Summers v. CERTAINTEED CORP.
Summers v. CERTAINTEED CORP.
Dissenting Opinion
dissenting.
I respectfully dissent.
Regarding the proper standard of review, the majority fails to address the fact that appellant Summers, in briefing the matter to the Superior Court, advanced an “abuse of discretion” standard of review. Appellant cannot now complain that the court applied the wrong standard if that was the standard he asked for. To complain of it now raises a new complaint, not addressed below, for reasons of appellant’s own making. I cannot see the efficacy of granting relief because a party got what he asked for.
Further, although the Superior Court’s Opinion in Support of Affirmance (OISA) did not explicitly set forth a de novo standard of review, it did review the record in its entirety, as well as the applicable case law, before affirming the trial court’s grant of summary judgment. The majority’s finding the OISA erred in using an abuse of discretion standard of review hinges on its perception the OISA “deferred to the trial court’s resolution of the legal question of whether genuine issues of material fact existed.” Majority Op., at 307, 997 A.2d at 1160. In contrast, I find the OISA merely relied on Superior Court precedent for the conclusion appellants could not meet their burden of demonstrating their asbestos exposure caused impairment or disability beyond breathlessness attributable to smoking and other non-asbestos related causes. See Summers v. Certainteed Corporation, 886 A.2d 240, 242-43 (Pa.Super. 2005).
In Giffear v. Johns-Manville Corporation, 429 Pa.Super. 327, 632 A.2d 880 (1993), Giffear had asymptomatic asbestos-related pleural thickening.
This Court affirmed Giffear in Simmons. In Simmons, we were asked to determine “whether asymptomatic pleural thickening, i.e., unaccompanied by disabling consequences or physical impairment, is a compensable injury.” Simmons, at 236. This Court concluded “asymptomatic pleural thickening is not a compensable injury which gives rise to a cause of action.” Id., at 237. In reaching that conclusion, we noted no physical injuries had been established by the appellants. Id.
Between the time Giffear was decided and reviewed in Simmons, the Superior Court decided Taylor v. Owens-Corning Fiberglas Corp., 446 Pa.Super. 174, 666 A.2d 681 (1995), which affirmed the trial court’s grant of summary judgment in the defendants’ favor as to three of the four consolidated plaintiffs. Id., at 684. The court stated the three plaintiffs who were diagnosed with asymptomatic asbestosis-related disease had not suffered any discernible physical symptoms or functional impairment. Id., at 684-85. The court explained:
*325 Shortness of breath alone is not a compensable injury under Giffear ... because it is not a discernible physical symptom, a functional impairment, or a disability. It is common knowledge that breathlessness is also associated with any number of non-asbestos-related ailments including lung can-
The condition the majority herein describes as compensable injury is “shortness of breath.” Majority Op., at 315, 997 A.2d at 1164. Despite Simmons, let us assume this is a compensable injury; there is divided authority on that point, but the issue is not before us. Both appellants have shortness of breath, and both have Dr. Gelfand saying “each and every” exposure to asbestos was not just a factor, but a substantial contributing factor to that shortness of breath. Report of Dr. Gelfand Concerning Nybeck, 8/19/03, at 2; Report of Dr. Gelfand Concerning Summers, 6/25/03, at 3 (emphasis added). Based on that conclusory statement alone, must we send the case to the jury?
It is certainly true that further discovery or proceedings could discredit the doctor’s “every breath is substantial” theory — then again, further proceedings might bolster that theory. We, however, review the trial court’s decision on the record at the time of the motion. Neither position is substantiated at this point, and we cannot tell if support or destruction of the doctor’s expansive theory may be forthcoming.
The true question is whether it is the burden of the proffering party, appellants here, to support that theory at this stage, or whether it is the burden of the defense to challenge the conclusion by means of a Fiye hearing or the like. If a conclusion that forms the basis of liability is founded on a manifestly questionable causation theory,
There are two reasons I would find the trial court’s actions appropriate. First, the “every breath” theory is indeed suspect on its face. See Summers, at 244. Secondly, each
Judge Klein’s analogy to the bucket of water in the ocean is spot on. See id. Each exposure may contribute, but no single exposure can be substantial — by definition, “substantial” cannot modify every bucket of water in the ocean, and while each bucket counts, no bucket is substantial. Each and every exposure can be no more a significant contributing factor than is each and every cigarette, or each and every meal that led to the obesity.
Even ignoring this basic failing in the doctor’s premise, was appellant’s proffer sufficient for a jury to conclude the product was a “substantial contributing factor” to the injury alleged? The injury is shortness of breath, a condition each appellant undoubtedly has. The material facts are not at issue — appellant’s best case is Dr. Gelfand’s report. If it suffices, they prevail, and if it does not, they do not. The case is, therefore, appropriate for summary judgment.
According to Dr. Gelfand, Mr. Summers’ exposure to asbestos was a significant contributing factor to diffusion abnormality and dyspnea on exertion, and was the cause of his pleural thickening. See Report of Dr. Gelfand Concerning Summers, 6/25/03, at 3. However, Mr. Summers also suffers from moderately severe chronic obstructive pulmonary disease (COPD) as well as emphysema, asthma, and obesity. Id., at 2.
Mr. Nybeck has twice the smoking history of Mr. Summers and quit later. Report of Dr. Gelfand Concerning Nybeck, 8/19/03, at 1. He has severe emphysema, hyperinflation of the lungs, and a more intensive medical history. See id., at 2; Deposition of Richard Nybeck, 10/16/03, at 402-04. Dr. Gelfand’s conclusions for this appellant are couched in exactly the same terms as with Mr. Summers. Report of Dr. Gelfand Concerning Nybeck, 8/19/03, at 2. He does not rule out the emphysema, bronchitis, and pneumonia as other causes of Mr. Nybeck’s shortness of breath. See Deposition of Richard Nybeck, 10/16/03, at 402-04.
Thus, with Mr. Summers, Dr. Gelfand believes asbestos was the cause of pleural thickening, and was a substantial contributing factor to diffusion abnormality and dyspnea. He opines that smoking was the cause of Mr. Summers’ chronic obstructive lung disease, and a substantial contributing factor to diffusion abnormality and dyspnea. He allows that either COPD, or asthma, or obesity could be the cause of his shortness of breath.
With Mr. Nybeck, the doctor again opines that asbestos exposure was the cause of pleural thickening and asbestosis, and was a substantial contributing factor to diffusion abnormality and dyspnea. Smoking was the cause of severe chronic lung disease, and a substantial contributing factor to pulmonary function abnormalities, hyperinflation, and dyspnea. He allows that the shortness of breath could also be caused by emphysema, bronchitis, or pneumonia.
In sum, asbestos caused pleural thickening, the non-compensable condition, while smoking caused the lung disease. He
Having an expert say the words “sufficient to establish legal causation” is not enough — the court has some obligation to examine the conclusions, not merely accept them as inviolate on their face. Where the expert’s opinion cannot assign causation beyond stating the obvious — each party had a lot of problems for a lot of reasons, the opinion is of little help to a jury. Where the basis for the opinion itself is manifestly suspect, that “each and every” exposure is not just a factor but a substantial one, the opiner’s credibility unravels.
The trial court did not reject the conclusion that appellants suffer from asbestos-related disease; in fact, that is not the conclusion Dr. Gelfand makes. What the court did do was find insufficient the proffered connection between the relevant symptoms and the amount of asbestos exposure that actually happened. With that conclusion, I cannot disagree and hence dissent.
. In Simmons v. Pacor, 543 Pa. 664, 674 A.2d 232 (1996), we defined asbestos-related pleural thickening as follows:
Asbestos-related pleural thickening has been defined as the formation of calcified tissue on the pleura, the membranes surrounding the lungs. The condition may be objectively determined in the sense that*325 it is revealed on an x-ray. Pleural thickening may occur independent of or in conjunction with asbestosis. When the pleural thickening is asymptomatic, individuals are able to lead active, normal lives, with no pain or suffering, no loss of an organ function, and no disfigurement due to scarring.
Id., at 236 (citations omitted).
. As amicus points out, there is considerable authority in the medical community rejecting the "every breath" theory; other courts have rejected this as well. See Brief of the BOC Group, et ai, at 10-13. There is apparent agreement that some threshold exposure is needed before exposure causes injury. Id.., at 10-11.
. Dr. Gelfand’s report indicated, among Mr. Summers’ medical problems other than those from asbestos, that he was 5'8" tall and weighed 235 pounds. See Report of Dr. Gelfand Concerning Summers, 6/25/03, at 2.
. Dr. Gelfand’s report does not address the bronchitis or pneumonia.
Opinion of the Court
OPINION
Appellants, Frederick Summers and Richard Nybeck, appeal the Superior Court’s per curiam order, which affirmed the trial court’s grant of summary judgment to Appellees, Union Carbide Corporation, Certainteed Corporation, and Allied Signal, Inc.
I.
This appeal comes to us via strict liability, asbestos litigation commenced by Frederick Summers (and his wife, Lynn) and Richard Nybeck (collectively, Appellants). Appellants filed separate actions in the Philadelphia County Court of Common Pleas in 2001, seeking damages related to each man’s exposure to asbestos during various employments. After many named defendants, by either stipulation or court order, were dismissed from the cases, Appellees filed motions for summary judgment in the respective actions, which the trial court
A. Frederick Summers
In 1959 and 1960, Mr. Summers worked as a saw operator at an asbestos manufacturing plant. With his daily cutting and sawing of asbestos material came the unavoidable consequence of constant inhalation of asbestos dust. After leaving employ at the plant, Mr. Summers further encountered asbestos through subsequent careers at the Southeastern Pennsylvania Transit Authority and as an independent heating and plumbing contractor.
In 1999, Mr. Summers sought treatment for his breathing difficulties. By 2003, Mr. Summers’ condition had become so debilitating that he was forced to retire. Since retirement, Mr. Summers has been unable to enjoy many of life’s activities, such as fishing, jogging, or flying in airplanes, due to extreme shortness of breath. Indeed, Mr. Summers cannot climb one-half of a flight of stairs without losing his breath.
Notwithstanding the diagnostic complexities, as noted, Dr. Gelfand concluded, to a reasonable degree of medical certainty, that the asbestos-related pleural disease was a substantial factor in Mr. Summers’ diffused lung condition and debilitating shortness of breath. In so finding, Dr. Gelfand noted that, while the obstructive lung condition due to smoking showed “some improvement,” in general, the reduction in lung diffusion remained severe. See Report of Dr. Gelfand concerning Frederick Summers, Reproduced Record (R.R.) at 45a. Accordingly, Dr. Gelfand opined that, while occupational exposure to asbestos dust substantially contributed to his condition, id. at 46a, the obstructive lung disease, caused by cigarette smoking, also played a role in his breathlessness.
B. Richard Nybeck
While Mr. Nybeck was enlisted in the Navy in the 1950s, 1960s, and 1970s, he was exposed to asbestos dust and fibers from materials used in boilers, automobile brakes, and steam
Dr. Gelfand, also Mr. Nybeck’s treating physician, diagnosed Mr. Nybeck with asbestos-related pleural thickening and the more severe disease of asbestosis. Mr. Nybeck also smoked cigarettes until approximately ten years ago, and thus suffers from severe obstructive lung disease related to an eighty pack-year history of smoking. Again, however, notwithstanding the case’s complexities, Dr. Gelfand was able to conclude to a reasonable degree of medical certainty that occupational exposure to asbestos fibers and dust over the years caused Mr. Nybeck’s pleural disease and asbestosis, which are significant contributing factors to his debilitating condition. See Report of Dr. Gelfand concerning Richard Nybeck, R.R. at 183a.
C. Procedural History
As noted, Appellants initially filed separate products liability actions against a number of defendants, some common to the two actions, others not. The defendants in each case filed motions for summary judgment; and, relevant to this appeal, argued that neither Appellant could survive summary judgment because their respective smoking-related diseases prevented them from proving that exposure to asbestos was the cause of their debilitating conditions.
Although the cases had not been formally consolidated, the trial court, entering one order and supporting opinion, granted the defendants’ motions for summary judgment and dismissed Appellants’ cases.
where a plaintiff suffers from a non-asbestos-related medical condition, the symptoms of which are consistent with medical conditions arising from exposure to asbestos, the existence of those non-asbestos-related medical conditions negate his ability to establish the necessary causal link between his symptoms and asbestos exposure. Under these circumstances, summary judgment is proper.
Id. at 511. Thus, because both Mr. Summers and Mr. Nybeck suffer from lung diseases associated with both asbestos-related and non-asbestos-related conditions, the trial court found it “impossible ... to causally relate [Appellants’] shortness of breath to any particular medical condition .... ” Tr. Ct. Slip Op. at 4 (Dec. 29, 2003) (citing Quote).
Appellants filed separate appeals to the Superior Court, and, as noted, the cases were eventually consolidated for oral argument before the court en banc. The eight-member court split 4-4, resulting in the affirmance of the trial court’s order granting summary judgment. Judge Klein authored the Opinion in Support of Affirmance (OISA),
The OISA further discredited Dr. Gelfand’s expert reports, which, while cataloging the numerous medical problems from which Appellants suffered, still concluded, to a reasonable degree of medical certainty, that Appellants: (1) suffered from an asbestos-related disease, which was (2) a cause of the debilitating breathing conditions, and (3) substantially contributed to by “each and every exposure to asbestos.” Id. at 244 (quoting Reports of Dr. Gelfand, R.R. at 46a, 183a). In rejecting these conclusions, the OISA, in conformity with Quote, opined, “just because a hired expert makes a legal conclusion does not mean that a trial judge has to adopt it if it is not supported by the record and is devoid of common sense.” Id. With that, the OISA concluded that Appellants’ numerous medical ailments made it impossible to relate their shortness of breath causally to any particular medical condition, despite the diagnoses of asbestos-related pleural disease (Summers) and asbestosis (Nybeck). Id. at 246.
Judge Panella authored the Opinion in Support of Reversal (OISR).
Appellants and Appellees both filed for allowance of appeal, which we granted to consider three issues: (1) whether the Superior Court used an improper standard in reviewing the trial court’s order granting summary judgment; (2) to clarify whether plaintiffs, in pursuing asbestos-related causes of action, are precluded from recovery whenever breathlessness or like ailments may be attributable to both the asbestos and non-asbestos related disease(s) from which a plaintiff suffers; and (3) whether the OISA improperly failed to consider this Court’s decision in Martin v. Owens-Corning Fiberglas Corp., 515 Pa. 377, 528 A.2d 947 (1987). While we conclude that the Superior Court’s OISA did not err in declining to rely upon Martin, we conclude that the court, in the first instance, erred in its application of the standard of review for examination of a grant of summary judgment, and ultimately, that a plaintiff should survive a motion for summary judgment whenever reasonably certain expert opinions are proffered attributing a plaintiffs maladies to both an asbestos and non-asbestos related disease. Accordingly, on those two grounds, we reverse.
II.
Appellants begin their argument by contending that the Superior Court applied the wrong standard and scope of review when analyzing the trial court’s orders granting summary judgment. Specifically, they aver that the OISA improperly applied an abuse of discretion standard, rather than conducting plenary review of the trial court’s decision and, by doing so, did not view the evidence of record in a light most favorable to them, as the non-moving parties. In other words, Appellants essentially argue that the trial court erred by failing to view the facts in a light most favorable to Appellants, and, by adopting an abuse of discretion standard in reviewing the trial court’s decision, the OISA accepted the trial court’s faulty findings, compounding the error. Appellants assert that if this Court conducts a de novo review, properly viewing
As has been oft declared by this Court, “summary judgment is appropriate only in those cases where the record clearly demonstrates that there is no genuine issue of material fact and that the moving party is entitled to judgment as a matter of law.” Atcovitz v. Gulph Mills Tennis Club, Inc., 571 Pa. 580, 812 A.2d 1218, 1221 (2002); Pa. R.C.P. No. 1035.2(1). When considering a motion for summary judgment, the trial court must take all facts of record and reasonable inferences therefrom in a light most favorable to the non-moving party. Toy v. Metropolitan Life Ins. Co., 593 Pa. 20, 928 A.2d 186, 195 (2007). In so doing, the trial court must resolve all doubts as to the existence of a genuine issue of material fact against the moving party, and, thus, may only grant summary judgment “where the right to such judgment is clear and free from all doubt.” Id. On appellate review, then,
an appellate court may reverse a grant of summary judgment if there has been an error of law or an abuse of discretion. But the issue as to whether there are no genuine issues as to any material fact presents a question of law, and therefore, on that question our standard of review is de novo. This means we need not defer to the determinations made by the lower tribunals.
Weaver v. Lancaster Newspapers, Inc., 592 Pa. 458, 926 A.2d 899, 902-03 (2007) (internal citations omitted). To the extent that this Court must resolve a question of law, we shall review the grant of summary judgment in the context of the entire record. Id. at 903.
With these standards in mind, we agree with Appellants that the OISA seemingly, and improperly, deferred to the trial court’s resolution of the legal question of whether genuine issues of material fact existed. Moreover, on no less
III.
Unlike the members of the Superior Court who joined the OISA affirmance of the grants of summary judgment, we view
A
The Superior Court OISA concluded that Dr. Gelfand’s opinions were factually and legally insufficient to establish the causes of Appellants’ conditions. Summers, 886 A.2d at 244. Specifically, Dr. Gelfand concluded,
In my opinion, to a reasonable degree of medical certainty, exposure to asbestos in the workplace is the cause of the asbestos pleural disease and is a substantial contributing factor to this diffusion abnormality and to his dyspnea on exertion. Each and every exposure to asbestos has been a substantial contributing factor to the abnormalities noted.
It has long been Pennsylvania law that, while conclusions recorded by experts may be disputed, the credibility and weight attributed to those conclusions are not proper considerations at summary judgment; rather, such determinations reside in the sole province of the trier of fact, here, a jury. Miller v. Brass Rail Tavern, Inc., 541 Pa. 474, 664 A.2d 525, 528 (1995); In re Estate of Hunter, 416 Pa. 127, 205 A.2d 97, 102 (1964) (“The credibility of witnesses, professional or
At the summary judgment stage, a trial court is required to take all facts of record, and all reasonable inferences therefrom, in a light most favorable to the non-moving party. Toy, 928 A.2d at 195. This clearly includes all expert testimony and reports submitted by the non-moving party or provided during discovery; and, so long as the conclusions contained within those reports are sufficiently supported, the trial judge cannot sua sponte assail' them in an order and opinion granting summary judgment. Contrarily, the trial judge must defer to those conclusions, see Grady; Frye, and should those conclusions be disputed, resolution of that dispute must be left to the trier of fact. Miller, 664 A.2d at 528.
Instantly, the OISA overlooked Dr. Gelfand’s testimony that Appellants each suffered from debilitating conditions related to occupational exposure to asbestos and focused almost exclusively on the statement that “each and every exposure to asbestos has been a substantial contributing factor to the abnormalities noted.” Id.; see also R.R. at 46a, 183a.
B.
The question of the adequacy of Dr. Gelfand’s conclusions now examined, we move to what we view as the two separate legal issues that surround not just the instant litigation, but also the scores of asbestos-related cases that continue to daunt the courts of this Commonwealth.
The first, discussed in this part, is whether Appellants, in the first instance, suffered from a compensable injury under our jurisprudence. Prior to 1996, a plaintiff possessed a viable cause of action against asbestos manufacturers upon a mere diagnosis of an asbestos-related condition. See e.g. Marinari v. Asbestos Corp., 417 Pa.Super. 440, 612 A.2d 1021 (1992). That changed, however, when this Court held that diagnosed, but asymptomatic, asbestos-related pleural thickening failed to state a cognizable cause of action. Simmons v. Pacor, Inc., 543 Pa. 664, 674 A.2d 232, 237 (1996).
Even before our pronouncement in Simmons, however, confusion began to mount in light of different panels of the Superior Court espousing inconsistent views concerning what are, and are not, compensable symptoms and physiological impairments. In 1995, a panel of the Superior Court held that shortness of breath alone was non-compensable when unaccompanied by physical symptoms, functional impairments, or disabilities. Taylor v. Owens-Corning Fiberglas Corp., 446 Pa.Super. 174, 666 A.2d 681, 687-88 (1995) (citing Giffear, supra note 15). The same panel, in a separate case argued the same day, then permitted litigation to continue when the asbestos-related breathlessness prohibited life activities such as walking, climbing stairs, or driving nails with a hammer. White v. Owens-Corning Fiberglas Corp., 447 Pa.Super. 5, 668 A.2d 136, 139 — 40 (1995). Inconsistent with Taylor and White, however, a different panel of the Superior Court, two years later, found a prima facie showing sufficient to undergird recovery when a plaintiff merely established (1) an asbestos-related condition; (2) shortness of breath; and (3) a causal connection between the two. McCauley v. Owens-Corning Fiberglas Corp., 715 A.2d 1125 (Pa.Super. 1998).
As noted above, an integral part of the analysis of this case is whether Appellants, in the first instance, even suffer from a compensable injury under Simmons and its progeny. To that end, we agree with the OISR below that, under either the TaylorfWhite standard, or the McCauley three-part structure, Appellants instantly have clearly demonstrated a compensable injury. See Summers, 886 A.2d at 248 (OISR) (“I express no opinion on whether [the TaylorfWhite ] standard or the less stringent standard [of McCauley ] requiring only shortness of
An analysis under the Taylor/White test is simple: both men clearly suffer from “physical symptoms” and “functional impairments.” They have been forced into retirement, cannot walk short distances without becoming short of breath, nor can they enjoy fishing. Likewise, under McCauley, each man suffers from shortness of breath, has been diagnosed with an asbestos-related condition, and their shortness of breath, at least in part, has been causally linked to asbestos exposure. Accordingly, under Simmons and its (contradictory) progeny, Appellants suffer from compensable injuries.
C.
The answer to the first legal issue concerning the establishment of a cause of action under Pennsylvania law now ascertained, we turn to the second legal issue in this case: whether, regardless of the compensability of their injuries, Appellants have no viable cause of action because the cause of their symptoms may be attributed to either their asbestos-related or the non-asbestos related conditions. In resolving this issue against Appellants, the trial court and the Superior Court OISA extensively relied upon the Superior Court’s panel decision in Quate v. American Standard, Inc., 818 A.2d 510 (Pa.Super. 2003), for the proposition that Appellants’ cigarette smoking and obstructive lung diseases “may have caused [their] shortness of breath upon exertion and therefore [the
As noted, supra Part II, “summary judgment is appropriate only in those cases where the record clearly demonstrates that there is no genuine issue of material fact and that the moving party is entitled to judgment as a matter of law.” Atcovitz v. Gulph Mills Tennis Club, Inc., 571 Pa. 580, 812 A.2d 1218, 1221-22 (2002). Equally clear is that
[w]hether in a particular case that standard [plaintiffs burden of preponderance of the evidence] has been met with respect to the element of causation is normally a question of fact for the jury; the question is to be removed from the jury’s consideration only where it is clear that reasonable minds could not differ on the issue. In establishing a Prima [sic] facie case, the plaintiff need not exclude every possible explanation [...]; it is enough that reasonable minds are able to conclude that the preponderance of the evidence shows defendant’s conduct to have been a substantial cause of the harm to plaintiff.
Hamil v. Bashline, 481 Pa. 256, 392 A.2d 1280, 1284-85 (Pa. 1978) (emphasis added); see also Vattimo v. Lower Bucks Hosp., Inc., 502 Pa. 241, 465 A.2d 1231, 1234 (1983) (holding, where reasonable minds may differ, questions of causation are for the jury); Topelski v. Universal South Side Autos, Inc., 407 Pa. 339, 180 A.2d 414, 419 (1962) (holding where “reasonable difference of opinion as to whether the defendant’s act was the, or a proximate cause of, the injury, the matter is for the jury to decide”); Finney v. G.C. Murphy, Co., 406 Pa. 555, 178 A.2d 719 (1962) (holding issues of fact in dispute are solely for the jury); Anderson v. Bushong Pontiac Co., 404 Pa. 382, 171 A.2d 771 (1961) (holding proximate cause almost always a question solely for the jury); Jones v. Port Auth. of Allegheny County, 136 Pa.Cmwlth. 445, 583 A.2d 512 (1990) (holding that
In Quate, expert testimony revealed that the plaintiff suffered from both asbestosis and shortness of breath after having been exposed to asbestos, but also presented with an extensive medical history, which included complications due to smoking, diabetes, prostate cancer, and heart disease. Quate, 818 6A.2d at 512-513. Mr. Quate’s shortness of breath, however, did not restrict his daily activities, nor prevent normal functioning. Id. at 514. Rather than concentrating on Mr. Quate’s condition being asymptomatic in nature,
we hold that where a plaintiff suffers from a non-asbestos-related medical condition, the symptoms of which are consistent with medical conditions arising from exposure to asbestos, the existence of those non-asbestos-related medical conditions negate his ability to establish the necessary causal link between his symptoms and asbestos exposure. Under these circumstances, summary judgment is proper.
In applying Quate to the instant cases, the courts below dismissed Dr. Gelfand’s conclusions, made to a reasonable degree of medical certainty, that Appellants each suffer from debilitating conditions caused at least in part by occupational exposure to asbestos, and instead focused on Appellants’ other medical conditions (specifically, obstructive lung disease
Turning, then, specifically to this appeal from the grant of summary judgment, the holdings of the courts below cannot withstand the aforementioned jurisprudence. While, certainly, portions of the record support Appellees’ contentions that a non-asbestos related condition is the root of Appellants’ debili
Jurisdiction relinquished.
. This matter was reassigned to this author.
. Two Appellee briefs were filed with this Court concerning this appeal. The first was a joint brief filed by Appellees Certainteed Corporation and Union Carbide Corporation; while any arguments by Certainteed relate only to the Nybeck appeal, Union Carbide remains a party for both cases. The other brief was filed by Allied Signal, Inc., which is only party to the Summers appeal. With that said, however, all of the arguments presented by all of the Appellees mirror one another, and thus, unless otherwise noted, will be referred to within this opinion collectively as presented on behalf of "Appellees."
. Prior to oral arguments, former Judge Michael Joyce recused himself sua sponte, thus leaving an eight-member court. Upon issuance of the Superior Court Opinion, four members voted to affirm the trial court's grant of summary judgment to defendants, while four others voted to reverse. Accordingly, the Superior Court issued a per curiam order affirming the trial court’s grant of summary judgment, with Judges Klein and Panella filing opinions in support of affirmance and reversal, respectively. These opinions will be examined in greater detail, infra, Part I.C.
. Lung diffusion, or pulmonary diffusion capacity, is a measure of the amount of oxygen that passes from the lungs into the blood stream.
. A "pack-year” history is the number of packs of cigarettes smoked per day, multiplied by the number of years the person smoked. Thus, a person with a forty pack-year history may have smoked, for example, a pack-a-day for forty years or two packs-a-day for twenty years.
. Pursuant to Pa. R.C.P. No. 1041.1(f), "[A] motion for summary judgment filed by one defendant [in an asbestos-related litigation] alleging a ground common to one or more other defendants shall be deemed filed on behalf of all such defendants.” Instantly, and consistent with Rule 1041.1(f), Appellees filed their motions for summary judgment on behalf of all named and remaining defendants in each
. Judges Hudock and Gantman joined the OISA; then Judge, now Justice, Orie Melvin concurred in the result only.
. The Honorable Norman C. Ackerman was the trial judge. At the commencement of the instant litigations, Judge Ackerman was the calendar-control judge for the Philadelphia Center for Complex Litigation, and thus directly supervised all asbestos cases filed in Philadelphia County. See Summers, 886 A.2d at 242 n. 2.
. Then Judge, now President Judge, Ford Elliott, and Judges Bender and Bowes joined Judge Panella’s OISR.
. These differences, and the applicability of such to this case, will be explained in greater detail infra, Part III.B.
. As has been noted many times by this Court, scope and standard of review are two very distinct terms of art, which carry different meanings and usages. Morrison v. Dep’t of Pub. Welfare, 538 Pa. 122, 646 A.2d 565, 570 (1994). " ‘Scope of review’ refers to the confines within which an appellate court must conduct its examination. In other words, it refers to the matters (or "what”) the appellate court is permitted to examine. In contrast, 'standard of review' refers to the manner in which (or "how”) that examination is conducted.” Id. (internal citations and quotations omitted).
. We further reject Appellees' claim that Appellants waived review of this issue. As noted by Appellee Allied Signal in its principal brief to this Court, Appellants "included the ‘error of law/abuse of discretion’ standard of review in the 'Standard and Scope of Review' section of the Appellants' Substituted Brief on Reargument filed in the Superior Court.” Brief of Allied Signal at 15 n.l 1. As has now been discussed, Appellants correctly stated the proper standard of review for summary judgment in general, and, in so doing, mentioned that summary judgment review encompasses errors of law. Accordingly, we discern no waiver on Appellants’ part.
. While the error committed by the OISA in this regard may well be sufficient grounds to vacate the per curiam order of the Superior Court and remand this case to the Superior Court for review anew, such review would be conducted in accord with the Quate standard, rejected infra, necessitating another appeal and reversal. Accordingly, as a matter of judicial economy, we proceed to decide the other issues here presented.
. In Gregg v. V-J Auto Parts, Co., 596 Pa. 274, 943 A.2d 216 (2007), this Court recently rejected the viability of the "each and every exposure” or "any breath” theory. We stated:
we do not believe that it is a viable solution to indulge in a fiction that each and every exposure to asbestos, no matter how minimal in relation to other exposures, implicates a fact issue concerning substantial-factor causation ... The result, in our view, is to subject defendants to full joint-and-several liability for injuries and fatalities in the absence of any reasonably developed scientific reasoning that would support the conclusion that the product sold by the defendant was a substantial factor in causing the harm.
Id. at 226-27.
. Simmons affirmed sub nom. Giffear v. Johns-Manville Corporation, 429 Pa.Super. 327, 632 A.2d 880 (1993) (en banc). Relevant to this appeal, the holding of the Superior Court in Giffear was the same as this Court in Simmons: asymptomatic pleural thickening does not constitute a compensable injury.
. Indeed, amicus curiae Coalition for Litigation Justice, Inc., realized that, with this case: "this Court has an important opportunity to clarify the standard required to establish an action for damages” under Pennsylvania law. Brief for the Coalition of Litigation Justice, Inc. as Amicus Curiae in Support of Appellees at 33. Moreover, the Dissent questions whether, under Taylor (but without any citation to either White or McCauley), shortness of breath alone is a compensable injury. See Dissenting Op. at 324-25, 997 A.2d at 1070-71 (Eakin, J., dissenting). While we agree that, at some point, we must rectify the confusion resulting from the Superior Court's conflicting prima facie standards, this case is not the proper vehicle to do so, as Appellants have demonstrated a compensable injury under either standard. Thus, any adop
. To be sure, had the Quate panel denied recovery on this basis, such a holding would have been wholly consistent with this Court’s decision in Simmons, supra pp. 1161-62.
. Indeed, we now instruct juries on the vety idea of competing issues of factual causation. See Pa.SSJI (Civ) § 3.15 ("The defendant's conduct need not be the only factual cause. The fact that some other causes concur ... does not relieve the defendant of liability----”); § 8.04B (instructing that, in a strict products liability action, when a defendant manufacturer proffers a different factual cause of the sustained injury, "the manufacturer has the burden of proving by a fair preponderance ... that the plaintiff's injuries are divisible and [the defective product] did not contribute to this particular injury.”)
. We note that the Dissent places much emphasis on the fact that "each [A]ppellant has so many other conditions that finding the asbestos exposure to be a significant contributing factor is difficult even if Dr. Gelfand’s ["each and every exposure”] theory were facially plausible.” Dissenting Op. at 327, 997 A.2d at 1171 (Eakin, J., dissenting). The Dissent then goes on to detail the myriad of medical conditions plaguing Appellants, including asbestos-related diseases, and finds that "having an expert say the words ‘sufficient to establish legal causation’ is not enough” to survive summary judgment in these types of asbestos cases. Id. at 329, 997 A.2d at 1173. Respectfully, however, the Dissent arrives at such a conclusion without citation to or mention of the plethora of decisions from this Court that require juries to resolve competing theories of causation. We agree with the Dissent that Appellants' conditions related to years of cigarette smoking may be contributing to their debilitating conditions. What the Dissent ignores, however, is that Dr. Gelfand has opined, to a reasonable degree of medical certainty, that Appellants’ incapacitating conditions have been caused, at least in part, by exposure to asbestos. With that opinion, our jurisprudence requires Appellants to have the opportunity to prove their cases before a jury.
As an aside, we are compelled to note further that the Dissent takes no issue with our disapproval of the Quate decision; indeed, had we reaffirmed the vitality of Quate, the Dissent’s position would be well-taken. As noted supra, however, Quate simply cannot be aligned with the decisional law of this Court.
. Again, we recognize that discovery in these cases may not be closed; there have been no requests for a Frye hearing; nor have motions in limine or an omnibus motion to exclude evidence been filed, litigated, or adjudicated by the trial court.
. In light of this disposition, we need not address the third issue raised in this appeal, namely whether the OISA improperly disregarded our decision in Martin v. Owens-Corning Fiberglas Corporation, 515 Pa. 377, 528 A.2d 947 (1987). However, in light of our order to remand this case to the trial court, we note that Appellants’ argument in this regard is without merit. Appellants contend that Martin "stands for the proposition that where two or more causes combine to produce a single result, incapable of reasonable division, each may be [a] substantial
In Mai'tin, the plaintiff sought asbestos-related damages and presented expert testimony, which detailed his disabilities due to both asbestosis and cigarette-smoking-related emphysema. The trial court, in charging the jury after summations, instructed the members to apportion the damages awarded (if any) by the percentage of Martin's condition that was due to cigarette smoking. On appeal, we remanded for a new trial, limited to the issue of damages, because the jury had not been provided any testimony or evidence concerning the relative contribution of cigarette smoking and asbestos exposure to the plaintiff's conditions. Despite Appellants’ contentions to the contrary, Martin did not address the issues of expert testimony or causation discussed herein; rather, Martin merely concerned the propriety of a trial court’s instruction to apportion damages in a concurrent causation action.
Concurring Opinion
concurring.
I am sympathetic to the task of the common pleas and intermediate appellate courts in addressing the “elephantine mass of asbestos litigation ... [which] defies customary judicial administration and calls for national legislation.” Ortiz v. Fibreboard Corp., 527 U.S. 815, 821, 119 S.Ct. 2295, 2302, 144 L.Ed.2d 715 (1999). Ultimately, however, I agree with the majority that the common pleas court’s summary judgment decision, which turns on Quate v. American Standard, Inc., 818 A.2d 510 (Pa.Super. 2003), was not an adequate resolution of Appellants’ claims in the present case.
Initially, I agree with the majority that Quate is unsound to the degree that it rejects, outright, the possibility of a valid differential diagnosis by a medical expert, and/or the potential for concurrent causation, in applying the injury threshold under Simmons v. Pacor, 543 Pa. 664, 674 A.2d 232 (1996). See Majority Opinion, at 314-15, 997 A.2d at 1164-65. While
The difficulty in these cases, highlighted at length by Appellees and their amici, is that, at least on the face of his report, Dr. Gelfand’s differential diagnosis is explained solely in terms of the “any breath” theory of causation. See, e.g., Report of Jonathan L. Gelfand, M.D. (Summers), at 3 (June 25, 2003). Notably, in Gregg v. V-J Auto Parts, Co., 596 Pa. 274, 943 A.2d 216 (2007), this Court recently credited the opinion announcing the judgment of the Superior Court in the present case, authored by Judge Klein, to the degree it rejected the “any breath” theory as establishing a jury issue in cases in which the plaintiffs’ exposure to a defendant’s asbestos-containing product is de minimus. See id. at 291, 943 A.2d at 226.
The difference here arises from the fact that Appellants have surpassed the de minimus threshold, which was the
It may be that the common pleas court believed that an inquiry into the admissibility of Dr. Gelfand’s opinion under Frye was not implicated, on the theory that the methodology employed was not novel. See Commonwealth v. Puksar, 597 Pa. 240, 255, 951 A.2d 267, 276 (2008) (explaining that the Frye test is limited to novel methodologies). However, as developed in my dissenting opinion in Commonwealth v. Smith, 606 Pa. 127, 995 A.2d 1143 (2010), I believe that Pennsylvania common pleas courts should maintain a meaningful screening role in determining the admissibility of evidence adduced from those laying claim to special expertise. Thus, I would interpret the term “novel,” in the screening test to determine Frye’s applicability, to subsume any scientific method which cannot be fully explained in terms of generally accepted scientific theory upon a close evaluation. See Smith, 606 Pa.
Moreover, under our evidentiary rules not all proffered expert testimony must be admitted. Rule 702 indicates that such testimony should only be considered if it will “assist the trier of fact to understand the evidence or determine a fact in issue,” Pa.R.E. 702, a question whose resolution is committed to the common pleas court, see Pa.R.E. 104. This Court has explained, moreover, that Frye, like the federal test under Daubert, is a means of “insuring that only reliable expert scientific evidence is admitted at trial.” Grady v. Frito-Lay, Inc., 576 Pa. 546, 557, 839 A.2d 1038, 1045 (2003). Although Daubert is understood as the more liberal standard in terms of admissibility, see Gen. Elec. Co. v. Joiner, 522 U.S. 136,142, 118 S.Ct. 512, 517,139 L.Ed.2d 508 (1997), its purpose remains to guard against consideration by jurors of unreliable evidence disguised as scientifically-based expert opinion. See Rink v. Cheminova, Inc., 400 F.3d 1286, 1291 (11th Cir. 2005); see also Commonwealth v. Topa, 471 Pa. 223, 232, 369 A.2d 1277, 1282 (1977) (reflecting the concern that “scientific proof may in some instances assume a posture of mystic infallibility in the eyes of a jury of laymen”); cf. E.I. du Pont de Nemours & Co. v. Robinson, 923 S.W.2d 549, 553 (Tex. 1995) (“Professional expert witnesses are available to render an opinion on almost any theory, regardless of its merit.”).
As applied presently, it may be true, for the reasons expressed in the opinion authored by Judge Klein, that Dr. Gelfand lacked a reliable scientific foundation to conclude that asbestos exposure represented a substantial factor in causing plaintiffs’ medical problems. Accord In re Asbestos Litigation, No. 001 Oct. Term 1986, slip op., 2008 WL 4600385 (concluding, upon an evidentiary record under Frye, that “the claimed methodology [to support the any-breath theory] simply does not exist or is so convoluted and inherently contradictory so as to defy any comprehension”). Nevertheless, channeling an evidentiary challenge through the appropriate
If that had been done here, the Superior Court, and this Court, might have had an adequate foundation to evaluate whether the trial court correctly determined that Dr. Gelfand’s reports did not raise a genuine factual issue. As it is, the Superior Court plurality would place judges in the role of independent scientific experts, which, obviously, is not their central area of expertise. See Summers v. Certainteed, 886 A.2d 240, 243, 245 (Pa.Super. 2005) (Opinion in Support of Affirmance); see also supra note l.
Accordingly, while recognizing the profound social impact of asbestos litigation, I support the remand directed by the majority to allow for appropriate process.
. While Appellees credit the common pleas court with having assessed Dr. Gelfand’s opinions overtly, see Brief for Appellee Allied Signal, Inc., at 18 ("The trial court determined that plaintiffs’ medical evidence regarding causation, which consisted of one line in each of the reports of Dr. Gelfand, did not meet the threshold requirement of admissibility!.]’’); Brief for Certainteed Corp. and Union Carbide Corp. at 18-19 & n.20 (”[T]he court acted well within its discretion when it evaluated plaintiffs’ expert conclusions to determine their competency and reliability as evidence.”), such assessment is, at the very best, implicit in the common pleas court's opinion.
. Indeed, in several material respects, the present majority opinion resembles the dissenting ones from Gregg.
. While the majority regards Dr. Gelfand’s conclusions as "readily support[ed]” in the record, Majority Opinion, at 315, 997 A.2d at 1165, I do not see any other rationale supporting a differential diagnosis, other than the "any breath” theory.
. While the effort of the common pleas court and the Superior Court to shortcut that process is understandable, I believe it has had the effect of weakening the offered justifications for summary judgment. Notably, it is precisely because the courts’ opinions are based on an implicit evidentiary ruling (which, concededly, is made more explicit in the opinion authored by Judge Klein), that a question arises concerning the appropriate standard of review. See Majority Opinion, at 306-08, 997 A.2d at 1159-60. In this regard, there is no question that evidentiaiy
. The Smith majority approved the admission of a scientific opinion which was contrary to the scientific literature upon which expert relied. See Smith, 606 Pa. at 155, 995 A.2d at 1159. Thus, the decision seems to lend support to an extremely liberal approach to the admissibility of scientific evidence in the courtroom.
Nevertheless, the Smith majority discussed several aspects of the expert’s testimony in tandem, making it difficult to assess the breadth of the holding; the decision arose in the context of evaluating strategic, trial decisions of a criminal defense attorney; and the majority couched the relevant expert opinion as "questionable,” as opposed to contrary to the scientific literature. See Smith, 606 Pa. at 155, 995 A.2d at 1159. For these reasons, I do not read Smith as having broad-scale significance in terms of this Court’s approach to scientific evidence.
. As the Supreme Court of Texas has explained:
Expert witnesses can have an extremely prejudicial impact on the jury, in part because of the way in which the juiy perceives a witness labeled as an expert. To the jury an "expert” is just an unbridled authority figure, and as such he or she is more believable. A witness who has been admitted by the trial court as an expert often appears inherently more credible to the jury than does a lay witness.... Added to the potentially prejudicial influence of the term expert is the difficulty inherent in evaluating scientific evidence. Jurors are often expected to understand complex testimony regarding arcane scientific concepts and are even asked to resolve issues on which the experts camjot agree.
Robinson, 923 S.W.2d at 553 (citations and quotation marks omitted).
. This would also raise a number of process concerns, as, for example, litigants are not permitted to voir dire the judge in terms of the relevant scientific qualifications.
. Appellants argue that Appellees have waived their right to an evidentiary hearing, see Reply Brief for Appellants at 3-4; however, the argument is not well developed. In any event, waiver was not the basis for decision to this point, and the issue remains for the common pleas court to determine in the first instance.
Reference
- Full Case Name
- Frederick S. and Lynn SUMMERS, H/W, Appellees v. CERTAINTEED CORPORATION and Union Carbide Corporation, Appellants; Richard Nybeck, Appellee v. Union Carbide Corporation, Appellant; Frederick S. and Lynn Summers, H/W, Appellants v. Certainteed Corporation and Union Carbide Corporation, Appellees; Richard Nybeck, Appellant v. Union Carbide Corporation, Appellee
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