Opinion ID: 2997016
Heading Depth: 3
Heading Rank: 1

Heading: Expert opinions regarding Hoffman’s ability

Text: to operate the scanner Hoffman challenges the district court’s rulings which excluded portions of proposed testimony from Hoffman’s expert, Steven Lavender. Specifically, on March 28, 2002, after considering the factors enumerated in Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579, 589-94 (1993), the district court ruled that although neither Hoffman’s expert nor Caterpillar’s expert would be allowed to offer opinions as to Hoffman’s ability to operate the highspeed scanner at mandated production levels, both would be allowed to testify generally about whether a one-handed person could operate the machine at established standards. The court reasoned that because neither expert had personally observed Hoffman operating the scanner, such testimony could not be based upon “sufficient facts or data” as required under Rule 702 of the Federal Rules of Evidence. No. 03-1604 5 Following the March 28 order, Hoffman received training on how to operate the scanner and on August 22, 2002, was videotaped operating it for an eight-hour period. On February 3, 2003, the first day of trial, Hoffman asked the district court to revisit its March 28 order prohibiting testimony by Lavender about Hoffman’s ability to operate the scanner. The testimony should be allowed, the plaintiff reasoned, because Lavender viewed the videotape, and therefore had a sufficient basis to conclude that Hoffman could operate the machine at established standards. The district court denied Hoffman’s request. We review this decision for abuse of discretion. Miksis v. Howard, 106 F.3d 754, 758 (7th Cir. 1997); Doe v. Johnson, 52 F.3d 1448, 1458 (7th Cir. 1995). Although Lavender had a sufficient basis (i.e., the videotape) to offer an opinion regarding whether Hoffman could run the machine at set production levels, the district court implied that such testimony could not “assist the trier of fact,” as required under Rule 702. The court previously determined that the videotape could be played for the jury and entered into evidence, and consequently, jurors could make a determination for themselves with respect to Hoffman’s ability to run the high-speed scanner. Based upon this independent assessment of Hoffman’s performance on the scanner, the jury could then draw inferences regarding her ability to meet production levels, and expert testimony would be of no help. The court therefore disallowed the contested portions of Lavender’s testimony. We find this reasoning persuasive; the district court did not abuse its discretion. Moreover, there was an alternative justification for the district court to exclude Lavender’s testimony about the plaintiff’s ability to operate the machine at set production levels. Hoffman was required to disclose to Caterpillar the basis for all of Lavender’s expert opinions. Fed. R. Civ. P. 26(a)(2)(B) (“FRCP”) (“[t]he report shall contain a complete 6 No. 03-1604 statement of all opinions to be expressed and the basis and reasons therefor”). The court concluded that Hoffman’s failure to amend its prior expert disclosures to include the videotape as a basis for Lavender’s opinion violated Rule 26, and the violation was not harmless to Caterpillar. Therefore, the court properly excluded the contested portion of Lavender’s testimony under Rule 37(c)(1). In the instant appeal, Hoffman does not expressly challenge whether there was a violation of Rule 26’s disclosure requirements. Instead, Hoffman asserts—without authority—that it would have been a “ludicrous” formality to disclose in writing Lavender’s reliance upon the videotape since Caterpillar was aware both of the videotape itself and that Lavender would review it. We recently rejected such arguments, stating that the formal requirements of Rule 26 are not pointless, see Musser v. Gentiva Health Servs., 356 F.3d 751, 755 (7th Cir. 2004), and we again do so here. Moreover, Hoffman presents nothing more than a bald assertion (“There was no surprise to Caterpillar . . . .”), in support of her argument that the district court abused its discretion when it concluded that the Rule 26 violation was not harmless. We disagree. Following the August 22, 2002 videotaping, Hoffman gave no indication of an intention to have the district court revisit its March 28 ruling until the first day of trial, on February 3, 2003. Had the district court reversed its March 28 ruling and allowed Hoffman to present expert testimony as to her ability to operate the scanner at required production levels, Caterpillar would have been harmed in three related ways. First, because the renewed motion was made on the first day of trial, there was not enough time remaining for Caterpillar to depose Lavender on this new basis for his opinion. Relatedly and second, Caterpillar would have been hard-pressed to develop alternate cross-examination No. 03-1604 7 strategies (because the obvious approach—attacking Lavender’s credibility because he never personally observed the plaintiff operating the machine in question— would be ineffective). And third, Caterpillar would have a distressingly small amount of time to develop expert testimony to counter Lavender’s. In fact, Caterpillar indicated that it decided to entirely forego expert testimony in reliance upon the March 28 order, presumably because it felt that the jury would have no problem assessing Hoffman’s performance after observing the videotape. We therefore find that the district court did not abuse its discretion when it concluded that the Rule 26 violation was not harmless.3 3 Hoffman repeatedly complains that there would be no harm to Caterpillar because Caterpillar understood that Lavender would review the videotape and then conclude that Hoffman could operate the scanner at the required production levels. But without Rule 26 disclosures, this court cannot be certain that Caterpillar was so informed (unless, of course, counsel for Caterpillar had the ability to divine the thoughts and opinions of Lavender, see infra next paragraph). To avoid such uncertainty is exactly what Rule 26 is designed to do. It guarantees, to both parties, reciprocally equal knowledge about what the opposing expert has (and more importantly has not) based her opinions upon and exactly what those opinions are. And for these reasons, we recently lauded compliance with the letter—and not only the spirit—of Rule 26. See Musser, 356 F.3d at 756-58. Hoffman also implies that the videotape was so dispositive— even to a non-expert—as to make any conclusion other than the aforementioned laughable. But if this is true, which we do not determine, then the district court was unquestionably correct when it excluded Lavender’s testimony because it could not assist the trier of fact! And if this is not true, which, given the jury’s verdict, we suspect is the case, then the Rule 26 disclosures were indeed necessary! Either way, Hoffman’s challenge fails. 8 No. 03-1604