On January 10, 2017 a
Letter,Correspondence
was filed
involving a dispute between
Stacey Lynn Brown As Administratrix Of The Estate Of Steven L. Hall, Deceased,
and
Ace Hardware,
Ace Hardware Corporation,
Air & Liquid Systems Corporation, As Successor By Merger To Buffalo Pumps, Inc.,
Alfa Laval, Inc.,
Allegheny Teledyne Incorporated, Individually And As Successor To Allegheny Technologies Incorporated And Farris Valves And Or Sprague Pumps,
Amec Construction Management, Inc.,
American Biltrite, Inc., Individually And Successor To Amtico Floors,
Amtrol, Inc., Individually And As Successor To Thrush Products, Inc.,
A.O. Smith Water Products,
Armstrong International, Inc.,
Atwood & Morrill Co., Inc. D B A Weir Valves & Controls Usa Inc.,
Auburn Technology, Inc. F K A Alco Power, Inc.,
Aurora Pump Company,
Bechtel Corporation,
Blackmer Pump,
Borgwarner Morse Tec Llc,
Bw Ip International Co., Formerly Known As Borg Warner Industrial Products Inc., A Former Subsidiary Of And Successor To Borg Warner Corp. And Byron Jackson Pumps,
Carrier Corporation,
Cbs Corporation, A Delaware Corporation, F K A Viacom Inc, Successor By Merger To Cbs Corporation, A Pennsylvania Corporation, F K A Westinghouse Electric Corporation,
Certain-Teed Corporation,
Clark-Reliance Corporation, Individually And As Successor To Jerguson,
Cleaver-Brooks Company F K A Aqua-Chem, Inc.,
Courter & Company, Inc.,
Crane Co., Individually And As Successor To Cochrane,
Croll-Reynolds Engineering Company, Inc.,
Crosby Valve And Gage Company,
Crosby Valve, Inc.,
Cytec Engineered Materials, Inc. F K A Fiberite Corporation And A K A Ici Composites, Inc.,
Cytec Industries Inc., Individually And As Successor To American Cyanamid Company,
Dap, Inc. K N A La Mirada Products Co., Inc.,
Dean Pump Division,
Dezurik, Inc.,
Durez Corporation,
Duro Dyne Corporation,
E.I. Team, Inc. F K A J.L. Murphy, Inc.,
Electrolux Home Products, Inc., Individually And As Successor To Tappan And Copes-Vulcan,
Elliott Turbomachinery Co., Inc.,
Fairbanks Company,
Flowserve Us, Inc., Solely As Successor To Rockwell Manufacturing Company, Edward Valves, Inc., Nordstrom Valves, Inc. And Edward Vogt Valve Company,
Fmc Corporation, Individually And As Successor To Northern Pump Company, Coffin And Peerless Pump Company,
Foster Wheeler, Llc,
Gardner Denver, Inc.,
General Electric Company,
Genuine Partscompany,
George A. Fuller Company,
Georgia-Pacific Corporation, Individually And As Successor To Bestwall Gypsum Company,
Gg Of Florida, Inc., F K A Higbee, Inc.,
Goodall Rubber Co.,
Goulds Pumps, Inc.,
Greene, Tweed & Co., Llp, Individually And As Successor To Palmetto Packings,
Grinnell Corporation,
Henry Technologies, Inc.,
Hexion Specialty Chemicals, Inc. F K A Borden Chemical, Inc.,
Honeywell International, Inc., Individually And F K A Alliedsignal, Inc., And As Successor-In-Interest To The Bendix Corp.,
Howden Buffalo, Inc., Individually And As Successor-In-Interest To Fb Sturtevant, The Howden Buffalo Group And Buffalo Fan,
Imo Industries, Inc. F K A Delaval, Inc., Individually And As Successor To Turbine Equipment Company,
I.T.T. Industries, Inc., Individually And As Successor To Bell & Gossett,
I.T.T. Industries, Inc., Individually And As Successor To Hoffman Specialty, Bell & Gossett, And Foster Engineering,
Jenkins Bros.,
John Crane, Inc.,
Kaiser Gypsum Company, Inc.,
Koppers Company, Inc.,
Koppers Industries, Inc.,
Lighttolier Incorporated,
Maremont Corporation, Individually And As Successor To Grizzly,
Metropolitan Life Insurance Co.,
Morse Diesel, Inc.,
Morse Diesel International, Inc.,
Napa Auto Parts A K A National Automotive Parts Association,
Nash Engineering Company,
Northrop Grumman Corporation, Individually And As Successor To George A. Fuller Company,
Occidental Chemical Corporation, Individually And As Successor To Durez Corporation,
Owens-Illinois, Inc.,
Patterson Pump Company, A Subsidiary Of The Gorman-Rupp Company And Individually And As Successor To C.H. Wheeler Manufacturing And Griscom Russell,
Plastics Engineering Company, Individually And As Successor To Plenco,
Pneumo Abex Corporation,
Pneumo-Abex Llc, Individually And As Successor To Abex Corporation, A Delaware Corporation,
Progress Lighting, Inc.,
Research-Cottrell, Inc. N K A Awt Air Company, Inc.,
Riley Power, Inc. F K A Babcock Borsig Power, Inc. And F K A Riley Stoker Corporation D B A Db Riley, Inc.,
Rogers Corporation,
R.T Vanderbilt Company, Inc., Individually And As Successor To International Tale Co., International Pulp Co., And Governeur Tale Co., Inc.,
Sid Harvey Industries, Inc.,
Sid Harvey Supply, Inc.,
Spence Engineering Company, Inc.,
Spirax Sarco, Inc.,
Spx Cooling Technologies, Inc., Individually As Successor To Marley Cooling Technologies And Marley Cooling Towers,
Superior Lidgerwood Mundy Corp., A K A Lidgerwood Manufacturing Co., Individually And As Successor To M.T. Davidson Co.,
Thomas O'Connor & Company, Inc., Currently Known As O'Connor Constructors, Inc.,
Thrush Co., Inc.,
Treadwell Corporation,
Turner Construction Company,
Tuthill Corporation, Individually And As Successor To Kinney Vacuum Pump Company, Kinney Pump Company And Murray Turbine,
Tyco Flow Control, Inc., Individually And As Successor To Keystone And Grinnell Corporation,
Tyco International,
Union Carbide Corporation,
Union Pumps, As A Textron Company,
United Conveyor Corporation,
Velan Valve Corp.,
Warren Pumps, Llc, Individually And As Successor To The Quimby Pump Company,
William Powell Company,
Wolff & Munier, Inc.,
York International Corporation, Individually And As Successor To Frick Company,
Yuba Heat Transfer, A Division Of Connell Limited Partnership N K A Spx Heat Transfer Llc,
Zurn Industries, Inc. A K A And Successor-In-Interest To Erie City Iron Works,
for Torts - Asbestos
in the District Court of New York County.
Preview
c ri
Segal McCambridge Singer &Mahoney
Austin I Chicago I Detroit I Houston I Jersey City ( New York I Philadelphia I St. Louis
www.smsm.com
Joel A. Merchant,Esq.
Direct(212)651-7422
jmerchant@smsm.com
November 4, 2019
VIA FIRST CLASS MAIL
Justice Barbara Jaffe
60 Centre Street
New York, New York 10007
Re: Stacev Lvnn Brown, as Administratrix ofthe Estate ofSteven L. Hall, deceased v. A.O.
Srraith YVater Products, etal.
Index No.: 190012-2017
Dear Justice Jaffe,
This office represents defendant Aurora Pump Company("Aurora")in the above referenced matter.
Defendant Aurora moves to preclude the following:
1) any testimony relating to the "each and every" exposure theory which lacks any scientific basis;
2) any testimony from Bariy Castleman, David Rosner, Gerald Markowitz, and Steven Compton, as
state-of-the-art witnesses to testify regarding Aurora's knowledge ofthe alleged hazards ofasbestos
and the levels at which asbestos will produce disease;
3) Plaintiff's "state of the art" and corporate liability exhibits and witnesses that have no probative
value;
4) Plaintiff's punitive damages claim against Aurora and exclude any evidence relating to that claim;
5) documents unrelated to any product at issue in this case and which have no nexus to it;
6) references to regulatory and consensus statement;
7) references to Aurora products not at issue in this case;
8) documents post-dating Mr. Hall's alleged exposure around Aurora pumps;
9) any testimony from Dr. Compton including any studies and reports on fiber release that he may
rely upon;
10) Plaintiff from producing photographs and/or Day-In-The-Life videos of Plaintiff, Steven Leroy
Hall; and
11) Plaintifffrom introducing evidence or eliciting testimony about other lawsuits involving Aurora.
Aurora further joins in any other defendants' motion to preclude on the same grounds.
Lastly, Aurora reserves all rights to move to limit the inclusion of additional experts that were not
disclosed as part of Plaintiff's Expert Witness List, Plaintiff Amended Expert Witness List, and/or Fact
List, which Plaintiff intends to produce at trial.
A. The Admissibility Standard For Expert Testimony
It is well established that all evidence,including expert witness testimony, must be relevant. People
v. Scarola, 71 N.Y.2d 769, 777, 525 N.E.2d 728, 530 N.Y.S.2d 83 (1988). Before expert testimony can
be received in evidence, "the party seeking to offer that evidence has the burden of demonstrating the
qualifications that make the witness an expert." Id. An expert should possess "the requisite skill,
training, education, knowledge or experience from which it can be assumed that the information
imparted or the opinion rendered is reliable." Matott v. Ward, 48 N.Y.2d 455, 459, 423 N.Y.S.2d 645,
647 (1979). Plaintiff's expert testimony cannot be used to establish facts "as to which the expert is not
competent to testify." People v. Colon, 238 A.D.2d 18, 21, 667 N.Y.S.2d 692, 694(1 Dept. 1997), appeal
dismissed, 92 N.Y.2d 909,680 N.Y.S.2d 50(1998).
Therefore, before an expert witness may offer expert testimony, the moving party must:
(i) Qualify the witness as an expert in the particular subject matter on which
he will testify;
(ii) Establish that the proffered testimony lies outside the understanding of a
lay jury; and
(iii) Establish that the purported expert's testimony is based on facts in the
record or personally known to the witness.
See, e.g., Dufel v. Green, 84 N.Y.2d 795, 797-98, 622 N.Y.S.2d 900, 902 (1995) and Gomez v. New
York City Housing Auth., 217 A.D.2d 110, 116-17, 636 N.Y.S.2d 271, 275-76(1 Dept. 1995).
New York Courts "have consistently held that expert opinion is proper when it clarifies an issue
calling for professional or• technical knowledge,possessed by the `expert' and beyond the ken ofthe typical
juror." People v. Hill, 85 N.Y.2d 256, 261,624 N.Y.S.2d 79, 81 (1995)(citations omitted; see also People
v. Cronin, 60 N.Y.2d 430,432, 470 N.Y.S.2d 110, 111 (1983). An expert witness's qualifications and the
witness' competence to testify rest in the sound discretion ofthe trial court, as the gatekeepers of evidence.
Edgewater Apartments, 216 A.D.2d at 54,627 N.Y.S.2d at 387; Annetta v. Gen. Motors Corp., 158 A.D.2d
284, 286, 550 N.Y.S.2d 686, 687(1 Dept. 1990). While formal education is not necessary, an expert must
be qualified through long observation and actual experience. PNice by Price v. New York City Housing
Authority, 92 N.Y.2d 537, 559, 684 N.Y.S.2d 143, 146 (1.998). The scope of an expert's testimony must
be limited to his area of expertise. Smith v. Woods Constr. Co.,309 A.D.2d 1155, 1156, 764 N.Y.S.2d 749,
751 (4 Dept. 2003).
While it is well settled and unquestioned law that opinion evidence must be based on facts in the
this
record or personally known to the witness, the Court of Appeals recognized two limited exceptions to
rule, holding that an expert may rely on out-of-court material if"it is of a kind accepted in the profession
as reliable in forming a professional opinion" or if it "comes from a witness subject to full cross-
See, Hambsch v. New York City Transit Authority, 480 N.Y.S.2d 195, 197; see
examination on the trial."
(1 Dept.
also, e.g., Moore v. The Brunswick Hosp. Ctr, Inc., 150 A.D.2d 183, 185, 540 N.Y.S.2d 794, 796
1989). An expert may, under certain circumstances, review hearsay evidence and rely upon it in reaching
not render
an opinion. Id. at 726, Hambsch 480 N.Y.S.2d at 197. However, such opinion testimony "does
Neumire, 291 A.D.2d at 786, 737 N.Y.S.2d at 460. The
those reports admissible as a matter of law."
read to the jury and it would be improper to allow their
documents may not be admitted. into evidence or
(2d Dept.
admission. See, e.g., Platovsky v. City ofNew Yof°k, 275 A.D.2d 699,700,713 N.Y.S.2d 358,359
2000)and Young v. Fleary, 226 A.D.2d 454, 455, 640 N.Y.S.2d 593, 594 (2 Dept. 1996).
Importantly, after a court determines that the expert's testimony is relevant the court"must
weigh its probative value against its prejudicial impact." See, e.g., People v. Brown, 194 A.D.2d 443,
444, 599 N.Y.S.2d 277, 278 (1 Dept. 1993). Therefore, as outlined fully below, this Court should
preclude the testimony of Mr. Mount and Drs. Longo, Egeland, Zhang, Moline, Markowitz and
Holstein.
Motion To Preclude Any Testimony Relating To The "Each And Eveiy" Exposure Theory
Aurora anticipates that Plaintiff will attempt to introduce through its experts, Mr. Mount and Drs.
Longo, Egeland, Zhang, Moline, Markowitz and Holstein, the scientifically unsupportable causation
opinion that every single occupational exposure to asbestos that Mr. Hall encountered throughout his
lifetime is an equal substantial factor in contributing to the causation of his lung cancer. See Plaintiff's
Expert Witness List, Plaintiff's Amended Expert Witness List, and Plaintiff's Exhibit List enclosed herein
collectively as Exhibit A. This opinion is sometimes referred to as the "each and every exposm~e" theory
and is also referred to as the "single-fiber" theory. Plaintiff seeks to use this testimony to bridge the
evidentiary gap against defendants, such asAurora, where there isscant evidence of asbestos exposure from
a specific defendant's product. The "each and every exposure" theory clouds the jury's perspective with
its simplistic, unfounded approach.
The "each and every exposure" theory has no generally accepted scientific basis, and its hypothesis
cannot be verified,tested or replicated. It is an outcome-driven conclusory opinion, with no scientific merit
which is solely devised to establish causation in toxic tort cases. This Court should preclude Plaintiffls
experts from testifying about the "each and every exposure" theory because it is not based upon established
scientific methodology or studies, is unverifiable, and fails to satisfy the adequate foundation requirements
for opinion testimony. Alternatively, Aurora requests that this Court hold aParker/Frye hearing to establish
the propriety of such testimony before it is offered into evidence.
A. As the "Each and Every Exposure" Theory Lacks Any Basis in Established Scientific
Methodology It Should Be Precluded
In the present case, legal causation requires a consideration of both general and specific causation:
(1) whether Mr. Hall's claimed exposure from work around Aurora pumps was capable of causing
mesothelioma in the general population; and (2) whether Mr. Hall's claimed exposure from work around
Aurora pumps caused his mesothelioma. See, In re Joint Eastern &Southern Dist. Asbestos Litigation v.
United States Mineral Prods. Co., 52 F.3d 1124(2d Cir. 1995); Raynor v. Merrell Pharmaceuticals, Inc.,
104 F.3d 1371 (D.C. Cir. 1997); In Re: Breast Implayat Litigation, 11 F. Supp. 2d 1217(D. Colo. 1997).
Normally, a treating physician can diagnose a plaintiffls injury using common tools such as x-rays
and blood tests, and determine whether such injury is connected to an alleged cause, e.g., using an x-ray to
diagnose a broken bone and connect it to a fall. However, in cases alleging asbestos exposure,the concept
of a latency period renders standard diagnostic tools inadequate. In such cases, a treating physician faces
symptoms and unknown or varied exposure history which occurred decades in the past.
Determining the cause of Mr. Hall's lung cancer is.not as simple as saying that it was caused by
his exposure to asbestos as "even under the best of circumstances, the mechanisms of asbestos-induced
cancer remain presently unclear." Mossman, Bignon, et al., Asbestos: Scientific Developments and
Implications for Public Policy, Vol. 247 Science 294 (January 1990). See also In Re Joint Eastern and
Southern District Asbestos Litigation, 827 F. Supp. 1014, 1027-1028 (S.D.N.Y. 1993)("Nowhere is the
imprecision confronting the epidemiologist clearer than that posed by the present state of scientific
understanding of the causal relationship between environmental and occupational carcinogens and cancer.
The imprecision of estin7ating the impact of environmental and occupational carcinogens derives from the
central uncertainty surrounding the nature of" carcinogenesis . . .The statement by a group of experts
convened by the International Agency for Research on Cancer . . . in 1980 remains true today: "the
mechanisms by which chemicals induce cancer and the developmental stages from initial exposure to frank
neoplasia are poorly understood.")
It is anticipated that Plaintiff's experts will testify that every breath that Mr. Hall ever took in an
environment that had a level of asbestos above background increased his risk of developing mesothelioma.
There is no published study which shows by valid epidemiologic principles that every breath taken in an
environment above background level increases the risk of mesothelioma. Further, this approach fails to
consider dose,-which is the single most important factor in evaluating whether Mr. Hall's alleged exposure
from work around Aurora pumps caused his mesothelioma. In McClain, the Eleventh Circuit Court of
Appeals held that,"[i]n toxic tort cases, scientific knowledge ofthe harmful level of exposure to a chemical
plus knowledge that plaintiff was exposed to such quantities are minimal facts necessary to sustain the
plaintiffs burden ... Or, as the Count of Appeals for the Tenth Circuit explained in Mitchell v. Gencorp,
165 F.3d 778, 781 (10th Cir.1999),to carry the burden in a toxic tort case, a plaintiff must demonstrate `the
levels of exposure that are hazardous to human beings generally as well as the plaintiffs actual level of
exposure to the defendant's toxic substance before he or she may recover."' McClain v. Metabolife
International, Inc., 401 Fad 1233, 1241,66 Fed.R.Evid.Serv. 753(1 ltl'Cir. 2005) (Plaintiff could provide
quantity of ephedra product consumed but was unable to provide any opinions about the general dose-
response levels for that product's toxicity, i.e., the dose or level of exposure at which it causes harm.
Plaintiff's expert opined that any level of exposure was potentially toxic, but the Court found that the
statement conflicted with the importance of individual responses to toxins; a toxic agent generally will not
cause disease in every person exposed).
The New York Court of Appeals has outlined what a medical causation opinion should establish:
(1) whether Mr. Hall was exposed to asbestos from any Aurora pump;(2) whether the type of asbestos
allegedly used in connection with that product was capable of causing Mr. Hall's disease; and (3) whether
Mr. Hall was exposed to a sufficient level of asbestos in conjzrnction with an Aurora pump to cause his....._
disease. Parker v. Mobile Oil Corp., 7 N.Y.3d 434, 857 N.E.2d 1114 (2006).
The New York Court of Appeals has consistently reaffirmed its holding in Parker requiring experts
to offer some evidence of dose to establish causation. Sean R. v. BMW of N. Am., LLC, 26 N.Y.3d 801
(2016); Cornell v. 360 W. Slst St. Realty, LLC, 22 N.Y.3d 762, 9 N.E.3d 884, 986 N.Y.S.2d 389 (2014).
The Court noted that "ParkeN explains that `precise quantification'. or a `dose-response t•elationship' or `an
exact numerical value' is not required to make a showing of specific causation. Parker by no means,
though, dispensed with a plaintiff's burden to establish sufficient exposure to- a substance to cause the
claimed adverse health effect." Sean R. at 808 (citations omitted); Cornell at 784 (citations omitted). The
Cornell Court held that plaintiff had to identify the toxin that adversely affected her and quantify the
exposure to prove specific causation. "At a minimum, [...] there must be evidence from which the
fact~nder can conclude that the plaintiff was exposed to levels of th[e] agent that are known to cause the
kind of harm that the plaintiff claims to have suffered." Sean R. at 809 (citations omitted). Further, the
mere reference to public health agency guidelines as protective measures are inadequate to demonstrate
legal causation. PaNker, supra at 448. Therefore, Plaintiffls references to OSHA compliance levels do not
demonstrate legal causation.
Most recently, in Juni v. A.O. Smith Water Products Co., the First Department recently affirmed
that the standards ofParker,Cornell and Sean R, apply to asbestos cases. Jz~ni v. A.O. Smzth Water Products
Co., 148 A.D.3d 233, 236 (lst Dept 2017). In Juni, the Appellate Division affirmed an order vacating an
$11 million verdict where plaintiff claimed to have developed mesothelioma from a friction product. The
Court held, that "there is no valid distinction to be made between the difficulty of establishing exposure to,
say benzene in gasoline and exposure to asbestos. In each type of matter, a foundation must be made to
support an expert's conclusion regarding causation." Id. at 236. The Jurai court fui~Cher noted that plaintiffs
4
"experts effectively testified only in terms of an increased risk and association between asbestos and
mesothelioma, but failed to either quantify the defendant's exposure levels or otherwise provide any
scientific expression of his exposure level with respect to" a friction product. Id. at 240.
Indeed,the dose-response relationship concept is central to any discussion about medical causation.
This dose-response relationship evaluates the amount, intensity and duration of exposure to a given agent,
and whether a change in any of those factors causes an increase or decrease in the risk of a given disease.
McClain, 401 F.3d at 1241. As the McClain Court aptly noted, "[t]he expert who avoids or neglects this
principle oftoxic torts withoutjustification casts suspicion on the reliability ofhis methodology." McClain,
401 F.3d at 1242.
As gatekeepers, courts are faced with difficult determinations in toxic tort cases where they must
weigh the alleged exposure to a given product against the disease or injury at issue. The Federal Judicial
Center published several articles in the JouNnal ofLaw and Policy in an attempt to help judges understand
how to assess admissibility issues in these cases. Science foN Judges I.• Papers on Toxicology and
Epidemiology, 12 J.L. Poly 1 (2003). As part of this series, Dr. David Eaton, Ph.D., a toxicologist and
Professor of Environmental and Occupational Health Sciences at the University of Washington published
a paper entitled Scientific Jzrdgment and Toxic Torts - A Primer in Toxicologyfor Judges and Lawyers. See
Scientific Judgment and Toxic Torts -A Primer in ToxicologyforJtddges an~LawyeNs, 12 J.L. Poly 5(2003)
enclosed herein as Exhibit B. In his article, Dr. Eaton describes some key principles of toxicology that a
court should consider in "any attempt to establish whether a chemical exposure was causally related to a
specific adverse effect or disease in an individual." See Exhibit B at 9.
Dr. Eaton explains that the dose-response relationship is at the forefront ofthese principles, noting
that "the relationship between dose and effect (dose-response relationship) is the hallmark of basic
toxicology." See Exhibit B at 15. "Dose is the single most important factor to consider in evaluating
whether an alleged exposure caused a specific adverse effect." See Exhibit B at 11. Importantly,Dr.Eaton... .
states that often "low dose exposures—even for many years—will have no consequence at all, since the body
is often able to completely detoxify low doses before they do any damage." See Exhibit B at 13.
Furthermore, "for most types of dose-response relationships following chronic (repeated) exposure,
thresholds exist, such that there is some dose below which even repeated, long-term exposure would not
cause an effect in any individual." See Exhibit B at 16. The "each and every exposure" theory simply does
not address the most fundamental element for determining causation.
Moreover, the "each and every exposure" theory utterly ignores the fact that different asbestos
fibers have different potencies and capacity to cause mesothelioma and lung cancer. It is well-established
that "asbestos-containing products do not create similar risks of harm because there are several varieties of
asbestos fibers, and they are used in various quantities, even in the same class of product." Goldman v.
Johns-Manville Sales Corp., 514 N.E.2d 691, 697 (Ohio 1987). Furthermore; asbestos products "have
widely divergent toxicities, with some asbestos products creating a much greater risk of harm than others."
210 East 86`" Street Corp. v. Combustion Engineering, Inc., 821 F.Supp. 125, 145 (S.D.N.Y. 1993).
Plaintiff's contrived theory fails to account for decades of research demonstrating the vast differences in
the measurable dose of asbestos in connection with the use and handling of various disparate products.
Plaintiff's "each and every exposure" theory is further flawed as it is anticipated that Mr. Mount
and Drs. Longo, Egeland, Zhang, Moline, Markowitz and Holstein will testify that Mr. Hall's background
asbestos exposures, amounting to millions of fibers over his lifetime, did not contribute to his
mesothelioma. This inexplicable distinction between allasbestos exposure and occupational exposure isa
further example of the flawed nature ofthe "each and every exposure" theory.
B. Other Courts Have Evaluated and Rejected this Theory
Courts in other jurisdictions have rejected evidence of the "each and every exposure" theory as
either unscientific under a Frye or DaubeNt analysis, or insufficient for a causation finding. A Texas
Appellate Court considered and rejected the testimony of Dr. Hammar, a common proponent of this
"theory" in a lung cancer case because he was unable to "show that the `any exposure' theory is generally
accepted in the scientific community —that any exposure to a product that contained asbestos results in a
statistically significant increase in the risk of developing mesothelioma." See Georgia-Pacific Corp. v.
Stephens, 239 S.W.3d 304.320-321 (Tex. App-Hous. 2007)(emphasis in origiri~l).
In Lindstrom v. A-C Product Liability Trust, 424 F.3d 488,492(6th Cir. 2005), plaintiffs sought to
introduce expert testimony that "there is no safe level of asbestos exposure, and that every exposure to
asbestos, however slight, was a substantial factor in causing [plaintiff's] disease." Lindstrom, 424 F.3d at
493. The Court affirmed the lower court's finding that the expert's affidavit was insufficient as a matter of
law for the plaintiff to avoid summary judgment. Id. The Court noted that to hold otherwise would render
the substantial factor test meaningless. Id.
The Superior Court ofPennsylvania rejected similar evidence, emphasizing that a trialjudge should
not adopt an expert's legal conclusion that is unsupported by the record and. without common sense.
Summers v. Certainteed Corp., 886 A.2d 240, 244(Pa. Super. 2005).
The Summers Court reasoned as follows in rejecting the proffered evidence:
[S]uppose an expert said that if one took a bucket of water and dumped it in the
ocean, that was a "substantial contributing factor" to the size of the ocean. [An
expert's] statement saying every breath is a "substantial contributing factor" is not
accurate. If someone walks past a mechanic changing brakes, he or she is exposed
to asbestos. If that person worked for thirty years at an asbestos factory making '
lagging, it can hardly be said that the one whiff of the asbestos from the brakes is a
"substantial" factor in causing disease. Id.
In Borg-Warner Copp. v. Flores, 232 S.W.3d 765 (Tex. 2007), the Supreme Court of Texas also.
rejected the argument that a person's exposure to "some" respirable fibers was sufficient to show that a
particular asbestos-containing product was a substantial factor in causing an asbestos-related disease. As a
brake mechanic, plaintiff used Borg-Warner brake pads on five to seven of the approximately twenty brake
jobs he performed each week. Id. at 766. Plaintiff presented expert testimony that he could have been
exposed to "some" respirable asbestos fibers when grinding brake pads or blowing out the housings but did
not present any evidence ofthe actual amount of asbestos he might have inhaled. Id. at 767, 771. As such,
the plaintiff's evidence was insufficient to establish that Borg-Warner's asbestos-containing brake
components were a substantial factor in causing his asbestos-related disease. Id. at 772. The Court noted
that because asbestos is prevalent in the ambient air, a plaintiff must establish a threshold of exposure in
order to prove that his asbestosis was caused by a particular product. Id. at 773.
The Pennsylvania Supreme Court disapproved of plaintiff's "common" practice of submitting
generalized expert opinion that"each and every exposure" to asbestos is a substantial contributing factor to
an asbestos-related disease such as mesothelioma. Gregg v. V-JAuto Parts, Inc., 943 A.2d 216(Pa. 2007).
The Court noted that such opinions fail to create a jury question, especially when the plaintiff's exposure
to a defendant's product is de minimis and the evidence fails to exclude other possible sources of exposure.
ra.
Here, Plaintiff's experts offer nothing mare than arr unproven hypothesis that every exposure,
however small, isa substantial contributing causative factor of lung cancer. No scientific study supports
D
such an opinion, nor is such a theory generally accepted in the scientific community. As such, it fails to
satisfy the law's foundation requirements for opinion testimony and should be excluded.
C. Alternatively, this Court Should Conduct a Frye Hearing to Determine Whether the
"Each and Every exposure" Testimony Meets the Admissibility Standard
It is important to determine whether this "each and every exposure" theory meets the admissibility
standard before it is presented to the jury, as the improper damage is done once a person with impressive
credentials has testified. At a minimum, the Court should conduct a hearing outside the presence of the
jury to determine whether such "each and every exposure" testimony meets the Frye standard for
admissibility.
During the Kzrchner trial in the New York Supreme Court, Sullivan County, the Court held that
plaintiff's expert's opinion that "any exposure is a substantial factor in causing disease is inconsistent with
the law of the State of New York." See extract from Dr. Abraham's trial testimony in Kirchner v Borg-
Warner(Index No.2669/2012, Sup. Ct. Sullivan Co., June 10,2014)enclosed herein as Exhibit C. Further,
during the Cantolino trial in the New York Supreme Court, New York County, Your Honor granted
defendant Fisher Scientific's motion for a Frye hearing to assess the sufficiency of plaintiffs'experts'
opinions with respect to the dose of asbestos from a specific type of product and whether that dose could
be a legal cause of plaintiff's disease. Cantolino v. A.O. Smith(Index No. 190211/2012, Sup. Ct. New York
Co., July 17, 2014). These decisions demonstrate the increased judicial skepticism of the simplistic and
unscientific conclusory "each and every exposure" testimony on asbestos causation.
Any opinion proffered by an expert regarding ultimate causation based on the "each and every
exposure" hypothesis is not supported by generally accepted scientific principles and is not subject to
testing, replication or proof. Such an opinion has no evidentiary value. Thus, opinion testimony that each
-- - -and every exposure above background is-sufficient to increase the risk of mesothelioma is inadmissible; it
is baseless speculation lacking generally accepted scientificfoundation.
This Court should preclude Plaintiffls experts from providing any testimony that any of Mr. Hall's
claimed work around any Aurora pump was a substantial contributing factor of his mesothelioma without
first providing an evidentiary foundation which quantifies the dose as required under Parker. Ifthis Court
is not willing to exclude such opinion testimony on the basis of this motion alone, Aurora respectfully
requests that that the Cout-t conduct a Frye hearing on the admissibility of such testimony before that
testimony is offered at trial.
2. Motion To Preclude Any Testimony From Barry Castleman, Da~rid Rosner, Gerald
Markowitz and Steven Compton As State-o f-the-Art Witnesses To Testify Regarding
Aurora's Kno~~~ledge Of The Altegecl Hazards Of Asbestos And The Levels At Which
Asbestos V'Vill Prod~~ce Diseases
Plaintiff intends to call Messrs. Castleman, Rosner, Markowitz and Compton as state-of-the-art
witnesses to testify regarding defendants' knowledge ofthe alleged hazards of asbestos and levels at which
asbestos will produce diseases. See Exhibit A. Messrs. Castleman, Rosner, Markowitz and Compton
should be precluded from testifying because they are not qualified to interpret the content of the collected
articles or to explain the underlying scientific principles because they lack the requisite training in the fields
of medicine, toxicology, epidemiology, and engineering.
Messrs. Castleman, Rosner, Markowitz and Compton are not qualified to provide expert testimony
regarding the dangers of asbestos, safe exposure levels and levels at which asbestos exposure will cause
actual
disease because thcy do not hold the requisite degrees and have not had the "long observation and
92 N.Y.2d 537, 559, 684 N.Y.S.2d 143, 14G (1988). Thus, the only
experience" required under Price.
7
basis for their opinions is their review of numerous medical, scientific and corporate publications, articles,
and documents available from the United States government archives.
Finally, the opinions of Messrs. Castleman, Rosner, Markowitz and Compton are not the proper
subject of expert testimony in that they merely recite the opinions stated in collected articles. The jury is
just as capable of obtaining this information without the testimony of Messrs. Castleman, Rosner,
Markowitz and Compton. Finally, the articles that they will rely on are unauthenticate d hearsay and
therefore, their testimony regarding those articles should be precluded.
A. Messrs. Castleman, Rosner, Marko~~s~itz, Compton Do Not Possess the Skills, Training,
Education, Knowledge or Experience to Offer Opinions Regarding Defendant's
Knowledge Regarding the Dangers of Asbestos.
It is anticipated that Messrs. Castleman, Rosner, Markowitz and Compton will rely on their review
of medical, scientific and other technical articles to render their opinions regarding the state of the art and
defendants' knowledge regarding the hazards of asbestos. However, Messrs. Castleman, Rosner,
Markowitz and Compton lack the requisite skills, training, education, knowledge and experience to do so.
Dr. Castleman was previously precluded on this exact basis. In Rutkowski v. Occidental Chem.
Corp., No. 83 C 2339, 1989 WL 32030(N.D. Ill. Feb. 16, 1989), the United States District Court for the
Northern District of Illinois granted defendant's motion in limine to bar Dr. Castleman from testifying
because he lacked the knowledge, skill,training, experience, and education necessary to assistthe trier of
fact to understand the evidence. Id. at * 1. Additionally, inthe case of Polito v. DaimlerChrysl er Corp.,
Index No. 1-2001-008216, filed in the New York Supreme Court, Monroe County, Justice Raymond E.
Cornelius, recognizing that Dr. Castleman is not qualified to offer testimony on the subjects about which
he was expected to testify and that many ofthe documents about which he planned to testify do not require
expert testimony, severely limited Dr. Castleman's testimony at trial. Justice Cornelius did not permit Dr.
Castleman to testify regarding the substance of the documents which he reviewed or his interpretation of
those documents.
Messrs. Castleman, Rosner, Markowitz and Compton simply lack the expertise that qualifies them
to interpret and testify about asbestos exposure levels based on historical literature, medical documents and
other scientific and technical documents, as well as alleged knowledge by the defendants regarding the
effects of inhalation of asbestos fibers based on those documents. As such, they should be precluded from
testifying.
B. The Testimony of Messrs. Castleman, Rosner, Markowitz and Compton Should Be
Precluded Because Their Opinions Are Not The P~•oper Subject Of Expert Testimoi~►y.
One of the prerequisites for the admission of expert testimony is "that its subject matter involves
information or questions beyond the ordinary knowledge and experience of the trier of facts." Matott, 48
N.Y.2d at 459, 423 N.Y.S.2d at 647. "Absent an inability or incompetence of jurors to comprehend the
issues and evaluate the evidence, the opinions of experts `which intrude on the province ofthe jury to draw
inferences and conclusions, are both unnecessary and improper."' Nevins v. GreatAtl. and Pac. Tea Co.,
164 A.D.2d 807, 807-8, 559 N.Y.S. 2d 539, 540 (1 Dept. 1990) (citations omitted). In DeLong v. County
of expert
of Erie, the Court of Appeals stated that the guiding principle in determining the admissibility
testimony "is that expert testimony is proper when it would help to clarify an issue calling for professional
or technical knowledge, possessed by the expert and beyond the ken of the typical juror." 60 N.Y.2d 296,
307, 469 N.Y.S.2d 611, 617 (1983) (citations omitted).
In this case, to the extent that Messrs. Castleman, Rosner, Markowitz and Compton intend to rely
upon the review of corporate records, trade publications and other non-medical or scientific articles,
journals or documents in rendering opinions in this case, their testimony should be precluded because the
review of these documents does not require any particular expertise. Instead, these documents are easily
understood by the jury without the assistance of expert testimony. See Threadgill v. Manville Corp.
Asbestos Disease Compensation Fund, 1990 WL 294271 *4. Even if the review of these records required
some type of expertise, there is nothing in the education, training or experience of Messrs. Castleman,
Rosner, Markowitz and Compton that qualifies them,more than any layperson,to review and interpret these
types of records.
Accordingly, Messrs. Castleman, Rosner, Markowitz and Compton should be precluded from
testifying beyond their competence and where, as here, the jury is capable of reviewing the material
collected by Messrs. Castleman, Rosner, Markowitz and Compton to reach their own conclusions regarding
state-of-the-art of alleged corporate knowledge.
C. Messrs. Castleman, Rosner, Markowitz and Com~fton Lack A Proper Foundation For
Their Testimony
It cannot be disputed that Messrs. Castleman, Rosner, Markowitz and Compton do not have
personal knowledge of the facts upon which they base their opinions and that their opinions are not based
on out-of-court material derived from a witness subject to full cross-examination. See Wagman v.
Bradshaw, 292 A.D.2d 84, 86-87, 739 N.Y.S.2d 421, 423 (2d Dept. 2002). Messrs. Castleman, Rosner,
Markowitz and Compton are best characterized as librarians of asbestos research who base their opinions
on the voluminous amount of documents that they have received over the course of decades. These
documents come from various sources including Plaintiffs counsel. Messrs. Castleman, Rosner,
Markowitz and Compton cannot establish that any of the materials or information that they rely on as a
- -- basis for their testimony constitutes-(a) facts and materials_in_e~~idence; or(b) material not in evidence that._..
is the kind accepted in their profession as a basis in forming an opinion and is accompanied by evidence of
its reliability.
D. The Documents that Messrs. Castleman, Rosner, Marko«~itz and Compton Rely Upon
Are Inadmissible Hearsay
As Messrs. Castleman, Rosner, Markowitz and Compton base their testimony on unauthenticated
documents and other information which are inadmissible hearsay, Messrs. Castleman, Rosner, Markowitz
and Compton do not have a proper basis for their testimony and it must be excluded. Prior to admitting a
document into evidence, its authenticity must be established. See generally, Richard T. Farrell, Prince,
Richardson on Evidence § 4-203 (llt~' Ed. 1995) ("The proponent of an item of real evidence must
demonstrate its genuineness by clear and convincing evidence")citing People v. McGee, 49 N.Y.2d 48, 59,
424 N.Y.S.2d 157, 163 (1979)("authenticity is established by proof that the offered evidence is genuine
and that there has been no tampering with it") and People v. Julian,41 N.Y.2d 340, 343-344,392 N.Y.S.2d
610, 612(1977).
Messrs. Castleman, Rosner, Markowitz and Compton base their opinions on documents and
materials which are unauthenticated and, therefore, are inadmissible at trial. See People v. Brown, 216
A.D.2d 737, 738, 628 N.Y.S.2d 835, 836 (3 Dept. 1995). It isanticipated that Plaintiff may attempt to
argue that the documents that are older than 30 years are admissible under the ancient document rule.
However, under New York law, in order to authenticate a document under the "ancient document" rule,the
of
party seeking to admit the document must show that it is more than 30 years old,"was in the possession
natural custodian" and is "free from indicatian.s of fraud or invalidity." See generally, Richard T.
the
Farrell, Prznce, Ricicczru'soya on ~videfzce § 3 124 (11't` Ed. 1995). The party seeking to admit aged
of records or were otherwise
documents must prove that the documents came from the proper custodian
found where expected to be. Tillman v. Lincoln WaNehouse Corp., 72 A.D.2d 40, 44, 423 N.Y.S.2d 151,
153(1 Dept. 1979).
In addition, the documents and information that Messrs, Castleman, Rosner, Markowitz and
Compton will rely on are inadmissible hearsay and in some instances, hearsay within hearsay. In order for
these documents to be admissible, Plaintiff must establish that the documents are not hearsay or fallwithin
an exception to the hearsay rule. See Hornbook v. GNeekPeak/PeakResorts, Inc., Index No.99-1172,2002
WL 1967928 (Sup. Ct. Tompkins Co.,May 29, 2002)(expert witness "may not rely upon the out-of-court
records, opinions or impression of treating doctors which were not admitted into evidence under an
independent exception to the rule against hearsay"). Plaintiffcannot establish that the documents fall within
an exception to the hearsay rule.
In order to circumvent the hearsay rules, Plaintiff may argue that the documents are not hearsay
because they are not offered for the truth of the matter asserted, but rather, to show that the defendant had
notice ofthe dangers ofasbestos. However,in order to make this argument,Plaintiff must first affirmatively
show that defendant was inferentially put on notice by the documents. See George Celotex Corp.,914 F.2d
26, 30(2d Cir. 1990).
Plaintiff cannot overcome the hurdle of demonstrating that Messrs. Castleman, Rosner and
Markowitz and Compton meet the requirements of an expert, and thus they should be precluded from
testifying at trial.
3. Plaintiffs "State Of The Art" And Corporate Liability Exhibits And Witnesses Have No
Connection To Aurora And Should Be Precluded As They Have No Probative Value In This
Case
Plaintiff will attempt to reply on "State of the Art" documents to try to impute knowledge of the
dangers of asbestos and asbestos-containing