Opinion ID: 412707
Heading Depth: 1
Heading Rank: 3

Heading: Learned Treatise Evidence

Text: 12 Plaintiffs' second argument on appeal concerns the admissibility of so-called learned treatise evidence. During the course of the trial, plaintiffs attempted to bolster the testimony of their expert witness by introducing into evidence an article entitled Maximal Exercise Testing. The article was written by Dr. Robert A. Bruce, who devised the Bruce-Protocol, which was used as the basis for the stress test taken by plaintiff William Tart. A stress test protocol is a set of directions that describes how a treadmill stress test should be conducted. It indicates, for example, the proper speed and incline of the treadmill at various stages of the test. The district court refused to allow plaintiffs to introduce the Bruce article into evidence as an exhibit or to quote from it on the direct examination of their expert. 13 The district court also severely restricted plaintiffs' use of learned treatise evidence on the cross-examination of defendants' expert. Plaintiffs sought to cross-examine defendants' expert by asking him whether he agreed with statements and figures contained in a booklet on exercise testing published by the American Heart Association. In particular, plaintiff wished to quote from a table on recommended target heart rates. Judge Palmieri refused to admit the table into evidence, and also refused to allow plaintiffs to quote from it. Judge Palmieri also instructed plaintiffs not to quote from the Bruce article, except to the extent it contradicted defendants' expert. 14 Judge Palmieri's evidentiary rulings on this issue evidently were based at least in part on a misunderstanding of the status of learned treatise evidence under the current Federal Rules. Judge Palmieri stated in explanation of his decision to prohibit use of the Bruce article as substantive evidence his belief that medical literature can only be used as a cross-examination tool. But Rule 803(18) of the Federal Rules of Evidence provides as follows: 15 The following are not excluded by the hearsay rule, even though the declarant is available as a witness: 16 (18) Learned treatises. To the extent called to the attention of an expert witness upon cross-examination or relied upon by him in direct examination, statements contained in published treatises, periodicals, or pamphlets on a subject of history, medicine, or other science or art, established as a reliable authority by the testimony or admission of the witness or by other expert testimony or by judicial notice. If admitted, the statements may be read into evidence but may not be received as exhibits. 17 Thus, the Rule explicitly permits the admission of medical literature as substantive evidence to the extent called to the attention of an expert witness upon cross-examination or relied upon by him in direct examination ..., as long as it is established that such literature is authoritative. The admissibility of such evidence is amply confirmed by the relevant case law, see, e.g., United States v. Mangan, 575 F.2d 32, 48 (2d Cir.) (admission of charts on handwriting characteristics), cert. denied, 439 U.S. 931, 99 S.Ct. 320, 58 L.Ed.2d 324 (1978); Johnson v. Ellis & Sons Iron Works, Inc., 609 F.2d 820, 822-23 (5th Cir.1980) (admission of safety codes and standards); Maggipinto v. Reichman, 607 F.2d 621, 622 n. 4 (3d Cir.1979) (admission of statements from medical texts), and by the commentators, see, e.g., 11 J. Moore, Moore's Federal Practice Sec. 803(18); 4 J. Weinstein & M. Berger, Weinstein's Evidence p 803(18). 18 Prior to the enactment of Rule 803(18), learned treatises were generally usable only on cross-examination, and then only for impeachment purposes. See Weinstein, supra, p 803(18). Most commentators found the hearsay objections to learned treatise evidence unconvincing, and recommended that treatises be admitted as substantive evidence. Some commentators went so far as to suggest that treatises be admitted independently of an expert's testimony. Id. p 803(18). The Advisory Committee rejected this position, noting that a treatise might be misunderstood and misapplied without expert assistance and supervision. Fed.R.Evid. 803(18) advisory committee notes. Accordingly, the Rule permits the admission of learned treatises as substantive evidence, but only when an expert is on the stand and available to explain and assist in the application of the treatise .... Id. 19 Nonetheless, it may not have been improper for Judge Palmieri to exclude the evidence at issue in this case. First, there was some dispute over the relevancy of the challenged evidence, particularly the chart on recommended target heart rates. Second, it does not appear that the evidence was properly proffered under Rule 803(18); the only rule explicitly referred to by plaintiffs was Rule 703, which deals with the bases of opinion testimony by experts. Cf. Johnson v. Ellis & Sons Iron Works, Inc., supra, 609 F.2d at 823 (refusal to admit safety code evidence not supportable on the basis that it was not properly proffered, because plaintiff did specifically refer to Rule 803(18)). Finally, it appears that the substance of much of the disputed evidence was made available to the jury. Thus, the exclusion of the evidence at issue may have been harmless error. But see id., 609 F.2d at 823 (direct quotation may be more dramatic and more persuasive than otherwise equivalent testimony). We need not decide whether exclusion of the evidence at issue was reversible error. We hold only that if on remand the disputed medical literature is shown to be relevant and authoritative, it may be read into evidence if properly proffered under Rule 803(18). 2 20 The judgment below is reversed and the case is remanded to the district court for further proceedings in accordance with this opinion.