Opinion ID: 781962
Heading Depth: 3
Heading Rank: 3

Heading: Review of the District Court's Rulings Following In Camera Voir Dire

Text: 40 Upon reviewing the record, we reluctantly conclude that the district court did not perform its gatekeeper function with respect to plaintiffs' experts Mr. Miller, Dr. Dollinger and Dr. Smith and thereby abused its discretion by admitting their testimony. Faced with an exceedingly difficult, complex case and obvious docket pressures, the court did not make adequate findings on the record to assure that the expert testimony offered was both relevant and reliable, and that the particular opinions were based on valid reasoning and reliable methodology. 41 As is true in most any toxic tort action, the outcome of this case indisputably hinges on the testimony of experts. Recognizing this fact, in reversing and remanding Dodge I, we specifically alerted the district court to the fundamental importance of properly performing the gatekeeper function: 42 [B]ecause the question of expert testimony is likely to recur, we would be remiss not to indicate our concern that the district court vigilantly make detailed findings to fulfill the gatekeeper role crafted in Daubert .... Given the novelty of the medical causation theory here linking exposure to molybdenum with osteoarthritis and bony exostoses, it is essential that by specific findings of record the trial court assures the expert testimony offered by both sides is relevant and reliable, and the particular opinion is based on valid reasoning and reliable methodology. 43 203 F.3d at 1200 n. 12 (quotations omitted) (emphasis added). At the Daubert hearing itself, the district court made no specific, detailed findings on the record concerning any of the experts' testimony. Therefore, unless the court made such findings at trial during the in camera voir dire of Mr. Miller, Dr. Dollinger, and Dr. Smith, it necessarily failed to perform the gatekeeper function with respect to those experts. 44 Regarding Mr. Miller, after a brief in camera voir dire by the parties, the court made the following findings, which we include in their entirety: 45 There certainly are problems here, a lot of problems, concerning water, concerning vegetation, and the differences. But what I have heard is that Mr. Miller is certainly a well-qualified geologist, got his degree in Wyoming, has a great deal of experience. 46 He wishes to use Bowen, which is a source or a treatise widely accepted by state agencies. He also has looked at the Southfield Mine and the values there. He has looked at many other sources, baselines and GeoTrans, and the USGS figures. 47 I think that the problems that exist with differences can be covered by cross-examination. And with one exception, I'm going to permit him to testify. I'd like to hear what he says. I'd like to hear the direct and cross. If there are any huge problems, I'd like to hear a Rule 50 motion at the end of the case. 48 But the one problem I have is the dust. There apparently is no baseline for dust. It's not in Bowen, and the Court feels that it's just speculation to let this witness testify about dust. And he may not testify concerning dust. 49 As far as the water, vegetation, soil, et cetera, I think that can be covered on cross-examination. 50 Aplt.App. at 012035-036. These findings lack the degree of specificity that would allow us to determine whether the district court properly applied the relevant law. Not only is no mention made about Mr. Miller's reasoning or the reliability of his methodology, no mention is made at all about how or why he arrived at his conclusion that the Bowen text was the proper source to establish baselines for the area in question. Having reviewed the record, we certainly share the district court's obvious concern about Mr. Miller's selection of baseline values. See, e.g., id. at 010817-818. However, in the absence of specific, detailed findings, it is impossible for us on appeal to determine whether the district court carefully and meticulously reviewed the proffered scientific evidence or simply made an off-the-cuff decision to admit the expert testimony. Goebel, 215 F.3d at 1088 (quotations omitted). 51 Regarding the causation testimony presented by Dr. Dollinger and Dr. Smith, the court likewise did not make adequate findings on the record to assure that the testimony offered was relevant and reliable, and that the particular opinions were based on valid reasoning and reliable methodology. In their entirety, the court's findings relating to Dr. Dollinger are as follows: 52 What the Court is faced with is an expert witness in internal medicine and the subspecialty of oncology who has a very fine education — Yale medical school, Phi Beta Kappa — and other excellent background; who treats patients with cancer and other diseases; who has reviewed medical literature on the effects of molybdenum, lead, arsenic, uranium, on human beings, heavy metals; who perhaps is going to disagree with defendant's experts on many of these areas. But just because Dr. Dollinger's view may be a minority view or different from defendant's does not mean that he is not qualified as an expert opinion in the area of internal medicine, oncology, to — to give testimony on whether or not different heavy metals are substantial causes of whatever the ailments are. 53 Now, I will take objections as we go along; and if something appears to be far afield from his specialty, I will consider the objection of Counsel. 54 But right now, we have a very highly qualified expert in the field of internal medicine and oncology who has a theory that — concerning the causes of cancer and other diseases which may be different from defendant's experts. Nevertheless, I think in this case the jury should be able to hear his opinions and conclusions and decide for themselves. 55 So according to the direction of the Tenth Circuit, which is that this court should vigilantly make detailed findings to fulfill the gatekeeper role, this court is satisfied that the jury may hear the opinions of Dr. Dollinger in this area, as far as we've gone so far, in this area under his speciality of oncology, a subspecialty of internal. 56 Now, if we get into detailed neurology or arthritis, I am going to have to hear from him whether this is covered by his expertise or not. And it may be that some of these opinions may be ruled otherwise. But I think I'm going to have to just take that as it comes up. 57 The Court will permit him to testify. 58 Aplt.App. at 011550-552. Again, we lack specific, detailed findings about Dr. Dollinger's reasoning or the reliability of his methodology in arriving at his conclusions. As with Mr. Miller, the court's findings relative to Dr. Dollinger's credentials and qualifications are simply insufficient by themselves to fulfill the gatekeeper function. As we have emphasized, a district judge asked to admit scientific evidence must determine whether the evidence is genuinely scientific, as distinct from being unscientific speculation offered by a genuine scientist. Mitchell, 165 F.3d at 783 (quoting Rosen, 78 F.3d at 318). These findings simply do not allow us to determine if the district court satisfied that requirement. 59 Similarly, the entirety of the district court's findings regarding Dr. Smith's testimony is as follows: 60 In order to try to satisfy the Tenth Circuit test that they indicate the court must make, the Court will agree with the plaintiffs that by proffer and by testimony a couple years ago, there has been a showing that he is undisputably an expert in the area of toxicology. It's been indicated that his methodology is the same as the methodology that is used in nonlitigation cases. He doesn't have to see patients. He's a Ph.D., not an M.D. He has apparently done research, himself, on heavy metals. He teaches doctors about toxicology, and the plaintiff is conceding that there is no study in risk exposure, if I'm understanding plaintiffs correctly — ... numerical risk exposure. So the Court will overrule the objections, the Daubert objections as to Dr. Smith, and we'll see how it goes. 61 Id. at 012166. Although the court apparently alludes to Dr. Smith's methodology, it made no specific findings and really did nothing more than note an indication that his methodology was the same as that used outside the context of litigation. Id. Even if the court's musings could be considered findings, they do not allow us to determine if the court applied the proper legal standard. As we observed in Dodge I, [g]iven the novelty of the medical causation theory here, such findings are essential. 203 F.3d at 1200 n. 12. 62 Even had the district court performed its gatekeeper function, on this record we would be inclined to conclude that the court abused its discretion by unreasonably limiting the evidence upon which to base the decision. It is plain that a district court exercises significant discretion in deciding how to perform its gatekeeper role. Kumho Tire, 526 U.S. at 158, 119 S.Ct. 1167. While we have held that a Daubert hearing is but one method a court might choose to fulfill its gatekeeper obligation, we have also emphasized that ultimately, the obligation can be satisfied only if the court has sufficient evidence to perform the task. Goebel, 215 F.3d at 1087 (quotation omitted). Therefore, although a district court has discretion to limit the information upon which it will decide the Daubert issue, we review the exercise of that discretion for its abuse. See, e.g., United States v. Nichols, 169 F.3d 1255, 1262-63 (10th Cir.1999); United States v. Call, 129 F.3d 1402, 1405 (10th Cir.1997). 63 The important issue here is the aggregate effect of several of the district court's decisions. Initially, the court limited the length of any Daubert brief and appendix to 20 pages. Aplt.App. at 009857-858. Though the court was put on notice of specific challenges to certain experts' methodology and reasoning, it insisted on the exclusive use of argument and proffers at the Daubert hearing instead of meaningful live witness testimony. Id. at 010166. Although a detailed, in-depth hearing addressing disputed reasoning and methodologies was critical to a proper resolution of the entire case, the Daubert hearing lasted just over four hours and allowed for little more than a cursory review of the contested issues. The court itself proved this point by asking questions of counsel that only the expert could realistically answer. See, e.g., id. at 010775, 010793-796, 010801-802, 010804. 64 After noting the need to hear from the experts in person to decide difficult issues, the court reserved ruling on admissibility until trial. Id. at 010839-840. And, although the court recognized the existence of significant reasoning and methodology problems, id. at 010817-818, it again declined to accept proffers of the experts' reports and full copies of all relevant studies upon which the experts relied. Id. at 010841-842. Finally, during the in camera voir dire of each expert at trial, which was the only time the court heard directly from the experts themselves, the court appeared to place a greater emphasis on keeping the voir dire brief than on a review of reasoning and methodology. See, e.g., id. at 011538-540, 011546, 012015, 012028, 012033, 012159. 65 Although each of the court's decisions taken by itself might well be within its discretion, taken together, these decisions placed an unreasonable limitation on the information available to the court and in our view exceeded the bounds of permissible choice in the circumstances. In a case like this one, where the expert testimony is crucial to the ultimate outcome, is vigorously challenged, and has several obvious areas of concern, we think it unreasonable to limit so severely both the underlying documentation and the use of live witness testimony upon which the court might base a decision. This was not a case where the parties agreed that the Daubert issues could be decided on a stipulated record, nor was it an ordinary case[] where the reliability of an expert's methods [could] properly [be] taken for granted. Kumho Tire, 526 U.S. at 152, 119 S.Ct. 1167. On the contrary, in this case, we fail to see how the Daubert issues could be reliably decided without a meaningful hearing, which of necessity depends upon the use of live witness testimony as opposed to attorneys' arguments. Because we have concluded that the district court did not perform its gatekeeper role, we do not have before us the findings required to determine definitely if the court abused its discretion by so limiting the evidence. However, from the record we do have before us, taken as a whole, we would be inclined to conclude that the court did abuse its discretion. 66 Having concluded that the district court improperly admitted the expert testimony by failing to perform its gatekeeper obligation, we now turn to the appropriate remedy. Given the vast investment of resources in this case by both parties and by the federal judiciary, we are reluctant to render a decision that will further delay a final resolution. Nonetheless, we must be faithful to our precedents which dictate that we reverse and remand to the district court for a new trial. See, e.g., Goebel, 215 F.3d at 1089; Velarde, 214 F.3d at 1211, 1213. In this case, we are simply unable to conclude that the erroneous admission of this expert testimony was harmless. As we stated in Goebel, [e]rroneous admission of evidence is harmless only if other competent evidence is `sufficiently strong' to permit the conclusion that the improper evidence had no effect on the decision. 215 F.3d at 1089 (quoting Lillie v. United States, 953 F.2d 1188, 1192 (10th Cir. 1992)). Here, the testimony of these experts was nothing short of essential to each of the plaintiffs' claims. See, e.g., Aplt.App. at 016094 (elements of negligence claim); id. at 016104 (elements of medical monitoring claim); id. at 016099 (elements of trespass claim). 67 We decline to entertain the possibility of a remand to the district court to make specific findings relative to these experts, for we think no district court would be well positioned to make valid findings given the overwhelming temptation to engage in post hoc rationalization of admitting the experts. We are further persuaded on this issue by the following reasoning of one of our sister circuits: 68 To remand for an evidentiary hearing post-jury verdict undermines Daubert's requirement that some reliability determination must be made by the trial court before the jury is permitted to hear the evidence. Otherwise, instead of fulfilling its mandatory role as a gatekeeper, the district court clouds its duty to ensure that only reliable evidence is presented with impunity. A post-verdict analysis does not protect the purity of the trial, but instead creates an undue risk of post-hoc rationalization. This is hardly the gatekeeping role the Court envisioned in Daubert and its progeny. 69 Mukhtar v. Cal. State Univ., 319 F.3d 1073, 1074 (9th Cir.2003), amending 299 F.3d 1053, 1066 (9th Cir.2002). Accordingly, on the basis of our holdings in Goebel and Velarde, we reverse and remand Dodge II for a new trial.