Barack v. American Honda Motor Co.

293 F.R.D. 106, 2013 WL 1688873, 2013 U.S. Dist. LEXIS 56044
District Court, D. Connecticut·Decided April 18, 2013·No. No. 09-cv-565·Published·Cited by 21 cases

Opinion

ORDER

TUCKER L. MELANQON, District Judge.

Before the Court are Defendants’ Motion in Limine to Preclude the Testimony and Records of Psychologist Sabrina Breed, Ph.D. at trial [Rec. Doc. 164-15] and Plaintiffs’ Opposition thereto [Rec. Doc. 176]. De[108]*108fendants seek to preclude Dr. Breed’s testimony and the introduction of her records of her treatment of Mr. Barack. Plaintiffs’ seek to have Dr. Breed testify as Plaintiff Ron Barack’s treating physician.

I. APPLICABLE LAW

A. Classification of the Treating Physician

The case law surrounding the question of whether a treating physician is an expert or a lay witness is somewhat unsettled in this Circuit. After a review of Second Circuit jurisprudence, the Court concludes: (1) that each case turns on the particular facts and circumstances presented to it; and (2) that a treating physician fits the definition of an expert who may give opinion testimony under Federal Rule of Evidence 702, but a treating physician need not be explicitly designated as an expert witness under the Federal Rules of Civil Procedure. See, e.g., Reilly v. Revlon, Inc., 2009 WL 2900252, at *3 (S.D.N.Y. Sept. 9, 2009) (“Treating physicians do not need to be designated as experts in order to testify. Furthermore, treating physicians, like all other fact witnesses, may give opinion testimony about plaintiffs condition and emotional damages pursuant to Fed. R. Ev. 702.”).

B. Disclosure Requirements for the Treating Physician Under the F.R.C.P.

As a treating physician can give expert testimony in accordance with Rule 702, under Federal Rule of Civil Procedure 26(a)(2)(A), “a party must disclose to the other parties the identity of any [treating physician] it may use at trial to present evidence under [Rule 702].” See Fed. R.Civ.P. 26(a)(2)(A). The party seeking to use the treating physician does not, however, need to provide a written expert report under Rule 26(a)(2)(B) because treating physicians are not “retained or specially employed to provide expert testimony in the case.” See Fed.R.Civ.P. 26(a)(2)(B); Spencer v. Int’l Shoppes, Inc., 2011 WL 4383046, at *2 (E.D.N.Y. Sept. 20, 2011); Badr v. Liberty Mut. Group, Inc., 2007 WL 2904210, at *4 (D.Conn. Sept. 28, 2007); Fanning v. Target Corp., 2006 WL 298811, at *2 (S.D.N.Y. Feb. 6, 2006); Lamere v. N.Y. State Office for the Aging, 2004 WL 1592669, at *1 (N.D.N.Y. July 14, 2004); see also Fed.R.Civ.P. 26(a) Adv. Comm. Notes, 2010 amends. (“A witness who is not required to provide a report under Rule 26(a)(2)(B) may both testify as a fact witness and also provide expert testimony under Evidence Rule 702, 703 or 705. Frequent examples include physicians or other health care professionals____”).

Although not required to provide a written expert report under Rule 26(a)(2)(B), a party seeking to use a treating physician must disclose more than just the identity of the treating physician. “[I]f the witness is not required to provide a written report [under Rule 26(a)(2)(B), the witness’s] disclosure must state: (i) the subject matter on which the witness is expected to present evidence under Federal Rule of Evidence 702, 703, or 705; and (ii) a summary of the facts and opinions to which the witness is expected to testify.” Fed.R.Civ.P. 26(a)(2)(C). Rule 26(a)(2)(C) therefore clearly requires treating physicians to, at a minimum, produce and disclose “summaries” of the facts and opinions to which the physician expects to testify. See, e.g., Millennium Pipeline Co., L.L.C. v. Certain Permanent & Temp. Easements, 2013 WL 310403, at *3 (W.D.N.Y. Jan. 25, 2013); Eslin v. Hous. Auth. of Mansfield, 2012 WL 3090976, at *5 n. 3 (D.Conn. July 13, 2012); Ziegenfus v. John Veriha Trucking, 2012 WL 1075841, at *7 (S.D.N.Y. March 28, 2012). The Rule 26(a)(2)(C) summary is “considerably less extensive than the [written expert] report required by Rule 26(a)(2)(B).” Fed.R.Civ.P. 26(a) Adv. Comm. Notes, 2010 amends. “Although less is required in a disclosure [for witnesses under Rule 26(a)(2)(C) ] than of those covered by Rule 26(a)(2)(B) ... a mere list of names, accompanied by three-word descriptions of the subject matter of their testimony, is plainly not enough.” Millennium Pipeline Co., 2013 WL 310403, at *3. Failure to disclose the information laid out by Rule 26(a)(2)(C) opens the party to the imposition of sanctions pursuant to Rule 37(c)(1). Ziegenfus, 2012 WL 1075841, at *5.

[109]*109C. The Permissible Scope of the Treating Physician’s Testimony at Trial

Treating physicians are limited in the testimony they may present at trial because, as set out above, they are not required to make a written expert report disclosure pursuant to Rule 26(a)(2)(B). “[W]ithout properly declaring a treating physician as an expert witness, the physician’s testimony is limited to certain parameters.” Motta v. First Unum Life Ins. Co., 2011 WL 4374544, at *3 (E.D.N.Y. Sept. 19, 2011). “[T]he key to what a treating physician can testify to without being declared an expert is based on his personal knowledge from consultation, examination and treatment of the Plaintiff, ‘not from information acquired from outside sources.’ ” Id. (emphasis added) (internal citation omitted). Thus, treating physicians “cannot be limited to solely factual testimony,” id., and they “may testify as to opinions formed during their treatment, including causation, severity, disability, permanency and future impairments.” Williams v. Regus Mgmt. Group, LLC, 2012 WL 1711378, at *3 (S.D.N.Y. May 11, 2012) (emphasis in original) (internal citation omitted). Therefore, treating physicians are “permitted to offer opinion testimony on diagnosis, treatment, prognosis and causation, but solely as to the information he/she has acquired through observation of the Plaintiff in his/her role as a treating physician limited to the facts in Plaintiffs course of treatment.” Spencer, 2011 WL 4383046, at *4 (emphasis in original).

“[A] treating physician ... who has not complied with the reporting requirement of Rule 26(a)(2)(B) ... should not be permitted to render opinions outside the course of treatment and beyond the reasonable reading of the medical records.” Lamere v. N.Y. State Office for the Aging, 223 F.R.D. 85, 89 (N.D.N.Y.2004). “[I]f a treating physician is called upon to review ...

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Barack v. American Honda Motor Co., 293 F.R.D. 106, 2013 WL 1688873, 2013 U.S. Dist. LEXIS 56044 (D. Conn. 2013).

293 F.R.D. 106 (Barack v. American Honda Motor Co.) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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