Lippe v. Howard
Lippe v. Howard
Opinion of the Court
Before the Court are Defendant City of Oklahoma City's Objections to Plaintiffs' Expert Witness Reports of John A. Cocklin and Jason Bass and Use of Said Experts [Doc. No. 96], and Defendant Christopher Howard's Motion to Exclude the Expert Report and Testimony of Plaintiffs' Expert John Cocklin and Brief in Support [Doc. No. 97]. Plaintiffs have responded [Doc. Nos. 102, 104], and Defendants have replied [Doc. Nos. 108, 111]. The matter is fully briefed and at issue.
BACKGROUND
Plaintiffs have filed suit under
1. John Cocklin
From 2002 until his retirement from government service in 2014, Mr. Cocklin was the chief investigator for the New Jersey Division of Alcoholic Beverage Control ("NJ ABC"), which investigates alleged violations of the New Jersey Alcoholic Beverage Control Act. See Cocklin's Résumé [Doc. No. 97-1 at 2]. As chief investigator, Mr. Cocklin supervised detectives and civilian investigators. Cocklin's Dep. [Doc. No. 97-2 at 22]. From 1980 until 2002, Mr. Cocklin was a detective with the Division of Criminal Justice for the New Jersey Attorney General's Office ("NJDCJ") where he served in different supervisory roles, including chief of detectives. Cocklin's Résumé [Doc. No. 97-1 at 3-4]. Admittedly, the only time Mr. Cocklin has served as a uniformed police officer was between 1977 and 1979.
Since 2014, Mr. Cocklin has worked as an expert witness, first on his own and more recently as a salaried employee with Robson Forensic. Cocklin's Résumé [Doc. No. 97-1 at 1]; see also Cocklin's Dep. [Doc. No. 97-2 at 3-10]. Mr. Cocklin has testified as an expert witness in only three cases, all of which were dram shop cases involving alleged violations of alcoholic beverage regulations. Cocklin's Dep. [Doc. No. 97-2 at 4-7, 15-16]. Mr. Cocklin has no prior experience serving as an expert witness in use of force cases. He has written no peer-reviewed literature that relates to use of force.
Mr. Cocklin's expert report in this case was "peer reviewed" by two of his colleagues at Robson Forensic. Cocklin's Dep. [Doc. No. 97-2 at 10-14]. One peer reviewer specializes in toxicology while the other specializes in "police service" cases.
Mr. Cocklin has served as a New Jersey Police Training Commission certified instructor for 25 years. Cocklin's Résumé [Doc. No. 97-1 at 4]. He has provided instruction in more than 50 basic police training courses, including firearms training.
As chief investigator of the NJ ABC, Cocklin created, designed and implemented the NJ ABC's Last Drink Initiative and the first statewide investigation of alcoholic beverage substitution by bars and restaurants.
Cocklin was a commanding member of the New Jersey Attorney General's Police Shooting Response Team.
Mr. Cocklin intends to offer the following opinions concerning Howard's actions on February 1, 2014:
1. Howard, while off duty, in plain clothes and without his police badge created a dangerous situation when he took police action against Mrs. Lippe. Howard should have known that no objectively reasonable person under the same circumstances as Mrs. Lippe would have known he was a police officer.
2. Howard illegally detained, constructively arrested and injured Mrs. Lippe and caused damage to her vehicle.
3. A similarly trained and objectively reasonable police officer under the same circumstances would have determined he lacked reasonable suspicion to detain or probable cause to arrest.
4. Howard used prohibited police tactics when he placed himself in front of a motor vehicle in an attempt to detain Mrs. Lippe. Further, Howard used excessive and deadly force against Mrs. Lippe. Howard's actions violated the standard of care outlined in the OCPD policies and procedures and was contrary to Oklahoma law and national model policies for off duty police conduct.
Cocklin's Report [Doc. No. 97-3 at 19].
Howard's and the City's objections to Mr. Cocklin's testimony are based on the content of Mr. Cocklin's expert report and his deposition testimony. Howard and the City contend that Mr. Cocklin has offered opinions on matters that he is not qualified to address and that his opinions on police procedure and use of force are not reliable.
2. Jason Bass
Mr. Bass worked for the Oklahoma County Sheriff's Office from August 2000 until his resignation
Mr. Bass was also assigned to the Special Investigations Unit ("SIU") of the Oklahoma County Sheriff's Office as a supervisor detective. Bass' Report [Doc. No. 96-2 at 1]; Bass' Résumé [Doc. No. 96-6 at 2]. The SIU is responsible for investigating administrative and criminal allegations that involve Sheriff's Office personnel.
Mr. Bass' résumé indicates he was the sole administrator for the Oklahoma County Detention Center's inmate phone recording system. Bass' Résumé [Doc. No. 96-6 at 2]. In this capacity, Bass was charged with investigating criminal cases involving inmates.
Mr. Bass' report indicates he has submitted expert reports in two state cases.
Based on his review of Howard's and other OCPD officers' depositions in this case, Mr. Bass opines that the OCPD failed to effectively train its officers on its policies concerning use of force, use of deadly force and carrying of firearms off duty. Bass' Report [Doc. No. 96-2 at 7]. Mr. Bass further opines that the OCPD's failure to train caused Mrs. Lippe's injuries on February 1, 2014.
The City's objections to Mr. Bass' testimony are based on Mr. Bass' expert report. The City contends that Mr. Bass has offered opinions on matters that he is not qualified to address and that his opinions on police procedure and use of force are not reliable.
DISCUSSION
Courts have broad discretion in determining the admissibility of expert testimony. Taylor v. Cooper Tire & Rubber Co. ,
Rule 702 imposes upon the trial judge an important "gate-keeping" function with regard to the admissibility of expert opinions. It provides:
A witness who is qualified as an expert by knowledge, skill, experience, training, or education may testify in the form of an opinion or otherwise if:
(a) the expert's scientific, technical, or other specialized knowledge will help the trier of fact to understand the evidence or to determine a fact in issue;
(b) the testimony is based on sufficient facts or data;
(c) the testimony is the product of reliable principles and methods; and
(d) the expert has reliably applied the principles and methods to the facts of the case.
FED. R. EVID. 702. In considering whether an expert opinion is admissible, the Court performs a two-step analysis. First, the Court determines whether the expert is *1278qualified by knowledge, skill, experience, training or education to render the opinion. If so qualified, the Court must then determine whether the expert's opinion is reliable under the principles set forth in Daubert and Kumho Tire and relevant, in that it will assist the trier of fact. 103 Investors I, L.P. v. Square D Co. ,
The Supreme Court in Daubert listed four non-exhaustive factors that a trial court may consider in making its reliability assessment: (1) whether the expert's technique or theory can be and has been tested; (2) whether the theory has been subjected to peer review or publication; (3) whether the technique has a known or potential rate of error and whether there are standards controlling the technique's operation; and (4) whether the theory has been generally accepted in the relevant scientific community. Kumho Tire ,
A. Expert Qualification
In considering the issue of expert qualification, the Court is guided by Ralston , which turned entirely on the expert's qualifications. Ralston ,
Ralston demonstrates that a focused approach to determining an expert's qualifications is appropriate. The question before the trial court is "specific, not general." Kumho ,
In evaluating Mr. Cocklin's and Mr. Bass' qualifications, the Court essentially must decide whether they have sufficient specialized knowledge to assist the jurors in deciding the particular issues in this case. Kumho ,
Although Mr. Cocklin is clearly qualified to testify about issues regarding alcoholic beverage regulations, it appears he lacks any specialized knowledge related to use of force or police practice and procedure. In Milne , the Tenth Circuit affirmed the trial court's exclusion of the testimony of the plaintiffs' expert, who had no experience in organizing, supervising or studying mountain bike races. Milne v. USA Cycling Inc. ,
Similarly in Wilson v. Woods , the Fifth Circuit upheld the trial court's refusal to qualify the plaintiff's expert as an accident reconstructionist.
*1280Wilson v. Woods ,
Further, in Berry , the Sixth Circuit cautioned about expert testimony on "police policies and practices," noting that such term "is so broad as to be devoid of meaning." Berry ,
Mr. Cocklin has testified as an expert witness in only three cases, all of which were dram shop cases involving alleged violations of alcoholic beverage regulations. Cocklin's Dep. [Doc. No. 97-2 at 4-7, 15-16]. Mr. Cocklin has no prior experience serving as an expert witness in use of force cases, and he has written no peer-reviewed literature that relates to use of force. His expert report in this case was purportedly "peer reviewed" by two of his colleagues at Robson Forensic. Cocklin's Dep. [Doc. No. 97-2 at 10-14]. One peer reviewer specializes in toxicology while the other specializes in "police service" cases. Id. at 10-14. However, the normal process of peer review for scholarly articles bears little resemblance to the "peer review" Mr. Cocklin's report underwent. In academic publishing, peer review involves an editor's submission of an article to experts in the particular field; these impartial reviewers carefully evaluate the quality of the article, and assess the validity of the research, methodology and procedures; if they find the article lacking in scholarly validity and rigor, they reject it. See e.g. , John Jay College of Criminal Justice Lloyd Sealy Library, Evaluating Information Sources: What is a Peer-Reviewed Article?, http://guides.lib.jjay.cuny.edu/c.php?g=288333 & =1922599 (last visited Feb. 14, 2018).
Likewise, the Court concludes that Mr. Bass lacks any specialized knowledge related to use of force or police practice and procedure. The Court makes this conclusion based on Mr. Bass' report and his résumé. Mr. Bass' résumé does not indicate that he was ever a patrol officer, and his primary focus while employed with the Oklahoma County Sheriff's Office was administering the jail's communication system. He has no prior experience serving as an expert witness in use of force cases, and *1281he has written no peer-reviewed literature relating to the use of force. Having found the two experts unqualified to opine on use of force, their opinions proffered in this case are inadmissible. Nevertheless, the Court proceeds to address reliability.
B. Reliability of Opinions
In conducting its Daubert review, the Court must focus on "principles and methodology, not on the conclusions that they generate." Daubert ,
A witness may acquire expertise on a subject based on experience in that field. United States v. Medina-Copete ,
Claims alleging excessive force by a police officer are analyzed under the Fourth Amendment "objective reasonableness" test. Graham v. Connor ,
The Supreme Court has also commented on the use of SOPs in determining whether an officer's traffic stop was pretextual.
*1282Whren v. United States ,
Mr. Cocklin intends to testify that Howard's actions violated OCPD policies and procedures, Oklahoma law and national model policies for off duty police conduct. Cocklin's Report [Doc. No. 97-3 at 19]. He also proposes that Howard used excessive and deadly force against Mrs. Lippe on February 1, 2014.
More troubling, perhaps, is the fact that Mr. Cocklin in forming his opinion relied on OCPD policies and procedures that were not in effect on February 1, 2014. Specifically, Mr. Cocklin cites in his report to the amended version of Policy 554.40 Use of Deadly Force, which highlights that officers may use deadly force toward an occupant of a moving vehicle only when (1) being fired upon or threatened to be fired upon or (2) the officer is actively pursuing the suspect and has exhausted all means to avoid being in the path of the moving vehicle. Cocklin's Report [Doc. No. 97-3 at 12-13]. This version did not become effective until October 13, 2015. Compare Ex. 5 to Def. City's Mot. for Summ. J. [Doc. No. 93-5] to Ex. 3 to Def. City's Objections to Pls.' Expert Witness Reports [Doc. No. 96-3]. Based on the amended version, Mr. Cocklin opined that Howard engaged in prohibited police tactics when he placed himself in front of Mrs. Lippe's motor vehicle. Cocklin's Report [Doc. No. 97-3 at 19].
Moreover, Mr. Cocklin's definition of excessive or deadly force does not appear to be consistent with current Tenth Circuit law. The Tenth Circuit has never held that pointing a firearm at a suspect, without more, constitutes excessive force. Henry v. Storey ,
Finally, Mr. Cocklin appears to credit Mrs. Lippe's testimony over the testimony of Howard. Specifically, Mr. Cocklin asserts that Howard struck Mrs. Lippe in the head with his firearm. Cocklin's Dep. [Doc. No. 97-2 at 64-66]. This is a disputed fact. Howard's Dep. [Doc. No. 98-2 at 126]. Mr. Cocklin admittedly did not review any of Mrs. Lippe's medical records, but rather relied on Mrs. Lippe's characterization of her alleged injuries. Cocklin's Dep. [Doc. No. 97-2 at 41, 49-52]. The Tenth Circuit has noted that "[t]he credibility of witnesses is generally not an appropriate subject for expert testimony." United States v. Adams ,
An expert's opinion must be based on facts that enable him to "express a reasonably accurate conclusion as opposed to conjecture or speculation." Beck's Office Furniture and Supplies, Inc. v. Haworth, Inc. ,
The Tenth Circuit has noted that the "touchstone" of admissibility under Rule 702 is helpfulness to the trier of fact. See Wilson v. Muckala ,
Presumably, some of the concerns regarding Mr. Cocklin's testimony might go to the weight of his testimony, and those concerns could be challenged adequately on cross-examination. The Court concludes, however, that the totality of those concerns tip the scale toward inadmissibility. As a whole, Mr. Cocklin's testimony is not based on "good grounds" or appropriately validated. Mitchell ,
Mr. Bass, in his report, attempts to summarize the deposition testimony of OCPD Chief William Citty, Howard and four OCPD officers who responded to the 911 call made after the incident. Bass' Report [Doc. No. 96-2]. Mr. Bass does not provide citations to the deposition transcripts. Moreover, he appears to misrepresent the testimony. For instance, Mr. Bass stated, "Chief Citty stated himself that there is no training in place specifically for the responsibilities and requirements of an Oklahoma City Police Officer." Bass' Report [Doc. No. 96-2 at 2]. Rather, Chief Citty testified that OCPD officers today get "a lot more" training than he did 39 years ago. Citty's Dep. [Doc. No. 102-1 at *128423]. He further testified that the training has "vastly" changed and officers today "get about twice as much training in the academy" than he did.
Mr. Bass also indicated in his report that Chief Citty had testified he was the chief policymaker of the OCPD. Bass' Report [Doc. No. 96-2 at 3]. To the contrary, Chief Citty testified that the city council has "the final say on policy." Citty's Dep. [Doc. No. 96-9 at 28]. Mr. Bass further stated that Chief Citty testified that the OCPD does "not have in place a training log" where officers are made aware of new or revised policies. Bass' Report [Doc. No. 96-2 at 3]. Instead, Chief Citty testified that the OCPD sends a digital notice to officers when a policy or procedure is amended. Citty's Dep. [Doc. No. 96-9 at 46]. Officers must sign that they have read the policy.
Like Mr. Cocklin, Mr. Bass in forming his opinion relied on OCPD policies and procedures that were not in effect on February 1, 2014. Mr. Bass opined that Howard "was not trained effectively when he stepped in front of a vehicle and pointed his firearm at the driver he suspected of committing a misdemeanor." Bass' Report [Doc. No. 96-2 at 7]. Mr. Bass cites to the OCPD Policy 554.40 Use of Deadly Force that became effective on October 13, 2015, which prohibits an officer from placing himself in the path of a moving or stationary suspect vehicle except under limited circumstances. Compare Ex. 5 to Def. City's Mot. for Summ. J. [Doc. No. 93-5] to Ex. 3 to Def. City's Objections to Pls.' Expert Witness Reports [Doc. No. 96-3]. He too appears to credit Mrs. Lippe's testimony over the testimony of Howard.
Mr. Bass further opined that the deposed officers gave "different definitions and examples of OCPD [p]olicy and [p]rocedures" and that the different interpretations were a result of ineffective training by the OCPD. Bass' Report [Doc. No. 96-2 at 7]. Mr. Bass does not advise how the officers' interpretations differ nor does he explain how the training is inadequate. There are limited circumstances under which a "failure to train" claim can be the basis for liability under § 1983. City of Canton, Ohio v. Harris ,
The focus must be on the adequacy of the training program in relation to the tasks the particular officers must perform.
C. Expert Testimony Presenting Legal Conclusions
The City argues that Mr. Cocklin's report indicates that he intends to opine on the use of force in a manner that constitutes a legal conclusion. Plaintiffs contend that Mr. Cocklin's opinions fall within the accepted standards of the field under Zuchel v. City and County of Denver, Colo. ,
The Tenth Circuit has recognized such limitations on expert witness testimony. "In no instance can a witness be permitted to define the law of the case." Specht v. Jensen ,
On Page 17 of his report, Mr. Cocklin opines that Howard did not have reasonable suspicion to detain Mrs. Lippe and that "his use of deadly force" violated Mrs. Lippe's Fourth Amendment right against unreasonable seizure. Cocklin's Report [Doc. No. 97-3 at 17]. Further, on Page 19, Mr. Cocklin opines that Howard used "excessive force and deadly force" against Mrs. Lippe. Cocklin's Report [Doc. No. 97-3 at 19]. The Court agrees with the City that these opinions constitute legal conclusions and invade the jury's role in the determination of the issues to be decided. Mr. Cocklin cannot offer an opinion that Howard's conduct was constitutionally improper, nor can he offer testimony that would in effect instruct the jury on the law regarding the use of force. See United States v. Littlejohn ,
CONCLUSION
For the reasons stated, the City's Objections to Plaintiffs' Expert Witness Reports of John A. Cocklin and Jason Bass and Use of Said Experts [Doc. No. 96], and Howard's Motion to Exclude the Expert Report and Testimony of Plaintiffs' Expert John Cocklin and Brief in Support [Doc. No. 97], are GRANTED.
IT IS SO ORDERED this 14th day of February 2018.
Based on the evidence in the record before it, the Court finds a formal hearing is not necessary. A formal hearing is not required to adjudicate a Daubert motion, and the Court has considerable latitude in deciding whether to hold a formal hearing. See United States v. Charley ,
Mr. Cocklin has authored publications and materials used by the alcoholic beverage industry, including the State of New Jersey Alcoholic Beverage Control Handbook for Retail Licensees. Cocklin's Résumé [Doc. No. 97-1 at 2].
A News 9 article attached to the City's motion indicates that Mr. Bass resigned from the Oklahoma County Sheriff's Office in April 2015 after he was arrested for petit larceny. [Doc. No. 96-4].
State of Oklahoma v. Aaron Todd Craddock , Grady County District Court Case No. CF-2014-327 and State of Oklahoma v. Najee Jamall Cox , Oklahoma County District Court Case No. CF-2014-5226. The Court takes judicial notice of the docket reports for both cases on the Oklahoma State Courts Network, http://www.oscn.net.
The Advisory Committee Notes to Fed. R. Evid. 702 identify other factors relevant in determining whether expert testimony is sufficiently reliable to be considered by a jury. These factors include: (1) whether the expert proposes to testify about matters growing naturally and directly out of his research, independent of the litigation, or whether he has developed his opinion expressly for the purpose of testifying; (2) whether the expert has unjustifiably extrapolated from an accepted premise to an unfounded conclusion; (3) whether the expert has adequately accounted for obvious alternative explanations; (4) whether the expert is being as careful as he would be in his regular professional work outside his paid litigation consulting; and (5) whether the field of expertise claimed by the expert is known to reach reliable results for the type of opinion the expert would give. See Fed. R. Evid. 702, advisory committee's note to 2000 Amendments.
See also Moreno v. Taos County Bd. of Comm'rs ,
Unpublished opinion cited pursuant to Fed. R. App. P. 32.1(a) and 10th Cir. R. 32.1.
Reference
- Full Case Name
- Vielka M. LIPPE and Christopher Lippe, individually, and as husband and wife v. Christopher HOWARD, an individual and in his official capacity as a Police Officer for the City of Oklahoma City and The City of Oklahoma City, a municipal corporation
- Cited By
- 17 cases
- Status
- Published