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Expert Evidence Report
Volume: 2 Number: 3 February 18, 2002
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"Frye, Frye Again: The Past, Present, and Future of the General Acceptance Test
" by David
E. Bernstein
Since the U.S. Supreme Court's decision in Daubert v. Merrell
Dow Pharmaceuticals Inc., many state courts have shifted their
admissibility analysis from the general acceptance rule of Frye v.
United States to Daubert's reliability test that weighs
multiple factors. But, says law professor David E. Bernstein, even
those states that have stuck with Frye have felt
Daubert's influence.
The case law under Frye, Bernstein says, "is slowly
converging with Daubert jurisprudence." Instead of letting
the process "continue haphazardly and inconsistently,"
Bernstein recommends that "state legislatures should enact state
versions of new Federal Rule of Evidence 702, which explicitly adopts
the Daubert trilogy."
FRYE, FRYE, AGAIN: THE PAST, PRESENT, AND FUTURE OF THE GENERAL ACCEPTANCE TESTDavid
E. Bernstein
|
David E. Bernstein is Associate Professor, George Mason University
School of Law. He can be reached at
deliotb@aol.com. |
Why Frye?
This article begins by reviewing the history of the Frye
general acceptance test for the admissibility of scientific evidence
from its origins in 1923 to its demise in federal court in
Daubert v. Merrell Dow Pharmaceuticals Inc.,in 1993.
This section focuses especially on how the Frye rule, which for
decades applied almost exclusively in criminal cases, came to be the
focal point of the controversy over the admissibility of scientific
evidence in toxic tort cases in the early 1990s.
Next, the article discusses the development of the Frye test
since 1993. Despite Daubert, Frye has remained the
plurality rule in state courts. Following the lead of federal courts
operating under Daubert's broad gatekeeper mandate, Frye
jurisdictions are increasingly applying the general acceptance test to
scientific evidence in civil cases, especially toxic tort cases.
However, Frye jurisdictions are divided regarding whether the
general acceptance test applies primarily to the expert's general
methodologies or must be applied to the expert's conclusions.
Recently, several courts have followed the Supreme Court's lead in
General Elec. Co. v. Joiner. Instead of focusing on the
methodologies-conclusions distinction, these courts have scrutinized
experts' reasoning process. Meanwhile,most Frye jurisdictions
do not apply the general acceptance test to nonscientific evidence,
although some Frye courts apply a Kumho Tire-like
reliability test to such evidence.
This article concludes that case law under Frye is slowly
converging with Daubertjurisprudence. Rather than allowing this
process to continue haphazardly and inconsistently, state legislatures
should enact state versions of new Federal Rule of Evidence 702, which
explicitly adopts Daubert and its progeny.
The Supreme Court's expert evidence trilogy--Daubert v. Merrell
Dow Pharmaceuticals
Inc.,1 General
Electric Co. v.
Joiner,2 and Kumho
Tire Co. v.
Carmichael3--has
received a tremendous amount of attention, and rightly so. These cases
dramatically tighten the rules for the admissibility of expert
evidence in federal courts and in states that have adopted the
trilogy.4 Daubert
held that scientific evidence must be subjected to a reliability test;
Joiner concluded that under Daubert, district courts may
scrutinize the reliability of an expert's reasoning process as well as
the general methodology; and Kumho Tire extended
Daubert's reliability test to nonscientific expert
evidence.
Daubert superseded in federal and some state courts the
"general acceptance test" introduced to the common law in
Frye v. United
States.5 Most
commentators have since largely ignored Frye. While
Daubert and its progeny have been the subject of dozens of law
review articles, commentary on Frye is mainly limited to the
occasional bar journal or CLE article.
While legal scholars seem convinced of Frye's
irrelevance,6 the case law
tells a different story. Many jurisdictions continue to adhere to
Frye, including
Alabama,7
Arizona,8
California,9
Colorado,10 the District
of Columbia,11
Florida,12
Illinois,13
Kansas,14
Maryland,15
Michigan,16
Minnesota,17
Mississippi,18 New
Jersey,19 New
York,20
Pennsylvania,21 and
Washington.22 These
jurisdictions include the most populous states (save Texas and Ohio)
in the United States and together contain almost half of the American
population.23 Meanwhile,
many of the non-Frye states have not adopted
Daubert.24
Fryeis thus not only alive, but it is the plurality rule in
state courts, which are the venue for the vast majority of
litigation.
Although the general acceptance test originated in 1923, many
issues concerning its application remain unsettled. As discussed
below, confusion over the scope of Frye has mushroomed in the
last decade, coinciding with more general interest in the issue of the
proper standards for the admissibility of expert evidence.
Part I of this article briefly reviews the history of the
Frye rule from its origins in 1923 to its demise in federal
court in Daubert in 1993. This section focuses especially on
how general acceptance--a test that for decades applied almost
exclusively in criminal cases--came to be the focal point of the
controversy over the admissibility of scientific evidence in toxic
tort and products liability cases in the early 1990s.
Part II discusses the development of the Frye test since
1993. Following the lead of federal courts operating under
Daubert's broad gatekeeper mandate, Frye jurisdictions
are increasingly applying their tests for the admissibility of expert
evidence to civil cases, especially toxic tort cases. However,
Frye jurisdictions remain divided on whether the general
acceptance test applies not only to an expert's general methodologies,
but also to his conclusions. Recently, several Frye courts have
followed Joiner's lead and scrutinized experts' reasoning
process in extrapolating or drawing inferences from the underlying
scientific evidence to reach their conclusions.
Meanwhile, Frye jurisdictions also must decide whether to
follow the lead of Kumho Tire and apply the general acceptance
test to nonscientific evidence, especially social science evidence.
Thus far, few Frye courts have done so, except with regard to
certain types of psychological evidence. An alternative adopted by
some courts is to apply the general acceptance test only to novel
scientific evidence, but to subject social science evidence to a
separate reliability test under state versions of Federal Rule of
Evidence 702.
Case law under Frye is slowly
converging with Daubert jurisprudence.
Part III of this article concludes that case law under Frye
is slowly converging with Daubert jurisprudence. Rather than
allowing this process to continue haphazardly and inconsistently, with
all the awkwardness that shoehorning the Frye general
acceptance test into the Daubert-Joiner-Kumho framework
entails, state legislatures should enact state versions of new Federal
Rule of Evidence 702, which explicitly adopts the Daubert
trilogy.
A BRIEF HISTORY OF FRYE: 1923-1993
A. Before the Federal Rules
In Frye v. United
States,25 the District
of Columbia Court of Appeals upheld the trial court's refusal to admit
evidence that was based on a forerunner of the modern lie detector
test. In a pithy opinion, the court of appeals announced that
"while courts will go a long way in admitting expert testimony
deduced from a well-recognized scientific principle or discovery, the
thing from which the deduction is made must be sufficiently
established to have gained general acceptance in the particular field
in which it
belongs."26
The Frye general acceptance test gradually
spread.27 While evidence
scholars have pointed out that Frye was cited only a few dozen
times in published cases through the 1960s, the dearth of citations to
Frye does not mean that courts ignored it. First, some courts
adopted the general acceptance test without citing
Frye.28 Second,
Frye applied only to novel scientific techniques. There were
few major advances in forensic criminal evidence during this period
that courts did not quickly accept. Moreover, few courts considered
the types of expert scientific evidence presented in a typical civil
case--for example, an automobile accident or medical malpractice
case--to be based on a novel scientific technique within the meaning
of the Frye rule.29
Finally, most state court opinions, particularly at the trial court
level, are unpublished, and we do not know how often Frye was
relied upon in cases that did not reach higher courts.
Indeed, despite the dearth of published authority citing
Frye, by 1954 the general acceptance test was sufficiently
conspicuous to attract criticism from Professor Charles McCormick's
treatise on evidence. Professor McCormick wrote that the general
acceptance test "is a proper condition upon the court's taking
judicial notice of scientific facts, but not a criterion for the
admissibility of scientific
evidence."30 To
replace Frye, McCormick advocated what became known as the
relevancy approach:31
"Any relevant conclusions which are supported by a qualified
expert witness should be received unless there are other reasons for
exclusion. Particularly, its probative value may be overborne by the
familiar dangers of prejudicing or misleading the jury, unfair
surprise and undue consumption of
time."32 In other
words, expert testimony is presumptively admissible if the expert
presenting the testimony has appropriate credentials. Any flaws in the
expert's testimony are a matter for jury consideration.
B. From the Federal Rules to Daubert
The Federal Rules of Evidence, which went into effect in 1975,
failed to clarify the standard for admitting novel scientific
evidence. Rule 702 states that any qualified expert who possesses
"scientific, technical, or other specialized knowledge {that}
will assist the trier of fact to understand the evidence or to
determine a fact in issue" may testify at
trial.33 Neither the Rules
nor the Advisory Committee notes discussed the viability of
Frye.34
Frye became a major issue in evidence circles around the
same time the Federal Rules came into effect, as courts began to rule
on the admissibility of novel forensic scientific evidence such as
"voiceprint" identifications, bite mark comparisons, and
hypnotically refreshed
testimony.35 Forensic
science became more important to prosecutors both because of
technological advances, and because decisions by the United States
Supreme Court in the 1960s favoring the rights of the accused made it
more difficult for prosecutors to use other types of
evidence.36
This period also marked the beginning of an era of the
federalization of criminal law, when the federal government began to
prosecute crimes that had once been solely the responsibility of the
states.37 The Frye
rule, which originated in a federal court opinion, naturally began to
attract increased attention.
Commentators began to attack Frye on a variety of grounds.
Some argued that Frye was too conservative in restricting
evidence that had not yet received "general
acceptance."38 Others
were unhappy with Frye's vagueness. The opinion does not define
"general acceptance" or the "particular field's"
boundaries, nor does it suggest whether the judge should defer to the
scientific community or use another standard to resolve these
uncertainties.39 Confusion
among judges on these issues led to contradictory Frye rulings
in different jurisdictions concerning the same types of
evidence.40
Immediately after the Federal Rules went into effect, some courts
in jurisdictions adopting the rules utilized McCormick's relevancy
approach, discussed above, which focused mainly on a proffered
expert's qualifications. Most courts, however, continued to apply the
Frye general acceptance test for screening expert scientific
evidence.41 In the ensuing
years, a third approach, focusing on the underlying reliability of
expert testimony, also began to win
adherents.42 Several
influential commentators suggested lengthy lists of factors that
courts should examine to determine
reliability.43
As debate grew over the merits of Frye, the relevancy
approach, and the reliability approach with regard to forensic
criminal evidence, courts faced a new evidentiary challenge--toxic
tort litigation. Some courts applied a reliability test to such
evidence.44 Other courts
applied something akin to a relevancy
test.45 Until 1988, no
court applied Frye--which was mainly limited to forensic
evidence in criminal trials--in a toxic tort case.
Most courts ultimately admitted dubious testimony, even when they
purported to apply a seemingly strict reliability
test.46 Frustrated critics
of "junk science" in civil cases quickly lost patience with
the reliability approach. Many junk science critics instead argued
that courts should apply a strict version of the Frye test in
toxic tort cases.47 They
noted that several courts had reformulated Frye in criminal
cases to ensure that Frye addressed the underlying reliability
and validity of expert scientific
opinion,48 and that some
of the worst judicial offenders in permitting junk science had done so
after explicitly rejecting the general acceptance
test.49 Moreover,
Frye advocates were heartened by a Sixth Circuit decision
excluding "clinical ecology" testimony because it was not
generally accepted in the relevant scientific community, although the
court did not cite
Frye.50
The Fifth Circuit, en banc, soon boldly applied Frye in the
toxic tort context in Christophersen v. Allied-Signal
Corp.51 The
plaintiff's expert had claimed that exposure to chemical fumes at the
battery manufacturing plant where the decedent had worked caused his
fatal colon cancer. The Fifth Circuit adopted a four-part test for the
admissibility of scientific evidence that included the Frye
rule.52 Scientific
testimony could not be admitted until the court ensured that the
expert's methodology was widely accepted, with "methodology"
interpreted broadly to include
reasoning.53 The court
ultimately concluded that the methodology or reasoning that the
plaintiff's expert had used to arrive at his conclusion was not
generally accepted within the relevant scientific community, and
therefore excluded the
testimony.54
A few months after the Fifth Circuit decided Christophersen,
Peter Huber's Galileo's Revenge: Junk Science in the Courtroom
appeared.55 Huber's book
described the misuse of scientific evidence in a range of civil cases.
The book attracted a great deal of attention and made the issue of
"junk science" into a matter of public debate. A consistent
theme of the book was that to avoid the risk of being bamboozled by
fringe scientists, courts should defer to mainstream scientific
opinion when reviewing scientific evidence. To combat "junk
science," Huber strongly advocated "a sophisticated, modern
application of Frye {that} looks to the methods behind a
scientific
report."56
It did not take long for Huber's influence to be felt. In December
1991, the Ninth Circuit decided Daubert v. Merrell Dow
Pharmaceuticals Inc.57
Daubert involved two boys born with tragic birth defects that
reduced the size of their limbs. Their parents sued the manufacturer
of the morning sickness drug, Bendectin, alleging that the mothers'
use of the drug during pregnancy caused the deformities. The problem
facing the plaintiffs was that the defendant presented the trial court
with a large body of epidemiological studies showing that babies
exposed to Bendectin in utero do not have a higher rate of limb
reductions than those not exposed.
The plaintiffs countered by presenting experts who testified that
based on their reanalyses of the data used in one or two of those
epidemiological studies, they believed that Bendectin does cause birth
defects. The district court, relying on a dubious interpretation of
Federal Rule of Evidence
703,58 found this evidence
inadmissible and granted summary judgment for the
defendant.59
The Ninth Circuit
affirmed.60 The court
began by noting that Frye was the test for the admissibility of
scientific evidence in the Ninth
Circuit.61 Like Huber,
whose discussion of Frye overlooked the historical neglect of
the general acceptance test in civil cases, the court simply ignored
the fact that the general acceptance test had never previously been
applied in a civil case in the Ninth Circuit, and had only been
applied twice before in the toxic tort context in other
jurisdictions.
The court noted that the plaintiffs' experts had not submitted
their reanalyses to peer review or published them in a scientific
journal.62 Citing Huber,
the court held that because the work was not "subjected to
verification and scrutiny by others in the field," it would not
be accepted in the scientific
community.63
The Ninth Circuit's Daubert opinion quickly gained notoriety
for its strong reliance on Frye to exclude evidence in a toxic
tort case. The U. S. Supreme Court granted certiorari to decide
whether Frye was still viable under the Federal Rules,
particularly Rule 702.
II. FRYESINCEDAUBERT
The Supreme Court's decision in Daubert repudiated the Ninth
Circuit's view that Frye was viable under the Federal Rules of
Evidence.64 However, while
the Ninth Circuit lost the battle, it won the war. The Ninth Circuit
was only the third court to apply Frye to a toxic tort or
products liability case, and one of the few courts to adopt a
stringent standard for the admissibility of scientific evidence in
civil cases.65 The Supreme
Court nevertheless endorsed the Ninth Circuit's view that scientific
evidence in civil cases must be strictly scrutinized to ensure
reliability. As Michael Green notes, "{t}o say that the Supreme
Court replaced Frye in its Daubert opinion is
misleading. What the Court did in Daubert was to adopt a test
for scrutinizing an expert's methodology and reasoning that filled a
previously extant
void."66
The stringent criteria established by the
Daubert trilogy have helped to cause a welcome expansion and
tightening of the general acceptance test in Frye
jurisdictions.
While the Frye controversy ultimately led to the creation of
an invigorated and expanded reliability test in
Daubertjurisdictions, the stringent criteria established by the
Daubert trilogy have helped to cause a welcome expansion and
tightening of the general acceptance test in Frye
jurisdictions. As noted above, before 1991 only one reported opinion
applied the general acceptance test in a toxic tort or products
liability case.67 By
contrast, most courts in Frye jurisdictions today apply the
general acceptance test in such contexts.
Meanwhile, Frye courts are struggling over whether the
general acceptance test applies to general methodologies only,
methodology and reasoning, or to an expert's ultimate conclusions.
Courts in Frye jurisdictions are beginning to follow the
Supreme Court's lead in General Electric Co. v.
Joiner68 and hold that
an expert's methodology andreasoning should be scrutinized.
Finally, most courts in Frye jurisdictions refuse to apply
the general acceptance test to social science
evidence.69 In the
aftermath of Kumho Tire, however, courts should, and are likely
to, apply Frye or some other form of gatekeeping test to
nonscientific expert evidence.
A. Fryeand Civil Cases
As a result of Daubert, the general acceptance test is
expanding its reach in Frye jurisdictions to civil
litigation.70 In part,
Frye's expansion is a direct result of the publicity
surrounding the Ninth Circuit's application of Frye to a toxic
tort products liability case in its original Daubert opinion.
That opinion, though overruled by the Supreme Court on other grounds,
has inspired state courts to apply Frye in civil
cases.71 More generally,
the attention given to the Supreme Court's focus on the trial court's
role of gatekeeper of all scientific evidence to prevent the
proliferation of junk science has made the limitation of Frye
to criminal cases seem outmoded.
Since the early 1990s, courts have appliedFrye in products
liability and toxic torts cases in
Arizona,72
California,73 the District
of Columbia,74
Florida,75
Illinois,76
Maryland,77
Minnesota,78 New
York,79 and
Pennsylvania.80 After
Daubert, no state has explicitly held that Frye is not
applicable to evidence in products liability and toxic torts
cases.81
In California, the largest Frye jurisdiction, there are no
reported cases applying Frye to toxic tort or products
liability cases,82 and
pre-Daubert opinions suggest that Frye would rarely if
ever be applicable to personal injury
litigation.83 It is
nevertheless likely that in the wake of the U.S. Supreme Court's
expert evidence trilogy, California will follow other states and apply
Frye to civil cases. Already, one trial court has excluded
evidence in a breast implant case because it failed to meet the
Frye test.84 This
court stated that in California "'the proponent of evidence must
demonstrate that correct scientific procedures were used in the
particular case,'" and that "expert opinions must emanate
from and be centered and grounded in what is current and predominant
in the scientific
'marketplace.'"85 The
court drew no distinction between civil and criminal cases.
The trend of Frye's application in civil cases is a positive
development. After all, "{t}he same concerns for reliability that
led to the adoption and application of Frye in criminal cases
'are no less present because the action is civil in
nature.'"86 However,
Frye's applicability to tort cases is not yet firmly
established. Of the cases cited above, only the Minnesota and
Pennsylvania cases were decided by a state's highest court, and the
Pennsylvania Supreme Court suggested that it might abandon Frye
in favor of Daubert in the
future.87 Other courts may
be reluctant to apply Frye in toxic tort and products liability
cases for fear of excessively raising the evidentiary barrier for
plaintiffs.88
Yet, ensuring the reliability of expert evidence is particularly
important in products liability and toxic tort cases, where the
economic stakes to the parties and to society are extremely high. The
risk of rejecting a valid plaintiffs' claim is a problem, but
certainly no more so than the risk of driving safe products and
substances--the Bendectin example comes to mind--off the market. The
only way to protect society's overall interests in toxic tort and
products liability litigation is to enforce a standard that ensures
the reliability of expert evidence, whether that standard be
Daubert's reliability test or the Frye general
acceptance test. As Justice Breyer wrote in his concurring opinion in
Joiner:
{M}odern
life, including good health as well as economic well-being, depends
upon the use of artificial or manufactured substances, such as
chemicals. And it may … prove particularly important to see that
judges fulfill their Daubert gatekeeping function, so that they
help assure that the powerful engine of tort liability, which can
generate strong financial incentives to reduce, or to eliminate,
production, points toward the right substances and does not destroy
the wrong
ones.89
B. Frye's Methodology, Conclusions, and
Reasoning
After Daubert was decided, some judges and legal scholars
argued that the decision required courts to limit themselves to
determining whether a scientific expert witness was relying on studies
that used a methodology appropriate for inquiry into the general
subject at issue.90 Others
maintained that courts should also review the expert's reasoning in
extrapolating from those studies to their testimony on causation or
other issues.91 This
debate was put to rest by the Supreme Court's opinion in
Joiner.92
Joiner acknowledged that under Daubert, district
courts must focus on principles and methodology, and not on the
conclusions that they generate. However, the Court added,
"conclusions and methodology are not entirely distinct from one
another."93
"Trained experts," it is true, "commonly extrapolate
from existing data. But nothing in either Daubert or the
Federal Rules of Evidence requires a district court to admit opinion
evidence that is connected to existing data only by the ipse dixit of
the expert. A court may conclude that there is simply too great an
analytical gap between the data and the opinion
proffered."94 The
Joiner Court suggested that lower courts should refuse to
accept "any conclusion that good science does not permit to be
drawn from the underlying
data."95 To do so,
the court must ensure "that every step in the expert's
reasoning process" is "grounded in good
science."96
A similar controversy has swirled around the Frye rule.
California has long required under its version of Frye that the
proponent of scientific evidence demonstrate both that the methodology
used by the expert is generally accepted, and "that correct
scientific procedures were used in the particular
case."97 Several
other courts adopted this version of the Frye rule as well,
mainly in the context of DNA
testing,98 while others
rejected it in favor of a general methodologies only
approach.99
In Christophersen v. Allied-Signal
Corp.,100 the Fifth
Circuit applied Frye in a way that anticipated the Supreme
Court's ruling in Joiner. The Fifth Circuit found that while an
expert's conclusions need not be generally accepted, the methodology
by which the expert arrived at them must be. Methodology, in this
context, meant not only the type of scientific study relied upon, but
also the expert's mode of reasoning. Christophersen states that
if the expert's mode of reasoning in reaching his conclusion is not
one "sufficiently established to have gained general acceptance
in the particular field in which it belongs," then the expert's
testimony must be
excluded.101 Moreover, if
the expert offers "no more than theoretical speculation, then
well-founded methodology and reasoning may not alone
suffice."102
Since Christophersen, state courts in Frye
jurisdictions faced with motions to exclude expert evidence in toxic
tort and product liability cases have ruled inconsistently on the
methodology-conclusion issue. In contrast to the focus on the
challenged expert's reasoning process in Christophersen and
Joiner, several courts have held that only the expert's
underlying methodology must be generally
accepted,103 while others
also have examined the general acceptance of the expert's ultimate
conclusions.104
Neither rule of these rules is satisfactory. Allowing testimony
based solely on the acceptance of an expert's general methodology
risks opening the floodgates to junk science. Epidemiology, DNA
testing, and other methodologies are generally accepted by the
scientific community, but only if the relevant studies or tests are
conducted properly, and only if the person relying on the methodology
has extrapolated (or reasoned) in a generally accepted way from the
study or test results to a
conclusion.
Sound testimony should not be excluded
simply because the expert presenting it is the first to endorse a
particular conclusion.
Meanwhile, courts risk depriving the jury of a great deal of
helpful information if they require experts to prove that specific
conclusions are generally accepted. A scientist could conduct his
research appropriately and extrapolate from it and other research in a
generally accepted way, yet be the first to reach a particular
conclusion relevant to a particular case. This is especially likely in
toxic tort litigation, where issues not of general interest to the
scientific community often are presented. Sound testimony should not
be excluded simply because the expert presenting it is the first to
endorse a particular conclusion.
Fortunately, several Frye jurisdictions recently have
rejected both the general-methodologies-only and the conclusions
approaches. Courts in these jurisdictions have focused instead on the
expert's reasoning
process.105 This trend
owes its emergence in part to Joiner, which, as discussed
above, suggested that courts should focus on how an expert uses his
methodology to reach the conclusion at issue.
For example, in Lofgren v. Motorola
Inc.,106 an Arizona
trial court explicitly cited Joiner in rejecting the
methodology-conclusion distinction, instead holding that it must
scrutinize an expert's reasoning process. The court proceeded to
exclude under Frye evidence that exposure to trichloroethylene
caused various diseases among the plaintiffs. The plaintiffs' experts
relied primarily on epidemiology, which the court acknowledged was, in
a general sense, an appropriate methodology for determining whether
exposure to a substance can cause disease. However, the court
concluded that "no studies either epidemiological or animal
… demonstrate {that} TCE, in the absence of other chemicals or
in doses either similar to those at issue in this case or demonstrated
through reliable scientific theory to be an appropriate extrapolation
from existing studies, can be linked to any of the diseases at issue
in this case at low level, environmental doses of
TCE."107 Moreover,
the plaintiffs' experts failed to explain the non-applicability of
studies showing no such link at even higher doses than those at
issue.108
Similarly, in Blum v. Merrell Dow Pharmaceutical
Inc.,109 a
Pennsylvania appellate court, discussing the admissibility of evidence
that Bendectin causes birth defects, stated that "we do not ask
whether the expert's conclusions regarding the teratogenic
effects of Bendectin are generally accepted. Rather, we consider the
'underlying principle' which must be generally accepted to be that the
methods used by the experts to arrive at their conclusions actually
give an accurate prediction of human
teratogenicity."110
The court concluded that the underlying scientific principle of the
plaintiffs' expert testimony was not generally accepted in the
relevant scientific community.
In Goeb v.
Tharaldson,111 the
Minnesota Supreme Court held that under its version of Frye, a
novel scientific technique must not only be generally accepted in the
relevant scientific community, but "the particular evidence
derived from that test must have a foundation that is scientifically
reliable."112 Thus,
the court determined that evidence linking exposure to an insecticide
to various injuries was properly excluded because neither of
plaintiffs' experts arrived at their opinions on causation through
reliable means.113
A New York trial court, meanwhile, excluded testimony in Lara v.
New York City Health & Hospitals
Corp.,114 a medical
malpractice case, on the grounds that the plaintiff's expert failed to
show that his causation theory for cerebral palsy was generally
accepted in the field of child neurology and also failed to show that
his conclusion "was based on any scientifically valid
methodology."115 The
court cited Joiner for its position that it need not admit
opinion evidence not supported by existing
data.116
The opinion in a Frye jurisdiction most explicitly focusing
on an expert's reasoning rather than just his general methodology is
E.I. DuPont De Nemours & Co. v. Castillo ex rel.
Castillo.117 Plaintiff
claimed that exposure to the fungicide Benlate caused a child's birth
defects. Plaintiff's expert relied on in vivo and in vitro tests,
which DuPont acknowledged are generally accepted methods for analyzing
the toxicity of a chemical such as Benlate. However, DuPont contended
that the expert's direct extrapolation from the test data to the
conclusion that a substance is a human teratogen is not generally
accepted. The plaintiff responded that when an expert's opinion is
based upon generally accepted scientific principles and methodology,
it is not necessary that the basis for the expert's opinion be
generally accepted as well.
The court disagreed, holding that "where, as here, plaintiffs
wish to establish a substance's teratogenicity in human beings based
on animal and in vitro studies, the methodology used in the studies,
including the method of extrapolating from the achieved results, must
be generally accepted in the relevant scientific
community."118 The
court ultimately concluded that the "direct extrapolation
method" used by the plaintiffs' experts was not generally
accepted, and therefore the testimony should be
excluded.119
Courts that insist on examining the acceptance of experts'
reasoning are obviously not inclined to limit Frye to
novel techniques, as some jurisdictions still purport to do.
Frye should in fact be applied to non-novel techniques because
even an established technique can be used in an unaccepted, unreliable
way. Thus, a New York trial court in Selig v. Pfizer,
Inc.,120 explicitly
rejected the view that Fryedoes not apply when an expert's
testimony is not "based on outwardly novel scientific
technique."121
Rather, Frye must be applied to determine whether an expert
reaches his conclusions by "accepted scientific methods,"
particularly when the conclusions are
novel.122 Such opinions
bring Frye ever closer to Daubert and Joiner.
C. Fryeand Nonscientific Expert Evidence
Many courts continue to hold that Frye only applies when an
expert is relying on a scientific technique or
test.123 These Frye
jurisdictions hold that the general acceptance test does not apply to
expert opinion testimony based on knowledge and experience, even if
the opinion has an underlying scientific basis, because no technique
or test is involved.124 In
Florida Power & Light Company v.
Tursi,125 for example,
the Florida Court of Appeals held that testimony by an ophthalmologist
that a cataract was caused by exposure to transformer fluid is not
subject to Frye.126
Likewise, in Owens Corning v.
Bauman,127 the
Maryland Court of Appeals held that a physician may testify regarding
the growth rate of mesothelioma based on his training and his
experience with 2,500
cases.128
Meanwhile,Frye also is not generally applied to social
science evidence, with the exception of what Professor Michael Graham
calls "social science explanative theories," such as
eyewitness identification, hypnotic recollection, post traumatic
stress disorder, battered wife syndrome, and child sexual abuse
syndrome.129 Frye,
for example, is rarely applied to testimony by
economists.130
The underlying rationale behind the limitation of Frye to
scientific evidence is that scientific evidence, unlike other expert
evidence, may "appear infallible to the average
juror,"131 especially
if it is based on a seemingly objective test or device. By contrast,
juries are assumed to understand that testimony based on experience or
based on social science data is fallible. "{A}bsent some special
feature which effectively blindsides the jury," the California
Supreme Court suggests, special screening of expert testimony is not
necessary.132
However, the potentially intimidating effect of scientific
testimony on the jury is not the primary or appropriate modern
rationale for special, strict rules for the admissibility expert
testimony. The important dividing line is not between scientific and
nonscientific testimony, but between lay witnesses and experts.
Learned Hand summed up a problem with experts one hundred years ago:
"{H}ow can the jury judge between two statements each founded
upon an experience confessedly foreign in kind to their own? It is
just because {jurors} are incompetent for such a task that the expert
is necessary at
all."133 Courts
therefore have a duty to ensure that experts are presenting reliable
testimony.
This obligation is especially acute because unlike ordinary fact
witnesses, who typically come from a very limited pool of witness,
there is usually an almost unlimited pool of experts. For example,
many qualified experts could testify in a typical medical malpractice
case. While attorneys are stuck with the testimonial limitations of
the available fact witnesses, an attorney who needs an expert can
"shop" for an expert with a pleasing courtroom manner who
will agree with the attorney's theory of the
case.134
Instead of being the vanguards of strict
scrutiny of scientific evidence, Frye courts are stretching
Frye beyond its original boundaries in a struggle to keep up
with Supreme Court precedents.
Some of these potential expert witnesses will be venal "hired
guns." As Judge Jack Weinstein has noted, "{a}n expert can
be found to testify to the truth of almost any factual theory, no
matter how
frivolous."135
Ordinary fact witnesses may also have their biases, but attorneys can
only take advantage of these biases if the witnesses already exist;
they cannot normally shop for an ordinary fact witness. By contrast,
attorneys can seek expert witnesses who will parrot the attorneys'
line, and, indeed, implicitly "bribe" them to do
so.136
Moreover, ordinary biases, such as a familial or friendly
relationship to one of the parties, can typically be brought out on
cross-examination.137 Some
authorities have argued that cross-examination will also reveal an
expert witness' bias to the
jury.138 However, it not
at all clear how opposing counsel can discredit a "hired
gun" expert for taking money for his testimony, given that
opposing counsel will have his own expert--who may be scrupulously
honest--on his payroll.
In any event, even if the biases of hired guns can be revealed
through cross-examination, that does not resolve the problems caused
by expert-shopping. Not all, and perhaps not even most experts who
testify to opinions outside the mainstream of their field are venal
hired guns. Our system assumes, perhaps optimistically, that the jury
can determine if an expert is lying. But what if the expert is simply
shading the truth? Or, even more likely, what if the expert is simply
eccentric or outside the mainstream? Parties have every incentive to
hire "outlier" experts with sincere but extreme views so
long as they can conceal the outlier status. There is no reason to
hire an expert, for example, who will tell the jury that a client's
losses are worth $150,000 if an attorney can find an equally credible
expert willing to testify that the true figure is $300,000. Moreover,
there is no ethical obligation on attorneys to hire mainstream
experts. Indeed, their duty to zealously advocate for their clients
may require them to hire outliers if it would help their
client's case.139
The Supreme Court implicitly recognized these dynamics when it held
in Kumho Tire that all expert testimony, not just
scientific testimony, must be subjected to a reliability test.
Frye, however, is so closely associated with scientific
techniques and tests that few courts have broadened its traditional
focus on criminal forensic techniques beyond certain types of
psychiatric or psychological evidence and the toxic torts and products
liability contexts.140
Instead, some Frye jurisdictions are expanding their trial
courts' gatekeeper role by applying a Daubert-like reliability
test under their state evidence codes or common law to expert
testimony not subject to Frye. The Illinois Court of Appeals,
for example, has held that even non-novel scientific evidence is
subject to a reliability
test.141 The Maryland
Court of Special Appeals has insisted that an expert may not testify
on any subject "unless there is a sufficient basis" beyond
the common knowledge of the jury "upon which to support his
conclusions."142 A
New York trial court, meanwhile, has explicitly adopted the
Daubert test for nonscientific evidence in Wahl v. American
Honda Motor Co.143 The
court held that Frye was not applicable to engineering
testimony based on "recognized technical or other specialized
knowledge."144
Instead it applied "the reliability standard as derived from
Daubert and Kumho
Tire."145
III. REPLACE FRYE WITH FEDERAL RULE 702
Many Fryestates reaffirmed their allegiance to Frye
very soon after Daubert was decided. At that time, many
commentators (incorrectly) believed that Daubert was a weaker
test than Frye, a belief that explicitly influenced some
courts' decision to retain
Frye,146 and
undoubtedly implicitly influenced other
courts.147
Yet as some commentators
predicted,148
Daubert, particularly as extended by Joiner and Kumho
Tire, has become a far broader and stricter test than Frye
ever was. As discussed in Part II, instead of being the vanguards of
strict scrutiny of scientific evidence, Frye courts are
stretching Frye beyond its original boundaries in a struggle to
keep up with Supreme Court precedents. A better solution would be for
Frye jurisdictions to adopt amended Federal Rule of Evidence
702, which incorporates the holding of the Supreme Court's expert
evidence trilogy.149
Frye should be replaced by the trilogy for several reasons.
First, the trilogy makes it clear that the trial court must serve as
gatekeeper of expert evidence in civil as well as criminal cases. By
contrast, as discussed above, only Minnesota has unambiguously held
that Frye applies in civil cases. Moreover, even in states
where courts have begun to apply Frye in civil cases, social
science and experience-based experts are still given free reign. The
Daubert trilogy, by contrast, requires that trial courts
exercise their gatekeeping responsibility with regard to all
expert evidence.
The second reason states should adopt the Daubert trilogy is
that Joiner requires courts to scrutinize an expert's
reasoning, not just the general methodology. As discussed above, many
Frye jurisdictions only scrutinize an expert's general
methodology for general acceptance, regardless of how it is used in
the particular case. In many cases such scrutiny amounts to little
more than a let-it-all in rule. Plaintiffs' attorneys with dubious
expert testimony are therefore advised by their peers to "stay
out of federal court and thus avoid Daubert" whenever
possible.150 State
courts--particularly those that were initially concerned that
Daubert established too liberal a test for the admissibility of
expert evidence--assumedly do not want to be the dumping grounds for
junk science. Adopting the Daubert trilogy would also correct
the error of courts that exclude expert testimony where the
conclusions are not generally accepted, even if the expert's
methodology and reasoning is sound.
Third, Frye courts are not handling nonscientific expert
evidence well. Some courts then apply a let-it-all-in approach to
nonscientific evidence, others attempt to apply Frye to such
evidence even where "general acceptance" has little if any
meaning, while a growing number of courts are applying a separate
reliability test to nonscientific evidence. The result is confusion at
best, and a proliferation of unreliable "nonscientific"
evidence at worst. As three justices of the Nebraska Supreme Court
have observed, "{a}doption of the Daubert/Kumho Tire
standards . . . both encourages the trial court to act as gatekeeper
and places that function in the context of a sensible and uniform
scheme for the evaluation of all types of expert opinion
testimony."151
Fourth, even if the Frye rule were to evolve into a modern,
sophisticated test that applies to all expert testimony and focuses on
an expert's reasoning,152
Daubert's flexible approach focusing on reliability is superior
to Frye's narrow focus on general
acceptance.153 If courts
are to scrutinize expert testimony for reliability, they should do so
directly, through a reliability test, rather than use general
acceptance as a proxy. Frye occasionally can lead to the
exclusion of scientifically reliable evidence that is too novel to
have received such acceptance. More frequently, Frye leads to
the admission of evidence that has never been shown to be reliable,
but is generally accepted by a subgroup of experts who specialize in
the forensic field in
question.154 Many forensic
tests are generally accepted by those who conduct and interpret the
tests, but these methods never have been subject to independent
verification.155 Thus,
contrary to the assertions of several
courts,156 evidence that
is admissible under Frye should frequently be excluded under
Daubert.
If courts are to scrutinize expert testimony
for reliability, they should do so directly, through a reliability
test, not by using general acceptance as a proxy.
Fifth, courts too often use the Frye rule to avoid grappling
with the quality of the scientific evidence before them. As the New
Mexico Supreme Court has pointed out, while in theory Frye
requires courts to defer to the views of the scientific community,
"in practice too many courts reference reported case law to
determine what is generally accepted in the scientific community. It
is improper to look for scientific acceptance only from reported case
law because that amounts to finding a consensus in the legal community
based on scientific evidence that is sometimes many years
old."157
Finally, courts have yet to resolve the ambiguities inherent in the
Fryetest, such as how to determine the relevant field, whether
"general acceptance" requires a consensus, a majority, or a
significant minority, and whether the quality as well as the quantity
of the majority and minority's views should be taken into
account.158
About a decade ago, critics of "junk science" advocated
the adoption of a version of the Frye general acceptance test
that was much stricter and broader than the test applied in any actual
Frye jurisdiction. So successful were these critics in
associating Frye with strict scrutiny that many courts and
commentators thought Daubert was a defeat for the opponents of
junk science because Frye was overruled. Ironically, several
courts adopted Daubert at least in part because they thought it
was more liberal than Frye, while other courts retained
Frye in what they thought was an attempt to combat junk
science.
In fact, Frye as actually applied a decade ago was a rather
limited, narrow test that barely restricted junk science in criminal
cases, and was rarely applied in civil cases. The tests established by
the Daubert trilogy are much more like those advocated in the
anti-junk science classic Galileo's Revenge than was the
Frye rule as applied in most courts circa 1991. Daubert,
then, is more like the aspirational Frye test advocated by junk
science critics than Frye itself ever was.
Over the last few years, however, Frye has started to mature
into the type of test that critics of junk science advocated a decade
ago. In another irony, this change has come about mainly because of
the influence of the Daubert trilogy, which itself only exists
because of the overruling of Frye in federal courts.
Nevertheless, Frye has by now lost its utility, as least in
comparison to the Daubert trilogy. While federal courts
gradually learn to implement the Daubert trilogy, case law
under Frye is in chaos with Frye jurisdictions often
looking to federal Daubert precedents as guidance.
As discussed above, there are several reasons Frye should be
replaced with the Daubert trilogy. At the same time, there are
no convincing reasons to retain Frye, especially given that
general acceptance is a factor that may be considered under the
Daubert test. After a distinguished and controversial career,
Frye v. United States should be given its gold watch and forced
into retirement.
1
509 U.S. 579 (1993).
2
522 U.S. 136 (1997).
3
526 U.S. 137 (1999).
4
As discussed below, the Daubert trilogy is much stricter than the relevancy and general acceptance tests it replaced. See infra notes 144-159 & accompanying text.
5
293 F. 1013 (D.C. Cir. 1923).
6
For an exception, see Paul Giannelli & Edward Imwinkelried, Scientific Evidence: The Fallout from the Supreme Court's Decision in Kumho Tire, Crim. Just. Winter 2000, at 12 (acknowledging Frye's continuing viability in many states).
7
S. Energy Homes Inc. v. Washington, 774 So. 2d 505, 517 n.5 (Ala. 2000) (stating that the Daubert standard applies with respect to the admission of DNA evidence as provided for in Alabama Code §36-18-30, but Frye continues to apply to the admission of all other evidence).
8
Logerquist v. McVey, 1 P.3d 113 (Ariz. 2000); State v. Johnson, 922 P.2d 294 (Ariz. 1996); State v. Bible, 858 P.2d 1152 (Ariz. 1993).
9
People v. Leahy, 882 P.2d 321 (Cal. 1994).
10
Lindsey v. People,892 P.2d 281 (Colo. 1995).
11
Nixon v. United States, 728 A.2d 582, 588 (D.C. 1999).
12
Flanagan v. State, 625 So. 2d 827 (Fla. 1993).
13
People v. Miller, 670 N.E.2d 721, 731 (Ill. 1996).
14
State v. Heath, 957 P.2d 449 (Kan. 1998).
15
Hutton v. State, 663 A.2d 1289 (Md. 1995).
16
The Michigan Supreme Court has not explicitly rejected Daubert, but lower courts continue to apply Frye. E.g., DePyper v. Navarro, 1995 WL 788828, at *34 (Mich. Cir. Ct., 1995).
17
Goeb v. Tharaldson, 615 N.W.2d 800 (Minn. 2000).
18
Gleeton v. State, 716 So. 2d 1083 (Miss. 1998).
19
State v. Harvey, 699 A.2d 596 (N.J. 1997).
20
People v. Wesley, 633 N.E.2d 451, 454 n.2 (N.Y. 1994).
21
Commonwealth v. Blasioli, 713 A.2d 1117 (Pa. 1998).
22
State v. Copeland, 922 P.2d 1304, 1310 (Wash. 1996).
23
They have a combined 267 electoral college votes of the 538 total votes available based on the 1990 census. See U.S. Electoral College: List of States and Votes: 1992, 1996, and 2000, available athttp://www.nara.gov/fedreg/elctcoll/votebyst.html (last modified Apr. 5, 2001).
24
A few states follow neither Frye nor Daubert, but use more liberal admissibility tests. E.g., Norfolk S. Ry. Co. v. Baker, 514 S.E.2d 448 (Ga. Ct. App. 1999); State v. Merwin, 962 P.2d 1026, 1030 (Idaho 1998); Dow Chem. Co. v. Mahlum, 970 P.2d 98, 108 n.3 (Nev. 1998); State v. Council, 515 S.E.2d 508, 517-18 (S.C. 1999); State v. Peters, 534 N.W.2d 867, 872 (Wis. 1995). Ohio has basically adopted Daubert, but under its evidence code general acceptance may be required if "testimony reports the result of a procedure, test, or experiment." Ohio R. Evid. 702(C)(1). Connecticut has adopted Daubert, but Frye still applies where expert testimony involves "innovative scientific techniques." State v. Reid, 757 A.2d 482, 486 (Conn. 2000). Meanwhile, some courts adopted Daubertwhen they thought it comported with their very liberal interpretations of their state versions of Rule 702. Now that Daubert has proven to be both a strict and expansive test, it remains to be seen whether such states will continue to follow federal precedent. Oregon, for example, has implicitly rejected Joiner, and held that courts may only scrutinize an expert's general methodology. See Jennings v. Baxter Healthcare, 14 P.3d 596, 603-04 (Ore. 2000). Utah has its own version of the reliability test. See Franklin v. Stevenson, 987 P.2d 22, 26 (Utah 1999). Finally, other states have declined to explicitly adopt Daubert, but find its guidance helpful. E.g., State v. Fukusaku, 946 P.2d 32 (Hawaii 1997); State v. Ito, 978 P.2d 191, 202 n.7 (Hawaii Ct. App. 1999) ("It is not clear from a reading of Fukusaku… whether the {Hawaii} supreme court was adopting the Daubert standards for analyzing the admissibility of scientific evidence"); In re Doe, 981 P.2d 723, 734 n.16 (Haw. Ct. App. 1999) ("It is not evident that Hawaii has in fact adopted the standards for admission of expert evidence set forth in Daubert and as modified in Kumho"); McDaniel v. CSX Transp. Inc., 955 S.W.2d 257, 265 (Tenn. 1997).
25
26. 293 F. 1013 (D.C. Cir. 1923).
26
Id. at 1014.
27
Courts cited Frye five times in published opinions before World War II, mostly in cases involving lie detectors. After World War II, courts cited Frye six times before 1950, 20 times during the 1950s, and 21 times during the 1960s. Bert Black et al., Science and the Law in the Wake of Daubert: A New Search for Scientific Knowledge, 72 Tex. L. Rev. 715, 722 n.30 (1994).
28
E.g., Puhl v. Milwaukee Auto. Ins. Co., 99 N.W.2d 163, 168-69 (Wis. 1959) (paraphrasing Frye and adopting the general acceptance test, but not citing the case); People v. Miller, 98 N.W.2d 524, 535 (Mich. 1959) (adopting "general scientific recognition" test, but not citing Frye); Shanks v. State, 45 A.2d 85, 86 (Md. 1946) (discussing "general acceptance" standard for use of blood tests without citing Frye).
29
SeePaul C. Giannelli, Daubert: Interpreting the Federal Rules of Evidence, 15 Cardozo L. Rev. 1999, 2003-04 (1994).
30
Charles T. McCormick, Handbook of the Law of Evidence 363 (1954).
31
Paul C. Giannelli, The Admissibility of Novel Scientific Evidence:Frye v. United States,a Half-Century Later, 80 Colum. L. Rev. 1197, 1232 (1980).
32
McCormick, supra note 31, at 363-64.
33
Fed. R. Evid. 702 (1975) (amended 2000).
34
See Giannelli, supranote 30, at 2017; D.H. Kaye, Choice and Boundary Problems in Logerquist, Hummert, and Kumho Tire, 33 Ariz. St. L.J. 41, 54 n.69 (2001).
35
Giannelli, supra note 30, at 2004-09.
36
See, e.g., Miranda v. Arizona, 384 U.S. 436 (1966); Mapp v. Ohio, 367 U.S. 643 (1961).
37
See generallyKathleen F. Brickey, Criminal Mischief: The Federalization of American Criminal Law, 46 Hastings L.J. 1135 (1995).
38
E.g., Giannelli, supra note 32, at 1226 (noting that under Frye potentially helpful evidence may be excluded until general scientific consensus develops); Fredric I. Lederer, Resolving the Frye Dilemma--A Reliability Approach, 26 Jurimetrics J. 240, 241 (1986) ("Frye tends to be unduly conservative in its effect on the admissibility of novel evidence.").
39
David W. Louisell & Christopher B. Mueller, Federal Evidence §105 (1977); 1 McCormick on Evidence §203 (John Strong ed., 5th ed. 1999); Giannelli, supra note 32, at 1248. But see Philip Hiatt Dixon, Recent Developments, 64 Cornell L. Rev. 875, 881 (1979) (arguing that Frye's vagueness is beneficial and gives court considerable leeway in deciding whether new scientific technique has achieved general acceptance in its appropriate scientific field).
40
See, e.g., Black et al., supra note 28, at 739 (noting that courts applying Frye both admitted and rejected voiceprint evidence).
41
See Giannelli, supra note 32, at 1228-31.
42
See, e.g., United States v. Downing, 753 F.2d 1224 (3d Cir. 1985); United States v. Williams, 583 F.2d 1194 (2d Cir. 1978).
43
Jack Weinstein & Margaret Berger, Weinstein's Federal Evidence ¶ 702{2} (1995); Mark McCormick, Scientific Evidence: Defining a New Approach to Admissibility, 67 Iowa L. Rev. 879, 911-12 (1982).
44
E.g.,In re "Agent Orange" Prod. Liab. Litig., 611 F. Supp. 1223, 1243-48 (E.D.N.Y. 1985), aff'd on other grounds, 818 F.2d 187 (2d Cir. 1987).
45
E.g., Ferebee v. Chevron Chem. Co., 736 F.2d 1529 (D.C. Cir. 1984).
46
See, e.g., In re Paoli R.R. Yard PCB Litig., 916 F.2d 829 (3d Cir. 1990); DeLuca v. Merrell Dow Pharms., 911 F.2d 941 (3d Cir. 1990).
47
E.g., David Bernstein, Note, Out of the Fryeing Pan and into the Fire: The Expert Witness Problem in Toxic Tort Litigation, 10 Rev. Litig. 117, 138 (1990); Lanny S. Kurzweil et al., The Environmental Expert After Rubanick and Christophersen: Beware the Jabberwock!, 1 PLI Order No. H4-1521 (Dec. 1991-Jan. 1992); Jeffrey K. Sherwood, In Re Paoli Railroad: The Third Circuit Punts to the "Coffincorner," Toxics L. Rep., 11/14/90, at 773, 781.
48
E.g., United States v. Franks, 511 F.2d 25, 33 n.12 (6th Cir. 1975); People v. Kelly, 549 P.2d 1240, 1244 (Cal. 1976).
49
E.g., Ferebee, 736 F.2d 1529.
50
Sterling v. Velsicol, 855 F.2d 1188, 1208 (6th Cir. 1988); seeKenneth R. Foster et al., A Legal Perspective, in "Phantom Risk: Scientific Inference and the Law," 40 (Kenneth R. Foster et al. eds., 1993) (praising Sterling); Bernstein, supra note 48, at 134, 157 (advocating that Sterling's use of the general acceptance test be adopted in other toxic tort cases). Interestingly, the leading "loose scrutiny" case, Ferebee,did not hold that Frye is inapplicable in civil cases but rather that Frye applies only "to the introduction of evidence based on novel scientific techniques or methodologies," not to the misuse of a well-founded methodology. 736 F.2d at 1535.
In Boger v. Norris & Stevens, Inc., 818 P.2d 947 (Ore. Ct. App. 1991), the court "assumed without deciding" that the general acceptance test applied to expert evidence regarding medical causation.
51
939 F.2d 1106 (5th Cir. 1991). Six judges of the Fifth Circuit had previously hinted that they would support application of Frye to the admissibility of evidence in toxic tort cases. See Brock v. Merrell Dow Pharms. Inc., 884 F.2d 167, 168 (5th Cir. 1989) (Reavley, J., dissenting from denial of petition for rehearing en banc.).
52
The test focused on the expert's qualifications (Rule 702), the factual basis for the testimony (Rule 703), the level of acceptance of the methodology employed (Frye), and the balance between probativeness and the potential for undue prejudice (Rule 403). Christophersen, 939 F.2d at 1110.
53
Id. at 1115.
54
Id. at 1116.
55
Peter W. Huber, Galileo's Revenge: Junk Science in the Courtroom(1991). The author of this article served as Huber's research assistant for Galileo's Revenge.
56
Id. at 200.
57
951 F.2d 1128 (9th Cir. 1991).
58
For a time, "strict scrutiny" courts relied on Rule 703, following the lead of Judge Jack Weinstein in the Agent Orange case. New Jersey tentatively adopted what was apparently a version of the general acceptance test under its version of Rule 703 in Ryan v. KDI Sylvan Pools, Inc., 579 A.2d 1241, 1247 (N.J. 1990) (adopting a test of "whether experts in the given field rely on certain information").
59
727 F. Supp. 570, 575-76 (S.D. Cal. 1989).
60
951 F.2d 1128 (9th Cir. 1991).
61
Id. at 1129-30.
62
Id. at 1130.
63
Id. at 1131.
64
See Daubert v. Merrell Dow Pharms. Inc., 509 U.S. 579 (1993).
65
The leading strict scrutiny case before Daubert was In re Agent Orange Prod. Liab. Litig., 611 F. Supp. 1223, 1243-48 (E.D.N.Y. 1985), aff'd on other grounds, 818 F.2d 187 (2d Cir. 1987). Far more popular was the very liberal test adopted in Ferebee v. Chevron Chem. Co., 736 F.2d 1529 (D.C. Cir. 1984).
66
Michael D. Green, The Road Less Well Traveled (and Seen): Contemporary Lawmaking in Products Liability, 49 DePaul L. Rev. 377, 398 (1999).
67
Sterling v. Velsicol, 855 F.2d 1188, 1208 (6th Cir. 1988).
68
522 U.S. 136, 146-47 (1997).
69
See infra note 131.
70
Some courts previously applied Fryein civil cases, but usually this occurred only in (1) paternity cases; or (2) cases where the forensic technique in question was also used in the criminal context. See, e.g., Cameron v. Knapp, 520 N.Y.S.2d 917, 918 (N.Y. Sup. Ct. 1987) (applying Frye and rejecting handwriting analysis in a medical malpractice case).
71
Green, supra note 67, at 398-99 (noting that Frye and its general acceptance test were "virtually nonexistent in civil cases and toxic substances litigation" until the Ninth Circuit employed them in Daubert).
72
Lofgren v. Motorola, Inc., 1998 WL 299925, at *20 (Ariz. Super. Ct. June 1, 1998).
73
Dinerman v. McGhan Med. Corp., No. BC 065884 (Cal. Super. Ct. undated) (mem.).
74
Bahura v. S.E.W. Investors, 754 A.2d 928, 943 (D.C. 2000).
75
E.I. DuPont De Nemours & Co. v. Castillo ex rel. Castillo, 748 So. 2d 1108 (Fla. Dist. Ct. App. 2000); Berry v. CSX Transp. Inc., 709 So. 2d 552 (Fla. Dist. Ct. App. 1998); Centex-Rooney Constr. Co. v. Martin County, 706 So. 2d 20 (Fla. Dist. Ct. App. 1997); Eldridge v. Riddell, Inc., 626 So. 2d 232, 233 (Fla. Dist. Ct. App. 1993) (Warner, J., concurring).
76
Donaldson v. Cent. Illinois Pub. Serv. Co., 730 N.E.2d 68 (Ill. App. Ct. 2000); Duran v. Cullinan, 677 N.E.2d 999 (Ill. App. Ct. 1997); Lombardo v. Reliance Elevator Co., 733 N.E.2d 874 (Ill. App. Ct. 2000) (applying the general acceptance test to a case involving negligent maintenance of an elevator).
77
United States Gypsum Co. v. Mayor of Baltimore, 647 A.2d 405 (Md. 1994); Owens Corning v. Bauman, 726 A.2d 745 (Md. Ct. Spec. App. 1999); Keene Corp. v. Hall, 626 A.2d 997 (Md. Ct. Spec. App. 1993).
78
Goeb v. Tharaldson, 615 N.W.2d 800, 814-16 (Minn. 2000).
79
Oppenheim v. United Charities of New York, 698 N.Y.S.2d 144 (App. Div. 1999) (mem.) (rejecting clinical ecology testimony); Selig v. Pfizer Inc., 713 N.Y.S.2d 898, 901-03 (N.Y. Sup. Ct. 2000);Collins v. Welch, 678 N.Y.S.2d 444 (Sup. Ct. 1998) (rejecting clinical ecology testimony).
80
Blum ex rel. Blum v. Merrell Dow Pharms. Inc., 764 A.2d 1 (Pa. 2000) (holding that the evidence would fail either the Frye or Daubert tests).
81
But cf. Salazar v. Am. Sterilizer Co., 5 P.3d 357, 367 (Colo. Ct. App. 2000) (questioning whether the general acceptance test applies in products liability actions).
82
Raoul D. Kennedy & James C. Martin, California Expert Witness Guide §4.15, at 56 (2d ed., Supp. Mar. 1999).
83
California only applies Frye when "the evidence is produced by a machine" or by other seemingly objective means. People v. McDonald, 690 P.2d 709, 724 (Cal. 1984); overruled by People v. Mendoza, 23 Cal. 4th 896 (2000). The state supreme court reasons that "like many laypersons, jurors tend to ascribe an inordinately high degree of certainty to proof derived from an apparently 'scientific' mechanism, instrument, or procedure." Id. The court has further explained that for Frye to apply there must be "an unproven technique or procedure {that} appears both in name and description to provide some definitive truth which the expert need only accurately recognize and relay to the jury," such as "machines or procedures which analyze physical data." People v. Stoll, 783 P.2d 698, 710 (Cal. 1989). However, the introduction of genetic testing of various types in toxic tort and other cases may afford California courts an opportunity to apply Frye in these types of cases. See Gary E. Marchant, Genetic Susceptibility and Biomarkers in Toxic Injury Litigation, 41 Jurimetrics J. 67 (2000).
84
Dinerman v. McGhan Med. Corp., No. BC 065884 (Cal. Super. Ct. 1997) (mem.).
85
Id. at 2-3.
86
Blum v. Merrell Dow Pharms. Inc., 705 A.2d 1314, 1319 (Pa. Super. Ct. 1997) (quoting Liles v. Balmer, 653 A.2d 1237 (Pa. Super. Ct. 1994), aff'd, 764 A.2d 1 (Pa. 2000); Thomas v. West Bend Co., 760 A.2d 1174 (Pa. Super. Ct. 2000).
87
Blum, 764 A.2d at 3-4.
88
This was the motivation behind the New Jersey Supreme Court's pre-Daubert decision not to apply the state's Frye standard to toxic tort cases. See Rubanick v. Witco Chem. Corp., 593 A.2d 733, 747-48 (N.J. 1991) (requiring only that a theory of causation be "based on a sound, adequately founded scientific methodology involving data and information of the type reasonably relied on by experts in the scientific field"). The following year, however, the court seemed to apply a more stringent standard, holding that expert witnesses in toxic tort cases must demonstrate that both their methodology and the factual bases for their conclusions are scientifically reliable. Landrigan v. Celotex Corp., 605 A.2d 1079, 1083-84 (N.J. 1992). The Landrigan standard is implicitly incorporated into New Jersey's Rule of Evidence 702 and, at least by its explicit terms, is significantly more stringent than versions of Frye that look solely to the general acceptance of an expert's basic methodology.See N.J. R. Evid. 702 cmt.
89
General Elec. Co. v. Joiner, 522 U.S. 136, 148-49 (1997) (Breyer, J., concurring).
90
Kenneth J. Chesebro, Taking Daubert's "Focus" Seriously: The Methodology/Conclusion Distinction,15 Cardozo L. Rev. 1745 (1994); Michael H. Gottesman, Admissibility of Expert Testimony After Daubert: The "Prestige" Factor, 43 Emory L.J. 867, 869-72 (1994).
91
Bernstein, supra note 48.
92
But see Michael J. Saks, The Aftermath of Daubert:An Evolving Jurisprudence of Expert Evidence, 40 Jurimetrics J. 229 (2000) (criticizing the Joiner majority's failure to distinguish more carefully between methodology and conclusion).
93
Joiner, 522 U.S. at 146.
94
Id.
95
Hall v. Baxter Healthcare Corp., 947 F. Supp. 1387, 1401 (D. Or. 1996).
96
Id.
97
People v. Kelly, 549 P.2d 1240, 1244 (Cal. 1976).
98
United States v. Two Bulls, 918 F.2d 56, 61 (8th Cir. 1990); Ex parte Perry, 586 So. 2d 242, 248 (Ala. 1991); People v. Lindsey, 868 P.2d 1085, 1090-91 (Colo. Ct. App. 1993); People v. Adams, 489 N.W.2d 192, 197 (Mich. Ct. App. 1992) ("the prosecutor must establish in each particular case that the generally accepted laboratory procedures were followed"); Commonwealth v. Rodgers, 605 A.2d 1228, 1234 (Pa. Super. Ct. 1992).
99
See, e.g., State v. Cauthron, 846 P.2d 502, 506 (Wash. 1993) (rejecting the California rule). A New York court adopted a rule analogous to the California rule in People v. Castro, 545 N.Y.S.2d 985, 987 (N.Y. Sup. Ct. 1989), but the New York Court of Appeals rejected it in People v. Wesley, 633 N.E.2d 451, 456 (N.Y. 1994) ("The general reliability of DNA matching was established at the hearing. The Frye test--the sole issue before us--requires no more… .").
100
939 F.2d 1106 (5th Cir. 1991).
101
Id.at 1110-11.
102
Id.at 1111 n.8.
103
See, e.g., Berry v. CSX Transp. Inc., 709 So. 2d 552 (Fla. Dist. Ct. App. 1998); Centex-Rooney Constr. Co. v. Martin County, 706 So. 2d 20 (Fla. Dist. Ct. App. 1997).
104
See McKenzie v. Westinghouse Elec. Corp., 674 A.2d 1167, 1172 (Pa. Commw. Ct. 1996) ("there must be a showing, not that the studies establishing the causal relationship follow generally accepted methodologies, but that the existence of the causal relationship is generally accepted by the relevant medical community"); Selig v. Pfizer Inc., 713 N.Y.S.2d 898, 901-03 (Sup. Ct. 2000).
105
Unfortunately, some judges still fail to recognize this third alternative. See, e.g., Blum ex rel. Blum v. Merrell Dow Pharms. Inc., 764 A.2d 1, 5 (Pa. 2000) (Cappy, J., dissenting). Justice Cappy wrote: "I refer to the Superior Court's statement that there are 'two ways to analyze the question of whether the causation testimony proffered … meets the Frye … standard. One focuses on whether the causal relationship is generally accepted by the scientific community, and the other on whether the methodology is generally accepted by the scientific community." Id. In fact, the Superior Court, as Justice Cappy half-heartedly acknowledges elsewhere, focused on the expert's reasoning, not his conclusions. See also id. at 9 (Castille, J., dissenting) ("Like Mr. Justice Cappy, I believe that the Frye test in this Court's jurisprudence has only required, and should only require, that the methodology employed by the testifying scientist, and not his or her ultimate conclusions or opinions as to causation, be generally accepted by the relevant scientific community.").
106
1998 WL 299925 (Ariz. Super. Ct., 1998).
107
Id. at *12.
108
Id.
109
705 A.2d 1314 (Pa. Super. Ct. 1997), aff'd, 764 A.2d. 1 (Pa. 2000).
110
Id. at 1323; cf. Donaldson v. Cent. Illinois Pub. Serv. Co., 730 N.E.2d 68 (Ill. App. Ct. 2000) (holding that if a substance is known to cause certain types of cancer, experts may extrapolate that the substance can cause other types of cancer because the "extrapolation method" is generally accepted); Duran v. Cullinan, 677 N.E.2d 999, 1003 (Ill. App. Ct. 1997) (finding that extrapolation method of determining cause of birth defects is generally accepted, and favorably analyzing the expert's reasoning in extrapolating in this case, but taking the expert's claim that he was adhering to generally accepted reasoning process at face value). The Illinois opinions contain no citations to any scientific book or article suggesting that the type of extrapolation engaged in by the experts in question was appropriate according to generally accepted standards. Rather, these courts seem to assume, based on the experts' own representations and common sense, that extrapolation is proper.
111
615 N.W.2d 800 (Minn. 2000).
112
Id. at 810.
113
Id. at 816-17.
114
N.Y.L.J., 2000, at 26 (N.Y. Sup. Ct.).
115
Id.
116
Id.
117
748 So. 2d 1108 (Fla. Dist. Ct. App. 2000).
118
Id. at 1121.
119
See id. By contrast, another Florida appellate court had the following to say about causation evidence: "Dr. Kelly's opinion was not only based upon Berry's statements of his symptoms, but was based upon Berry's personal history, medical records, physical examinations and medical tests. In short, Dr. Kelly's opinion was based upon sufficient epidemiological data, facts and personal observation, and was therefore reliable." Berry v. CSX Transp. Inc., 709 So. 2d 552, 571 (Fla. Dist. Ct. App. 1998). This is an obvious non-sequitur. An opinion based on appropriate data is not reliable if the expert does not extrapolate properly from that data.
120
713 N.Y.S.2d 898 (N.Y. Sup. Ct. 2000).
121
Id. at 902.
122
Id.
123
E.g., Owens Corning v. Bauman, 726 A.2d 745 (Md. Ct. Spec. App. 1999). Some courts continue to require that the technique or test be novel. See, e.g., Wahl v. American Honda Motor Co., 693 N.Y.S.2d 875, 877 (Sup. Ct. 1999) (engineer's testimony, which was based on "recognized technical and specialized knowledge" is not subject to Frye). But the novelty requirement appears to be fading. See supra note 121 & accompanying text. Professor Giannelli focused on the "novelty" aspect of Frye in his famous Columbia article on the doctrine, but it is not at all clear that novelty had been an important requirement for the applicability of Frye. SeePaul C. Giannelli, The Admissibility of Novel Scientific Evidence: Frye v. United States, a Half-Century Later, 80 Colum. L. Rev. 1197, 1232 (1980).
124
See Logerquist v. McVey, 1 P.3d 113, 123 (Ariz. 2000) ("Although compliance with Frye is necessary when the scientist reaches a conclusion by applying a scientific theory or process based on the work or discovery of others, under Rules 702 and 703 experts may testify concerning their own experimentation and observation and opinions based on their own work without first showing general acceptance."); People v. Pitts, 223 Cal. App. 3d 606, 865 (1990) ("{T}here is a difference between development of a new scientific technique--a novel method of proof--and development of a body of medical knowledge and expertise. . . . The expression of an expert medical opinion as to the cause of a wound or injury falls outside of the realm of what is subject to the Kelly-Frye rule."). But cf. People v. Williams, 6 N.Y.2d 18 (1959) (applying Fryedoctrine to testimony regarding the credibility of a heroin addict).
125
729 So. 2d 995 (Fla. Dist. Ct. App. 1999).
126
It is hard to see how a general acceptance test can apply to testimony based on training and experience where there is no underlying scientific basis. However, the same concern applies to Daubert-Kumho's reliability test. This author has suggested that parties wishing to present such testimony should not be allowed to present adversarial experts, but courts should instead appoint neutral experts. See David E. Bernstein, "Non-Scientific" Experts: What Degree of Judicial Scrutiny Should They Face?, (Oct. 1998) (unpublished manuscript), available at http://members.aol.com/ deliotb/kumho.html.
127
726 A.2d 745 (Md. Ct. Spec. App. 1999).
128
See also Harris v. Cropmate Co., 706 N.E.2d 55 (Ill. App. Ct. 1999) (testimony regarding crop damage not subject to Frye); Kuhn v. Sandoz Pharms. Corp., 14 P.3d 1170, 1179 (Kan. 2000) (Frye does not apply when testimony is based on expert's experience); Carter v. Shoppers Food Warehouse MD Corp., 727 A.2d 958 (Md. Ct. Spec. App. 1999) (testimony regarding safety measures not subject to Frye).
129
Michael H. Graham, The Daubert Dilemma: At Last a Viable Solution?, 179 F.R.D. 1, 7 (1998). Some Frye courts refuse to apply the general acceptance test in such cases. E.g., Logerquist, 1 P.3d at 113 (testimony regarding repressed memories); People v. McDonald, 690 P.2d 709 (Cal. 1984) (unreliability of eyewitness identifications); People v. Phillips, 175 Cal. Rptr. 703, 713-14 (Ct. App. 1981) (evidence concerning "Munchausen's syndrome by proxy").
130
SeeLong v. Missouri Delta Med. Ctr., 33 S.W.3d 629, 642 (Mo. Ct. App. 2000) (Frye does not apply to expert economic testimony); Christopher B. Hockett & Frank M. Hinman, Admissibility of Expert Testimony in Antitrust Cases: Does Daubert Raise a New Barrier to Entry for Economists?, Antitrust, Summer 1996, at 40, 42 (noting that courts do not utilize Frye to screen testimony in antitrust cases). But cf. Schumann v. Missouri Highway & Transp. Comm'n, 912 S.W.2d 548, 554 n.8 (Mo. Ct. App. 1995) (considering whether an economist's testimony regarding hedonic damages should have been admitted under the standards established in Frye, Daubert, and Missouri's evidence code).
131
Reese v. Stroh, 874 P.2d 200, 205 (Wash. Ct. App. 1994).
132
People v. Stoll, 783 P.2d 698, 710 (Cal. 1989); see also Flanagan v. State, 625 So. 2d 827 (Fla. 1993).
133
Learned Hand, Historical and Practical Considerations Regarding Expert Testimony, 15 Harv. L. Rev. 40, 54 (1902).
134
SeeSamuel R. Gross, Expert Evidence, 1991 Wis. L. Rev. 1113, 1128-29.
135
Jack B. Weinstein, Improving Expert Testimony, 20 U. Rich. L. Rev. 473, 482 (1986).
136
SeeGross, supra note 135, at 1127-29.
137
See id. at 1127.
138
Ronald J. Allen & Joseph S. Miller, The Common Law Theory of Experts: Deference or Education?, 87 Nw. U. L. Rev. 1131, 1145-46 (1993).
139
See Bernstein, supra note 48, at 159.
140
But see Clemente v. Blumenberg, 705 N.Y.S.2d 792, 800 (Sup. Ct. 1999) (holding that expert testimony regarding biomechanics failed the general acceptance test).
141
See Harris v. Cropmate Co.,706 N.E.2d 55, 65 (Ill. App. Ct. 1999).
142
Carter v. Shoppers Food Warehouse MD Corp., 727 A.2d 958, 963 (Md. Ct. Spec. App. 1999).
143
693 N.Y.S.2d 875, 878 (Sup. Ct. 1999).
144
Id.
145
Id. But cf. Long v. Missouri Delta Med. Ctr., 33 S.W.3d 629 (Mo. Ct. App. 2000) (refusing to apply a reliability test to testimony by an economics expert absent explicit direction from the state supreme court).
146
E.g., People v. Leahy, 882 P.2d 321 (Cal. 1994) (emphasizing the purported relative liberality of the Daubert test); Brim v. State, 695 So. 2d 268, 271 (Fla. 1995) ("Despite the federal adoption of a more lenient standard in {Daubert}, we have maintained the higher standard of reliability as dictated by Frye."); State v. Carter, 524 N.W.2d 763, 778 (Neb. 1994) (referring to "the more lenient relevancy standard of Daubert"); Blum v. Merrell Dow Pharms. Inc., 764 A.2d 1, 2 (Pa. 2000) (observing Daubert relaxes to some extent the impediments to the admission of novel scientific evidence); see also cases cited infranote 158.
147
For example, in People v. Berberich, N.Y.L.J., Jan. 11, 2000, at 25 (Sup. Ct.), the court assumed that both Daubert and Kumho Tire were weaker tests than Frye. Not only has Daubert turned out to be stricter than Frye, but Kumho Tire enforces a gatekeeping standard for types of evidence that never were subject to the Frye test, and instead were admitted under a very liberal relevancy test.
148
E.g., David Bernstein, Hauling Junk Science Out of the Courtroom, Wall St. J., 7/13/93, at A16 ("as standards are established, {Daubert} means that junk science will have a far harder time making it to court"); David E. Bernstein & Peter W. Huber, Defense Perspective, 1 Shepard's Expert & Sci. Evid. Q. 59, 60 (1993) ("The trend towards stricter scrutiny of scientific evidence began in the late-1980s; in the aftermath of Daubert it will accelerate"); Marc S. Klein, The Revolution in Practice and Procedure: "Daubert Hearings," 1 Shepard's Expert & Sci. Evid. Q. 655, 656 (1994); see also Robert P. Charrow & David E. Bernstein, Scientific Evidence in the Courtroom: Admissibility and Statistical Significance After Daubert (Washington Legal Foundation 1993).
149
Alternatively, states might adopt the latest version of Uniform Rule of Evidence 702, which incorporates the holdings of the Daubert trilogy while still retaining an element of Frye. Under U.R.E. 702, courts must determine whether expert scientific, technical or specialized testimony is based upon principles or methods that are reasonably reliable; whether the testimony is based upon sufficient and reliable facts or data; and whether the witness has applied the principles or methods reliably to the facts of the case. The rule incorporates the same factors suggested in Daubert as possible criteria for determining the reliability of expert evidence. Frye is relevant because there is a presumption of reliability if a principle or method at issue has "substantial acceptance" within the relevant scientific, technical or specialized community.
Given the continued confusion over how to apply Frye, and the tendency of courts applying an "acceptance" test to rely on (1) prior case law and (2) the views of subgroups of experts who specialize in the field in question but who lack credibility in the broader scientific community, "substantial acceptance" should not create a presumption of admissibility. In particular, applying such a presumption would likely make it nearly impossible for criminal defendants to challenge venerable forensic techniques of dubious reliability.
150
Ned Miltenberg, Out of the Fryeing Pan and into the Fire, and Out Back Again--Or "Back to the Future," 2 Ann. 2000 ATLA CLE 2645 (2000).
151
Phillips v. Indus. Machine, 597 N.W.2d 377, 391 (Neb. 1999) (Gerard, J., concurring).
152
"Even in states which do not have a version of the federal code of evidence, such as New York, one easily discerns an emerging trend on the part of trial judges to more assiduously scrutinize expert testimony to assure that it is reliable." Michael Hoenig, 'Testability' of Expert's Technique or Theory, N.Y.L.J., Nov. 13, 2000, at 3.
153
As the Supreme Court of Alaska noted:
Frye is potentially capricious because it excludes scientifically reliable evidence which is not yet generally accepted, and admits scientifically unreliable evidence which although generally accepted, cannot meet rigorous scientific scrutiny. Because the Frye test potentially excludes evidence that should be admitted under our rules, and also potentially admits evidence that should be excluded under our rules, we conclude that it is both unduly restrictive and unduly permissive.State v. Coon, 974 P.2d 386, 393-94 (Alaska 1999).
154
See, e.g., David E. Bernstein, The Science of Forensic Psychiatry and Psychology, 2 Psychology, Psychiatry & L. 75 (1995). California's Frye-Kelly test is closer to a reliability test than to a traditional general acceptance test. See supra note 98 & accompanying text.
155
SeePaul C. Giannelli, "Junk Science": The Criminal Cases, 84 J. Crim. L. & Criminology 105 (1993).
156
United States v. Bonds, 12 F.3d 540 (6th Cir. 1993); Coon, 974 P.2d at 398 ("It also seems unlikely that methodologies that were admitted under Frye and that remain generally accepted in the appropriate community will be excluded, absent affirmative evidence of unreliability."); Johnson v. Commonwealth, 12 S.W.3d 258, 262 (Ky. 1999); State v. Kinney, 762 A.2d 833, 841 (Vt. 2000); Murray v. State, 692 So. 2d 157 (Fla. 1997) (choosing to continue using "the higher standard of reliability as dictated by Frye"); State v. Carter, 524 N.W. 763, 768 (Neb. 1994) (declining "to adopt the less demanding Daubert standard"). But see Phillips, 597 N.W.2d at 388-89 ("The 'gatekeeper' function exercised by trial courts under the Daubert/Kumho Tire analysis is, in fact, a more effective means of excluding unreliable expert testimony than is the Frye test.").
157
State v. Alberico, 861 P.2d 192, 203 (N.M. 1993).
158
See, e.g., 1 McCormick on Evidence, supra note 40, §203.
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