Author Archives: T.C. Kelly

About T.C. Kelly

Prior to his retirement, T.C. Kelly handled litigation and appeals in state and federal courts across the Midwest. He focused his practice on criminal defense, personal injury, and employment law. He now writes about legal issues for a variety of publications.

Hair Follicle

Challenge to Expert Hair Analysis Sets Ledura Watkins Free

Ledura Watkins has finally gained his freedom after serving 41 years for a murder he didn’t commit. The only physical evidence linking Watkins to the 1975 shooting death of Yvette Ingram was a single hair. Watkins, who was 20 years old at the time, spent most of his imprisonment studying law in the hope of proving his innocence.

Watkins’ case highlights the importance of using expert witnesses to challenge forensic evidence presented by state crime lab witnesses. It also underscores the need for judges to assure the reliability of expert evidence offered as proof of guilt in criminal cases.

Evidence Against Watkins

Ingram was murdered during a robbery of her Detroit home. The case against Watkins was based largely on the testimony of Travis Herndon, who claimed to have participated in the robbery with Watkins. Since Herndon was granted immunity in exchange for his testimony, he had a strong incentive to pin the blame on some other person. Witnesses who testify under a grant of immunity are notoriously unreliable, but prosecutors often offer immunized testimony as proof of guilt regardless of its dubious nature.

During cross-examination, Herndon denied selling a ring that was stolen from Ingram’s home to a witness named Michael Miller. The defense wanted to call Miller as a witness. Miller would have testified that he did, in fact, buy the stolen ring from Herndon. Miller refused to testify, however, because he did not want to incriminate himself, fearing he might be charged with receiving stolen property.

The defense asked the prosecution to request immunity for Miller as it had for Herndon, but the prosecution refused to take a step that would have given Watkins a fair trial because that step would have jeopardized Herndon’s credibility. Since only the prosecution can request immunity, the jury did not hear evidence that impeached the credibility of its key witness.

Still, Herndon’s testimony was uncorroborated, and the jury might have rejected it as self-serving if not for a hair found on the victim’s pants. An expert witness for the prosecution testified that the hair “matched” Watkins’ hair with regard to 15 points of comparison. The prosecution’s expert opined that the hair was “microscopically similar” to Watkins’ hair.

The Michigan Court of Appeals affirmed the conviction because “testimony was offered to indicate the general scientific recognition of microscopic analysis of hair.” In cursory fashion, the Court of Appeals determined that the expert’s evidence “satisfied the test for admissibility of scientific opinion testimony.”

Expert Hair Analysis

Hair analysis has come under belated scrutiny in recent years. With the advent of DNA analysis, expert witnesses can now determine with reasonable certainty whether a hair comes from a particular suspect. Forensic scientists understand, however, that obtaining DNA from a hair sample can be challenging. Unless the hair has an intact and uncontaminated root ball, reliable testing for DNA is problematic.

When no DNA is extracted from hair, however, hair analysis rests on a premise that credible scientists now reject. As ExpertPages reported, the President’s Council of Advisors on Science and Technology “sharply criticized a number of widely accepted forensic methods used in criminal trials.” Hair analysis was among the techniques that the Council relegated to the realm of junk science.

The FBI, which once relied on expert witnesses to testify against defendants on the basis of hair analysis, now concedes that “the examiners’ testimony in at least 90 percent of trial transcripts the Bureau analyzed as part of its Microscopic Hair Comparison Analysis Review contained erroneous statements.” In other words, the FBI routinely based arrests and convictions on junk science.

The FBI’s study was conducted jointly with the Innocence Project. Peter Neufeld, Co-Director of the Innocence Project, noted that the FBI’s findings “confirm that FBI microscopic hair analysts committed widespread, systematic error, grossly exaggerating the significance of their data under oath with the consequence of unfairly bolstering the prosecutions’ case.”

Epic Miscarriage of Justice

Watkins’ conviction was only one of many wrongful convictions that have been based on faulty hair analysis. The government’s insistence for so many years that evidence of dubious scientific quality was “generally accepted as reliable” resulted in what Neufeld termed “an epic miscarriage of justice.”

The Innocence Project at the Western Michigan University-Cooley Law School challenged Watkins’ conviction. Marla Mitchell-Cichon, the law school’s Innocence Project director, said that hair comparison is “simply a lab analyst’s subjective opinion and has no place in our criminal justice system.”

The prosecutors who brought the murder charge against Watkins are long gone. Perhaps the lawyers currently working in the Wayne County prosecutor’s office realize that their predecessors unfairly based their case on an immunized witness while depriving Watkins of that same advantage. In any event, the office agreed that the hair evidence against Watkins “was flawed under the new FBI standard for hair comparison.” Since they did not oppose Watkins’ release, a judge finally set him free.

a hit man with a weapon

Judge Gives Mixed Ruling on Admissibility of Dalia Dippolito Experts

Dalia Dippolito was charged with hiring a hit man to kill her husband. In 2011, Dippolito was convicted of soliciting an undercover police officer to commit the murder. The verdict was overturned on appeal because an error in selecting the jury deprived Dippolito of a fair trial.

Dippolito changed lawyers and her case went to trial again in December 2016. Dippolito’s defense of entrapment hinged on the claim that police officers in Boynton Beach, Florida set her up because they wanted to appear on an episode of COPS. The desire of the police to look good on television backfired when an evenly divided jury was unable to reach a unanimous verdict. A mistrial was declared.

Defense evidence in the third trial relied heavily on expert witnesses. The judge allowed one expert to testify, disallowed a second, and gave conditional approval for the third expert to testify.

Police Procedures Expert

The defense called retired LAPD detective Timothy Williams as an expert in police procedures. Williams testified that Boynton Beach police mishandled the investigation from its inception.

The investigation began when Dippolito’s former lover, Mohamed Shihadeh, contacted the police to report that Dippolito wanted to have her husband killed. According to Williams, the police made several mistakes.

First, they disregarded concerns that Dippolito was a domestic abuse victim. Instead of focusing on how they could arrest Dippolito for committing a crime, they should have focused on how to prevent the crime by protecting Dippolito from abuse.

Second, the police did not follow Dippolito or her husband and did nothing to protect her husband from harm. If the police seriously believed that the husband was at risk, Williams would have expected them to take action to protect him.

Third, Williams faulted the police for forcing Shihadeh to act as an informant by threatening to arrest him if he refused. Williams said that coercing Shihadeh tainted the investigation.

Fourth, Williams told the jury that the police should have recorded key conversations between Shihadeh and Dippolitio while Shihadeh was acting as an informant, rather than relying on Shihadeh to recount those conversations truthfully. Shihadeh had an incentive to lie, after all, if giving false information that was helpful to the police would help him avoid arrest.

Finally, Williams testified that it was inappropriate for the police to invite COPS to film the investigation. He suggested that the police should try to make a good case, not good television.

The prosecution countered that Williams was unfamiliar with the facts. For example, Williams testified that no money changed hands, despite evidence that Dippolito gave Shihadeh $1,200 in cash that Shihadeh was supposed to give a hit man for the purchase of a gun and cell phones. He also had not seen certain texts that the prosecution relied upon.

The weight the jury gave to Williams’ testimony is unclear. His cross-examination, however, highlights the need for expert witnesses to conduct a careful review of all evidence that might be relevant to their expert opinions before they testify.

Body Language Expert

The defense proposed to call Susan Constantine-Perfido as an expert in body language and human behavior. She would have testified that “Dippolito’s facial expressions on the undercover police video don’t show that she intended to have her husband killed.”

In particular, the prosecution relied on a video in which Dippolito told a police officer posing as a hit man that she was “5,000 percent sure” she wanted her husband dead. The defense wanted Constantine-Perfidio to testify that because Dippolito shook her head “no” when she made that statement, she must have been lying.

There is some support for the notion that “microexpressions” cannot easily be faked and that people can be trained to recognize them. On the other hand, it is one thing to say “her face shows that she was surprised” and quite another to say “her face shows that she did not intend to kill her husband.” Microexpressions reveal emotions, not intentions.

We spend our entire lives communicating with others, and in that sense, we are all experts at interpreting expressions. The judge concluded that the jury was just as capable as the expert of interpreting Dipplolito’s body language. The judge therefore disallowed the proposed testimony.

Battered Women’s Syndrome Expert

The defense listed Dr. Lenore Walker as a potential expert witness. Dr. Walker did pioneering research into battered women’s syndrome.

The judge ruled that Walker could testify to support a defense of subjective entrapment, if evidence suggested that police officers’ actions made Dippolito feel she was forced to go through with the murder plot. Walker was prepared to testify that Dippolito was “easily open to coercion from former lover, Mohamed Shihadeh, who Dippolito’s attorneys say forced her to go through with the plot under pressure from Boynton Beach police.”

Walker would have testified that Dippolito suffered from Post-Traumatic Stress Disorder after having been in an abusive relationship, and that her PTSD made her easily coerced by men. The judge, however, conditioned that testimony upon Dippolito’s submission to a mental health examination by the state’s expert. Dippolito did not appear for that examination because the defense refused to surrender Dippolito’s Fifth Amendment right to remain silent.

Ultimately, the court concluded that Walker would not be allowed to testify. If Dippolito had testified that she was a battered woman and that she wanted to kill her husband for that reason, Walker’s testimony might have been relevant. Since the defense is maintaining that Dippolito did not intend to have him killed, and since Dippolito did not testify, the judge decided that Walker’s expert testimony would not be relevant.

zoloft

Third Circuit Upholds Exclusion of Expert Opinions in Zoloft Litigation

A number of lawsuits have alleged that Zoloft, an anti-depressant manufactured by Pfizer, causes heart defects in babies when the drug is taken during pregnancy. The lawsuits turn on expert evidence that Zoloft causes cardiac defects in a fetus when taken early in a pregnancy.

Hundreds of federal lawsuits were consolidated in the Eastern District of Pennsylvania, in a process known as multi-district litigation. After excluding expert testimony offered by the plaintiffs’ steering committee, the district court judge granted summary judgment to Pfizer and dismissed the cases without a trial. That decision was appealed to the Court of Appeals for the Third Circuit.

Epidemiologist Testimony

The plaintiffs’ steering committee initially relied on the expert opinions of epidemiologist Anick Bérard. The trial court excluded Dr. Bérard’s proposed testimony because he relied (in the court’s words) on the “novel technique of drawing conclusions by examining ‘trends’ (often statistically non-significant) across selected studies.”

After Bérard was excluded as an expert witness, the plaintiffs’ steering committee proposed to call Nicholas Jewell, a statistician, to prove causation. Pfizer filed a Daubert motion to exclude Jewell’s testimony. The court’s decision to grant that motion was affirmed on appeal.

Jewell’s Testimony

Jewell analyzed studies that found a significant association between Zoloft and cardiac defects. The court declined to consider one of those studies because scientists who tried to replicate its results could not do so, and declined to consider another because the study contained an error that invalidated its results.

The trial court expressed concerns about the remaining studies because those that reached consistent results were based on the same database, while a study with a larger database failed to replicate those results. Jewell could not explain the inconsistency in a way that satisfied the court.

The trial judge also faulted Jewell for relying on statistically insignificant results, for disregarding a meta-analysis that reported insignificant associations between Zoloft and cardiac defects, for reanalyzing two studies that found no significant association between Zoloft and cardiac defects, and for conducting his own meta-analysis that included two studies but disregarded others.

The trial judge ultimately found that Jewell “failed to consistently apply the scientific methods he articulates, has deviated from or downplayed certain well-established principles in his field, and has inconsistently applied methods and standards to his data so as to support his a priori opinion.”

The Appeal

The question on appeal was whether the judge crossed the elusive line between acting as a gatekeeper to prevent the jury from hearing unreliable testimony and acting as a juror by judging the credibility of Jewell’s opinions.

The court of appeals noted that a judge must take care not to usurp the jury’s role. A trial court should exclude expert testimony only when the flaw in the expert’s methodology, or application of the methodology, is so large that the expert lacks “good grounds” for his or her conclusions.

Statistical Significance

According to the court of appeals, the central question on appeal was “whether statistical significance is necessary to prove causality.” Declining to state “a bright-line rule,” the court conceded that a causal connection between drug ingestion and a resulting harm may exist even in the absence of statistically significant findings. For example, studies of small populations might not detect significant differences in outcomes between pregnant mothers who took a drug and those who did not, while studies of larger populations (if they existed) might detect that difference.

Still, it was the plaintiffs’ obligation to prove a causal connection between Zoloft and birth defects. The court concluded that statistical significance is not a “magic criterion” of admissibility, but regarded it as “an important metric to distinguish between results supporting a true association and those resulting from mere chance.”

The plaintiffs argued that the district court erroneously required “replicated, significant epidemiological results before inferring causality.” The appellate court decided that the trial judge did not impose that requirement as a legal standard, but made a factual finding about what the teratology community generally requires to establish causality. Of course, the difference between a factual finding and a legal standard is murky when the factual finding drives the court’s decision about whether the legal standard of reliability has been satisfied.

The court based its finding about what the teratology community requires on the court’s own review of the scientific literature to determine the “prevailing standard” that scientists follow. Although proof that a scientific methodology has been generally accepted is not required by Daubert, it is a factor the court can consider. Since the court also considered (and rejected) alternative methodologies used by Jewell and Bérard, including general trends analysis, reexamination of studies, and meta-analysis, the court of appeals decided that the trial court did not create an inappropriate legal standard that applies in all cases.

“Weight of Evidence” Methodology

Jewell’s expert opinions rested on a combination of two methodologies: a “weight of evidence” analysis and the Bradford Hill criteria. A weight of evidence analysis invokes a chain of reasoning to arrive at the best answer to a question. The Bradford Hill criteria are principles that epidemiologists use to distinguish a mere association from a causal connection.

The court of appeals agreed that the weight of evidence analysis and the Bradford Hill criteria are reliable methodologies for determining causation. The appellate court agreed with the trial court, however, that Jewell failed to apply the methodologies in a reliable way.

The court noted that “flexible methodologies” require an expert to make choices by, for instance, assigning more weight to one factor than another. Reliable application of a flexible methodology requires the expert to justify those choices with sound scientific reasoning. It is that reliance on the scientific method that distinguishes the reliable application of a methodology from an outcome-driven assessment of evidence.

The court of appeals accepted that methodologies such as trend analysis, meta-analysis, and reanalysis may be reliable, but faulted Jewell for failing to apply those techniques reliably and for failing to failing to explain how his analysis supported selected Bradford Hill criteria. According to the court, Jewell “applied these techniques inconsistently, without explanation, to different subsets of the body of evidence.”

The court of appeals rejected some of the trial court’s reasoning. Unlike the trial court, the court of appeals did not think it is inherently problematic for one scientist to reanalyze data obtained by another scientist and to arrive at a different conclusion as a result of that reanalysis. The court of appeals also thought the trial judge usurped the jury’s role in concluding that one study cannot replicate another when both studies are based on the same population, a proposition that Jewell disputed. The court of appeals nevertheless concluded that the trial court did not abuse its discretion in concluding that Jewell’s conclusions were insufficiently reliable to satisfy Daubert.

US Georgia State Law Legal System Concept

Court Upholds Firing of Crime Lab Director for Testifying as Private Expert

Donald Mikko was hired by the Atlanta Police Department as Director of its Crime Lab. His employment contract permitted him to perform private consulting work on his own time.

A district attorney in Georgia learned that Mikko had prepared an expert report, and was planning to testify, for a criminal defendant in Florida. The district attorney, in the apparent belief that crime lab personnel should only assist the prosecution and never the defense, complained to the Atlanta police chief.

The police chief fired Mikko, who sued the police department for violating his right to free speech. His lawsuit was dismissed. Mikko’s appeal was recently decided by the Court of Appeals for the Eleventh Circuit.

Mikko’s Termination

Mikko was an expert in firearms and toolmarks. His employment contract allowed him to “perform consulting work as a private citizen so long as it did not relate to criminal prosecutions within the City of Atlanta or any investigations in which the City of Atlanta was a participant.”

After Mikko agreed to testify as a defense expert in a Florida criminal prosecution, the Florida district attorney wrote to the district attorney in Fulton County, Georgia, asking for his help to prevent Mikko from testifying. Some might question the ethics of a prosecutor who deliberately interferes with a defendant’s selection of an expert witness, but that issue was not before the court.

Mikko’s supervisor in the police department told Mikko that the Fulton County district attorney was concerned about his private consulting. During a conference call, the Chief Executive Senior Assistant District Attorney for Fulton County said she could not believe that Mikko “was going to testify for the defense” — as if science always favors the police and never an innocent defendant. She also characterized his expert report as “bad-mouthing” the Florida police, although she apparently did not challenge the accuracy of his expert opinions.

Mikko’s supervisor told him that “it did not look good” for the Atlanta Police Department to have its crime lab director testifying for the defense. That comment seems to reflect the attitude that experts employed by the government are required to give testimony that favors not just their employer, but parties who are on the “same side” as their employer. As is common when crime labs are controlled by the police, the supervisor apparently did not accept or understand the concept that experts are advocates for the truth, not for a particular side in a legal dispute.

Mikko pointed out that he was doing exactly what his contract allowed him to do. The police chief nevertheless fired him.

Mikko’s Lawsuit

Mikko sued the City of Atlanta, the district attorney, and the senior assistant district attorney, alleging that they attempted to induce him to suppress his expert report and testimony. He also alleged that his report exposed wrongdoing on the part of Florida police officers who mishandled evidence. Mikko contended that his right to free speech included the right to criticize the government and to testify as an expert.

Mikko filed his lawsuit in state court. His complaint asserted three state law claims. He also asserted a federal claim for the violation of his civil rights. The federal claim alleged that Mikko was subjected to unlawful retaliation to prevent him from testifying and to deter him and other experts from testifying in other cases, in violation of the First Amendment.

The defendants removed the case to federal court. The district court dismissed the state law claims against the individual defendants on the ground that the prosecutors Mikko sued were immune from suit under Georgia law. The court declined to hold that the prosecutors were entitled to qualified immunity on the federal claim. The prosecutors appealed that decision.

Absolute Immunity Defense

Judges have given themselves absolute immunity from suit for acts that they take in their official capacity as judges. Prosecutors often try to cloak themselves with the same immunity, but the Eleventh Circuit concluded that the prosecutors sued by Mikko were not entitled to absolute immunity.

The court ruled that prosecutors may have absolute immunity when they act as advocates in the judicial process by, for example, charging a defendant or presenting evidence in support of a conviction. In Mikko’s case, however, the Georgia prosecutors were not acting as advocates when they tried to stop Mikko from testifying because they had no official involvement in, or jurisdiction over, the Florida case in which Mikko would have testified.

Nor does absolute immunity extend to a prosecutor’s role as an employer, rather than advocate. And even if it did, the court noted, the prosecutors were not Mikko’s employer.

Qualified Immunity Defense

The court concluded, however, that the prosecutors could be legitimately concerned that if Mikko testified for defendants, he might harm his ability to testify for Georgia prosecutors by giving inconsistent testimony that criminal defense attorneys could use when cross-examining him. That conclusion is puzzling, since Mikko could give inconsistent testimony even if he only testified for prosecutors, or if he testified in civil cases. Nor did the court identify any reason to believe that an honest expert would change his opinions depending on whether the expert testifies for the prosecution or the defense.

The court also noted that the prosecutors could legitimately be concerned that Mikko might be unavailable to testify on their behalf if he is working for private clients. That concern is also puzzling, since his employment contract expressly authorized him to work for private clients. His employer presumably would not have made that agreement if it had been concerned that working for private clients would interfere with his job duties.

Whether or not the prosecutors’ concerns were legitimate, the question is whether firing Mikko in retaliation for his expert opinions violated Mikko’s right to free speech. The court of appeals did not answer that question.

Instead, the court noted that no other federal court has clearly answered that question in the context of the same or similar facts. It therefore applied the doctrine of “qualified immunity,” which shields government officials from liability for their allegedly unconstitutional acts when the constitutional violation has not been “clearly established.”

Whether experts have a constitutional right to testify against the prosecution will never be clearly established if courts continue to duck the issue, as did the Eleventh Circuit. In any event, the court ruled that the prosecutors were immune from suit and dismissed Mikko’s constitutional claim.

Sending the Wrong Message

Whether or not the court correctly granted qualified immunity to the prosecutors, its decision sends the message that expert witnesses who work for crime labs must only testify in a way that favors the police or prosecutors, and they might correctly be perceived as “tainted” if they testify truthfully for the defense. The court’s decision seems to assume that expert witnesses shape their testimony to meet the needs of the party that employs them. That’s a cynical view and an injustice to honest expert witnesses.

As ExpertPages has discussed, crime labs have been justly criticized when their employees act as advocates for the police or prosecution. An expert’s duty is to the truth, not to a particular party. Sometimes the truth benefits the prosecution. Other times it benefits the defense. The truth always benefits justice, and justice suffers when experts are discouraged from giving truthful testimony because a government employer thinks they should never help the “other side.”

Indiana US State Law Legal System Concept

Indiana Appellate Court Allows Nurse Practitioner to Testify as Expert

Charles Aillones sued Glen Minton in Vanderburgh County, Indiana for negligently causing a car accident. Aillones wanted to elicit expert testimony from the nurse practitioner who treated him. The trial judge ruled that a nurse may not testify as a medical expert. On appeal from that ruling, the Indiana Court of Appeals decided that the nurse practitioner could give expert testimony in an ordinary case involving injuries related to a traffic accident.

Facts of the Case

Minton was driving a vehicle that collided with the rear of Aillones’ vehicle. Aillones obtained treatment from Alan Swartz, a licensed nurse practitioner, for pain in his neck and lower back.

Swartz has a master’s degree in nursing and is board certified as a nurse practitioner. His license allows him to examine and treat patients, to interpret lab results, to prescribe medications, and to refer patients for physical or occupational therapy. He has treated more than one hundred traffic accident victims.

Swartz diagnosed Aillones as having a concussion and a cervical sprain. Swartz prescribed a muscle relaxant and ibuprofen. Two weeks later, Aillones was still in pain. Swartz switched the prescription from ibuprofen to naproxen and referred him to a physical therapist.

Aillones sued Minton for negligence. He designated Swartz as his medical expert.

Expert Opinions

Swartz testified in a deposition that Aillones had sustained an injury to the soft tissues in his neck and lower back. When asked whether the injuries were caused by the collision, Swartz testified he did not see the collision but could say that the injuries were caused by trauma. He also testified that the injuries were consistent with the motor vehicle accident that had been described to him.

Prior to trial, Minton’s lawyer asked the court to preclude Swartz from testifying about the cause of Aillones’ injuries. The trial court ruled that a nurse practitioner does not qualify as an expert witness. Minton was granted the opportunity to appeal that ruling prior to trial.

Nurses as Expert Witnesses

As is true in most states, Indiana law provides that a witness is qualified to testify as an expert if the witness has “skill, knowledge, or experience” in a “scientific field, business, or profession beyond the knowledge of the average person.” Indiana courts have permitted experts to testify when they have special knowledge that would help a jury understand the facts of a case, even if they have no formal training.

The trial court relied on Indiana precedent that deemed nurses to be unqualified to give an opinion as to medical causation. The Indiana Court of Appeals noted that those cases involved allegations of medical malpractice. Despite the broad language used by the appellate courts in those cases, the holdings could properly be limited to opinions rendered by a nurse as to whether a doctor’s negligence harmed a patient.

The decisions relied on the superior medical training of doctors, and viewed a nurse’s opinion as insufficient to support a claim that medical negligence caused a patient’s injury. Ordinarily, whether if an expert is qualified to render a helpful opinion, it is up to the jury to decide whether the expert’s opinion is worthy of belief. Although the appellate court did not say so, the decisions might be seen as following the common judicial trend of extending greater protection to doctors than courts extend to other defendants in negligence cases.

The court of appeals also took note of an earlier decision that held open the door for nurses to testify about the appropriate standard of care that a nursing home should provide. The court suggested that in some contexts, a nurse would have the kind of experience and training that would allow a nurse to form expert opinions that might be helpful to a jury.

The court of appeals concluded that “no blanket rule prevents a nurse [from] acting as an expert witness.” The question is whether the nurse has enough knowledge, education, experience, or training to form an opinion and, if so, whether that opinion would be helpful to the jury.

Expert Opinions of Nurse Practitioner

The court noted that Indiana law defines a nurse practitioner as an “advanced practice nurse” who plays a specialized role in delivering advanced levels of nursing care. By regulation, nurse practitioners are entitled to diagnose conditions, assess the findings of physical examinations and lab results, make health care plans, and prescribe drugs.

The court concluded that a nurse practitioner is a highly trained and educated medical professional. While a nurse practitioner does not have the same education as a physician, that fact goes to the weight a jury might give to the expert opinion, not to its admissibility.

The court did not decide the limits of expert testimony a registered nurse who is not a nurse practitioner might be allowed to give in an ordinary negligence case. Nor did the court decide whether a nurse practitioner, unlike a registered nurse who has not been certified as a nurse practitioner, might be qualified to testify as to medical causation in a medical malpractice case.

Rather, deciding the case on the limited facts before it, the court held that a nurse practitioner may be qualified to testify as an expert that a patient’s injuries were consistent with a car accident. The court said that Swartz could not testify that the accident caused the injuries, since Swartz did not see the accident. Presumably, that same logic would prevent a doctor from testifying that an accident caused an injury. Absent evidence of any other potential cause, however, the expert’s testimony that an injury is consistent with an accident should permit a jury to infer that the injury was caused by the accident.

Significance of the Case

The Aillones decision is noteworthy for two reasons. First, the decision allows injury victims to obtain expert testimony from the medical professional who might be best suited to give it. When a patient is treated by a nurse practitioner, that witness is in the best position to explain the patient’s injuries to the jury. Given the high cost of medical experts, it benefits injury victims to call a treating nurse practitioner as an expert, rather than having the victim examined by a doctor simply to gain an admissible expert opinion.

Second, the connection between Aillones’ injuries and the car accident seems obvious. Allowing a nurse practitioner to testify that the injuries are consistent with the accident is reasonable under the facts of the case.

In other cases, where it is less obvious that the injuries were caused by the accident, or where there are grounds to contest the issue of causation, it may be necessary to obtain additional expert opinions. Causation of whiplash injuries, for instance, might best be explained by a biomechanical engineer working in conjunction with a neurologist. Understanding the nature and complexity of the facts that may be disputed will help attorneys select experts that are appropriate for each case.

Shotgun

Expert Testimony Leads to Second Hung Jury in Tai Chan Murder Trial

Tai Chan, a former sheriff’s deputy for Santa Fe County, has twice been on trial for the alleged murder of another deputy, Jeremy Martin. Both trials ended with a hung jury, forcing the judge to declare a mistrial. Expert evidence played a significant role in the most recent prosecution and defense.

Facts of the Case

After transporting a prisoner from Santa Fe to Safford, Arizona, Chan and Martin checked into a hotel in Las Cruces. They spent the next several hours visiting drinking establishments. Witnesses who knew Chan testified that he and Martin were arguing in a tavern at about 10:00 p.m. on October 27, 2014. Chan told investigators that he jokingly told Martin that he could have prevented a double-homicide earlier in the year if he had arrived at the scene earlier.

Chan’s cousin drove Chan and Martin back to their hotel at about 11:00 p.m. According to Chan, Martin resumed the argument and told Chan that he was going to frame Chan for murder. Chan said that Martin pushed and kicked him during that altercation.

Chan left the room and called his girlfriend, who testified that Chan told her that he was being framed for murder. Chan seemed incoherent and the call terminated abruptly.

According to Chan, Martin found him outside the hotel. They walked back to their room together. Chan’s girlfriend called him again and Chan answered but did not speak. The girlfriend heard the two men arguing and then heard gunshots.

Chan testified that he was arguing with Martin when Martin grabbed a gun and threatened to shoot him. Chan tried to take the gun from Martin and a shot was fired. Chan then wrestled the gun away from Martin and began shooting at him. Martin fled and Chan chased him into the hallway, continuing to fire shorts.

Martin entered an elevator and descended to the lobby, where police officers found his “bullet-riddled body.” Five of the ten shots that Chan fired struck Martin.

Chan was charged with first-degree murder. His first trial began in May 2016. Chan testified that Martin was the aggressor and that he acted in self-defense. After about two weeks of testimony, the jury deadlocked and a mistrial was declared.

Forensic Investigation

Between the first and second trials, the lead investigator filed a lawsuit, alleging that she was denied adequate resources to investigate the case. She claimed that her superiors obstructed her investigation by denying access to a forensic investigator to help her examine evidence. The lawsuit alleged that the obstruction of her investigation was a form of retaliation because she reported sexual misconduct within the detectives’ unit at the Las Cruces Police Department.

The failure to investigate forensic evidence was evident during the first trial when both sides were surprised to learn that the blood-soaked sheet had never been tested for DNA. The test was only performed after the trial was underway. It revealed that the blood was Chan’s.

Chan’s attorneys asked the court to dismiss the case on the ground of outrageous misconduct because the police investigation had been obstructed and because witness testimony varied dramatically from the statements they allegedly made to the police. Chan’s motions challenging the integrity of the investigation were denied and Chan’s case proceeded to trial for a second time in May 2017.

Crime Scene Expert

At the second trial, the prosecution relied on a crime scene expert. Based on his reconstruction of the crime scene, Joseph Alan Foster testified that Chan and Martin struggled between the bed and a bathroom wall. He based that conclusion on the location of Chan’s dropped cellphone and blood on the sheets.

“The physical characteristics here are as if a battery is taking place — a blood-letting event,” Foster testified. Whether that testimony was more helpful to the prosecution or to Chan is unclear, since it tended to support Chan’s testimony that he fought Martin after Martin threatened him with a gun.

Foster testified that a bullet was fired from Chan’s gun and that the gun could have been three to six feet above the floor when the shot was fired. He could not say which of the two men fired the gun, although he acknowledged that the gun could have been fired while both of them were struggling to possess it.

Foster also acknowledged that Chan could have been in any of several different positions when the first shot was fired. After that, the forensic evidence suggested that he “repositioned himself” several times, which is consistent with Chan’s admission that he chased Martin. Based on a blood pattern analysis, Foster thought that one of the five bullets that struck Martin might have been fired while Martin was still in the room.

Psychology Expert

Testifying for the defense, police psychologist Philip Trompetter opined that Chan viewed Martin as a deadly threat. He based that opinion in part on a recording that a police officer made while interviewing Chan at the hotel.

Trompetter’s testimony may have helped the jury understand why Chan chased and kept shooting at Martin. Trompetter testified that police officers are trained to respond to deadly force by using their own deadly force and to keep shooting until the threat is dead. They fire many shots because they are not always certain whether any particular shot struck its target. Trompetter said that Chan’s actions were “consistent with the way officers would generally respond with a threat like that.”

Mistrial Declared

The second jury, like the first, was unable to reach a unanimous jury. The judge therefore declared another mistrial.

While there was some dispute about the votes cast by the deadlocked jury, it appears that by the final vote, no jurors were willing to convict of first-degree murder. The jurors may have been persuaded by expert testimony that Chan was responding to a threat and did not have a premeditated plan to kill Martin. Five of the twelve jurors apparently voted to convict Chan of second-degree murder.

The prosecution may be entitled to bring Chan to trial a third time, since double jeopardy does not protect him in the absence of an acquittal. At some point, repeated attempts to convict may persuade a judge that enough is enough and that due process can only be satisfied by dismissing the case.

In most cases, however, prosecutors conclude that if they could not get a conviction after two tries, there is no reason to believe they will fare any better in a third trial. Investing more resources in an unwinnable case is not a good use of public funds. Whether prosecutors will dismiss the case or seek a third trial has not yet been decided.

Taylor Swift

Taylor Swift Wants Expert to Explain Why Men Sexually Assault Women

Taylor Swift regularly appears in celebrity news, but she has lately been featured in legal news after accusing Denver radio DJ David Mueller of groping her during a 2013 “meet-and-greet.” Mueller denied the accusation and sued Swift for defamation. Swift countersued Mueller for assaulting her. Swift’s lawyers have advised the court that they plan to call an expert in feminist studies to explain why men assault women and to compare Mueller to men who perpetrate assaults. Mueller has filed a motion to exclude that expert testimony.

The Lawsuit

Swift and Mueller have very different perceptions of the incident that underlies the lawsuit. The key dispute is whether Mueller merely had his hand near Swift’s buttocks as he leaned close to her while pictures were taken, or whether he reached his hand under her dress and groped her.

Mueller does not deny that Swift was groped, but blames the groping on one of his superiors at the radio station where he was employed. Mueller alleges that country station KYGO fired him after Swift accused him of touching her. Swift testified in a deposition that she is sure Mueller was the culprit. She said the touching made her feel frantic, distressed, and violated.

At Swift’s request, the judge presiding over the dispute ordered photographic evidence sealed so that it would not affect potential jurors. The gossip site TMZ nevertheless published the photograph. The photo shows only that Mueller’s hand is behind Swift, below her back, and that Mueller is grinning. The location of his hand, and the back of Swift’s dress, cannot be seen in the picture.

The photographer testified in a deposition that Swift told her after the meet-and-greet that Mueller grabbed her inappropriately. The photographer also testified that she observed a shocked expression on Swift’s face and saw her make an abrupt movement when Mueller was next to Swift.

After the meet-and-greet, Swift reported the touching to her mother, who is also her manager. Swift’s mother reported the incident to the radio station, which reportedly fired Mueller for violating his morality clause.

Mueller sued Swift and the radio station in 2015, alleging slander and interference with contract. Swift countersued, promising to give any damages she wins to charity. Last year, Forbes placed Swift on top of its annual list of highest-paid celebrities.

Expert Testimony

Swift has hired Lorraine Bayard de Volo to testify as an expert witness. Professor de Volo teaches women and gender studies at the University of Colorado Boulder. The expert report prepared by de Volo purports to examine “the consistency between the evidence in this case with the emotional and psychological traits associated with the perpetrators and of sexual assault and sexual harassment.” In particular, de Volo opines:

  • Sexual harassment and assault are motivated by the perpetrator’s need to assert power and to protect the perpetrator’s status. Mueller allegedly felt threats to his job, to his identity as a radio personality, and to his masculinity before he met Swift. His status is therefore consistent with that of a male who would engage in sexual assault or harassment.
  • Victims of sexual assault often delay reporting the incident. Swift’s failure to make an immediate complaint is therefore consistent with the behavior of a sexual assault victim.

Mueller, unsurprisingly, filed a Daubert motion to exclude the expert’s testimony. The motion claims that de Vos, who has no training in psychology, is unqualified to create a “profile” of sexual assault perpetrators or to decide whether Mueller fits such a profile.

Mueller contends that de Vos arrived at her opinion without ever meeting or interviewing him. The motion also cites appellate decisions (primarily from criminal prosecutions) holding that a “profile” cannot be used as evidence of guilt. Those cases generally hold that people who fit the profile of a criminal are not always criminals, and that profile evidence amounts to unfair stereotyping that is unduly prejudicial to the right to a fair trial.

Mueller argues that many men experience threats every day to their jobs and masculinity, and that most of them do not respond by committing sexual assaults. In Mueller’s view, any relevance the expert’s opinion might have is outweighed by its potentially prejudicial influence on jurors who might give it more weight than it deserves.

The court will need to decide whether criminal precedents apply to a civil case, where constitutional concerns about unfair evidence are less pressing. There is reason to question, however, the relevance of profile evidence when the issue before the jury is whether Mueller touched Swift inappropriately, not whether he is the kind of person who might do so.

The motion addresses de Volo’s first opinion but not the second. At least in criminal trials, it is common for experts to explain why a victim might delay reporting a sexual assault. That kind of testimony might be equally relevant in a civil trial, and Mueller does not appear to oppose it.


Photo Credit: Taylor Swift, Eva Rinaldi, Attribution-ShareAlike 2.0 Generic (CC BY-SA 2.0).

Sad teen crying

Conviction Reversed Because Expert Vouched for Accuser’s Credibility

The Iowa Court of Appeals recently held that a criminal defense attorney failed to represent his client effectively when he made no objection to an expert’s improper vouching for the credibility of a witness. The issue in Simpson v. State is one that arises frequently when experts testify for the prosecution in cases that allege the sexual assault of a child.

Expert’s Role

Experts for both sides can play important roles in a child sexual assault prosecution. In addition to medical and forensic experts who can help the jury understand physical evidence, experts often testify about the behavior of children. Depending on the facts of the case, a prosecution expert might testify about the reasons why some child victims delay reporting an assault, while a defense expert might testify about the reasons why some children make false reports.

When used by prosecutors, the expert testimony of a psychologist or social worker risks violating a defendant’s right to a fair trial if the expert does not stay within accepted testimonial boundaries that have been established by court decisions. When experts stray outside of those boundaries, the right to the effective assistance of defense counsel may be violated when the defense attorney fails to object to the improper expert testimony.

Some commentators suggest that it is unethical for an expert to suggest to a jury that a child witness is truthful because the training that experts receive makes them no more adept at detecting lies than anyone else. In addition, an expert should help the jury understand the evidence, but should not be an advocate for a particular side in a trial. Several convictions have recently been reversed because prosecution experts crossed the line between neutrality and advocacy.

Statistics

In the Simpson case, the prosecution called Lana Herteen as an expert in “child sexual abuse dynamics.” Herteen testified about statistics suggesting that 86{d61575bddc780c1d4ab39ab904bf25755f3b8d1434703a303cf443ba00f43fa4} of adolescents who have been sexually assaulted do not report the assault right away, if ever. Those statistics are suspect (they assume that all the adolescents within that 86{d61575bddc780c1d4ab39ab904bf25755f3b8d1434703a303cf443ba00f43fa4} actually were sexually assaulted), but most courts allow expert testimony of that nature, subject to cross-examination and the testimony of rebuttal experts.

While noting that statistics about the percentage of alleged sexual assault victims who are telling the truth are not admissible, the court accepted that experts may generally testify about statistics concerning delayed reporting. The court noted, however, that those statistics cannot be viewed in a vacuum, and were part of the problematic nature of Herteen’s testimony.

Grooming

Herteen described “grooming” behavior (the process of earning a child’s trust so that the child will later submit to sexual contact). She also testified about the sexualization of victims (by, for example, exposing them to pornography in order to make them comfortable with sexual discussions or activity).

Herteen crossed the line, according to the court, when her testimony moved from a generalized discussion of behaviors sometimes relied upon by abusers to the specific facts that the prosecution alleged to be true. An expert can say “here is how some abusers groom children,” but cannot say “here is now the defendant groomed this victim.”

The prosecutor elicited improper testimony by asking a series of hypothetical questions that referred to the specific facts of the case. By asking “would it be grooming if an abuser did X, Y, and Z?” after placing into evidence that the defendant had done X, Y, and Z, the prosecutor personalized Herteen’s testimony by making it clear that Herteen believed the defendant had groomed the alleged victim. That was for the jury, not Herteen, to decide.

In addition, “would it be grooming?” depends on the state of mind of the person engaging in the behavior. Expert witnesses cannot read minds and should not comment upon a defendant’s intent in committing specific acts. No amount of expertise entitles a witness to testify about what was in another person’s mind.

Vouching

While most courts allow expert testimony about certain characteristics that have been repeatedly observed in child sexual assault victims, courts generally do not allow mental health experts to offer an opinion as to whether a particular child was abused. Nor do courts generally allow experts to express an opinion about whether a child is telling the truth. Courts usually agree that those issues are for the jury to decide, and that jurors may place too much value on the testimony of experts who are in no better position that the jury to decide whether a child’s report of a sexual assault was truthful.

In the Iowa case, Herteen testified about research that purports to show that teens who tell different versions of stories about being sexually assaulted will always maintain a “core of truth,” which she described as “the essence of the information” the teen is offering. In other words, if a teen consistently says “I was sexually assaulted” but repeatedly changes the details of the assault, the assertion that “I was sexually assaulted” should be regarded as the core fact that is truthful. That assumption has gained currency among prosecution experts despite the lack of any rigorous scientific evidence that the assumption is true.

Herteen also suggested that when child sexual assault victims are “coached” by their abusers, the story they were “coached” to say will eventually “fall apart,” revealing the “core truth” of the assault.

The court had little trouble concluding that Herteen’s testimony about “core truths” amounted to vouching for the credibility of the alleged victim. The court pointed to a long line of cases holding that it is improper for experts to make statements like “children don’t lie about important things,” not only because the testimony is demonstrably false, but because it is up to the jury, not the expert, to decide whether a child is telling the truth about being sexually assaulted.

The court also concluded that Herteen’s testimony about “coaching” the victim was a transparent attempt to bolster the alleged victim’s testimony by suggesting that children are incapable of lying over an extended period of time. Again, apart from the fact that kids are quite capable of maintaining a lie for years, it was improper for Herteen to suggest to the jury that the alleged victim’s story must be truthful because she would not otherwise have been able to continue telling it.

Conviction Reversed

The defense attorney failed to object to the improper testimony. The court of appeals concluded that that failure was inconsistent with the duty to represent a criminal defendant effectively. The court therefore reversed the conviction and ordered a new trial.

The lesson in this case for criminal defense attorneys is that they need to object when a prosecution expert crosses the line and becomes an advocate for the prosecution rather than an impartial expert. The lesson for experts is that they should not allow themselves to be led by prosecutors into overstepping that boundary.

Skull

Expert Goes Too Far in Using Skull as Evidence

The misuse of skulls as substantive evidence rather than demonstrative evidence during the testimony of an expert witness persuaded the Appellate Court of Illinois to grant a new trial to the plaintiff in a medical malpractice case. Lawyers should take note of the decision as they consider how to question an expert witness who uses exhibits as demonstrative evidence.

Demonstrative Evidence

Experts often rely on demonstrative evidence to help juries understand their testimony. A chiropractor might point to vertebrae on a plastic spine, an engineer might take apart a motor to show the jury why a similar motor failed, or an accident reconstruction expert might show the jury an animated version of how an accident occurred.

Most judges routinely allow demonstrative evidence to be used, while making it clear that the evidence should only be considered for illustrative purposes. The judge or the expert must explain that the plastic spine isn’t the patient’s actual spine, the disassembled motor isn’t the actual motor that failed, and the animation is a reconstruction of how the accident might have happened, not a representation of the actual accident.

In Yanello v. Park Family Dental, an Illinois appellate court decided that an expert went too far in using skulls as substantive rather than demonstrative evidence in a dental malpractice case.

Yanello’s Dental History

Dr. Jae Roh extracted eight teeth from Nancy Yanello’s upper jaw and inserted four dental implants. The surgery was intended to allow Yanello to attach a denture to the implants.

A year or two later, Yanello complained that the implants were loose and painful. Roh determined that three of the four implants had failed. He observed significant bone loss in Yanello’s upper jaw that he had not seen during the surgery.

Roh removed the failed implants and inserted new ones. He observed that there was barely enough depth in the bone to allow the implants to be placed.

A couple of months later, Yanello returned to Roh with a complaint of pain. Roh saw nothing amiss.

Yanello then saw an oral surgeon who noted that the implants were failing and were at a poor angle. At his recommendation, the implants were removed.

Yanello continued to have pain that dental experts attributed to nerve damage caused by improper placement of one of the implants. The experts also concluded that one of the implants had perforated her sinus.

Yanello’s Expert Evidence

Yanello sued Roh for dental malpractice. At trial, Yanello relied on the expert testimony of her family doctor and three dental experts. The experts had all treated Yanello after her last visit to Roh.

All three dental experts testified that Roh violated the appropriate standard of care by placing the implants at an improper angle, resulting in bone loss and implant failure. They also testified that improper positioning of the implants caused one to damage a nerve and the other to perforate Yanello’s sinus. As a result of Roh’s negligence, the experts said, Yanello has no remaining bone in which implants can be placed, has pain caused by nerve damage, and cannot use her denture.

Ethics Questioned

Dr. Richard Burton, the leading expert witness who also supervised the removal of the implants, testified that Roh was not qualified to perform such complex surgery. On cross-examination, Roh’s lawyer suggested that Burton was acting unethically by testifying. The American Association of Oral and Maxillofacial Surgeons’ Code of Professional Conduct prohibits members from testifying in cases where they treated the patient.

The code seems designed to shelter members from the consequences of their malpractice rather than to encourage ethical testimony. Treating physicians usually have the best and most helpful knowledge of how earlier treatment affected the patient’s condition. Treating physicians make excellent witnesses because jurors do not typically view them as hired guns. It is hard to believe that assisting justice by giving truthful professional opinions derived from observations made while treating a patient could reasonably be deemed unethical. In any event, Dr. Burton testified that Roh does not belong to the Association and that he was therefore not violating the ethical code by testifying against him.

Defense Expert Testimony

Roh’s expert, Dr. Nicholas Panomitros, is a law professor who is trained as a dentist. He opined that Roh did not violate the appropriate standard of care because he succeeded in placing the implants in bone and all implants, by their nature, are placed at an angle. He also testified that implants are appropriately placed if they are aligned with teeth, taking into account available bone in the jaw.

Panomitros illustrated his testimony by using a model skull as well as an actual human skull. Over objection, the court ruled that Panomitros could use the skulls as demonstrative evidence, but could not suggest that the skull represented or resembled Yanello’s teeth. The judge ruled, however, that Panomitros would be allowed to say that the human skull “shows the angulation of teeth in the human skull.”

Panomitros used the skulls to support his testimony that x-rays did not prove that an implant perforated Yanello’s sinus cavity because the x-ray interpretation will depend on the angle from which the x-ray was taken. He opined that none of the x-rays conclusively established that the implants perforated the sinus cavity or caused nerve damage.

Panamitros also suggested a number of health conditions that might have caused Yanello’s problems, including rheumatoid arthritis and osteopenia. The court concluded that Panamitros was qualified to give that testify despite having a dental degree rather than a medical degree.

The jury concluded that Roh was not negligent. Yanello appealed.

Misuse of Skull as Evidence

The court drew a well-recognized distinction between exhibits used as real evidence that played a role in the incident at issue, and those used as demonstrative evidence. In essence, demonstrative evidence is a visual aid. Demonstrative evidence is favored when it helps a jury understand testimony, but courts must take care that it is not used in a way that will cause the jury to confuse real evidence with the visual aid.

The court concluded that the defense expert misused the skulls by treating them as real evidence rather than demonstrative evidence. If Panomitros had merely pointed out parts of the skull to explain the location of relevant bones, he would have used the skulls appropriately. Instead, he used the skulls to show that Roh placed implants appropriately, “consistent with the natural angulation of natural teeth as shown by the skulls” and by pointing to the thinness of the bone into which the implants were inserted.

The court decided that Panomitros’ testimony “implicitly suggested that the anatomy depicted in the skulls was identical or similar to Yanello’s anatomy.” He also misused the skulls to undermine the x-ray evidence when he compared the skulls to the x-rays, implying that all skulls are the same.

The court also concluded that Panomitros was not qualified to testify about possible medical (as opposed to dental) causes of Yanello’s problems.

In addition, the court agreed that Roh’s attorney should not have been allowed to question Burton about his alleged ethical violation in testifying, because the admissibility of testimony is determined by rules of evidence, not by codes of conduct. Notably, the court held that any qualified expert “may present expert opinion testimony that a doctor or other healthcare practitioner violated the applicable standard of care, notwithstanding any purported professional ‘ethical rule’ to the contrary.”

Since Panomitros did not use the skulls merely as demonstrative evidence, but as substantive support for his expert opinions, the trial court erred by permitting the testimony. The court therefore granted a new trial to Yanello.

Lessons Learned

The court noted that the defense failed to lay a proper foundation for use of the skulls as substantive support for Panomitros’ opinions. If Panomitros had testified that the skulls accurately represented the relevant bones in Yanello’s skull, it may have been appropriate to use the skulls as substantive evidence. Whether that foundation could be laid, of course, is a matter for the expert to determine. The Yanello case nevertheless serves as a reminder that experts who use demonstrative evidence must take care to point out the ways in which the visual aid is similar to the thing it represents.

Radio

Expert Witness Allowed to Testify in Lawsuit Against Bubba the Love Sponge

Bubba Clem (known as Todd Clem before he changed his name) is a radio host who is better known by his on-air name, Bubba the Love Sponge. He generally fits the mold of a “shock jock” and has more than once been in trouble with his employers and the Federal Communications Commission for making racially offensive remarks and treating his listeners to graphic descriptions of sexual activities.

Bubba was recently in the news for surreptitiously filming his wife while she was having sex with Hulk Hogan. That video sparked a highly-publicized lawsuit after Gawker placed the video on its website. ExpertPages discussed the expert testimony offered by Hulk Hogan in this post.

Nielson’s Lawsuit

Nielson Audio, the ratings company, sued Bubba for fraud and related wrongs after Bubba attempted to influence a member of the Nielson ratings panel. Nielson attempts to keep the identities of panelists a secret, and prohibits subscribers to its ratings service from contacting them.

Bubba admits that he had contact with a member of the Tampa ratings panel, although how that came about may be a disputed fact. It is not disputed that Bubba tried to influence the panelist by encouraging the panelist to listen to his show.

Nielson uses devices that look like pagers to measure the listening habits of its panelists. Nielson contends its panelists are representative of the listeners in a given marketplace. If a panelist tunes in to a particular show, Nielson may conclude that thousands of people in the relevant marketplace listened to the same show.

Nielson has accused Bubba of shipping radios to the panelist’s home after instructing the panelist to manipulate that data that Nielson collects. The suit alleges that Bubba offered to pay the panelist each month to help Bubba boost his ratings.

Text messages quoted in the lawsuit suggest that Bubba instructed the panelist never to listen to his “main rival” in Tampa. The suit also alleges that Bubba influenced at least one other member of the same panel.

Bubba was suspended for eight days after his actions became public. He subsequently apologized.

Nielson’s Damages

Nielson claims that its subscribers have questioned the integrity of its data as a result of Bubba’s misconduct. According to Nielson, Bubba’s fraudulent attempt to boost his ratings caused Nielson to suffer irreparable damage to its “reputation and the reputation of its rating reports as an unbiased tool.”

Whether a jury will agree that the harm was either irreparable or significant is unclear, as Nielson may have repaired the damage by removing the tainted data from its ratings report and by de-listing the station that employed Bubba for one month. To prove that its claims are substantial, however, Nielson enlisted the services of an expert witness.

Damages Expert

Nielson proposed to call David A. Haas as a damages expert. Haas has an M.B.A. and specializes in management accounting. Haas proposed to testify about the injury that Bubba’s conduct had on Nielson’s reputation and goodwill.

Bubba filed a Daubert motion, asking the court to exclude Haas’ testimony because:

  • Haas is not an expert in the radio industry or in the measurement of radio audiences;
  • Haas based his opinion on data provided by Nielson without independently verifying it;
  • a layperson could just as easily determine damages, so Haas’ analysis would not assist the jury;
  • Haas did not investigate other potential causes of harm to Nielson’s loss of goodwill or damaged reputation; and
  • Haas’ proposed testimony is prejudicial even if it is relevant.

The district court rejected those claims. The court noted that Haas has calculated damages in dozens of cases for businesses in a variety of industries. Expertise, the court said, need not be industry-specific when “broadly applicable calculations and measurements” are adequate to assess damages, and when there is no reason to believe that experience in a specific industry is necessary to calculate damages accurately.

The court noted that Haas is entitled to rely on data provided by Nielson since it is the kind of data upon which experts routinely rely. Whether the data is accurate is a question that the jury can decide if it is contested at trial. The court also questioned whether it would have been possible for Haas to independently verify Nielson’s internal data by contacting a knowledgeable outside source, since no sources were identified who would have access to that data.

Bubba argued that Nielson will not be forced to grant pricing concessions as a result of his misconduct because Nielson has a virtual monopoly over audience measurement, so customers have no choice but to pay what Nielson asks. The court thought that was an argument for the jury to consider rather than a reason to exclude Haas’ testimony. Haas relied on documents showing that pricing concessions were requested by one customer, and his discussions with Nielson about those documents supported his opinion.

Haas calculated harm to reputation and goodwill by using a “financial modeling technique.” The court decided that his testimony therefore goes beyond the calculations a lay jury could make without expert assistance.

The court concluded that Haas was not required to consider alternate sources of harm to Nielson’s reputation and that his failure to do so goes to the weight the jury should give his opinions, not to their admissibility.

Finally, the court found nothing prejudicial about Haas’ testimony, given that Bubba intends to offer his own expert to refute Haas’ opinions. It will be up to the jury to weigh the opinions of each expert when and if it measures damages.