Federal Circuits, 1st Cir. (October 06, 2004)
Docket number: 03-2087
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Appeal from the United States District Court for the District of Massachusetts, Joseph L. Tauro, J. COPYRIGHT MATERIAL OMITTED COPYRIGHT MATERIAL OMITTED William L. Boesch with whom David A. Barry and Sugarman, Rogers, Barshak & Cohen, P.C. were on brief, for appellants.
Michael B. Flynn with whom Lori A. Wirkus and Flynn & Associates, P.C. were on brief, for appellees.Before BOUDIN, Chief Judge, TORRUELLA and DYK,* Circuit Judges.BOUDIN, Chief Judge.In 1998, Frank Gillespie was working as a locksmith after many years in various building trades. In September of that year, he asked his employer to let him keep its 10-inch table saw at his house for work and personal use, and his employer agreed. The saw, which he received from coworker Michael Kane, had been designed and manufactured by Emerson Electric Co. and sold by Sears, Roebuck & Co. under the Craftsman brand. Kane did not give Gillespie the saw's owner's manual or its blade guard.A standard table saw of the type used by Gillespie has a flat rectangular metal surface through which a rotary saw blade protrudes; the blade's height and angle can be adjusted for different kinds of cuts. The wood to be cut is fed into the blade by sliding the wood over the saw's table surface away from the user. For some cuts, the wood is kept in alignment by a metal guide called a rip fence on the saw's surface to one side of the blade. Behind the blade, there may also be affixed to the saw a spreader and blade guard as will be more fully described below.On November 23, 1998, Gillespie used the table saw to trim an inch off each side of a 28-inch-wide door. After finishing the cut, he shut off the saw and set the door down. Six seconds after shutting off the saw,1 Gillespie turned and his hand came into contact with the blade before it had stopped. The still-spinning blade lacerated several of his fingers; his badly damaged right ring finger had to be amputated after several unsuccessful surgeries.Gillespie and his wife, Deborah, brought suit in state court against Emerson and Sears (collectively, "Emerson"), who removed the case to district court. Gillespie's complaint, alleging that the accident was caused by defects in the saw's design, asserted claims of negligence and breach of implied warranty of merchantability under Massachusetts law; his theories of defect concerned (1) the design of the blade guard, (2) lack of a brake for the wheel, and (3) inadequate warning. Gillespie's wife claimed for loss of consortium.Trial was held in June 2003, and ? after denying Emerson's motion for judgment as a matter of law ? the judge sent the case to the jury with a special interrogatory form asking seven questions: whether Emerson had breached the warranty of merchantability and this breach caused the accident; whether Emerson had been negligent and this negligence caused the accident; whether Gillespie was also negligent and if so the degree of fault attributable to each side; the amount of damages due to Gillespie; and two questions pertaining to Deborah's loss of consortium and damages due to her.During deliberations, the jury sent two notes asking the purpose of the comparative negligence allocation. The judge responded (so far as is pertinent here) that the allocation of a percentage of negligence to Gillespie would reduce his recovery on the negligence claim by that percentage (unless his share of negligence exceeded 50 percent, in which case his recovery would be barred entirely). The response also noted that "no deduction ... will be made on the breach of warranty claim."Shortly thereafter, the jury found that Emerson breached its warranty of merchantability; that Emerson was negligent but that Gillespie was 49 percent contributorily negligent; that Gillespie had suffered $750,000 in damages and his wife $100,000. Following the verdict, Emerson renewed its motion for judgment as a matter of law, and (in the alternative) sought a new trial. The district court denied both requests, and entered judgment for the full $850,000.Emerson now appeals, asserting that there was insufficient evidence on the three defect theories to support the jury's verdict. Emerson also claims that the district court erred by refusing to instruct the jury on an "unreasonable use" defense to the breach of warranty claim. Finally, Emerson says that the district court erred in imposing discovery-related sanctions on Emerson and that these sanctions tainted the trial.Sufficiency of the evidence. In assessing the sufficiency of the evidence, the question for the court is whether, viewing the evidence in the light most favorable to the verdict, a rational jury could find in favor of the party who prevailed. DaSilva v. Am. Brands, Inc., 845 F.2d 356, 359 (1st Cir.1988); see also Santos v. Sunrise Medical, Inc., 351 F.3d 587, 590 (1st Cir.2003) ("In so doing, we do not consider the credibility of witnesses, resolve conflicts in testimony, or evaluate the weight of the evidence" (internal quotation marks omitted)). Our review of the district court's denial of Emerson's motion for judgment as a matter of law is de novo. Santos, 351 F.3d at 590.Whether there was enough evidence depends upon what Gillespie was required to prove. Gillespie's first claim was for negligence. Massachusetts law, which controls this case, requires manufacturers to design and produce products with reasonable care to eliminate avoidable dangers arising from reasonably foreseeable uses of the product. Cigna Ins. Co. v. Oy Saunatec, Ltd., 241 F.3d 1, 15 (1st Cir.2001). Manufacturers must guard against such dangers, Colter v. Barber-Greene Co., 403 Mass. 50, 525 N.E.2d 1305, 1311 n. 9 (1988), taking account of foreseeable carelessness on the part of the user, DeMedeiros v. Koehring Co., 709 F.2d 734, 739 (1st Cir.1983).In judging the adequacy of a product's design, pertinent factors includethe gravity of the danger posed by the challenged design, the likelihood that such danger would occur, the mechanical feasibility of a safer alternative design, the financial cost of an improved design, and the adverse consequences to the product and to the consumer that would result from an alternative design.Colter, 525 N.E.2d at 1310 (quoting Back v. Wickes Corp., 375 Mass. 633, 378 N.E.2d 964, 970 (1978)) (internal quotation marks omitted). An essential element of such a design flaw claim is that there be a safer alternative design. See Kotler v. Am. Tobacco Co., 926 F.2d 1217, 1225 (1st Cir.1990), vacated on other grounds, 505 U.S. 1215, 112 S.Ct. 3019, 120 L.Ed.2d 891, and judgment reissued, 981 F.2d 7 (1st Cir.1992); see also Uloth v. City Tank Corp., 376 Mass. 874, 384 N.E.2d 1188, 1193 (1978).Massachusetts law also treats manufacturers and sellers as warranting that their products are "fit for the ordinary purposes for which such goods are used." Mass. Gen. Laws ch. 106 § 2-314(2)(c) (2000). In most substantive respects (e.g., unreasonably dangerous design, reasonably foreseeable dangers, alternative design feasibility), the negligence and warranty inquiries are congruent. Oy Saunatec, 241 F.3d at 15-16; Back, 378 N.E.2d at 970; see also Allen v. Chance Mfg. Co., 398 Mass. 32, 494 N.E.2d 1324, 1326 (1986).2Gillespie's first theory of design defect focused on the design of the blade guard. On Gillespie's Craftsman saw, as with most of the comparable table saws on the market, the guard ? a kind of elongated plastic cap fitting over the top of the blade ? is mounted on the spreader, a vertical metal plate directly behind the blade. The spreader is to be used for "through cuts" ? in which the blade cuts all the way through the wood's thickness to cut it into two pieces ? and keeps the cut open after the wood passes behind the blade so that the two separated sides do not clamp back together onto the blade.For certain cuts, the blade is partly lowered to cut only a groove in the wood, rather than cutting all the way through the wood's thickness to produce two separate pieces. For such cuts ? called "non-through" cuts ? the spreader must be removed because it would otherwise block the wood as it passed over the blade. Gillespie's main expert (John Orlowski) testified that to conjoin the guard with the spreader ? which was removable and sometimes had to be removed ? invited users to take both off and then leave them off. Orlowksi said that the safer alternative design was to attach the blade guard to a cantilevered arm mounted by a bracket attached to the edge of the table, thus allowing the guard to be used with or without the spreader.At trial Emerson introduced into evidence a cantilevered guard called the UniGuard which Emerson's expert (Jack Hyde, Jr.) described as "the standard example of that type of design." Gillespie's expert admitted that the cantilevered guard could not be used for all cuts. More important, Hyde ? a former Emerson engineer ? testified that the UniGuard could not have been used for the particular cut that Gillespie was doing when he was injured, because the 28-inch-wide door could not have fit between the UniGuard's arm and the saw's rip fence that keeps the wood aligned as it is being sawed.Hyde's testimony on this point was not contradicted and it is fatal to Gillespie's theory of design defect. Even if it were negligent or a breach of warranty to supply the spreader-mounted guard rather than the less common cantilevered guard, Gillespie cannot prevail, as to this theory, without showing that the "better" design would have prevented his injury. See, e.g., Solimene v. B. Grauel & Co., K.G., 399 Mass. 790, 507 N.E.2d 662, 667 (1987); Fidalgo v. Columbus McKinnon Corp., 56 Mass.App.Ct. 176, 775 N.E.2d 803, 808 (2002). The cantilevered guard might be better much of the time but, if it could not have been used for the cut that injured Gillespie, its omission was not the cause in fact of his injury.Hyde's testimony was not quite conclusive. He said that the cut Gillespie made could not have been done with the UniGuard in place but he said nothing about other brands on the market. But the UniGuard was dubbed "standard" and Gillespie presented no other product to depict the "better" cantilevered guard. And absent rebuttal testimony, it would have been pure speculation for the jury to have supposed that some other model of cantilevered guard ? never offered in evidence or described ? could have been used for the cut in question. See Quintana-Ruiz v. Hyundai Motor Corp., 303 F.3d 62, 76-77 (1st Cir.2002).3Hyde also said that Emerson had previously tested cantilevered guards and found them less satisfactory than spreader-mounted guards; each type was compatible with some cuts but not all and, according to Hyde, the cantilevered guard was more prone to block wood unexpectedly and so to cause unexpected twisting of the wood and possible injury. Gillespie's expert gave no direct answer to this testimony. Given the lack of causation, however, we need not decide whether the jury could reasonably find the cantilevered guard superior.Gillespie's second theory of defect was that the saw blade should have had a brake that would decrease its "coasting" time once the power was shut off. Here, Gillespie had two experts; the thrust of their testimony was that the normal coasting time for the saw at issue ? 14 to 15 seconds after power shut-off ? could be reduced to a couple of seconds by an automatic electric-current brake available for use on power equipment. This longer-than-necessary coasting time, Gillespie claimed, constituted a foreseeable (and unreasonable) hazard that was compounded by the risks of removal of the guard and user inattention after the machine was switched off.Hyde said that he had tested such a brake for Emerson in 1986 but found that the braking effect tended to loosen the arbor nut holding the blade to the shaft, creating separate dangers of its own.4 Also, Hyde said that in 2003 he had tested for litigation purposes three brands of table saw equipped with brakes. The brakes did stop the blades in 2 to 4 seconds; but one saw's nut spun loose after nearly a thousand power cycles over the course of three hours. Over a longer period, the other two saws' nuts actually tightened.Much of the testimony of the dueling experts concerned the likelihood that the brakes would loosen the nuts and the consequences that would ensue if a nut did loosen. There was also conflicting testimony as to whether the Emerson saw, lacking a brake, met applicable ? but relatively vague ? standards issued by American National Standards Institute as well as similar OSHA regulations. It appears that such brakes were once rarely sold with table saws but are becoming somewhat more common.In principle, it appears that the braking action can increase the risk of loosening the nut, especially where the braking is severe.5 But, as we read the testimony in this case, a jury could have concluded that a brake of moderate force should have been employed. Such a brake could arguably have halted the saw in the 4 to 6 second range while leaving the start-up torque (which tightens the nut) sufficiently great compared to the braking torque (which loosens the nut) to ensure an overall tightening effect and minimal risk of arbor-nut loosening. Even in the 2 to 4 second range, Gillespie's expert said that the single failure in Hyde's test could have been caused by machine vibration or other causes unrelated to the brake.Emerson says on appeal that the brake was not needed if its guard was used, but the jury had adequate evidence that guards were often detached and that this was foreseeable. Nor is there a causation problem: the jury could also have found that Gillespie turned back to the still spinning blade only six seconds after he switched the machine off. Gillespie's earlier versions of the accident's timing might have made the brake causally irrelevant, but his final version, if believed, brought the accident into the time window where a potentially safe brake would have mattered.The claim of design flaw was debatable. The use of a brake for table saws was relatively rare even at the time of trial. A brake lessened but did not eliminate coasting, and it could loosen the arbor nut, creating additional dangers. Emerson had considered the balance of risks and benefits and consciously decided against adopting the brake for table saws. Many would think this a defensible judgment.Nevertheless, Gillespie offered two experts, one of whom made such brakes, both saying the judgment was wrong. At Emerson's behest we have reviewed their credentials and testimony and we cannot say that they were unqualified to give their testimony. Admittedly, Hyde was peculiarly qualified to testify to the contrary ? he had been involved in Emerson's safety engineering and had done the testing in 1986 and 2003 ? but he (no less than the experts for Gillespie) had his own kind of self-interest in the outcome. The blade-brake theory was for the jury to resolve.Gillespie's final theory rested on the duty to warn adequately of foreseeable dangers, which is a legitimate theory for liability under both negligence, see Slate v. Bethlehem Steel Corp., 400 Mass. 378, 510 N.E.2d 249, 251 (1987), and breach of warranty, see Vassallo v. Baxter Healthcare Corp., 428 Mass. 1, 696 N.E.2d 909, 922 (1998); Bavuso v. Caterpillar Indus., Inc., 408 Mass. 694, 563 N.E.2d 198, 201 (1990). Here, Gillespie's evidence was thin as to both causation and supposed inadequacy of the warning; but it was perhaps just barely possible for a rational jury to find in Gillespie's favor on both points.Gillespie's main failure-to-warn theory appears to have been that the warning labels on the side of the machine should have been placed on the saw's top surface and had better contrast and larger lettering. These warnings did advise users that the saw was dangerous and referred to the coasting danger (at least indirectly) by warning users to wait for the blade to stop "before adjusting or servicing." Hyde answered that a warning on the surface would be covered by the wood and eventually rubbed off. However, based on the testimony and depictions in the user's manual, we think the jury could have concluded that the label's coloring, contrast, size, and perhaps explicitness were inadequate.Causation would be lacking if the coasting-blade danger was obvious or otherwise known to the plaintiff. See Bavuso, 563 N.E.2d at 201-02; Colter, 525 N.E.2d at 1312. Gillespie admitted that the still-spinning blade was visible and audible, and that he "understood" that blades coasted, as any experienced user would assuredly know, see Bavuso, 563 N.E.2d at 202. The jury might have concluded from Gillespie's further testimony ? that he didn't "consider" the coasting hazard ? that he was not "fully aware," Morrell v. Precise Eng'g, Inc., 36 Mass.App.Ct. 935, 630 N.E.2d 291, 293 (1994), of the duration of the danger and that a more explicit or conspicuous warning would have heightened his awareness and prevented the accident. This is enough, although just barely so, to take the claim to the jury.Nevertheless, a new trial is required because the blade-guard theory fails. In this circuit, the rule in civil cases is that "a new trial is usually warranted if evidence is insufficient with respect to any one of multiple claims covered by a general verdict." Kerkhof v. MCI Worldcom, Inc., 282 F.3d 44, 52 (1st Cir.2002); see Lattimore v. Polaroid Corp., 99 F.3d 456, 468 (1st Cir.1996). This rule applies not only to general verdicts encompassing multiple causes of action, but to special verdicts where a single verdict question encompasses multiple theories, one of which is defective. Lattimore, 99 F.3d at 468.Although not all circuits follow our practice,6 it does accord with the Supreme Court precedents that require remand in civil cases when one of several claims or theories encompassed in a general verdict was flawed (e.g., because of a mistaken jury instruction). The only Supreme Court case squarely dealing with insufficient evidence on one theory, however, is a hundred years old, see Wilmington Star Mining Co. v. Fulton, 205 U.S. 60, 78-79, 27 S.Ct. 412, 51 L.Ed. 708 (1907), and the Court follows the opposite rule in criminal cases where the evidence is adequate on one theory but not another.7 The reality is that the degree of confidence that the jury picked a theory with adequate evidentiary support varies along a spectrum of situations.Our own approach is by no means rigid. Recognizing that a jury is likely to prefer a better supported theory to one less supported, we have generously applied the harmless error concept to rescue verdicts where we could be reasonably sure that the jury in fact relied upon a theory with adequate evidentiary support. See Davis v. Rennie, 264 F.3d 86, 106 (1st Cir.2001), cert. denied,Try vLex for FREE for 3 days
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