s how ed s afe l evel s of ca rbon m onoxi de i n t he ca b) . R ul e 702 expr es s l yr equi r es thatexpertt es t i m ony b e “ b a se d u p o n su f

f icie n t f a c ts o r d a ta,” a n d h e re , as th e D istric t C o u rt e x p lain e d , the d a ta di r ect l yunderm i ned the pr i nci pal concl us i on C occi ar di dr ew fr om i t . Fed. R . E vi d. 702; s ee I n r e TM I L i t i gat i on, 193 F. 3d 613, 676 ( 3d C i r . 1999) ( an expe r t ’ s concl us i on that fl i es i n the fa ce of

the dat a i s the “a nt i thes i s of good s ci ence ”) . W e conc l ude thatthe D is tr ic t C o u rt w a s w e ll w ith in its d is c re tio n to e x c lu d e C o c c ia rd i’ s te s tim o n y .-6-

A ppel l ant s l i kew i s e s oughtt o i ntr oduce the t es t i m onyof G eor ge M ei ns chei n, an engi neerand form eraut om obi l e mechani c. B as ed on hi s exami nat i on of the truck, M ei ns chei n concl uded, i n r el evantpart , thatther e w er e pathw ay s thr ough w hi ch ca rbon m o n o x ide m igh t hav e re ac h ed the p asse n g er c ab in o f th e truc k . A s the D istri ct C o u rt expl ai ned, how ever , the ce ntr al i s s ue thatthe j uryw oul d have be en ca l l ed upon t o deci de in th e c a se w a s “ n o t w h e th e r th e re w e re p o ss ib le p a th w a y s b yw h ich e m iss io n s c o u ld e n ter th e p a ss e n g e r c o m p a rtm e n t” b u t w a s in ste a d “ w h e th e r it is p ro b a b le th a t v e h icle emi s s i ons w oul d ent erthe pas s engercompar t m entunderoper at i ng condi t i ons . ” ( A pp. 16. ) M ei ns chei n had no r el i abl e met hodol ogyfordi s cerni ng w hethercarbon m onoxi de l i kel ydi d ent erthe ca bi n— as the D i s tr i ctC our tnot ed, he “a r t i cul at ed no expe r t i s e i n the fi el d of ae r odynami cs orai rfl ow ”— and s o hi s t es t i m onydi d notfi tthe ce ntr al ques t i on at i s s ue i n the ca s e. ( I d. ) ; acc or d I n r e Paol i R . R . Y ar d PC B L i t i g. , 35 F. 3d 717, 751 ( 3d C ir. 1 9 9 4 ) (“ [ I]f

th e p lain tiff ’s . . . ex p e rt c a n n o t f o rm a n o p in io n w ith su f f icie n t ce rta in ty s o as t o m ake a [pr ofes s i onal ] j udgm ent , ther e i s nothi ng on the r ecor d w i th w hi ch a [fa ct fi nder ] can make a de ci s i on w i th s uffi ci entcert ai ntys o as t o m ake a l egal ju d g m e n t.”) (c itatio n o m itt e d ). M o re o v e r, th e D istric t C o u rt w a s c e rta in lyc o rre c t to n o te thatM ei ns chei n’ s uns uppor t ed opi ni on thatC occi ar di ’ s dat a “unde r s t at ed” the l evel s of carbon m onoxi de i n t he truck l acke d a met hodol ogi cal orfac tual bas i s . T her e w as no a b u s e o f d is c re tio n in th e D is tr ic t C o u rt ’s e x c lu s io n o f M e in s c h e in ’s te s tim o n y . Fi nal l y , the D i s tr i ctC our tdi d notabus e i t s di s cr et i on i n excl udi ng the t es t i m onyof A p p ell an ts’ thir d an d fo u rth ex p ert w itn esse s, D rs. Jef fre y s an d D ri sco ll . T h ese d o ctors-7-

c o n c lu d e d th a t A p p e lla n ts s u f f e re d e n c e p h a lo p a th yc a u s e d b yc a rb o n m o n o x id e e x p o s u re . B utw hi l e the doct or s coul d di agnos e enc ephal opathy , i ti s undi s put ed thatthe condi t i on h as a n yn u m b er o f p o tential ca u ses, i n clud ing v ir al i n fe cti o n s, sleep ap n ea , an d ex p o su re to o th e r to x in s. “ [ S ]c ien tific k n o w led g e o f th e h a rm f

u l lev e l o f

e x p o su re to a c h e m ica l, p lu s k n o w led g e th a t th e p lain tiff w a s e x p o se d to su c h q u a n tit ies , are m in im a l f a c ts nece s s aryt o s us t ai n t he pl ai nt i ffs ’ bur den i n a t oxi c t or tcas e. ” W es tberryv. G i s l aved G um m i A B , 178 F. 3d 257, 263 ( 4th C i r . 1999) ( emphasi s added, ci t at i on om i t t ed) . T he D i s tr i ctC our tdi d notabus e i t s di s cr et i on i n concl udi ng thatal though the doct or s had a bas i s t o di agnos e pl ai nt i ffs ’ condi t i ons , theyl acke d anys ci ent i fi c bas i s t o t es t i fythat carbon m onoxi de expos ur e i n t he U - H aul caus ed the i nj ur i es . See W i nt z v. N or thr op C o rp ., 1 1 0 F .3 d 5 0 8 , 5 1 3 -1 4 (7 th C ir . 1 9 9 7 ); A lle n v . P e n n s y lv a n ia E n g in e e ri n g C o rp ., 1 0 2 F .3 d 1 9 4 , 1 9 8 -9 9 (5 th C ir . 1 9 9 6 ). In th e a b se n c e o f

a d m iss ib le e x p e rt tes tim o n yth a t ex p o su re to c a rb o n m o n o x id e in th e c a b in o f

th e U -H a u l c a u s e d th e irin ju ri e s , A p p e lla n ts ’ t o rt c la im s w e re u n s u s ta in a b le . H avi ng concl uded thatthe D i s tr i ctC our tdi d notabus e i t s di s cr et i on i n excl udi ng the t es t i m onyof A ppel l ant s ’ expertw i tnes s es , w e agr ee w i th the D i s tr i ctC our tthat A p p e llee s w e re e n tit led to su m m a ryju d g m e n t. III . Forthe for egoi ng r eas ons , w e w i l l aff i r m the D i s tr i ctC our t ’ s s um m aryj udgm ent o rd e r.