1. Evidence--experts--flooding
The trial court did not err in a negligence action arising
from the building of a dam and subsequent downstream flooding by
striking plaintiffs' experts' opinion testimony where the court
determined that the testimony was not reliable and there is
evidence in the record to support that finding.
2. Negligence--construction of dam--subsequent flooding--
summary judgment for defendants
The trial court did not err by granting summary judgment for
defendants in a negligence action arising from the construction
of a dam and subsequent downstream flooding where plaintiffs'
expert testimony was stricken. Lay testimony would not be
sufficient to explain changes in the watershed or in the
downstream water flow and the expert testimony was necessary to
prove causation.
Appeal by plaintiffs from orders entered 23 February 1998 by
Judge J. B. Allen, Jr. in Alamance County Superior Court. Heard
in the Court of Appeals 4 January 1999.
Plaintiffs are property and business owners in Haw River,
North Carolina whose homes and businesses are located downstream
from Back Creek Dam (the dam) and the Graham-Mebane Reservoir
formed by the dam. The dam was designed by defendant W.M. Piatt
& Company (Piatt) and construction was completed in 1991.
Plaintiffs assert that since the dam was completed, plaintiffs
have suffered repeated flooding of their properties and
businesses. The City of Mebane and The City of Graham
(municipal defendants) own and operate the dam.
Plaintiffs initiated this action 25 February 1997.
Plaintiffs alleged that the flooding was proximately caused by
the negligent design and location of the dam. Plaintiffs filed
their amended complaint 15 October 1997 alleging causes of action
for inverse condemnation, negligence against defendant Piatt and
against the municipal defendants as an alternative to the inverse
condemnation claim, nuisance against the municipal defendants as
an alternative to the inverse condemnation claim, and an action
for injunctive relief seeking an order that municipal defendants
operate the dam with an appropriate flood storage capacity.
On 30 October 1997 defendants jointly moved for summaryjudgment. In response, plaintiffs filed witness affidavits,
floodplain maps, rainfall records, photographs and maps produced
by defendants in discovery, and the deposition and affidavit
testimony of plaintiffs' experts. On 30 January 1998 defendants
jointly moved to strike the opinions expressed in the 'Back
Creek Flood Study' submitted by Barrett Kays & Associates, P.A.
When defendants' motions were heard on 9 February 1998,
defendants orally amended their Motion to Strike to strike also
the opinions expressed in the Joint Affidavit of Barrett Kays and
John Harris. Defendants argued that the opinions should be
either stricken or ignored because they are unreliable,
conclusory, and not properly supported.
On 23 February 1998 the trial court determined that the
opinions were not reliable, were conclusory, lacked factual
support and were shown by the record to be contrary to
uncontradicted facts. The trial court found that the experts'
conclusions were dependent upon the appropriateness of comparing
[to one another] the water flow numbers . . . derived in . . .
two earlier studies. The trial court noted that the authors of
the two earlier studies used different methodologies in
calculating their water flow rate numbers. The trial court
concluded that the [p]laintiffs have failed to show that there
is any recognized scientific basis or logical rational [sic] forcomparing [to one another] the water flow numbers derived in
these two earlier studies. Based on these findings the trial
court granted defendants' motion to strike. The trial court
then determined that there were no material issues of fact and
granted defendants' motion for summary judgment. Plaintiffs
appeal.
Womble Carlyle Sandridge & Rice, PLLC, by Allan R. Gitter
and Jack M. Strauch, for plaintiff-appellants.
Poyner & Spruill, L.L.P., by Keith H. Johnson, for
defendant-appellees The City of Mebane and The City of
Graham.
Ragsdale, Liggett & Foley, by Peter M. Foley, for defendant-
appellee W.M. Piatt & Company.
EAGLES, Chief Judge.
We first consider whether the trial court abused its
discretion in granting defendants' motion to strike Dr. Barrett
Kays' and John Harris' expert testimony. Plaintiffs first argue
that both Kays and Harris are amply qualified to testify as to
their opinions about whether the dam caused the flooding.
According to plaintiffs, Dr. Kays has a Ph.D. in soil science and
has experience and training in soil science, ground absorption
systems and hydrology. Harris is a licensed professional
engineer who specializes in hydraulics and has experiencedesigning dams and conducting flood studies. Plaintiffs next
argue that the methodology underlying the experts' opinion was
sufficiently reliable. Plaintiffs contend that the experts used
established techniques and conducted significant independent
research into the cause of the flooding. Additionally,
plaintiffs argue that the studies relied upon by plaintiffs'
experts were subjected to substantial peer review. Plaintiffs
contend that the study conducted by Kays and Harris has
sufficient indicia of reliability and any perceived flaws in the
testimony . . . are matters properly to be tested in the crucible
of adversarial proceeding; they are not the basis for truncating
that process. United States v. 14.38 Acres of Land, 80 F.3d
1074, 1078 (5th Cir. 1996). Finally, plaintiffs argue that Kays'
and Harris' opinions were relevant and would assist the trier of
fact.
Defendants argue that the trial court did not abuse its
discretion in striking the plaintiffs' experts' opinion
testimony. First, defendants assert that the experts' opinions
were inconclusive, since they stated that there was a possible
relationship between the flooding and the dam. Additionally,
defendants contend that the experts' testimony was not reliable
because their conclusion that the dam increased flooding was
based upon the validity of comparing water flow rates generatedby others using dramatically different methodologies.
Defendants also argue that the trial court did not abuse its
discretion in striking plaintiffs' experts' opinion that the
reservoir lacked a normal flood storage capacity because there
was no explanation for how the experts reached the opinion, and
the unexplained opinion was refuted by uncontradicted facts.
Accordingly, defendants argue that the opinion was conclusory.
[1]After careful review of the record, briefs and
contentions of all the parties, we affirm. The admissibility of
scientific testimony or evidence is governed by Rules 702 and 703
of the North Carolina Rules of Evidence.
Implicit in these rules is the precondition that the
matters or data upon which the expert bases his opinion
be recognized in the scientific community as
sufficiently reliable and relevant. Whether
scientific opinion evidence is sufficiently reliable
and relevant is a matter entrusted to the sound
discretion of the trial court.
State v. Spencer, 119 N.C. App. 662, 664, 459 S.E.2d 812, 814,
disc. review denied, 341 N.C. 655, 462 S.E.2d 524
(1995)(citations omitted). The trial court determined that the
experts' testimony was not reliable. There is evidence in the
record to support the trial court's finding. First, defendants'
experts, Benjamin Wilson and Everette Knight, testified that
Harris' study utilized water flow rates which were based on
dramatically different methodology, and that it should have beenimmediately and readily apparent to any competent engineer that
any comparison of the water flow rates . . . is invalid and
fundamentally flawed, and thus, that any conclusions drawn from
such a comparison would be erroneous, misleading and unreliable.
Second, the trial court determined that plaintiffs' experts'
opinion that the dam project proximately caused the flooding
because the reservoir flood storage capacity was not normal was
conclusory because plaintiffs' experts provided no explanation or
support for their opinion. Additionally, defendants' experts
gave uncontradicted testimony that the flood storage capacity was
increased substantially by the dam and reservoir. Accordingly,
we find no abuse of discretion. The assignment of error is
overruled.
[2]We next consider whether the trial court erred in
granting summary judgment for defendants. Plaintiffs assert that
expert testimony is not necessary to prove causation in this
case, and that lay testimony is competent to establish proximate
cause. Plaintiffs argue that there was sufficient competent
evidence of causation to create a genuine issue of fact as to
whether the dam project caused the recurring floods. Plaintiffs
cite lay testimony that the dam was the only significant change
in the watershed; the absence of floods before the dam and the
emergence of recurring floods after it was built; that rainfallsboth before and after the dam have been the same; and that
rainfalls less than half the 100-year rain resulted in floods
well beyond the 100-year floodplain as it existed before the dam
was built. Plaintiffs also cite testimony of an admission by an
employee of municipal defendants that the municipal defendants
had the power to prevent the flooding by diverting the water, but
did not do so because they wanted to keep the reservoir full to
accommodate recreation.
Defendants argue that expert testimony is necessary to
establish causation here because a layman could have no well-
founded knowledge on that issue and would be required to
speculate. Defendants assert that lay testimony that there was
no flooding before the dam was built and significant flooding
after the dam was built is not sufficient to survive a motion for
summary judgment. Defendants contend that they have shown by
uncontroverted expert testimony . . . that the Dam decreased
waterflow upstream from the Plaintiffs and [a]t most,
plaintiffs have shown that, if they suffered any abnormal
flooding, it was created by a condition downstream from
[plaintiffs'] residences and places of businesses which caused
water to back-up onto their properties. Accordingly, defendants
argue that summary judgment was properly granted.
We find defendants' arguments persuasive and hold thatexpert testimony is necessary to prove causation in this case.
There are many instances in in [sic] which the facts in
evidence are such that any layman of average
intelligence and experience would know what caused the
injuries complained of . . . Where, however, the
subject matter . . . is 'so far removed from the usual
and ordinary experience of the average man that expert
knowledge is essential to the formation of an
intelligent opinion, only an expert can competently
give opinion evidence as to the cause of . . . [the]
condition.'
Gillikin v. Burbage, 263 N.C. 317, 325, 139 S.E.2d 753, 760
(1964)(citations omitted). Here, lay testimony would not be
sufficient to explain changes in the watershed or in the
downstream water flow. Accordingly, we find that [c]ausation of
flooding is a complex issue which must be addressed by experts.
Hendricks v. United States, 14 Cl.Ct. 143, 149 (1987)(citing
Herriman v. United States, 8 Cl.Ct. 411, 420 (1985)). Because
plaintiffs failed to present sufficient expert evidence regarding
the element of causation, we affirm the order of summary
judgment.
Because of our determination of the above issue, we need not
address the remaining issue on appeal.
Affirmed.
Judges MARTIN and McGEE concur.
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