DANIEL
S. CHAMBERLAIN
10333 N. Meridian Street, Suite 100
Indianapolis, Indiana 46290
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Office: 317.844.9999
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III. ANTICIPATE IMPORTANT PRETRIAL ISSUES
A. Expertly
Calculate the Amount of Compensatory Damages
Compensatory
Damages are such as will compensate the injured party for
the injury sustained, and nothing more. Blacks
Law Dictionary.
1. Background
The rules for assessing and awarding economic damages are
based on the universal principle of placing the injured
victim in a position as nearly equivalent to where he or
she would have been but for the tortious injury. Compensatory
damages are the damages awarded as compensation, indemnity,
or restitution. Damages for pecuniary loss include
compensation for harm to earning capacity and the creation
of past and future economic liabilities. Every tort
victim is entitled to recover damages from the tortfeasor
for all past, present, and prospective harm legally caused
by the tort. The amount or degree of damage is measured
by the total harm which has resulted or appears probable
to result in the future. Depending on the character
of loss, the value of economic damages may be calculated
by reference to market, exchange or contract value, historic
value of services or value peculiar to the victim's circumstance.
Each
trial must have a recognizable and cognizant theme. Such
a theme will depend upon the facts and circumstances of
the liability and damages at issue. However, the
underlying principle is that monetary damages are the only
remedy that will "make the client whole". In
this context, a jury must be guided in deliberation about
the purpose of a significant monetary damage award, as
follows:
a. To motivate the jury to award damages;
b. To fix a wrong that has been committed;
c. To help the injured party;
d. To make up for the loss;
e. To get revenge for a juror, family or friend
that was wronged;
f. To express anger about the defendant's conduct;
g. To make a social statement;
h. To make an example of the defendant, their industry
or practice;
i. To make the defendant take responsibility;
k. To take care of a likeable party;
l. To reward and support a justified legal battle;
and,
m. To stop wrongdoing.
2. Indiana Pattern Jury Instructions (IPJI)
The IPJI provide the basic elements of compensatory damages:
Nature and Extent of Injury - 11.20 - "The nature and extent
of the injury and the effect of the injury on the plaintiff's
ability to function as a whole person."
Permanent or Temporary - 11.21 - "Whether the injury is
temporary or permanent."
Pain and Suffering - 11.22 - "The physical pain and mental
suffering experienced to the present and to be experienced
in the future due to injury."
Loss
of Earnings - 11.23 - "The value of lost time, earnings,
salaries and loss or impairment of earning capacity."
Medical Expenses - 11.25 - "The reasonable expense of necessary
medical care, treatment and services and the reasonable
expense of future medical care, treatment and services."
Pre Existing Condition - 11.26 - "The aggravation of a
previous injury, disease or condition."
Disfigurement/Deformity - 11.27 - "Disfigurement or deformity
resulting from injury."
Mental Anguish - 11.28 - "Fright, humiliation, or mental
anguish experienced by plaintiff due to the Aincident."
3. Compensatory Damage Foundation.
The requirements of proof on all economic damages are:
a. Proof of the fact of past loss;
b. Proof of the probability of future loss;
c. Proof of the causal linkage (e.g., proximate cause)
between each category of past and future loss and the tortfeasor's
misconduct; and
d. Proof of the reasonable value of each existing or anticipated
loss.
The
evidentiary sources of this proof depends somewhat on
the circumstances of the particular case, but invariably
calls on a mix of lay and expert witnesses, documentary
and other demonstrative evidence and illustrative exhibits
which synthesize complex or cumbersome facts and, ideally,
convey succinct memorable messages. Typically, proof
of economic damages incurred through the date of mediation
or trial rely predominantly on lay evidence and simple
mathematic computation. Proof of future economic
damages, on the other hand, is largely expert dependant.
4. Issue of reasonable certainty and speculation.
A plaintiff is not required to prove compensatory losses with
absolute certainty. There is inherent tension
between the expectation damage principle, which affords
recovery for future losses that are probable, and the uncertainty
proviso, which instructs that damages are not recoverable
beyond what the evidence shows with reasonable certainty. Courts
are admonished to reject future loss awards that are based
on speculation. Jurors are inclined to perceive most
future loss calculations and prognostications as somewhat
speculative. Defense counsel are conditioned to characterize
every prospective damage as the product of guess work.
Uncertain or speculative damage claims are precluded only
where the fact of damage is uncertain, not where the amount
is uncertain. Once the existence of a loss is established,
it is sufficient if the evidence affords a reasonable basis
for estimating the amount of loss by the trier of fact.
Generally, any uncertainty in calculating the amount or
extent of anticipated loss should be resolved against the
defendant.
5. Major Elements of Economic Loss
There are three major components of economic damages: (a)
income, benefits, and earning capacity; (b) medical, caregiver,
and life care expenses; and (c) replacement services. Maximizing
recoveries in each of these areas requires the consulting
services and testimony of multiple "experts"
a. Calculating Future Losses
Calculating
past financial losses is straightforward, and accomplished
via tax returns, W2 and 1099 forms. If
such forms are not available, an annual Social Security
earning and wage statement may be sufficient to establish
past earnings. Future losses, on the other hand,
present the biggest challenge and the largest opportunity
for recovery, both economic and noneconomic.
The categories of future damages which typically require
actuarial calculation and expert assistance are lost earnings
and employment benefits (particularly retirement and health
insurance), medical and caregiver expenses and, broadly
applied, replacement services.
A paradigm of future economic losses are set forth as follows:
1.Base amount of loss or expense
2.Frequency estimate
3.Time or duration
4.Comparative or mitigating influences
5.Rates of inflation or growth
6.Impairment of earning capacity
7.Lost benefits
8.Worklife and retirement expectancy
9.Gender and race bias
, 10.
Average wage growth
b. Calculating Medical Expense
The
evidentiary requirement for establishing past and future
medical and related health care expenses are overlooked
until an approaching deadline for expert disclosure or
a pretrial conference. Medical expenses (both past
and future) should be considered an integral part of the
entire case and typically the largest element of damages. Reasons
for giving continuing attention to medical expenses
1.They are the category of recoverable damages provable
with the highest degree of precision and most readily acceptable
to the jury in formulating an award.
2.They provide the framework against which you can convincingly
argue pain, suffering, and loss of enjoyment of life, and
a yardstick against which judges, jurors, defense counsels,
and adjusters frequently measure the magnitude of injury.
3.They are the key to identifying pivotal experts and support
witnesses early in the case and developing succinct evidence
with maximum persuasive potential.
4.They help identify collateral sources of payment and
potential subrogation liens.
5.Inattention to detail on medical expenses risks disrupting
the flow of the trial and invites challenges on foundational
proof with potentially disastrous results.
It is essential to confirm that the injuries requiring
medical treatment were proximately caused by the occurrence
which is the subject of the action or claim. This
is not just an issue of recovery on medical bills, but
a necessary aspect of proof on the noneconomic losses related
to injuries, as well. Although the causal linkage
is often obvious and can be circumstantially inferred,
there is no reason to risk the court or jurors missing
the connection by omitting simple, straightforward proximate
cause testimony. In the complex case, this will require
expert testimony, particularly if preexisting conditions
are an issue.
It
is equally essential to show that the treatment was reasonably
necessary and appropriate to the plaintiff's condition
or injury. In routine
cases the connection may appear obvious, but to avoid
problems all that is generally required is a simple set
of questions to a competent witness, confirming that
the treatment provided and the attendant expense were
reasonably necessary in the witness's professional or
otherwise informed judgment.
Indiana requires proof that the cause and necessity of
a client's medical treatment in terms of a Areasonable
degree of medical certainty@ or applying other variations
on that same theme of probability. These standards
of proof may be only significant to lawyers and judges,
but fulfilling the requisites with precision is critical. It
is important to review the foundational standard with your
expertsCparticularly treating physiciansCand script out
the key questions and answers in advance of deposition
and trial testimony.
The foundational requirements for introducing evidence
of future medical expenses is the same as each of the elements
for past expenses, with a few vitally important extra considerations. The
most significant difference is in the area of medical necessity;
namely, whether further treatment and care is probable
and whether the character of treatment and care anticipated
is appropriate and reasonable. The fundamental elements
may be the same as with past expenses, but the quality
and quantity of proof is very different.
1.Expert proof
With rare exception, unless the connections are matters
of common knowledge, expect testimony will be required
to prove causation, probable necessity, and reasonableness
on future medical and caregiver expenses.
2.Probability
Proof
of a probable future expense only requires that it is
"more likely than not" to occur; stated differently,
that there is greater than a "50‑50
chance."
3.Speculation
As with other aspects of economic damages (see supra, at
pp. 2‑4), the rule that prohibits recovery for speculative
losses should be properly appreciated. The character
of future loss, with an associated treatment need and expense,
must only be shown with reasonable certainty, e.g., it
is probable the loss will occur. Any proof that affords
a reasonable basis for determining the amount is sufficient.
4.Statistical proof
With certain maladies and medical conditions (lung cancer,
for example), statistical proof may be available to help
an expert prognosticate the likely course of changes in
the plaintiff's health, treatment needs, and expense.
As each aspect of past and future medical and caregiver
expense is measured against each of the above elements
of evidentiary foundation, the level of competence required
of the foundational witnessCwhether as lay, expert or special
witnessCbecomes apparent. On issues of causation,
necessity and probability testimony from a cooperative
treating physician is probably best. On the reasonableness
of medical expenses, however, a properly credentialed nurse
or rehabilitation specialist may work better and will avoid
cluttering the important messages of the treating physician's
testimony with minutia. For authentication of medical
bills and other specials, the plaintiff or a family member
is usually a competent witness. Surprisingly, physicians
and other providers may not be able to authenticate their
own bills. So, consider calling a custodian of medical
and accounting records for the health care provider.
In
wrongful death cases, most jurisdictions allow recovery
for loss of household services. In seeking this recovery,
it is a common practice to itemize services like household
repairs, cooking, washing, managing finances, and so on,
previously performed by the decedent, estimating the frequency
of their occurrence, and valuing the cost of replacement
utilizing wage rates for comparable services in a labor
market. This same conceptual approach of placing
a precise economic value on a seemingly intangible loss
has potential application in other dimensions of the damage
case, as well; even in personal injury actions.
B. Should You Use a Trial Consultant or Mock Trial
1. Jury Consultant
A jury or trial consultant is an individual with expertise
in trial presentation, preparation, themes and jury selection. While
there is no recognized training for trial consultants,
frequent occupations include, psychologists, neuro linguistic
programmers, or counselors. Expense varies between
trial consultants, primarily based on experience, services
provided and nature and extent of involvement. A
trial consultant can be invaluable in a large damage case,
such that the expense of the same is justified by the potential
verdict range.
In a large damage case, a trial consultant should be involved
early in the litigation process. It is important
to begin theme development during the discovery process
so that the theme may be intertwined throughout case development. Such
a consultant may assist in theme development, as well as
work with key witnesses (including the plaintiff) who may
not otherwise be familiar with the litigation process.
A jury
consultant may also assist in the creation of demonstrative
aids, jury questionnaires, exhibits and the like. During
voir dire, a jury consultant may be helpful in attempting
to de-select potentially biased jurors or those individuals
with preconceived negative beliefs. Finally, a jury
consultant may assist in conducting focus groups or mock
trials.
2. Focus Group
A focus group is a representative gathering of potential
jurors. The participants can be strangers, friends,
or participants from previous focus groups. A focus
group provides you an opportunity to obtain feedback by
having a number of people sit through a shortened version
of a trial, portions of a trial, or testimony of a particular
witness. Focus groups are sometimes called mock trials
and can easily be customized for whatever needs you may
have.
One of the most important uses of focus groups is to help
develop effective themes for cases. Every case needs
a theme. There can be many themes under the same
set of facts, but there is usually one that best fits the
case. Focus groups can help us figure out which theme
will be the most effective. When laypeople sit around
and discuss a case, it is amazing how their characterization
of a case can be right on the money and provide a theme
for the case that the lawyers would never think of.
Focus
groups allow lawyers to assess how potential jurors will
receive their clients and witnesses. Focus groups
also give the clients a chance to get some excellent feedback
on how well they perform, how persuasive they are as witnesses,
and what they can do to make their testimony more effective. Clients
can testify live or be presented by video. The advantage
of having clients testify live is that it makes the testimony
more realistic and gives the clients a chance to practice
their testimony in a setting that closely resembles a trial. When
presenting a client's live testimony to a focus group,
we normally use two attorneys‑one does a direct examination
of the client and the other conducts the cross‑examination. Hard
questions should be asked on cross‑examination. The
cross‑examination of the plaintiffs should be better
than it will be at trial. Every weakness of the testimony
should be raised on cross‑examination. We then
usually open the witness up to the focus group members
for any questions that they have concerning the testimony.
If the focus group is being conducted in a setting that
allows visual monitoring from a different room, the clients
will be able to watch and listen to the focus group discuss
their testimony. The clients will be able to see
and hear what people think about them as witnesses and
they can gain insight into how they can be better witnesses. It
is also helpful to video the clients when they are giving
live testimony so that they can later go back and watch
themselves testify. By listening to the comments
of a focus group and seeing themselves on video, clients
will have a better appreciation of their strengths and
weaknesses than they would by just listening to their lawyers
critique them.
A successful
focus group should include an unbiased, yet shortened
presentation, covering both sides of the dispute. After
the presentation, the mock jurors are asked a series of
carefully crafted questions, to determine issues that are
important, are not important and questions that the jury
would like answered, but were not otherwise covered. Having
formed an emotional bond with a case, it is easy to either
lose sight of the big picture or fail to realize the importance
of secondary aspects of the case. A fresh outlook
obtained through a focus group that has not been associated
with the case has often opened our eyes and allowed us
to see more clearly the strengths and weaknesses of the
case before trial. A properly conducted focus group, or
better yet, a series of properly conducted focus groups,
can be a tremendous help in determining a realistic verdict
range. Focus groups can highlight elements of damages
that are most important and which elements of damage to
downplay or even abandon. Loss of consortium is an
issue that often presents a dilemma in certain cases. Do
you present the issue to the jury or not? Does a
claim for loss of consortium make your clients appear greedy
and actually reduce the verdict for the spouse who has
the actual injury? Is a scar bad enough to ask a
jury to compensate the plaintiff for it, or is the plaintiff
better off not asking for money for a scar, or asking for
a small amount for the scar and focusing instead on other
more significant damages? Focus groups can help
answer these and similar questions.
Focus
groups can let you know if your clients are perceived
as legitimately hurt or are whiners. Determining
how potential jurors perceive your clients is probably
the single most important aspect of evaluating the plaintiff's
damages. If your clients are viewed as malingerers
or are not liked by the focus group, then their case is
obviously worth less unless your clients can change how
they are perceived. A focus group can help identify
the reasons the plaintiff is viewed unfavorably. You
and your clients can then work on these issues to see if
they can change the way that they are perceived. Subsequent
focus groups can then let you and your clients know if
they are capable of changing their presentation to make
them more likable. What you learn will provide valuable
guidance in determining the value of the case and whether
your clients should settle or go to trial. In addition,
a focus group results may demonstrate to a difficult client,
serious issues of liability or damages.
C. Effectively Prepare Key Witnesses to Testify for Deposition
and Trial
1. Preparation of the Lay Witness
As set forth above, a trial or jury consultant may be useful
in preparing a client or key witnesses for deposition and/or
trial testimony. Most lay witnesses are foreign to
the litigation process, and certainly testifying before
a judge and a jury at trial. It is worth the time,
effort and expense to invest in a witness preparation video. Such
a video will establish basic ground rules and client expectations
at such proceedings, in addition to answering basic questions
about the legal process. If the case is proceeding
to trial, schedule a time to meet the client at the courtroom. Have
the client sit at counsel table; sit in the witness box;
and, sit in the jury box. This experience will assist
the client to be more comfortable and relaxed for their
"day in court".
The basics of witness preparation are fundamental and important. There
is no substitute to interacting with the client or witness
before their testimony. Keep in mind that if you
do not like your client, the odds are likely that the defense
lawyer, adjuster, judge and jury will not like your client
either. As a result, follow these steps in witness
preparation:
1.Each witness should be prepared by the lawyer who will
be leading his or her testimony at trial, individually.
2.Review
with the witness all previous testimony, examinations
for discovery, answers to interrogatories, written and
oral statements, and any other material which could be
used for possible impeachment. Explain to the witness
how the impeachment process may be used by the opposing
lawyer with respect to prior inconsistent statements. If
necessary, read the information to the client or witness. Do
not presume that the witness can read, and if so, that
the witness actually understands what is written or its
potential impact.
3.Review with the witness all exhibits he or she will identify
or authenticate, explaining the foundation requirements
for each exhibit and how they are intended to be used in
court.
4.Review this witness's testimony in the context of the
probable testimony of other witnesses to see if there are
any inconsistencies. If there are, look for explanations
for the inconsistencies that can be used by the witness
to explain to the court the reason for the inconsistencies.
5.Prepare the direct examination of the witness and review
it with the witness repeatedly. Make sure the witness
can actually testify to what you anticipate he or she can,
and make sure that the foundation is established for all
necessary exhibits. Once the general outline has
been set forth, go over the actual questions in light of
evidentiary requirements. Explain why you cannot
use leading questions, and continue your preparation until
the witness is thoroughly familiar with the questions and
can answer them in the clearest, most accurate way. Preparation
should never continue to the point where the testimony
sounds memorized or rehearsed.
6.After the direct examination has been prepared, review
with the witness the areas that cross‑examination
will cover, explaining the rules of cross‑examination
and the purposes. Have an associate do a sample cross‑examination
of the witness. Counsel the witness to keep his or
her answers brief and direct, and to only answer the question
asked.
7.Explain
to the witness the demeanor that he or she should employ
in the courtroom, and that he or she should dress neatly
and conservatively appropriate to his or her background. Explain
how he or she should stand, the administration of the oath,
and to address his or her answers to the judge or the jury
as the case may be.
8.Prepare the witness for his or her courtroom testimony,
explaining that these rules will affect the way the court
and jury will evaluate the witness and his or her testimony:
a. Listen carefully to every question and answer
only that question, without volunteering extraneous information.
b. If you do not understand a question, say so,
and counsel will rephrase it, and don't be afraid to acknowledge
that you can't remember an answer if you genuinely have
a memory lapse. Use approximations for dates, times,
and distances, and try to give positive, clear, and direct
answers to every question. Avoid the use of the vernacular,
or the use of technical language typically unfamiliar to
the witness.
c. Be serious and polite at all times, without exaggeration
or understatement. Cute or clever answers are forbidden,
and the witness should never argue with counsel or the
judge. Resist the temptation to lose your temper
with questions that are potentially uncomfortable.
d. Testimony is typically restricted to what the
witness personally saw, heard, and did. The witness
can generally not testify to what others know, or to conclusions,
opinions, and speculations.
e. If an objection is made by either side to any
question or answer, stop and wait for the judge to rule. If
the judge overrules the objection answer the question,
and if the judge sustains the objection, never try to squeeze
an answer in when an objection has been made.
f. Explain the purposes of direct, cross, re‑direct,
and re‑cross and the forms of questions employed
in each type of examination.
g. Explain trick questions that the other side may
ask, such as "have you talked to anyone about this case." Explain
how such questions can be accurately and fairly answered.
h. Above all, remain courteous and always tell the
complete truth according to your best recollection of the
facts and events involved.
Many attorneys prepare a complete question and answer outline
for use at trial. Under this method every question
you intend to ask and the witness's anticipated answer
is written out. If you use this method, do not show
the actual written questions and answers to the witness
as opposing counsel may ask the writer if he or she prepared
or saw any outlines of his or her examination. The
disadvantage is that unless you are a skilled actor, your
questions will sound as if they are being read from a script. However,
such a technique is impressive on cross examination of
a hostile witness. Prepare the questions and answers
in advance, with citations to impeachment material at your
fingertips. Not only will the jury be impressed with
concise examination, but empowered with readily available
impeachment material.
Many
attorneys employ a narrative manner for purposes of direct
examination on friendly witnesses. Under
this method you write out in outline form what the witness
will say and do on direct. You then simply follow
the narrative, posing questions that will elicit the desired
answers. This will have the advantage of fresh‑sounding
and spontaneous answers and allow you to retain flexibility
during the direct examination.
2. Preparation of the Expert Witness
Once you have passed pretrial motions attacking your expert,
you will have the opportunity to present the expert's testimony
to the jury. Before the expert has the opportunity
to give and discuss his or her opinion, a proper foundation
must be laid. First, the expert must be introduced
to the jury and qualified. This introductory phase
of the testimony presents an excellent opportunity to personalize
the expert. Working with an expert before trial can
help to develop a rapport between yourself and the expert. If
there is a connection between you and the expert witness,
the jury is more likely to pick up on it and develop a
more favorable opinion of the expert. The reverse
is also true.
In qualifying the expert, there is a risk of losing the
jury's attention and interest. Long and tedious accounts
of educational background and practical experience can
lure a jury into boredom and indifference. When a
witness is first called, the jurors are highly interested
in why the witness is before them and what they have to
say. Taking more time than necessary to qualify the
witness runs the risk of losing the jury's focus. The
expert's credentials should be covered enough to qualify
him or her to testify and to sufficiently impress the jury
with credentials and credibility. You must keep this
in mind while preparing for the direct examination of an
expert witness. The introductory phase sets the stage
for subsequent testimony. In order to maximize expert
testimony, the stage must be set in the beginning by effectively
qualifying and personalizing.
After
introducing and qualifying the expert, the purpose of
the expert's testimony must be addressed. In response
to direct questioning, the expert will explain the issue
he or she will testify about and the related scientific
or technical principles. It is important that the
expert take this opportunity to engage the jury and teach
the underlying technical or scientific principles that
form the basis of his or her opinion. You should
work with the expert before trial to develop a classroom
type testimony that captures the interest of the jury. The
expert must use easy to understand language, examples,
and analogies. We have found that the jury follows
the "are you familiar with a certain medical term" and
"will you please explain to us what that means" to be an
effective way of teaching the jury the basic background
necessary to appreciate and accept the opinions which will
follow.
Expert witnesses should summarize and explain to the jury
complex scientific concepts, such as complex injuries and
treatment. Testimony can describe concepts in general
terms and address specifics by use of demonstrative evidence. For
example, testimony of general descriptions of injuries
can recount daily activities of an injured patient along
with the type of daily treatment received. Life care
planners and caregivers are best able to explain what the
life of the victim has become in terms the jury can understand. We
recommend letting the client maximize the optimistic goals
as much as possible.
After
the witness is qualified and the technical and scientific
foundation has been laid for the opinion, use of demonstrative
evidence can be valuable in persuading the jury. The
use of demonstrative evidence at trial has two goals. Not
only will it increase the likelihood of a favorable verdict
for one's client, but it can also make damage awards higher
by better educating the jury of the damages your client
has suffered. At trial, the effective use of demonstrative
evidence will pique the interest of the jurors and assist
the jury in understanding your case. Studies have
shown that the ability to comprehend information is vastly
enhanced by coupling verbal with visual communication. By
allowing jurors to visually grasp points, e.g., using charts,
graphs, and models, in addition to hearing testimony, an
attorney dramatically increases the likelihood that the
jury will remember the data when it comes time to deliberate. However,
the attorney must remember that while a trial is, in part,
a show or performance, if the use of demonstrative evidence
is overdone, it may detract from, rather than enhance the
case.
D. How to Prepare a Damages Case Through Medical
Testimony
A. The Ground Rules. The Indiana Rules of Evidence.
Rule 702. Testimony by Experts
(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 witness qualified as
an expert by knowledge, skill, experience, training, or
education, may testify thereto in the form of an opinion
or otherwise.
*For a witness to qualify as an expert:
1. The subject matter must be distinctly related
to some scientific field, business, or profession beyond
the knowledge of the average layperson; and,
2. The witness must be shown to have sufficient skill,
knowledge, or experience in that area so that the opinion
will aid the trier of fact.
*Where an expert's testimony is based upon the expert's
skill or experience, the proponent of the testimony must
only demonstrate that the subject matter is related to
some field beyond the knowledge of lay persons and that
the witness possesses sufficient skill, knowledge or experience
in the field to assist the trier of fact to understand
the evidence or to determine a fact in issue.
* Where an expert's testimony is based upon scientific
principles, the proponent of the testimony must also establish
that the scientific principles upon which the testimony
rests are reliable. Then the 702(b) requirement is
necessary.
*Assigns to the trial court a gatekeeping function of ensuring
that an expert witness' testimony both rests on a reliable
foundation and is relevant to the task at hand. Knowledge
admissible under this rule must connote more than a subjective
belief or unsupported speculation.
(b) Expert scientific testimony is admissible only if the
court is satisfied that the scientific principles upon
which the expert testimony rests are reliable.
*No
specific "test" or "set of prongs" which must be considered
by the Court to satisfy this requirement. Indiana
Courts may consider the five factors set forth in Daubert
v. Merrell Dow Pharm. Inc., 509 U.S. 579 (1993). Such
factors include:
1. Whether the theory or technique at issue can be
and has been tested;
2. Whether the theory or technique has been subjected
to peer review and publication;
3. The
known or potential rate of error;
4. The existence and maintenance of standards controlling
the technique's operation; and,
5. Whether the Technique is generally accepted within the
relevant scientific community.
The Daubert factors are not binding on the determination
of issues under 702, but their utility is recognized by
Indiana Courts.
*Focus on principles and methodology, not on conclusions.
*Opinion can not be based on mere coincidence.
Rule 703. Bases of Opinion Testimony by Experts
The facts or data in the particular case upon which an
expert bases an opinion or inference may be those perceived
by or made known to the expert at or before the hearing.
Experts may testify to opinions based on inadmissible evidence,
provided that it is of the type reasonably relied upon
by experts in the field.
Rule 704. Opinion on Ultimate Issue
(a) Testimony in the form of an opinion or inference otherwise
admissible is not objectionable merely because it embraces
an ultimate issue to be decided by the trier of fact.
(b) Witnesses may not testify to opinions concerning intent,
guilt, or innocence in a criminal case; the truth or falsity
of allegations; whether a witness has testified truthfully;
or legal conclusions.
Rule 705. Disclosure of Facts or Data Underlying Expert
Opinion
The expert may testify in terms of opinion or inference
and give reasons therefore without first testifying to
the underlying facts or data, unless the court requires
otherwise. The expert may in any event be required to disclose
the underlying facts or data on cross-examination.
The United States Supreme Court issued its ruling in Daubert
v. Merrell Dow Pharmaceuticals, Inc., that
was intended to "liberal[ize]" federal evidence practices
and abolish the requirement that expert opinion must represent
consensus views. It
was anticipated that Daubert would reduce the frequency
and intensity of judicial scrutiny of expert opinions. In
reality, it has had the opposite effect in Federal Court.
Trial lawyers throughout Indiana have carefully watched
how the Indiana Supreme Court would respond to Daubert. Thankfully,
for both the plaintiff and defense bar the Indiana Supreme
Court has taken a common sense approach to the admissibility
of expert testimony, and has recognized that Daubert was
intended to liberalize the rules concerning the admissibility
of expert testimony.
The Indiana Supreme Court has held that it is not
bound to follow the Daubert approach, and recognized that
Daubert was intended to liberalize the rules concerning
the admissibility of expert testimony. Further, unlike
the approach that is often utilized in the federal courts,
the Indiana Supreme Court has made it clear that it does
not want Indiana trial judges to over-analyze every aspect
of an expert's testimony in making the initial admissibility
determination. The Court has recognized that it is
the function of the jury in our system of justice that
is empowered to determine the weight to be given to the
testimony of all witnesses, including expert witnesses.
The nature and extent of the evidence that must be submitted
to and Indiana trial court to satisfy the reliability analysis
of Rule 702 depends on the nature of the testimony in question.
Thus, the Indiana Supreme Court in McGrew v. State, 682
N.E.2d 1289 (Ind. 1997), decided that the complexity of
the scientific principles underlying the subject matter
of the expert testimony would determine the complexity
of the foundation necessary to support the admissibility
of the testimony. The Court held that:
Inherent in any reliability analysis is the understanding
that, as the scientific principles become more advanced
and complex, the foundation required to establish reliability
will necessarily become more advanced and complex as well. The
converse is just as applicable, as demonstrated by the
trial court's conclusion that "what we're talking about
is not the traditional scientific evaluation. We
are talking about simply a person's observations under
a microscope."
In
its' decision in Sears Roebuck & Co. v. Manuilov,
742 N.E.2d 453 (Ind. 2000), the Indiana Supreme Court made
it clear that it was not going to require the trial court
to conduct "mini-trials" in making the reliability analysis
under Rule 702. Further, the Court emphasized that
the general principles and general methodologies underlying
the expert's testimony where to be examined, as opposed
to an examination of every aspect of the expert's testimony. Specifically,
the Court cautioned trial courts in Indiana to not attempt
to micro-manage the admissibility of expert testimony so
as to eliminate the vital role assigned to the jury to
ultimately determine the weight that any testimony will
be accorded.
In Sears, the testimony of two physicians was challenged
at trial as unreliable and therefore inadmissable. The
physicians expressed the opinion that the plaintiff suffered
from symptoms of post-concussion syndrome which adversely
affected his ability to return to his former employment. The
defendant challenged this testimony on various grounds,
including the allegation that the testimony was not scientifically
reliable. The trial court overruled the defendant's
objections and the testimony was admitted at trial.
On
appeal, the Indiana Court of Appeals examined in great
detail the testimony of each of the physician experts,
and ruled that the testimony was not reliable under 702(b)
and thus should not have been admitted into evidence
by the trial court. Sears Roebuck & Co. v. Manuilov,
715 N.E.2d 968 (Ind. Ct. App. 1999). Further, the
Indiana Court of Appeals encouraged trial courts to hold
separate pre-trial Daubert hearings whenever a 702(b) challenge
was made to expert testimony. Id. at 993, n.20. The
scope of such a hearing would have required the party offering
the expert testimony to bring his expert to the hearing
and engage in a mini-trial in virtually every case.
The Indiana Supreme Court reversed the Court of Appeals
decision in Sears and at the outset of its discussion concerning
the admissibility of expert testimony implicitly rejected
the suggestion by the Court of Appeals that trial courts
should routinely conduct separate Daubert hearings before
trial. "In adopting evidence rule 702, this court
did not intend to interpose an unnecessarily burdensome
procedure or methodology for trial courts." Sears
Roebuck & Co. v. Manuilov, 742 N.E.2d 453, 460 (Ind.
2001).
The Supreme Court next observed that the adoption of Rule
702 "reflected an intent to liberalize, rather than to
constrict, the admission of reliable scientific evidence." Id. Further,
the court reemphasized its earlier decisions that although
potentially helpful, Federal Court opinions interpreting
Daubert are not binding on Indiana Courts in deciding evidentiary
issues. Id. at n.5
In
the most critical passage in the opinion, the Indiana
Supreme Court instructed trial courts to consider the
general principles and general methodology underlying
the reliability of an expert's testimony, leaving the
accuracy, consistency, and credibility of the testimony
to be determined by the trier of fact after testimony
has been subjected to the adversarial process at trial. If applied to separately
evaluate every subsidiary point made during the testimony
of a qualified expert regarding matters based on reliable
science, Rule 702(b) can become excessively burdensome
to the fair and efficient administration of justice. It
directs the trial court to consider the underlying reliability
of the general principles involved in the subject matter
of the testimony, but does not require the trial court
to reevaluate and micro manage each subsidiary element
of an expert's testimony within the subject. Once
the trial court is satisfied that the expert's testimony
will assist the trier of fact and that the expert's general
methodology is based on reliable scientific principles,
then the accuracy, consistency, and credibility of the
expert's opinions may properly be left to vigorous cross-examination,
presentation of contrary evidence, argument of counsel,
and resolution by the trier of fact. Id. at 461.
Applying these principles to the physician's testimony
at trial, the Court held that the trial court did not abuse
its discretion in admitting the testimony. Likewise,
the Court rejected the argument that the doctor's testimony
about the affects of post-concussion syndrome on plaintiff's
ability to return to work as a high-wire circus performer
was unreliable. Emphasizing the lack of complexity
in the doctor's testimony in this regard, the Court stated
as follows:
The doctor's testimony that the severe blow to the head
from the plaintiff's fall resulting in continuing dizziness
and headaches and preventing him from returning to his
career as high-wire performer is not a matter necessarily
restricted to the province of a vocational expert knowledgeable
about the requirements of circus high-wire artistry. That
dizziness would substantially affect the plaintiff's capacity
to perform on the high-wire is a matter of common sense,
and does not require vocational expertise.
Id. at 461.
Following Sears, the Appellate Court in Pinkins v. State,
799 N.E.2d 1079, 1087 (Ind. Ct. App. 2003), summarized
Sears into a two part test holding that:
Specifically,
we note that for a witness to be qualified as an expert,
two requirements must be met. First, the subject matter must be distinctly related to some
scientific field, business or profession beyond the knowledge of the average
person. Second, the witness must have sufficient skill,
knowledge, or experience in that area so that th opinion
will aid the trier of fact.
Read
the Rest of document.
Lytle
v. Ford Motor Company, 814 N.E.2d 201 (Ind. App. 2004).
Gregory & Appel
Ins. Agency v. Philadelphia Indem. Ins. Co., 835 N.E.2d 1053., Ind.App. 2005.
Smith
v. Yang, 829 N.E.2d 624 (Ind. App. 2005).
Norfolk
Southern Railway Comp. v. Wagers, 833 N.E. 2d 93 (Ind. App. 2005).
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