Lipitor (Atorvastatin Calcium) Mktg. v. Pfizer, Inc.
Opinion
This appeal arises from a multidistrict litigation ("MDL") in which thousands of women claim that their use of the medication Lipitor caused them to develop diabetes. The women sued Pfizer, Lipitor's manufacturer, asserting various products liability claims. After protracted litigation, the district court granted summary judgment to Pfizer. Plaintiffs now ask us to consider a host of issues, including whether the district court erred in excluding certain expert testimony under Federal Rule of Evidence 702 and Daubert 1 ; whether it erred in requiring expert testimony at all; and whether summary judgment was appropriately granted against all plaintiffs in the MDL. Finding no reversible error, we affirm the district court's judgments.
I.
Pfizer manufactures Lipitor (atorvastatincalcium ), a pharmaceutical drug. Lipitor is a member of a class of drugs known as statins, which are broadly indicated to prevent the onset of cardiovascular disease. Physicians prescribe Lipitor to lower patients' low-density lipoprotein cholesterol (LDL-C, or "bad" cholesterol) and triglycerides in order to reduce the risk of heart attack or stroke. In the United States, Lipitor is commercially available in 10, 20, 40, and 80 mg tablets.
The plaintiffs in this litigation are more than three thousand women who have sued Pfizer, claiming that they developed diabetes as a result of taking Lipitor. Their complaint sets forth various theories of liability, including that Pfizer was negligent in its design and promotion of Lipitor and that Pfizer failed to adequately warn others of the drug's known risks.
The Judicial Panel on Multidistrict Litigation transferred these lawsuits to the District of South Carolina for consolidated or coordinated pretrial proceedings.
See
The parties engaged in extensive discovery, including the identification of expert witnesses and exchange of expert reports. The plaintiffs enlisted general causation experts, who intended to testify that there was a causal association between Lipitor and diabetes, and specific causation experts, who would testify that Lipitor proximately caused the onset of diabetes in each of the bellwether plaintiffs. The plaintiffs also retained an expert biostatistician, who performed analyses of several clinical trials and studies, and concluded that Lipitor led to a statistically significant increased risk of diabetes among those who took the drug.
The plaintiffs offered other evidence to prove causation. Specifically, they sought to introduce internal Pfizer emails, information from the Lipitor labeling in the United States and Japan, a statement in the New Drug Application ("NDA") for Lipitor submitted by its original developer to the Food and Drug Administration ("FDA"), and information contained on the official Lipitor website. All of these, the plaintiffs contend, evince an association between Lipitor and diabetes-and Pfizer's knowledge of it.
At the close of discovery, Pfizer moved to exclude the plaintiffs' expert witnesses under Daubert and Federal Rule of Evidence 702. Following extensive hearings and an opportunity for the experts to amend their reports, Pfizer's challenge, in large part, succeeded. Relevant to this appeal, the district court excluded the opinions of the plaintiffs' statistician, Dr. Nicholas Jewell; the opinions of their general causation expert, Dr. Sonal Singh, except for his opinions relating to the 80 mg dose of Lipitor ; and the specific causation opinions of Dr. Elizabeth Murphy, which related to the onset of diabetes in one of the bellwether plaintiffs. 2
The court's rulings left the plaintiffs without their bellwether cases, and limited to a subset of patients who had taken an 80 mg dose. Following a hearing, and with agreement of counsel, the district court issued a series of four show cause orders asking whether any plaintiff in the MDL could submit evidence (expert or otherwise) that would enable her claim to survive summary judgment given the court's prior rulings.
In response to the show cause orders, one group of plaintiffs submitted evidence showing only that they were not diabetic before taking Lipitor, that they were diagnosed with diabetes after taking Lipitor, and that they lacked certain risk factors that might make them especially likely to develop the disease. Another group simply "dumped boxes upon boxes of documents"
on the district court, including wholly irrelevant records such as "pictures from colonoscopies, EKGs, and pap smear results," with "no discernment or suggestion as to which documents they claimed precluded summary judgment."
In re Lipitor Mktg., Sales Practices and Prods. Liab. Litig.
,
After the court's deadline to submit new evidence expired, the plaintiffs argued that the cases in the MDL ought to be returned to their transferor district courts for individual resolution on the issue of specific causation. The district court, however, deemed itself competent to address the questions that remained and granted summary judgment against all plaintiffs in the MDL.
II.
The lion's share of this appeal centers upon the district court's decision to exclude the testimony of three of the plaintiffs' expert witnesses.
Expert testimony in the federal courts is governed by Federal Rule of Evidence 702. That rule permits an expert to testify where 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," so long as the expert's opinion is "based on sufficient facts or data," "is the product of reliable principles and methods," and the expert "has reliably applied the principles and methods to the facts of the case." Fed. R. Evid. 702.
In assessing the admissibility of expert testimony, a district court assumes a "gatekeeping role" to ensure that the "testimony both rests on a reliable foundation and is relevant to the task at hand."
Daubert
, 509 U.S. at 597,
"[T]he trial court's role as a gatekeeper is not intended to serve as a replacement for the adversary system, and consequently, the rejection of expert testimony is the exception rather than the rule."
United States v. Stanley
,
When an expert brings science from the laboratory to the courthouse, we have recognized "two guiding, and sometimes competing, principles" that apply.
Westberry v. Gislaved Gummi AB
,
We review a district court's decision to admit or exclude expert evidence for abuse of discretion.
Gen. Elec. Co. v. Joiner
,
We turn then to consider the district court's decision to latch Daubert 's gate and exclude the testimony of three of the plaintiffs' expert witnesses. 4
A. Dr. Jewell (Statistics)
The plaintiffs offered the testimony of Dr. Nicholas Jewell to establish a statistical association between Lipitor and new-onset diabetes. To reach his conclusion, Dr. Jewell performed a reanalysis of the data used in several clinical trials involving Lipitor, including the Pfizer-sponsored ASCOT-LLA trial, 5 as well as clinical trial data submitted to the FDA in the NDA for Lipitor. The district court excluded Dr. Jewell's opinions as to the ASCOT and NDA data, and the plaintiffs challenge both exclusions on appeal.
1. NDA Data
Before a drug may be sold or marketed in the United States, its manufacturer must submit an NDA to the FDA for review and approval.
See
At the outset of his report, Dr. Jewell confessed that the data provided "less than optimum information about [Lipitor's ] effect on glucose metabolism or new-onset diabetes, because of their short duration, relatively small sample sizes, and the unusual imbalance between the number of participants allocated to placebo and atorvastatin treatment." CMO 54,
The district court found Dr. Jewell's methodology and application too tainted with potential bias and error to pass Daubert muster. First, the court expressed concern about the patients whose data were included in the sample set. In particular, Dr. Jewell included patients who had only a single elevated blood glucose reading and patients who had an abnormally elevated baseline glucose level at the beginning of the trial. Including patients with only a single reading, the district court explained, was contrary to the position the plaintiffs and their experts had taken elsewhere in the litigation (including through testimony from Dr. Jewell himself) that a single elevated glucose reading was not a reliable indicator of a diabetic patient. And including patients with elevated baseline levels risked introducing confounding variables into the analysis and thereby endangered the reliability of the results. 6
The plaintiffs argue that Dr. Jewell was merely opining as to an increased risk of elevated glucose levels rather than a specific increase in the risk of diabetes. But that argument is at odds with Dr. Jewell's own report, which concludes that the NDA "should have alerted ... Pfizer to the possibility of increased risk of new-onset diabetes associated with atorvastatin treatment." J.A. 2254 (emphasis added).
Moreover, the district court believed that Dr. Jewell, a statistician, was simply not qualified to make determinations about which patients' data should have alerted Pfizer to a possible association between its drug and diabetes. Given that Dr. Jewell "readily admitted that he had no expertise in diabetes, did not 'quite know' what new-onset diabetes meant, and was unwilling to testify about the role or use of blood glucose as a surrogate marker for diabetes because he was not a clinician," the district court found that he "by his own testimony ... lacked the expertise to opine about any implications that single glucose readings might have about the possibility of new-onset diabetes." CMO 67, MDL No. 2:14-mn-02502-RMG,
Also casting a specter of unreliability over Dr. Jewell's report was the manner in which he applied otherwise reliable statistical tests to the data. Statisticians rely on a range of mathematical tests to extrapolate meaning from data. Choosing the test to apply is a matter of selecting the appropriate tool for the task, and involves considera tion of a variety of factors including type of data and sample size.
The district court questioned the way in which Dr. Jewell chose to include (and omit) the results from different tests in his report. Specifically, the district court noted that Dr. Jewell originally performed a "Fisher's exact test" on the data, which is a "[w]ell-known small-sample technique" used to compare two samples.
See
CMO 54,
When Dr. Jewell first performed the test, it showed a statistically insignificant association between Lipitor and the onset of diabetes, yielding a p-value of .0654.
See
CMO 54,
The district court explained that "using the mid-p approach, standing alone, does not render Dr. Jewell's analysis unreliable," and acknowledged that the test "is used by some statisticians and can be a valid methodology."
Result-driven analysis, or cherry-picking, undermines principles of the scientific method and is a quintessential example of applying methodologies (valid or otherwise) in an unreliable fashion. "[C]ourts have consistently excluded expert testimony that 'cherry-picks' relevant data,"
EEOC v. Freeman
,
The plaintiffs defend the statistical legitimacy of the mid-p test. They also say that Dr. Jewell didn't cherry-pick his methods but rather performed a variety of calculations on the data. But the district court didn't take issue with the use of the mid-p test itself. Rather, it objected to Dr. Jewell's choice to include in his report the results of some tests he performed (which supported the plaintiffs' argument) but exclude the results of another (which did not). The district court concluded (we think reasonably) that such an approach lacked the hallmark of science properly performed.
Finally, the district court was skeptical of Dr. Jewell's use of average blood glucose increase as a metric in his analysis. Dr. Jewell calculated the average increase in blood glucose among patients with elevated levels in either arm of the trials (i.e., patients who had taken Lipitor or patients who had taken a placebo). He then reasoned that this average increase could be applied to the group of patients who had taken Lipitor, using his past (potentially flawed) conclusions to support the proposition that patients with glucose elevation were more likely to be in the Lipitor (rather than placebo) groups.
The district court found this logic to be "convoluted, and flawed." CMO 54,
These are classic concerns regarding reliability and relevance that district courts should weigh when deciding whether to admit expert evidence. The court here properly discharged its gatekeeping duty by considering-and ultimately excluding-Dr. Jewell's opinions, and explaining in detail its well-reasoned grounds for doing so.
2. ASCOT-LLA
Dr. Jewell also performed a reanalysis of data Pfizer produced from ASCOT-LLA, a clinical trial of Lipitor. 10 In the trial, patients with certain cardiovascular risk factors were randomly assigned to one of two arms: one group of patients was prescribed a dose of Lipitor ; the remaining patients received a placebo. The primary endpoints of ASCOT-LLA (that is, the outcomes for which study investigators were principally monitoring) were nonfatal myocardial infarction (heart attack ) and fatal coronary heart disease. The trial was ultimately terminated early because Lipitor was proving so effective at reducing cardiovascular events that the data safety monitoring board recommended-and the steering committee agreed-to conclude the study ahead of its originally scheduled timeline.
Development of diabetes was a tertiary endpoint in ASCOT, which (like all identified endpoints) was monitored through ASCOT's adjudication process. Study investigators sent patient information relevant to any endpoint to a special endpoints committee. That committee applied previously-defined criteria for classifying diagnoses to determine whether a particular endpoint had been reached. 11 The data the committee received was blinded, meaning that its members weren't told whether an individual patient had been assigned to the atorvastatin or placebo arm of the trial. After it determined whether a patient had reached a designated endpoint, the committee reported its findings to the coordinating center, which in turn communicated them to the study's data safety monitoring board.
The ASCOT-LLA authors ultimately reported no statistically significant difference between the rate at which patients who took Lipitor developed diabetes and the rate among the patients who received a placebo. "In other words," the district court summarized, "the study did not find an association between Lipitor and new-onset diabetes." CMO 54,
How did Dr. Jewell reach this contrary result? The primary juncture where the ASCOT authors and Dr. Jewell part ways involves selection of the proper criteria used to diagnose a patient with diabetes. According to Dr. Jewell, it was unclear from the ASCOT protocol how investigators were identifying diabetic patients. He also quibbled with the criteria for diagnosing patients with diabetes set forth in the ASCOT protocol. Additionally, Dr. Jewell determined that reanalysis was appropriate because he could not reconstruct the study's adjudication process based on the data Pfizer had produced. Analyzing the data anew using his preferred definition of new-onset diabetes 12 (and without the advantage of independently adjudicated data), Dr. Jewell concluded that the ASCOT-LLA data indeed showed an association between use of Lipitor and an increased risk of diabetes.
The district court again took issue with Dr. Jewell's methodology. First, the court expressed concern with Dr. Jewell's decision to replace the definition of diabetes used by the ASCOT endpoints committee with one of his own. Although Dr. Jewell is well-qualified as a statistician, he's not a medical doctor or professional, nor does he have any particular expertise in diabetes. The court decided that Dr. Jewell lacked the expertise to "second guess" the judgments of the endpoints committee, and that it was inappropriate for "someone with no clinical expertise [to choose] to replace the adjudication committee's determination of new-onset diabetes with particular unadjudicated raw data, namely lab values of his choice." CMO 54,
Moreover, despite using an apparently narrower definition of diabetes than the one used by the endpoints committee, Dr. Jewell nevertheless discovered
more
cases of new-onset diabetes. The court expressed skepticism about the way in which Dr. Jewell identified the cases because his decisions-unlike those of the adjudication committee in the ASCOT study-were not blind and thus lacked the same insulation from possible bias. And the endpoints committee (unlike Dr. Jewell) "had access to medical records and case files and examined and reconciled data to ensure that the inclusion of a case was accurate."
The plaintiffs say that Dr. Jewell was right to perform a reanalysis given certain "anomalies" that he identified in the original study. To be sure, a reanalysis of a clinical trial's data may sometimes be appropriate. But such a reanalysis isn't per se admissible under Daubert . As with any expert undertaking, a district court must review a reanalysis to ensure it meets Daubert 's demands of reliable methodologies reliably applied. And when the results of a reanalysis are squarely at odds with the conclusions of a published, peer-reviewed study; the methods of the reanalysis are questionable because of the absence of properly adjudicated data; the expert performing the reanalysis lacks expertise in the portion of the study he's modifying; and that expert offers an unpersuasive rationale for why the original findings are wrong and his correct, then skepticism by the district court is warranted.
Here, the district court understandably worried that Dr. Jewell, whose expertise lay in the realm of mathematics rather than medicine, compromised the soundness of his opinions by eschewing the benefits of ASCOT's blinded adjudication process and usurping its predetermined diagnostic criteria with his own without adequate justification. Such a determination is well within the broad discretion we afford district courts in deciding evidentiary questions.
The plaintiffs make much of a few statements by the district court suggesting that Dr. Jewell substituted his definition of diabetes for that of the ASCOT investigators "without any explanation."
E.g.
, CMO 54,
"The touchstones for admissibility under
Daubert
are two: reliability and relevancy."
United States v. Crisp
,
That is what the district court did here-it identified and articulated clear (and, we think, reasonable) concerns it had about the manner in which Dr. Jewell reached his conclusions. Even when afforded the opportunity to supplement his report, Dr. Jewell failed to assuage the court's justified worries with his testimony. Accordingly, we affirm the district court's ruling excluding Dr. Jewell's expert opinions.
B. Dr. Singh (General Causation)
The plaintiffs next ask us to revive the testimony of Dr. Sonal Singh, who offered general causation opinions. Dr. Singh conducted a literature review and performed a meta-analysis of relevant studies. Ultimately, he concluded that there was an association between the use of Lipitor and increased risk of diabetes. Dr. Singh then applied what epidemiologists refer to as the "Bradford Hill criteria" to the data to determine whether the association was a causal one; that is, whether use of Lipitor in fact caused patients' increased risk of diabetes.
The Bradford Hill criteria are a series of factors used by epidemiologists to determine whether an observed association between two variables is causal. Those factors include temporal relationship, strength of the association, dose-response relationship, replication of the findings, biological plausibility, consideration of alternative explanations, cessation of exposure, specificity of the association, and consistency with other knowledge.
See
RMSE at 599-600. No single criterion is dispositive: a true causal relationship may exist where one or more factors are absent; likewise, one or more factors may be present in a dataset where there is no causal relationship at all.
Dr. Singh considered the Bradford Hill criteria and concluded that there was indeed a causal relationship between Lipitor and diabetes. But after Dr. Singh submitted his initial report, the district court ruled that he (and other experts) "must demonstrate ... that particular doses of Lipitor are capable of causing diabetes," and directed him to file a supplemental report "offering opinions as to whether Lipitor causes diabetes at" each of the four doses commercially available in the United States (10, 20, 40, and 80 mg).
See
CMO 49, MDL No. 2:14-mn-02502-RMG,
The district court thought it improper for Dr. Singh to apply the Bradford Hill criteria to the data for the 10 mg dose of Lipitor to determine causality because the data did not reveal a sufficiently strong association between the drug and the disease. By Dr. Singh's own admission, his opinions as to the 20 and 40 mg doses were based on his conclusions for the 10 mg dose, and thus without Dr. Singh's opinion as to the 10 mg dose, the district court held that his opinions as to the 20 and 40 mg doses must also be excluded. But the data did show a sufficient relationship between an 80 mg dose of Lipitor and diabetes, and because Dr. Singh's application of the Bradford Hill criteria suggested that the relationship there was a causal one, the district court denied Pfizer's motion to exclude Dr. Singh's opinions with respect to the 80 mg dose.
The plaintiffs raise two challenges to these rulings: they argue that the district court erred in requiring Dr. Singh to (1) offer an opinion on causation at each specific dose of Lipitor ; and (2) find a statistically significant association between Lipitor and diabetes before opining as to causation. Neither argument is persuasive.
1. Dosage
"[D]ose matters." So explained the court in
In re Bextra & Celebrex Mktg. Sales Practices & Prod. Liab. Litig.
,
The district court determined that this case called for expert opinions broken down by dose, particularly because "where [as here] the experts agree that there is a dose-response relationship and where there is evidence that an association no longer holds at low doses, dose certainly matters, and Plaintiffs must have expert testimony that Lipitor causes, or is capable of causing, diabetes at particular dosages." CMO 49,
In requiring Dr. Singh to provide dose-specific opinions, the district court relied on
Westberry v. Gislaved Gummi AB
,
We explained that "[i]n order to carry the burden of proving a plaintiff's injury was caused by exposure to a specified substance, the plaintiff must demonstrate the levels of exposure that are hazardous to human beings generally as well as the plaintiff's actual level of exposure."
Pharmaceuticals like Lipitor, on the other hand, lend themselves quite well to dosage analysis. Unlike substances in other toxic tort cases (talcum powder, for instance, or asbestos), pharmaceutical drugs are typically prescribed and consumed in measured and knowable quantities. Because patients on Lipitor know their precise dose, and because there is data available on many other patients taking that same dose, pharmaceutical injury litigation may indeed present the "rare" case Westberry described in which a patient is exposed to a chemical in a readily quantified way.
We do not suggest that every case involving a claim of injury resulting from a pharmaceutical drug will require a dose-by-dose analysis, and an expert witness will not necessarily need to define the precise lower bound of exposure risk. The appropriate level of analysis will depend on the circumstances of the case and the capacity of current scientific methods. But where, as here, each plaintiff took one of only several commercially available doses, clinical data exist that enable an expert to perform a causation analysis at each dose, and experts (including plaintiffs' own) acknowledge that there is some relationship between dosage and harm, the district court doesn't abuse its discretion in asking the expert to produce a dose-by-dose analysis.
2. Statistical Significance
Dr. Singh's supplemental expert report accounted for the four commercial doses of Lipitor and again concluded that there was a causal association between the drug and diabetes at each particular dose. As before, Dr. Singh looked at clinical data to determine whether an association existed between the variables and then applied the Bradford Hill criteria to conclude that the observed relationship was causal.
Nevertheless, the district court excluded his opinion as to the association between diabetes and the 10 mg Lipitor dose. The court found it inappropriate for Dr. Singh to apply the Bradford Hill criteria where the association observed at the first stage of his analysis was insufficiently strong. The Reference Manual on Scientific Evidence stresses that it is proper to employ the Bradford Hill criteria "only
after
a study finds an association to determine whether that association reflects a true causal relationship." RMSE at 598-99. In fact, the Manual highlights cases in which "experts attempted to use these guidelines to support the existence of causation in the absence of any epidemiologic studies finding an association," but observes that while "[t]here may be some logic to that effort ... it does not reflect accepted epidemiologic methodology."
See
This case is different in that Dr. Singh did claim to discover an association before applying the Bradford Hill criteria. But the district court found that Dr. Singh couldn't reliably apply the Bradford Hill criteria to the data because the association he found was too weak. How strong is strong enough? "[I]t is well established," the district court explained, "that the Bradford Hill method used by epidemiologists ... require[s] that an association be established through studies with statistically significant results." CMO 68,
We pause here to provide a brief overview of the concept of statistical significance and its proper role in the courtroom.
Statistical significance is a measure of confidence that a trend observed in a dataset is not random. "A study that is statistically significant has results that are unlikely to be the result of random error...." RMSE at 573. Statistical significance is typically expressed through a p-value. "A p-value represents the probability that an observed positive association could result from random error even if no association were in fact present." Id. at 576 (emphasis removed). To determine whether an association is statistically significant, statisticians compare the p-value to a predetermined threshold value (also known as a significance level). If the p-value is smaller than the significance level, then the finding is statistically significant. Otherwise, it is not. "The most common significance level ... used in science is .05. A .05 value means that the probability is 5% of observing an association at least as large as that found in the study when in truth there is no association." Id. at 577 (footnote omitted).
The purpose of statistical significance, then, is to indicate a certain level of confidence in the results of an analysis. A significant p-value is not, however, some all-purpose salve, nor is it a get-out-of-
Daubert
-free card. Just as statistically significant evidence won't result in automatic admission, the absence of a p-value that is smaller than .05 (or some other threshold) isn't necessarily fatal to a case. Rather, statistical significance may bear on the question of reliability, and must therefore be subjected to the same inquiry as any other scientific evidence-including whether the expert has applied the "same level of intellectual rigor that characterizes the practice of an expert in the relevant field."
Kumho Tire
,
The Supreme Court addressed this issue in
Matrixx Initiatives, Inc. v. Siracusano
,
"A lack of statistically significant data," it explained, "does not mean that medical experts have no reliable basis for inferring a causal link between a drug and adverse events."
We think Matrixx is consistent with Daubert , which teaches that judges should look beyond the confines of the courtroom to ask what experts do in the real world. And the record, literature, and case law make clear that statistical significance, while important in many contexts, doesn't always paint a full portrait. Thus, we decline to establish a bright-line rule requiring experts to rely only on evidence that is statistically significant or else have their opinions excluded.
The district court here did not hold to the contrary. Instead, the court focused on the particular analysis Dr. Singh performed-applying the Bradford Hill criteria to a set of data-and determined that in that specific context, the analysis requires a statistician to find a statistically significant association at step one before moving on to apply the factors at step two. Because Dr. Singh deviated from this norm, the district court concluded that he unreliably applied the Bradford Hill methodology and thus his opinion was subject to exclusion.
Had the district court held (as the plaintiffs fret) that statistically significant evidence is a sine qua non of admissibility, it might well have committed an abuse of discretion. But the court here did no such thing. Instead, it excluded Dr. Singh's opinion as to the 10 mg dose because the plaintiffs "failed to demonstrate that Dr. Singh's reliance on non-statistically significant 'trends' is accepted in his field, that non-statistically significant findings have served as the basis for any epidemiologist's causation opinion in peer-reviewed literature, or that standards exist for controlling the technique's operation." CMO 68,
By Dr. Singh's own admission, without his opinion that there is an increased risk of diabetes at the 10 mg dose of Lipitor, his opinions as to the 20 and 40 mg doses must also fall. As the district court explained, Dr. Singh's conclusions regarding the 20 and 40 mg doses were "an inference" based on his findings regarding the 10 and 80 mg doses.
We thus find no abuse of discretion in the district court's decision to exclude Dr. Singh's general causation opinions at the 10, 20, and 40 mg doses of Lipitor.
C. Dr. Murphy (Specific Causation)
The final expert witness at issue in this appeal is Dr. Elizabeth Murphy. The plaintiffs sought to use Dr. Murphy to prove specific causation in the bellwether case of Juanita Hempstead. 13 "For specific causation, the plaintiff must 'demonstrate that the substance actually caused injury in her particular case.' "
CMO 55,
To reach her result, Dr. Murphy considered (1) the existence of "reports in the scientific literature and/or reliable expert data analyses showing the occurrence of new onset diabetes with Lipitor"; (2) whether it was "biologically plausible that Lipitor can cause new onset diabetes"; (3) whether "new onset diabetes appear[ed] after the Lipitor was given"; (4) the existence of "other possible causes for the development of new onset diabetes"; and (5) the likelihood that "Lipitor caused new onset diabetes in this individual at this time." CMO 55,
The district court expressed skepticism regarding Dr. Murphy's analysis, noting that while her report claimed that the methodology is "commonly used," Dr. Murphy "could not identify any organizations or peer-reviewed texts that contain this methodology," nor any colleagues who used the methodology to determine the cause of diabetes.
The district court also found that Dr. Murphy's causation analysis rested primarily on the first three steps, which relate to general causation and a temporal relationship.
See
The plaintiffs urge that the district court erred in excluding Dr. Murphy's testimony because differential diagnoses are a reliable, widely used technique to determine whether a particular source is the likely cause of an individual's disease. Indeed, we have explained that a differential diagnosis is "a standard scientific technique of identifying the cause of a medical problem by eliminating the likely causes until the most probable one is isolated."
Westberry
,
A rose by another name may smell as sweet-but simply calling an analysis a differential diagnosis doesn't make it so.
See
McClain v. Metabolife Intern., Inc.
,
In this case, Dr. Murphy did consider (and purportedly ruled out) several other risk factors, including Ms. Hempstead's family history, race, body mass index ("BMI"), and age. But her analysis of those factors-and, more importantly, her reasons for rejecting them as the likely cause of Ms. Hempstead's disease-fell short. As the district court recognized, Dr. Murphy identified several factors for which the risk "greatly exceed[ed] the risk of developing diabetes associated with Lipitor." CMO 55,
The district court found "many difficulties" with Dr. Murphy's testimony, explaining that she failed to "employ a reliable methodology to determine that Lipitor was a substantial contributing factor in Plaintiff[']s development of diabetes."
The plaintiffs argue that Dr. Murphy did in fact explain why the other significant risk factors were less likely to have caused Ms. Hempstead's disease. They are correct that Dr. Murphy's report was not entirely void of explanation. For example, Dr. Murphy explained that the family history factor was likely attenuated given the large size of Ms. Hempstead's family and the limited number of family members who developed the disease. Dr. Murphy addressed the significant risk factors of age and BMI by explaining that studies either adjust for those factors or are randomized to control for them, and that those studies nevertheless show an increased risk of diabetes associated with Lipitor.
But these explanations (even if true) do not accomplish the specific causation expert's task: accounting for the development of the disease in a particular plaintiff. That Lipitor may cause an increased risk of diabetes notwithstanding certain other risk factors is insufficient to conclude that the drug was a substantial contributing factor in an individual patient. To hold otherwise would obviate the need for any specific causation evidence at all.
Cf.
Best
,
Dr. Murphy's deposition testimony only bolstered this concern. Dr. Murphy testified that Ms. Hempstead's BMI and adult weight gain were substantial contributing factors to her development of diabetes.
In sum, the court found that Dr. Murphy's report appeared to dismiss other possible causes in favor of Lipitor in a cursory fashion that appeared closer to an ipse dixit than a reasoned scientific analysis. Dr. Murphy's conclusions focused almost exclusively on the fact that Ms. Hempstead took the drug and later developed the disease, rather than explaining what led her to believe that it was a substantial contributing factor as compared to other possible causes. Simply put, Daubert requires more.
As with the testimony of Drs. Jewell and Singh, the district court carefully subjected Dr. Murphy's testimony to Daubert 's twin rigors of relevance and reliability. The court acted well within its discretion in excluding Dr. Murphy's testimony.
III.
Left without sufficient expert testimony (at least for doses of Lipitor lower than 80 mg), the plaintiffs next appeal the district court's ruling that other evidence of causation was not enough to survive summary judgment. Pfizer argued-and the district court found-that absent admissible evidence of causation offered by the plaintiffs, there was no genuine dispute of a material fact, and thus summary judgment was appropriate. A district court properly grants summary judgment when "the movant shows that there is no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law." Fed. R. Civ. P. 56(a). "We review a grant of summary judgment de novo, viewing all facts and inferences in the light most favorable to the nonmoving party."
Balbed v. Eden Park Guest House, LLC
,
Here, the district court rejected the plaintiffs' argument that causation could be proven through purported admissions by Pfizer that Lipitor can cause diabetes, including an email from a Pfizer Senior Vice President, statements on the American and Japanese Lipitor labels, information in the Lipitor NDA, and a statement on the official Lipitor website. The district court held that under
Erie
,
14
state substantive law governs the means by which each plaintiff must prove her specific tort case. "To the extent that state substantive law requires causation to be established by expert testimony, it is also a question of state substantive law whether party-opponent admissions can substitute for expert evidence of causation." CMO 100,
The district court rejected the plaintiffs' contention that substantive state law on the issue of expert testimony meaningfully differs from one state to another. Instead, the court concluded that although "the specific language used by courts var[ies] to some degree, all jurisdictions require expert testimony at least where the issues are medically complex and outside common knowledge and lay experience."
The court supported this finding with a meticulous survey of authority spanning the law of the various states, territories, and the District of Columbia.
See
In a diversity case, state substantive law governs the "standard of care, whether it has been violated, and whether such violation is the proximate cause of plaintiff's injury"-in other words, the "substantive elements" of a tort action.
Fitzgerald v. Manning
,
Our sister circuits have had only limited opportunity to weigh in on this issue. In
In re Meridia Prods. Liab. Litig.
,
But in so holding, the Sixth Circuit emphasized that the district court had relied on the "specific wording" of the label rather than the mere fact that the warning existed, and further stressed the "strong wording of the label," which stated in no uncertain terms that the drug substantially increased its users' blood pressure.
See
The Second Circuit considered this argument more recently in an unpublished
decision in
In re Mirena IUD Prods. Liab. Litig.
,
The court avoided the ultimate question of "whether party admissions could ever substitute for expert testimony," concluding instead that the purported statements, even if admitted, could not carry the burden to survive summary judgment because they were "simply not enough to establish general causation."
See
There may be cases involving complex issues in which a party admission standing alone can suffice to avoid summary judgment. But we would expect those cases to be rare indeed.
See
Mirena
,
The questions presented in this case are complex and manifold (if the ink spilled in litigation thus far were not evidence enough). Moreover, the evidence at issue isn't especially strong. As the district court explained, most of the statements don't directly support the proposition that Lipitor causes diabetes, but instead speak to association rather than causation, or focus on blood glucose rather than diabetes.
See
CMO 100,
To hand to a jury the evidence here and ask it to reach a conclusion as to causation with any amount of certainty would be farcical and would likely result in a verdict steeped in speculation. Accordingly, the district court did not err in finding that the evidence could not independently establish a genuine dispute of a material fact.
IV.
Finally, the plaintiffs argue that it was improper for the district court to enter summary judgment across all cases in the MDL after no plaintiff produced adequate evidence of specific causation in response to the court's show cause orders. Instead, they argue, the scores of consolidated cases ought to have been returned to their respective transferor courts for individual resolution of the issue of specific causation.
The MDL statute permits the consolidation of several "civil actions involving one
or more common questions of fact" for "coordinated or consolidated pretrial proceedings."
It is well established that a transferee court may dispose of cases in an MDL through summary judgment-and indeed, they often do.
See
In re Food Lion, Inc. Fair Labor Standards Act Effective Scheduling Litig.
,
We see no inconsistency between the district court's actions and the MDL statute. The MDL device is intended to allow federal courts to "conserv[e] judicial resources in situations where multiple cases involving common questions of fact [are] filed in different districts."
Food Lion
,
Here, it was the district court's prerogative to determine whether it could dispose of the cases before it on the merits. At the time the court granted summary judgment, the plaintiffs were already facing an uphill battle: they were left without a general causation expert as to the majority of Lipitor doses, and their specific causation expert for the bellwether trial had also been excluded. "[T]he writing," as the district court put it, was "on the wall." CMO 100,
We find no error in the district court's decision to keep these cases and grant summary judgment to Pfizer.
V.
These cases involve difficult questions of mathematics and science, wrapped in a complex form of mass litigation. The district court here had to make a number of decisions pursuant to both its "gatekeeper" role imposed by Daubert , as well as its supervisory role as the transferee court in a large multidistrict litigation. The court discharged those duties meticulously and thoughtfully throughout the litigation, including performing careful review of the many expert reports, affording experts the opportunity to amend and revise those reports to ensure their opinions were fully considered, and, after ultimately excluding much of the plaintiffs' expert testimony, allowing them to come forward with any additional evidence that could salvage what remained of their cases before rendering a final decision.
The district court's judgments are therefore
AFFIRMED.
Daubert v. Merrell Dow Pharm., Inc.
,
The district court struck additional general and specific causation experts, but the plaintiffs do not challenge those rulings.
For efficiency and clarity, we will use throughout our opinion the abbreviation "CMO" followed by the order number to differentiate among the many case management orders issued by the district court in this litigation.
We do not address at any length the qualifications of these experts, for it is clear from the record that plaintiffs' experts are all quite qualified, and Pfizer does not assail their credentials. We therefore focus our discussion on the substance of their testimony.
See Peter S. Sever et al., Prevention of Coronary and Stroke Events with Atorvastatin in Hypertensive Patients Who Have Average or Lower-than-Average Cholesterol Concentrations, in the Anglo-Scandinavian Cardiac Outcomes Trial-Lipid Lowering Arm (ASCOT-LLA): A Multicentre Randomised Controlled Trial , 361 Lancet 1149 (2003).
As the district court explained, confounding variables "are those that correlate with the independent and dependent variable" and "cause a correlation to exist" between those variables "without causation being present." CMO 54,
We discuss p-values and statistical significance at length in Section II.B.2., infra.
The mid-p value is "based on the same underlying mechanics and probability calculations as the [Fisher's exact test], but it includes a correction to reduce the conservativeness and to provide a better balance of Type I and Type II errors." Dan A. Biddle & Scott B. Morris,
Using Lancaster's Mid-P Correction to the Fisher's Exact Test for Adverse Impact Analyses
, 96 J. Applied Psychol. 956, 958 (2011). A Type I error represents a "false positive" or "false alarm" error in which the null hypothesis (here, that there is no association between Lipitor and diabetes) is falsely rejected.
See
RMSE at 251 n.100. A Type II error is a "false negative," or a false acceptance of the null hypothesis.
Measurements of blood glucose can be expressed in terms of the milligrams of glucose per deciliter of blood (mg/dL).
Notably, Dr. Jewell didn't include an analysis of the ASCOT study in his original expert report, but the district court permitted him to file a supplemental report to address it.
The ASCOT Endpoint Manual used by the endpoints committee set forth criteria for diagnosing diabetes based on guidance from the World Health Organization. Those criteria included patients who exhibited either "(i) Fasting plasma glucose ≥ 7.0 mmol/l on two occasions," "(ii) 2 hour post 75g glucose load plasma glucose ≥ 11.1 mmol/l," or "(iii) Unequivocal hyperglycemia with acute metabolic decompensation or obvious symptoms." CMO 54,
Dr. Jewell included only patients who exhibited "two or more on-treatment glucose values > 125 mg/dL," a "subset of the definition used by the Endpoints Committee" and the "first of the three criteria in the [World Health Organization] definition." CMO 54,
Ms. Hempstead used a 20 mg dose of Lipitor. Given our affirmance of the district court's other rulings in this case (including the exclusion of the plaintiffs' general causation testimony for doses less than 80 mg), summary judgment in Ms. Hempstead's case would be proper even if Dr. Murphy's analysis could survive Pfizer's challenge. See Westberry , 178 F.3d at 263-64 (proof of general and specific causation required). Proving this case requires evidence of general causation, and the plaintiffs have not argued (nor, we think, could they) that Dr. Murphy's testimony satisfies that burden. Without such evidence, Ms. Hempstead's case cannot stand. Nevertheless, because it provides an independent basis for the disposition of Ms. Hempstead's claim, we explain why the district court's exclusion of Dr. Murphy's testimony on specific causation was not an abuse of discretion.
Erie R.R. Co. v. Tompkins
,
Reference
- Full Case Name
- In RE: LIPITOR (ATORVASTATIN CALCIUM) MARKETING, SALES PRACTICES AND PRODUCTS LIABILITY LITIGATION (NO II) MDL 2502, Plaintiffs Appealing Case Management Order 100, Plaintiffs-Appellants, v. Pfizer, Incorporated; McKesson Corporation; Greenstone, LLC; Pfizer International LLC, Defendants-Appellees, Jonah B. Gelbach; Carl Cranor; Dierdre N. McCloskey; Stephen T. Ziliak, Amici Supporting Appellants, Product Liability Advisory Council, Incorporated; Washington Legal Foundation; Chamber of Commerce of the United States of America; Pharmaceutical Research and Manufacturers of America; American Tort Reform Association, Amici Supporting Appellees. in Re: Lipitor (Atorvastatin Calcium) Marketing, Sales Practices and Products Liability Litigation (No II) MDL 2502, Juanita Hempstead, Plaintiff-Appellant, v. Pfizer, Incorporated; Pfizer International LLC; Greenstone, LLC, Defendants-Appellees, Jonah B. Gelbach; Carl Cranor; Dierdre N. McCloskey; Stephen T. Ziliak, Amici Supporting Appellants, Product Liability Advisory Council, Incorporated; Washington Legal Foundation; Chamber of Commerce of the United States of America; Pharmaceutical Research and Manufacturers of America; American Tort Reform Association, Amici Supporting Appellees. in Re: Lipitor (Atorvastatin Calcium) Marketing, Sales Practices and Products Liability Litigation (No II) MDL 2502, Plaintiffs Appealing Case Management Order 99, Plaintiffs-Appellants, v. Pfizer, Incorporated; McKesson Corporation; Greenstone, LLC; Pfizer International LLC, Defendants-Appellees, Jonah B. Gelbach; Carl Cranor; Dierdre N. McCloskey; Stephen T. Ziliak, Amici Supporting Appellants, Product Liability Advisory Council, Incorporated; Washington Legal Foundation; Chamber of Commerce of the United States of America; Pharmaceutical Research and Manufacturers of America; American Tort Reform Association, Amici Supporting Appellees. in Re: Lipitor (Atorvastatin Calcium) Marketing, Sales Practices and Products Liability Litigation (No II) MDL 2502, Plaintiffs Appealing Case Management Order 109, Plaintiffs-Appellants, v. Pfizer, Incorporated; Greenstone, LLC; Pfizer International LLC; McKesson Corporation, Defendants-Appellees, Jonah B. Gelbach; Carl Cranor; Dierdre N. McCloskey, Stephen T. Ziliak, Amici Supporting Appellants, Product Liability Advisory Council, Incorporated; Washington Legal Foundation; Chamber of Commerce of the United States of America; Pharmaceutical Research and Manufacturers of America; American Tort Reform Association, Amici Supporting Appellees.
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- Published