Rost, Richard, M., Exec. v. Ford Motor Co., Aplt.
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OPINION
We address again the proper application of the âfrequency, regularity, and proximityâ criteria in asbestos product liability litigation, seeking to provide further illumination on the principles set forth in our decisions in this area, Gregg v. V-J Auto Parts, Co., 596 Pa. 274, 943 A.2d 216 (2007), and Betz v. Pneumo Abex, LLC, 615 Pa. 504, 44 A.3d 27 (2012). For the reasons that follow, we conclude that the trial court and the Superior Court properly applied those principles in this case, and thus affirm the judgment entered in favor of Appellees.
In October 2009, Appellees Richard and Joyce Rost
At trial, Rost testified that upon graduation from high school in 1950, he took a job at Smith Motors in Washington, New Jersey, for three to four months, working full time Monday through Friday and half a day on Saturday. N.T., 9/14/2011 (AM), at 101, 114. While Smith Motors was a full service garage, it serviced approximately eighty-five to ninety percent Ford vehicles. Id. at 151. The parties stipulated that all model year Ford vehicles, from 1945 until 1950, used asbestos brakes and asbestos clutches, and that Fordâs brakes and clutches were forty to sixty percent chrysotile asbestos by weight. Stipulation, Rost Exhibit 5. Rost described his job as being a âgofer,â which involved basic maintenance tasks (changing oil, lubrication, and undercoating). Id. at 103. It was also his job to keep the garage area clean. Id. Approximately three to five times per week, when the mechanics removed brake shoes before performing a brake job, Rost had to pop off the asbestos lining from each shoe and throw it away. Id. at 103-05. There were two linings on each brake shoe, so this necessitated that he remove eight linings in connection with each brake job. Id. Asbestos dust was released as each lining
Rost was also exposed to asbestos based upon his proximity to mechanics sanding brakes, replacing clutches, and performing engine work (head gaskets containing asbestos). Id. at 105, 129-31. At the end of each day, Rost testified that he cleaned up all of the asbestos dust and debris generated from the brake jobs, blow outs, and clutch and engine work. Id. at 113â 14. He used a push broom to gather the waste from the mechanicsâ work areas, and typically deposited three coal shovelfuls of waste into the garbage at the end of each day. Id. at 114. Smith Motors did not have an exhaust system, with only a single fan in the window for ventilation, and Rost testified that âthere was a smell in the garage from the dust in the air the whole time we were working in there.â Id. at 111. Smith Motors also had no shower facilities, and so Rost wore his dirty dust-covered clothes home at the end of each day on the job. Id. at 131.
Rost also testified regarding his subsequent occupational history and exposures to asbestos in connection therewith. After Smith Motors, he worked for Washington Woodcraft and Griffith <& Williams (a construction company), but was not exposed to asbestos in those jobs. Id. at 159-61. He then went to work for Tung-Sol, a manufacturer of television vacuum tubes, from 1952-53 and, after a term in the Army, from 1955-60. Id. at 115,166. Rost did not believe that he was exposed to asbestos at Tung-Sol, although he did perform maintenance work on the boiler once a week and worked on the turbines âtwice a year for a couple of hoursâ during seasonal annual maintenance. Id. at 115-16, 165-67. In 1960, he went to work for Metropolitan Edison at its power plant near Portland, Pennsylvania, where he remained until his retirement in 1994. Id. at 116. He began as a janitor and served as a coal handler,
The Rosts called expert witnesses on medical and causation issues, including Dr. Arnold Brody, Ph.D., and Dr. Arthur Frank, M.D. Dr. Brody is an experimental pathologist and a professor at North Carolina State University. N.T., 9/20/2011 (AM), at 7-8. Dr. Frank is a physician and a professor at Drexel University School of Public Health and the Drexel University College of Medicine. N.T., 9/19/2011 (AM), at 8.
Dr. Brody did not testify regarding the specific eause of Rostâs medical condition, and instead offered more general testimony about how asbestos causes mesothelioma. He explained that there are two types or âfamiliesâ of asbestos fibers, amphibole and chrysotile. N.T., 9/20/2016 (AM), at 82. About ninety-five percent of the asbestos-containing products used in the United States contained chrysotile fibers, including all of the Ford products at issue in this case. Id. at 86. Dr. Brody testified that on a fiber-per-fiber basis, amphibole fibers are more potent than chrysotile fibers, but that both types cause mesothelioma. Id. at 83-119. Given their smaller size, chrysotile fibers are more likely to get into the lymphatic flow and reach the pleura (the membrane on the outside lining of the lungs), and when investigators examine the target site of mesothelioma on the lung, they typically find a predominance of chrysotile fibers. Id. at 117.
Dr. Brody described for the jury precisely how asbestos causes mesothelioma. Mesothelioma is a cancer of the me-
The Rosts called Dr. Frank as an expert in âasbestos-related diseases and their causes, the ability of asbestos, including chrysotile asbestos, to cause mesothelioma in humans, the risk imposed from inhalation of chrysotile asbestos from brakes, the epidemiology of asbestos disease, asbestos industrial hygiene, asbestos toxicology and public health.â N.T., 9/19/2011 (AM), at 40. In his testimony, Dr. Frank referenced epidemiological studies, animal studies, and case reports, and indicated that he had himself performed epidemiological, animal, and cell and organ culture studies on individuals exposed to asbestos; he also participated in a study on the development of asbestos-related disease in brake mechanics, and has published many peer reviewed articles and book chapters on asbestos-related disease. Id. at 15-40. He stated that in his practice and research studies, he has seen âhundreds, if not thousandsâ of people exposed to asbestos. Id. at 25.
Dr. Frank testified that mesothelioma is a dose-response disease, by which âas the dose increases, the likelihood of developing the disease increasesâ: âsmall amounts carry small risks; larger amounts cause larger risks.â Id. at 82-83. Ac
Moreover, Dr. Frank testified that while precise exposure threshold levels for the contraction of mesothelioma cannot be quantified, different asbestos-related diseases require different exposure levels. Contraction of asbestosis, the non-cancerous scarring of lung tissue, requires a âsignificant amountâ of asbestos exposure before the condition will appear. N.T., 9/19/2011 (AM), at 83. Mesothelioma, in significant contrast, requires far less exposure. Dr. Frank testified that both case reports and animal studies reflect that there is evidence that both animals and humans may contract mesothelioma after a single day of exposure to asbestos. Id. at 84-85 (âvery low levels will still produce the disease mesotheliomaâ). Even more, there is evidence that a single month of exposure to asbestos may double an individualâs risk of contracting meso-thelioma. Id. In this case, Rost was exposed to asbestos at Smith Motors for more than three months, in potentially high amounts on a daily basis. Based upon studies by a mineralogist, Dr. Frank testified that when a mechanic used an air
In response to a hypothetical question that detailed Rostâs exposure to asbestos while at Smith Motors, Dr. Frank testified that it was his opinion, within a reasonable degree of medical certainty, that Rostâs exposure to Ford products was a âsignificant contributing cause to developing mesothelioma.â Id. at 111-17. He then offered the following testimony:
Q. Now, Dr. Frank, Iâve asked you to assume that these exposures in 1950 for the three months approximately were at the Ford dealership. Now, if those wereânow, you know in this case, that there are other exposures after 1950, correct?
A. Yes, sir.
Q. Now, if the only exposures that Mr. Rost had were those in 1950, would those have been enough alone without any of the ones he had later for you to say that was a significant contributing factor to his mesothelioma?
A. Yes.
* â *
Q. Okay. Now, we do know that in this case that there are other asbestos exposures. Given the fact that there were other asbestos exposures in this case, Doctor, is there any way for you to say that the early 1950s exposures didnât contribute and the ones afterwards did?
A. Thereâs no scientifically plausible way to do that. They all contributed, his early exposures and his later exposures.
*640 Q. Now, Doctor, is there any doubt in your mind that chrysotile asbestos from brakes contributed to Mr. Rostâs mesothelioma?
* * *
A. None whatsoever. No doubt.
Q. Is there any doubt in your mind that his exposures to insulation contributed to his mesothelioma?
A. No doubt whatsoever.
Q. Are all the exposures that he experienced to asbestos that can be demonstrated the causes of his mesothelio-ma?
A. All of the exposures that can be documented should all be considered as contributing to his developing the disease.
Q. Is there any doubt in your mind, Dr. Frank, that just working -with those brakes or around those brakes in 1950 at the Ford dealership could have caused his meso-thelioma?
* * *
A. If that would have been his only exposure, I would be sitting here saying that that was the cause of his disease. Given that he had other exposures, it was all contributory.
Id. at 120-23.
When the Rosts rested their case-in-chief, Ford moved for a nonsuit, contending that Dr. Frank had offered âeach and every breathâ opinion testimony prohibited as evidence of substantial causation by this Court in Gregg. N.T., 9/26/2011 (AM), at 98-99. Concluding that Dr. Frank had not done so and that the Rosts had presented sufficient evidence to send the case to the jury, the trial court denied the motion. Id. at 99. At the close of the evidence, the jury awarded the Rosts $994,800 ($844,800 to Rost and $150,000 to Joyce Rost). N.T., 10/7/2011, at 8-11. The jury also found that the products of three companies with asbestos-containing equipment at Metropolitan Edison (General Electric, Ingersoll-Rand, and Westinghouse) were also substantial causes of Rostâs mesothelioma. Id. The trial court molded the verdict by dividing it into four
Ford raised these same two issues on appeal to the Superior Court. In an unpublished memorandum decision, the court affirmed. On the first issue, the Superior Court concluded that Drs. Brody and Frank âprovided detailed testimony about the nature of mesothelioma and its causes, backed up by published research on the subject. Their testimony was internally consistent and by the admission of Fordâs own experts, supported by at least 50 asbestos scientists around the world.â Rost v. Ford Motor Company, 2014 WL 2178528, at *10 (Pa. Super. May 19, 2014) (unpublished memorandum). The Superior Court further indicated that âwhile it is true that the âevery exposureâ theory does not, by itself, meet the standard for substantial causation in a legal sense, this record is more than sufficient to establish its general scientific legitimacy.â Id. With respect to consolidation, the Superior Court noted that this Court had previously instructed the Philadelphia courts of common pleas to implement procedural measures to handle the volume of mesothelio-ma litigation, Pittsburgh Corning Corp. v, Bradley, 499 Pa. 291, 453 A.2d 314, 317 (1982), and that, as such, it did not have any authority to address procedural issues in this instance âabsent a claim of violation of constitutional rights.â Rost, 2014 WL 2178528, at *12.
This Court granted Fordâs petition for allowance of appeal to consider the following two issues, as stated by Ford:
1. Whetherâcontrary to Howard, Betz, and Greggâa plaintiff in an asbestos action may satisfy the burden of establishing substantial-factor causation by an expertâs*642 âcumulative exposureâ theory that the expert concedes is simply an âany exposureâ theory by a different name[?]
2. Whether the Philadelphia Court of Common Pleasâ mandatory practice of consolidating unrelated asbestos casesâeven where the defendants suffer severe prejudice as a resultâis consistent with the Pennsylvania Rules of Civil Procedure and Due Process; whether consolidation in this case was proper; and whether the Superior Court has the authority to review a trial courtâs case-consolidation decisions in asbestos cases[?]
Allocatur Order, 11/6/2014, at 1.
With respect to the first issue, Ford presents two arguments. For its first argument, Ford contends that this Court has established a bright line rule in mesothelioma products liability cases: namely, that a causation expert may not, when opining on substantial causation, rely on the theory that every exposure to asbestos is substantially causative of the disease. Fordâs Brief at 17. Ford argues that Dr. Frankâs testimony
The Rosts argue, conversely, that Pennsylvania law requires that a plaintiff in a mesothelioma products liability action demonstrate that his or her exposure to asbestos was frequent, proximate and regular, and that a causation expert
Ford asks this Court to enter judgment notwithstanding the verdict in its favor or, alternatively, grant it a new trial. We will reverse a trial courtâs grant or denial of a request for judgment notwithstanding the verdict only when we find an abuse of discretion or an error of law. Reott v. Asia Trend, Inc., 618 Pa. 228, 55 A.3d 1088, 1093 (2012); Dooner v. DiDonato, 601 Pa. 209, 971 A.2d 1187, 1193 (2009). An award of judgment notwithstanding the verdict is appropriate only if, reading the record in the light most favorable to the appellees as the verdict winners, and affording them the benefit of all reasonable inferences, we would conclude that there is insufficient competent evidence to sustain the verdict. Pennsylvania Depât of Gen. Servs. v. U.S. Mineral Products Co., 587 Pa. 236, 898 A.2d 590, 604 (2006). The appellate court must reject all evidence which does not support the verdict. Fitzpatrick v. Natter, 599 Pa. 465, 961 A.2d 1229, 1244 (2008). Regarding Fordâs contention that the prejudice resulting from Dr. Frankâs âany exposureâ testimony entitles it to a new trial, our standard of review is one of abuse of discretion. Bruckshaw v. Frankford Hosp. of City of Philadelphia, 619 Pa. 135, 58 A.3d 102, 106 (2012); Harman v. Borah, 562 Pa. 455, 756 A.2d 1116, 1122 (2000).
We begin with a review of our decisions in Gregg and Betz. In Gregg, the estate of John Gregg, Jr. (âGreggâ), a mesothe-lioma victim, sought to recover against a manufacturer and a supplier of brake products, contending that Gregg had installed and removed brake linings during his lifetime. Gregg, 943 A.2d at 219. The trial court, relying on the Superior Courtâs decision in Eckenrod v. GAF Corp., 375 Pa.Super. 187, 544 A.2d 50 (1988), granted summary judgment, concluding that the record at most supported Greggâs use of asbestos-contain
This Court granted review to consider whether the trial court erred in its application of the Eckenrod âfrequency, regularity, and proximityâ test on motions for summary judgment in mesothelioma cases. Id. at 221. In so doing, we recognized âthe difficulties facing plaintiffs in this and similar settings, where they have unquestionably suffered harm on account of a disease having a long latency period and must prove specific causation under prevailing Pennsylvania law which may be insurmountable.â Id. at 226. Nevertheless, we concluded that these difficulties did not warrant the indulgence âin a fiction that each and every exposure to asbestos, no matter how minimal in relation to other exposures, implicates a fact issue concerning substantial-factor causation in every âdirect evidenceâ case.â Id. at 226-27. As such, we held that an âevery exposureâ generalized opinion does ânot suffice to create a jury question in a case where exposure to the defendantâs product is de minimis....â Id. at 226.
Instead, to permit trial courts to make a reasoned determination at the summary judgment stage as to whether the plaintiff has proffered sufficient evidence to permit a jury to make the ânecessary inference of a sufficient causal connection between the defendantâs product and the asserted injury,â id. at 227, we adopted the âfrequency, regularity, and proximityâ test, as refined and applied by the United States Court of Appeals for the Seventh Circuit in Tragarz v. Keene Corp., 980 F.2d 411 (7th Cir. 1992):
Tragarz explains that these criteria do not establish a rigid standard with an absolute threshold necessary to support liability. Rather, they are to be applied in an evaluative*645 fashion as an aid in distinguishing cases in which the plaintiff can adduce evidence that there is a sufficiently significant likelihood that the defendantâs product caused his harm, from those in which such likelihood is absent on account of only casual or minimal exposure to the defendantâs product. Further, Tragarz suggests that the application of the test should be tailored to the facts and circumstances of the case, such that, for example, its application should become âsomewhat less criticalâ where the plaintiff puts forth specific evidence of exposure to a defendantâs product. Similarly, under Tragarz, the frequency and regularity prongs become âsomewhat less cumbersomeâ in cases involving diseases that the plaintiffs competent medical evidence indicates can develop after only minor exposures to asbestos fibers.
Gregg, 943 A.2d at 225 (citing Tragarz, 980 F.2d at 421) (citations omitted).
In Betz, this Court addressed a trial courtâs decision to exclude âeach and every breathâ expert testimony under principles derived from Frye v. United States, 293 F. 1013 (D.C. Cir. 1923). The expert witness in Betz (Dr. John C. Maddox, M.D.) testified at the Frye hearing that he did not need to know the exposure histories of mesothelioma plaintiffs to offer an opinion on causation âso long as they could establish exposure to a single fiber from each defendantâs product.â Betz, 44 A.3d at 55. We held that the trial court did not abuse its discretion in excluding this expert testimony, as it was âright to be circumspect about the scientific methodology underlying the any-exposure opinionâ because it presented no âcoherent methodology supporting the notion that every single fiber from among, potentially, millions is substantially causative of disease.â Id at 53. âSimply put, one cannot simultaneously maintain that a single fiber among millions is substantially causative, while also conceding that a disease is dose responsive.â
In offering this testimony, however, Dr. Frank never indicated that a single exposure was a substantial cause of Rostâs mesothelioma. Dr. Frank explained to the jury, in some detail, about the dose response relationship between exposure to asbestos and the possibility of contracting mesothelioma. Id. at 82 (âAs the amount of asbestos, as the dose increases, the likelihood of developing a disease increases.â). Dr. Brody offered the same opinion. N.T., 9/20/2011 (AM), at 71. In an amicus brief, fifty-eight physicians and scientists describe the fundamental notion that each exposure to asbestos contributes to the total dose and increases the personâs probability of developing mesothelioma or other cancers as an âirrefutable scientific fact.â Amicus Brief of Fifty-Eight Physicians/Scientists at 2. According to these physicians and scientists, cumulative exposure is âmerely an extension of the ancient concept of dose-response, which is the âoldest maxim in the field.â Id. at 12 (citing Bernard D. Goldstein, Toxic Torts: The Devil is in the Dose, 16(2) J.L. & Polây. 661 (2008)). At the same time,
Similarly, Dr. Frankâs testimony regarding the inability to separate the causative effects of different exposures to asbestos was an effort to convey certain scientific limitations to the jury. Dr. Brody concurred, testifying, âYou canât just pick out one and say, âThis exposure caused this set of errors.â You canât do that. Itâs just not possible,â N.T., 9/20/2011 (AM), at 71.
We must agree with the Rosts that Ford has confused or conflated the âirrefutable scientific factâ that every exposure cumulatively contributes to the total dose (which in turn increases the likelihood of disease), with the legal question under Pennsylvania law as to whether particular exposures to asbestos are âsubstantial factorsâ in causing the disease. It was certainly not this Courtâs intention, in either Gregg or Betz, to preclude expert witnesses from informing juries about certain fundamental scientific facts necessary to a clear understanding of the causation process for mesothelioma, even if those facts do not themselves establish legal (substantial factor) causation. In this case, while Dr. Frank clearly testified that every exposure to asbestos cumulatively contributed to Rostâs development of mesothelioma, he never testified that every exposure to asbestos was a âsubstantial factorâ in contracting the disease.
Instead, by way of, inter alia, the lengthy hypothetical that detailed the entirety of Rostâs exposure to asbestos-containing Ford products while at Smith Motors, Dr. Frank testified that Rostâs actual exposures to asbestos at Smith Motors over three months was substantially causative of his mesothelioma. N.T., 9/19/2011 (AM), at 121. In other words, Dr. Frank did not testify that a single breath of asbestos while at Smith Motors caused Rostâs mesothelioma, but rather that the entirety of his exposures during the three months he worked there caused his disease. In this regard, Dr. Frank stressed
Unlike the expert witness in Betz, who unabashedly offered âeach and every breathâ testimony, in this case Dr. Frank relied upon a generally accepted methodology, taking into consideration exposure history, individual susceptibility, bio
For its second argument in support of its first issue on appeal, Ford contends that this Court in Betz established another test, in addition to âfrequency, regularity, and proximity,â that plaintiffs in mesothelioma cases must meet to establish substantial factor causation. In Betz, this Court noted that the expert in that case (Dr. Maddox) indicated that individual exposures differ âin the potency of the fiber to which an individual is exposed, to the concentration or intensity of the fibers to which one is exposed, and to the duration of the exposure to that particular material.â Betz, 44 A.3d at 56. These considerations, according to Dr. Maddox, go into âtrying to estimate the relative effects of different exposuresâ and are ârequired for causal attrition as a matter of science.â Id. at 56, 58. Based upon this language in Betz, Ford argues that a
Ford misconstrues our decision in Betz for several reasons. First, Betz did not involve any consideration of multiple asbestos exposures or any attempts to parse causally significant exposures from de minimis exposures. Instead, in Betz we addressed a trial courtâs exclusion of âeach and every breathâ expert testimony after a Frye hearing. In so doing, we expressly disregarded the appellantâs contention that we should take into consideration that his four-decade history as an auto mechanic was ânot a case of a de minimis occupational exposure.â Betz, 44 A.3d at 55. We indicated that because the expert (Dr. Maddox) testified that his opinion on causation did not depend upon any knowledge of a plaintiffs exposure history, our consideration of the issue presented would proceed without regard to the appellantâs actual exposure to asbestos. Id. Since no issues associated with multiple exposures were before the Court, Betz could not and did not add a significant new requirement for plaintiffs to establish substantial factor causation in cases involving multiple asbestos exposures. Because the issue was not presented, any attempt to create such an additional legal hurdle would have been mere obiter dicta. See generally Rendell v. Pennsylvania State Ethics Commân, 603 Pa. 292, 983 A.2d 708, 714 (2009) (holding that statements which were âunnecessary to the resolution of the controversyâ were non-binding dicta).
Second, Ford takes the relevant language in Betz, specifically that a âcomparative assessment of impact among
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