All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Carolina Court of Appeals Reports. In the event of discrepancies between the electronic version of an opinion and the print version appearing in the North Carolina Reports and North Carolina Court of Appeals Reports, the latest print version is to be considered authoritative.
W. BRUCE HOWERTON, JR., DDS v. ARAI HELMET, LTD., a Japanese
Corporation; ARAI HELMET, LTD., a New Jersey Corporation; and TOM
BRISSEY
3. Products Liability--safer, feasible design alternative--summary judgment
The Court of Appeals erred by affirming the trial court's grant of summary
judgment in favor of defendant on plaintiff's claim that defendant unreasonably failed to adopt a
safer, feasible design alternative as required under N.C.G.S. § 99B-6, because: (1) the Court of
Appeals could not first exclude plaintiff's expert testimony as unreliable and then subsequently
embrace the merits of the very same evidence in support of alternative grounds for summary
judgment favoring defendant; (2) even if the Court of Appeals appropriately considered the
published report of one of plaintiff's experts, there was nevertheless a legitimate conflict of
evidence raised by the expert's deposition testimony that created a genuine issue of material fact
precluding summary judgment under N.C.G.S. § 1A-1, Rule 56; and (3) review of whether
defendant failed to adopt a safer, feasible design alternative is enmeshed with, if not altogether
dependent on, the opinions of plaintiff's experts that were excluded on an improper basis.
Justice PARKER concurring in part and dissenting in part.
Justice BRADY did not participate in the consideration or decision of this case.
On discretionary review pursuant to N.C.G.S. § 7A-31 of
a unanimous decision of the Court of Appeals, 158 N.C. App. 316,581 S.E.2d 816 (2003), affirming an order for summary judgment
entered 1 March 2002 by Judge Wade Barber in Superior Court,
Orange County. Heard in the Supreme Court 17 February 2004.
Womble Carlyle Sandridge & Rice, PLLC, by Burley B.
Mitchell, Jr., Richard T. Rice, and Alison R. Bost, for
plaintiff-appellant.
Ellis & Winters LLP, by Richard W. Ellis, Matthew W.
Sawchak, and Andrew S. Chamberlin; and Wilson Elser
Moskowitz Edelman & Dicker, by James C. Ughetta, pro
hac vice, for defendants-appellees.
Jeff Hunt on behalf of the North Carolina Conference
for District Attorneys, amicus curiae.
Twiggs, Beskind, Strickland & Rabenau, P.A., by Howard
F. Twiggs, Donald H. Beskind, and Jerome P. Trehy, Jr.;
and Robert P. Mosteller, on behalf of the North
Carolina Academy of Trial Lawyers, amicus curiae.
Nelson Mullins Riley & Scarborough, L.L.P., by George
Major Teague; Robinson, Bradshaw & Hinson, P.A., by
John Robbins Wester and Scott William Gaylord; and
Bailey & Dixon, L.L.P., by Gary S. Parsons, on behalf
of the North Carolina Citizens for Business and
Industry and the North Carolina Association of Defense
Attorneys, amici curiae.
Smith Moore LLP, by J. Donald Cowan, Jr., and Dixie
Wells, on behalf of the Product Liability Advisory
Council, Inc., amicus curiae.
WAINWRIGHT, Justice.
On 5 October 1996, plaintiff, W. Bruce Howerton, Jr.,
D.D.S. (Howerton), suffered a devastating motorcycle accident
while riding his off-road motorcycle at a motocross practice
track in western North Carolina. Howerton was an experienced
off-road motorcycle enthusiast who had been riding motorcycles
since he was a child. He had owned numerous motorcycles
throughout his life and was knowledgeable in the technical
aspects of motorcycles and motorcycle equipment. The motocross track on which Howerton rode the day of
the accident was a winding dirt course with numerous jumps and
obstacles. Howerton wore typical motocross safety gear,
including riding boots, knee braces, gloves, and an Arai MX/a
motorcycle helmet. While jumping a course obstacle known as a
table top, Howerton landed atop another motorcycle rider who
had entered the landing area of the jump perpendicular to
Howerton's line of travel. The two motorcycles became entangled
on impact, causing Howerton's motorcycle to stop abruptly and
launching Howerton into an airborne somersault over the
handlebars of his motorcycle. Howerton landed upside down on the
back of his helmeted head, breaking the chin guard attached to
his helmet and forcing his chin downward into his chest. As he
landed, Howerton experienced what he described as severe popping,
crunching, and pain in his neck. Lying in the dirt, Howerton
struggled to breathe and was unable to move his legs; he
immediately recognized the severity of his injuries. Paramedics
were summoned and Howerton was transported to the hospital by
helicopter. As a result of his accident, Howerton sustained
debilitating cervical vertebral fractures at the C5/C6 level that
left him a quadriplegic, permanently paralyzed from the neck
down.
On 4 October 1999, Howerton brought actions against the
other motorcycle rider, the owners of the motocross track, and
Arai Helmet, Ltd.,
(See footnote 1)
the manufacturer of the motorcycle helmetHowerton was wearing when the accident occurred. Our review of
this matter concerns only Howerton's claims against Arai.
Howerton's products liability claims against Arai set
forth various theories of negligence and breach of implied and
express warranties. Howerton alleged, among other things, that
Arai negligently designed, manufactured, and promoted a helmet
that was unreasonably dangerous under ordinary usage and that
such negligence was the direct and proximate cause of his
quadriplegia. Howerton further claimed that Arai breached both
express and implied warranties by manufacturing a defective
helmet and by failing to provide adequate warnings of its
dangerous condition. On 13 August 2001, Howerton amended his
complaint to include a claim that Arai intentionally engaged in a
campaign to deceptively advertise and market the allegedly
defective helmet, thereby engaging in an unfair and deceptive
trade practice in violation of N.C.G.S. § 75-1.1.
The Arai MX/a helmet worn by Howerton on the day of
his accident was equipped with a flexible, removable guard across
the chin and mouth that was secured to the helmet on each side by
nylon screws. By comparison, many other helmets are designed
with a rigid, integral chin bar that is structurally molded into
the helmet. In addition to protecting the motorcyclist's mouth
and nose area from debris, some of these rigid guards are
purportedly designed to increase the strength and stability of
the motorcyclist's neck upon impact by preventing the neck from
rotating too far forward. Such a chin guard limits the forward
rotation of the head by stopping against the motorcyclist's
chest, protecting the head and neck from extreme forward
rotation. The purpose of the guard on the specific Arai MX/a
helmet worn by Howerton on the day of his accident is subject to
conflicting characterizations which lie at the heart of this
litigation. Howerton complains that the chin guard on his Arai
helmet should have restricted the movement of his neck like a
rigid chin guard and cushioned his head on impact so as to
prevent the catastrophic spinal injury which he suffered.
Howerton alleges that when the nylon screws securing the chin
guard to his helmet broke on impact, his head was allowed to
rotate too far forward, beyond its normal anatomical range,
resulting in a hyperflexion of his neck which caused the
resulting cervical fractures and paralysis. Howerton
additionally claims that Arai's advertising and marketing led him
to believe that the helmet provided superior neck protection,
when in fact it did not, and that Arai failed to warn him that
its chin guard would neither withstand nor protect against the
physical forces Howerton experienced in his motorcycle accident.
According to Arai, however, [t]he intended function of
the mouth guard on the MX/a helmet is to prevent pebbles, dirt
and small branches from contacting that part of the rider's face
behind the mouth guard while riding off-road or in wooded areas.
Arai insists that its breakaway rock guard was never designed to
function as an integral part of a full face helmet and was never
intended to offer the same degree of facial protection . . . in
the full range of possible motorcycle accidents. Rather, Arai
contends that the chin guard on its helmet was intentionally
designed to bend or break away on impact so as to minimize
excessive and dangerous torquing of the neck. To prove the alleged defectiveness of his Arai helmet
and its causal connection to his injuries, Howerton offered the
opinion testimony of four key expert witnesses:
(1) Professor Hugh H. Hurt, Jr. is an expert in
motorcycle accidents and motorcycle helmets. Professor Hurt is
President of the Head Protection Research Laboratory of Southern
California and Professor Emeritus of Safety Science at the
University of Southern California. Professor Hurt has researched
and published extensively in the field of motorcycle accidents
and motorcycle helmet safety for more than twenty-five years.
Based upon Professor Hurt's extensive credentials, Arai
stipulated that he is qualified as an expert pursuant to North
Carolina Rule of Evidence 702. Professor Hurt's opinion was that
the flexible chin guard on Howerton's Arai helmet was defectively
designed and manufactured such that it broke loose on impact and
failed to limit the forward rotation of Howerton's head. Instead
of stopping the chin against the sternum, as a rigid chin guard
would do, Professor Hurt opined that the flexible chin guard on
Howerton's Arai helmet broke on impact, allowing Howerton's neck
to flex towards the chest, beyond its normal range of movement.
Finding the chin guard on the Arai helmet to be flexible and
weak, Professor Hurt was further of the opinion that the Arai
helmet's apparent similarity to other motorcycle helmets with
structurally rigid chin guards created a misleading and
dangerous illusion of protection.
(2) William C. Hutton, D.Sc. is an expert in
biomechanics and orthopaedic biomechanics. Dr. Hutton is
Professor and Director of Orthopaedic Research at Emory
University School of Medicine. He is widely published and hasover thirty-five years of experience in the fields of
biomechanics, orthopedic research, and spinal injuries. Dr.
Hutton's opinion was that the flexible chin guard on Howerton's
Arai helmet broke and allowed Howerton's head and neck to travel
beyond their normal range of motion, causing the hyperflexion and
compression that resulted in Howerton's paralysis.
(3) James Randolph Hooper is an expert in the design
and manufacture of composite materials such as those found in
motorcycle helmets. Hooper worked as a design engineer on the
development of other full-face, off-road motorcycle helmets and
is personally experienced with off-road motorcycles and
motorcycle accidents. Hooper's opinion was that the flexible
chin guard on Howerton's Arai helmet offered no protection on
impact and, in fact, created a considerable hazard due to its
flexible nature. Hooper further opined that the chin guard on
Howerton's Arai helmet was known to detach on impact and lacked
the protective features typical of helmets with rigid chin
guards.
(4) Charles Edward Rawlings, III, M.D. is a board
certified neurosurgeon. With more than ten years of
neurosurgical experience, Dr. Rawlings has conducted numerous
spinal surgeries on patients with cervical fractures similar to
the one sustained by Howerton. Although Dr. Rawlings was not
Howerton's treating neurosurgeon, Dr. Rawlings reviewed
Howerton's medical records and opined that Howerton suffered a
flexion-compression injury that was the cause of his paralysis.
On 7 January 2002, Arai filed its Omnibus Motion for
Summary Judgment on All Claims and Motion to Exclude Testimony ofPlaintiff's Experts on the Issue of Causation. In this motion,
Arai argued that:
Plaintiff must prove that his injuries
were caused by the product at issue. In this
complex product liability case, Plaintiff
cannot meet this burden absent admissible
expert testimony on the issue of causation.
Four of Plaintiff's experts, Dr. Charles
Rawlings, Dr. William Hutton, Mr. Hugh H.
Hurt and Mr. Randolph Hooper, have attempted
to offer expert opinion testimony supporting
Plaintiff's case on this issue [of
causation]. None of these experts have
performed testing relevant to the causation
issues in this case. None have undertaken
independent research to support their
hypotheses or subjected their hypotheses to
peer-review via publication. Each has relied
on inadequate or non-existent data that
renders their opinions subject to an
unreasonably high rate of error. Finally,
none of these expert[s] have been able to
demonstrate that their opinions are generally
accepted within their own fields. In fact,
many of the opinions expressed by these
experts are contrary to the existing body of
medical or biomechanical research. In some
cases, the opinions expressed by these
experts are in conflict with one another, or
in conflict with their own previously
published opinions. Accordingly, the Arai
Defendants move that the opinions of
Plaintiff's experts be held inadmissible at
trial pursuant to Rule 104 and Rule 702 of
the North Carolina Rules of Evidence and the
related authorities of the North Carolina
courts and United States Supreme Court.
Further, that the Court award the Arai
Defendants summary judgment on all claims
based on the inability of Plaintiff to offer
admissible evidence of causation.
On 29 January 2002, the trial court conducted a brief
hearing on the matter, considering arguments from counsel,
discovery materials, and pleadings. The trial court did not,
however, hear live voir dire testimony from the experts.
On 1 March 2002, the trial court granted Arai's motion
to exclude the testimony of Howerton's experts on the issue ofcausation. With respect to each of Howerton's four experts, the
trial court made the following findings of fact:
Professor Hugh H. Hurt, Jr.
16. Professor Hugh Hurt is a helmet
expert from California. He opined that a
full-face helmet equipped with an integrated
chin bar would have prevented plaintiff's
injury.
17. Professor Hurt's opinion was based
on the assertion that he had noticed red u
or v shaped marks on the chests of three
motorcycle riders who were involved in
motorcycle accidents while wearing full-face
helmets. The necks of the three riders were
not broken, however, two of these riders were
killed in the accidents at issue. Professor
Hurt deduced that these marks were caused by
the rigid integrated chin bars on the riders'
full-face helmets striking their chests
during the accident, and concluded that this
may have prevented a neck injury.
18. Professor Hurt explained the basis
of his opinion that the marks on the chests
of three riders proves that rigid chin bars
prevent neck injuries as follows: like Bo
knows baseball, Hurt knows motorcycle
accidents.
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
that expressly supported his hypothesis and,
thus, did not present any evidence other than
his unsupported assertions that his
hypothesis is generally accepted in his
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 full
coverage helmets (i.e., open-face helmets
that were not equipped with chin bars.).
24. Professor Hurt also opined that the
MX/a design provided superior head
protection, and that open-face helmets, that
is, helmets without chin bars, are not
defective.
25. Professor Hurt's opinion that a
full-face helmet would have prevented
plaintiff's injury is speculative and based
on inadequate data.
26. Professor Hurt's opinion that a
full-face helmet would have prevented
plaintiff's injury is not reliable.
Professor Hurt's opinion was not developed
through sound scientific or engineering
methods. Professor Hurt has not performed
relevant testing or independent research and
has not subjected his hypothesis that full
face helmets prevent neck injuries to
peer-review by publishing that claim.
Further, he was unable to demonstrate that
his hypothesis is generally accepted in his
field by pointing to any published support
for his claim. Finally, to the extent that
his methods represent a technique, it is
clear that this technique is subject to an
unacceptably high risk of error.
James Randolph Hooper
27. Mr. Randolph Hooper was proffered
by plaintiff as an expert based on his role
in the design and manufacture of a motorcycle
helmet in the late 1970's and early 1980's.
Like Professor Hurt, Mr. Hooper also opined
that a full-face helmet with integrated chin
bar would have prevented plaintiff's injury.
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.
30. Nevertheless, Mr. Hooper was
willing to testify about his own history of
motorcycle accidents involving full-face
helmets for the apparent purpose of
supporting the inference that a full-face
helmet would have prevented plaintiff's
injury.
31. However, Mr. Hooper was admittedly
unaware of the salient details of plaintiff's
accident. In addition, he was unable to
relate the specific details of his own
accidents.
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.
Dr. Charles Rawlings
33. Dr. Charles Rawlings is a
neurosurgeon. Dr. Rawlings currently is
attending law school and has not actively
practiced neurosurgery on a full time basis
since at least January of 2000.
34. Dr. Rawlings has never performed
independent research or testing on the
mechanisms of cervical fractures. He has
never published any medical article on the
mechanisms of cervical fracture. He has
never published on hyperflexion neck
injuries.
35. Dr. Rawlings opined that plaintiff
suffered no injuries, including his
paralysis, prior to the time his head rotated
forward beyond the normal range of motion.
36. When deposed Dr. Rawlings admitted
that the medical literature does identify a
hyperflexion injury of the cervical spine.
Dr. Rawlings conceded that the hallmark
features of hyperflexion injuries includebilateral or unilateral locked facets. He
further conceded that plaintiff's injury did
not involve bilateral or unilateral locked
facets.
37. Due to the absence of these
features, Dr. Rawlings defined plaintiff's
injury as a flexion-compression injury. Dr.
Rawlings nevertheless opined that eighty
percent of all compression-flexion injuries
involve hyperflexion. However, Dr. Rawlings
was unable to identify any published medical
literature that supports this claim.
38. Dr. Rawlings never examined
plaintiff and reviewed only a selected
portion of his medical records. Although Dr.
Rawlings offered opinions based on efforts to
compare plaintiff's accident to the accidents
experienced by patients in his practice, he
did not have adequate data to make such a
comparison. To the extent that this
represented a medical technique, if at all,
it incorporated an unacceptably high
potential for error.
39. Dr. Rawlings also opined based on
plaintiff's radiology films that plaintiff's
head rotated ten to twenty degrees beyond his
normal anatomical range. However, he
conceded that he has never published his
claimed ability to draw such conclusions from
radiology films. Nor could he cite any
published authority supporting the conclusion
that such an estimate can be accurately
derived from medical records or radiology
films. Dr. Rawlings further testified that a
body of scientific literature may exist that
addresses head rotation with respect to neck
injury, but conceded that he had made no
effort to research this literature.
40. Dr. Rawlings made no attempt to
validate his hypothesis that plaintiff's head
rotated ten to twenty degrees beyond his
normal anatomical range. He could not point
to any tests, measurements or literature
supporting his opinion on this point.
41. Dr. Rawlings was unable to offer
any medically reliable opinion on the extent
to which plaintiff's head may have been
rotated forward at impact. He conceded that
unless the amount of force is known, it is
impossible to distinguish one degree and
forty-five degrees of flexion based on
radiology films. Dr. Rawlings conceded thathe did not know the amount of force involved
in this 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 forward
beyond the normal anatomical range of motion.
He admitted, however, that there are no
objective criteria that can be used to
confirm this hypothesis. Nor could he point
to any medical literature indicating that it
is possible to state whether a particular
patient would be paralyzed based on a given
set of variables.
43. Dr. Rawlings opined that plaintiff
experienced an anterior teardrop fracture of
C5 and that this feature was indicative of a
hyperflexion mechanism. This opinion was
generally inconsistent with the testimony of
the treating neurosurgeon who used the
anterior face of C5 as a site to attach a
metal plate to fuse plaintiff's vertebra and
was in a superior position to judge its
condition. Dr. Rawlings' claim that C5 was
the only possible source of the bone fragment
at issue is contrary to the report of the
attending radiologist. In any event, the
Arai defendants presented evidence that even
if a teardrop fracture occurred, fractures of
this type are not specific to hyperflexion
injury mechanisms.
44. Dr. Rawlings' opinion that
plaintiff's injury was caused by hyperflexion
is speculative and based on inadequate data.
45. Dr. Rawlings' opinion that
plaintiff's injury was caused by hyperflexion
is not reliable. Dr. Rawlings' opinion was
not based on sound scientific or medical
methods. He has not performed independent
research or testing on cervical injury
mechanisms or on hyperflexion. He has never
subjected his related hypotheses to
peer-review by publication. Moreover, the
hypotheses underlying Dr. Rawlings' opinion
are not generally accepted. Finally, to the
extent that his methods represent atechnique, it is clear that his potential for
error is inappropriately high.
Dr. William Hutton
46. Dr. William Hutton was proffered as
an expert in the field of biomechanics. He
is not a medical doctor.
47. Dr. Hutton opined, among other
things, that at some point after the
initiation of the fracture of plaintiff's
neck, his head and neck moved forward beyond
the normal range of motion. He further
opined that this hyperflexion caused the bone
fragments to be retropulsed further into the
spinal canal.
48. Dr. Hutton conceded, however, 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 cite no 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 supported
the conclusion that plaintiff would not have
been paralyzed but for 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. Dr. Hutton has
not researched or tested the hypotheses that
he relies on in support of his opinion. He
has not subjected these hypotheses to
peer-review by publication. Nor has he
demonstrated that these hypotheses aregenerally accepted in the field. To the
extent that his methods represent a
technique, it is clear that they incorporate
an unacceptably high rate of error.
Based upon these findings of fact, the trial court
excluded the testimony of all of Howerton's causation experts,
ruling in relevant part that:
1. North Carolina has adopted Daubert
v. Merrell Dow Pharmaceuticals, Inc., 509
U.S. 579, 113 S. Ct. 2786, 125 L. Ed. 2d 469
(1993). See State v. Goode, 341 N.C. 513,
527, 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).
4. The Court, in its discretion, has
concluded that Professor Hurt's opinion that
a full-face helmet design would have
prevented plaintiff's injury is unreliable
and inadmissible.
5. The Court, in its discretion, has
concluded that Mr. Hooper is not qualified tooffer the opinion that a full-face helmet
would have prevented plaintiff's injury. The
Court further concludes that his opinion on
this issue is based on inadequate data and is
otherwise unreliable and inadmissible.
6. The Court, in its discretion, has
concluded that Dr. Rawlings' opinion that
plaintiff's injuries were caused by
hyperflexion is unreliable and inadmissible.
7. The Court, in its discretion, has
concluded that Dr. Hutton's opinion that
plaintiff's injuries were caused by
hyperflexion is unreliable and inadmissible.
8. After reviewing all of the relevant
materials submitted by the parties, and based
on the preceding findings of fact and
conclusions of law, the Court, in its
discretion, concludes that the above-cited
opinions of Professor Hurt, Mr. Hooper, Dr.
Rawlings and Dr. Hutton, should be excluded
from the trial of this matter.
With the testimony of each of his causation experts
excluded on the basis of the federal standard set forth in
Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579, 125
L. Ed. 2d 469 (1993), Howerton was without any admissible
evidence to establish a prima facie case that his injuries were
caused by Arai's allegedly defective helmet. Thus, the trial
court granted summary judgment in favor of Arai:
1. In its Order on Arai Defendants'
Motion to Exclude the Testimony of
Plaintiff's Experts, this Court, in its
discretion, found that the opinion testimony
of Dr. Charles Rawlings, Dr. William Hutton,
Professor Hugh Hurt, and Mr. Randolph Hooper,
offered on the issue of causation, is
unreliable under the standards set out in
Daubert v. Merrell Dow Pharmaceuticals, Inc.,
509 U.S. 579, 113 S. Ct. 2786, 125 L. Ed. 2d
469 (1993), and/or State v. Pennington, 327
N.C. 89, 393 S.E.2d 847 (1990). As a result,
this Court found that the opinion testimony
of the above witnesses is inadmissible. In
the absence of reliable expert opinion
testimony on the issue of causation, the
Court finds that plaintiff has failed to
offer evidence sufficient to raise a materialissue of disputed fact as to the element of
causation. On that basis, the Arai
defendants are entitled to judgment as a
matter of law on all claims, and accordingly
their motion for summary judgment is hereby
GRANTED.
Additionally, the trial court granted Arai's motion for
summary judgment with respect to Howerton's claim of unfair and
deceptive trade practices and granted Arai's motion for summary
judgment with respect to Howerton's claim that Arai failed to
adopt a safer, feasible design alternative as required under
N.C.G.S. § 99B-6, which sets forth statutory guidelines for
products liability claims based on inadequate design or
formulation.
On 5 March 2002, Howerton gave Notice of Appeal to the
North Carolina Court of Appeals, arguing, among other things,
that: (1) the trial court erred in its reliance upon and
application of Daubert to exclude the expert testimony advanced
by Howerton; (2) the trial court erred by concluding that
Howerton's unfair and deceptive trade practices claim failed as a
matter of law; and (3) the trial court erred by concluding that
Howerton presented insufficient evidence to establish a prima
facie claim that Arai unreasonably failed to adopt a safer,
feasible design alternative.
The North Carolina Court of Appeals rejected all of
Howerton's assignments of error and affirmed the order of the
trial court in its entirety. Howerton v. Arai Helmet, Ltd., 158
N.C. App. 316, 581 S.E.2d 816 (2003). As to Howerton's expert
witnesses, the Court of Appeals ruled that North Carolina has
adopted Daubert as the proper test for judging the admissibilityof scientific expert testimony. Id. at 332, 581 S.E.2d at 826.
Notably, the Court of Appeals held that:
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.
Id. Applying an abuse of discretion standard of review, the
Court of Appeals evaluated the causation testimony of each of
Howerton's four experts under the basic Daubert criteria and held
that the trial court's decision to exclude all such testimony was
neither arbitrary nor an abuse of discretion. Id. at 332-37, 581
S.E.2d at 827-30.
As to Howerton's claim of unfair and deceptive trade
practices, the Court of Appeals held that the trial court
properly granted summary judgment in favor of Arai. Id. at 340,
581 S.E.2d at 831. The court found that, even if Arai had
engaged in the allegedly unfair and deceptive advertising,
Howerton failed to establish that he had relied on such
advertising to his detriment or that such advertising was the
proximate cause of his injuries. Id. at 338-40, 581 S.E.2d at
830-31.
Finally, with respect to Howerton's claim that Arai
failed to adopt a safer, feasible design alternative, the Court
of Appeals likewise affirmed the order of the trial court
granting summary judgment in favor of Arai, concluding in a
footnote to its opinion that the evidence forecasted by Howerton
was insufficient to support a prima facie cause of action under
N.C.G.S. § 99B-6. Id. at 337-38 n.13, 581 S.E.2d at 830 n.13. On 21 August 2003, this Court allowed Howerton's
petition for discretionary review. Among the issues raised by
Howerton and which we now address are: (1) whether this Court
has adopted the Daubert standard for determining the
admissibility of expert testimony; (2) whether Howerton presented
sufficient evidence to withstand summary judgment on his claim of
unfair and deceptive practices; and (3) whether Howerton
presented sufficient evidence to withstand summary judgment on
his claim that Arai unreasonably failed to adopt a safer,
feasible design alternative.
[1] This case initially presents us with the question
of whether North Carolina has adopted the federal standard under
Daubert v. Merrell Dow Pharmaceuticals for ruling on the
admissibility of expert testimony under North Carolina Rule of
Evidence 702. The Court of Appeals held that we have impliedly
done so and Arai argues that we should now expressly do so. For
the reasons stated below, we reject both of these contentions.
Our consideration of this issue begins with an overview
of the cases that have come to define the federal approach to the
admissibility of expert testimony under Federal Rule of Evidence
702. In Daubert v. Merrell Dow Pharmaceuticals, the United
States Supreme Court delineated the modern standard for admitting
expert scientific testimony in federal trials. 509 U.S. 579, 125
L. Ed. 2d 469. For more than half a century prior to Daubert,
however, federal courts relied upon the general acceptance test
of Frye v. United States, 293 F. 1013 (D.C. Cir. 1923), as the
exclusive standard for the admission of expert testimony in
federal courts. Under Frye, scientific expert testimony was
admissible only when based upon sufficiently establishedprinciples which had gained general acceptance in the particular
field in which it belongs. Id. at 1014.
In Daubert the Supreme Court held that Frye had been
superseded by Congressional enactment of the Federal Rules of
Evidence. 509 U.S. at 587-89, 125 L. Ed. 2d at 479-80.
Characterizing the general acceptance standard as both rigid
and austere, the Court held that Frye was at odds with the
'liberal thrust' of the Federal Rules and their 'general approach
of relaxing the traditional barriers to opinion testimony.'
Id. at 588-89, 125 L. Ed. 2d at 480. Thus, the Court held that
the Frye standard was no longer applicable in federal trials.
Id. at 589, 125 L. Ed. 2d at 480.
While rejecting the general acceptance requirement of
Frye, the Supreme Court nevertheless recognized inherent limits
on the admissibility of purportedly scientific evidence and
imposed upon trial courts an obligation to ensure that any and
all scientific testimony or evidence admitted is not only
relevant, but reliable. Id. This directive is what is commonly
referred to as the trial court's gatekeeping function. Id. at
597, 125 L. Ed. 2d at 485.
Under Daubert, then, the trial court is instructed to
preliminarily determine whether the reasoning or methodology
underlying the [expert] testimony is scientifically valid and . .
. whether that reasoning or methodology properly can be applied
to the facts in issue. Id. at 592-93, 125 L. Ed. 2d at 482.
The focus of the trial court's inquiry in this regard must be
solely on principles and methodology, not on the conclusions that
they generate. Id. at 595, 125 L. Ed. 2d at 484. In
particular, the Supreme Court articulated five factors itconsidered important measures of scientific reliability: (1)
Whether the scientific theory or technique upon which the
expert's opinion is based can be (and has been) tested. Id. at
593, 125 L. Ed. 2d at 483. (2) Whether the theory or technique
employed by the expert has been subjected to peer review and
publication. Id. (3) The known or potential rate of error of
the scientific technique. Id. at 594, 125 L. Ed. 2d at 483. (4)
The existence and maintenance of standards controlling the
technique's operation. Id. (5) Whether the theory or technique
is generally accepted within its relevant scientific community.
Id. The Court noted that use of these factors was to be
flexible. Id. at 594, 125 L. Ed. 2d at 483-84.
In the years since Daubert, the United States Supreme
Court has continued to refine the gatekeeping role of federal
trial courts when ruling on the admissibility of expert testimony
under Federal Rule of Evidence 702. In General Electric Co. v.
Joiner, 522 U.S. 136, 139 L. Ed. 2d 508 (1997), the Court
identified abuse of discretion as the proper appellate standard
by which to review a federal trial court's decision to admit or
exclude scientific expert testimony. Id. at 146, 139 L. Ed. 2d
at 519. The Court additionally suggested that under the Daubert
analysis it is permissible for a federal trial court to exclude
expert testimony that, even though methodologically sound,
nonetheless reaches questionable conclusions:
[C]onclusions 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 that is
connected to existing data only by the ipse
dixit of the expert. A court may conclude
that there is simply too great an analyticalgap between the data and the opinion
proffered.
Id.
In Kumho Tire Co. v. Carmichael, 526 U.S. 137, 143 L.
Ed. 2d 238 (1999), the Court extended the effect of Daubert to
any type of specialized expert testimony proffered under Federal
Rule of Evidence 702, not just expert testimony that is
scientific in nature. Id. at 147-49, 143 L. Ed. 2d at 249-51.
In a concurring opinion, it was additionally forecasted that
failure to apply one or another of [the Daubert factors] may be
unreasonable, and hence an abuse of discretion. Id. at 159, 143
L. Ed. 2d at 256-57 (Scalia, O'Connor, & Thomas, JJ.,
concurring). And more recently, in Weisgram v. Marley Co., 528
U.S. 440, 145 L. Ed. 2d 958 (2000), the Court held that an
appellate court may not only reverse a trial court's decision to
admit expert testimony under Daubert, but that it may, instead of
remand, direct the entry of judgment as a matter of law when it
determines that expert testimony was erroneously admitted at
trial and that the remaining evidence is insufficient to support
a prima facie case. Id. at 457, 145 L. Ed. 2d at 973.
In light of this background on the admissibility of
expert testimony under the federal rules, we now turn to North
Carolina's established standard for admitting expert testimony
and the specific issue of whether North Carolina has implicitly
adopted the federal Daubert standard.
North Carolina Rule of Evidence 702 reads, in pertinent
part:
(a) 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 witnessqualified as an expert by knowledge, skill,
experience, training, or education, may
testify thereto in the form of an opinion.
N.C.G.S. § 8C-1, Rule 702(a) (2003).
It is well-established that trial courts must decide
preliminary questions concerning the qualifications of experts to
testify or the admissibility of expert testimony. N.C.G.S. § 8C-
1, Rule 104(a) (2003). When making such determinations, trial
courts are not bound by the rules of evidence. Id. In this
capacity, trial courts are afforded wide latitude of discretion
when making a determination about the admissibility of expert
testimony. State v. Bullard, 312 N.C. 129, 140, 322 S.E.2d 370,
376 (1984). Given such latitude, it follows that a trial court's
ruling on the qualifications of an expert or the admissibility of
an expert's opinion will not be reversed on appeal absent a
showing of abuse of discretion. State v. Anderson, 322 N.C. 22,
28, 366 S.E.2d 459, 463, cert. denied, 488 U.S. 975, 102 L. Ed.
2d 548 (1988); Bullard, 312 N.C. at 144, 322 S.E.2d at 378; State
v. Moore, 245 N.C. 158, 164, 95 S.E.2d 548, 552 (1956) ([T]his
Court has uniformly held that the competency of a witness to
testify as an expert is a question primarily addressed to the
court, and his discretion is ordinarily conclusive, that is,
unless there be no evidence to support the finding, or unless the
judge abuse[s] his discretion.).
The most recent North Carolina case from this Court to
comprehensively address the admissibility of expert testimony
under Rule 702 is State v. Goode, 341 N.C. 513, 461 S.E.2d 631
(1995), which set forth a three-step inquiry for evaluating the
admissibility of expert testimony: (1) Is the expert's
proffered method of proof sufficiently reliable as an area forexpert testimony? Id. at 527-29, 461 S.E.2d at 639-40. (2) Is
the witness testifying at trial qualified as an expert in that
area of testimony? Id. at 529, 461 S.E.2d at 640. (3) Is the
expert's testimony relevant? Id. at 529, 461 S.E.2d at 641.
In the first step of the Goode analysis, the trial
court must determine whether the expert's method of proof is
sufficiently reliable as an area for expert testimony. Id. at
527-29, 461 S.E.2d at 639-40. As discussed in Goode, the
requirement of reliability is nothing new to the law of
scientific and technical evidence in North Carolina and, indeed,
pre-dates the federal court's adoption of the Daubert standard.
See id.; see also State v. Pennington, 327 N.C. 89, 98, 393
S.E.2d 847, 852 (1990) (A new scientific method of proof is
admissible at trial if the method is sufficiently reliable.);
Bullard, 312 N.C. at 149-53, 322 S.E.2d at 381-84, (discussing
factors relevant in determining whether scientific methods in
their infancy are reliable); State v. Crowder, 285 N.C. 42, 53,
203 S.E.2d 38, 46 (1974) (expert testimony based on scientific
tests competent only when shown to be reliable), vacated in
part on other grounds, 428 U.S. 903, 49 L. Ed. 2d 1207 (1976).
Under Goode, to determine whether an expert's area of
testimony is considered sufficiently reliable, a court may look
to testimony by an expert specifically relating to the
reliability, may take judicial notice, or may use a combination
of the two. 341 N.C. at 530, 461 S.E.2d at 641. Initially, the
trial court should look to precedent for guidance in determining
whether the theoretical or technical methodology underlying an
expert's opinion is reliable. Although North Carolina does not
exclusively adhere to the Frye general acceptance test,Pennington, 327 N.C. at 98, 393 S.E.2d at 852, when specific
precedent justifies recognition of an established scientific
theory or technique advanced by an expert, the trial court should
favor its admissibility, provided the other requirements of
admissibility are likewise satisfied. See, e.g., State v.
Williams, 355 N.C. 501, 553-54, 565 S.E.2d 609, 640 (2002)
(recognizing the admissibility of DNA evidence and upholding its
use as the basis of an opinion by a properly qualified expert in
forensic DNA analysis), cert. denied, 537 U.S. 1125, 154 L. Ed.
2d 808 (2003); Goode, 341 N.C. at 530-31, 461 S.E.2d at 641-42
(reliability of bloodstain pattern interpretation supported in
part by prior appellate acceptance of such technique in North
Carolina and other jurisdictions); State v. Barnes, 333 N.C. 666,
680, 430 S.E.2d 223, 231 (1993) (recognizing the long-established
admissibility of the results of blood group testing for
identification purposes), cert. denied, 510 U.S. 946, 126 L. Ed.
2d 336 (1993); Pennington, 327 N.C. at 100, 393 S.E.2d at 854
(finding persuasive authority in other jurisdictions' acceptance
of DNA profiling); State v. Rogers, 233 N.C. 390, 397-98, 64
S.E.2d 572, 578 (1951) (recognizing that fingerprint evidence is
an established and reliable method of identification), overruled
on other grounds by State v. Silver, 286 N.C. 709, 213 S.E.2d 247
(1975).
Conversely, there are those scientific theories and
techniques that have been recognized by this Court as inherently
unreliable and thus generally inadmissible as evidence. See,
e.g., State v. Hall, 330 N.C. 808, 820-21, 412 S.E.2d 883, 890
(1992) (concluding that evidence that a prosecuting witness is
suffering from post-traumatic stress syndrome should not beadmitted for the substantive purpose of proving that a rape has
in fact occurred because of the unreliability of underlying
psychiatric procedures used to diagnosis the condition); State v.
Peoples, 311 N.C. 515, 533, 319 S.E.2d 177, 188 (1984) (holding
that hypnosis has not reached a level of scientific acceptance
which justifies its use for courtroom purposes); State v. Grier,
307 N.C. 628, 645, 300 S.E.2d 351, 361 (1983) (holding that
polygraphs are inadmissible in any trial, even if otherwise
stipulated to by the parties).
Where, however, the trial court is without precedential
guidance or faced with novel scientific theories, unestablished
techniques, or compelling new perspectives on otherwise settled
theories or techniques, a different approach is required. Here,
the trial court should generally focus on the following
nonexclusive indices of reliability to determine whether the
expert's proffered scientific or technical method of proof is
sufficiently reliable: the expert's use of established
techniques, the expert's professional background in the field,
the use of visual aids before the jury so that the jury is not
asked 'to sacrifice its independence by accepting [the]
scientific hypotheses on faith,' and independent research
conducted by the expert. Pennington, 327 N.C. at 98, 393 S.E.2d
at 852-53 (quoting Bullard, 312 N.C. at 150-51, 322 S.E.2d at
382), quoted in Goode, 341 N.C. at 528, 461 S.E.2d at 640.
Within this general framework, reliability is thus a
preliminary, foundational inquiry into the basic methodological
adequacy of an area of expert testimony. This assessment does
not, however, go so far as to require the expert's testimony to
be proven conclusively reliable or indisputably valid before itcan be admitted into evidence. In this regard, we emphasize the
fundamental distinction between the admissibility of evidence and
its weight, the latter of which is a matter traditionally
reserved for the jury. Queen City Coach Co. v. Lee, 218 N.C.
320, 323, 11 S.E.2d 341, 343 (1940) (The competency,
admissibility, and sufficiency of the evidence is a matter for
the court to determine. The credibility, probative force, and
weight is a matter for the jury. This principle is so well
settled we do not think it necessary to cite authorities.).
Therefore, once the trial court makes a preliminary
determination that the scientific or technical area underlying a
qualified expert's opinion is sufficiently reliable (and, of
course, relevant), any lingering questions or controversy
concerning the quality of the expert's conclusions go to the
weight of the testimony rather than its admissibility. See,
e.g., Barnes, 333 N.C. at 680, 430 S.E.2d at 231 (holding that a
forensic serologist's failure to conduct or provide for
additional, independent testing of blood samples went to the
weight of the evidence, not its admissibility); McLean v. McLean,
323 N.C. 543, 556, 374 S.E.2d 376, 384 (1988) (concluding that
deficiencies in the expert's methodology were relevant in
considering the expert's credibility and the weight to be given
his testimony, but that they did not render his opinion
inadmissible). Here, we agree with the United States Supreme
Court that [v]igorous cross-examination, presentation of
contrary evidence, and careful instruction on the burden of proof
are the traditional and appropriate means of attacking shaky but
admissible evidence. Daubert, 509 U.S. at 596, 125 L. Ed. 2d at
484; accord Hairston v. Alexander Tank & Equip. Co., 310 N.C.227, 244, 311 S.E.2d 559, 571 (1984) (It is the function of
cross-examination to expose any weaknesses in [expert] testimony
. . . .).
In the second step of analysis under Goode, the trial
court must determine whether the witness is qualified as an
expert in the subject area about which that individual intends to
testify. 341 N.C. at 529, 461 S.E.2d at 640. Under the North
Carolina Rules of Evidence, a witness may qualify as an expert by
reason of knowledge, skill, experience, training, or education,
where such qualification serves as the basis for the expert's
proffered opinion. N.C.G.S. § 8C-1, Rule 702(a). As summarized
in Goode,
It is not necessary that an expert be
experienced with the identical subject matter
at issue or be a specialist, licensed, or
even engaged in a specific profession. It
is enough that the expert witness 'because of
his expertise is in a better position to have
an opinion on the subject than is the trier
of fact.'
341 N.C. at 529, 461 S.E.2d at 640 (citations omitted). Whether
a witness has the requisite skill to qualify as an expert in a
given area is chiefly a question of fact, the determination of
which is ordinarily within the exclusive province of the trial
court. State v. Goodwin, 320 N.C. 147, 150, 357 S.E.2d 639, 641
(1987).
As pertains to the sufficiency of an expert's
qualifications, we discern no qualitative difference between
credentials based on formal, academic training and those acquired
through practical experience. In either instance, the trial
court must be satisfied that the expert possesses scientific,
technical or other specialized knowledge [that] will assist thetrier of fact to understand the evidence or to determine a fact
in issue. N.C.G.S. § 8C-1, Rule 702(a); see 2 Kenneth S. Broun,
Brandis & Broun on North Carolina Evidence § 184, at 44-45 (6th
ed. 2004) ([A] jury may be enlightened by the opinion of an
experienced cellar-digger, or factory worker, or shoe merchant,
or a person experienced in any other line of human activity.
Such a person, when performing such a function, is as truly an
'expert' as is a learned specialist . . . . (footnotes
omitted)).
The third and final step under Goode concerns the
relevancy of the expert's testimony. The trial court must always
be satisfied that the expert's testimony is relevant. Goode, 341
N.C. at 529, 461 S.E.2d at 641. To this end, we defer to the
traditional definition of relevancy set forth in the North
Carolina Rules of Evidence: 'Relevant evidence' means evidence
having any tendency to make the existence of any fact that is of
consequence to the determination of the action more probable or
less probable than it would be without the evidence. N.C.G.S. §
8C-1, Rule 401 (2003). As stated in Goode, in judging
relevancy, it should be noted that expert testimony is properly
admissible when such testimony can assist the jury to draw
certain inferences from facts because the expert is better
qualified than the jury to draw such inferences. 341 N.C. at
529, 461 S.E.2d at 641.
We further note that, in addition to the foregoing
principles of reliability under Rule 702, a trial court has
inherent authority to limit the admissibility of all evidence,
including expert testimony, under North Carolina Rule of Evidence
403, which provides that relevant evidence may nonetheless beexcluded if its probative value is substantially outweighed by
the danger of unfair prejudice, confusion of the issues, or
misleading the jury, or by considerations of undue delay, waste
of time, or needless presentation of cumulative evidence.
N.C.G.S. § 8C-1, Rule 403 (2003); see State v. Mackey, 352 N.C.
650, 657, 535 S.E.2d 555, 559 (2000) ([U]nder Rule 403 even
relevant [expert] evidence may properly be excluded by the trial
court if its probative value is outweighed by the danger that it
would confuse the issues before the court or mislead the jury.
(citations omitted)); Newton v. New Hanover County Bd. of Educ.,
342 N.C. 554, 565, 467 S.E.2d 58, 66 (1996) (The expert's
testimony, even if relevant, must also have probative value that
is not substantially outweighed by the danger of unfair
prejudice, confusion, or undue delay.). Whether to exclude
expert testimony under Rule 403 is within the sound discretion of
the trial court and will only be reversed on appeal for abuse of
discretion. Anderson, 322 N.C. at 28, 366 S.E.2d at 463.
Based on our review of these well-settled principles of
North Carolina law governing the admissibility of expert
testimony under North Carolina Rule of Evidence 702, we are
satisfied that our own approach is distinct from that adopted by
the federal courts. Contrary to the conclusion of the Court of
Appeals, it is not eminently clear that North Carolina adopted
the Daubert standard. Such a bold proposition is neither
confirmed by the case law of this Court nor buttressed by the
express holding of the lower court in State v. Bates, 140 N.C.
App. 743, 748, 538 S.E.2d 597, 600 (2000), disc. rev. denied, 353
N.C. 383, 547 S.E.2d 19 (2001), which was nothing more than a
passing citation parenthetical suggesting without analysis ordiscussion that this Court had adopted Daubert in the Goode
opinion.
In Goode, this Court made but one reference to Daubert:
As recognized by the United States Supreme
Court in its most recent opinion addressing
the admissibility of expert scientific
testimony, this requires a preliminary
assessment of whether the reasoning or
methodology underlying the testimony is
sufficiently valid and whether that reasoning
or methodology can be properly applied to the
facts in issue. See Daubert v. Merrell Dow
Pharmaceuticals, Inc., ___ U.S. ___, 125 L.
Ed. 2d 469 (1993).
341 N.C. at 527, 461 S.E.2d at 639. This was the first and the
only time that this Court has ever referenced Daubert prior to
our present analysis. We did so to underscore the generally
acknowledged importance of preliminarily assessing the
reliability of the reasoning or methodology underlying expert
testimony.
As described above, however, our focus on reliability
in this context had been developing under North Carolina case law
for many years prior to Daubert. See, e.g., Bullard, 312 N.C. at
150-54, 322 S.E.2d at 382-85 (ruling that expert testimony
concerning footprint identification was reliable because of the
expert's explanatory testimony, professional achievements,
independent research, and use of scientifically established
techniques); State v. Temple, 302 N.C. 1, 12, 273 S.E.2d 273, 280
(1981) (ruling that expert testimony concerning bite mark
identification was reliable when such testimony was based upon
the application of scientifically established techniques of
dentistry and photography to the solution of a particular novel
problem); Crowder, 285 N.C. at 53-54, 203 S.E.2d at 46 (ruling
that the expert's use of flameless atomic absorptionspectrophotometry to identify gunshot residue on defendant's
hands was a reliable basis for testimony where the expert was
experienced in the field of gunshot residue and had presented
technical papers on the subject, and independent research
verified the reliability of his testing methodology).
While these and other North Carolina cases share
obvious similarities with the principles underlying Daubert,
application of the North Carolina approach is decidedly less
mechanistic and rigorous than the exacting standards of
reliability demanded by the federal approach. See Weisgram, 528
U.S. at 455, 145 L. Ed. 2d at 972. Moreover, had we ever
intended to adopt Daubert and supercede this established body of
North Carolina case law, we would certainly have referenced the
basic Daubert factors that have come to define the federal
standard. But we did not.
We did not do so because we are not satisfied that the
federal approach offers the most workable solution to the
intractable challenge of separating reliable expert opinions from
their unreliable counterparts, of distinguishing science from
pseudoscience, or of discerning where in this twilight zone a
scientific principle or discovery crosses the line between the
experimental and demonstrable stages. Frye, 293 F. at 1014.
Obviously, there are no easy solutions to the inherent
difficulties of determining the legal reliability of scientific
and technical hypotheses. While the law works towards
conclusiveness and finality, science operates on an evolving
continuum of probabilities and likelihoods that, in many
instances, is not consonant with the legal paradigm. In light of
this dilemma, our challenge is to define a standard ofadmissibility that does not create more problems than it solves
and that does not raise more questions than it answers.
One of the most troublesome aspects of the Daubert
gatekeeping approach is that it places trial courts in the
onerous and impractical position of passing judgment on the
substantive merits of the scientific or technical theories
undergirding an expert's opinion. We have great confidence in
the skillfulness of the trial courts of this State. However, we
are unwilling to impose upon them an obligation to expend the
human resources required to delve into complex scientific and
technical issues at the level of understanding necessary to
generate with any meaningfulness the conclusions required under
Daubert. Indeed, this concern was adeptly described by the Ninth
Circuit after Daubert had been remanded and again appealed:
[T]hough we are largely untrained in science
and certainly no match for any of the
witnesses whose testimony we are reviewing,
it is our responsibility to determine whether
those experts' proposed testimony amounts to
scientific knowledge, constitutes good
science, and was derived by the scientific
method.
The task before us is more daunting
still when the dispute concerns matters at
the very cutting edge of scientific research,
where fact meets theory and certainty
dissolves into probability. As the record in
this case illustrates, scientists often have
vigorous and sincere disagreements as to what
research methodology is proper, what should
be accepted as sufficient proof for the
existence of a fact, and whether
information derived by a particular method
can tell us anything useful about the subject
under study.
Our responsibility, then, unless we
badly misread the Supreme Court's opinion, is
to resolve disputes among respected,
well-credentialed scientists about matters
squarely within their expertise, in areas
where there is no scientific consensus as to
what is and what is not good science, and
occasionally to reject such expert testimonybecause it was not derived by the scientific
method.
Daubert v. Merrell Dow Pharmaceuticals, Inc., 43 F.3d 1311, 1316
(9th Cir. 1995), cert. denied, 516 U.S. 869, 133 L. Ed. 2d 126
(1995). This same sentiment has been echoed in the writings of
countless other courts and commentators. See, e.g., Ruiz-Troche
v. Pepsi Cola of P.R. Bottling Co., 161 F.3d 77, 81 (1st Cir.
1998) (noting that choreographing the Daubert pavane remains an
exceedingly difficult task. Few federal judges are scientists,
and none are trained in even a fraction of the many scientific
fields in which experts may seek to testify.); Zuchowicz v.
United States, 870 F. Supp. 15, 19 (D. Conn. 1994) ([J]udges may
not always have the 'special competence' to resolve complex
issues which stand 'at the frontier of current medical and
epidemiological inquiry.' (citations omitted)); Goeb v.
Tharaldson, 615 N.W.2d 800, 812-13 (Minn. 2000) (observing that
Daubert takes from scientists and confers upon judges uneducated
in science the authority to determine what is scientific. This
approach, which necessitates that trial judges be 'amateur
scientists,' has also been frequently criticized. (citations
omitted)); 29 Charles A. Wright & Victor J. Gold, Federal
Practice and Procedure § 6266, at 271 (1997) (It is unrealistic
to think that courts can resolve disputes concerning the
scientific validity of issues on the frontiers of modern science
where even the experts may disagree. As a result, Daubert has
been harshly criticized for imposing such a burden on the lower
courts. (footnotes omitted)); George D. Marlow, From Black Robes
to White Lab Coats: The Ethical Implications of a Judge's Sua
Sponte, Ex Parte Acquisition of Social and Other ScientificEvidence During the Decision-Making Process, 72 St. John's L.
Rev. 291, 333 (1998) (contending that few judges possess the
academic credentials or the necessary experience and training in
scientific disciplines to separate competently high quality,
intricate scientific research from research that is flawed).
When the United States Supreme Court jettisoned the
rigid 'general acceptance' requirement of Frye, it did so in
order to further the 'liberal thrust' of the Federal Rules and
their 'general approach of relaxing the traditional barriers to
opinion testimony.' Daubert, 509 U.S. at 588, 125 L. Ed. 2d
at 480. We believe that in practice, however, application of the
flexible Daubert standard has been anything but liberal or
relaxed and that trial courts, such as the one in the present
case, have often been reluctant to stray far from the original
Daubert factors in their analysis of the reliability of expert
testimony. As expressed by one critic,
Those who predicted that trial judges
would flex their gatekeeper muscles to
exclude vast quantities of plaintiffs'
proposed expert causation opinion testimony
in products liability cases have turned out
to be right. The post-Daubert era can fairly
be described as the period of strict
scrutiny of science by non-scientifically
trained judges.
Lucinda M. Finley, Guarding the Gate to the Courthouse: How
Trial Judges Are Using Their Evidentiary Screening Role to Remake
Tort Causation Rules, 49 DePaul L. Rev. 335, 341 (1999); see also
Goeb, 615 N.W.2d at 812-14 (rejecting Daubert on grounds that,
among other things, Daubert has not achieved its stated intention
of relaxing the barriers to the admissibility of expert
testimony); 2 Michael H. Graham, Handbook of Federal Evidence §
702.5, at 461-62 (5th ed. 2001) (Daubert is a very incompletecase if not a very bad decision. It did not, in any way,
accomplish what it was meant to, i.e., encourage more liberal
admissibility of expert witness evidence. In fact, Daubert
overall in practice actually created a more stringent test for
expert evidence admissibility especially in civil cases.); David
Crump, The Trouble with Daubert-Kumho: Reconsidering the Supreme
Court's Philosophy of Science, 68 Mo. L. Rev. 1, 40 (2003) ([A]s
often happens, a premature pronouncement that was intended to be
flexible has become an established set of criteria. It was
foolhardy for the Court to ignore what was going to happen, which
was that trial judges would consider the four Daubert factors to
be legal principles established by the Supreme Court. (footnotes
omitted)).
As a consequence of these stringent threshold standards
for admitting expert testimony, we are concerned with the case-
dispositive nature of Daubert proceedings, whereby parties in
civil actions may use pre-trial motions to exclude expert
testimony under Daubert to bootstrap motions for summary judgment
that otherwise would not likely succeed. As expressed in dicta
by one federal trial court,
This court notes that inherently, the
judge's role in a Daubert determination [is]
fraught with conflict. In most cases, if the
court bars the testimony of one party's
expert witness or witnesses, that party is
unable to present an essential element of his
or her claim, or to proffer a defense.
Accordingly, judges are aware that applying
Daubert heavy-handedly has the effect of
lightening one's caseload, as a party
stripped of its expert often must dismiss the
claims or settle the lawsuit.
Brasher v. Sandoz Pharms. Corp., 160 F. Supp. 2d 1291, 1295 n.12
(N.D. Ala. 2001); see also Lloyd Dixon & Brian Gill, RANDInstitute for Civil Justice, Changes in the Standards for
Admitting Expert Evidence in Federal Civil Cases Since the
Daubert Decision 62 (2001) (Challenges to expert evidence
increasingly resulted in summary judgment after Daubert.).
Procedurally, this imbalance may be explained because
trial courts apply different evidentiary standards when ruling on
motions to exclude expert testimony and motions for summary
judgment. In a motion for summary judgment, the evidence
presented to the trial court must be admissible at trial,
N.C.G.S. § 1A-1, Rule 56(e) (2003), and must be viewed in a light
most favorable to the non-moving party. Caldwell v. Deese, 288
N.C. 375, 378, 218 S.E.2d 379, 381 (1975). Where there are
genuine, conflicting issues of material fact, the motion for
summary judgment must be denied so that such disputes may be
properly resolved by the jury as the trier of fact. Kessing v.
Nat'l Mortgage Corp., 278 N.C. 523, 534, 180 S.E.2d 823, 830
(1971) (Since this rule provides a somewhat drastic remedy, it
must be used with due regard to its purposes and a cautious
observance of its requirements in order that no person shall be
deprived of a trial on a genuine disputed factual issue.).
Not so in the case of preliminary motions to exclude
expert testimony under Daubert, which are resolved under Rule of
Evidence 104(a). Here, trial courts are not bound by the rules
of evidence, are not required to view the evidence in a light
favorable to the non-movant, and may preliminarily resolve
conflicting issues of fact relevant to the Daubert admissibility
ruling. N.C.G.S. § 8C-1, Rule 104(a). Taking advantage of these
procedural differences, a party may use a Daubert hearing to
exclude an opponent's expert testimony on an essential element ofthe cause of action. With no other means of proving that element
of the claim, the non-moving party would inevitably perish in the
ensuing motion for summary judgment. By contrast, a party who
directly moves for summary judgment without a preliminary Daubert
determination will not likely fare as well because of the
inherent procedural safeguards favoring the non-moving party in
motions for summary judgment.
In such instances, we are concerned that trial courts
asserting sweeping pre-trial gatekeeping authority under
Daubert may unnecessarily encroach upon the constitutionally-
mandated function of the jury to decide issues of fact and to
assess the weight of the evidence. See N.C. Const. art I, § 25.
See also Brasher, 160 F. Supp. 2d at 1295 (applying Daubert, but
acknowledging that [f]or the trial court to overreach in the
gatekeeping function and determine whether the opinion evidence
is correct or worthy of credence is to usurp the jury's right to
decide the facts of the case); Logerquist v. McVey, 196 Ariz.
470, 488, 1 P.3d 113, 131 (2000) (The Daubert/Joiner/Kumho
trilogy of cases . . . puts the judge in the position of passing
on the weight or credibility of the expert's testimony, something
we believe crosses the line between the legal task of ruling on
the foundation and relevance of evidence and the jury's function
of whom to believe and why, whose testimony to accept, and on
what basis.); Bunting v. Jamieson, 984 P.2d 467, 472 (Wyo. 1999)
(adopting Daubert, but nonetheless expressing concern that
application of the Daubert approach to exclude evidence has been
criticized as a misappropriation of the jury's responsibilities.
. . . '[I]t is imperative that the jury retain its fact-finding
function.' (citations omitted)). Although our criticism of Daubert is largely anecdotal
and by no means exhaustive, given the serious implications of
these concerns, we believe that on balance the North Carolina law
which has coalesced in Goode establishes a more workable
framework for ruling on the admissibility of expert testimony
under North Carolina Rule of Evidence 702. Long before Daubert
was decided, North Carolina had in place a flexible system of
assessing the foundational reliability of expert testimony, the
practicability of which is evidenced by the case law. Within
this system, our trial courts are already vested with broad
discretion to limit the admissibility of expert testimony as
necessitated by the demands of each case. Requiring a more
complicated and demanding rule of law is unnecessary to assist
North Carolina trial courts in a procedure which we do not
perceive as in need of repair. We therefore expressly reject the
federal Daubert standard upon which both the trial court and the
Court of Appeals erroneously based their respective rulings.
North Carolina is not, nor has it ever been, a Daubert
jurisdiction.
When the order or judgment appealed from was entered
under a misapprehension of the applicable law, the judgment,
including the findings of fact and conclusions of law on which
the judgment was based, will be vacated and the case remanded for
further proceedings. Concerned Citizens of Brunswick County
Taxpayers Ass'n v. Holden Beach Enters., 329 N.C. 37, 54-55, 404
S.E.2d 677, 688 (1991). Accordingly, we hereby vacate the
judgment of the trial court on this issue and reverse the opinion
of the Court of Appeals affirming that judgment. The matter isremanded to the trial court for further proceedings not
inconsistent with this opinion.
[2] The next major issue for our review is whether the
Court of Appeals properly affirmed summary judgment in favor of
Arai with respect to Howerton's claim of unfair and deceptive
trade practices under N.C.G.S. § 75-1.1. Howerton alleged in his
amended complaint that Arai intentionally disseminated false and
misleading information concerning the safety of his helmet, which
led him to believe that the helmet provided superior protection
from injury and was the best in the market. In particular,
Howerton alleges that Arai placed a Snell sticker on the
helmet, indicating its safety certification by the Snell Memorial
Foundation, which conducts independent testing of various types
of helmets. Howerton claims that the sticker gave him a false
impression of superior protection as to the helmet's overall
safety when, in fact, the Snell certification did not apply to
the chin guard in dispute.
Without elaboration, the trial court granted summary
judgment in favor of Arai on this claim. The Court of Appeals
affirmed, concluding that 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. Howerton, 158 N.C. App. at 339, 581 S.E.2d
at 830.
In order to establish a prima facie claim for unfair
trade practices, a plaintiff must show: (1) defendant committed
an unfair or deceptive act or practice, (2) the action in
question was in or affecting commerce, and (3) the actproximately caused injury to the plaintiff. Dalton v. Camp, 353
N.C. 647, 656, 548 S.E.2d 704, 711 (2001); see also N.C.G.S. §
75-1.1 (2003). Summary judgment is appropriate where there is
no genuine issue as to any material fact and any party is
entitled to a judgment as a matter of law. N.C.G.S. § 1A-1,
Rule 56(c) (2003). In ruling on a motion for summary judgment,
the court may consider the pleadings, depositions, admissions,
affidavits, answers to interrogatories, oral testimony and
documentary materials. Dendy v. Watkins, 288 N.C. 447, 452, 219
S.E.2d 214, 217 (1975). All such evidence must be considered in
a light most favorable to the non-moving party. Summey v.
Barker, 357 N.C. 492, 496, 586 S.E.2d 247, 249 (2003). On
appeal, an order allowing summary judgment is reviewed de novo.
Id.
In the present case, the record reveals a genuine issue
of material fact as to Howerton's reliance on Arai's alleged
misrepresentations. By Howerton's own testimony, he conducted
considerable research before purchasing his motorcycle helmet.
Howerton subscribed to two off-road motorcycle magazines from
which he gleaned significant information and impressions
concerning Arai helmets. He stated that he would have read
closely all of Arai's advertisements, including the Important
Note and Snell certified representations contained therein,
because it was his practice to read all of his off-road magazines
to stay abreast of product information. Perhaps most
importantly, Howerton testified that I would not have purchased
the [Arai] MX/a helmet had I known the true facts because I would
not have been convinced that the Arai MX/a offered the same
overall level of protection as a full face helmet with anintegral chin guard. Although Arai presented some evidence
calling into question Howerton's reliance on the advertisements
at issue, it is not the function of this Court, or the trial
court for that matter, to weigh conflicting evidence of record.
Rather, in cases such as this, when there are genuine issues of
material fact that are legitimately called into question, summary
judgment should be denied and the issue preserved for the jury.
Accordingly, as to Howerton's claim of unfair and
deceptive trade practices and whether Howerton relied on the
alleged misrepresentations by Arai, we conclude that the Court of
Appeals erred in affirming summary judgment in favor of Arai.
[3] The final issue for our review is whether Howerton
forecasted sufficient evidence to establish a prima facie claim
that Arai unreasonably failed to adopt a safer, feasible design
alternative, as required under N.C.G.S. § 99B-6. See N.C.G.S. §
99B-6 (2003). In a footnote to its opinion, the Court of Appeals
concluded that Howerton failed to adduce such evidence and
affirmed the trial court's granting of summary judgment in favor
of Arai on this issue. Howerton, 158 N.C. App. at 337-38 n.13,
581 S.E.2d at 830 n.13. The Court of Appeals based its
conclusion on a 1981 motorcycle helmet safety report authored by
Professor Hugh H. Hurt, Jr., one of Howerton's experts, which
concluded in part that full-face helmet designs were actually
associated with more neck injuries than open-face helmet designs.
Id. According to the Court of Appeals, Professor Hurt's 1981
report completely undermined all evidentiary basis for Howerton's
claim that Arai failed to adopt a safer, feasible design
alternative. Id. We fail to see how the Court of Appeals could first
exclude Professor Hurt's expert testimony as unreliable and then
subsequently embrace the merits of the very same evidence in
support of alternative grounds for summary judgment favoring
Arai. Moreover, a review of the record reveals deposition
testimony by Professor Hurt that clearly supports Howerton's
claim that Arai's flexible chin bar was inadequately designed
within the meaning of N.C.G.S. § 99B-6. Thus, even if the Court
of Appeals appropriately considered Professor Hurt's published
report, there is nevertheless a legitimate conflict of evidence
raised by Professor Hurt's deposition testimony that creates a
genuine issue of material fact precluding summary judgment under
Rule 56 of the North Carolina Rules of Civil Procedure.
As with the causation issue, review of whether Arai
failed to adopt a safer, feasible design alternative under
N.C.G.S. . 99B-6 is enmeshed with, if not altogether dependent
on, the opinions of Howerton's experts. We therefore conclude
that the Court of Appeals erred in upholding summary judgment in
favor of Arai on Howerton's section 99B-6 claim based on
inadequate product design.
In summary, for the reasons stated above, we hereby
reverse the opinion of the Court of Appeals in its entirety and
vacate the judgment of the trial court in its entirety. The case
is remanded to the Court of Appeals with instructions to remand
to the trial court for further proceedings not inconsistent with
this Court's opinion.
REVERSED AND REMANDED.
Justice BRADY did not participate in the consideration
or decision of this case. Justice PARKER concurring in part and dissenting in
part.
I concur in the majority's holding that this Court has
not adopted the federal test for admissibility of expert
testimony enunciated in Daubert v. Merrell Dow Pharmaceuticals,
Inc., 509 U.S. 579, 125 L. Ed 2d 469 (1993), and in the decision
not to adopt the Daubert factors as the test for determining
admissibility of expert testimony under Rule 702 of the North
Carolina Rules of Evidence but to continue to adhere to the test
enunciated in our prior case law.
However, I am constrained to dissent respectfully from
the holding of the majority reversing the opinion of the Court of
Appeals and vacating the trial court's order allowing defendant's
motion to exclude testimony of plaintiff's experts and the trial
court's order allowing defendants' omnibus motion for summary
judgment. In my view plaintiff's experts' testimony failed to
satisfy the first prong of the three-part analysis set forth in
the majority opinion based on this Court's decision in State v.
Goode, 341 N.C. 513, 461 S.E.2d 631 (1995), namely, whether the
expert's proffered method of proof [is] sufficiently reliable as
an area for expert testimony. As revealed in the careful
analysis of the evidence in the trial court's findings, none of
plaintiff's expert witnesses had done independent research or
used established techniques to substantiate their respective
proffered hypotheses as to (i) how the injury occurred, and (ii)
whether the injury would have been prevented had plaintiff's
helmet had a rigid mouth guard rather than a flexible one. See
State v. Pennington, 327 N.C. 89, 98, 393 S.E.2d 847, 852-53
(1990) (stating nonexclusive indices of reliability). The trial court relied on both Daubert and Pennington
in exercising its discretion to exclude the experts' testimony as
to causation. Given this Court's jurisprudence governing the
admissibility of expert testimony, the trial court's use of the
Daubert factors does not in my opinion render the trial court's
ruling fatally defective. See Shore v. Brown, 324 N.C. 427, 428,
378 S.E.2d 778, 779 (1989) (stating that [i]f the correct result
has been reached, the judgment will not be disturbed even though
the trial court may not have assigned the correct reason for the
judgment entered).
I would also vote to affirm the Court of Appeals'
decision upholding the trial court's summary judgment for
defendants on plaintiff's section 99B-6 and unfair and deceptive
practices claims.
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