Article on Daubert and Adversarial Bias:

My article, "Expert Witnesses, Adversarial Bias, and the (Partial) Failure of the Daubert Revolution," has just been published in the Iowa Law Review. You can find an on-line version here. Here is the abstract:

This article raises two questions that have been surprisingly missing from the voluminous law review literature on expert evidence since the landmark Daubert decision. First, what is the underlying rationale for the replacement of the old qualifications-only, let-it-all standard for expert testimony with Daubert/Federal Rule of Evidence 702's requirement that all expert testimony be subject to a stringent reliability test? Second, once we have identified this rationale, has the Daubert revolution succeeded on its own terms?

I conclude that the implicit rationale for the reliability test is to preserve the perceived advantages of the adversarial system, while mitigating the harms to the courts' truth-seeking function by the inevitable strong biases that accompany adversarial expert testimony. These biases include the conscious biases of hired guns, the unconscious biases of other paid experts, and the selection biases that result from the fact that attorneys shop for their experts from a large pool of qualified individuals.

Rule 702 thus attempts to serve a worthy goal, but it far from fully succeeds in efficiently achieving this goal. First, in the context of forensic expertise in criminal cases, Rule 702 does nothing to address the huge gaps in resources between the prosecution and most defendants that severely inhibit defendants' ability to challenge unreliable prosecution expert testimony.

Second, Rule 702, applied correctly, does succeed in barring junk science causation evidence in toxic torts cases. However, it does so at the expense of excluding speculative evidence supporting causation, even when most experts in the field would conclude that the relevant evidence is a sufficient basis from which to find causation by a preponderance of the evidence. While Rule 702 is easily preferable to the prior overly permissive regime, it likely goes too far in insisting on a reliability test that makes the courtroom stricter about causation evidence than is the scientific community itself. The way around this problem is to amend Rule 702 to allow courts to admit educated guesses about causation, but only when nonpartisan experts, not subject to adversarial bias, are willing to make such guesses.

Finally, Rule 702 puts severe restrictions on the testimony of experience-based testimony by "connoisseurs". Such experts may only testify if their field of expertise is a legitimate one, and they have proven to the court that they truly have the expertise they claim. Rule 702 also properly prevents attorneys from shopping for outlier and hired gun connoisseurs, given that there is no objective way for a jury to determine whether an experience-based expert's views are correct or representative of other experts in the field. Therefore, in the context of connoisseur testimony, courts should either replace adversarial experts with a panel of nonpartisan experts, or only allow an adversarial expert to testify if his conclusions are consistent with those of a nonpartisan advisory panel.

Related Posts (on one page):

  1. Some More Thoughts on Daubert and Forensic Science:
  2. Article on Daubert and Adversarial Bias:
Armen (mail) (www):
The paper sounds interesting, and I hope to read it in the near future. Just an initial thought, one thing I notice in a lot of 702 opinions is that courts simply note "XYZ go to the weight of the evidence, not its reliability. Therefore [the other party] can rebut it with its own witness." This creates a vicious cycle of crap coming in, and the jury remaining still very confused. Not sure if your paper delves into that.
5.28.2008 6:05pm
Kent Scheidegger (mail) (www):
"However, it does so at the expense of excluding speculative evidence supporting causation, even when most experts in the field would conclude that the relevant evidence is a sufficient basis from which to find causation by a preponderance of the evidence."

Rules of evidence must consider not only cold logic but also human nature. Hearsay has probative value, yet we exclude it -- with lots of exceptions -- because we know from experience that juries will tend to give it more weight than it deserves. I think that is also true for "speculative evidence" that experts would properly discount but juries would not, or at least not sufficiently.
5.28.2008 6:09pm
SupremacyClaus (mail) (www):
If opposing experts testify in good faith, a scientific controversy exists. The court has no competence to resolve the scientific controversy. Only data gathering by other scientists can resolve it.

All cases with legitimate opposing experts must get summarily dismissed, in accordance with the procedural due process right to a fair hearing of the civil defendant.
5.28.2008 6:28pm
Bill Dyer (mail) (www):
There is no such thing as a "nonpartisan expert."
5.28.2008 6:30pm
C Miller (mail) (www):
Court appointed experts under Federal Rule of Evidence 706 and state counterparts are frequently considered "nonpartisan."
5.28.2008 6:48pm
DavidBernstein (mail):
Experts may be "partisan" with regard to what they consider sound science or other specialized knowledge, but they are non-partisan for the purposes of adversarial bias if they are not in the pay of the litigants.
5.28.2008 8:06pm
Larry Fafarman (mail) (www):
The abstract says,

First, what is the underlying rationale for the replacement of the old qualifications-only, let-it-all standard for expert testimony with Daubert/Federal Rule of Evidence 702's requirement that all expert testimony be subject to a stringent reliability test?

What is meant by "old qualifications-only, let-it-all standard for expert testimony"? Daubert calls the old standard (or test) the "general acceptance test." And the above statement's term "stringent" implies that Daubert tightened the standards for expert testimony whereas Daubert actually loosened them. The syllabus of Daubert says,

The Court of Appeals agreed and affirmed, citing Frye v. United States, 54 App. D.C. 46, 47, 293 F. 1013, 1014, for the rule that expert opinion based on a scientific technique is inadmissible unless the technique is "generally accepted" as reliable in the relevant scientific community.

Held:

The Federal Rules of Evidence, not Frye, provide the standard for admitting expert scientific testimony in a federal trial. Pp. 4-17.


(a) Frye's "general acceptance" test was superseded by the Rules' adoption. Nothing in the Rules as a whole or in the text and drafting history of Rule 702, which specifically governs expert testimony, gives any indication that "general acceptance" is a necessary precondition to the admissibility of scientific evidence.

Also, the Supreme Court's "underlying rationale" for the replacement of the "general acceptance test" by the new reliability standard of Rule 702 was the court's determination that the general acceptance test had been legislatively superseded by adoption of the Federal Rules of Evidence (though the court's opinion appeared to argue that the reliability standard is superior to the general acceptance test) -- Daubert says --

The merits of the Frye test have been much debated, and scholarship on its proper scope and application is legion. Petitioners' primary attack, however, is not on the content but on the continuing authority of the rule. They contend that the Frye test was superseded by the adoption of the Federal Rules of Evidence. We agree.

We interpret the legislatively enacted Federal Rules of Evidence as we would any statute.

Also, Daubert never uses the term "test" in connection with "reliability" but instead uses the terms "reliability standard," "reliability assessment," and "reliability approach." "Test" implies a clearcut pass/fail choice based on a single issue whereas the reliability standard is flexibly based on several issues -- the Daubert syllabus says,

Many considerations will bear on the inquiry, including whether the theory or technique in question can be (and has been) tested, whether it has been subjected to peer review and publication, its known or potential error rate and the existence and maintenance of standards controlling its operation, and whether it has attracted widespread acceptance within a relevant scientific community. The inquiry is a flexible one, and its focus must be solely on principles and methodology, not on the conclusions that they generate.

So the court ruled that "widespread acceptance within a relevant scientific community" is allowed to be a factor but that it cannot be a controlling factor.

David Bernstein says in the abstract,
Rule 702 thus attempts to serve a worthy goal, but it far from fully succeeds in efficiently achieving this goal.

IMO Daubert should not be an issue, because all Daubert decided was that the old "general acceptance test" of the Frye decision was legislatively superseded by Rule 702, which says,

Rule 702. Testimony by Experts

If scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education, may testify thereto in the form of an opinion or otherwise, if (1) the testimony is based upon sufficient facts or data, (2) the testimony is the product of reliable principles and methods, and (3) the witness has applied the principles and methods reliably to the facts of the case.

If Rule 702 is bad, that is something that can be fixed legislatively. Daubert says that the Federal Rules of Evidence was legislatively enacted. The Supreme Court can make additions to federal court rules (subject to veto by Congress), as the court did by adding Rule 32.1 (prohibiting federal courts from prohibiting citation of unpublished opinions) to the Federal Rules of Appellate Procedure, but the Supreme Court might not be allowed to alter a legislatively enacted court rule -- I don't know.

David said,
While Rule 702 is easily preferable to the prior overly permissive regime

I don't know why you call the "general acceptance test" of Frye "overly permissive" -- it is actually more stringent than Rule 702.

Finally, Rule 702 puts severe restrictions on the testimony of experience-based testimony by "connoisseurs".

What are "connoisseurs" in this context? Again you use an odd term that you do not define.

David Bernstein said ( 5.28.2008 7:06pm ) --

Experts may be "partisan" with regard to what they consider sound science or other specialized knowledge, but they are non-partisan for the purposes of adversarial bias if they are not in the pay of the litigants.

How can it be assumed that unpaid experts are non-partisan just because they are not paid? For example, in the Kitzmiller v. Dover intelligent-design case, most of the experts were not paid but those unpaid experts were definitely partisan. As the saying goes, money isn't everything (even if it is far ahead of whatever is in second place).

IMO you are misinforming people about what Rule 702 and Daubert actually say and do.
5.29.2008 12:34pm