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General Electric Co. v. Joiner |
GENERAL ELECTRIC COMPANY, ET AL., PETITIONERS
v.
ROBERT K. JOINER ET UX.
Certiorari to the United States Court of Appeals for
the Eleventh Circuit
No. 96-188
Argued October 14, 1997
Decided December 15, 1997
522 U.S. 136 (1997)
After he was diagnosed with small-cell lung cancer,
respondent Joiner and his wife (hereinafter jointly respondent) sued
in Georgia state court, alleging, inter alia, that his disease
was "promoted" by his workplace exposure to chemical "PCB,s" and
derivative "furans" and "dioxins" that were manufactured by, or
present in materials manufactured by, petitioners. Petitioners removed
the case to federal court and moved for summary judgment. Joiner
responded with the depositions of expert witnesses, who testified that
PCB,s, furans, and dioxins can promote cancer, and opined that
Joiner's exposure to those chemicals was likely responsible for his
cancer. The District Court ruled that there was a genuine issue of
material fact as to whether Joiner had been exposed to PCB,s, but
granted summary judgment for petitioners because (1) there was no
genuine issue as to whether he had been exposed to furans and dioxins,
and (2) his experts' testimony had failed to show that there was a
link between exposure to PCB,s and small-cell lung cancer and was
therefore inadmissible because it did not rise above "subjective
belief or unsupported speculation." In reversing, the Eleventh Circuit
applied "a particularly stringent standard of review" to hold that the
District Court had erred in excluding the expert testimony.
Held:
1. Abuse of discretion — the standard ordinarily
applicable to review of evidentiary rulings — is the proper standard
by which to review a district court's decision to admit or exclude
expert scientific evidence. Contrary to the Eleventh Circuit's
suggestion, Daubert v. Merrell Dow Pharmaceuticals,
Inc., 509 U.S. 579, did not somehow alter this general rule in the
context of a district court's decision to exclude scientific evidence.
Daubert did not address the appellate review standard for
evidentiary rulings at all, but did indicate that, while the Federal
Rules of Evidence allow district courts to admit a somewhat broader
range of scientific testimony than did pre-existing law, they leave in
place the trial judge's "gatekeeper" role of screening such evidence
to ensure that it is not only relevant, but reliable. Id., at
589. A court of appeals applying "abuse-of-discretion" review to such
rulings may not categorically distinguish between rulings allowing
expert testimony and rulings which disallow it. Compare Beech
Aircraft Corp. v. Rainey, 488 U.S. 153,
172, with United States v. Abel, 469 U.S. 45, 54.
This Court rejects Joiner's argument that because the granting of
summary judgment in this case was "outcome determinative," it should
have been subjected to a more searching standard of review. On a
summary judgment motion, disputed issues of fact are resolved against
the moving party — here, petitioners. But the question of
admissibility of expert testimony is not such an issue of fact, and is
reviewable under the abuse-of-discretion standard. In applying an
overly "stringent" standard, the Eleventh Circuit failed to give the
trial court the deference that is the hallmark of abuse-of-discretion
review.
2. A proper application of the correct standard of
review indicates that the District Court did not err in excluding the
expert testimony at issue. The animal studies cited by respondent's
experts were so dissimilar to the facts presented here — i.e.,
the studies involved infant mice that developed alveologenic adenomas
after highly concentrated, massive doses of PCB,s were injected
directly into their peritoneums or stomachs, whereas Joiner was an
adult human whose small-cell carcinomas allegedly resulted from
exposure on a much smaller scale — that it was not an abuse of
discretion for the District Court to have rejected the experts'
reliance on those studies. Nor did the court abuse its discretion in
concluding that the four epidemiological studies on which Joiner
relied were not a sufficient basis for the experts' opinions, since
the authors of two of those studies ultimately were unwilling to
suggest a link between increases in lung cancer and PCB exposure among
the workers they examined, the third study involved exposure to a
particular type of mineral oil not necessarily relevant here, and the
fourth involved exposure to numerous potential carcinogens in addition
to PCB,s. 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.
3. These conclusions, however, do not dispose of the
entire case. The Eleventh Circuit reversed the District Court's
conclusion that Joiner had not been exposed to furans and dioxins.
Because petitioners did not challenge that determination in their
certiorari petition, the question whether exposure to furans and
dioxins contributed to Joiner's cancer is still open.
78 F.3d 524, reversed and remanded.
REHNQUIST, C.J.,
delivered the opinion for a unanimous Court with respect to Parts I
and II, and the opinion of the Court with respect to Part III, in
which O'CONNOR, SCALIA, KENNEDY, SOUTER, THOMAS, GINSBURG,
and BREYER, JJ., joined. BREYER, J., filed a
concurring opinion, STEVENS,
J., filed an opinion concurring in part and dissenting in part.
Steven R. Kuney argued
the cause for petitioners. With him on the briefs were John G.
Kester, David H. Flint, Alexander J. Simmons, Jr., Henery W.
Ewalt, and Gerard H. Davidson, Jr.
Deputy Solicitor General Wallace
argued the cause for the United States as amicus curiae urging
reversal. With him on the brief were Acting Solicitor General
Dellinger, Assistant Attorney General Hunger, Edward C. DuMont,
and John P. Schnitker.
Michael H. Gottesman
argued the cause of respondents. With him on the brief were Kenneth
J. Chesebro, David L. Sharpiro, and Michael J. Warshauer.
CHIEF JUSTICE REHNQUIST
delivered the opinion of the Court.
We granted certiorari in this case to determine what
standard an appellate court should apply in reviewing a trial
court's decision to admit or exclude expert testimony
under Daubert v. Merrell Dow Pharmaceuticals, Inc.,
509 U.S. 579 (1993). We hold that abuse of discretion is the
appropriate standard. We apply this standard and conclude that the
District Court in this case did not abuse its discretion when it
excluded certain proffered expert testimony.
I
Respondent Robert Joiner began work as an
electrician in the Water & Light Department of Thomasville, Georgia
(City), in 1973. This job required him to work with and around the
City's electrical transformers, which used a mineral-oil-based
dielectric fluid as a coolant. Joiner often had to stick his hands and
arms into the fluid to make repairs. The fluid would sometimes splash
onto him, occasionally getting into his eyes and mouth. In 1983 the
City discovered that the fluid in some of the transformers was
contaminated with polychlorinated biphenyls (PCB,s). PCB,s are widely
considered to be hazardous to human health. Congress, with limited
exceptions, banned the production and sale of PCB,s in 1978. See 90
Stat. 2020, 15 U.S.C. § 2605(e)(2)(A).
Joiner was diagnosed with small-cell lung cancer in
1991. He
sued petitioners in Georgia state court the following year. Petitioner
Monsanto manufactured PCB,s from 1935 to 1977; petitioners General
Electric and Westinghouse Electric manufactured transformers and
dielectric fluid. In his complaint Joiner linked his development of
cancer to his exposure to PCB,s and their derivatives, polychlorinated
dibenzofurans (furans) and polychlorinated dibenzodioxins (dioxins).
Joiner had been a smoker for approximately eight years, his parents
had both been smokers, and there was a history of lung cancer in his
family. He was thus perhaps already at a heightened risk of developing
lung cancer eventually. The suit alleged that his exposure to PCB,s
"promoted" his cancer; had it
not been for his exposure to these substances, his cancer would not
have developed for many years, if at all.
Petitioners removed the case to federal court. Once
there, they moved for summary judgment. They contended that (1) there
was no evidence that Joiner suffered significant exposure to PCB,s,
furans, or dioxins, and (2) there was no admissible scientific
evidence that PCB,s promoted Joiner's cancer. Joiner responded that
there were numerous disputed factual issues that required resolution
by a jury. He relied largely on the testimony of expert witnesses. In
depositions, his experts had testified that PCB,s alone can promote
cancer and that furans and dioxins can also promote cancer. They
opined that since Joiner had been exposed to PCB,s, furans, and
dioxins, such exposure was likely responsible for Joiner's cancer.
The District Court ruled that there was a genuine
issue of material fact as to whether Joiner had been exposed to PCB,s.
But it nevertheless granted summary judgment for petitioners because
(1) there was no genuine issue as to whether Joiner had been exposed
to furans and dioxins, and (2) the testimony of Joiner's experts had
failed to show that there was a link between exposure to PCB,s and
small-cell lung cancer. The court believed that the testimony of
respondent's experts to the contrary did not rise above "subjective
belief or unsupported speculation." 864 F. Supp. 1310, 1326 (ND Ga.
1994). Their testimony was therefore inadmissible.
The Court of Appeals for the Eleventh Circuit
reversed. 78 F.3d 524 (1996). It held that "[b]ecause the Federal
Rules of Evidence governing expert testimony display a preference for
admissibility, we apply a particularly stringent standard of review to
the trial judge's exclusion of expert testimony." Id., at 529.
Applying that standard, the Court of Appeals held that the District
Court had erred in excluding the testimony of Joiner's expert
witnesses. The District Court had made two fundamental
errors. First, it excluded the experts' testimony because it "drew
different conclusions from the research than did each of the experts."
The Court of Appeals opined that a district court should limit its
role to determining the "legal reliability of proffered expert
testimony, leaving the jury to decide the correctness of competing
expert opinions." Id., at 533. Second, the District Court
had held that there was no genuine issue of material fact as to
whether Joiner had been exposed to furans and dioxins. This was also
incorrect, said the Court of Appeals, because testimony in the record
supported the proposition that there had been such exposure.
We granted petitioners' petition for a writ of
certiorari, 520 U.S. 1114 (1997), and we now reverse.
II
Petitioners challenge the standard applied by the
Court of Appeals in reviewing the District Court's decision to exclude
respondent's experts' proffered testimony. They argue that that court
should have applied traditional "abuse-of-discretion" review.
Respondent agrees that abuse of discretion is the correct standard of
review. He contends, however, that the Court of Appeals applied an
abuse of discretion standard in this case. As he reads it, the phrase
"particularly stringent" announced no new standard of review. It was
simply an acknowledgment that an appellate court can and will devote
more resources to analyzing district court decisions that are
dispositive of the entire litigation. All evidentiary decisions are
reviewed under an abuse-of-discretion standard. He argues, however,
that it is perfectly reasonable for appellate courts to give
particular attention to those decisions that are outcome
determinative.
We have held that abuse of discretion is the proper
standard of review of a district court's evidentiary rulings. Old
Chief v. United States, 519 U.S. 172, 174 n. 1 (1997);
United States v. Abel, 469 U.S. 45, 54 (1984). Indeed,
our cases on the subject go back as far as Spring
Co. v. Edgar, 99 U.S. 645, 658 (1879), where we said
that "[c]ases arise where it is very much a matter of discretion with
the court whether to receive or exclude the evidence; but the
appellate court will not reverse in such a case, unless the ruling is
manifestly erroneous." The Court of Appeals suggested that Daubert
somehow altered this general rule in the context of a district court's
decision to exclude scientific evidence. But Daubert did not
address the standard of appellate review for evidentiary rulings at
all. It did hold that the "austere" Frye standard of "general
acceptance" had not been carried over into the Federal Rules of
Evidence. But the opinion also said:
"That the Frye test
was displaced by the Rules of Evidence does not mean, however, that
the Rules themselves place no limits on the admissibility of
purportedly scientific evidence. Nor is the trial judge disabled from
screening such evidence. 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." 509 U.S., at 589
(footnote omitted).
Thus, while the Federal Rules of Evidence allow
district courts to admit a somewhat broader range of scientific
testimony than would have been admissible under Frye, they
leave in place the "gatekeeper" role of the trial judge in screening
such evidence. A court of appeals applying "abuse-of-discretion"
review to such rulings may not categorically distinguish between
rulings allowing expert testimony and rulings disallowing it. Compare
Beech Aircraft Corp. v. Rainey, 488 U.S. 153, 172 (1988)
(applying abuse of discretion review to a lower court's decision to
exclude evidence), with United States v. Abel,
supra; at 54 (applying abuse-of-discretion review to a lower
court's decision to admit evidence). We likewise reject respondent's
argument that because the granting of summary judgment in this case
was "outcome determinative," it
should have been subjected to a more searching standard of review. On
a motion for summary judgment, disputed issues of fact are resolved
against the moving party — here, petitioners. But the question of
admissibility of expert testimony is not such an issue of fact, and is
reviewable under the abuse-of-discretion standard.
We hold that the Court of Appeals erred in its
review of the exclusion of Joiner's experts' testimony. In applying an
overly "stringent" review to that ruling, it failed to give the trial
court the deference that is the hallmark of abuse-of-discretion
review. See, e.g., Koon v. United States, 518 U.S. 81,
98-99 (1996).
III
We believe that a proper application of the correct
standard of review here indicates that the District Court did not
abuse its discretion. Joiner's theory of liability was that his
exposure to PCB,s and their derivatives "promoted" his development of
small-cell lung cancer. In support of that theory he proffered the
deposition testimony of expert witnesses. Dr. Arnold Schecter
testified that he believed it "more likely than not that Mr. Joiner's
lung cancer was causally linked to cigarette smoking and PCB
exposure." App. 107. Dr. Daniel Teitelbaum testified that Joiner's
"lung cancer was caused by or contributed to in a significant degree
by the materials with which he worked." Id., at 140.
Petitioners contended that the statements of
Joiner's experts regarding causation were nothing more than
speculation. Petitioners criticized the testimony of the experts in
that it was "not supported by epidemiological studies . . . [and was]
based exclusively on isolated studies of laboratory animals." 3
Record, Doc. No. 46 (Defendants' Joint Memorandum Support of summary
judgment 3). Joiner responded by claiming that his experts had
identified "relevant animal studies which support their opinions." 4
Record, Doc No. 53 (Plaintiffs' Brief in Opposition to Defendants'
Motion for Summary Judgment 47). He also directed the
court's attention to four epidemiological studies
on which his experts had relied.
The District Court agreed with petitioners that the
animal studies on which respondent's experts relied did not support
his contention that exposure to PCB,s had contributed to his cancer.
The studies involved infant mice that had developed cancer after being
exposed to PCB,s. The infant mice in the studies had had massive doses
of PCB,s injected directly into their peritoneums
or stomachs. Joiner was an adult human being whose alleged exposure to
PCB,s was far less than the exposure in the animal studies. The PCB,s
were injected into the mice in a highly concentrated form. The fluid
with which Joiner had come into contact generally had a much smaller
PCB concentration of between 0-to-500 parts per million. The cancer
that these mice developed was alveologenic adenomas; Joiner had
developed small-cell carcinomas. No study demonstrated that adult mice
developed cancer after being exposed to PCB,s. One of the experts
admitted that no study had demonstrated that PCB,s lead to cancer in
any other species.
Respondent failed to reply to this criticism. Rather
than explaining how and why the experts could have extrapolated their
opinions from these seemingly far-removed animal studies, respondent
chose "to proceed as if the only issue [was] whether animal studies
can ever be a proper foundation for an expert's opinion." 864 F.
Supp., at 1324. Of course, whether animal studies can ever be a proper
foundation for an expert's opinion was not the issue. The issue was
whether these experts' opinions were sufficiently supported by
the animal studies on which they purported to rely. The studies were
so dissimilar to the facts presented in this litigation
that it was not an abuse of discretion
for the District Court to have rejected the experts' reliance on them.
The District Court also concluded that the four
epidemiological studies on which respondent relied were not a
sufficient basis for the experts' opinions. The first such study
involved workers at an Italian capacitor
plant who had been exposed to PCB,s. Bertazzi, Riboldi, Pesatori,
Radice, & Zocchetti, Cancer Mortality of Capacitor Manufacturing
Workers, 11 American Journal of Industrial Medicine 165 (1987). The
authors noted that lung cancer deaths among ex-employees at the plant
were higher than might have been expected, but concluded that "there
were apparently no grounds for associating lung cancer deaths
(although increased above expectations) and exposure in the plant."
Id., at 172. Given that Bertazzi et al. were unwilling to say that
PCB exposure had caused cancer among the workers they examined, their
study did not support the experts' conclusion that Joiner's exposure
to PCB,s caused his cancer.
The second study followed employees who had worked
at Monsanto's PCB production plant. J. Zack & D. Musch, Mortality of
PCB Workers at the Monsanto Plant in Sauget, Illinois (Dec. 14, 1979)
(unpublished report), 3 Record, Doc. No. 11. The authors of this study
found that the incidence of lung cancer deaths among these workers was
somewhat higher than would ordinarily be expected. The increase,
however, was not statistically significant and the authors of the
study did not suggest a link between the increase in lung cancer
deaths and the exposure to PCB,s.
The third and fourth studies were likewise of no
help. The third involved workers at a Norwegian cable manufacturing
company who had been exposed to mineral oil. Ronneberg, Andersen, and
Skyberg, Mortality and Incidence of Cancer Among Oil Exposed Workers
in a Norwegian Cable Manufacturing Company, 45 British Journal of
Industrial Page 146 Medicine 595 (1988). A
statistically significant increase in lung cancer deaths had been
observed in these workers. The study, however, (1) made no mention of
PCB,s and (2) was expressly limited to the type of mineral oil
involved in that study, and thus did not support these experts'
opinions. The fourth and final study involved a PCB-exposed group in
Japan that had seen a statistically significant increase in lung
cancer deaths. Kuratsune, Nakamura, Ikeda, & Hirohata, Analysis of
Deaths Seen Among Patients with Yusho — A Preliminary Report, 16
Chemosphere, Nos. 8/9, p. 2085 (1987). The subjects of this study,
however, had been exposed to numerous potential carcinogens, including
toxic rice oil that they had ingested.
Respondent points to Daubert's language that
the "focus, of course, must be solely on principles and methodology,
not on the conclusions that they generate." 509 U.S., at 595. He
claims that because the District Court's disagreement was with the
conclusion that the experts drew from the studies, the District Court
committed legal error and was properly reversed by the Court of
Appeals. But 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 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
analytical gap between the data and the opinion proffered. See
Turpin v. Merrell Dow Pharmaceuticals, Inc., 959 F.2d 1349,
1360 (CA6), cert. denied, 506 U.S. 826 (1992). That is what the
District Court did here, and we hold that it did not abuse its
discretion in so doing. We hold, therefore, that abuse of discretion
is the proper standard by which to review a district court's decision
to admit or exclude scientific evidence. We further hold that, because
it was within the District Court's discretion to conclude that the
studies upon which the experts relied were not
sufficient, whether individually or in combination, to
support their conclusions that Joiner's exposure to PCB,s contributed
to his cancer, the District Court did not abuse its discretion in
excluding their testimony. These conclusions, however, do not dispose
of this entire case.
Respondent's original contention was that his
exposure to PCB,s, furans, and dioxins contributed to his cancer. The
District Court ruled that there was a genuine issue of material fact
as to whether Joiner had been exposed to PCBs, but concluded that
there was no genuine issue as to whether he had been exposed to furans
and dioxins.
The District Court accordingly never explicitly
considered if there was admissible evidence on the question whether
Joiner's alleged exposure to furans and dioxins contributed to his
cancer. The Court of Appeals reversed the District Court's conclusion
that there had been no exposure to furans and dioxins. Petitioners did
not challenge this determination in their petition to this Court.
Whether Joiner was exposed to furans and dioxins, and whether if there
was such exposure, the opinions of Joiner's experts would then be
admissible, remain open questions. We accordingly reverse the judgment
of the Court of Appeals and remand this case for proceedings
consistent with this opinion.
It is so ordered.
JUSTICE BREYER, concurring.
The Court's opinion, which I join, emphasizes
Daubert's statement that a trial judge, acting as "gatekeeper,"
must "'ensure that any and all scientific testimony or evidence
admitted is not only relevant, but reliable.'" Ante, at 142
(quoting Daubert v. Merrell Dow Pharmaceuticals, Inc.,
509 U.S. 579, 589 (1993)). This requirement will sometimes ask judges
to make subtle and sophisticated determinations about scientific
methodology and its relation to the conclusions an expert witness
seeks to offer — particularly when a case arises in an area where the
science itself is tentative or
uncertain, or where testimony about general risk levels in human
beings or animals is offered to prove individual causation. Yet, as
amici have pointed out, judges are not scientists and do not have
the scientific training that can facilitate the making of such
decisions. See, e.g., Brief for Trial Lawyers for Public
Justice as Amicus Curiae 15; Brief for New England
Journal of Medicine et al. as Amici Curiae 2 ("Judges . . . are
generally not trained scientists").
Of course, neither the difficulty of the task nor
any comparative lack of expertise can excuse the judge from exercising
the "gatekeeper" duties that the Federal Rules of Evidence impose —
determining, for example, whether particular expert testimony is
reliable and "will assist the trier of fact," Fed. Rule Evid. 702, or
whether the "probative value" of testimony is substantially outweighed
by risks of prejudice, confusion or waste of time, eq. Fed. Rule Evid.
403. To the contrary, when law and science intersect, those duties
often must be exercised with special care.
Today's toxic tort case provides an example. The
plaintiff in today's case says that a chemical substance caused, or
promoted, his lung cancer. His concern, and that of others, about the
causes of cancer is understandable, for cancer kills over one in five
Americans. See U.S. Dept. of Health and Human Services, National
Center for Health Statistics, Health, United States 1996-97 and Injury
Chartbook 117 (1997) (23.3% of all deaths in 1995). Moreover,
scientific evidence implicates some chemicals as potential causes of
some cancers. See, e.g., U.S. Dept. of Health and Human
Services, Public Health Service, National Toxicology Program, 1
Seventh Annual Report on Carcinogens, pp. v-vi (1994). Yet modern
life, including good health as well as economic well-being, depends
upon the use of artificial or manufactured substances, such as
chemicals. And it may, therefore, prove particularly important to see
that judges fulfill their Daubert gatekeeping function, so that
they help assure that the powerful engine of tort liability, which can
generate strong financial
incentives to reduce, or to eliminate, production, points toward the
right substances and does not destroy the wrong ones. It is, thus,
essential in this science-related area that the courts administer the
Federal Rules of Evidence in order to achieve the "end[s]" that the
Rules themselves set forth, not only so that proceedings may be
"justly determined," but also so "that the truth may be ascertained."
Fed. Rule Evid. 102.
I therefore want specially to note that, as cases
presenting significant science-related issues have increased in
number, see Judicial Conference of the United States, Report of the
Federal Courts Study Committee 97 (Apr. 2, 1990) ("Economic,
statistical, technological, and natural and social scientific data are
becoming increasingly important in both routine and complex
litigation"), judges have increasingly found in the Rules of Evidence
and Civil Procedure ways to help them overcome the inherent difficulty
of making determinations about complicated scientific, or otherwise
technical, evidence. Among these techniques are an increased use of
Rule 16's pretrial conference authority to narrow the scientific
issues in dispute, pretrial hearings where potential experts are
subject to examination by the court, and the appointment of special
masters and specially trained law clerks. See J. Cecil & T. Willging,
Court-Appointed Experts: Defining the Role of Experts Appointed Under
Federal Rule of Evidence 706, pp. 83-88 (1993); J. Weinstein,
Individual Justice in Mass. Tort Litigation 107-110 (1995); cf. Kaysen,
In Memoriam: Charles E. Wyzanski, Jr., 100 Harv. L. Rev. 713, 713-715
(1987) (discussing a judge's use of an economist as a law clerk in
United States v. United Shoe Machinery Corp., 110 F.
Supp. 295 (Mass. 1953), aff'd, 347 U.S. 521 (1954)).
In the present case, the New England Journal of
Medicine has filed an amici brief "in support of neither
petitioners nor respondents" in which the Journal writes:
"[A] judge could better
fulfill this gatekeeper function if he or she had help from
scientists. Judges should be
strongly encouraged to make greater use of their inherent authority .
. . to appoint experts . . . . Reputable experts could be recommended
to courts by established scientific organizations, such as the
National Academy of Sciences or the American Association for the
Advancement of Science." Brief 18-19.
Cf. Fed. Rule Evid. 706 (court may "on its own
motion or on the motion of any party" appoint an expert to serve on
behalf of the court, and this expert may be selected as "agreed upon
by the parties" or chosen by the court); see also Weinstein, supra,
at 116 (a court should sometimes "go beyond the experts proffered by
the parties" and "utilize its powers to appoint independent experts
under Rule 706 of the Federal Rules of Evidence"). Given this kind of
offer of cooperative effort, from the scientific to the legal
community, and given the various Rules-authorized methods for
facilitating the courts' task, it seems to me that Daubert's
gatekeeping requirement will not prove inordinately difficult to
implement, and that it will help secure the basic objectives of the
Federal Rules of Evidence, which are, to repeat, the ascertainment of
truth and the just determination of proceedings. Fed. Rule Evid. 102.
JUSTICE STEVENS,
concurring in part and dissenting in part.
The question that we granted certiorari to decide is
whether the Court of Appeals applied the correct standard of review.
That question is fully answered in Parts I and II of the Court's
opinion. Part III answers the quite different question whether the
District Court properly held that the testimony of plaintiff's expert
witnesses was inadmissible. Because I am not sure that the parties
have adequately briefed that question, or that the Court has
adequately explained why the Court of Appeals' disposition was
erroneous, I do not join Part III. Moreover, because a proper answer
to that question requires a study of the record that can be
performed more efficiently by the Court
of Appeals than by the nine Members of this Court, I would remand the
case to that court for application of the proper standard of review.
One aspect of the record will illustrate my concern.
As the Court of Appeals pointed out, Joiner's experts relied on "the
studies of at least thirteen different researchers, and referred to
several reports of the World Health Organization that address the
question of whether PCB,s cause cancer." 78 F.3d 524, 533 (CA11 1996).
Only one of those studies is in the record, and only six of them were
discussed in the District Court opinion. Whether a fair appraisal of
either the methodology or the conclusions of Joiner's experts can be
made on the basis of such an incomplete record is a question that I do
not feel prepared to answer.
It does seem clear, however, that the Court has not
adequately explained why its holding is consistent with Federal Rule
of Evidence 702,
as interpreted in Daubert v. Merrell Dow Pharmaceuticals,
Inc., 509 U.S. 579 (1993).
In general, scientific testimony that is both relevant and reliable
must be admitted and testimony that is irrelevant or unreliable must
be excluded. Id., at 597. In this case, the District Court
relied on both grounds for exclusion.
The relevance ruling was straightforward. The
District Court correctly reasoned that an expert opinion that exposure
to PCB,s, "furans" and "dioxins" together may cause
lung cancer would be irrelevant unless the plaintiff had been exposed
to those substances. Having already found that there was no evidence
of exposure to furans and dioxins, 864 F. Supp. 1310, 1318-1319
(ND Ga. 1994), it necessarily followed that this expert opinion
testimony was inadmissible. Correctly applying Daubert, the
District Court explained that the experts' testimony "manifestly does
not fit the facts of this case, and is therefore inadmissible." 864 F.
Supp., at 1322. Of course, if the evidence raised a genuine issue of
fact on the question of Joiner's exposure to furans and dioxins — as
the Court of Appeals held that it did — then this basis for the ruling
on admissibility was erroneous, but not because the District Judge
either abused her discretion or misapplied the law.
The reliability ruling was more complex and arguably
is not faithful to the statement in Daubert that "[t]he focus,
of course, must be solely on principles and methodology, not on the
conclusions that they generate." 509 U.S., at 595. Joiner's experts
used a "weight of the evidence" methodology to assess whether Joiner's
exposure to transformer fluids promoted his lung cancer.
They did not suggest that any
one study provided adequate support for their conclusions, but instead
relied on all the studies taken together (along with their interviews
of Joiner and their review of his medical records). The District
Court, however, examined the studies one by one and concluded that
none was sufficient to show a link between PCB,s and lung cancer. 864
F. Supp., at 1324-1326. The focus of the opinion was on the separate
studies and the conclusions of the experts, not on the experts'
methodology. Id., at 1322 ("Defendants . . . persuade the court
that Plaintiffs' expert testimony would not be admissible . . . by
attacking the conclusions that Plaintiffs' experts draw from the
studies they cite").
Unlike the District Court, the Court of Appeals
expressly decided that a "weight of the evidence" methodology was
scientifically acceptable.
To this extent, the Court of Appeals' opinion is persuasive. It is not
intrinsically "unscientific" for experienced professionals to arrive
at a conclusion by weighing all available scientific evidence — this
is not the sort of "junk science" with which Daubert was
concerned.
After all, as Joiner points out, the Environmental Protection Agency
(EPA) uses the same methodology to assess risks, albeit using a
somewhat different threshold than that required in a trial. Brief for
Respondents 40-41 (quoting EPA, Guidelines for
Carcinogen Risk Assessment, 51 Fed. Reg. 33992, 33996 (1986)).
Petitioners' own experts used the same scientific approach as well.
And using this methodology, it would seem that an expert could
reasonably have concluded that the study of workers at an Italian
capacitor plant, coupled with data from Monsanto's study and other
studies, raises an inference that PCB,s promote lung cancer.
The Court of Appeals' discussion of admissibility is
faithful to the dictum in Daubert that the reliability inquiry
must focus on methodology, not conclusions. Thus, even though I fully
agree with both the District Court's and this Court's explanation of
why each of the studies on which the experts relied was by itself
unpersuasive,a critical question remains unanswered: When qualified
experts have reached relevant conclusions on the basis of an
acceptable methodology, why are their opinions inadmissible?
Daubert quite clearly
forbids trial judges to assess the validity or strength of an expert's
scientific conclusions, which is a matter for the jury.
Because I am persuaded Page 155
that the difference between methodology and conclusions is just as
categorical as the distinction between means and ends, I do not think
the statement that "conclusions and methodology are not entirely
distinct from one another," ante, at 9, either is accurate or
helps us answer the difficult admissibility question presented by this
record.
In any event, it bears emphasis that the Court has
not held that it would have been an abuse of discretion to admit the
expert testimony. The very point of today's holding is that the
abuse-of-discretion standard of review applies whether the district
judge has excluded or admitted evidence. Ante, at 142. And
nothing in either Daubert or the Federal Rules of Evidence
requires a district judge to reject an expert's conclusions and keep
them from the jury when they fit the facts of the case and are based
on reliable scientific methodology.
Accordingly, while I join Parts I and II of the
Court's opinion, I do not concur in the judgment or in Part III of its
opinion.