1. Evidence; Witnesses--expert opinion--Daubert analysis_-scientific reliability--
causation
The trial court did not abuse its discretion in a negligence and products liability case
concerning the alleged defective design of a motorcycle helmet by excluding the causation
testimony of four of plaintiff's experts under Daubert v. Merrell Dow Pharmaceuticals, Inc., 509
U.S. 579 (1993), because: (1) North Carolina has adopted the Daubert analysis concerning
scientific reliability; (2) where the methodology and techniques of the proffered experts are either
challenged or novel, the case law does not support the proposition that trial courts are prohibited
from testing reliability; and (3) the record is replete with competent evidence supporting the
challenged findings of the trial court.
2. Unfair Trade Practices--misrepresentation of motorcycle helmet--proximate cause--
reliance
The trial court did not err by granting summary judgment in favor of defendant with
respect to the unfair and deceptive trade practices claim under N.C.G.S. § 75-1.1 arising out of
the alleged erroneous representations concerning the design of a motorcycle helmet, because: (1)
plaintiff failed to forecast evidence creating a genuine issue of material fact as to whether
defendant's alleged representations, that its helmet was designed to reduce the possibility of
cervical injuries and that it was Snell certified, were a proximate cause of his injuries; and (2)
even assuming that defendant engaged in an unfair and deceptive trade practice in or affecting
commerce, plaintiff's deposition testimony demonstrated that he did not detrimentally rely on the
assumed misrepresentation.
Womble, Carlyle, Sandridge & Rice, PLLC, by Burley B.
Mitchell, Jr., Richard T. Rice and Christopher W. Jones, for
plaintiff-appellant.
Ellis & Winters, L.L.P., by Richard W. Ellis, Matthew W.
Sawchak and Andrew S. Chamberlin, for defendants-appellees.
Twiggs, Beskind, Strickland & Rabenau, P.A., by Howard F.
Twiggs, Donald H. Beskind, and Jerome P. Trehy, Jr., on behalf
of the North Carolina Academy of Trial Lawyers, amicus curiae.
Smith, Moore, L.L.P., by James G. Exum, Jr., Jon A.
Berkelhammer, and Allison O. Van Laningham, on behalf of the
North Carolina Association of Defense Attorneys and the NorthCarolina Citizens for Business and Industry, amicus curiae.
WYNN, Judge.
Summary
This appeal arises from an action instituted by Dr. Bruce
Howerton, D.D.S., alleging that his quadriplegic condition,
resulting from a motorcycle accident, was caused by a negligently
designed helmet. He contends that Arai Helmet, Ltd. (Arai)
negligently designed his helmet without an integrated chin bar
which would have distributed the compressive force of his
motorcycle collision throughout his chest, thereby preventing the
hyperflexion of his neck and resulting quadriplegia. At trial,
upon considering evidence proffered by Dr. Howerton's four expert
witnesses, the trial court, applying the reliability standards of
Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579 (1993),
concluded that the experts did not offer reliable opinions on
causation. Consequently, the trial court granted Arai's summary
judgment motion because Dr. Howerton failed to offer evidence
sufficient to raise a material issue of disputed fact as to the
element of causation.
On appeal, Dr. Howerton contends the trial court erred by (1)
relying upon Daubert in determining the admissibility of expert
testimony, (2) applying the Daubert framework, assuming that it was
properly used, and (3) concluding that his unfair and deceptive
trade practices' claim failed as a matter of law. After carefully
reviewing the record, relevant case law, and arguments of counsel,
we hold that (1) North Carolina has recognized and endorsed the use
of the Daubert framework to the admission of expert testimony, (2)in applying the Daubert framework the trial court did not abuse its
discretion by excluding the proffered testimony of plaintiff's
expert witnesses, and (3) that trial court properly granted Arai's
summary judgment motion with respect to plaintiff's unfair and
deceptive trade practices' claim, as plaintiff failed to forecast
any evidence of proximate cause. Accordingly, we affirm the
determination of the Superior Court, Orange County.
I. Facts and Proceedings in Trial Court
On 7 January 2002, Arai filed an omnibus summary judgment
motion on all claims and a motion to exclude the testimony of
plaintiff's experts on the issue of causation. In a 29 January
2002 hearing, the trial court reviewed memorandum of law,
depositions, and various other discovery responses relating to the
reliability of the proffered experts. After making extensive
findings of fact, the trial court granted Arai's motion because the
expert testimony was not reliable. The pertinent explanatory
information, deposition testimony of these experts, as well as the
trial court's findings of fact and conclusions of law are set forth
below.
In the trial court, the fundamental issue was whether Dr.
Howerton could produce reliable expert testimony that Arai's helmet
design was the proximate cause of his quadriplegia. The record
indicates that motorcycle helmets are either full-face or open-face
designs. Whereas full-face designs have an integrated chin bar
built into the helmet's molded shell, open-face designs do not have
an integrated chin bar. According to the Snell Memorial
Foundation, a nonprofit organization specializing in safetycertification for helmets, full-face helmets provide a measure of
facial protection in addition to the impact protection generally
sought.
During his collision, Dr. Howerton wore an Arai open-face
helmet. Like a full-face helmet, the Arai helmet had a chin
guard.
(See footnote 1)
However, unlike full-face helmets, the chin guard was not
integral. Instead, the chin guard was attached to the body of the
helmet with nylon screws. According to Arai, the nylon screws
permitted the chin guard to breakaway during accidents and thereby
prevented the chin guard from turning into a lever on the neck.
According to Dr. Howerton, this flexible design, and the
corresponding advertising campaign promoting its benefits, was
negligent and deceptive. Dr. Howerton claims that if the Arai
helmet had been a full-face helmet, the helmet would have prevented
his quadriplegia. To support this claim, Dr. Howerton produced,
and subjected to deposition, four expert witnesses: Professor Hugh
Hurt, Dr. William Hutton, Dr. Charles Rawlings, and James Randolph
Hooper.
First, Dr. Howerton offered the expert testimony of Professor
Hugh Hurt, President of the Head Protection Research Laboratory of
Southern California and Professor Emeritus of Safety Science at the
University of Southern California. Arai stipulated to ProfessorHurt's expertise in the following subjects: (1) Motorcycle accident
investigation and reconstruction, (2) Motorcycle helmet design and
construction and related industry standards, and (3) Motorcycle
helmet testing and motorcycle helmet performance in accidents and
related government industry standards.
In his deposition, Professor Hurt testified that his review
and reconstruction of the accident showed that:
[As] a result of the collision, [Dr. Howerton]
was thrown over the handlebars, to land on the
back of his helmeted head. . . . And in that
process, the failure of the flexible chin bar
on the Arai helmet allowed a degree of
hypermotion of the neck, which produced the
injury that he suffered. . . . I think,
essentially any other dirt bike helmet with a
chin bar, with an integral chin bar, with a
rigid chin bar, that Dr. Howerton would not
have suffered that critical neck injury due to
the unlimited hyperflexion.
Professor Hurt based his causation opinion--that an integrated
chin bar would have prevented Dr. Howerton's quadriplegia--on his
investigation and reconstruction of three motorcycle accidents. In
these three accidents, motorcycle riders wearing full-face helmets
did not suffer neck or cervical injuries despite a head landing.
In investigating the respective accidents, Professor Hurt noticed
a red u or v shaped mark on the chest of each motorcycle rider.
Professor Hurt deduced that these marks were caused when the rigid
integrated chin bar on the full-face helmet struck the chest of the
rider during the accident. Essentially, when the integrated chin
bar struck the chest, the rotation of the rider's neck was limited.
According to Professor Hurt, the Arai helmet's breakaway, or
flexible, design was defective because it permitted unlimited
hyperflexion in the neck and, thereby, created an increased risk ofneck injury.
Furthermore, Professor Hurt testified that, without any
scientific or engineering evidence, Arai marketed its flexible
helmet design as a safer alternative to the conventional and rigid
designs.
(See footnote 2)
According to Professor Hurt, the Arai helmet design
created the illusion of being a full-face helmet. Moreover, the
consumer was unable to discern the difference, because the only
warning regarding the potential hazards of the flexible chin
guard were visible only to a rider who disassembled the helmet.
After reviewing Professor Hurt's deposition testimony,
arguments from counsel, case law, and memorandums of law, the trial
court made the following pertinent findings of fact:
19. Professor Hurt could not quantify the
extent to which a full-face helmet would
prevent forward flexion of the head and
neck.
20. Professor Hurt did not test or perform
independent research on his hypothesis
that full-face helmets equipped with
rigid chin bars prevent neck injuries.
He did not subject his hypothesis to peer
review by publishing it to his peers.
21. Professor Hurt did not report his
hypothesis to the United States
government, for whom he conducted
extensive studies that included work on
motorcycle helmet safety.
22. Professor Hurt was not able to identify
any published work by any author thatexpressly supported his hypothesis and,
thus, did not present any evidence other
than his unsupported assertions that his
hypothesis is generally accepted in the
field.
23. Indeed, Professor Hurt's published work
did not support- and in fact tends to
contradict- his hypothesis that full-face
helmets prevent neck injuries. In a
University of Southern California report
published in 1981, Professor Hurt
published data indicating that serious
neck injuries occurred more frequently in
riders wearing full-face helmets than in
riders wearing . . . open-face helmets
that were not equipped with chin bars.
. . . .
25. Professor Hurt's opinion that a full-face
helmet would have prevented plaintiffs'
injury is speculative and based on
inadequate data.
26. Professor Hurt's opinion that a full-face
helmet would have prevented plaintiff's
injury in not reliable. . . . [To] the
extent that his methods represent a
technique, it is clear that this
technique is subject to an unacceptable
high risk of error.
Accordingly, the trial court granted Arai's motion to exclude
Professor Hurt's causation testimony on the basis of unreliability.
Next, Dr. Howerton offered as an expert in biomechanics Dr.
William Hutton, Professor and Director of Orthopedic Research at
Emory University School of Medicine. Dr. Hutton inspected
plaintiff's helmet and opined that:
When Arai's removable, flexible chin guard
touched Dr. Howerton's chest, it should have
prevented further flexion and should have
transferred a significant portion of the
applied force through his chin guard and into
his chest. Instead, the bottom screws of the
chin guard broke allowing over forty degrees
of additional rotation of Dr. Howerton's head
and neck. This additional rotation and lack
of support from the broken chin guard,
permitted additional flexion and compressionforces to be exerted on Dr. Howerton's neck.
These additional forces resulted in the
flexion-compression fractures and movement of
the C5 and C6 vertebrae that caused the
compromise of Dr. Howerton's spinal cord and
the resulting quadriplegia.
Dr. Hutton opined on the issue of causation that the Arai helmet's
breakaway feature caused plaintiff's neck to enter into a flexion
beyond the physiological limit--hyperflexion. The hyperflexion
magnified the compressive force of the impact, and, in the case of
Dr. Howerton, this caused a retropulsion of bone into the spinal
canal. Essentially, like Professor Hurt, Dr. Hutton testified that
an integrated chin bar would have prevented Dr. Howerton's
quadriplegia.
After reviewing Professor Hurt's deposition testimony,
arguments from counsel, case law, and memorandums of law, the trial
court made the following pertinent findings of fact:
48. Dr. Hutton conceded . . . that he has
never researched, tested or published his
hypothesis that the degree of
retropulsion of bone fragments is a
function of the degree of flexion or
hyperflexion involved. He could not cite
[] medical or scientific literature in
support of this position. Dr. Hutton
also conceded that retropulsion of bone
fragments can occur in the absence of
hyperflexion. Further, he acknowledged
that plaintiff could have sustained some
degree of retropulsion even if he had
been wearing a full-face helmet.
Finally, he conceded that he does not
know how much retropulsion the spinal
cord can withstand before paralysis
occurs.
49. Dr. Hutton admitted that he had never
dealt with a cervical injury similar to
that experienced by plaintiff.
50. Dr. Hutton admitted that he could not
identify any literature that supportedthe conclusion that plaintiff would not
have been paralyzed but for the
hyperflexion.
51. Dr. Hutton's opinion that plaintiff's
injuries were caused by hyperflexion is
speculative and based on inadequate data.
52. Dr. Hutton's opinion that plaintiff's
injuries were caused by hyperflexion is
not reliable. . . . To the extent that
his methods represent a technique, it is
clear that they incorporate an
unacceptably high rate of error.
Accordingly, the trial court granted Arai's motion to exclude Dr.
Hutton's causation testimony on the basis of unreliability.
Next, Dr. Howerton offered Dr. Charles Rawlings as an expert
in neurosurgery. Dr. Rawlings conducted his residency and received
a Doctorate in Medicine from the Duke University Medical Center.
Between 1989 and 1999, Dr. Rawlings performed two to three
surgeries per month for cervical fractures. At the time of his
deposition, Dr. Rawlings was enrolled in Wake University School of
Law.
In his deposition, Dr. Rawlings opined that Dr. Howerton did
not suffer any cervical injuries until his head rotated forward
beyond the normal range of motion. Essentially, like Professor
Hurt and Dr. Hutton, Dr. Rawlings' testimony supported the theory
that the Arai helmet's flexible design permitted plaintiff's head
and neck to rotate beyond physiological limits. With respect to
Dr. Rawlings' testimony, the trial court made the following
pertinent findings of fact:
41. . . . . [Dr. Rawlings] conceded that
unless the amount of force is known, it
is impossible to distinguish one degree
and forty-five degrees of flexion basedon radiology films. Dr. Rawlings
conceded that he did not know the amount
of force involved in the accident. Dr.
Rawlings acknowledged that he had no
medical basis to opine about whether
plaintiff's head was rotated forward in
flexion five degrees or forty-five
degrees at impact.
42. Even though he did not know the force
involved in the accident and could not
accurately identify the position of
plaintiff's head at impact, Dr. Rawlings
opined that plaintiff would not have been
paralyzed but for his head rotating
beyond that normal anatomical range of
motion. He admitted, however, that there
are no objective criteria that can be
used to confirm his hypothesis. . . .
Based on these findings, the trial court found that Dr. Rawlings'
opinion that plaintiff injury was caused by hyperflexion is not
reliable.
Finally, Dr. Howerton offered James Randolph Hooper as an
expert in helmet design. Mr. Hooper was the chief design engineer
for a full-face motorcycle helmet developed at the same time Arai
was developing its flexible design--1978-1982. Mr. Hooper
testified that in 1978 it was well known in the helmet industry
that rigid chin bars significantly increased the overall stiffness
of the helmet and increased protection from impacts in all axises.
Mr. Hooper opined that the Arai's flexible chin guard offered no
protection during impact. Furthermore, Mr. Hooper related the
details of many accidents in which the rider was (1) wearing a
full-face helmet, (2) flipped over the handlebars landing on top of
the head, and (3) did not suffer severe neck injury.
During Aria's cross-examination of Mr. Hooper the following
colloquy occurred: Q: Do you contend that you have any sort of expertise so
that you can offer an opinion with respect to whether a
helmet will prevent a particular type of neck injury?
A: No.
Q: Is that something you have expertise in?
A: No.
After reviewing Mr. Hooper's deposition testimony, arguments from
counsel, case law, and memorandums of law, the trial court made the
following pertinent findings of fact:
28. Mr. Hooper is not a medical doctor, an
accident reconstructionist, an expert in
biomechanics, or an engineer. He does
not have a college degree.
29. When deposed, Mr. Hooper expressly
conceded that he did not have the
expertise to opine that a full-face
helmet equipped [with] an integrated chin
bar would have prevented plaintiff's
injury.
. . . .
32. Mr. Hooper is not qualified to offer the
opinion that a full-face helmet would
have prevented plaintiff's injury in this
case. His opinion that a full-face
helmet would have prevented plaintiff's
injury was speculative and based on
inadequate data. Further, Mr. Hooper did
not have a reliable basis to offer any
meaningful comparison between his own
history of accidents and plaintiff's
accident.
After making the appropriate findings of fact, the trial court
articulated the law on the admissibility of expert testimony and,
thereafter, applied the law to the facts. In pertinent part, the
trial court concluded:
1. North Carolina has adopted Daubert v.
Merrell Dow Pharmaceuticals, Inc., 509
U.S. 579, 113 S.Ct. 2786, 125 L.Ed. 2d469 (1993). See State v. Goode, 341 N.C.
513, 461 S.E.2d 631, 639 (1995); see also
State v. Bates, 140 N.C. App. 743, 748,
538 S.E.2d 597, 600 (2000).
2. Even before the issuance of the Daubert
decision, North Carolina courts adopted
reliability as the touchstone of
admissibility for expert opinion
testimony as demonstrated in State v.
Pennington, 327 N.C. 89, 98, 393 S.E.2d
847, 852 (1990). The indicia of
reliability identified by the North
Carolina Supreme Court in Pennington are
consistent with the indicia of
reliability found in Daubert. The
opinions expressed by plaintiff's experts
fail under either analysis.
3. The inquiry of the Court is not limited
to the qualifications of the experts.
Implicit in Rule 702 of the North
Carolina Rules of Evidence is the
precondition that the matters or data
upon which an expert bases his opinion be
recognized in the scientific community as
sufficiently reliable and relevant.
Davis v. City of Mebane, 132 N.C. App.
500, 503, 512 S.E.2d 450, 452 (1999),
rev. dismissed as improvidently granted,
351 N.C. 329, 524 S.E.2d 569 (2000). The
test of reliability involves a
preliminary assessment of whether the
reasoning or methods at issue are
sufficiently valid. Goode, 341 N.C. at
527, 461 S.E.2d at 639 (citing Daubert).
Based on these principles of law, the trial court, in its
discretion, concluded that the opinion testimony of Professor Hurt,
Dr. Hutton, and Dr. Rawlings, on the issue of causation, was
unreliable and, therefore, inadmissible. Moreover, the trial court
concluded, in its discretion, that Mr. Hooper was not qualified to
offer his expert testimony on the issue of causation. Accordingly,
the trial court granted Arai's 7 January 2002 motion for summary
judgment because [in] the absence of reliable expert opinion
testimony on the issue of causation . . . [the] plaintiff [] failedto offer evidence sufficient to raise a material issue of disputed
fact as to the element of causation. Furthermore, the trial court
granted Arai's partial summary judgment motion regarding
plaintiff's claim for unfair and deceptive trade practices. The
trial court concluded that this claim failed as a matter of law.
From this summary judgment order, plaintiff appeals.
II. Has North Carolina Adopted Daubert?
[1] By his first argument, Dr. Howerton contends the trial
court erred by excluding the causation testimony of his four expert
witnesses under Daubert. Dr. Howerton asserts North Carolina has
not adopted Daubert, and, consequently, the trial court committed
reversible error by applying the wrong legal standard in
determining the admissibility of his causation experts. After
thoroughly reviewing the relevant case law, we disagree.
North Carolina courts, as well as courts of the United States,
have long struggled with the admissibility, and evidentiary power,
of expert testimony. This struggle has been particularly fierce
in litigation advancing a novel theory of causation and/or
liability. In Frye v. United States, decided in 1923, the Court of
Appeals for the District of Columbia created a test for trial
courts to apply when judging the admissibility of novel scientific
principles, methods, and techniques. Frye v. United States, 293 F.
1013 (D.C. Cir. 1923). In Frye, the court held that:
Just when a scientific principle or discovery
crosses the line between the experimental and
demonstrable stages is difficult to define.
Somewhere in this twilight zone the evidential
force of the principle must be recognized, and
while courts will go a long way in admitting
expert testimony deduced from a
well-recognized scientific principle ordiscovery, the thing from which the deduction
is made must be sufficiently established to
have gained general acceptance in the
particular field to which it belongs.
Under the Frye test, as this standard became known, the proponent
of scientific evidence is required to establish the general
acceptance, within the relevant scientific community, of the
proposed expert's scientific principles, methods, and techniques.
In the 70 years [after] its formulation . . . , the 'general
acceptance' test [became] the dominant standard for determining the
admissibility of novel scientific evidence at trial. Daubert, 509
U.S. at 585. However, over time, legal scholars came to criticize
the Frye test as unduly restrictive. Specifically, the Frye test
inappropriately restricted parties from using novel, yet reliable,
scientific evidence.
In the midst of this debate, the United States Congress
enacted the Federal Rules of Evidence in 1975. Rule 702 provided
that:
If scientific, technical, or other specialized
knowledge will assist the trier of fact to
understand the evidence or to determine a fact
in issue, a witness qualified as an expert by
knowledge, skill, experience, training, or
education, may testify thereto in the form of
an opinion or otherwise.
Fed. R. Evid. 702 (1975) (repealed 1996). After the promulgation
of these rules, legal scholars debated whether or not the enactment
of Rule 702 supplanted the Frye test, particularly in light of the
liberal thrust of the Federal Rules of Evidence.
In Daubert, the United States Supreme Court resolved this
question and held that the Frye Test did not survive the enactment
of the Federal Rules of Evidence. Daubert, 509 U.S. at 589. Although Frye no longer applied, the Court noted that the new rules
did not relieve trial courts from screening expert testimony.
(See footnote 3)
To
the contrary, under the Rules the trial judge must ensure that any
and all scientific testimony or evidence admitted is not only
relevant, but reliable. Id. The Court arrived at this holding
through a standard statutory interpretation of Rule 702.
Specifically, the Court concluded that: (1) the requirement that
an expert's testimony pertain to 'scientific knowledge' establishes
a standard of evidentiary reliability, and (2) the requirement
that the evidence or testimony 'assist the trier of fact to
understand the evidence or to determine a fact in issue'
establishes (a) a standard of relevance and (b) a requirement that
the testimony is sufficiently tied to the facts of the case that
it will aid the jury in resolving a factual dispute. Id. at 591
(citations omitted). As to this latter requirement, commonly
referred to as the fit requirement, the Court explained:
The study of the phases of the moon, for
example, may provide valid scientific
knowledge about whether a certain night was
dark, and if darkness is a fact in issue, the
knowledge will assist the trier of fact.
However (absent creditable grounds supportingsuch a link), evidence that the moon was full
on a certain night will not assist the trier
of fact in determining whether an individual
was unusually likely to have behaved
irrationally on that night. Rule 702's
helpfulness standard requires a valid
scientific connection to the pertinent inquiry
as a precondition to admissibility.
Id.
Accordingly, after Daubert, trial courts were required to make
a preliminary assessment of whether the reasoning or methodology
underlying the testimony is scientifically valid and of whether
that reasoning or methodology properly can be applied to the facts
in issue. Daubert, 509 U.S. at 592-93. In making this
preliminary assessment, the Daubert Court announced, in dicta,
(See footnote 4)
four principles that trial courts should ordinarily consider in
determining whether expert testimony is admissible pursuant to Rule
702: (1) whether the theory or technique can be (or has been)
tested, (2) whether the theory or technique has been subjected to
peer review by publication, (3) whether the theory or technique has
a known rate of error, and (4) whether the technique has achieved
a general acceptance in the scientific community. Daubert, 509
U.S. at 593-95. Importantly, the Daubert court noted that [t]he
inquiry envisioned by Rule 702 is . . . a flexible one. Its
overarching subject is the scientific validity -- and thus the
evidentiary relevance and reliability -- of the principles that
underlie a proposed submission. Id. at 594-95. Consequently, the
Daubert Court expressly equated scientific validity with
reliability, i.e., the competence of the witness. In the years following Daubert, the United States Supreme
Court has refined and explicated the Daubert standard on two
occasions. In General Electric v. Joiner, 522 U.S. 136 (1997), the
Supreme Court held that abuse of discretion is the proper standard
by which to review a [trial] court's decision to admit or exclude
scientific evidence. Id. at 146. Two years later, in Kumho Tire
Co. v. Carmichael, 526 U.S. 137 (1999), the Court held that expert
testimony based on technical or specialized knowledge is subject to
the same gatekeeping function applicable to scientific knowledge.
Id. at 152-58.
Despite the fact that Daubert is a decision of the United
States Supreme Court, neither Daubert, nor its progeny, are binding
upon the states. See, e.g., State v. Bogle, 324 N.C. 190, 202, 376
S.E.2d 745, 752 (1989). However, our Supreme Court and General
Assembly have expressed the opinion that uniformity of evidence
rulings in the courts of this State and federal courts [was] one
motivating factor [for North Carolina] in adopting [our evidence]
rules and [it] should be a goal of our courts in construing those
rules that are identical. Id. (quoting N.C. Gen. Stat. § 8C-1,
Rule 102 commentary (2002)). At the time of Daubert, the North
Carolina rule regarding the admissibility of expert testimony was
identical to the federal rule interpreted by the Daubert Court.
(See footnote 5)
See N.C. Gen. Stat. § 8C-1, Rule 702 commentary (2002).
Despite the mandate of our General Assembly and State Supreme
Court to construe identical state and federal rules of evidence in
a manner that encourages uniformity, Dr. Howerton argues Rule 702
of the North Carolina Rules of Evidence, contrary to the United
States Supreme Court's interpretation of the identical federal rule
in Daubert, does not permit a trial court to test the reliability
of expert testimony before allowing the case to proceed to the jury
on the merits. For Dr. Howerton, a trial court's reliability
inquiry smacks of a determination of witness credibility and
evidentiary weight that should be resolved by the jury, rather than
upon summary judgment. See Federal Paperboard v. Kamyr, Inc., 101
N.C. App. 329, 399 S.E.2d 411 (1991).
The reliability determination provided in Daubert, however, is
generally a judgment focused on the principles and methodology of
the proposed testimony, rather than the substance or conclusions of
the testimony.
(See footnote 6)
Nevertheless, Dr. Howerton relies on State v.Goode, 341 N.C. 513, 461 S.E.2d 631 (1995), for the proposition
that trial courts should not render reliability determinations and,
the corresponding assertion, that trial courts are simply required
to (1) identify whether the technique or subject matter is an
appropriate area for expert testimony, (2) decide whether the
witness is qualified as an expert, and (3) determine whether the
proposed testimony is relevant.
Dr. Howerton's reliance on Goode is misplaced. In Goode, our
Supreme Court, relying on Daubert, expressly held that the first
inquiry a trial court must make in determining the admissibility of
expert testimony is whether the method of proof is sufficiently
reliable. Goode, 341 N.C. at 513, 461 S.E.2d at 631. This makes
sense, because unless an expert's testimony . . . is sufficiently
reliable, it is not considered competent evidence and therefore
should not be presented to the jury. Leatherwood v. Ehlinger, 151
N.C. App. 15, 23, 564 S.E.2d 883, 889 (2002). To arrive at this
conclusion, the Goode Court analyzed precedent created over the
last half century by the appellate courts of this State. See,
e.g., State v. Pennington, 327 N.C. 89, 98, 393 S.E.2d 847, 852
(1990) (holding that [a] new scientific method of proof is
admissible at trial if the method is sufficiently reliable); State
v. Bullard, 312 N.C. 129, 148, 322 S.E.2d 370, 381 (1984) (noting
that under North Carolina law scientifically accepted reliability
justifies admission of the testimony of qualified witnesses, and
such reliability may be found either by judicial notice or from the
testimony of scientists who are expert in the subject matter, or bya combination of the two); State v. Peoples, 311 N.C. 515, 526, 319
S.E.2d 177, 184 (1984) (holding that hypnosis is inadmissible
because overwhelming scientific evidence suggests that
hypnotically refreshed testimony is not inherently reliable and
that cross-examination is not an adequate safeguard against the
dangers inherent in hypnosis); State v. Foye, 254 N.C. 704, 708,
120 S.E.2d 169, 171 (1961) (holding that polygraph evidence is
inadmissible and noting that the lie detector has not yet attained
scientific acceptance as a reliable and accurate means of
ascertaining truth or deception.).
Accordingly, long before the United States Supreme Court
announced its holding in Daubert, North Carolina courts embraced
the principle that, in determining the admissibility of expert
testimony, the emphasis [is] on the reliability of the scientific
method. Bullard, 312 N.C. at 149, 322 S.E.2d at 381-82; see also
Kenneth S. Broun, Daubert is Alive and Well in North Carolina -- In
Fact, We Beat the Feds to the Punch, N.C. St. B.J. (Fall 2002), at
10. Whereas prior to Daubert most jurisdictions applied the Frye
test to novel scientific techniques and methods, North Carolina
courts readily disavowed Frye's mechanistic and conservative
approach. See, e.g., Pennington, 327 N.C. at 98, 393 S.E.2d at 852
(noting that North Carolina courts do not adhere exclusively to
the [Frye] formula . . . that the method of proof 'must be
sufficiently established to have gained general acceptance in the
particular field in which it belongs.' Rather, the Pennington
Court, in analyzing North Carolina precedent, believed that the
inquiry underlying the Frye formula is one of the reliability ofthe scientific method rather than its popularity within a
scientific community.).
Because North Carolina arrived at the reliability principle
prior to Daubert, the Supreme Court of North Carolina, as well as
this Court, struggled to articulate a flexible set of inquires to
guide trial courts in their gatekeeping function. For instance, in
Bullard, Justice Frye explained that expert foot print testimony
was admissible because (1) the expert used established techniques,
(2) the expert had a strong professional background and
qualifications, (3) the expert used visual aids so that the jury
was not required to accept the scientific hypotheses on faith, and
(4) because of independent research conducted by the expert.
Bullard, 312 N.C. at 150-51, 322 S.E.2d at 382. In Pennington,
which was also decided before Daubert, our Supreme Court followed
the Bullard precedent, and inquiries, in holding that the
reliability of the DNA profiling process was sufficient to merit
admissibility. Pennington, 327 N.C. at 100, 393 S.E.2d at 854.
After the United States Supreme Court announced Daubert,
however, our appellate courts essentially stopped developing and
refining the Bullard inquiries. Instead, North Carolina courts
simply began to cite Daubert as precedent. See, e.g., Goode, 341
N.C. at 527, 461 S.E.2d at 639. From the time Justice Orr relied
on Daubert in Goode, this Court has relied upon Daubert on fourteen
occasions. See, e.g., Leatherwood v. Ehlinger, 151 N.C. App. 15,
23-24, 564 S.E.2d 883, 889 (2002) (Implicit in the rules governing
the admissibility of an expert's opinion is a precondition that the
matters or data upon which the expert bases his opinion berecognized as sufficiently reliable and relevant by the scientific
community.); State v. Holland, 150 N.C. App. 457, 463, 566 S.E.2d
90, 93 (2002) ([W]here the principles underlying expert testimony
on handwriting analysis had been repeatedly recognized as reliable
and admissible, the trial court was not required to launch into a
full analysis of the reliability of its underlying principles.);
State v. Stokes, 150 N.C. App. 211, 225, 565 S.E.2d 196, 206 (2002)
(The trial court has the duty to act as gatekeeper and to insure
that expert opinion is properly founded on scientifically reliable
methodology.); Walter v. Walter, 149 N.C. App. 723, 733, 561
S.E.2d 571, 578 (2002) (quoting language in Goode, supra); Taylor
v. Abernethy, 149 N.C. App. 263, 272-73, 560 S.E.2d 233, 239 (2002)
(In its role as gatekeeper, the pertinent question for the trial
court is not whether the matters to which the expert will testify
are scientifically proven, but simply whether the testimony is
sufficiently reliable.); State v. Berry, 143 N.C. App. 187, 203,
546 S.E.2d 145, 156 (2001) (quoting language in Goode, supra);
State v. Davis, 142 N.C. App. 81, 90, 542 S.E.2d 236, 241 (2001)
(noting Daubert . . . discuss[es] the need for the 'reliability'
factors to be flexible); State v. Bates, 140 N.C. App. 743, 748,
538 S.E.2d 597, 600 (2000) (noting that Daubert was adopted by
Goode); State v. Underwood, 134 N.C. App. 533, 542, 518 S.E.2d 231,
239 (1999) (noting that North Carlina has adopted factors similar
to those of Daubert); State v. Cardwell, 133 N.C. App. 496, 505,
516 S.E.2d 388, 395 (1999) (relying on Daubert and its progeny);
State v. Dennis, 129 N.C. App. 686, 693, 500 S.E.2d 765, 769 (1998)
(quoting language in Goode, supra); State v. Helms, 127 N.C. App.375, 380, 490 S.E.2d 565, 568 (1997), rev'd on other grounds by
State v. Helms, 348 N.C. 578, 504 S.E.2d 293 (1998) (The court's
'gatekeeping' function [to ensure reliability] is made necessary by
the heightened credence juries tend to give evidence perceived as
scientific.); Setzer v. Boise Cascade Corp., 123 N.C. App. 441,
447, 473 S.E.2d 431, 435 (1996) (Walker, J., dissenting in part and
concurring in part) (in dissent, applying the publication and peer
review inquiries in Daubert); State v. Spencer, 119 N.C. App. 662,
664, 459 S.E.2d 812, 814 (1995) (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.).
From a thorough review of our case law, it is eminently clear
that North Carolina has adopted the Daubert analysis. This is not
novel. Daubert has been the prevailing law in this state since
Goode. Three years ago, in Bates, this Court expressly held that
our Supreme Court in Goode adopted Daubert. Bates, 140 N.C. App.
at 748, 538 S.E.2d at 600. Accordingly, plaintiff's first
argument, insofar as it relies on the trial court's erroneous use
of Daubert, is without merit.
(See footnote 7)
III. The Trial Court's Application of Daubert
Dr. Howerton claims, even if Daubert is the law in this State,
the methodology, techniques, and validity
(See footnote 8)
of his experts'
testimony exceeds even the most stringent Daubert scrutiny.
[T]he decision on what expert testimony to admit is within
the wide discretion of the trial court. Holland, 150 N.C. App. at
462, 566 S.E.2d at 93. See also Bullard, 312 N.C. at 140, 322
S.E.2d at 376. Under this standard, [a] trial court may be
reversed . . . only upon a showing that its ruling was so arbitrary
that it could not have been the result of a reasoned decision.
State v. Ward, 354 N.C. 231, 264, 555 S.E.2d 251, 272 (2001)
(citations omitted). Accordingly, having decided that North
Carolina has adopted Daubert, our review of a trial court's
application of Daubert is limited to determining whether the trial
court abused its discretion. See Holland, 150 N.C. App. at 462,
566 S.E.2d at 93; Cardwell, 133 N.C. App. at 505, 516 S.E.2d at
395; see also Joiner, 522 U.S. at 147.
Dr. Howerton proffered four experts to establish a chain ofcausation between the alleged defective design of the Arai helmet
and his quadriplegia. Professor Hurt's and Mr. Hooper's
testimonies were offered to establish that an integrated chin bar
would have prevented hyperflexion. Dr. Hutton's testimony was
offered to establish that the resulting hyperflexion had a
magnifying effect on the compressive force of the injury which
retropulsed bone into Dr. Howerton's spinal canal and resulted in
quadriplegia. Dr. Rawlings' testimony was offered to establish
that Dr. Howerton did not suffer any cervical injuries until his
head and neck entered a state of hyperflexion. After making
detailed findings of fact, the trial court excluded plaintiff's
expert testimony. Dr. Howerton contends the trial court abused its
discretion in so finding. We disagree.
First, Professor Hurt testified that Dr. Howerton would not
have suffered cervical injuries if his Arai helmet had an
integrated chin bar. Professor Hurt testified that he based his
opinion on 30 years of experience and, specifically, three
motorcycle accidents in which he noticed a u or v shaped mark
on the chests of the respective riders.
(See footnote 9)
Professor Hurt deduced
from these marks, and the absence of cervical injuries in these
riders, that the integrated chin bar prevented hyperflexion of the
neck by contacting with the chest.
The trial court, however, found that this testimony wasunreliable because Professor Hurt (1) did not test his hypothesis,
(2) did not subject his hypothesis to peer review, (3) could not
quantify the extent, if any, to which a full-face helmet would
prevent forward flexion of the neck, (4) could not identify any
literature supporting his hypothesis or demonstrating general
acceptance of his hypothesis, and (5) published work that actually
contradicted his hypothesis. Based on these detailed findings of
fact, which are substantially unchallenged by Dr. Howerton, the
trial court excluded Professor Hurt's testimony.
Dr. Howerton argues the trial court abused its discretion
(that is, excluded the expert without reason) because Professor
Hurt's field of expertise, accident reconstruction analysis, is an
accepted area of expert testimony in North Carolina. Dr. Howerton
contends that when experts are testifying within their respective,
well recognized disciplines, North Carolina law does not require
[trial courts] to determine, over and over again, whether the
method is reliable.
Indeed, a review of the relevant case law supports the
proposition that trial courts are not required to test the
reliability of expert testimony, where the methodology and
techniques of the proffered experts are neither challenged nor
novel. However, where the methodology and techniques of the
proffered experts are either challenged or novel, the case law does
not, in any respect, support the proposition that trial courts are
prohibited from testing reliability. Any holding to the contrary
would require trial courts to admit baseless and unsound opinion
testimony simply because a qualified expert, with a degree in arecognized field, offers the opinion. Instead, in North Carolina
a trial court's decision to test, or not to test, the reliability
of expert testimony proffered by a qualified expert in a recognized
area of expertise is reviewed for an abuse of discretion.
In Davis v. City of Mebane, 132 N.C. App. 500, 512 S.E.2d 450
(1999), for instance, this Court affirmed a trial court's decision
to exclude expert testimony despite the fact that the proffered
experts were qualified and testified within a recognized area of
expertise. Id. at 503, 512 S.E.2d at 453. In City of Mebane,
plaintiffs alleged that a dam project proximately resulted in
recurring flooding and damage. To prove causation, plaintiffs
proffered two experts, Dr. Barrett Kays, who held a Ph.D. in soil
science and had vast experience and training in ground absorption
systems and hydrology, and John Harris, a licensed professional
engineer who specialized in hydraulics and had experience designing
dams and conducting flood studies.
Despite the undisputed qualifications of these experts and the
appropriateness and necessity of expert testimony in the relevant
field, the trial court excluded the proffered expert testimony
because of an absence of reliability. On appeal, plaintiffs argued
that: (1) the methodology underlying the experts' opinion was
sufficiently reliable; (2) the experts used 'established
techniques' and 'conducted significant independent research into
the cause of the flooding;' and (3) the studies relied upon by
plaintiffs' experts were subjected to substantial peer review.
Finally, like plaintiff in the case sub judice, in City of Mebane
plaintiffs argued that the [experts' studies had] sufficientindicia of reliability and any 'perceived flaws in the
testimony . . . [were] matters properly to be tested in the
crucible of adversarial proceeding; they [were] not the basis for
truncating that process. Id. at 502, 512 S.E.2d at 452.
It upholding the decision of the trial court to exclude the
expert testimony, we noted that an abuse of discretion standard
applied and, furthermore, that:
There [was] evidence in the record to support
the trial court's finding. First, defendants'
experts . . . testified that Harris' study
utilized water flow rates which were based on
dramatically different methodology, and that
'it should have been immediately 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. . . . Accordingly,
we [found] no abuse of discretion.
Id. at 503, 512 S.E.2d at 452-53. Thus, in City of Mebane, despite
the appropriate qualifications and area of expertise, this Court
reiterated and affirmed the gatekeeping function of the trial court
to exclude unreliable evidence.
(See footnote 10)
In the case sub judice, it is eminently clear that the trialcourt's decision to exclude Professor Hurt's testimony was neither
arbitrary nor an abuse of discretion. The trial court's findings
of fact are reasoned, detailed, and address the relevant inquiries
required by Daubert and its progeny. Although evidence supporting
a contrary conclusion does exist in the record, the record is
replete with competent evidence supporting the challenged findings
of the trial court. Accordingly, plaintiff's assignments of error
are overruled insofar as they challenge the trial court's decision
to exclude the causation testimony of Professor Hurt.
Second, Mr. Hooper, a proffered expert in helmet design,
testified that a full-face helmet with an integrated chin bar would
have prevented plaintiff's quadriplegia. However, the trial court
found that Mr. Hooper was not qualified to offer an expert opinion
on causation because Mr. Hooper expressly conceded that he did not
have the expertise to opine that a full-face helmet with an
integrated chin bar would have prevented plaintiff's injury.
(See footnote 11)
Based on this finding, standing alone, it is eminently clear that
the trial court's decision was neither arbitrary nor an abuse of
discretion. Accordingly, this assignment of error is overruled.
(See footnote 12)
Third, Dr. Hutton, an expert in the field of biomechanics,
testified that when the Arai helmet's chin guard broke during
plaintiff's collision, the lack of support from the broken chin
guard allowed plaintiff's head to rotate an extra forty-degrees.
According to Dr. Hutton, this additional flexion had a magnifying
effect on the compressive force of the injury which retropulsed
bone into the spinal canal and resulted in quadriplegia. However,
the trial court found that this testimony was unreliable because
Dr. Hutton (1) never tested, published, nor researched his
hypothesis, (2) conceded that retropulsion of bone fragments can
occur in the absence of hyperflexion, (3) conceded that plaintiff
could have sustained some degree of retropulsion even if he had
been wearing a full-face helmet, and (4) could not identify any
literature that supported his hypothesis that plaintiff would not
have been paralyzed but for hyperflexion. Furthermore, the trial
court noted that Dr. Hutton had not subjected his hypothesis to
peer review, and that Dr. Hutton's hypothesis incorporated an
unacceptable high rate of error. Based on these detailed findings
of fact, which are substantially unchallenged by Dr. Howerton, the
trial court excluded Dr. Hutton's testimony. Although evidence in
the record does support a contrary finding, it is eminently clear
that the trial court's decision was neither arbitrary nor an abuse
of discretion. Indeed, the record is replete with competent
evidence supporting the challenged findings. Accordingly, this
assignment of error is overruled.
Finally, Dr. Rawlings, an expert in neurosurgery, testified
that Dr. Howerton did not suffer any cervical injuries, includinghis paralysis, until his head rotated forward beyond the normal
range of motion. However, the trial court found that this
testimony was unreliable because Dr. Rawlings (1) did not test his
hypothesis, (2) did not subject his hypothesis to peer review, (3)
conceded that there are no objective criteria that could be used to
confirm his hypothesis, and (4) proffered an hypothesis that was
not generally accepted. Furthermore, the trial court noted that
Dr. Rawlings conceded that: (1) unless the amount of force in the
accident is known, it is impossible to distinguish degrees of
flexion, and (2) he did not know the amount of force involved in
the accident. Based on these detailed findings of fact, which are
substantially unchallenged by Dr. Howerton, the trial court
excluded Dr. Rawlings' testimony. Although evidence in the record
does support a contrary finding, it is eminently clear that the
trial court's decision was neither arbitrary nor an abuse of
discretion. Indeed, the record is replete with competent evidence
supporting the challenged findings. Accordingly, this assignment
of error is overruled.
As Dr. Howerton failed to forecast any admissible evidence on
the issue of causation, the trial court properly granted Arai's
summary judgment motion with respect to plaintiff's negligence and
product liability claims.
(See footnote 13)
See, e.g., Porter v. Fieldcrest Cannon,Inc., 133 N.C. App. 23, 29, 514 S.E.2d 517, 522 (1999) (holding
that where the exact nature and probable genesis of a particular
type of injury involves complicated medical questions far removed
from the ordinary experience and knowledge of laymen, only an
expert can give competent opinion evidence as to the cause of the
injury) (citations omitted).
IV. Unfair and Deceptive Trade
[2] By his final argument, Dr. Howerton claims the trial court
erred by granting Arai's summary judgment motion with respect to
his claim for unfair and deceptive trade practices. Dr. Howerton
asserts that Arai made two claims regarding their helmets which
constitute unfair and deceptive trade practices: (1) The Arai
helmet was designed to reduce the possibility of cervical
injuries, and (2) The entire Arai helmet was Snell Certified.
After carefully reviewing the record, it is clear that Dr. Howerton
failed to forecast evidence creating a genuine issue of material
fact as to whether these representations were a proximate cause of
his injuries. Accordingly, we find no error.
N.C. Gen. Stat. § 75-1.1(a) provides that: Unfair methods of
competition in or affecting commerce, and unfair or deceptive acts
or practices in or affecting commerce, are declared unlawful. Toprevail on a claim for unfair and deceptive trade practices, a
claimant must demonstrate the existence of three factors: '(1) an
unfair or deceptive act or practice . . . (2) in or affecting
commerce, and (3) which proximately caused actual injury to the
plaintiff . . . .' Murray v. Nationwide Mut. Ins. Co., 123 N.C.
App. 1, 9, 472 S.E.2d 358, 363 (1996) (citations omitted). As to
the element of proximate cause, this court has consistently held
that liability under Chapter 75 is limited to those situations
when a plaintiff can show that plaintiff detrimentally relied upon
a statement or misrepresentation and he or she 'suffered actual
injury as a proximate result of defendant's deceptive statement or
misrepresentation.' Forbes v. Par Ten Group, Inc., 99 N.C. App.
587, 601, 394 S.E.2d 643, 651 (1990) (citation omitted).
In the case sub judice, even assuming that Arai engaged in an
unfair and deceptive trade practice in or affecting commerce, the
deposition testimony of Dr. Howerton clearly demonstrates that he
did not, in fact, detrimentally rely on the assumed
misrepresentation.
Q: You had testified the other day that you, based on the
ads you had seen, had formed the impression that the Arai
helmet was a great helmet . . . . And my question to you
is superior in what way?
A. I think my choice was based on aesthetics, [and] who wore
the helmet. Those two things.
Q. Did you form any impressions about the mouth or rock
guard . . . based on the advertisements that you had
viewed?
A. No, sir.
Q. Or judgments about it?
A. No judgments.
Q. When did you first realize that [the rock guard] was an
adjustable or removable piece?
A. I knew it was adjustable from the pictures that I had
seen of the helmet.
Q. These are before you ever bought it?
A. That's correct.
. . . .
Q. What function did you expect the mouth guard to perform?
A. Protection from falling, protection from debris.
Q. Debris?
A. From the back wheel of other vehicles -- other off-road
vehicles.
Q. . . . . Protection from falling in what sense? Face
plant?
A. It could be a face plant. This is what I thought at the
time. Side protection. If I fell from the side, I would
expect it . . . the chin or jaw, the mandible.
. . . .
Q. Do you remember seeing ever anything in the [Arai helmet]
ads that had to do with the neck?
A. No sir.
. . . .
Q. Did neck protection have anything to do with your
purchase of the Arai helmet?
A. I wasn't thinking of neck protection per se in
purchasing. . . .
Q. And what do you understand the purpose of a helmet to be?
A. Protection of the head area.
. . . .
Q. Before your accident, had you read anything or heard
anything from any source concerning whether the
Arai . . . helmet might have anything to do with neck
injuries, either causing them or preventing them?
A. No, I hadn't read anything.
Despite this testimony, Dr. Howerton argues (1) that he had a
pattern and practice of reading all of the ads in Dirt Rider
magazine, which contained the offending ads, and that he simply did
not remember his reliance upon these ads, and, in the alternative,
(2) proof of specific reliance is not required under Chapter 75,
but, instead, as long as Arai's marketing campaign, taken as a
whole, convinced plaintiff that the [Arai] helmet was the
functional equivalent of a full-face helmet, then Arai's unfair and
deceptive conduct was at least one of the proximate causes of
plaintiff's injury. These arguments are without merit. Because
plaintiff failed to forecast evidence creating a genuine issue of
material fact with respect to proximate causation, the trial court
properly granted Arai's summary judgment motion.
Affirmed.
Judges TIMMONS-GOODSON and LEVINSON concur.
conclusions and methodology are not entirely
distinct from one another. Trained experts
commonly extrapolate from existing data. But
nothing in either Daubert or the Federal Rules
of Evidence requires a district court to admit
opinion evidence which is connected to
existing data only by the ipse dixit of the
expert. A court may conclude that there is
simply too great an analytical gap between the
data and the opinion proffered.
GE v. Joinder, 522 U.S. at 146.
Judges are not scientists, bio-mechanical
engineers, or doctors. . . . judges do not
have the expertise required to decide whether
a challenged scientific theory is correct, and
therefore courts [should] defer this judgment
to scientists. State v. Copeland, 922 P.2d
1304, 1312 (Wash. 1996). This task is
particularly daunting in North Carolina wherejudges still ride the circuit, have no law
clerk, and could be faced with an infinite
number of Daubert motions each Monday morning.
Although we understand some of the concerns expressed by Dr.
Howerton, we, nevertheless, believe that our case law has wisely
chosen to place the burden with a lay judge, rather than a lay
jury, of initially determining the reliability of expert testimony.
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