FOR PUBLICATION
ATTORNEY FOR APPELLANT: ATTORNEYS FOR APPELLEE:
ROGER L. PARDIECK JOHN JOSEPH TANNER
Pardieck & Gill ANDREA ROBERTS
Seymour, Indiana CATHERINE A. MEEKER
Baker & Daniels
Indianapolis, Indiana
ATTORNEY FOR AMICUS
DEFENSE TRIAL COUNSEL OF INDIANA:
JAMES D. JOHNSON
Rudolph, Fine, Porter, Johnson, LLP
Evansville, Indiana
IN THE
COURT OF APPEALS OF INDIANA
STEVEN LYTLE, Individually and as )
Guardian of the Person and Estate of )
KYONG LYTLE and as Parent and Natural )
Guardian of MICHELLE LYTLE, )
)
Appellant-Plaintiff, )
)
vs. ) No. 54A04-0402-CV-104
)
FORD MOTOR COMPANY, )
)
Appellee-Defendant. )
)
APPEAL FROM THE MONTGOMERY CIRCUIT COURT
The Honorable Thomas J. Milligan, Judge
Cause No. 54C01-8910-CP-0532
September 7, 2004
OPINION
FOR PUBLICATION
BAKER, Judge
Nearly six years after we first issued an opinion in this action, this
case is before us once again. Appellant-plaintiff Steven Lytle, appeals the entry
of summary judgment granted in favor of appellee-defendant Ford Motor Company (Ford) on
his product liability claim against Ford for defective seatbelt design, alleging that the
trial court erred in determining that evidence submitted by Lytles expert witnesses based
on their observations and deductive reasoning was insufficient to oppose Fords technical and
scientifically relevant evidence based on reliable scientific principles. Appellants Br. p. 9.
More specifically, Lytle argues that the trial court erred in its application
of Indiana Evidence Rule 702, that it improperly granted Fords motion to strike
several affidavits and other exhibits on relevancy grounds and that it had improperly
weighed the evidence at the summary judgment stage of the proceedings. Concluding
that the trial court properly granted Fords motion for summary judgment, we affirm.
FACTS
See footnote
As we reported in Lytle v. Ford Motor Co., 696 N.E.2d 465 (Ind.
Ct. App. 1998), trans. denied, the relevant facts of this case are as
follows:
On August 31, 1987, Lytle, his wife Kyong and their daughter Michelle were
riding in their 1987 Ford Ranger pickup truck when it was struck by
another vehicle. The force of the collision caused their truck to skid
and roll over several times. Although Lytle contends that Kyong was wearing
a seat belt at the time of the accident, she was thrown from
the truck. As a result, Kyong suffered permanent brain damage, while Lytle
and Michelle, who were restrained by their seat belts, incurred only minor injuries.
In August of 1989, Lytle filed a complaint against Ford, alleging that Kyongs
enhanced injuries were caused by a design defect in Fords seat belts. Specifically,
Lytle alleged that the seat belt buckle inertially released as a result of
the acceleration forces which occurred during the accident. In the alternative, Lytle
alleged that the improper placement of the seat belt buckles combined with the
ease with which Kyongs buckle could be released, caused it to inadvertently release
when it came in contact with either Michelles body or clothing or her
buckle. In response, Ford filed an answer denying Lytles allegations, contending that
its seat belt design was not defective and that Kyong was not wearing
her seat belt at the time of the accident.
On August 23, 1996, Ford filed a motion in limine seeking to exclude
evidence of any design defects other than those relating to inadvertent release, inertial
release or defects in the passenger door. Record at volume 8:
page 1858. On September 19, 1996, during the hearing on Fords motion
in limine, Lytles attorney informed the court that, the only issue concerns the
buckle and in that regard its [sic] simply the design of the buckle,
the selection of this particular buckle compared to other safer alternative designs, and
the failure to test the buckles. R. at 39:9057. Thereafter,
the trial court granted Fords motion, concluding that the only issues remaining concerned
the buckles design and selection and Fords failure to properly test the buckle.
R. at 13:2889.
On August 23, 1996, Ford also filed a motion in limine seeking to
exclude the testimony of Lytles expert witnesses, Billy Peterson and John Marcosky.
Specifically, Ford contended that Petersons testimony regarding inertial release was not scientifically reliable
and would not assist the trier of fact. Ford further argued that
any probative value that the testimony would provide would be substantially outweighed by
the prejudice to Ford. Additionally, Ford contended that Marcoskys testimony regarding inertial
and inadvertent release was not based on reliable analysis or knowledge and would
not assist the trier of fact. R. at 8:1879. In
September of 1996, after a hearing on the motion in limine, the trial
court entered an order excluding Marcoskys testimony because Lytle failed to demonstrate that
the testimony was based upon any particular skill, knowledge, experience or expertise or
that it would assist the jury. R. at 13:2891-92. The trial
court also excluded Petersons testimony regarding inertial release because he could not show
that the forces and circumstances which were present during his pendulum tests
and which permitted the seat belts to inertially release, were sufficiently similar
to the forces and circumstances which are present in a real world accident,
or which were present during the Lytles accident. R. at 13:2926-28.
Following the courts ruling, during an offer of proof, Peterson testified that his
pendulum tests demonstrated that inertial release can occur at less than peak acceleration
of between 40-60 g forces. Therefore, he argued, because Fords tests had demonstrated
that buckles could be exposed to forces of 40-60 gs during a real
world accident, his tests proved that a seat belt could inertially release during
a real world accident. However, the court again ruled that his testimony
was inadmissible, finding that Lytle had failed to establish that the forces present
during Petersons tests were similar enough to forces which are present in a
real world accident.
On October 7, 1996, Ford filed a motion for summary judgment, alleging that,
without testimony from Marcosky and Peterson, Lytle could not establish a genuine issue
of material fact regarding design defect and causation. Thereafter, Lytle filed a
motion in opposition to summary judgment, in which he argued that the testimony
of his expert witnesses was admissible. Nevertheless, the trial court granted Fords
motion for summary judgment and incorporated its previous rulings excluding Petersons testimony. The
court also found that Lytle had abandoned his claim for inadvertent release, that
Marcoskys and Petersons testimony regarding inertial release was inadmissible and that, without expert
testimony, Lytle presented no genuine issue of material fact regarding defect, a safer
alternative design or causation.
Id. at 467-68. In deciding the first Lytle appeal, we held, among
other things, that the trial court erred in determining that Lytle had abandoned
his theory of inadvertent release. However, we also concluded that the trial
court properly excluded Petersons and Marcoskys testimony regarding inertial release and, therefore, the
trial court properly granted summary judgment on this theory. We also determined
that even though expert testimony from Marcosky was properly excluded regarding inadvertent release,
it was also demonstrated that the trial court did not exclude Petersons testimony
on this theory. As a result, we remanded the cause with instructions
that the case should proceed on Lytles theory of inadvertent release. Id.
at 474.
Following the appeal, Ford filed a second motion for summary judgment and motions
in limine on May 16, 2001, to exclude the expert testimony of Billy
Peterson and Thomas Horton. Sometime thereafter, Peterson died and Lytle retained Dr.
Anil Khadilkar as an expert witness. Fords second motion for summary judgment
was held in abeyance and, following additional discovery, the company filed a third
motion for summary judgment on October 2003, seeking to exclude all of Lytles
expert witnesses.
Ford contended that it was entitled to judgment as a matter of law
because its uncontradicted expert testimony established that the seatbelt assemblies in the Ford
Ranger were not defectively designed, and Lytle failed to present any evidence to
contradict that theory. Appellants App. p. 417. Along with the motion
for summary judgment, Ford sought to exclude Lytles expert witnesses on the grounds
that their testimony was inadmissible and not scientifically reliable with respect to the
issue of Fords alleged negligence or design defect. Moreover, Ford contended that
even if the proposed expert testimony could be admitted, summary judgment should still
be granted because Lytle failed to put forth any evidence demonstrating that the
seatbelt assemblies were defective or that feasible, safer, and more practical designs were
available and would have afforded better protection. Ford also alleged that Lytles
designated evidence failed to establish that there were alternative designs that could have
prevented the injury and that the specific injuries to Mrs. Lytle were proximately
caused by the alleged defective seatbelt assemblies.
Following a hearing, the trial court granted Fords motion to strike several of
Lytles exhibits and affidavits, and proceeded to enter summary judgment for Ford. It
was determined that, for purposes of summary judgment, the seatbelt was in fact
latched and was in the proper position. The trial court then noted
that in order to support Lytles contention of a design defect, sufficient expert
testimony had to be presented. That is, scientific testimony of a technical nature
was required that had to be based upon scientific principles. Moreover, the
trial court held that the causal link between the design defect and the
injury that Lytle suffered also had to be established by scientific evidence.
The trial court went on to observe that Lytle failed to present sufficient
evidence in accordance with Indiana Evidence Rule 702(b) to withstand Fords motion for
summary judgment. In essence, the trial court observed that neither Horton nor
Dr. Khadilkar performed any testing, and there was no credible expert testimony that
was based on reliable scientific principles that their theory could work in the
real world and was what, in fact, occurred in Lytles vehicle. In
other words, the trial court reasoned that the inferences Lytle was attempting to
draw were not based on scientific principles. Rather, it was concluded that
those inferences were merely based upon observation and deductive reasoning.
With respect to the theory of inadvertent unlatch, the trial court observed that
there are no reported publications, no reported peer reviews, no reported experiments or
testing demonstrating that inadvertent unlatch as claimed by Lytle occurs in the real
world. Moreover, the trial court determined that Lytles witnesses have not satisfied
any of the criteria set forth in Daubert.
See footnote Hence, it concluded that
the expert testimony offered by Lytles witnesses was scientifically unreliable and could not
be admitted in accordance with our rules of evidence.
On the other hand, the trial court concluded that Fords witnesses documented their
testing, demonstrated that their theories, tests, and techniques can be repeated and replicated,
that findings have been published with regard to this case, and the methodology
that they followed is well-accepted in the technical and scientific community concerned with
automobile safety issues. Inasmuch as Lytle was unable to present any technical
and scientifically relevant evidence based on reliable scientific principles that would create a
genuine issue of material fact in opposition to Fords summary judgment motion, the
trial court concluded that summary judgment for Ford was proper.
Additionally, the trial court determined that there was no issue of express warranty,
as it had been dismissed from the pleadings years ago, and that there
was no allegation of a breach of warranty claim in the amended complaint
filed in 1996. There was also no testimony or other evidence to
support that theory. Also, because the issue of compensatory damages was decided
adversely to Lytle, no question as to punitive damages could be submitted to
the trier of fact. Thus, summary judgment was also entered on the
claim of punitive damages. Lytle now appeals the grant of summary
judgment in favor of Ford.See footnote
DISCUSSION AND DECISION
I. Standard of Review
In reviewing the
trial courts grant of summary judgment, this court stands in the shoes of
the trial court, applying the same standards in deciding whether to affirm or
reverse summary judgment. Smith v. Allstate Ins. Co., 681 N.E.2d 220, 223 (Ind.
Ct. App. 1997). We do not weigh evidence but will liberally construe
the facts in the light most favorable to the nonmoving party. General
Motors Corp. v. Northrop Corp., 685 N.E.2d 127, 132 (Ind. Ct. App. 1997),
trans. denied. Summary judgment should be granted only when the designated
evidentiary matter shows that there is no genuine issue as to any material
fact and that the moving party is entitled to judgment as a matter
of law. Ind. Trial Rule 56(C). On appeal, we must determine
whether there is a genuine issue of material fact and whether the law
has been correctly applied by the trial court. City of Elkhart v.
Agenda: Open Government, Inc., 683 N.E.2d 622, 625 (Ind. Ct. App. 1997), trans.
denied. The party appealing the grant of summary judgment has the
burden of persuading this court on appeal that the trial courts ruling was
improper. Jordan v. Deery, 609 N.E.2d 1104, 1107 (Ind. 1993). We also
note that where expert testimony is advanced to establish causation, summary judgment is
properly entered in favor of the defendant where that testimony fails to meet
the admissibility requirements of Indiana Evidence Rule 702. Hottinger v. Trugreen Corp.,
665 N.E.2d 593, 595 (Ind. Ct. App. 1996), trans. denied.
II. Indiana Rules of Evidence
In addressing Lytles claims that granting summary judgment for Ford was error,
we first note the provisions of Indiana Evidence Rule 702:
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.
Expert scientific testimony is admissible only if the court is satisfied that the
scientific principles upon which the expert testimony rests are reliable.
In interpreting this rule, this court recently reaffirmed the notion that an expert
must be qualified by knowledge, skill, experience, training or education. Messer v.
Cerestar USA, Inc., 803 N.E.2d 1240, 1247 (Ind. Ct. App. 2004), trans. denied.
Additionally, an expert must have sufficient skill in the particular area
of expert testimony before an opinion may be offered in that area.
Armstrong v. Cerestar U.S.A., Inc., 775 N.E.2d 360, 365 (Ind. Ct. App. 2002),
trans. denied. Moreover, an expert in one field of expertise cannot offer
opinions in other fields absent a requisite showing of competency in that other
area. Hegerfeld v. Hegerfeld, 555 N.E.2d 853, 855-56 (Ind. Ct. App. 1990).
We also note that the proponent of expert testimony bears the burden of
establishing the foundation and reliability of the scientific principles and tests upon which
the experts testimony is based. Hannan v. Pest control Services, Inc., 734
N.E.2d 674, 679 (Ind. Ct. App. 2000), trans. denied (citing McGrew v. State,
682 N.E.2d 1289, 1290 (Ind. 1997)). Evidentiary rulings, including a decision to
exclude expert testimony, lie solely within the trial courts discretion and will not
be reversed absent an abuse of that discretion. Hannan, 734 N.E.2d at
679.
As we observed in the first Lytle opinion,
[W]here an experts testimony is based upon the experts skill or experience rather
than on the application of scientific principles, the proponent of the testimony must
only demonstrate that the subject matter is related to some field beyond the
knowledge of lay persons and 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. Evid. R. 702(a); Corbin v.
State, 563 N.E.2d 86, 92-93 (Ind. 1990). However, when the experts 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. Evid.
R. 702(b).
Lytle, 696 N.E.2d at 469-470.
In light of the above, it is apparent that Indiana Evidence Rule
702 assigns to the trial court a gatekeeping function of ensuring that an
experts testimony both rests on a reliable foundation and is relevant to the
task at hand. Hottinger, 665 N.E.2d at 596. When
faced with a proffer of expert scientific testimony, the court must make a
preliminary assessment of whether the reasoning or methodology underlying the testimony is scientifically
valid and whether that reasoning or methodology properly can be applied to the
facts in issue. Id. Scientific knowledge admissible under Indiana Evidence Rule
702 connotes more than subjective belief or unsupported speculation. Id.
Thus, expert testimony must be supported by appropriate validation or good grounds based
on what is known, establishing a standard of evidentiary reliability. Steward v.
State, 652 N.E.2d 490, 498 (Ind. 1995). Ordinarily, a key question to
be answered in determining whether a theory or technique is scientific knowledge that
will assist the trier of fact will be whether it can be empirically
tested. Hottinger, 665 N.E.2d at 596. Another pertinent consideration
is whether the theory or technique has been subjected to peer review and
publication. Id. Widespread acceptance can be an important factor in
ruling whether particular evidence is admissible under Indiana Evidence Rule 702, and a
technique which has attracted only minimal support may properly be viewed with skepticism.
Id. We also note, however, that while such factors are useful,
there is no specific test or set of prongs which must be considered
in order to satisfy the requirements of Indiana Evidence Rule 702(b). Wallace,
730 N.E.2d at 813.
Pursuant to the assertion that summary judgment for Ford must be reversed, Lytle
cites cases indicating that the term reliability in accordance with Indiana Evidence Rule
702 may be established by judicial notice or by a sufficient foundation to
convince a trial court that the relevant scientific principles are, in fact, reliable.
Rogers v. Cosco, Inc., 737 N.E.2d 1158, 1168 (Ind. Ct. App. 2000),
trans. denied. Quoting from Malinski v. State, Lytle states that a Daubert-type
analysis is not applicable where expert testimony is more a matter of the
observations of persons with specialized knowledge rather than a matter of scientific principles.
794 N.E.2d 1071, 1084 (Ind. 2003).
To illustrate, in Malinski, our supreme court considered the testimony of a pathologist
as to the mental condition of a victim depicted in a series of
photographs. His opinion was based solely upon his review of photographs of
the victim in bondage. Specifically, the expert witness determined that based upon
his forensic training and the photographs that he had reviewed, the victim was
an unwilling participant and had been incapacitated. In holding that the admission
of this testimony was not error, our supreme court reasoned that the experts
opinion was not a matter of scientific principles under Indiana Evidence Rule 702(b),
but was expert testimony based on specialized knowledge. Id. However, there
was no hypothesis involved as to how some extremely complex physical event might
have occurred.
In another case, PSI Energy, Inc. v. Home Insur. Co., 801 N.E.2d 705,
740-41 (Ind. Ct. App. 2004), trans. denied, the defendants argued the theory regarding
leakage and environmental contamination from subsurface containment structures could not be empirically tested.
The trial court had denied a motion to strike the testimony of
an expert witness involving the cause of leaks from subsurface containment structures.
Specifically, it was noted that the theory had not been peer-reviewed or even
written down. Moreover, it was demonstrated that the particular theory had not
been heard of in the relevant scientific community. Id. at 740.
In determining that the trial court did not abuse its discretion in denying
the motion to strike the testimony, this court determined that the experts theory
was based upon relatively simple concepts and reliably based on his observations and
application of his specialized knowledge to those observations. Id. at 741. We
also observed that the experts opinion as to the leakage was admissible because
the concepts relied upon, such as vibrations from a passing train, are relatively
simple and within the knowledge of a common layperson. Id.
In light of these cases, Lytle contends that Indiana law applies a different
criteria in distinguishing between testing and the like based on scientific principles, and
expert testimony based on skilled observations. He argues that in the previous
Lytle case, we differentiated between expert testimony regarding inadvertent release and inertial release
of the restraint system. Id. at 470. In particular, Lytle asserts
that we reviewed expert testimony regarding inadvertent release and recognized that the experts
had relied on observations of the buckle, the configuration of the buckles in
the vehicle, as well as their knowledge and experience, rather than on scientific
principles or testing. Id. (Emphasis added).
Quoting from Lytle, we observed that:
[W]here an experts testimony is based upon the experts skill or experience rather
than on the application of scientific principles, the proponent of the testimony must
only demonstrate that the subject matter is related to some field beyond the
knowledge of lay persons and 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.
Id. at 469-70.
III. Expert Witnesses
A. Thomas Hortons Testimony
Turning to the specific arguments relating to the testimony of Lytles expert witnesses,
Lytle asserts that Hortons testimony regarding the concept of inadvertent release is a
question of geometry and that it was based on observation of the buckle,
the configuration of the seat belt systems in the Ford Ranger, along with
Hortons knowledge and experience. Therefore, Lytle contends that Hortons testimony should have
been admitted. Lytle points out that Horton confirmed by examination that either
extending the length of the center buckle two inches or switching to end
release buckles would have prevented the inadvertent release of the buckle that allegedly
occurred in this accident.
With regard to the testing procedures employed, it was demonstrated that Horton had
replaced the buckles with end release buckles and confirmed that, with those types
of buckles, any contact would not involve contact with the pushbutton of the
outboard passengers end release buckle. Appellants App. p. 336-37. In light
of that opinion, Lytle maintains that the design defect and alternatives in this
case are proven not by testing, but from skilled observation, common sense, knowledge
and experience. Appellants Br. p. 21.
Lytle urges that the criteria set out by this court in the first
appeal requires that Horton have specialized knowledge, skill, experience, training, or education regarding
the issue involved and that his specialized knowledge assist the trier of fact
to understand the evidence or to determine a fact in issue. Lytle
did establish that Horton was educated and trained as a mechanical engineer, and
that he had been responsible for vehicle restraint system design, development and analysis
as an engineer for General Motors from 1977 to 1987. Further, Lytle
showed that Horton was employed by TRW, Inc., a seat belt manufacturer, from
1987 to 1994, and his positions involved direct knowledge of a variety of
restraint system components, including end release and side release buckles. Also, since
1996, Horton has been the principal engineer at Horton & Associates where he
serves as a consultant on safety restraint systems. Thus, Lytle contends that
in light of his education and employment record, Horton has gained specialized knowledge,
training and experience regarding the design, performance, and analysis of seat belt systems.
Hence, Lytle argues that Hortons testimony was certainly relevant as to whether
Mrs. Lytle was wearing her seat belt, whether and how it unlatched, and
whether Ford negligently designed the belt.
Lytle also notes that because several witnesses remarked that the passenger belt was
hanging out of the passenger side window after the accident, Horton was able
to explain how such remarks were consistent with use, release, retraction and how
the seat belt could have become unlatched. Therefore, Horton was also able to
explain that the buckles in Lytles vehicle did not conform to good engineering
practice. That is, Horton was of the opinion that an automaker using
reasonable care at the time that Lytles vehicle was designed and manufactured would
have considered and avoided the type of geometric configuration that had been used
in the production of the Ford Ranger. Horton has also testified that
safer, feasible, and more practical designs were available to Ford that would have
prevented the passenger from being ejected from the vehicle. As a result,
Lytle concludes that Hortons testimony was based on the observation of a person
with specialized knowledge, that was beyond the knowledge of lay persons and, therefore,
the trial court erred in requiring Lytle to present scientific testimony under Indiana
Evidence Rule 702(b) in opposition to Fords motion for summary judgment.
In addressing these contentions, it is apparent from the record that Horton simply
twisted and pushed two seatbelts together without any evidence that the accident could
have resulted in the same forces, direction, duration, rotations, or load conditions as
his manipulations. Ford saysand we agreethat proof of inadvertent unlatch should require
a specific scientific analysis, the same as we required with regard to the
theory of inertial release. To be sure, as we recognized in Lytle
I, the testimony of one of the expert witnesses had to be excluded
because Lytle failed to demonstrate that there was any moment when the necessary
combination of webbing tension, force and duration to release the buckle was possible
in a rollover.
For these same reasons, we agree with the trial courts conclusion that Hortons
testimony also had to be excluded. In our view, the possibility that
an inadvertent unlatch occurred in this accident depends on a similar convergence of
all of the variables addressed above: a particular direction of movement and
rotation of the belt assemblies, coupled with the proper force and webbing load,
all for the appropriate duration. Put another way, given the evidence in
this record, we cannot see how the convergence of all of these variables
at a precise moment in time can simply be observed.
We also note that the circumstances in both Malinski and PSI differ significantly
from those presented here, inasmuch as the expert witnesses in those cases simply
assisted the trier of fact based on his or her greater skill, knowledge
or experience, to evaluate physical evidence that was already before the trial court.
Here, there is simply no way for a jury to determine whether
what Lytle says happened in the vehicle during the accident sequence actually occurred.
There are no pictures of cracks or footprints or microscope slides
that a jury could examine in order to draw its own conclusion.
Rather, there are only the facts of the accident and the injuries, along
with the opinions offered by the parties experts.
In Messer v. Cerestar USA, Inc., expert testimony was barred regarding the failure
of a safety gate in accordance with Indiana Evidence Rule 702(b). In
Messer, the evidence established that the gate was designed for removal by lifting
it upward and out of a U-shaped bracket where it rested. Eyewitness
testimony indicated that when Messer leaned over it, the gate simply slid out
of the cups and down [Messer] came. 803 N.E.2d 1240, 1244-45 (Ind.
Ct. App. 2004), trans. denied. The plaintiffs expert concluded that the gate
failed because it was unable to withstand two-hundred pounds of pressure and remain
fixed in place. Id. at 1248. On appeal, we reversed
the trial courts decision to admit the experts testimony that had been submitted
by way of affidavit. We held that the plaintiff had failed to
demonstrate that the affidavit rested upon reliable scientific principles, and it did not
reveal what scientific method or principles were used to arrive at the conclusion
that the gate was defective. Id. at 1247-48. Additionally, there was
no indication that the expert took any measurements, performed any analysis, or even
viewed the gate and accident scene. Id. at 1247-48. Thus, we
concluded that the opinion is unsupported speculation or subjective belief . . .
and the affidavit should not have been admitted. Id. at 1248.
Following the rationale set forth in Messer, it is apparent that Lytles experts
have concluded that the seatbelt was defective based only on their hypotheses as
to what might have occurred during the accident. On the other hand,
in both Malinski and PSI, the experts opinions were rooted in observations of
physical evidence such as a shoe print, bondage photographs, a cell under a
microscope, a bullet wound, or a crack in concrete. As we observed
in Messer, we must conclude that Hortons purported expert testimony failed to comply
with Indiana Evidence Rule 702(b), inasmuch as Lytle failed to show that his
opinions were based upon reliable scientific principles.
That said, however, we note that there were certain aspects of Hortons testimony
that were susceptible to mere observation, including: (1) the fact that two
seat belt buckles are in close proximity to each other; (2) the relative
length and position of the buckle stalks; and (3) the fact that some
release buttons are more difficult to depress than others. Nonetheless, these circumstances
indicate that a layperson is just as capable of evaluating the evidence and
reaching the conclusions that Horton did on these points. Hence,
we reject the notion that Horton could rely upon general principles of physics
alone to establish the necessary conclusions to defeat summary judgment. To be
sure, the trial court could reasonably conclude that force, duration, direction, tension and
rotation during an accident sequence like what had occurred with the Lytles involve
complex scientific variables that cannot be merely observed.
By way of further explanation, it is clear that Horton sought to present
the following opinions to the jury: (1) the geometry of the passengers
and center occupants seatbelt assemblies in the vehicle permits sufficient contact between the
shoulder of the latch plate of the center occupants assembly and the button
of the passengers buckle when both seatbelts are in use to unlatch the
passengers buckle; (2) the accident that occurred here created forces sufficient to move
the assemblies worn by Michelle and Kyong in a manner that caused the
shoulder of Michelles latch plate to twist, move toward, and then depress the
button on Kyongs buckle with forces sufficient to open the buckle at a
time when no belt load tensions were present; and (3) two safer alternative
seatbelt designs were available to Ford.
In examining these proposed opinions, it is apparent that Hortons leap from his
observations to such conclusions amounts to mere speculation. Hortons opinions are based
only on (1) his examination of the vehicle and seatbelt assemblies, including the
placement and photography of two people in an exemplar vehicle in 2003, and
(2) his uninstrumented hand manipulations of two exemplar assemblies, unattached to any vehicle,
and without passenger load or any web tension whatsoever. Appellants App. p.
1649-52, 1655-56, 1665-67. Horton acknowledged in his deposition testimony that he could
not replicate the force, direction or duration of the contact, the rotation of
the belts or the web tension of the belts to achieve what he
considered the inadvertent unlatch. To be sure, Horton was not able to
replicate the types of forces that are involved when a vehicle strikes the
side of a pickup truck at the time that an individual is traveling
on the roads. Moreover, Horton had performed no testing to support his
theory that a longer center buckle stalk was a safer alternative design, and
he had not done any testing and had no support for his opinion
that the other buckle was a safer alternative design. Appellants App. p.
55-56. In light of such a significant analytical gap between Hortons
data and his conclusions, his testimony was unreliable as a matter of law,
and we must conclude that the trial court properly excluded his testimony.
B. Dr. Khadilkars Testimony
In a similar vein, Lytle goes on to argue that Dr. Khadilkars testimony
was admissible and relevant because it was based upon his specialized knowledge and
skilled observations. As with Horton, the record shows that Dr. Khadilkars testimony
regarding inadvertent unlatch was based primarily on observation and analysis of the geometry
of the restraint system and its alternatives. Dr. Khadilkar concluded as follows:
the potential for buckles to unlatch from inadvertent contact increases when two
or more people are adjacent to each other in a vehicle and when
the geometry of the restraint system places one buckle immediately adjacent to another
as is the case of the restraint system in the Lytles [vehicle].
Appellants App. p. 646. Lytle contends that such an opinion should have
been admitted because the designated evidence established that Dr. Khadilkar possessed specialized knowledge,
skill, training and experience regarding design and configuration of seat belt systems, and
that his opinions regarding inadvertent release would assist the trier of fact.
Lytle sets forth Dr. Khadilkars educational and employment accomplishments, and notes that he
has conducted hundreds of static and dynamic crash tests including compliance and certification
testing and research on school buses and passenger vehicles. Appellants App. p.
285-86, 296. Moreover, Lytle showed that Dr. Khadilkar has conducted testing on
over twenty models of side-release and end-release safety belt buckles. Appellants App.
p. 296. In light of these accomplishments and experience, Lytle urges that
Dr. Khadilkars testimony would assist the jury in determining whether Kyong was wearing
her seat belt at the time of the collision, whether it unlatched allowing
her to be ejected, and whether Ford negligently manufactured and sold the vehicle.
Dr. Khadilkar also explained the physics that were involved and, taking into
account the speed of the vehicle and forces in the accident and other
factors, he determined that there was sufficient force in the collision to release
the buckle. Because Dr. Khadilkar examined Fords test results as
well as the type of restraint system that was used in the Lytles
vehicle and the alternatives that were available at the time, coupled with his
knowledge and understanding of the forces in a rollover sequence, Lytle urges that
Dr. Khadilkars specialized knowledge of restraint systems and rollovers would assist the trier
of fact in this case, and his testimony should have been admitted.
As with Hortons testimony, Lytle fails to show that Dr. Khadilkar satisfied the
reliability test with regard to his testimony. That is, Dr. Khadilkar never
documented the amount of depression that was necessary to release the seatbelt buckle
in the accident. Additionally, even though Dr. Khadilkar authored an affidavit and
two expert reports, he never identified a reliable basis for his conclusion.
It is also noteworthy that Dr. Khadilkar did not perform any research,
and he did not identify any literature in support of his theory.
In our view, the distinction that Lytle attempts to draw between the provisions
of Indiana Rules of Evidence 702(a) and 702(b) simply is not helpful to
him. That is, Rule 702(a) requires that expert testimony must assist the
trier of fact to understand the evidence or to determine a fact in
issue. PSI Energy, Inc., 801 N.E.2d at 738-39. Under Indiana Evidence
Rule 702(a), all expert testimony, and not merely scientific testimony subject to Rule
702(b), must be reliable and relevant to the issues under consideration. See
id. at 739. The record before us shows that Dr. Khadilkar engaged
in less than ten minutes of testing to reach his opinion: he
placed a buckle against a table in his office and eyeballed the depression
necessary to release the latchplate. Appellants App. p. 1833-35, 1846. The
record is devoid of any indication that Dr. Khadilkar made an effort to
measure the force, web tension, direction or rotation that would occur in this
type of accident. Moreover, Dr. Khadilkar did not favor the trial court with
any other evidence establishing that the seatbelt assemblies moved toward one another, moved
with any particular force or load, twisted into position, or that any other
object contacted the passengers button at all, let alone with sufficient force, direction,
duration, rotation, and load conditions to release the buckle. As with Hortons
testimony, we are compelled to conclude that the trial court properly excluded Dr.
Khadilkars testimony.
III. Scientific Evidence to Prove Causation
Notwithstanding our discussion above, Lytle goes on to argue that scientific testing is
not required to prove causation and cites Taylor v. State, 710 N.E.2d 921,
923-24 (Ind. 1999), for this proposition. In Taylor, a pathologist testified as
to the position of the shooter based on his examination of the victim
pursuant to Indiana Evidence Rule 702(a). Lytle observes that our supreme
court did not require scientific testing to replicate the incident. Id. He
also directs us to Dartey v. Ford Motor Co., 104 F. Supp. 2d
1017 (N.D. Ind. 2000), where a Federal District Court permitted a metallurgist to
testify regarding his theory about how cables on a truck tailgate broke, even
though he had not conducted any testing of his theory. In light
of these decisions, Lytle maintains that the requirement of testing to prove that
inadvertent release happensand in fact happened in this accidentconflicts with Indiana law.
Id. Thus, inasmuch as Horton and Dr. Khadilkar testified it was not
a good engineering practice for Ford to have placed a vehicle into commerce
with its belt buckles immediately adjacent to each other, which allowed the buckles
inadvertently to make contact, inadvertently release, and that other alternatives existed, it was
error to grant summary judgment for Ford.
In light of
our above discussion, we hold that the trial court accurately applied the established
principles when analyzing the proposed expert testimony regarding a nexus between the data
and the accident. In short, the trial court properly required Lytle to
demonstrate the reliability of his proposed expert testimony. And this, Lytle has
failed to do.
IV. Exclusion of Exhibits
Lytle also claims
that the trial court erred in excluding a number of exhibits he offered
in opposition to Fords motion for summary judgment. Specifically, Lytle claims that
the exclusion of several affidavits offered by his witnesses was error and that
the trial court erroneously concluded that one cannot determine from the affidavits alone
whether the information contained therein is based on the partys own individual knowledge
or whether the content of the affidavits are based on knowledge acquired from
some source other than the persons own observations or experiences. Appellants Br.
p. 31.
In resolving this
issue, we note that a trial courts ruling on the admissibility of evidence
is reviewed for an abuse of discretion. Vega v. State, 656 N.E.2d
497, 502 (Ind. Ct. App. 1996), trans. denied. Such an abuse occurs
when the trial courts decision is clearly against the logic and effect of
the facts and circumstances of the case, or if it misinterprets the law.
Vernon v. Kroger Co., 712 N.E.2d 976, 982 (Ind. 1999). However,
we also observe that evidentiary material used in association with a motion for
summary judgment must set forth only information that would be admissible at trial.
Ind. Trial Rule 56(E); Cromer v. Sefton, 471 N.E.2d 700, 705-06 (Ind.
Ct. App. 1984). When a court reviews a motion for summary judgment,
all inadmissible evidence in either supporting or opposing affidavits should be excluded from
consideration. Matter of Belangers Estate, 433 N.E.2d 39, 43 (Ind. Ct. App.
1982).
Here, Lytle maintains
that Michelles affidavit constitutes direct evidence that Kyong was wearing her seatbelt at
the time of the accident. Appellants App. p. 174. Affidavits submitted
by other witnesses established that immediately after the accident, the seat belt was
extended and out of the cab. Appellants App. p. 324-25. Steven
Lytles affidavit demonstrated that the buckle was relatively new and in working order
before the accident occurred. Appellants App. p. 352. Therefore, contrary to
the trial courts ruling, Lytle maintains that the affidavits represent every indication of
personal knowledge. That is, each affidavit amounted to a recitation of what
the witness said, saw or did, it was error to have excluded these
exhibits.
Lytle also urges
that the trial court erroneously excluded the trim installation manual for a 1986-87
Ford Ranger front seat from the evidence. The trial court found that
the manual really offer[s] no credible evidence of probative value to assist the
Court in determining the issues that needed to be determined. Appellants App.
p. 1153. The manual shows the belt for the center seat occupant
buckle approximately six inches longer than the stalk for the adjacent passenger side
buckle. Lytle claims that this exhibit at least shows awareness
by Ford engineers of the need for different lengths for the center seat
occupant belt and the adjacent stalk, and it supports the experts opinions where
they suggested that the seatbelt stalks should have been staggered which would have
resulted in an alternative, safer design. Appellants Br. p. 33. Thus,
Lytle contends that this exhibit should have been admitted.
Additionally, Lytle contends that
the trial court erred in excluding two other exhibits purportedly establishing that Fords
buckles were releasing in the real world. Appellants Br. p. 34.
Specifically, Exhibit OO consisted of computer reports from Fords database, which included reports
that seatbelt button released because the protruding button pushed against something during the
accident. Appellants App. p. 911. The exhibit purportedly established that customers
were injured when their seatbelts released when the vehicle rolled over, customers were
thrown from the vehicle during accidents when their belt released and, in some
instances, children were thrown from their car seats when the seatbelt released.
Appellants App. p. 911, 915-916, 937.
The other itemexhibit
PPthat was excluded contains Ford documentation of European standards and testing. Included in
the exhibit were documents showing: there is buckle head and recline wheel contacts,
which during testing caused the current production buckle . . . to release
the tongue. This condition was overcome by increasing the buckle stalk length by
40 mm. Appellants App. p. 960. Hence, Lytle contends that he established
through these exhibits that Fords buckles were releasing in the real world.
As a result, Lytle makes the point that the exhibits stand in sharp
contrast to Ford and the trial courts conclusion that nothing suggests that inadvertent
unlatch occurs. Therefore, Lytle urges that the exhibits should not have been
excluded, and the opinions of Lytles experts should not have been stricken.
The trial courts ruling with respect to the exclusion of these exhibits is
as follows:
Exhibits OO and PP were exhibits, that, again, standing alone were not understandable
or decipherable by the Court. While they were mentioned or alluded to
in depositions and affidavits they were never explained or referenced in such a
way that they were made understandable to the Court in the materials submitted
in support of the Motion for Summary Judgment. . . . In
addition thereto Exhibits OO and PP did not directly bear upon the issues
decided by the Court which disposed of the Motion for Summary Judgment.
Appellants App. p. 1153.
With regard to the striking of the affidavits, we note that it is
assumed at this stage of the proceedings that Kyong had, in fact, fastened
her seatbelt. Thus, the affidavits were not relevant to the trial courts
ruling on summary judgment. Even so, our review of the record reveals
that the affidavits had not been properly verified, they contained hearsay as well
as statements outside the personal knowledge of the witnesses, and there was a
lack of foundation for the ultimate conclusions regarding identification of the passenger seatbelt
webbing. Appellants App. p. 1095-96, 1101-02, 1106-07. Therefore, the statements contained
in the affidavits were inadmissible on this basis, as well.
With regard to exhibits OO and PP, it is apparent that those documents
are all grouped together without authentication, foundation, or explanation. Additionally, the complaints
made to Ford occurred in 2002 and 2003, more than fifteen years after
the Lytle accident had occurred. Even more compelling, Lytle fails to demonstrate
that any of the complaints concerned a 1987 Ford Ranger or the particular
type of seatbelt that was used in the accident. As a result,
there is no connection between these exhibits and Lytles contention that the buckle
in this accident inadvertently unlatched. Thus, the trial court did not err
in excluding these exhibits.
V. Improperly Weighing the Evidence
Last but not least, Lytle argues that the trial court erred in relying
upon Fords crash testing and also maintains that it erroneously concluded that the
testing disproved Lytles experts theory of defect in granting summary judgment for Ford.
In essence, Lytle contends that the trial courts statement that exemplars of
the seat belt system had been tested and the plaintiffs theory could not
be replicated, amounted to an improper weighing of the evidence. Appellants Br.
p. 36. Lytle additionally claims that the trial courts conclusion that Plaintiffs
theory could not be replicated is contrary to the facts. Specifically,
Lytle points out that when Ford conducted its crash tests, the Ford Ranger
was stationary and only the bullet vehicle was moving. On the other
hand, both vehicles had been moving when Lytles accident occurred. Also, the
vehicle did not roll in the crash tests, but the designated evidence demonstrated
that the Ford Ranger rolled up to five times in the accident.
As a result, Lytle urges that it requires no more than common sense
to understand that the chaotic motions of occupants in a rollover will create
additional opportunities for buckle contact. Appellants Br. p. 37. In short, Lytle
maintains that Ford presented two crash tests with a stationary Ford Ranger that
did not roll, that contained dummies sitting upright that were not certified for
side impact or rollover testing. Hence, Lytle argues that the tests Ford
conducted in no way disproved Lytles theory of the case, and the trial
court erred in both weighing the evidence and in dismissing Lytles expert testimony
based on Fords testing.
Contrary to these arguments, it is apparent to us that Ford introduced evidence
establishing that the seatbelt assembly was not defective or unreasonably dangerous, thus shifting
the burden to Lytle. See Bushong v. Williamson¸790 N.E.2d 467, 474 (Ind.
2003) (observing that once the defendant demonstrates that there are no genuine issues
of material fact on any one material element of the plaintiffs claim, the
burden shifts to the plaintiff to designate specific facts that reveal that there
is a genuine issue of material fact with respect to that element which
would require a trial). Ford introduced both laboratory and dynamic crash test
evidence that accidents exhibiting the crash characteristics alleged by Lytle do not cause
contact between the center seatbelt assembly and the passenger latch plate with the
forces, direction, duration, rotations, and load conditions necessary to cause unlatching. The
crash tests that Ford performed demonstrated that the Lytle impact could not have
provided sufficient force, and could not have twisted the middle seatbelt buckle sufficiently,
with the correct direction, rotation, and force to trigger an accidental release.
Ford also introduced evidence that its experts have tested belts under roll conditions
and believed that if the belt had inadvertently unlatched, it likely would have
become entangled with her arm when she was ejected resulting in marks on
the webbing and bruising on her right arm, neither of which occurred.
More specifically, the record shows that Ford, indeed, conducted dynamic crash and rollover
tests in substantially similar circumstances to simulate the moment of impact and the
roll sequence. Appellants App. p. 1182, 1183-85, 1406-11, 1427-31, 1438-46, 1551, 1555,
1559, 1592-93, 1598-1601. In particular, Ford conducted two dynamic crash tests
in March and April 2001, which demonstrated that the Lytle impact could not
have provided sufficient force, and could not have twisted the middle seatbelt buckle
sufficiently, with the correct direction, rotation, and force to trigger an accidental release.
Appellants App. p. 1179-82, 1427-31, 1552-55. Fords experts demonstrated that the
passengers and their buckles would move in tandem, and would thus not rotate
or resist one another. Appellants App. p. 1182, 1409, 1555.
Ford also introduced physical evidence that Kyongs seat belt was in a stowed
position at the time of the alleged inadvertent unlatching, including (a) expert analysis
of plastic transferred from the recliner cover to Kyongs belt in a
location not possible if the belt were inadvertently unlatched; (b) expert analysis of
the absence of load marks on Kyongs webbing that would have occurred if
the belt had inadvertently unlatched; (c) evidence that a staple in the buckle
sheath was not loosened as it would have been during the accident; and
(d) the responding officers testimony and post-accident photographs demonstrating that the belt was
in good working order and was stowed following the accident. Appellants App.
p. 1590, 2014, 2050-58, 2237-38, 2244, 2262-64, 2271-72. Additionally, Ford presented evidence
establishing that its experts had tested belts under roll conditions, and based on
those tests, believed that if Kyongs seatbelt had inadvertently unlatched, it likely would
have become entangled with her arm when she was ejected, resulting in marks
on the webbing and bruising on her right arm, neither of which had
occurred here. Appellants App. p. 1556-58, 1591-92, 1614-26, 2206-07, 2261-62.
The record also demonstrates that Fords experts conducted dynamic crash and rollover tests
in substantially similar circumstances to simulate the moment of impact and the roll
sequence, dynamically tested occupant entanglement by rolling a 1987 Ranger containing a dummy
of similar size to Kyong, modeled the accident sequence using state-of-the-art software, and
studied the accident site, physical evidence, medical records, and testimony of other witnesses.
Appellants App. p. 1176-85, 1425-33, 1549-59. Ford introduced evidence that neither
of Lytles proposed alternative designs amounted to a safer, more feasible, practical design
that would have prevented Kyongs injury. The safety of buckle designs was
studied by the National Center for Statistics and Analysis (NCSA), which concluded:
Having reviewed all the analytical results, there is no pattern of evidence to
suggest that side-release systems are less safe than end-release systems. On the
contrary, the . . . analysis would suggest that end-release systems may be
less safe. . . . In closing, there is no pattern of
evidence in the crash data to support the allegation related to inadvertent unlatching
for side-release systems.
Appellants App. p. 1453.
In light of this evidence, it is apparent that Ford introduced evidence that
there is no genuine issue of material fact with respect to the following
elements of Lytles claim: (a) that Ford failed to use reasonable care;
(b) that the seatbelt assembly was defective; (c) that the specific injuries were
proximately caused by the allegedly defective seatbelt assembly; and (d) that a feasible,
safer, and more practical design would have afforded better protection. In our
view, the evidence that Ford presented was sufficient to establish grounds for summary
judgment. And, as discussed in the issues set forth above, Lytle failed
to present admissible evidence on each of the elements of his cause of
action to counter Fords evidence once the burden had shifted to him.
CONCLUSION
In light of our disposition of the issues set forth above, we conclude
that the trial court properly excluded the purported expert testimony of Horton and
Dr. Khadilkar, inasmuch as Lytle failed to satisfy the requirements of Indiana Evidence
Rule 702. We also note that the trial court did not err in
striking the affidavits and excluding the exhibits that Lytle sought to admit in
opposition to Fords motion for summary judgment. Finally, inasmuch as Ford presented
evidence sufficient to establish that no genuine issue of material fact existed with
respect to Lytles claims against it, and Lytle failed to offer admissible evidence
to counter that evidence in support of his claim against Ford once the
burden had shifted to him, we conclude that summary judgment was properly entered
for Ford.
The judgment of the trial court is affirmed.
FRIEDLANDER, J., and BAILEY, J., concur.
Footnote:
We heard oral argument in this case on July 13,
2004 in Indianapolis.
Footnote:
Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579 (1993),
cert. denied, 116 S.Ct. 189. While not presuming to set out a
definitive checklist or test regarding factors which bear on the reliability inquiry, the
Daubert court outlined the following key considerations: (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 techniques operation; and (5) whether the technique is generally accepted within the
relevant scientific community. Id. at 2796-97.
Footnote:
On June 24, 2004, this court granted the Defense Trial
Counsel of Indianas motion to file an amicus brief in this case.