Daubert v. Merrell Dow Pharmaceuticals, Inc.

Daubert v. Merrell Dow Pharmaceuticals, Inc. ( ), 509 U.S. 579 (1993), is a United States Supreme Court case determining the standard for admitting expert testimony in federal courts. In Daubert, the Court held that the enactment of the Federal Rules of Evidence implicitly overturned the Frye standard; the standard that the Court articulated is referred to as the Daubert standard.

Facts

Jason Daubert and Eric Schuller were born with serious birth defects. They and their parents sued Merrell Dow Pharmaceuticals Inc., a subsidiary of Dow Chemical Company, in a California District Court, claiming that the drug Bendectin had caused the birth defects. Merrell Dow removed the case to federal court, and then moved for summary judgment because their expert submitted documents showing that no published scientific study demonstrated a link between Bendectin and birth defects in humans.

The standard governing expert testimony

Three key provisions of the Rules governed admission of expert testimony in court. First, scientific knowledge, meaning that the testimony must be scientific in nature and must be grounded in "knowledge." Since science cannot claim absolute certainty, instead representing "a process for proposing and refining theoretical explanations about the world that are subject to further testing and refinement," Rule 702 defines "scientific knowledge" as arising from the scientific method.

Second, the scientific knowledge must assist the trier of fact in understanding the evidence or determining a fact in issue in the case. The trier of fact is often either a jury or a judge; but other fact finders may exist within the contemplation of the federal rules of evidence. To be helpful to the trier of fact, there must be a "valid scientific connection to the pertinent inquiry as a prerequisite to admissibility." For example, although it is within the purview of scientific knowledge, knowing whether the moon was full on a given night does not typically assist the trier of fact in knowing whether a person was sane when he or she committed a given act.

Third, the Rules expressly provided that the judge would make the threshold determination regarding whether certain scientific knowledge would indeed assist the trier of fact in the manner contemplated by Rule 702. "This entails a preliminary assessment of whether the reasoning or methodology underlying the testimony is scientifically valid and of whether that reasoning or methodology properly can be applied to the facts in issue." This preliminary assessment can turn on whether something has been tested, whether an idea has been subjected to scientific peer review or published in scientific journals, the rate of error involved in the technique, and even general acceptance, among other things. It focuses on methodology and principles, not the ultimate conclusions generated.

The Court stressed that the new standard under Rule 702 was rooted in the judicial process and intended to be distinct and separate from the search for scientific truth. "Scientific conclusions are subject to perpetual revision. Law, on the other hand, must resolve disputes finally and quickly. The scientific project is advanced by broad and wide-ranging consideration of a multitude of hypotheses, for those that are incorrect will eventually be shown to be so, and that in itself is an advance." Rule 702 was intended to resolve legal disputes and, thus, had to be interpreted in conjunction with other rules of evidence and with other legal means of ending those disputes.

Cross examination within the adversary process is adequate to help legal decision makers arrive at efficient ends to disputes. "We recognize that, in practice, a gatekeeping role for the judge, no matter how flexible, inevitably on occasion will prevent the jury from learning of authentic insights and innovations. That, nevertheless, is the balance that is struck by Rules of Evidence designed not for the exhaustive search for cosmic understanding but for the particularized resolution of legal disputes."

Aftermath

The Supreme Court reversed, and remanded the case to the Ninth Circuit Court of Appeals. On remand, the court analyzed the case under the new standard, upholding the district court's original grant of summary judgement for the defendant.

After Daubert, it was expected that the range of scientific opinion evidence used in court would be expanded. However, courts have strictly applied the standards in Daubert, and it has generally been successful in excluding "junk science" or "pseudoscience", as well as new or experimental techniques and research that the decision might have been expected to deem admissible.

Discerning between science and "pseudoscience" was the theme of a book by Karl Popper whose summary was quoted in Daubert: "the criterion of the scientific status of a theory is its falsifiability, or refutability, or testability." The book, Conjectures and Refutations: The Growth of Scientific Knowledge (5th ed. 1989), pp. 34–57, explains how psychology is more like astrology than astronomy because it does not make predictions about an individual which are falsifiable. He wrote that "the impressive thing about" Einstein's predictions "is the risk involved...If observation shows that the predicted effect is definitely absent, then the theory is simply refuted." But "it was impossible to describe a human behaviour" which would be accepted as proving psychology false.

The considerations in Daubert do not all have to be met for the evidence to be admitted. It is necessary only that the majority of the tests be substantially complied with.

The principle in Daubert was expanded in Kumho Tire Co. v. Carmichael (1999), where the evidence in question was from a technician and not a scientist. The technician was going to testify that the only possible cause of a tire blowout must have been a manufacturing defect, as he could not determine any other possible cause. The United States Court of Appeals for the Eleventh Circuit had admitted the evidence on the assumption that Daubert did not apply to technical evidence, only scientific evidence. The Supreme Court reversed, saying that the standard in Daubert could apply to merely technical evidence, but that in this case, the evidence of the proposed expert did not meet the standard.

References

External links

Amicus brief of Atlantic Legal Foundation in support of Merrell Dow
Daubert Institute for Science & Law
Daubert-The Most Influential Supreme Court Decision You've Never Heard of
Where Science Enters the Courtroom, the Daubert Name Looms Large, Undark magazine, February 2020.
The Gatekeeper, Radiolab, July 15, 2022.