Menu

Volume 17, Edition 12 cases

Kelly v. EZ Rider & Company

Court of Appeal,

Fourth District, Division 1, California.

Matthew S. KELLY, Plaintiff and Appellant,

v.

EZ RIDER & COMPANY, et al., Defendants and Respondents.

 

D063065

Filed December 17, 2014

 

APPEAL from a judgment of the Superior Court of San Diego County, John S. Meyer, Judge. Affirmed. (No. 37–2010–00096994–CU–PA–CTL)

Aitken, Aitken, Cohn, Wylie A. Aitken; Law Offices of William J. Kopeny and William J. Kopeny for Plaintiff and Appellant.

 

Higgs, Fletcher & Mack, John Morris, Peter S. Doody, Virginia L. Price and Victoria E. Fuller for Defendants and Respondents.

 

HUFFMAN, Acting P.J.

*1 After a jury trial in this action for personal injury, plaintiff and appellant Matthew S. Kelly obtained a judgment that apportioned fault and proportionally awarded him damages. Kelly was on his bicycle at an intersection of San Diego city streets when he was hit by a big rig truck driven by defendant and respondent Ubaldo Rosales, while Rosales was employed by defendant and respondent EZ Rider & Company (EZ Rider; collectively Rosales).FN1 The jury determined that both Rosales and Kelly had been negligent and that Kelly had sustained over $5 million in damages due to his profound injuries. Rosales’s comparative fault was set at 25 percent and Kelly’s at 75 percent. The judgment reduced his damages accordingly to an award of $1,460,657.48.

 

FN1. Pursuant to stipulation, the jury was told that EZ Rider would be responsible for the acts of Rosales, under principles of vicarious liability and respondeat superior. There are no separate issues on appeal about the conduct of EZ Rider.

 

On appeal, Kelly chiefly argues the trial court erred in denying his requests to instruct the jury with his proposed special instructions based on several Vehicle Code FN2 sections that Rosales had allegedly violated at the time of the accident, as well as a related negligence per se instruction (CACI No. 418). (E.g., § 21460, subds. (a), (b) [generally driver of vehicle shall not drive to the left of double parallel lines, except as the section otherwise permits].) Kelly also requested that the jury be instructed about certain Vehicle Code sections that arguably supported his arguments that he had acted lawfully in riding his bicycle as he did, by stopping in a crosswalk in front of Rosales’s stopped truck at the red light, before Rosales started to turn and hit Kelly there. (E.g., § 21650, subd. (g) [operation of bicycles on shoulder of highway or sidewalk or bicycle path “or along any crosswalk” is not prohibited by the section, if such operation is not otherwise disallowed]; CACI No. 710 [comparing vehicle and pedestrian standards of care].) The trial court refused these requests, and Kelly claims prejudicial error.

 

FN2. All further statutory references are to the Vehicle Code unless noted. City streets are considered highways under section 360, as “a way or place of whatever nature, publicly maintained and open to the use of the public for purposes of vehicular travel. Highway includes street.” Under section 590, a “ ‘street’ is a way or place of whatever nature, publicly maintained and open to the use of the public for purposes of vehicular travel. Street includes highway.”

 

Kelly also argues on appeal that the trial court erroneously denied his counsel’s request to use a demonstrative aid during closing argument, a computer-created slide of an altered view from the driver’s seat of the truck. Further, Kelly argues the trial court misinterpreted the applicable restrictions on the number of experts that can be presented on a given topic, and thus it should have allowed his designated human factors expert (a psychologist who had trucking experience) to testify additionally about trucking standards of care. (Evid.Code, § 723.) Finally, cumulative prejudicial error is claimed.

 

*2 We have examined the arguments in light of the record and determine that the judgment must be affirmed.

 

FACTUAL AND PROCEDURAL BACKGROUND

A. The Accident and Investigation

At about 10:30 a.m. on Friday, December 18, 2009, 24–year–old Kelly was riding his bicycle from one of his places of part-time work to another, when he arrived at the intersection of Orange and Fairmount Avenues, going eastbound on Orange. It was a sunny day and the traffic signal at the intersection was working properly.

 

At the same time, Rosales, a professional truck driver from Arizona, was driving an 18–wheeler tractor trailer truck (the truck) on EZ Rider business, going east on Orange to make another pickup and delivery within the city. There were no signs prohibiting such trucks from driving on those multi-lane streets, which are in a mixed commercial and residential area. Rosales stopped the truck, which was 48 feet long, at the limit line for a red light at the intersection, in the right hand lane that allowed a driver to go straight or turn right. The height of the leading edge of the cab of the truck, at the front of the hood and grill on the driver’s side, was 5’11”.

 

As Rosales was stopped at the red light for some 30 to 90 seconds, he watched for pedestrians at the intersection to see if they were going to cross the street, and looked to his right side for cars that were coming from behind. He used the mirrors on both sides of his truck, seeing no movement in them. According to the directions he received from his dispatcher, he was planning to make a right turn, so he signaled a right turn with his blinking light.

 

As the truck was standing at the intersection, Kelly rode up alongside it in the same lane that allowed a driver to go straight or turn right, and he passed its wheels on the left side.FN3 Kelly stopped at the red light, in the crosswalk about 12–15 feet ahead and to the left of the grill of Rosales’s truck, where he thought he would be visible to the driver. For about a minute, Kelly was balancing on his wheels in a “track stand,” making him about five feet in height in total, located at the far side of the crosswalk line. At that moment, Rosales began to make a right-on-red turn onto Fairmount, by slowly moving forward past the Orange limit line and edging into the oncoming lanes, over the painted lines. Because of the turning radius of the truck, Rosales believed it was necessary to edge over the lines and previously, he had done so safely. Rosales knew there was a blind spot in front of the truck, due to the length of its chassis, and that the view of some of the crosswalk was blocked when he stopped. He explained, “It’s not possible to stay really far away because then you allow a lot of space in front from the limit line and the tractor.”

 

FN3. An investigating police officer, Kazimierz Lewak, testified that when he interviewed Kelly at the hospital shortly after the accident, Kelly told him that he must have passed Rosales’s truck on the right side. However, witnesses and Kelly later testified that he had actually passed the truck on the left, which is no longer in dispute.

 

*3 As Rosales’s truck moved forward in first gear, Kelly heard its noise increase, but he did not have time to react before its left front tires hit his bike where he had been balancing at the crosswalk line. The impact of the truck knocked the bike and rider to the left, dragging and grinding Kelly’s body into the pavement under its wheels. Kelly was screaming, but Rosales was unaware of any impact as he turned, until he saw a pedestrian waving and telling him to stop. He immediately stopped and got out. He saw Kelly pinned under one of his front wheels, and within 30–60 seconds, he got back in the truck and moved it four feet slowly in reverse, releasing Kelly from being crushed.

 

Rosales stayed with Kelly until an ambulance arrived and police cleared Rosales to go. The investigating officers prepared police reports (not admitted into evidence). Police officer Dale Van Horn inspected Rosales’s truck after the accident and did not find any visual obstructions in the cab or equipment violations.

 

B. Trial; Kelly’s Case

Kelly was hospitalized for over six weeks for treatment of his fractured and crushed pelvis, destroyed genitalia, fractured collarbone, and soft tissue injuries. Over the past five years, he has undergone extensive follow-up surgeries and treatment for his continuing injuries.FN4

 

FN4. Before trial, Kelly dismissed two governmental defendants in the transportation field.

 

This lawsuit went to trial in 2012. Kelly filed trial briefs, including one on the proposed limits of expert testimony. The court heard numerous in limine motions and deferred ruling on many of them concerning the scope of expert testimony, in favor of seeing how the issues developed at trial. The court referred to the rules that there would be only one expert allowed per area of testimony. The court denied a defense request to bifurcate the issues of liability and damage, on the ground that it would not save any trial time. That ruling is not challenged here. The court precluded any testimony on whether Rosales or Kelly was cited for any traffic infractions for the accident (they were not).

 

The jury heard testimony from Kelly, who said he had never seen a large commercial vehicle at this intersection, which he had often ridden through. He estimated that he had stopped approximately a car length, 12–15 feet, in front and to the left of the truck, since he did not believe it was safe to wait behind the truck, where he might be rear-ended. An eyewitness to the accident estimated that Kelly had been stopped about 15 feet ahead of the truck, when it was stopped at the red light. When the truck slowly began to turn, its left wheels ran over Kelly.

 

Each side called several expert witnesses to address, among other things, the estimated visibility from the cab of Rosales’s truck, depending on factors such as the pieces of the interior that affected the driver’s visibility (posts, dashboard and steering wheel), the position of the driver’s seat, and the length, height and slope of the hood.

 

Kelly designated four experts to testify at trial (although he did not call his trucking expert, Timothy Reust). His human factors/ergonomics expert, Anthony Stein, explained to the jury his understanding of how people interact with their environment. Stein, who previously had a trucker’s license, testified about the working situation of a truck driver, analyzing how different factors inside the cab can affect a driver’s visibility. Drivers need to be cognizant of the risks in traffic, pedestrians, mirrors, and the “blind spots” that are inherent in driving a truck, and they may need to adjust or shift around in their seats, such as when looking in a crosswalk. The court cautioned Kelly’s counsel to restrict Stein’s testimony away from whether the truck driver had operated correctly or incorrectly, or whether the bicyclist had done so.

 

*4 Kelly’s accident reconstructionist, Edward Fatzinger, testified from the evidence that as Rosales’s truck was beginning the right turn, it “was positioned such that the left side tires of the tractor-trailer were on or around the lane line dividing the left-turn lane and the straight through-lane.” At that time, Kelly was stationed at the limit line of the crosswalk, putting himself about 10–15 feet in front of the truck. Thus, the “area of impact was at approximately the right or east crosswalk line of the west crosswalk.” Fatzinger prepared exhibits showing simulations of where the various vehicles were during the sequence.

 

Kelly’s biomechanics expert, Jeffrey Wheeler, inspected the physical evidence from the accident (the bicycle and its scrape patterns, photographs, etc.), and surveyed the accident scene. He testified about the models and exhibits he had created to illustrate the scene and the events of the injury sequence. He explained that the bicycle’s handlebars were three feet from the ground, and the tires of the truck were three feet, three inches high. The leading edge of the grill of the truck was taller than the bicycle and Kelly’s head combined.

 

C. Defense Case

In Rosales’s testimony, he said that the driver’s seat moves up and down, and since he is short (5’4″), it was in the lowest position so that he could reach the pedals. Making the right turn required him to move into the left turn lane on Orange, to have enough space to make a right turn with safety. This required him to go across part of the double yellow line. He did not expect anyone to place themselves in front of the grill of his truck at the intersection, and he had never before seen a vehicle, bike or motorcycle pass his stopped truck, to get in front of his truck at a crosswalk, when his truck was first in line. He never saw that anyone was in his path until after the accident.

 

The defense trucking expert, Larry Miller, testified that he drove a car through the route Rosales drove, and found it was not inappropriate for a large truck. No signs were posted prohibiting a right-on-red turn at the intersection of Orange and Fairmount Avenues, and making a right turn at the intersection was within a trucker’s standard of care. Rosales had acted properly in stopping behind the crosswalk, since he had to see around the building to his right.

 

Gerald Bretting, the defense bicycling and accident reconstruction expert, testified that he took measurements of the dimensions of the truck and where Rosales said he was sitting in the cab. He was seeking to determine Rosales’s “line of sight” and “what [was] visible from that position.” As a driver, Rosales had to position his truck far to the left to make the wide right turn, to avoid having his trailer tires go over the curb.

 

According to Bretting, while Kelly was doing his track stand, he would have measured about five feet tall, shorter than the truck grill height. If Kelly had been closer than 15 feet to the front of Rosales’s truck, he would not have been visible as a cyclist balancing there. Using simulated reconstructed photographs he had prepared, Bretting’s opinion was that Kelly was probably positioned about 8–12 feet from the front of Rosales’s truck, and that consequently, Kelly would have been completely invisible to Rosales from the driver’s seat. However, if Kelly had been 15 feet ahead of the cab, he would have been partially visible “between the leading edge of the cab and the top part of the steering wheel.”

 

Bretting acknowledged that the higher up Rosales was actually sitting, the more he would have been able to see in front of the truck. Rosales’s view could have changed from different angles, and the steering wheel “seems to at least block some of the view.” Depending on where Rosales’s eyes were positioned, Kelly’s bike would have been more or less visible. Rosales could have looked under the steering wheel. Bretting could not find any information that anyone had documented the position of the seat at the time of the accident.

 

*5 In Bretting’s opinion, bicyclists should ride “predictably” and defensively, because they present a very small profile and are hard for vehicle drivers to see. He did not think it would be “predictable” for a bicyclist to pass a stopped truck at a red light and reach a position in front of the truck.

 

Mark Sanders, the human factors expert for the defense, testified his analysis showed that Rosales’s eyes were likely blocked in part by the steering wheel and/or the hood of the truck. Nothing had prevented Rosales from “moving his head right and left [or] from leaning over to look around the steering wheel,” so long as he could still reach the pedals. Generally, a truck driver approaching an intersection and coming to a stop at the limit line, when no one was in the crosswalk, would not be expecting to see anyone else there. If Kelly had been located 10 feet in front of Rosales’s truck, he would have been totally obscured, and at about 15 feet, it would be extremely unlikely that he would have been visible.

 

D. Verdict, Judgment, and Appeal

Kelly submitted briefs on jury instructions he was requesting, and numerous conferences on instructions were held, as will be further described in part I, post. After the case was submitted to the jury, the court dealt with several jury notes, one of which requested further instructions on negligence. The court responded that the jury should consult its copy of instruction CACI No. 401, regarding the definition of negligence in terms of the exercise of reasonable care.

 

During argument, Kelly’s attorney sought to use a demonstrative aid, a slide representing what would happen to the truck driver’s viewpoint, if one took away the steering wheel. He planned to use it to suggest that if Rosales had more diligently looked above or below the steering wheel, he would have been able to see Kelly on the bicycle. The court refused permission, stating that nothing could be shown to the jury that had not been admitted into evidence. Counsel continued to argue to the jury that if Rosales had moved his head an inch, he would have been able to see more from the driver’s seat.

 

After a few days of deliberations, the jury asked for testimony to be read back from both human factors experts, as well as the defense’s accident reconstructionist and truck driving expert. The court replied, “This will entail 2 days of the court reporter reading her notes in the jury room. Is this what you want?” The jury took a break, and two and a half hours later, notified the court that it had reached a verdict.

 

The jury verdict determined nine to three that Rosales had been negligent and that his actions were a substantial factor in causing the injuries to Kelly. The special verdict found by a 12 to 0 vote that Kelly had been negligent, also substantially causing his own injuries. The jury set Rosales’s degree of fault at 25 percent, while Kelly’s was 75 percent. The jury set Kelly’s entire damage amount at $5,842,629.93. The judgment accordingly awarded him the amount of $1,460,657.48. Kelly sought a new trial or an additur, which were denied. He timely appealed.

 

DISCUSSION

We first address Kelly’s contentions of various forms of prejudicial instructional error. We then turn to the issues raised about his counsel’s proposed use of a demonstrative aid in argument, the limitations that were placed upon the testimony offered by his human factors expert, and his contention that cumulative error requires reversal of the judgment.

 

I

INSTRUCTIONAL ERROR CLAIMS

A. Background and Issues Presented

*6 Kelly mainly focuses on whether the jury received inadequate instructions to assess properly the comparative fault in this case. In discussions with counsel, the court said it was viewing the case as one of straight negligence, such that special instructions with Vehicle Code language would not be appropriate. The court pointed out that nobody had identified a violation of the law, such as speeding or an illegal turn.FN5 The court said it would be venturing onto a slippery slope to begin to give such marginally relevant instructions, and it therefore denied Kelly’s requests for the statutorily based instructional language, except for section 21200.

 

FN5. In his appellate briefs, Kelly continues to argue that Rosales violated several statutes, as described post. However, he cannot point to any place in the record establishing that Rosales did. Kelly only complains that the defense experts misinterpreted the law, and he offers different interpretations on appeal. The real question is whether the trial court correctly treated this as a “straight negligence” case, and as will be shown, it did.

 

By agreement of counsel, the court gave such a special instruction based on section 21200, subdivision (a), on the basic duty of care of a bicyclist as follows: “Every person riding a bicycle upon a highway has all the rights and is subject to all the provisions applicable to the driver of a vehicle by this division.” The jury was generally instructed on the essential factual elements of negligence and substantial factor causation. According to the definitions of negligence in CACI Nos. 400 and 401, the jury was told it must decide how a reasonably careful person would have acted in Kelly’s or Rosales’s situations.

 

Among other standard instructions, the trial court gave CACI No. 205, regarding the failure of a party to explain or deny certain evidence. The court also gave a standard comparative fault instruction, CACI No. 405. Pursuant to CACI No. 411, the jury was told that any person has a right to expect that others will use reasonable care, unless he or she has reason to know that the other person will not do so.

 

The trial court further instructed the jury in the language of CACI No. 700, on the duty of a driver to use reasonable care. “Drivers must keep a lookout for pedestrians, obstacles, and other vehicles. They must also control the speed and movement of their vehicles. The failure to use reasonable care in driving a vehicle is negligence.”

 

Kelly contends it was error for the trial court to deny his requests to supply additional jury instructions based on statute, which he claims were supported by the evidence. First, he proposed instructions based on several Vehicle Code sections that Rosales had allegedly violated in making his right turn, as well as a related negligence per se instruction (CACI No. 418). (E.g., § 21453, subd. (b) [driver generally can turn right on steady red signal light after stopping, but must yield right-of-way to pedestrians lawfully within crosswalk and to approaching vehicles, “and shall continue to yield the right-of-way to that vehicle until the driver can proceed with reasonable safety”].)

 

Next, Kelly requested that the jury be instructed about certain Vehicle Code sections that arguably supported his arguments that he had acted lawfully in riding his bicycle as he did. (E.g., § 231 [definition of bicycle]; § 21650, subd. (g) [operation of bicycles on shoulder of highway or sidewalk or bicycle path “or along any crosswalk” is not prohibited by the section, if such operation is not otherwise forbidden]; see CACI No. 710 [respective duties of care of drivers and pedestrians].)

 

B. Applicable Standards

*7 “ ‘[A] party is entitled to have the jury instructed as to his theory of the case provided (1) that he requests and submits legally correct instructions, and (2) that there is sufficient evidence to support the theory.’ ” ( Thompson Pacific Construction, Inc. v. City of Sunnyvale (2007) 155 Cal.App.4th 525, 547.)

 

In reviewing a claim that the trial court improperly refused a requested jury instruction, we view the evidence in the light most favorable to the party who requested the instruction. ( Alcala v. Vazmar Corp. (2008) 167 Cal.App.4th 747, 754 (Alcala ).) “[W]e assume that the jury might have believed the evidence upon which the instruction favorable to the [requesting party] was predicated.” (Ibid.)

 

To the extent that statutory interpretation is required in reviewing the validity or possible effect of proposed instructions, we utilize a de novo standard of review for such questions of law. ( Cristler v. Express Messenger Systems, Inc. (2009) 171 Cal.App.4th 72, 82; Spriesterbach v. Holland (2013) 215 Cal.App.4th 255, 263 (Spriesterbach ).) Determining the existence of a legal duty to use reasonable care under a particular set of facts is a question of law for the trial court to decide. ( Phillips v. TLC Plumbing Inc. (2009) 172 Cal.App.4th 1133, 1139.) Interpretation of the statutes’ applicability to the evidence as given presents such a legal question for analyzing the adequacy of the proposed instructions.

 

Judgments are not reversed for instructional error unless the error caused a miscarriage of justice. ( Soule v. General Motors Corp. (1994) 8 Cal.4th 548, 574 (Soule ); Alcala, supra, 167 Cal.App.4th 747, 755.) The court must evaluate probable prejudice by taking into account the state of the evidence, the effect of other instructions and of counsels’ arguments, and any indications by the jurors that they were misled. (Soule, supra, at pp. 580–581.)

 

If a given instruction is found to be erroneous, reversal is required only if it appears probable that the improper instruction misled the jury and affected its verdict. ( Spriesterbach, supra, 215 Cal.App.4th 255, 273.) This standard applies to Kelly’s claim that the instruction given on the basic duty of care of a bicyclist (§ 21200, subd. (a)) was inadequate, even though he originally joined in requesting it.FN6 After further describing the content of each proposed instruction, we analyze the arguments about them.

 

FN6. The instruction given based on section 21200 only included its basic concept that a bicycle rider has all the rights and is subject to all the regulations applicable to a vehicle driver. The parties do not point to any evidence at trial that would have required the giving of any instruction additionally addressing other provisions of section 21200, such as the statutory language, “except those provisions that by their very nature can have no application.” No issues are presented about that exception, nor about the other provisions of section 21200, subdivision (a) (making it unlawful for any person to ride a bicycle upon a highway while under the influence of an alcoholic beverage and/or any drugs). Likewise, no issues are raised about section 21200, subdivision (b), regarding a peace officer’s operation of a bicycle during the course of his or her duties.

 

C. Statutory Instruction Requests on Conduct of Defendant; Analysis

*8 Kelly contends he presented sufficient evidence at trial to support additional jury instructions based on statute, to highlight his theories on comparative fault that Rosales acted unlawfully in making the right turn. Kelly’s proposed instructions in this respect were mainly based upon section 21460, subdivision (a) (driver of vehicle shall not drive to the left of double parallel solid yellow lines, except as the section permits), and upon section 21650, subdivision (a) (generally, vehicle is to be driven on the right half of the roadway, except when overtaking/passing another vehicle that is proceeding in the same direction).

 

Additionally, Kelly relies on the “reasonable safety” language in section 21453, subdivision (b) (driver generally can turn right on steady red signal light after stopping, but must yield right-of-way to pedestrians lawfully within crosswalk and to approaching vehicles, “and shall continue to yield the right-of-way to that vehicle until the driver can proceed with reasonable safety”). Section 22106 also contains “reasonable safety” language (“No person shall start a vehicle stopped, standing, or parked on a highway … until such movement can be made with reasonable safety.”).

 

According to Kelly, Rosales made an illegal right turn on red, by extending his left wheels over the painted dividing lines into the Orange Avenue left turn lane and/or the Fairmount Avenue oncoming lanes. Section 21460, subdivisions (a), (b) and (c) require that a vehicle shall not drive to the left of double parallel solid yellow or white lines, except that if one line is broken, the driver on the side of the roadway where the broken line is in place may cross over the double lines or drive to the left of the double lines when overtaking or passing other vehicles.FN7

 

FN7. Section 21460, subdivisions (a) through (c) read as follows: “(a) If double parallel solid yellow lines are in place, a person driving a vehicle shall not drive to the left of the lines, except as permitted in this section. [¶] (b) If double parallel solid white lines are in place, a person driving a vehicle shall not cross any part of those double solid white lines, except as permitted in this section [or by Section 21655.8, covering HOV lanes]. [¶] (c) If the double parallel lines, one of which is broken, are in place, a person driving a vehicle shall not drive to the left of the lines, except as follows: [¶] (1) If the driver is on the side of the roadway in which the broken line is in place, the driver may cross over the double lines or drive to the left of the double lines when overtaking or passing other vehicles [¶]….” (Although § 21460.5 is mentioned in § 21460, subd. (b)(2) as applying to two-way left turn lanes, these facts do not include a left turn.) Section 21460, subdivision (d) is not argued to apply (covering a left turn at an intersection or into/out of driveway or private road, or a legal U-turn, or a turn from designated offcenter traffic lanes). Neither does section 21460, subdivision (e) apply (allows raised pavement markers).

 

It is not disputed that neither Rosales nor Kelly were cited for any traffic violations arising out of the accident, and no police reports were introduced into evidence. However, the expert opinion testimony varied on whether Rosales had made the right turn on red with due care, under all the circumstances, including the degree of visibility from his driver’s seat and the intrusion of his left wheels into the opposite lanes. It is not necessarily illegal to cross double yellow lines, and under some situations, that can be a legitimate driving maneuver. Specifically, section 21460, subdivisions (a), (b) and (c) as a whole allow a vehicle to drive to the left of double parallel solid yellow or white lines if one line is broken, such that the driver may cross over the double lines or drive to the left of the double lines when overtaking or passing other vehicles.

 

*9 Under section 21453, subdivisions (a) and (b), a driver must stop at the marked limit line for a steady circular red signal, but if no sign prohibits turning on red, the driver may turn right, while yielding the right-of-way to pedestrians lawfully within an adjacent crosswalk. Then, with respect to “any vehicle that has approached or is approaching so closely as to constitute an immediate hazard to the driver,” section 21453, subdivision (b) requires the driver making such a legal right turn at a red signal light, after stopping, to yield the right-of-way to vehicles approaching from the other directions and in other lanes. This right turn thus required Rosales to yield to oncoming traffic, while he was temporarily going into the opposite lanes while turning. Further, section 21453, subdivision (b) requires that the driver making such a turn “shall continue to yield the right-of-way to that vehicle until the driver can proceed with reasonable safety.” FN8 Essentially, these sections provide that making a right turn under these circumstances required the truck driver to face and pass oncoming vehicles, while yielding the right-of-way to promote reasonable safety.

 

FN8. Section 21453, subdivisions (c), dealing with red arrows or (d), pedestrians, are not applicable here.

 

Under section 22106, “[n]o person shall start a vehicle stopped, standing, or parked on a highway … until such movement can be made with reasonable safety.” Based upon the evidence of what Rosales apparently did or could perceive, he evaluated this turning situation as reasonably safe, but tragically, it was not. Referring to all of these related code sections, Kelly argues that the bicycle instruction that was given, based on section 21200, was simply inadequate to address all his arguments on comparative negligence.

 

We cannot agree, because Kelly’s ongoing claim that Rosales acted illegally is not supported by the record or the statutes relied upon. The driver making a right-on-red turn must yield the right-of-way to pedestrians and to vehicles in view, by acting in a reasonably safe manner, whether those vehicles are oncoming or going the same direction. (§ 21453, subd. (b); § 21460, subd. (a).) Under the instructions as given, the jury had a full opportunity to evaluate whether Rosales could perceive Kelly where he was balancing in front of the truck, or whether Rosales reasonably should have been able to do so, with reference to all the factual circumstances and the legal definitions of due care. The proposed added statutory language would not have added any useful or essential concepts to enable the jury to more precisely decide the comparative fault issue.

 

Arguably, defense counsel somewhat oversimplified the issues when arguing that “if a car can’t do it, a bike can’t do it. If a Ford Taurus couldn’t pass Mr. Rosales’s truck and get in front of him and stop in the crosswalk, then a bicyclist couldn’t do it.” Theoretically, there are some things a bicycle can do that a car cannot do, such as riding the opposite direction on a sidewalk, within the boundaries of section 21650.1. ( Spriesterbach, supra, 215 Cal.App.4th 255, 270 [bicycles need not travel in the same direction as vehicular traffic when ridden on a “sidewalk”; pt. I.E., post ].) But that is not this case, where there was evidence that Kelly as a bicyclist was acting in an unusual and unpredictable way, by sharing a single traffic lane and taking over the lead position at the red light, relatively too close to the grill of the truck, as it turned out.

 

For instructional purposes, the trial court properly analyzed the statutes in determining the scope of the legal duties of reasonable care under this set of facts. ( Phillips v. TLC Plumbing Inc., supra, 172 Cal.App.4th 1133, 1139.) We find no error in the refusal of Kelly’s proposed Vehicle Code special instructions.

 

D. Negligence Per Se

Based upon the same supposed violations of the Vehicle Code, Kelly sought to have CACI No. 418 given on negligence per se, to shift the burden of proof to Rosales. ( Hargrave v. Winquist (1982) 134 Cal.App.3d 916, 925.) CACI No. 418 would have provided that if the jury found the defendant violated a specified statute, regulation, or ordinance, it would have proceeded by determining whether:

 

*10 “[T]he violation was a substantial factor in bringing about the harm, [&] then you must find that [defendant] was negligent [unless you also find that the violation was excused].

 

“If you find that [defendant] did not violate this law or that the violation was not a substantial factor in bringing about the harm [or if you find the violation was excused], then you must still decide whether [defendant] was negligent in light of the other instructions.”

 

All four elements of Evidence Code section 669 must be shown in support of a claim of negligence per se. These are the defendant’s violation of a statute, ordinance, or regulation, which proximately caused injury to the plaintiff; that the “injury resulted from an occurrence of the nature which the statute, ordinance, or regulation was designed to prevent;” and that the injured person was within the intended class of protected persons. (Ibid.; Newhall Land & Farming Co. v. Superior Court (1993) 19 Cal.App.4th 334, 347.) Whether a person violated such a statute and whether the violation proximately caused injury are normally questions for the trier of fact. ( Daum v. SpineCare Medical Group, Inc. (1997) 52 Cal.App.4th 1285, 1306.) Whether the injury resulted from an occurrence that the statute was designed to prevent and whether the injured person was among the class of protected persons are questions of law. (Ibid.)

 

Without more clearly identified terms of the Vehicle Code sections that Rosales is said to have violated, the jury should not have been given the opportunity to decide pursuant to CACI No. 418 that certain ones were violated, and whether proximate cause of these injuries was shown. Kelly did not provide a sufficient factual and legal basis for the giving of his requested negligence per se instruction.

 

E. Refusal to Give Requested Instructions on Plaintiff’s Own Conduct; Analysis

Kelly next offered several instructions using Vehicle Code language to support his position that his own operation of his bicycle at the time of the accident was nonnegligent and within the law. His requests were denied, which he contends was prejudicial error.

 

Mainly, Kelly sought to have an instruction given based on the following language of section 21650, subdivisions (a) and (g), generally providing that vehicles shall be driven upon the right half of the roadway, except that the operation of bicycles is not prohibited upon “any shoulder of a highway, on any sidewalk, on any bicycle path within a highway, or along any crosswalk or bicycle path crossing, where the operation is not otherwise prohibited by this code or local ordinance.” (§ 21650, subd. (g); italics added.) FN9 Kelly argued that the jury needed to hear this language in order to evaluate properly his presence on his bicycle in the crosswalk, ahead of Rosales’s truck, at the time of the accident.

 

FN9. Section 21650, subdivision (a) provides: “Upon all highways, a vehicle shall be driven upon the right half of the roadway, except as follows: [¶] (a) When overtaking and passing another vehicle proceeding in the same direction under the rules governing that movement.”

 

We disagree, because when Kelly stopped at the crosswalk, he was not utilizing his bicycle “along” a crosswalk, such as walking his bicycle across the street. He has not brought the facts of his case within the plain language of section 21650, subdivision (g).

 

*11 Likewise, when Kelly requested that the court instruct the jury in the language of CACI No. 710 (respective duties of care for pedestrians and drivers), the trial court responded that the facts of how the accident occurred were not seriously disputed. No pedestrians or children in the crosswalk were involved, nor any speeding vehicles. Kelly nevertheless claims error with respect to that refusal to give CACI No. 710, which reads: “The duty to use reasonable care does not require the same amount of caution from drivers and pedestrians. While both drivers and pedestrians must be aware that motor vehicles can cause serious injuries, drivers must use more care than pedestrians.” (See Cucinella v. Weston Biscuit Co. (1954) 42 Cal.2d 71, 80–81 [such an instruction informs the jury that ordinary care duties vary with the responsibility involved and depend upon the character of the instrumentality being used or the nature of the act being performed, as related to surrounding circumstances].)

 

Kelly’s argument that because he was in the crosswalk, he should be viewed as the equivalent to a pedestrian, is not supported by statute or other authorities. The statutory definition of a pedestrian under section 467, subdivision (a)(1) expressly excludes a bicyclist (“a ‘pedestrian’ is a person who is afoot or who is using any of the following: [¶] (1) a means of conveyance propelled by human power other than a bicycle.”). Historically, the case law imposing greater duties of care upon drivers as compared to pedestrians deals with situations in which the driver either saw, could have seen, or should have seen the pedestrian, such as in a crosswalk or crossing a street. (See, e.g., Kuist v. Curran (1953) 116 Cal.App.2d 404, 406–408 [automobile has greater potential of inflicting harm than pedestrian]; Dawson v. Lalanne (1937) 22 Cal.App.2d 314, 315.) As noted by the trial court, Kelly as a bicyclist was not occupying the pedestrian crosswalk as a pedestrian at the time of the accident. Even in view of the size and weight differences between this bicycle and this truck, Kelly cannot claim any heightened duties of care or protection from pedestrian status, for purposes of evaluating his request for CACI No. 710. Instead, the general instruction given under section 21200 adequately set forth the respective duties of the driver and the bicyclist, in this “straight negligence” context. ( Cucinella v. Weston Biscuit Co., supra, 42 Cal.2d 71, 80–81 [ordinary care duties vary with the responsibility involved as related to surrounding circumstances].)

 

Kelly also requested that the jury be instructed in the language of section 231, which defines a bicycle as a human powered wheeled device, stating that, “Persons riding bicycles are subject to the provisions of this code specified in Sections 21200 and 21200.5.” (§§ 231, 21200.5 [prohibits riding a bicycle under the influence of alcoholic beverages or drugs, but there are no facts about alcohol or drugs in this case].) This definition of a bicyclist would not have added any useful information for the jury, which had already been advised that under section 21200, subdivision (a), “[a] person riding a bicycle … upon a highway has all the rights and is subject to all the provisions applicable to the driver of a vehicle by this division.”

 

It is not disputed that Kelly was traveling in the same direction as the vehicular traffic, including the truck. He therefore argues that the trial court should have given his proposed instruction using the language of section 21650.1, that “A bicycle operated on a roadway, or the shoulder of a highway, shall be operated in the same direction as vehicles are required to be driven upon the roadway.” (§ 21650.1.) The statutory definition of “a ‘roadway’ is ‘that portion of a highway improved, designed, or ordinarily used for vehicular travel.’ (§ 530.)” ( Spriesterbach, supra, 215 Cal.App.4th 255, 270.) Under these facts, this instruction would have added nothing useful.

 

*12 It is also not disputed that Kelly was not riding on the sidewalk. Therefore, a recent interpretation of section 21650.1 is irrelevant, that it does not require bicycles to travel in the same direction as vehicular traffic when ridden on a “sidewalk.” ( Spriesterbach, supra, 215 Cal.App.4th 255, 269–273; § 555 [a sidewalk is a pedestrian’s portion of a highway].) In that case, the plaintiff was riding his bicycle on the sidewalk in the opposite direction of street traffic, and was hurt when a driver exited a parking lot and hit him. Under section 21650.1, the bicyclist was not deemed to be negligent per se, merely because he was not going in the same direction as vehicles, because he was not on the highway or roadway.

 

In the case before us, we cannot see how any requested instruction based on section 21650.1 would have been helpful to show that Kelly was riding legally or with due care when he stopped in the crosswalk in front of the truck, even though they were going in the same direction. Instead, the instruction given pursuant to section 21200, that “[a] person riding a bicycle … upon a highway has all the rights and is subject to all the provisions applicable to the driver of a vehicle by this division,” adequately covered that ground. (§ 21200, subd. (a).)

 

In conclusion, Kelly did not show that any instructional error occurred to cause any probable prejudice, in light of the state of the evidence, the effect of other instructions on duties of care, and the import of the respective arguments by counsel. ( Soule, supra, 8 Cal.4th at pp. 580–581.) There is no clear indication in the record that the jurors were misled about their duty to properly evaluate Kelly’s or Rosales’s conduct, in light of the applicable comparative negligence principles they were given.

 

II

DENIAL OF USE OF DEMONSTRATIVE AID TO ARGUMENT

A. Issues Presented and Facts

On appeal, Kelly contends the trial court’s refusal to allow him to use a demonstrative aid, a slide of a visual simulation of the truck driver’s viewpoint if the steering wheel were taken away, violated his right to have the jury consider a major theory of the defendant’s liability. (See John B. Gunn Law Corporation v. Maynard (1987) 189 Cal.App.3d 1565, 1573.) Kelly sought to use the slide to argue to the jury that if Rosales had looked farther above or below the steering wheel, he would have seen Kelly on the bicycle.

 

The record shows that the issue arose when counsel had completed the presentation of evidence and the court was preparing for closing arguments, by discussing their proper scope. The court reminded counsel that only items admitted into evidence could be shown to the jury. When Kelly’s counsel began his argument, he told the jury that Rosales could have simply looked above or below the steering wheel, and when starting to put up his slide, counsel said “[W]e’re going to show you what would happen if you take away the steering wheel.” Rosales’s objection was sustained, but Kelly’s counsel responded that he was only “making a presentation as if [Rosales] had moved [his head], [and] this is what he would have seen.” The trial court again told him that if this presentation had not been admitted into evidence, counsel could not do that. Counsel told the jurors that they could nevertheless use their logic and common sense as he was suggesting.

 

Later in argument, defense counsel asked the jury to consider why Kelly had not produced a truck driving expert witness to testify that Rosales had not acted in a reasonably careful manner, either in choosing his route or in using that method of making the turn. She referred to photographs prepared by their accident reconstruction expert, showing what the truck driver could see if the bicyclist were positioned five feet, 10 feet, or 15 feet away from the cab of the truck. In rebuttal, Kelly’s attorney further discussed the visibility issue by referring to the same photographs and also to diagrams presented by his own accident reconstructionist.

 

B. Authorities and Analysis

*13 A demonstrative aid is properly admissible to illustrate and clarify a witness’s testimony to the jury. ( People v. Ham (1970) 7 Cal.App.3d 768, 780.) The demonstrative evidence or aid must be substantially similar to that which it seeks to illustrate, to be supported by an adequate foundation in the evidence. (Ibid.) The trial court has discretion to determine whether a proposed demonstrative aid lacks a proper foundation or has a possible misleading effect. ( County of San Mateo v. Christen (1937) 22 Cal.App.2d 375, 378; 2 Witkin, Cal. Evidence (5th ed. 2012) Demonstrative, Experimental, and Scientific Evidence, § 26, p. 39.)

 

In People v. Barnett (1998) 17 Cal.4th 1044, 1135–1136 (Barnett ), the Supreme Court evaluated a trial court’s decision to permit the prosecutor to display to the jury, during closing argument, a demonstrative aid that had not been admitted into evidence at trial. That was a knife similar in appearance to the actual weapon used in the charged crime. No error or abuse of discretion under Evidence Code section 352 resulted, because the testimony at trial had “provided a sufficient basis for the knife’s display,” and “there was no attempt to mislead the jury into believing the knife was the actual murder weapon.” (Barnett, supra, at p. 1136.)

 

We presume the jury followed the court’s instructions on the use of admitted evidence, and did not incorrectly rely upon facts from the argument of counsel. ( People v. Valdez (2004) 32 Cal.4th 73, 114, fn. 14.) The jury was made aware that an attorney’s comments are advocacy and do not constitute evidence. (See Spriesterbach, supra, 215 Cal.App.4th 255, 274.)

 

Using those analytical approaches, we cannot find that Kelly adequately created a foundation to justify use of this apparently newly created slide or proposed exhibit. It is unclear from the briefs whether the proposed demonstrative item, to show a different potential view from the steering wheel, was in any way included in the exhibits. Although Kelly’s reply brief states that the exhibits will be transmitted to the court before oral argument, they have not been received. (See People v. Buttles (1990) 223 Cal.App.3d 1631, 1639–1640 [adequate record required for effective appellate review of claim about demonstrative evidence].)

 

Next, the record does not show a specific offer of proof was made to enable the trial court or this court to determine the accuracy or admissibility of the proposed demonstrative aid. (See Semsch v. Henry Mayo Newhall Memorial Hospital (1985) 171 Cal.App.3d 162, 168.) We cannot assume the accuracy of such an item, based on mere descriptions in the briefs. This record does not allow any determination of whether it amounted to a fair representation of the relevant underlying testimony or evidence.

 

In any event, both sets of experts had thoroughly addressed various visibility issues from the driver’s seat of the truck, and Kelly’s counsel continued to argue to the jury that Rosales should have taken more care to look over, under, or through the steering wheel at the time of the accident. In response, defense counsel referred to photographs and exhibits on that subject created by the accident reconstructionists. There was a danger that the jury would be misled by a newly created slide that was not authenticated by a witness. ( Barnett, supra, 17 Cal.4th 1044, 1135–1136.)

 

Even without this simulation being presented to the jurors, Kelly was able to suggest that they could draw logical inferences from the evidence about the presence or absence of the steering wheel parts, with respect to Rosales’s line of sight and conduct at the time of the accident. Contrary to Kelly’s arguments, the jury was not precluded from hearing an essential theory of trial, and it had adequate evidence to consider about visibility, in light of all the arguments made.

 

*14 We therefore disagree with Kelly that the court’s decision to restrict the use of exhibits to admitted exhibits could have amounted to reversible error or an abuse of discretion. (Evid.Code, § 354, subd. (a) [“A verdict or finding shall not be set aside, nor shall the judgment … be reversed, by reason of the erroneous exclusion of evidence unless … [t]he substance, purpose and relevance of the excluded evidence was made known to the court by the questions asked, an offer of proof, or by any other means”]; see Soule, supra, 8 Cal.4th 548, 574.) Without such error, no basis for reversal has been shown in this respect.

 

III

NUMBER OF EXPERT WITNESSES; NO CUMULATIVE ERROR

A. Background

Kelly contends the court erred in refusing to allow his human factors expert, psychologist Anthony Stein, to give additional expert testimony about trucking standards of care. Kelly designated Stein as his human factors and bicycling expert, outlining his expected expert testimony as involving human operator performance in the subject accident, visual factors, accident reconstruction and probable cause. (Code Civ. Proc., § 2034.260.) Stein’s experience included holding a trucking license between 1978 and 2008. Although Kelly also designated a trucking expert, Timothy Reust, he did not call him as a witness.

 

As a human factors expert, Stein testified about the behavior of the truck driver and the bicycle rider, and addressed the work environment of the truck driver in terms of his seating position and general “visibility issues along the side of the truck.” However, when Kelly sought to inquire from Stein about his driving experience as a trucker, defense counsel objected. The trial court discussed the matter with counsel, telling Kelly’s counsel that Stein’s testimony should be restricted to his designated area of expertise, human factors. The trial court then cautioned Kelly’s counsel that Stein was not a trucking expert, “and I just want to make sure you understand the limitations.” Kelly’s counsel informed the court that Stein had also done trucking research. The trial court reminded counsel that Stein had not been designated as a trucking operations expert.

 

At that point, Kelly’s counsel suggested that an area of inquiry would be why EZ Rider had not kept in better contact with the driver, regarding the route to use to get to his next job (since Kelly was then arguing Rosales should not have been told to drive on city streets; that argument is not being pursued on appeal; see fn. 1, ante ). The trial court responded: “That’s not a human factors opinion.” The court reiterated that Stein would be allowed to testify regarding the ergonomics of a truck cab and what would be expected of a trucker in certain situations, but not about his opinions on the standard of care for driving a truck.

 

Stein’s opinions about the “work environment” inside a truck included concepts such as how to compensate for its blind spots and for its great size and limited maneuverability. The trial court reminded Kelly’s counsel that Stein’s personal opinions or his personal experience based on driving a truck were irrelevant here. Further similar testimony was given, and Stein underwent cross-examination about a truck driver’s obligations (e.g., ensuring that traffic is clear and there are no pedestrians in the path of a turn).

 

B. Authorities and Analysis

Evidence Code section 723 provides: “The court may, at any time before or during the trial of an action, limit the number of expert witnesses to be called by any party.” A trial court has broad discretion to rule on the admissibility of expert witness opinions, including the number of expert witnesses to be called by any party. (See People v. Ramos (1997) 15 Cal.4th 1133, 1175; Horn v. General Motors Corp. (1976) 17 Cal.3d 359, 371.) On review of a trial court’s ruling that excluded an expert’s opinion, the appellate court examines whether any abuse of discretion is apparent. ( Dickison v. Howen (1990) 220 Cal.App.3d 1471, 1476; Boston v. Penny Lane Centers, Inc. (2009) 170 Cal.App.4th 936, 950.) In general, “discretion is always delimited by the statutes governing the particular issue.” ( Zellerino v. Brown (1991) 235 Cal.App.3d 1097, 1107.)

 

*15 Code of Civil Procedure section 2034.300 provides in relevant part: “[O]n objection of any party who has made a complete and timely compliance with Section 2034.260, the trial court shall exclude from evidence the expert opinion of any witness that is offered by any party who has unreasonably failed to do any of the following: (a) List that witness as an expert under Section 2034.260.” (Italics added.) If a party fails to designate an expert witness under the above provisions, the expert’s testimony may be excluded where (1) the other party objects, and (2) the failure to list the expert was unreasonable.

 

Here, the trial court repeatedly told Kelly that only one expert per subject area would be allowed to testify, consistent with the expert designations made. (Evid.Code, § 723; Super. Ct. San Diego County, Local Rules, rule 2.1.11.) Rosales’s counsel argued to the jury that Kelly had been unable to produce experts who could testify that Rosales had failed to meet a standard of reasonable care. It is not enough for Kelly now to argue that more evidence could have been presented in his favor about trucking, or that this is a simple matter of exalting form over substance, in light of Stein’s dual sets of qualifications.

 

Rather, the point should be that Kelly had designated a different trucking expert, and Stein had been deposed on human factors issues, even though he also had significant experience as a trucker. Kelly is bound by the expert designations made and he has not cited to any portion of the record showing that he sought relief to expand them. (Code Civ. Proc., § 2034.610 et seq.) Even in light of the aggressive nature of the defense arguments in this respect, the court did not abuse its discretion to adhere to the expert designations made.

 

Finally, we reject Kelly’s argument that collectively, any arguable instructional or procedural errors (if any) made it impossible for him to have a fair trial on the negligence issues, including comparative fault. ( Dam v. Lake Aliso Riding School (1936) 6 Cal.2d 395, 399.) We are mindful of the gravity of the injuries that Kelly suffered, but must conclude he has given us no legal basis to undo the jury’s verdict or the judgment of the trial court.

 

DISPOSITION

Judgment affirmed. Respondents shall recover their costs on appeal.

 

WE CONCUR:

NARES, J.

McDONALD, J.

 

Waltman v. Georgia-Pacific, LLC

United States Court of Appeals,

Tenth Circuit.

Richard WALTMAN, Plaintiff–Appellant,

v.

GEORGIA–PACIFIC, LLC, Defendant–Appellee.

 

No. 12–8082.

Dec. 17, 2014.

 

Michael S. Burg, Steven G. Greenlee, Holly B. Kammerer, Diane Vaksdal Smith, Burg Simpson Eldredge Hersh & Jardine, P.C., Englewood, CO, Larry B. Jones, Simpson, Kepler & Edwards, LLC, William L. Simpson Burg, Simpson, Eldredge, Hersh & Jardine Cody, WY, for Plaintiff–Appellant.

 

Billie L.M. Addleman, Richard A. Mincer, Hirst Applegate, LLP, Cheyenne, WY, for Defendant–Appellee.

 

Before BRISCOE, Chief Judge, HOLLOWAYFN* and HOLMES, Circuit Judges.

 

FN* The late Honorable William J. Holloway, Jr., United States Senior Circuit Judge, heard oral argument in this case, but passed away prior to the case’s final resolution. In other words, Judge Holloway did not cast a vote regarding this order and judgment, and he had no role in the preparation thereof. “The practice of this court permits the remaining two panel judges if in agreement to act as a quorum in resolving the appeal.” United States v. Wiles, 106 F.3d 1516, 1516 n.* (10th Cir.1997); see also 28 U.S.C. § 46(d) (noting that a circuit court may adopt procedures permitting disposition of an appeal where a remaining quorum of a panel agrees on the disposition). Consequently, the remaining panel members have acted as a quorum with respect to this appeal and, for the reasons explicated below, have voted to dismiss it for lack of jurisdiction.

 

ORDER AND JUDGMENTFN**

 

FN** This order and judgment is not binding precedent, except under the doctrines of law of the case, res judicata, and collateral estoppel. It may be cited, however, for its persuasive value consistent with Federal Rule of Appellate Procedure 32.1 and Tenth Circuit Rule 32.1.

 

JEROME A. HOLMES, Circuit Judge.

*1 Richard Waltman appeals from the district court’s partial award of summary judgment to Georgia–Pacific, LLC (“G–P” FN1) in the lawsuit he filed after suffering serious physical injuries while working on G–P’s premises. Mr. Waltman contends that the district court improperly granted partial summary judgment to G–P after determining that G–P owed him no duty of care. The issue presented for our consideration is whether G–P in fact owed Mr. Waltman—a service provider of its independent contractor—a duty of care, either by retaining control over the hazard that caused his injuries or by assuming affirmative safety duties to him. However, we actually do not reach this merits question because we lack a final, appealable order to review. We consequently have no subject-matter jurisdiction over Mr. Waltman’s appeal and dismiss it on that basis.

 

FN1. The district court frequently referred to Georgia–Pacific as “G–P,” and we retain this appellation in the interest of consistency.

 

I

We begin with an overview of the salient background facts underlying Mr. Waltman’s lawsuit. We then undertake a detailed recitation of this case’s complex procedural history to demonstrate why we are not situated to reach the merits of this appeal.

 

A

Mr. Waltman was a long-haul truck driver who provided services to R. Waltman Trucking (“RWT”). RWT likewise provided services on an independent-contractor basis to G–P, such as pick-up and transportation. As a large-scale manufacturer of various building materials, G–P regularly sends its products across the continental United States by flatbed truck.

 

It is commonplace for truck drivers to “tarp” large loads of cargo—that is, to secure items to a flatbed truck by covering them with a tarpaulin. See generally 49 C.F.R. § 393.106(b) (“Cargo must be firmly immobilized or secured on or within a vehicle by structures of adequate strength, … tiedowns or a combination of these.”). Mr. Waltman’s forty-year tenure in the trucking industry gave him some familiarity with this practice; indeed, he had been trained to tarp and deemed tarping “part of what [drivers] are supposed to know.” Aplt.App. at 137 (Waltman Dep., dated May 17, 2010). His personal tarping technique involved the use of a ladder to mount cargo loads. Due to the attendant danger of falling, Mr. Waltman took care to crawl (rather than walk) across loads, avoiding the perimeter.

 

On May 5, 2006, Mr. Waltman reported to G–P’s gypsum-manufacturing facility in Lovell, Wyoming, to retrieve a load of wallboard. From previous experience with G–P, he knew that the company required all drivers to tarp before leaving the premises. He was also aware that this particular facility furnished safety harnesses as fall protection for G–P employees working inside the plant, but not for any workers of its independent contractors.FN2 However, Mr. Waltman was well-versed in tarping without that safeguard.

 

FN2. Mr. Waltman contends that a request that he made of G–P “[y]ears ago” for fall protection fell on deaf ears. Aplt.App. at 133. However, despite his insistence that tarping is precarious, he has not suggested that a company’s tarping protocol typically influenced his decision on whether to accept a job.

 

After checking in at the Lovell facility’s main office, Mr. Waltman drove to the loading area (an adjacent dirt parking lot), where he received wallboard from a forklift operator. Mr. Waltman then moved his truck from the loading area so that he could begin tarping. He climbed atop the load by ladder, pursuant to his custom, but he fell during the process and was subsequently discovered in the cab of his truck.FN3 As a result of his fall, Mr. Waltman sustained injuries—multiple fractures and a head lesion—for which he was hospitalized.

 

FN3. Mr. Waltman’s recollection of several aspects of the accident—most notably, his fall and the manner in which he returned (or was returned) to his truck—is sketchy at best. For instance, he alleges that before falling he saw a “flash of yellow, like the color of a forklift which may have bumped the trailer and knocked [him] off,” Aplt.App. at 144, but he has not sufficiently developed this assertion. In any event, because post-fall details pertain to merits issues we do not address here, we need not conduct a more searching factual inquiry.

 

B

*2 On December 15, 2009, Mr. Waltman and RWT filed a lawsuit in the United States District Court for the District of Wyoming; each separately advanced one “claim for relief” sounding in “negligence.” FN4 Dist. Ct. Doc. 1, at 7–8 (Compl., filed Dec. 15, 2009) (capitalization altered). Mr. Waltman’s “claim” embodied two strands of reasoning that allegedly justified holding G–P liable in negligence. Specifically, Mr. Waltman alleged (1) that G–P failed to provide a safe working environment for the workers of its independent contractors, and (2) that one of G–P’s employees aggravated Mr. Waltman’s fall-related injuries by placing him in the cab of his truck instead of summoning medical assistance. Mr. Waltman amended his complaint on January 7, 2010.

 

FN4. Pursuant to the parties’ stipulation, the district court dismissed RWT and its claims without prejudice on July 15, 2010.

 

G–P subsequently moved for summary judgment and suggested that the district court “split Waltman’s negligence claim into two distinguishable parts” for “purposes of argument.” Aplt.App. at 54 (Def.’s Mot. for Summ. J., filed Aug. 27, 2010). G–P wanted the court to effectively bifurcate what it apparently viewed as a unitary negligence claim into a “negligence claim” and an “exacerbation claim.” See id. at 54–55. Arguing for summary judgment under its proposed analytical rubric, G–P first denied a duty of care to any workers of its independent contractors—a class of persons to which Mr. Waltman indisputably belonged—in order to defeat Mr. Waltman’s supposedly distinct negligence claim.FN5 In making its second argument, G–P urged that “Plaintiff’s exacerbation claim [was] unsustainable” because Mr. Waltman’s account of post-fall events was too speculative. Id. at 67 (capitalization altered) (emphasis added). The district court took the fateful step of endorsing G–P’s analytical approach, accepting the notion that Mr. Waltman’s lawsuit consisted of two claims.

 

FN5. We use the term “claim” here in discussing the purported negligence and exacerbation issues to explicate and underscore the logic and assumptions of G–P’s arguments—not because we actually believe that these two issues comprise two distinct, stand-alone claims. Indeed, as discussed infra, our ultimate conclusion is that Mr. Waltman’s allegations of injury exacerbation do not constitute a freestanding legal “claim”; instead, they are part and parcel of Mr. Waltman’s one claim sounding in negligence.

 

On October 14, 2010, the district court issued an order granting G–P’s motion for summary judgment in part and denying it in part. The court first determined that G–P owed no duty to supply Mr. Waltman fall protection, as G–P had not exercised control over Mr. Waltman’s work or assumed any safety duties as to him. Thus, based upon its finding of no duty, the district court concluded that “G–P [was] entitled to judgment as a matter of law on Mr. Waltman’s claim that G–P was negligent by failing to provide fall protection.” Id . at 636 (Order Granting in Part & Den. in Part Def.’s Mot. for Summ. J., filed Oct. 14, 2010). Next, the court addressed the extent to which G–P might be responsible for any exacerbation of Mr. Waltman’s injuries. It determined that G–P was not entitled to summary judgment on the purported exacerbation claim, reasoning that:

 

there is no direct evidence at all, and nobody knows with certainty what happened [after the fall]. It appears that both parties’ theories [on the exacerbation claim] are plausible…. In short, … there is a genuine issue of material fact about how Mr. Waltman ended up in the sleeper of his truck. That conflict is for a jury to resolve.

 

*3 Id. at 638–39.

 

On June 2, 2011, in anticipation of an appeal regarding the district court’s ruling on the purported negligence claim, the parties filed a stipulation for dismissal of the supposedly distinct claim for exacerbation without prejudice, stating their shared view “that a just, speedy, and inexpensive determination of this action [would] be best served by having all of Plaintiff’s claims tried … together, because of the overlapping factual and evidentiary matters and issues involved.” Id. at 645 (Stip. for Dismissal, filed June 2, 2011). The district court granted this stipulation on June 7, 2011, but noted nonetheless that:

 

if the District Court’s October 14, 2010 Order granting summary judgment is vacated, reversed, or otherwise held without effect on appeal and the Plaintiff’s claim is remanded to the District Court for trial, the Plaintiff will be allowed thirty days … to file a motion to amend the pleadings to re-allege the dismissed exacerbation claim against the Defendant to be tried together with the remanded claim. Pursuant to the Stipulation, Plaintiff’s motion to amend to add the exacerbation claim back in the case, if timely filed, will be unopposed by the Defendant….

 

[Assuming a motion to amend is timely,] the Defendant will not raise, argue or allege … that the Plaintiff is barred, estopped, or otherwise precluded from bringing the exacerbation claim by reason of its dismissal under the Parties’ Stipulation.

 

Id. at 649–50 (Order Granting Stip., filed June 7, 2011).

 

The district court entered judgment regarding the stipulation for dismissal of the purported exacerbation claim on June 14, 2011. In so doing, the court stated, “Georgia–Pacific was not negligent…. Therefore, the exacerbation claim was the only matter in this case left pending. That claim was dismissed by the Court without prejudice … on June 7, 2011.” Id. at 652 (J., filed June 14, 2011) (emphasis added).

 

Mr. Waltman timely appealed from the June 14, 2011, judgment. However, even at that early stage in the litigation, we questioned the propriety of exercising jurisdiction over this case. We observed, “It appears from a review of the district court pleadings that this court may lack appellate jurisdiction because no appealable order was entered…. The plaintiff dismissed the exacerbation of injuries claim without prejudice. Accordingly, the judgment entered by the district court may not be final for purposes of appeal.” Order, No. 11–8048, at 1 (10th Cir., filed Mar. 12, 2012). For that reason, we tolled Mr. Waltman’s appeal and instructed him to submit a district court order within thirty days either (1) dismissing the exacerbation claim with prejudice, or (2) certifying the matter under Federal Rule of Civil Procedure 54(b).

 

Pursuant to our order, on March 21, 2012, Mr. Waltman filed an unopposed motion in the district court seeking a Rule 54(b) certification. In support of this request, he argued for the first time that it was “clear that the two claims [were] separate,” which signaled that the circuit court would “not be called upon … twice to decide the same issues.” Dist. Ct. Doc. 130, at 5 (Unopposed Mot. for R. 54(b) Certification, filed Mar. 21, 2012). He further reasoned that the questions driving each claim were distinguishable: the negligence claim presented the core issues of his “status … as an independent contractor and what duties, if any, an owner owes to such an individual,” whereas the exacerbation claim “involved … who found the injured plaintiff and how [he got] from the place he fell from his truck into the cab of that truck.” Id.

 

*4 The district court denied Mr. Waltman’s certification request on March 29, 2012. It expressly disagreed with Mr. Waltman’s view that the lawsuit involved separate, distinct claims, explaining that:

 

[t]his exacerbation claim relies on many of the same facts and issues and is really a part of Plaintiff’s claim for negligence…. Moreover, the parties previously argued the claims were not separate and distinct when they filed the Stipulation for Dismissal of Plaintiff’s Exacerbation Claim Without Prejudice…. In that Order, the parties argued the claims had overlapping factual and evidentiary matters and issues involved…. Although Plaintiff’s exacerbation claim is technically different from the [negligence] claim, there is significant factual overlap and Plaintiff seeks the same damages for each claim.

 

Dist. Ct. Doc. 131, at 6–7 (Order Den. Mot. for R. 54(b) Certification, filed Mar. 29, 2012) (emphases added) (citations omitted) (internal quotation marks omitted). In light of its conclusion that the negligence and exacerbation claims were not separate and distinct, the court deemed it unnecessary to conduct the remainder of a typical Rule 54(b) analysis, which contemplates the presence of multiple claims.

 

After Mr. Waltman’s unsuccessful attempt to obtain a Rule 54(b) certification, our clerk’s office directed him to show cause why his appeal should not be dismissed for lack of jurisdiction. The clerk’s order invoked this court’s “general rule … that a party cannot obtain appellate jurisdiction where the district court has dismissed at least one claim without prejudice because the case has not been fully disposed of in the lower court.”   Jackson v. Volvo Trucks N. Am., Inc., 462 F.3d 1234, 1238 (10th Cir.2006); accord Order, No. 11–8048, at 1 (10th Cir., filed Mar. 30, 2012). In response, Mr. Waltman asked that his appeal “be dismissed without prejudice for lack of jurisdiction because the District Court denied [his] Unopposed Motion for Rule 54(b) Certification.” Resp. to Order, No. 11–8048, at 1 (10th Cir., filed Apr. 20, 2012). We construed his request as a voluntary motion to dismiss and, so construed, dismissed the appeal pursuant to Federal Rule of Appellate Procedure 42(b) on April 25, 2012. We further observed that Mr. Waltman would not be precluded from timely appealing from a proper entry of final judgment by the district court.

 

G–P then sought to conclude the matter on May 1, 2012, by moving for summary judgment on what it perceived to be the remaining “claim” before the district court—the purported exacerbation claim. Citing its prior without-prejudice dismissal of the alleged exacerbation claim, and the parties’ failure to move to alter or amend that judgment, the district court determined that there were no pending claims; consequently, it denied G–P’s summary-judgment motion as moot.

 

In apparent response, on May 23, 2012, Mr. Waltman filed a “Motion to Reopen Case and for Leave to File Amended Complaint” in order to reallege the purported exacerbation claim. The district court denied this motion as well, stating that Mr. Waltman had provided no authority that would permit reopening of his case. “It is clear the parties did not anticipate these precise circumstances when they entered the Stipulation for Dismissal,” the court observed; “[h]owever, the Court is limited in its ability to reopen a case after it previously dismissed all the claims and entered a judgment in favor of Defendant.” Dist. Ct. Doc. 139, at 3 (Order Den. Mot. to Reopen Case, filed June 13, 2012).

 

*5 In denying Mr. Waltman’s motion to reopen the case, the district court relied heavily upon the text of its June 2011 order granting the parties’ stipulation for dismissal—namely, the excerpt indicating that Mr. Waltman could seek leave to replead his exacerbation claim if the grant of partial summary judgment to G–P were “vacated, reversed, or otherwise held without effect on appeal.” Id. (internal quotation marks omitted); see also Aplt.App. at 645. The court interpreted our dismissal of Mr. Waltman’s first appeal to mean we “did not vacate, reverse, or otherwise determine that the [summary-judgment order was] without effect.” Dist. Ct. Doc. 139, at 3 (emphasis added). Moreover, it reasoned, the dismissal order only permitted amendment of an existing complaint. In other words, the order did not authorize the district court to reopen Mr. Waltman’s case so that he could file another complaint containing an exacerbation claim. Stressing its view that there was no longer a complaint pending before it, and that “to revive [the] exacerbation claim, the Court [would need] to amend its order dismissing the exacerbation claim without prejudice and amend the judgment in favor of Defendants,” the district court declined to amend the June 2011 order. Id. at 4 (capitalization altered). The court noted the absence of a motion filed pursuant to Federal Rule of Civil Procedure 59 (as is relevant here, a motion under subsection (e) to alter or amend a judgment) or 60 (a motion for relief from a judgment)—and it did not view Mr. Waltman’s motion to reopen the case as one brought under either procedural rule.

 

Shortly thereafter, Mr. Waltman filed a motion seeking either (1) reconsideration of the June 2012 order declining his request to reopen the case, or (2) relief from judgment under Rule 60(b)(4) or 60(b)(6).FN6 He invoked the portion of Rule 54(b) which provides that any order “that adjudicates fewer than all the claims … does not end the action … and may be revised at any time before the entry of a judgment adjudicating all the claims.” Dist. Ct. Doc. 140, at 1 (Mot. for Recons. or Relief from J., filed June 27, 2012) (quoting Fed.R.Civ.P. 54(b)) (internal quotation marks omitted). According to Mr. Waltman, the October 2010 summary-judgment order “adjudicated fewer than all the claims [and thus] did not and could not end the action”; moreover, the “June 14, 2011 Judgment, which purported to enter ‘final judgment’ … could not be a judgment adjudicating all the claims,” which rendered that judgment facially void. Id. at 1–2. Mr. Waltman thus concluded that there had been no legally cognizable entry of final judgment in his case. And, he urged, the corollary conclusions were that the June 2011 ruling should be construed only “as an administrative closure, subject to reopening,” and that “under Rule 54(b) [his] Complaint [was] still pending” in the district court. Id. at 2. To the extent the court rejected the foregoing arguments, Mr. Waltman suggested that basic equitable considerations justified relief under Rule 60(b)(6).

 

FN6. By its terms, Rule 60(b) contemplates the existence of a “final” judgment, order, or other district court proceeding. See Fed.R.Civ.P. 60(b); Raytheon Constructors, Inc. v. ASARCO Inc., 368 F.3d 1214, 1217 (10th Cir.2003). Rule 60(b)(4) permits a district court to “relieve a party … from a final judgment” on the ground that “the judgment is void.” Fed.R.Civ.P. 60(b)(4). And, under Rule 60(b)(6), any such “final” proceeding may be vacated for “any other reason that justifies relief.” Fed.R.Civ.P. 60(b)(6). Relief under Rule 60(b)(6) “is extraordinary and may only be granted in exceptional circumstances.”   LaFleur v. Teen Help, 342 F.3d 1145, 1153 (10th Cir.2003) (quoting Amoco Oil Co. v. U.S. EPA, 231 F.3d 694, 697 (10th Cir.2000)) (internal quotation marks omitted).

 

*6 G–P attacked Mr. Waltman’s motion on several grounds, one of which was that Rule 54(b) did not authorize the district court to reverse its voluntary dismissal FN7 of the purported exacerbation claim. Calling Mr. Waltman’s reliance on Rule 54(b) “misplaced,” G–P argued, “Plaintiff voluntarily dismissed his remaining exacerbation claim, causing the Court to enter judgment, thus adjudicating all of the claims before the Court. Plaintiff is not permitted to amend or take back his motion to dismiss and subsequent order of dismissal. Plaintiff’s right is to bring a new complaint.” Dist. Ct. Doc. 141, at 2. G–P also contended that the June 14, 2011, judgment was not void within this circuit’s interpretation of Rule 60(b)(4) because the district court had subject-matter jurisdiction and did not deprive Mr. Waltman of due process.FN8 Nor, in G–P’s view, was Rule 60(b)(6) the appropriate vehicle to revive the purported exacerbation claim when Mr. Waltman had asked to have that claim dismissed. G–P insisted that Mr. Waltman’s two options for relief were (1) to file a new complaint containing the purported exacerbation claim, or (2) to “file a notice with the [district court] dismissing his exacerbation claim with prejudice, which would then allow Plaintiff to pursue his appeal on the duty issue.” Id. at 5.

 

FN7. In a footnote, G–P disputed Mr. Waltman’s view that the case should be deemed administratively closed. See Dist. Ct. Doc. 141, at 2 n. 1 (Resp. to Mot. for Recons., filed July 5, 2012) (“[This argument is] inapposite as this case was not administratively closed. Plaintiff voluntarily dismissed his remaining claim.”). We agree. Indeed, the district court never designated any order or judgment here as an administrative closure.

 

FN8. “A judgment is void for Rule 60(b)(4) purposes if the rendering court was powerless to enter it,” Gschwind v. Cessna Aircraft Co., 232 F.3d 1342, 1346 (10th Cir.2000) (internal quotation marks omitted)—whether for “lack of subject matter jurisdiction or jurisdiction over the parties,” or due to “a plain usurpation of power or if the court has acted in a manner inconsistent with due process of law,” V.T.A., Inc. v. Airco, Inc ., 597 F.2d 220, 224–25 (10th Cir.1979) (footnote omitted).

 

On July 20, 2012, the district court denied Mr. Waltman’s motion for reconsideration or relief from judgment, noting, “This is Plaintiff[‘s] second attempt to reopen a case in which all the claims have been dismissed…. Plaintiff may not simply reinstate claims [he] previously voluntarily dismissed because there are no claims pending before the Court.” Dist Ct. Doc. 142, at 1 (Order Den. Mot. for Recons., filed July 20, 2012). One reason it cited was its view that the “issues” supposedly still pending merely represented an “attempt [ ] to manufacture finality” for appellate jurisdiction. Id. at 4. In rejecting Mr. Waltman’s interpretation of Rule 54(b), the district court relied upon Cook v. Rocky Mountain Bank Note Co., where we adopted the rule that “when a plaintiff voluntarily requests dismissal of [his] remaining claims without prejudice in order to appeal from an order that dismisses another claim with prejudice, … the order is not ‘final’ for purposes of § 1291.” 974 F.2d 147, 148 (10th Cir.1992).

 

The court then explained that Mr. Waltman was entitled to bring his exacerbation claim in a new complaint or to request a with-prejudice dismissal of that claim. Finally, the court indicated that it was “questionable whether [it] would have jurisdiction to reinstate the claims under Rule 60(b).” Dist. Ct. Doc. 142, at 11. In any event, the court indicated that it did not believe any exceptional circumstances justified reinstating the exacerbation claim in equity under Rule 60(b)(6).

 

Not to be deterred, the parties attempted to set the stage for an appeal once more by filing a stipulated motion for Rule 54(b) certification on October 5, 2012. While stating Mr. Waltman’s “desire[ ] to have the exacerbation claim dismissed with prejudice,” they argued that this was “not a viable option” in spite of the district court’s clear indication in its most recent order that it was. Aplt.App. at 657 (Stip. Mot. for R. 54(b) Certification, filed Oct. 5, 2012) (emphasis added). The parties then opined that Mr. Waltman’s remaining option—filing a new lawsuit—was unfeasible. Collectively, they argued that “a Rule 54(b) Certification [was] appropriate because the exacerbation claim [was] time barred and Defendant would assert the statute of limitations as a defense if the claim was refiled. Plaintiff is effectively prevented from refiling the claim in federal court.” Id. at 659.

 

*7 On October 22, 2012, the district court granted the parties’ stipulation for Rule 54(b) certification. The district court’s certification order was unusual in several respects. Notably, it represented an abrupt shift in the court’s view of the case—with little explanation beyond “[i]n light of the parties’ new arguments, the Court concludes Rule 54(b) certification is appropriate in this case.” Id. at 661 (Order Granting Stip. Mot. for R. 54(b) Certification, filed Oct. 22, 2012). The district court detailed its prior position that “finality was lacking for purposes of appeal,” but stated that “the above test for determining finality does not apply in every circumstance.” Id. at 664. Evidently accepting the parties’ new position that Mr. Waltman was effectively barred from filing another complaint that included the purported exacerbation claim, and citing our prior holdings in Amazon, Inc. v. Dirt Camp, Inc., 273 F.3d 1271, 1275 (10th Cir.2001), and Jackson, 462 F.3d at 1238, the court determined, “For all practical purposes, … this [exacerbation] claim is now final.” Aplt.App. at 668.

 

The court concluded its ruling with a brief recognition of the specific findings required by Rule 54(b), noting:

 

The Court’s holding is specific to the facts of this case. In most instances, the Court will continue to evaluate Rule 54(b) certifications in light of the dual determination (1) that the order it is certifying is final, and (2) that there is no just reason to delay review. Furthermore, the Court cautions plaintiffs contemplating the voluntar[y] dismissal of claims without prejudice for the purpose of expediting appeal. In most cases, these dismissals will be viewed as lacking finality.

 

Id. at 668–69 (emphases added). Then, the district court ruled that “this case [was] ripe for appellate consideration” and granted Rule 54(b) certification. Id. at 669.

 

Mr. Waltman subsequently appealed from the district court’s June 14, 2011, entry of judgment.

 

II

“[B]ecause the circumstances of this case fairly raise jurisdictional concerns, and, as always, ‘we have a duty to inquire into our own jurisdiction,’ “ we take up the threshold issue of jurisdiction sua sponte. City of Chanute v. Williams Natural Gas Co., 31 F.3d 1041, 1045 n. 8 (10th Cir.1994) (quoting McGeorge v.. Cont’l Airlines, Inc., 871 F.2d 952, 953 (10th Cir.1989)); see United States v. Torres, 372 F.3d 1159, 1161 (10th Cir.2004) (noting that, even in the absence of a jurisdictional challenge, “it is the duty of the federal court to determine the matter sua sponte ” (quoting Basso v. Utah Power & Light Co., 495 F.2d 906, 909 (10th Cir.1974)) (internal quotation marks omitted)). We do so irrespective of the parties’ amenability to a merits ruling, for it is axiomatic that litigants may not stipulate to the existence of subject-matter jurisdiction. See United States v. McGaughy, 670 F.3d 1149, 1155 (10th Cir.2012) (“Subject matter jurisdiction cannot be conferred or waived by consent, estoppel, or failure to challenge jurisdiction early in the proceedings.” (quoting Laughlin v. Kmart Corp., 50 F.3d 871, 873 (10th Cir.1995)) (internal quotation marks omitted)); accord Nicodemus v. Union Pac. Corp., 440 F.3d 1227, 1231 n. 1 (10th Cir.2006). We are especially comfortable proceeding in this manner in light of the Supreme Court’s disapproval of “assuming jurisdiction for the purpose of deciding the merits.” Steel Co. v. Citizens for a Better Env’t, 523 U.S. 83, 94 (1998) (internal quotation marks omitted); see also id. (“declin[ing] to endorse such an approach because it carries the courts beyond the bounds of authorized judicial action and thus offends fundamental principles of separation of powers”).

 

*8 Our ability “to review final decisions of the district courts” is conferred by 28 U.S.C. § 1291. Constien v. United States, 628 F.3d 1207, 1210 (10th Cir.2010) (internal quotation marks omitted). “This jurisdiction is generally contingent upon ‘the existence of a decision by the District Court that ends the litigation on the merits and leaves nothing for the court to do but execute the judgment.’ “ Miami Tribe of Okla. v. United States, 656 F.3d 1129, 1137 (10th Cir.2011) (quoting Coopers & Lybrand v. Livesay, 437 U.S. 463, 467 (1978)). Known as the “final-judgment rule,” this bedrock legal principle is designed to prevent “fragmentary and piecemeal review” of district court rulings, Boughton v. Cotter Corp., 10 F.3d 746, 748 (10th Cir.1993), and to “promote[ ] efficient judicial administration by ‘reduc[ing] the ability of litigants to … clog the courts through a succession of costly and time-consuming appeals,’ “ In re Motor Fuel Temperature Sales Practices Litig., 641 F.3d 470, 482 (10th Cir.2011) (second alteration in original) (quoting Flanagan v. United States, 465 U.S. 259, 264 (1984)); accord Grosvenor v. Qwest Corp., 733 F.3d 990, 1000–01 (10th Cir.2013).

 

As is relevant here, the district court’s purported certification under Federal Rule of Civil Procedure 54(b) implicates our jurisdiction. See Concrete Works of Colo., Inc. v. City & Cnty. of Denver, 321 F.3d 950, 955 n. 1 (10th Cir.2003) (tying the entry of a Rule 54(b) certification to the existence of appellate jurisdiction); Lewis v. B.F. Goodrich Co., 850 F.2d 641, 645–46 (10th Cir.1988) (en banc) (observing that failure to secure a proper Rule 54(b) certification may leave the case vulnerable to summary dismissal for lack of appellate jurisdiction). More specifically, although an order terminating fewer than all pending claims in a lawsuit is generally not considered “final” within the meaning of § 1291, see Sears, Roebuck & Co. v. Mackey, 351 U.S. 427, 431–32 (1956), Rule 54(b) is a historically recognized exception to the final-judgment rule. This rule provides, in pertinent part, that:

 

[w]hen an action presents more than one claim for relief … or when multiple parties are involved, the court may direct entry of a final judgment as to one or more, but fewer than all, claims or parties only if the court expressly determines that there is no just reason for delay. Otherwise, any order or other decision, however designated, that adjudicates fewer than all the claims or the rights and liabilities of fewer than all the parties does not end the action as to any of the claims or parties.

 

Fed.R.Civ.P. 54(b).

 

We have explained that “[t]he purpose of Rule 54(b) is to avoid the possible injustice of a delay in entering judgment on a distinctly separate claim or as to fewer than all of the parties until the final adjudication of the entire case by making an immediate appeal available.” Okla. Tpk. Auth. v. Bruner, 259 F .3d 1236, 1241 (10th Cir.2001) (emphasis added) (internal quotation marks omitted). With this justification in mind, we have also stated that Rule 54(b) “may be invoked only in a relatively select group of cases and applied to an even more limited category of decisions.” Weinman v. Fid. Capital Appreciation Fund (In re Integra Realty Res., Inc.), 262 F.3d 1089, 1107 (10th Cir.2001) (internal quotation marks omitted).

 

*9 Focusing on the standard of review, in Bruner, we stated:

 

A two-tiered standard of review is applied to a district court’s Rule 54(b) certification. The district court’s determination of the certified order’s finality is subject to de novo review because it is a question of law. However, the district court’s determination that there is no just reason for delay is reviewed only for abuse of discretion.

 

259 F.3d at 1242 (citations omitted); accord Niemi v. Lasshofer, 770 F.3d 1331, 1341 (10th Cir.2014); see also Lusk v. Ryder Integrated Logistics, 238 F.3d 1237, 1239 n. 1 (10th Cir.2001) (where finality of the adjudicated claim was undisputed, noting that “the exercise of appellate jurisdiction is proper if the court of appeals is satisfied that the district court did not abuse its discretion in certifying the appeal”).

 

The authorities discussing this rule have clarified that substance prevails over form; that is, labeling an order a “Rule 54(b) certification” has no operative legal effect. See, e.g., Wheeler Mach. Co. v. Mountain States Mineral Enters., Inc., 696 F.2d 787, 789 (10th Cir.1983) (concluding that, where the order in question was “not a final order,” “the district court could not make it final by certifying it as such under Rule 54(b)”); 15A Charles Alan Wright et al., Federal Practice and Procedure: Jurisdiction 2d § 3914.7, at 541 (1992) (“Entry of judgment under Rule 54(b) … does not conclusively establish appealability.”). As the Supreme Court has cautioned, “[n]ot all final judgments on individual claims should be immediately appealable, even if they are in some sense separable from the remaining unresolved claims.”   Curtiss–Wright Corp. v. Gen. Elec. Co., 446 U.S. 1, 8 (1980); cf. Transp. Workers Union of Am., Local 100 v. N.Y.C. Transit Auth ., 505 F.3d 226, 230 (2d Cir.2007) (concluding that “[a] district court’s grant of Rule 54(b) certification does not automatically require … review [of] the merits of the appeal”). This court has likewise indicated that “[a] jurisdictional defect cannot be cured by means of a[R]ule 54(b) certification.” McKinney v. Gannett Co., 694 F.2d 1240, 1247 (10th Cir.1982).

 

A Rule 54(b) certification is deemed to provide the proper foundation for an appeal when it contains three FN9 key features. See 10 Charles Alan Wright et al., Federal Practice and Procedure § 2656, at 48 (3d ed. 1998) (“The rule itself sets forth three basic conditions on its applicability.”). First, the order must stem from a lawsuit that involves multiple claims. See Liberty Mut. Ins. Co. v. Wetzel, 424 U.S. 737, 743 (1976) (noting that the rule “is limited expressly to multiple claims actions” (emphasis added) (quoting Mackey, 351 U.S. at 435) (internal quotation marks omitted)); Jordan, 425 F.3d at 826 (“[A]n order must be final in the sense that it is an ultimate disposition of an individual claim entered in the course of a multiple claims action.” (quoting Curtiss–Wright Corp., 446 U.S. at 7) (internal quotation marks omitted)).

 

FN9. We have also described Rule 54(b) as having two requirements. See Stockman’s Water Co. v. Vaca Partners, L.P., 425 F.3d 1263, 1265 (10th Cir.2005) (requiring the district court to determine (1) “that its judgment is final,” and then (2) “that no just reason for delay of entry of its judgment exists”); Bruner, 259 F.3d at 1242 (insisting that district courts conform “strictly to the rule’s requirement [of] … two express determinations”). However, given the dilemma this appeal presents—i.e., that the litigants and the district court elided the “multiple-claims” issue—we find it preferable to use a linguistic formulation of Rule 54(b) that explicitly recognizes the multiple-claims condition through the articulation of three requirements, as we did in Jordan v. Pugh, 425 F.3d 820, 826 (10th Cir.2005) (“Rule 54(b) establishes three prerequisites for appeal of a separate final judgment on fewer than all claims in a lawsuit.”). Our decision in this regard has no substantive effect on the controlling standard.

 

*10 Second, the order must represent a final decision on at least one of the claims. See Jordan, 425 F.3d at 826; cf. Miami Tribe of Okla., 656 F.3d at 1139 (“[U]nder § 1291, a ‘remand by a district court to an administrative agency for further proceedings is ordinarily not appealable because it is not a final decision.’ “ (quoting Bender v. Clark, 774 F.2d 1424, 1426–27 (10th Cir.1984))). And, third, the order must include the district court’s express determination “that there is no just reason for delay.” Fed.R.Civ.P. 54(b); see Elm Ridge Exploration Co. v. Engle, 721 F.3d 1199, 1209 n. 5 (10th Cir.2013); see also Marianne Fogarty, Note, The Finality of Partial Orders in Consolidated Cases Under Rule 54(b), 57 Fordham L.Rev. 637, 648 n. 78 (1989) (“In effect, the district court must expressly state that a particular order is final and spell out the reasons why an appeal is permissible immediately, and need not await the resolution of all pending issues.”).

 

With respect to the third requirement, in heeding the text of the rule, we have stated (as relevant here) that Rule 54(b) certification “is only appropriate when a district court adheres strictly to the rule’s requirement” of making this express determination. Bruner, 259 F.3d at 1242 (emphasis added); accord Schrock v. Wyeth, Inc., 727 F.3d 1273, 1278 (10th Cir.2013). Moreover, while we have conceded that “once parties have expended the effort of briefing and argument on appeal, it may appear wasteful and inefficient for the appellate court to decline to rule,” we have nonetheless maintained that “in the long run it will be less wasteful and more efficient for district and appellate courts to adhere to the rule that only separate and distinct claims can be isolated for appeal under Rule 54(b).” Jordan, 425 F.3d at 829.

 

III

Because Mr. Waltman stakes his right to appeal on Rule 54(b), we turn now to whether the district court’s purported certification satisfies the requirements of that rule. We ultimately conclude that it does not; accordingly, we lack subject-matter jurisdiction over Mr. Waltman’s appeal. For two independent reasons, we conclude that the certification is fatally deficient.

 

First, the court’s certification did not have the effect of resolving with finality one claim in a multiple-claims action because the purported exacerbation claim was actually part and parcel of Mr. Waltman’s one claim sounding in negligence, and was not actually a freestanding, discrete claim. Therefore, the court’s Rule 54(b) certification rested on a false premise—i.e., the existence of two discrete claims, one for negligence and the other for exacerbation—and was ineffective to render the court’s summary-judgment ruling on the purported negligence claim final.

 

Second, even if this were not so, the certification would be fatally flawed because the district court never made therein an express determination that there was no just reason for delay (i.e., the court failed to satisfy Rule 54(b)’s express-determination requirement). For these two reasons, the district court’s Rule 54(b) certification does not provide us with a jurisdictional basis for reviewing Mr. Waltman’s appeal.

 

A

*11 The first reason that we have concluded that the district court’s Rule 54(b) certification was ineffective to confer subject-matter jurisdiction upon us is because it rested on a false premise: that Mr. Waltman’s lawsuit involved two claims—and accordingly was the multiple-claims action that Rule 54(b) contemplates—and that the certification thus had the effect of rendering final the court’s prior partial summary-judgment ruling on the purported negligence claim.

 

There is no doubt that a Rule 54(b) certification order “must be ‘final’ in the sense that it is ‘an ultimate disposition of an individual claim entered in the course of a multiple claims action.’ “ Curtiss–Wright Corp., 446 U.S. at 7 (quoting Mackey, 351 U.S. at 436). A “claim,” for purposes of Rule 54(b), “comprises ‘all factually or legally connected elements of a case.’ “ Jordan, 425 F.3d at 827 (quoting Bruner, 259 F.3d at 1242); accord Planned Parenthood Sw. Ohio Region v. DeWine, 696 F.3d 490, 500–01 (6th Cir.2012). Instead of announcing a “bright-line” test for discerning the existence of multiple claims in this context, the Supreme Court has alluded generally to the concept of “separate, distinct, and independent” claims.   Curtiss–Wright Corp., 446 U.S. at 6; see Jordan, 425 F.3d at 827 (distinguishing “multiple claims, which may be appealed separately, from multiple legal grounds in a single claim, which may not”). Nevertheless, the Court has for some time “recognize[d] that a complaint asserting only one legal right, even if seeking multiple remedies for the alleged violation of that right, states a single claim for relief.” Liberty Mut. Ins. Co., 424 U.S. at 743 n. 4. The Court has likewise made clear that a district court “cannot, in the exercise of its discretion, treat as ‘final’ that which is not ‘final’ within the meaning of [section] 1291.” Mackey, 351 U.S. at 437; accord Armijo v. Atchison, Topeka & Santa Fe Ry. Co., 19 F.3d 547, 552 (10th Cir.1994). We review de novo a district court’s determination that an action presents more than one claim for relief for purposes of invoking Rule 54(b) “because it is a question of law.” Bruner, 259 F.3d at 1242.

 

1

In Mr. Waltman’s lawsuit, the controlling jurisdictional question is whether his exacerbation claim is “distinct and separable from” his negligence claim.   Old Republic Ins. Co. v. Durango Air Serv., Inc., 283 F.3d 1222, 1225 (10th Cir.2002) (quoting Bruner, 259 F.3d at 1241) (internal quotation marks omitted); accord Niemi, 770 F.3d at 1341–42. Our inquiry in this regard “is based largely on practical concerns.” Jordan, 425 F.3d at 827; cf. Lawyers Title Ins. Corp. v. Dearborn Title Corp., 118 F.3d 1157, 1162 (7th Cir.1997) (asking whether a subsequent appeal would oblige the court of appeals to revisit “ground [already] covered in the first appeal”); Maldonado–Denis v. Castillo–Rodriguez, 23 F .3d 576, 580 (1st Cir.1994) (observing that courts of appeals must “trac[e] the interrelationship between, on one hand, the legal and factual basis of the claims undergirding the proposed judgment (i.e., the jettisoned claims), and on the other hand, the legal and factual basis of the claims remaining in the case”). More to the point, we ask whether identical factual questions and common legal issues give rise to the purportedly discrete claims and “whether separate recovery is possible.” Jordan, 425 F.3d at 827; see Bruner, 259 F.3d at 1242 (discussing the “notion of connectedness” and courts’ focus on “(1) the factual overlap (or lack thereof) between the claims disposed of and the remaining claims, and (2) whether the claims disposed of and the remaining claims seek separate relief” (internal quotation marks omitted)); Gas–A–Car, Inc. v. Am. Petrofina, Inc., 484 F.2d 1102, 1104 (10th Cir.1973) (considering whether “both counts of the complaint stem from the same aggregate of operative facts”).FN10

 

FN10. Our understanding of the concept of “claim,” for purposes of Rule 54(b), is in harmony with that of several of our sister circuits. See Lloyd Noland Found., Inc. v. Tenet Health Care Corp ., 483 F.3d 773, 780 (11th Cir.2007) (“Although this court has noted that the line between deciding one of several claims and deciding only part of a single claim is very obscure, we have held that when the plaintiff presents more than one legal theory, but will be permitted to recover on only one of them [,] … there is only a single inseparable claim for relief. Thus, the touchstone for determining whether an entire claim has been adjudicated for the purposes of Rule 54(b) is whether that claim is separately enforceable without mutually exclu[ding] or substantially overlap[ping] with remedies being sought by the remaining claims pending in the district court.” (alterations and omission in original) (citations omitted) (internal quotation marks omitted)); Lowery v. Fed. Express Corp., 426 F.3d 817, 821 (6th Cir.2005) (noting that, “[e]ven though different theories of liability may have been asserted, the concept of a claim under Rule 54(b) denotes the aggregate of operative facts which give rise to a right enforceable in the courts” (alteration in original) (quoting McIntyre v. First Nat’l Bank of Cincinnati, 585 F.2d 190, 192 (6th Cir.1978)) (internal quotation marks omitted)); Gerardi v. Pelullo, 16 F.3d 1363, 1370 (3d Cir.1994) (asking whether relief sought for one claim is “subsumed by” relief on the other claim); Spiegel v. Trs. of Tufts Coll., 843 F.2d 38, 45 (1st Cir.1988) (inquiring whether claims “ask the same brace of questions”); Schexnaydre v. Travelers Ins. Co., 527 F.2d 855, 856 (5th Cir.1976) (noting that “[t]rue multiplicity is not present where … the plaintiff merely presents alternative theories, drawn from the law of the same sovereign, by which the same set of facts might give rise to a single liability”); Backus Plywood Corp. v. Commercial Decal, Inc., 317 F.2d 339, 341 (2d Cir.1963) (observing that a discrete claim is “the aggregate of operative facts which give rise to a right enforceable in the courts” (quoting Original Ballet Russe, Ltd. v. Ballet Theatre, Inc., 133 F.2d 187, 189 (2d Cir.1943)) (internal quotation marks omitted)).

 

*12 In this diversity case, the substantive law of the forum state, Wyoming, would govern any merits-based analysis of Mr. Waltman’s claims. See Eureka Water Co. v. Nestle Waters N. Am., Inc., 690 F.3d 1139, 1145 (10th Cir.2012). Wyoming law instructs that four core elements comprise a negligence claim:

 

(1) [t]he defendant owed the plaintiff a duty to conform to a specified standard of care, (2) the defendant breached the duty of care, (3) the defendant’s breach of the duty of care proximately caused injury to the plaintiff, and (4) the injury sustained by the plaintiff is compensable by money damages.

 

Hatton v. Energy Elec. Co., 148 P.3d 8, 13 (Wyo.2006) (quoting Valance v. VI–Doug, Inc., 50 P.3d 697, 701 (Wyo.2002)) (internal quotation marks omitted). The issue of duty must be addressed before proceeding to other aspects of the claim. See Lucero v. Holbrook, 288 P.3d 1228, 1232 (Wyo.2012); Hatton, 148 P.3d at 13. “A duty may arise by contract, statute, common law, ‘or when the relationship of the parties is such that the law imposes an obligation on the defendant to act reasonably for the protection of the plaintiff.’ “ Killian v. Caza Drilling, Inc., 131 P.3d 975, 980 (Wyo.2006) (quoting Hamilton v. Natrona Cnty. Educ. Ass’n, 901 P.2d 381, 384 (Wyo.1995)).

 

One thing is clear from the face of Mr. Waltman’s amended complaint: the averments comprising his two supposedly distinct “claims” unmistakably share and incorporate the element of duty—indeed, the same general duties of a landowner to an invitee.FN11 Were we to conduct a merits-based inquiry, any conclusions that we might reach concerning G–P’s liability for injuries caused by Mr. Waltman’s fall would depend on our threshold duty-of-care determination. See Lucero, 288 P.3d at 1232 (“Duty and breach of duty must be established before addressing … responsibility for any harm suffered.” (emphasis added)).

 

FN11. Under Wyoming law, Mr. Waltman’s status as a driver for RWT, G–P’s independent contractor, renders him G–P’s invitee. See Jones v. Chevron U.S.A., Inc., 718 P.2d 890, 894 (Wyo.1986). The general duty owed by a landowner, such as G–P, to an invitee is to “maintain[ ] his property in a reasonably safe condition,” Berry v. Tessman, 170 P.3d 1243, 1245 (Wyo.2007) (quoting Clarke v. Beckwith, 858 P.2d 293, 296 (Wyo.1993)) (internal quotation marks omitted), but a landowner “is not obligated to protect the employees of an independent contractor from hazards which are incidental to, or part of, the very work the contractor was hired to perform,” Jones, 718 P.2d at 894. “Two limited exceptions to non-liability have been recognized in [Wyoming] decisions: (1) workplace owner/employer (owner) exercises [a] controlling and pervasive role over the independent contractor’s work; or (2) owner assumes affirmative safety duties.” Franks v. Indep. Prod. Co., 96 P.3d 484, 490 (Wyo.2004).

 

Count I, which articulates the theories of liability with respect to Mr. Waltman, sets forth the following allegations:

 

35. Georgia–Pacific owed a duty of care to oversee and control outside contractors such as Plaintiff Richard Waltman at its manufacturing facility in Lovell, Wyoming.

 

36. Georgia–Pacific breached its duty of care to Plaintiff Richard Waltman by failing to provide fall protection such as a safety harness and by failing to provide a loading area or docking station that would provide a place to safely secure his load.

 

37. Georgia–Pacific also owed a duty to Plaintiff Richard Waltman as the owner of the manufacturing facility in Lovell, Wyoming, where Mr. Waltman was working at the time of his fall.

 

38. Georgia–Pacific breached the duty it owed to Plaintiff Richard Waltman as a Wyoming landowner by having a continuous and easily foreseeable dangerous condition on its property when it was reasonably foreseeable that a driver such as Mr. Waltman would fall as he was loading his truck.

 

*13 39. Georgia–Pacific’s breaches of its duties as set forth above proximately caused the injuries suffered by Plaintiff Richard Waltman when he fell as he was attempting to secure the load on his truck.

 

40. Upon information and belief, Georgia–Pacific further breached its obligations by willfully, wantonly, and recklessly drag[ging] Plaintiff, while he was unconscious, back into his truck.

 

41. The injuries sustained by Plaintiff Richard Waltman when he fell as he was attempting to secure the load on his truck and when he was dragged to the cab of his truck are a direct and proximate result of the Defendant’s negligence and are compensable by money damages.

 

Aplt.App. at 23–24 (Am. Compl., filed Jan. 7, 2010) (emphases added).

 

As Mr. Waltman crafted his amended complaint, there was significant factual and legal overlap between the purported negligence and exacerbation claims. See Bruner, 259 F.3d at 1242–43; Gas–A–Car, Inc., 484 F.2d at 1104. Indeed, in his briefing, Mr. Waltman revealed his belief that his injuries worsened—that is, were exacerbated—due to G–P’s supposed breach of the same duties associated with his fall. See Aplt.App. at 24 (arguing that G–P “further breached” its obligations by “drag[ging] Plaintiff, while he was unconscious, back into his truck”); id. at 414 (Resp. to Mot. for Summ. J., filed Sept. 13, 2010) (indicating that G–P’s “practice of ignoring the outside motor freight carriers while performing the required tarping” and its alleged noncompliance with federal safety standards—the same breaches of duty argued in the purported “negligence-claim” section of his response brief—proximately caused the exacerbation of his injuries). Moreover, notably, Mr. Waltman did not seek separate damages—based on the two purported claims (i.e, negligence and exacerbation)—for G–P’s alleged breach of its duties. See Jordan, 425 F.3d at 827; Bruner, 259 F.3d at 1242–43.

 

Thus, we would be hard-pressed to conclude, for purposes of assessing the propriety of the district court’s Rule 54(b) certification, that Mr. Waltman’s purported negligence and exacerbation claims are actually discrete claims. Mr. Waltman’s lawsuit never was the multiple-claims action that Rule 54(b) contemplates. Put another way, the purported negligence and exacerbation “claims” are so “inextricably intertwined and related,” Old Republic Ins. Co., 283 F.3d at 1225, that they are more accurately described as “multiple legal grounds in a single claim,” Jordan, 425 F.3d at 827; accord NAACP v. Am. Family Mut. Ins. Co., 978 F.2d 287, 292 (7th Cir.1992). Consequently, Rule 54(b) certification was never an appropriate procedural vehicle for Mr. Waltman to pursue. Cf., e.g., Lottie v.. W. Am. Ins. Co., 408 F.3d 935, 939 (7th Cir.2005) (“Rule 54(b) is not intended to provide an option to the district court to certify issues for interlocutory appeal.” (emphasis added)).

 

a

*14 In reaching this conclusion (i.e., that Mr. Waltman’s two “claims” are not bona fide freestanding claims for relief), we find especially telling the evolving views of the parties—and the district court—regarding the relationship between the two purported claims. Notably, when the parties requested a without-prejudice dismissal of the exacerbation claim, they expressly agreed that “the overlapping factual and evidentiary matters and issues involved” justified such relief. Aplt.App. at 645. Their shared stance shifted some months later, while the first appeal was tolled as we awaited a Rule 54(b) certification order. As discussed supra, at this point the parties changed course and jointly considered it “clear that the two claims [were] separate.” Dist. Ct. Doc. 130, at 5.

 

Moreover, the district court—which ended up considering the propriety of certifying the matter for appellate review under Rule 54(b) twice—also shifted its position on the relationship between the two purported claims without explanation. From our perspective, the district court’s first determination was the correct one. In March 2012, the district court in no uncertain terms repudiated the notion that such a certification was available. It did so based upon a finding that “the Complaint allege[d] only one cause of action for negligence,” and it concluded, “[T]he Court does not believe the claims are separate and distinct to justify Rule 54(b) certification.” Dist. Ct. Doc. 131, at 6–7.

 

Yet, we struggle to reconcile the court’s first Rule 54(b) ruling with its decision when it addressed the Rule 54(b) question the second time. In issuing its second Rule 54(b) ruling, the district court implicitly acknowledged the parties’ earlier consensus on the factual and legal overlap between the two purported claims, as well as the court’s acceptance of that premise in its first Rule 54(b) ruling. Cf. Aplt.App. at 661, 664 (vaguely indicating that the parties had raised “new arguments” for Rule 54(b) certification, whereas previously “the parties themselves argued [that] the claims were not separate and distinct when they filed the Stipulation for Dismissal” of the exacerbation claim (emphasis added)). But then, without pausing to explain how its views on the existence of multiple claims had changed, the court conclusorily stated that the factors it had previously analyzed “do[ ] not apply in every circumstance,” id. at 664, and proceeded to certify its prior partial summary-judgment ruling as final under Rule 54(b).

 

This laconic approach is at odds with our precedent. See Bruner, 259 F.3d at 1244 (“[G]iven that the district court’s certification order reversed an earlier order in which it held that [another] Order was not final, we believe that the district court should not only have made an express determination of finality, but also explained what circumstances have intervened to cause it to believe that the [other] Order was now final.”); see also Old Republic Ins. Co., 283 F.3d at 1225 n. 5 (“[A]s a matter of better practice (indeed, the most desirable practice) district courts, in their future considerations of Rule 54(b) certification requests, [should] clearly articulate their reasons and make careful statements based on the record supporting their determinations of ‘finality’ and ‘no just reason for delay’ so that we could review a 54(b) order more intelligently, and thus avoid jurisdictional remands.”).

 

*15 If there was in fact a valid and reasonable explanation for the district court’s shift in position (which we cannot perceive), the court was obliged to place that explanation on the record. This the court did not do. The court’s inexplicable endorsement of the parties’ shift in position regarding the relationship between the two purportedly distinct claims of Mr. Waltman’s amended complaint certainly does not cast doubt on our independent conclusion that these claims are not actually distinct. If anything, the court’s silence suggests that it had difficulty defending the logically indefensible position that Mr. Waltman’s negligence and exacerbation claims were in fact distinct.

 

b

The district court’s references to our decisions in Amazon and Jackson do not give us pause, much less alter our conclusion. These cases discuss the exception we have recognized to Cook ‘s general rule that a plaintiff’s voluntary, without-prejudice dismissal of some claims in order to appeal from an order dismissing another claim with prejudice is not “final” under § 1291. See Cook, 974 F.2d at 148. This exception reflects our adherence to the Supreme Court’s view that “the requirement of finality imposed by section 1291 is to be given a ‘practical rather than a technical construction.’ “ Sherman v. Am. Fed’n of Musicians, 588 F.2d 1313, 1315 (10th Cir.1978) (quoting Cohen v. Beneficial Indus. Loan Corp., 337 U.S. 541, 546 (1949)). It asks the district court to determine whether the plaintiff has “been ‘effectively excluded from federal court under the present circumstances.’ “ Jackson, 462 F.3d at 1238 (quoting Amazon, 273 F.3d at 1275). If the court deems that condition satisfied, then the dismissal without prejudice can create a basis for appellate jurisdiction.FN12

 

FN12. Whether a plaintiff dismisses his claims with versus without prejudice is a tactical choice with distinct consequences concerning appellate jurisdiction over any remaining claims. It is clear that if a plaintiff seeks with-prejudice dismissal of some claims, we have jurisdiction over his other claims that have been fully adjudicated on the merits. This is so because he has definitively abandoned certain claims in order to preserve others for appeal. Compare Hennigh v. City of Shawnee, 155 F.3d 1249, 1253 (10th Cir.1998) (in multiple-claims suit, finding appellate jurisdiction when the parties had requested a with-prejudice dismissal of unadjudicated claims), with Heimann v. Snead, 133 F.3d 767, 769 (10th Cir.1998) (per curiam) (“Parties may not confer appellate jurisdiction upon us by obtaining a voluntary dismissal without prejudice of some claims so that others may be appealed.” (emphasis added)).

 

Even if we were inclined to do so, we are not situated (nor was the district court) to save Mr. Waltman from the harsh ramifications of his litigation strategy. Certain commentators have suggested that our perspective is prudent, concluding that the practice (akin to the efforts of Mr. Waltman here) of dismissing some claims without prejudice in a multiple-claims action in the hopes of appealing the remaining claims that have been adjudicated with prejudice—a practice called “manufacturing” finality—violates the final-judgment rule. See, e.g., Rebecca A. Cochran, Gaining Appellate Review by “Manufacturing” a Final Judgment Through Voluntary Dismissal of Peripheral Claims, 48 Mercer L.Rev. 979, 1009 (1997) (“The distinction between dismissal with and without prejudice is crucial…. Peripheral claims must be dismissed with prejudice to preserve the final judgment rule.”); id. at 1016 (“The appellate courts also contribute to the finality problem, rather than curing it, because they fail to recognize the materiality of dismissal labels and thus fail to direct the litigants how to dismiss those claims—with or without prejudice—as if the designation were of no significance.”); Joseph Struble, Comment, An Early Roll of the Dice: Appeal Under Conditional Finality in Federal Court, 50 Hous. L.Rev. 221, 223 (2012) (“Under the traditional analysis, if a plaintiff chooses to dismiss its peripheral claims and immediately appeal, the dismissal of the peripheral claims must be with prejudice to produce a final judgment for appeal [because] … the peripheral claims are lost forever…. A majority of the courts of appeals that have considered the issue have concluded that allowing a plaintiff to manufacture finality by dismissing peripheral claims without prejudice violates the final judgment rule.” (emphases added) (footnotes omitted)).

 

Unfortunately for Mr. Waltman, neither Amazon nor Jackson lends him succor. In particular, one critical fact distinguishes those cases from this one: in each, there were unquestionably multiple claims, which Rule 54(b) contemplates. The question we addressed in those cases was whether, practically speaking, the court’s without-prejudice dismissal of one or more claims had the effect of conclusively excluding the plaintiff from federal court on those claims, such that the action could be rendered final by a with-prejudice dismissal of the remainder of the claims. See also Hyde Park Co. v. Santa Fe City Council, 226 F.3d 1207, 1209 n. 1 (10th Cir.2000); Jarvis v. Nobel/Sysco Food Servs. Co., 985 F.2d 1419, 1424–25 (10th Cir.1993). Here, for the reasons we have explicated supra, the requisite multiple claims were not present. Therefore, from the outset, Rule 54(b)’s rubric was not applicable and the district court’s Rule 54(b) certification could not provide a proper jurisdictional basis for this appeal.

 

The district court elided this distinction when it reasoned that, as in Amazon and Jackson, the claim that was dismissed here without prejudice (i.e., the purported exacerbation claim) was effectively excluded from federal court. Specifically, the court stated that the statute of limitations for the exacerbation claim ran on May 5, 2010, see Wyo. Stat. Ann. § 1–3–105(a)(iv)(C) (four-year limitations period for personal-injury claims), and that G–P would be able to assert a limitations defense in subsequent litigation, see Spirit Lake Tribe v. North Dakota, 262 F.3d 732, 738 (8th Cir.2001) (“[M]ost statutes of limitations … are affirmative defenses.”); accord Rio Grande Silvery Minnow v. Bureau of Reclamation, 599 F.3d 1165, 1176 (10th Cir.2010). Next, the court observed that amending the pleadings would require the filing of a motion to amend or vacate the judgment pursuant to Rule 59(e) or 60, respectively. The court expressed doubt that either avenue could afford Mr. Waltman the relief he sought, noting that “an amended complaint would be untimely under Rule 59(e) and so similar to the original complaint that Rule 60(b) would also fail to provide relief.” Aplt.App. at 668. For these two reasons, the district court concluded, the judgment in question was “final.”

 

*16 Yet, irrespective of whether the cited authorities would have had the preclusive effect that the district court discerned, we find the court’s reasoning unpersuasive because it is predicated on a false premise—the existence in Mr. Waltman’s action of two discrete claims. For example, the fact that, hypothetically, Mr. Waltman’s attempt to pursue a purportedly discrete exacerbation claim would be time-barred would not alter the basic truth that there was never such a discrete claim in the first instance. When the district court entered partial summary judgment, it only disposed of a portion of Mr. Waltman’s one claim sounding in negligence, leaving the exacerbation portion untouched. Absent a multiple-claims action, Rule 54(b) is inapposite and a certification issued under that rule, as here, cannot provide the proper foundation for our appellate jurisdiction.

 

Similarly, the likely unavailability of post-judgment relief through motions (i.e., Rule 59(e) or 60(b)) to resurrect the purported exacerbation claim is of no moment because such an independent exacerbation claim is (and always has been) a fiction and the court’s ruling did not comprehensively dispose of the one claim before it. In other words, exacerbation was merely a component of Mr. Waltman’s one claim sounding in negligence. Cf. Am. Family Mut. Ins. Co., 978 F.2d at 292 (opining, in a factually similar case, “Perhaps the judge was led astray by the structure of the complaint. Identifying legal theories may assist defendants and the court in seeing how the plaintiff hopes to prevail, but this organization does not track the idea of [a] claim for relief in the federal rules. Putting each legal theory in a separate count is a throwback to code pleading…. One set of facts producing one injury creates one claim for relief ….“ (citation omitted) (internal quotation marks omitted)). And, absent the multiple-claims action envisioned by Rule 54(b), the district court’s certification was ineffective in conferring appellate jurisdiction on us.

 

In sum, the district court’s invocation of Amazon and Jackson does not alter our conclusion here. At bottom, those cases are inapposite because they involved multiple-claims lawsuits; this case does not.

 

B

The jurisdictional dismissal of this case is warranted, without more, because the order that Mr. Waltman seeks to appeal is not final within the meaning of § 1291, and the district court could not (and did not) render it final through the mechanism of Rule 54(b) because Mr. Waltman’s case did not involve multiple claims, as Rule 54(b) contemplates. The implications of this holding for Mr. Waltman’s ability to ever seek appellate relief are possibly grim.FN13 Consequently, we feel impelled to note that, even if the district court had correctly invoked the rubric of Rule 54(b) because Mr. Waltman’s action actually involved multiple claims, we would nevertheless conclude that we do not have jurisdiction over this appeal because the district court did not—as Rule 54(b) requires—expressly determine that there was no just reason for delay.FN14

 

FN13. Our caselaw, unfortunately, does not definitively speak to what avenues are available after this court’s rejection of a defective Rule 54(b) certification. The fact that numerous procedural vehicles have already been duly examined and rejected leaves us in grave doubt as to whether Mr. Waltman has any further recourse. Notably, the district court’s order denying the motion to reopen the case does not appear favorable to Mr. Waltman. Nonetheless, given the wide latitude that must be afforded to the district court in matters of docket management, see Katz v. Gerardi, 655 F.3d 1212, 1217 (10th Cir.2011); Hartsel Springs Ranch of Colo., Inc. v. Bluegreen Corp., 296 F.3d 982, 985 (10th Cir.2002), we can neither prescribe nor predict the future of Mr. Waltman’s exacerbation arguments against G–P. The decision to grant post-judgment relief, such as an order on a motion filed pursuant to Federal Rule of Civil Procedure 59(e) or 60, “is committed to the sound discretion of the district court.” FTC v. Chapman, 714 F.3d 1211, 1219 (10th Cir.2013) (quoting Brumark Corp v. Samson Res. Corp., 57 F.3d 941, 944 (10th Cir.1995)) (internal quotation marks omitted). Thus, in any subsequent litigation seeking such redress, it will fall to the district court to determine whether “the party filing the [relevant] motion has [an] adequate explanation for the delay.” Cohen v. Longshore, 621 F.3d 1311, 1313 (10th Cir.2010) (quoting Minter v. Prime Equip. Co., 451 F .3d 1196, 1206 (10th Cir.2006)) (internal quotation marks omitted). Perhaps the district court will discern some basis for rendering a ruling favorable to Mr. Waltman. At bottom, the critical point is that we are not situated to relieve Mr. Waltman of the possibly grim consequences of his strategic choices. All we are at liberty to do, based on the applicable facts and governing law, is dismiss Mr. Waltman’s appeal. Cf. Lloyd Noland Found., Inc., 483 F.3d at 782 (“Lamentably, the jurisdictional defect in this appeal was not identified until after briefing and oral argument on the merits. Nevertheless, lack of jurisdiction gives us no authority to go forward.”).

 

FN14. In Bruner, after concluding that Rule 54(b)’s finality requirement could not be satisfied “because the district court ha[d] only partially disposed of a class of claims that … [were] so factually related that they should instead be disposed of together,” 259 F.3d at 1243, we similarly “conclude[d] by briefly examining whether the district court’s certification order adequately articulated the determination [ ] of … no just reason for delay that [is] required by Rule 54(b),” id. at 1244.

 

*17 Recall that Rule 54(b) provides, inter alia, that a district court “may direct entry of a final judgment as to one or more, but fewer than all, claims or parties only if the court expressly determines that there is no just reason for delay.” Fed.R.Civ.P. 54(b) (emphasis added); accord Schrock, 727 F.3d at 1278. “We have adhered to this formal requirement.” Schrock, 727 F.3d at 1279. In other words, we have concluded repeatedly that we lack appellate jurisdiction when a district court’s order “fails to comport with Rule 54(b)’s requirement that a final judgment be entered only upon an express determination that there is no just reason for delay.” Stockman’s Water Co., 425 F.3d at 1266; accord Schrock, 727 F.3d at 1279; see also EJS Properties, LLC v. City of Toledo, 689 F.3d 535, 538 (6th Cir.2012) ( “Because the district court failed to make an express determination that there was no just reason for delay, we lack jurisdiction to hear this appeal.”); cf. Bruner, 259 F.3d at 1244 (“While [Rule 54(b)’s] requirement that these determinations [i.e., the finality and no-just-reason-for-delay determinations] be stated explicitly in the district court’s certification order is to some extent a formality, the requirement does provide district courts with one last opportunity to discover errors in their decision to certify an order for appeal.”). Indeed, in Schrock, we rebuffed the parties’ entreaties “to follow an approach taken by other circuits and look beyond the text of the district court’s order to determine whether it can be said to have made the requisite determinations,” 727 F.3d at 1278, concluding that such an approach would not be consistent with our precedent.

 

We have carefully scrutinized the district court’s certification order that forms the foundation for this appeal and are constrained to conclude that the district court failed to satisfy the express-determination requirement of Rule 54(b). Specifically, at no point during its substantive analysis did the district court ever make an express determination that “there [was] no just reason for delay.” Fed.R.Civ.P. 54(b). The only time that the district court uttered “th[is] magic phrase required by Rule 54(b),” Bruner, 259 F.3d at 1244, was when the court was formulaically articulating the general requirements for a Rule 54(b) certification. The court thus explicitly acknowledged the express-determination requirement, yet did not comply with it. The court’s focus appeared to be almost exclusively on the finality component of the Rule 54(b) certification. Irrespective of the reasons for this failure,FN15 the omission is dispositive: “the district court’s certification order fails to provide us with appellate jurisdiction.”   Stockman’s Water Co., 425 F.3d at 1266.FN16

 

FN15. There is some language in the district court’s order that intimates that the court perceived the unique circumstances of this case as permitting it to intentionally excuse compliance with the express-determination requirement. In this regard, the court noted that its “holding [was] specific to the facts of this case” and that “[i]n most instances, the Court will continue to evaluate Rule 54(b) certifications in light of the dual determination,” which includes “that there is no just reason to delay review.” Aplt.App. at 668. However, it is perhaps more likely that this language relates only to the court’s Rule 54(b) finality ruling—apparently the court’s virtually exclusive concern. Viewed as such, it would amount to the district court’s explanation for why, under the circumstances of this case, the district court found Rule 54(b) finality despite the dismissal without prejudice of the purported exacerbation claim. The district court’s admonishment that immediately followed this language makes sense under this view: “[T]he Court cautions plaintiffs contemplating the voluntar[y] dismissal of claims without prejudice for the purpose of expediting appeal. In most cases, these dismissals will be viewed as lacking finality.” Id. at 669. However, irrespective of whether the district court’s failure to satisfy the express-determination requirement was intentional or inadvertent, the fact is that the court failed to comply with the requirement, and the conclusion that ineluctably follows is that its Rule 54(b) certification is fatally defective.

 

FN16. In Bruner, we arguably revealed in dictum some disquiet with an interpretation of our precedent that would oblige us to inflexibly insist that district courts actually articulate in precise terms “the magic phrase required by Rule 54(b).” 259 F.3d at 1244. In this regard, we noted that this requirement was “to some extent a formality,” and found “more important[ ]” than the district court’s failure to utter this “magic phrase” the fact that its remarks were “problematic because they [were] conclusory and not supported by any reasoning.” Id. And, possibly intimating that the failure to precisely utter the “magic phrase” might not be dispositive in every instance in depriving us of appellate jurisdiction, we concluded that it was “unnecessary to decide whether the district court properly determined that there was no just reason for delay,” id., even though it did not precisely utter the magic phrase. Bruner ‘s arguable disquiet would not be particularly remarkable given our tendency to eschew hypertechnicality in assessing our appellate jurisdiction. See, e .g., Sines v. Wilner, 609 F.3d 1070, 1074 (10th Cir.2010) (stating that “we should not be hypertechnical” in reviewing a notice of appeal). Indeed, while clearly avowing its adherence to Rule 54(b)’s express-determination requirement, the Third Circuit has suggested that the rule does not necessarily mandate precise utterance of the magic phrase (i.e., “there is no just reason for delay”). See Elliott v. Archdiocese of N.Y., 682 F.3d 213, 227–28 (3d Cir.2012). Specifically, the Third Circuit in Elliott stated, “Although we conclude that Rule 54(b) requires an ‘express’ determination, we do not believe that the rule requires that a district court employ the talismanic phrase ‘there is no just reason for delay’ prior to entry of a final judgment.” Id. at 227. Even under this arguably more flexible standard, however, the court concluded that appellate jurisdiction was lacking: “The District Court here failed to state in its order that it had determined that there was ‘no just reason for delay’ and it failed to use any other language of indisputably similar effect.” Id . at 229 (emphasis added).

 

The Third Circuit’s approach is perhaps narrower than the alternative one that we felt obliged to reject in Schrock. See 727 F.3d at 1278 (“[The parties] urge us to follow an approach taken by other circuits and look beyond the text of the district court’s order to determine whether it can be said to have made the requisite determinations.”). Yet, even if the Third Circuit’s approach could be deemed congruent with our precedent—an issue upon which we explicitly decline to opine—it would not avail Mr. Waltman. The only statements in the district court’s certification order that even conceivably could be deemed to speak to the express-determination requirement are the following: (1) “[i]n light of the parties’ new arguments, the Court concludes Rule 54(b) certification is appropriate in this case,” Aplt.App. at 661; (2) “[i]n most instances, the Court will continue to evaluate Rule 54(b) certifications in light of the dual determination … that the order it is certifying is final, and … that there is no just reason to delay review,” id. at 668 (emphasis added); and (3) “this case is ripe for appellate consideration,” id. at 669. Not only is it patent that this language does not involve the precise use of the “magic phrase,” but it also cannot be seriously argued that this language (pursuant to the Third Circuit’s approach) makes the express determination by using language of indisputably similar effect. Therefore, even under a more flexible approach than that historically employed in our cases, the district court’s certification order would be fatally flawed on express-determination grounds and thus would not provide a proper foundation for our appellate jurisdiction.

 

In sum, even if the district court had correctly invoked the rubric of Rule 54(b) because Mr. Waltman’s action actually involved multiple claims, we would nonetheless determine that we do not have jurisdiction over this appeal because the district court did not—as Rule 54(b) requires—expressly determine that there was no just reason for delay.

 

IV

*18 For the foregoing reasons, this appeal is DISMISSED for lack of jurisdiction.

 

© 2024 Fusable™