LAWRENCE K. KARLTON, District Judge.
The following is the court's opinion and order after trial.
In this case the plaintiffs allege medical malpractice on the part of United States Air Force medical personnel. (Amended) Pretrial Conference Order (Final), Undisputed Facts ("Facts") (ECF No. 82) ¶ 1. Jurisdiction is predicated upon the Federal Tort Claims Act ("FTCA"), 28 U.S.C. § 1346.
Plaintiff SH is a minor child who suffers from cerebral palsy. Facts ¶¶ 33-35. Plaintiffs' claim is that United States Air Force medical personnel committed malpractice during their treatment of plaintiff Chantal Holt — SH's mother — Edwards Air Force Base in California (U.S.A.).
Specifically, plaintiffs assert that even though Air Force medical personnel provided care for, or were aware of Chantal's two premature deliveries, and one miscarriage, they (1) failed to warn Chantal about the added dangers she faced during her then-current pregnancy with SH, (2) failed to prepare her for those dangers, and (3) failed to caution her against traveling overseas to a facility that was not equipped to handle those dangers. Plaintiffs further assert that this malpractice was the proximate cause of SH's premature birth and resulting cerebral palsy.
The government's principal defense is that even if plaintiffs were the victims of malpractice by Air Force medical personnel in the U.S., their injury occurred in Spain —where SH was born — and therefore the case falls within the "foreign claim" exception to the FTCA, 28 U.S.C. § 2860(k), depriving this court of jurisdiction. Alternatively, the government argues that Mr. Holt's claim for emotional distress is barred by the
For the reasons set forth below, the court finds that the foreign claim exception does not apply here, and that plaintiffs have proven their case on the merits. Accordingly, judgment will be entered in plaintiffs' favor.
Because the government's principal defense is jurisdictional, the court addresses it first. The Federal Tort Claims Act ("FTCA"), 28 U.S.C. §§ 1346 & 2671-80, inter alia, grants exclusive jurisdiction to the federal district courts, for civil actions asserting:
28 U.S.C. § 1346(b)(1). By its terms the FTCA also makes a sweeping waiver of the government's sovereign immunity in such cases. 28 U.S.C. § 2674 ("The United States shall be liable, respecting the provisions of this title relating to tort claims, in the same manner and to the same extent as a private individual under like circumstances");
However, the waiver of sovereign immunity is not all-encompassing. The FTCA's waiver does not apply to "[a]ny claim arising in a foreign country." 28 U.S.C.A. § 2680(k);
The purpose of this exemption is to ensure that the United States would not be subject to tort liability as determined by the law of a foreign country:
In this Circuit, and even in the Supreme Court, the "foreign law" problem was avoided simply by applying the FTCA as it was written. Specifically, liability was determined by the law of the place where the negligent act or omission occurred.
Under this simple rule, an FTCA claim "arises" in the place where the negligent act or omission occurs —not necessarily in the place where the injury or damage occurs —and that is also the place whose law governs.
Under this simple rule, grounded in the language of the governing statute, when negligent or wrongful conduct occurs entirely in the United States, the foreign claim exception would not apply, since liability is governed by the law of the state where the negligence or wrongful conduct occurred, even if the damage or injury occurred in a foreign country.
This rule had the advantage of guaranteeing that foreign law could never be applied to determine the liability of the United States under the FTCA, exactly Congress's concern in enacting the foreign claim exception. That is because the rule had two parts: first, the claim arises where the negligent act or omission occurred; and second, liability was also determined by the law of the place where the negligent act or omission occurred. Therefore, if the negligence occurred in the United States, no matter where the injury occurred, liability would be determined by local law within the United States, and the foreign claim exception would not apply. Similarly, if the negligence occurred outside the United States, even if the injury occurred within the United States, liability would be determined by foreign law, and the foreign claim exception would apply.
In
However,
Because "the FTCA's foreign country exception bars all claims based on any injury suffered in a foreign country, regardless of where the tortious act or omission occurred,"
1. Plaintiff SH was born May 12, 2005, at Puerto Real Hospital in or around Cadiz, in Southern Spain. Facts ¶¶ 33 & 34.
2. Plaintiff SH was born at approximately 31 weeks gestation. Facts ¶ 98.
3. Plaintiff SH exhibited normal "Apgars" blood gasses at birth. Facts ¶ 99.
4. Plaintiff SH exhibited signs of prematurity, including difficulty eating and breathing. Facts ¶ 100.
5. Plaintiff SH had to be intubated while in the hospital. Facts ¶ 101.
6. Plaintiff SH was kept in the neonatal intensive care unit ("NICU") for seventeen days. Facts ¶ 102.
7. Plaintiff SH was released from Puerto Real Hospital on or about May 30th. Facts ¶ 105.
8. Plaintiff SH was evaluated at the Landstuhl Medical Center, in Germany, by Dr. L. Smith. Facts ¶ 110.
9. Plaintiff SH was evaluated by two other doctors in Spain. Facts ¶ 111.
10. Plaintiff SH underwent an Electro-encephalogram (EEG) while in Spain due to concern about seizures. Facts ¶ 112.
11. While in Spain, Plaintiff SH was prescribed anti-seizure medication. Facts ¶ 113.
12. The MRI showed that Plaintiff SH had Periventricular Leukomalacia ("PVL"). Facts ¶ 114.
13. Upon arriving back in the United States, Plaintiff SH was seen at the Medical University of South Carolina ("MUSC") in Charleston. Facts ¶ 122.
14. SH had access to and received specialty care while in Charleston, South Carolina. Facts ¶ 115.
15. In late-2006, Plaintiff SH was found to have tetraplegia of all four extremities and other deficits. Facts ¶ 123.
16. Plaintiff SH was definitively diagnosed with cerebral palsy at the approximate age of 2 years old. Facts ¶ 116.
17. Cerebral Palsy is not a disease, but a grouping of non-progressive, non-contagious motor conditions that cause physical disability in human development. Facts ¶ 117.
18. Because of her cerebral palsy, Plaintiff SH is significantly disabled. Facts ¶ 118.
19. Plaintiff SH has undergone several surgeries as a result of her cerebral palsy. Facts ¶ 119.
20. Plaintiff SH will be disabled for life. Facts ¶ 120.
21. Plaintiff SH's premature birth is the cause of her cerebral palsy. Facts ¶ 121.
22. Plaintiff SH cannot walk without assistance. Facts ¶ 125.
23. Plaintiff SH has significant cognitive impairment. Facts ¶ 126.
24. Plaintiff SH has significant mobility impairment. Facts ¶ 127.
25. Plaintiff SH has significant vision impairment. Facts ¶ 128.
26. Plaintiff SH will not be able to have gainful employment. Facts ¶ 129.
The government argues that SH's injury occurred in Spain because (1) plaintiffs seek damages from "`the day she [SH] was born,'" ECF No. 174 at 7, (2) plaintiffs' required administrative tort claim, filed while plaintiffs were still in Spain, establishes that they are seeking damages for injuries occurring Spain, and (3) the evidence at trial shows that SH's injury occurred in Spain.
The government asserts that Ms. Holt testified that she was claiming damages for SH's injury "`from the day she [SH] was born.'" ECF No. 174 at 7. In fact, Ms. Holt withdrew that statement immediately upon uttering it, and instead testified that she did not know what period of time she was seeking damages for:
TR 114. Thus, Ms. Holt gave two different answers to the question the government quotes, namely, "[f]rom the day she was born?" Although she initially answers "Yes, sir," she then immediately withdrew her answer, by stating, in response to the same, repeated, question, "I don't know. I honestly don't know." In other words, Ms. Holt was confused, and did not know what the answer to the question was, notwithstanding her prior answer, which only reflected her confusion. The court accordingly rejects the government's assertion that Ms. Holt's testimony on this issue compels the conclusion that plaintiffs' injury and resulting damages occurred in Spain.
The government next asserts that plaintiffs' economic expert, Jennie McNulty, calculated damages from when SH was born, in Spain, and concludes that the injury and resulting damages therefore arose in Spain. ECF No. 174 at 7. The government is correct that this was the stated basis for the expert's damages calculation. However, the government does not explain why this supports its conclusion that the calculation bars plaintiffs' entire claim. At most, the expert's testimony shows that plaintiffs are seeking damages beyond what they are entitled to. That is, since plaintiffs assert that the injury occurred in South Carolina, they will have some difficulty in explaining why their damages should be calculated from a time that precedes their presence in South Carolina. However, there is no basis for this court to conclude that even if plaintiffs are seeking more damages than they are entitled to, that they are therefore entitled to no damages whatever. The court accordingly rejects the government's assertion that McNulty's damages calculation establishes that plaintiffs' claim "arose in Spain and is barred by § 2680(k)."
The government next asserts that plaintiffs' lawsuit is barred by the foreign claim exception because the administrative claim relating to this lawsuit was "signed and submitted" on or about June 9, 2006, while the plaintiffs were still living in Spain. ECF No. 174 at 8. The administrative claim sought money damages for, among other things, "catastrophic neurological injuries," "seizures," and "cerebral palsy."
The government therefore argues that plaintiffs have submitted a claim for an injury arising in Spain, and is therefore barred by the foreign claim exception, a jurisdictional bar. It goes on to argue that if plaintiffs are seeking damages for a claim that arose in South Carolina, they failed to file an administrative claim for it, and therefore are jurisdictionally barred by their failure to exhaust their administrative remedies.
Plaintiffs do not agree that the claim form establishes that the injury occurred in Spain. Rather, they assert that the claim forms were prepared by plaintiffs' counsel in an attempt to preserve plaintiffs' rights, including making sure that they did not lose their claims to the statute of limitations. Since the presentation of an administrative claim is jurisdictional, it is plaintiffs' burden to establish that they met the administrative claim requirement of the FTCA.
The FTCA waives the government's immunity for tort claims only if the plaintiff has first "presented" the claim to the appropriate federal agency and been turned down. 28 U.S.C. § 2675(a). This court is required to interpret the Section 2675(a) waiver of federal sovereign immunity "strictly."
It is undisputed that plaintiffs "presented" their FTCA claim to the Air Force in June 2006, while they were still living in Spain. First Amended Complaint (ECF No. 6) ¶ 4; Answer ¶ 4; RT 252 (Ms. Holt testimony; plaintiffs were in Spain "at least through June" of 2006). The government's argument is that this fact, standing alone, establishes that SH's injury occurred in Spain. However, the government cites no case for this proposition, and the court cannot agree with it.
The FTCA administrative claim is intended to enable the government to make its own investigation, and to alert it to a request for a sum certain in damages.
The government seems to be arguing that the administrative claim form is an admission by plaintiffs that the injuries identified in the form had already occurred in Spain, since the form was sworn to by plaintiffs, and was prepared with the assistance of counsel. At trial, counsel for the government pointed out to Ms. Holt that there could be a "civil penalty" attached to signing the form falsely. TR 263.
However, this form, Exhibit 3T, is not what the government says it is. Exhibit 3T is an administrative claim form. It does require the claimant to set forth the "basis of claim," in other words:
Exh. 3T ¶ 8. It also requires the claimant to
Exh. 3T ¶ 10.
Contrary to the clear implication of the government's assertion however, the certification portion of the document does not require the claimant to swear that every identified injury was known to exist at the time of signing. Rather, it states only:
Exh. 3T ¶ 13a. In other words, the Holts' signature signaled only their agreement to limit their damage claim to whatever was included on the claim form. Thus, even if cerebral palsy had not yet occurred, the parents had to include a claim for it, or they would be forever barred from seeking damages if or when it did occur, so long as it arose from the negligence identified in the form. Indeed, in this specific case, the parents —and their counsel who is the person who actually completed this form (TR 264) —must reasonably have believed that they were
Moreover, even if the parents did
Plaintiffs' form accordingly tells us nothing when it comes to the foreign claim exception. What it does tell us is that plaintiffs listed every conceivable injury that their lawyer conceived could possibly result from the negligence alleged in the form. It does not admit that those injuries have already occurred, nor does it admit that the injuries occurred in Spain. The claim form, and the plaintiffs' signature thereon, only serves to give the government notice of the alleged negligence, the possible injuries and the claimed monetary damages, so that the government can investigate, and that is all. Having fulfilled its statutory purpose, the administrative claim does not resurrect itself at trial to trap unwary litigants into making admissions about where an injury occurred for purposes of the foreign claim exception.
The government's fallback position is that if the cerebral palsy occurred in South Carolina, then this lawsuit is barred because plaintiffs did not file a separate administrative claim to cover it.
The court finds that the government was already put on notice that its medical personnel negligently treated Ms. Holt, that their negligence resulted in premature birth in a location not equipped to handle it, and that cerebral palsy and its resulting monetary damages, was among the possible injuries that could result from this negligence. No additional or subsequent administrative claim was required for this lawsuit to proceed.
The government asserts that the evidence at trial "conclusively establishes" that SH was injured in Spain. ECF No. 174 at 9. The government first points to the undisputed facts that SH "exhibited signs of prematurity, including difficulty eating and breathing," "had to be intubated while in the hospital," "was kept in the neonatal intensive care unit for seventeen days," and was diagnosed with esotropia.
The government next points to evidence that, it believes, shows that SH "suffered seizures or involuntary shaking of the leg," that the "seizures" were frequent and getting worse in Spain, that SH was placed on powerful anti-seizure medication while in Spain, and that "seizures are an injury." ECF No. 147 at 10. An examination of the evidence the government identifies for this proposition however, does not reveal evidence showing "conclusively" that SH had "seizures" in Spain.
The undisputed facts show that Ms. Holt noticed "shaking in Plaintiff SH's leg while still in Spain." Facts ¶ 109. This does not establish that there was any "involuntary" shaking, nor does it establish that the shaking was a "seizure." The government cites the testimony of Dr. Delgado, TR 606, for its assertion that the "seizures" were frequent and getting worse. ECF No. 147 at 10. However, Dr. Delgado's cited testimony does not refer to any "seizures." Rather, he states that Ms. Holt reported "unusual movements" in SH's legs. TR 604. In response, Dr. Delgado told Ms. Holt that the movements "had the
The government goes on to argue that "the Holts knew that something was `wrong' with S.H." while they were still in Spain. ECF No. 174 at 10, citing TR at 662:15-18.
Moreover, even though the government asserts that "the Holts knew" that something was wrong with Sarah while they were still in Spain, it fails to direct the court's attention to Mr. Holt's testimony on this point, even though "the Holts" refers to both parents. In fact, when asked, "Isn't it true that you knew something was wrong with her [SH] even if you weren't sure quite what it was," Mr. Holt answered:
The government next identifies a purported admission by the Holts that "S.H. had developmental delays in Spain,
The government next asserts that the Holts "knew that an MRI in Spain showed that S.H. had periventricular leukomalacia or `PVL' . . . which Plaintiffs' expert Dr. Null testified was `evidence of some injury to the white matter' of the brain." ECF No. 174 at 10, citing Facts ¶ 114 and TR 73:3-6. It is uncontested that SH had an MRI while the Holts were still in Spain.
TR 316-17 (emphases added).
The government next asserts that SH had "abnormal physical limitations," and a "litany of `medical problems,'" requiring her to see "`lots and lots of doctors,'" while still in Spain. ECF No. 147 at 10, citing Mr. Holt's testimony at TR 424:4-14 and 425:23-426:4. Once again, the cited testimony does not say what the government claims. First, Mr. Holt did not testify that SH had a "litany" of medical problems, rather he answered "Sure," when asked whether SH "had at least medical problems in Spain." TR 425:23-426:1. He did testify that SH saw "lots and lots of doctors" in Spain. TR 426:2-4. However, the plaintiffs are not suing under the FTCA because SH had unspecified "medical problems" or because she saw lots and lots of doctors; they are suing over the
Second, Mr. Holt's cited testimony at 424:4-14 does not assert that SH had "abnormal physical limitations," and in fact, he specifically denies that:
TR 424 (testimony of Mr. Holt).
The government next asserts that "the Holts testified" that "they knew that S.H. was `not developing like her other two siblings had,' even though the other siblings were also premature." ECF No. 147 at 10, citing TR 774:19-21.
The government next relies on SH's referral to "Early Development Intervention Services," and the conclusions contained in Exhibit D, an "Early Intervention Developmental Evaluation." ECF No. 147 at 10. The government asserts that SH was referred for these services based on her "manifest problems in Spain."
The government, quoting Exhibit D, asserts that the Holts knew that SH had "`motor skills that were significantly delayed when compared with other children of her own age,' even correcting for S.H.'s prematurity," because this evaluation was read aloud to them.
The government next cites Exhibit X for the proposition that the Holts knew that SH "required and received physical therapy, speech therapy (for feeding), and occupational therapy, all while in Spain," and that plaintiffs went to Germany to get a pediatric neurological evaluation for SH. ECF No. 147 at 10. Aside from the "occupational therapy," the government's assertion appears to be correct.
The government next cites Dr. Delgado for the proposition that plaintiffs "returned to the U.S. some two years early due to S.H.'s manifesting problems, for which S.H. would need specialized care not available to her in Spain." ECF No. 147 at 10, citing TR 622:5-19. The cited testimony, by Dr. Delgado, was that:
TR 622:13-18. This testimony is consistent with the evidence, discussed above, that SH's parents and doctors were concerned that she was "at risk" for serious injuries, including cerebral palsy, and that there was a possibility that other serious injuries could eventually develop. The evidence, including Dr. Delgado's account, thus leads to the reasonable inference that the parents decided to transfer to a place that would be prepared to deal with these eventualities if they did occur. There is no reasonable inference from this evidence that those injuries had already occurred at the time the parents decided to leave Spain.
The government next asserts that plaintiffs' own evidence shows that SH received a "brain injury" at birth, and in any event no later than one year after birth, and therefore the injury occurred in Spain. ECF No. 147 at 11. The government is correct that the uncontested evidence allows the court to conclude that SH received a brain injury at birth, and that this was the injury that resulted in her cerebral palsy.
The government's argument that this requires application of the foreign claim exception is predicated however, on its misrepresentation of the holding of the principal Supreme Court case governing this issue,
Moreover, the Supreme Court in
By focusing on where the injury is "received," the government essentially excludes plaintiff's theory that the court should look to where the injury first "manifested" itself. That is because the place where the injury was "received" is also "the jurisdiction where the last act necessary to establish liability occurred," according to the law review article, namely, the premature birth.
Ultimately,
The question of where SH suffered the injury plaintiffs are suing over is determined by federal law, as the government asserts, because it goes to the applicability of an FTCA exception. The problem is that neither side has directed the court to any case describing where the injury is suffered for purposes of the foreign claim exception, other than
Accordingly, this court, following the Supreme Court's lead in
Under California law, "injury" is defined "as the point at which appreciable harm [from the negligence] was first manifested. To be `manifested,' the damage from the negligence must ha[ve] made itself known in some outward fashion."
The government argues that the injuries sued over were manifest in Spain, citing "seizures," white matter brain damage, "severe" developmental delay, and esotropia. However, as discussed above, the government has not shown the presence in Spain of the catastrophic neurological damage or cerebral palsy that plaintiffs are suing over. The government has not shown the existence of "seizures." Rather, it has shown only that Ms. Holt reported leg shaking, which plaintiffs are not suing over. Although SH was prescribed phenobarbital, which can control seizures, it was apparently prescribed as a preventive, and in any event, SH was "weaned" from it while still in Spain. The developmental delay noted in the infant in Spain is not described anywhere as the "severe" developmental delay that occurred in the United States. As noted above, plaintiffs are not suing over her esotropia, a condition her father lives with and does not seem to consider to be an injury to be sued over. Plaintiffs are suing over catastrophic neurological damage and cerebral palsy, which the government has not shown existed in SH while she was in Spain.
The government next asserts that Dr. Shales "told" the Holts, while they were still in Spain, that SH had cerebral palsy.
In addition, although Dr. Shales told the Holts that Sarah had cerebral palsy, there is no evidence in the record to explain why he told them that.
Dr. David Griesemer is a board certified doctor in pediatric neurology, is in charge of the pediatric neurology departments at two hospitals in North Carolina, treated SH in South Carolina, examined all the medical records relating to SH, and testified as an expert in this case. RT 294-95, 296-97. Dr. Griesemer discussed in some detail the examination that Dr. Shales had made, and concluded that "there was nothing on his exam that provided any evidence of cerebral palsy." RT 324-25. To the contrary, the medical records show that upon birth, SH "was doing well." RT 309. There was no evidence of "hypoxic ischemic injury or anoxic brain injury." RT 309. Moreover, looking at all the records that Dr. Shales had available to him, Dr. Griesemer concluded that "there is nothing in the medical record that allows him to draw that conclusion [that SH had cerebral palsy]." RT 329.
It appears that at least some of what Dr. Shales told the Holts came from an examination by Dr. Smith, a pediatric neurologist. However, Dr. Smith's report did not state that SH had cerebral palsy:
TR 328-29. Indeed, one of the "hallmark" or "cardinal" findings needed to establish the existence of cerebral palsy is "increased tone." TR 318. However, "that cardinal finding of cerebral palsy on Dr. Smith's examination was absent." TR 318. Other hallmarks of cerebral palsy —such as leg scissoring, adductor tightness, pathologically increased reflexes —were not present in Dr. Smith's report. RT 319-20.
As to the MRI that was taken in Spain, that also did not show the presence of cerebral palsy:
TR 316-17.
Indeed, it is undisputed that cerebral palsy is a grouping of non-progressive, non-contagious motor conditions that cause physical disability in human development. Facts ¶ 117. Put another way, in general "cerebral palsy actually describes
TR 322.
The evidence shows that SH's cerebral palsy did not manifest itself until she was in South Carolina:
TR 330-31 (Griesemer). Thus, the government's distinction between when a disease exists and when it is diagnosed is not so easily applicable to cerebral palsy, which is not a disease, but a group of symptoms or manifestations. The uncontested expert evidence of Dr. Griesemer shows that if those symptoms are not manifest, then the condition does not exist. In this case, there were symptoms that were consistent with premature birth, and with conditions that a premature child could grow out of. It was not until plaintiffs arrived in South Carolina that symptoms appeared that doctors could identify as cerebral palsey.
The government next asserts that SH had "white matter brain damage" while in Spain. (ECF No. 174 at 14.) The question however, is whether there was any manifestation of that damage while plaintiffs were in Spain. The government identifies no evidence establishing that the issues the plaintiffs dealt with in Spain —leg shaking, developmental delay at 7 months and esotropia —are manifestations of "white matter brain damage," rather than ordinary, temporary manifestations of premature birth.
The court accordingly concludes that the government has not met its burden to show that the injuries plaintiffs are suing over occurred in Spain. To the contrary, the evidence shows that SH's cerebral palsy occurred in South Carolina. The government's motion to dismiss this case on the basis of the foreign claim exception will therefore be denied.
Plaintiffs are suing the United States for "medical malpractice" under the FTCA, the government's waiver of sovereign immunity for such claims. Under the FTCA, the government is liable "in the same manner and to the same extent as a private individual under like circumstances." 28 U.S.C. § 2674. Liability is determined "in accordance with the law of the place where the [negligent] act or omission occurred." 28 U.S.C. § 1346(b). In this case, plaintiffs assert that the negligent acts and omissions occurred in the United States, namely, Dr. Stahlman's approval, at Edwards Air Force Base, of the Holts' application for overseas screening, without determining whether it was appropriate to give this approval given her then-current pregnancy, and her three prior problematic pregnancies.
Under California law, the elements of a claim for medical malpractice are
The government argues that plaintiffs cannot establish the first element of their claim because Ms. Holt was not a patient of Dr. Stahlman, and therefore he did not owe her any duty. The government is correct that an "essential element" of plaintiffs' lawsuit is "the establishment of a duty owed to [Ms. Holt] by the physician."
In
This case is fundamentally different from
The purpose of this screening was to "identify if there were any obvious contraindications to sending the family together as a unit." TR 501. Specifically, it was to identify whether the dependent has any special needs, and whether those needs can be met at the receiving location. TR 501-02. If a special need was identified, that would trigger two things. First, it would trigger a "Facilities Determination Inquiry." TR 502 & 503. Second, it would trigger an inquiry into whether the service member is already enrolled in the Exceptional Family Member Program, and if not, an evaluation for enrollment in that program would commence.
The overall purpose of this process, unsurprisingly, is "ultimately because of the military mission." TR 510. That is, if a service-member has dependents with special needs that are not being met at the overseas location, that will distract the service-member, and might even require the return of the family from the overseas location, all to the detriment of the military mission. RT 509 & 510. However, the means of ensuring that the military mission is not compromised in these situations, is to protect the "family member's well-being" while the service-member and the family are overseas. TR 509.
Viewing all this in the context of the
Further, it is undisputed here that the plaintiff suffered an injury, and as discussed below, the evidence shows that it was proximately caused by Dr. Stahlman's conduct. The court finds that the policy of preventing future harm would be well served by ensuring that the medical screening process is not simply a "rubber-stamping" of the service-member's request to bring his family with him overseas. Moreover, the court is aware of no additional burden to the community by requiring that the doctor exercise due care in conducting the screening.
Finally, the court finds that the screening process was intended to benefit Ms. Holt. It is true that the ultimate goal of the screening was to benefit the Air Force, but that ultimate goal was to be achieved by ensuring the well-being of the service-member's family. Thus, in stark contrast to the
The government's citation to
The court concludes that Dr. Stahlman had a duty to screen Ms. Holt with the due care expected of a physician.
a. In or about 1998, Plaintiff Chantal Holt gave birth to her first child ("MH") while her husband was stationed at Travis Air Force Base, in Solano County, California. Facts ¶ 15.
b. Plaintiff Chantal Holt experienced preterm contractions and preterm labor with her first child. Facts ¶ 16.
c. Plaintiff Chantal Holt's first child was born at approximately 32 weeks. Facts ¶ 17.
d. In or about 2000, Plaintiff Chantal Holt gave birth to her second child ("LH") while her husband was stationed at a military installation in Germany. Facts ¶ 18.
e. Plaintiff Chantal Holt's second child was born at Landstuhl Medical Center, Germany. Facts ¶ 19.
f. Plaintiff Chantal Holt experienced preterm contractions and preterm labor with the second child. Facts ¶ 20.
g. Plaintiff Chantal Holt received care from Dr. Hildebrand, a specialist at Landstuhl Medical Center, while pregnant with her second child. Facts ¶ 21.
h. Plaintiff Chantal Holt's second child was born at approximately 34 weeks. Facts ¶ 22.
i. Plaintiff Chantal Holt's second child spent several days in the neonatal intensive care unit immediately after birth. Facts ¶ 23.
j. Plaintiff Chantal Holt's second child exhibited difficulties associated with prematurity, including difficulty breathing and eating, but suffered no long-term effects from the premature birth. Facts ¶ 24.
k. Prematurity is considered to be birth earlier than 37 weeks. Facts ¶ 26.
l. Having a history of premature births puts any subsequent pregnancy at a higher risk of premature birth. Facts ¶ 27.
m. Children born prematurely are at higher risk for neurological and other medical conditions, including cerebral palsy. Facts ¶ 28.
n. Plaintiff SH is the third child of Plaintiffs Ken and Chantal Holt. Facts ¶ 29.
o. On or before October 15, 2004, Plaintiff Ken Holt received notice that he would be transferred to the USAF Air Mobility Squadron at Rota Naval Station, in or around Cadiz, Spain. Facts ¶ 36.
p. In or about October 31, 2004, Chantal Holt contacted Nurse Practitioner Spikowski ("NP Spikowski") at Edwards AFB and told NP Spikowski that she had tested positive for pregnancy. Facts ¶ 37.
q. NP Spikowski advised Plaintiff Chantal Holt to stop taking certain medications at that time, and referred her for a pregnancy test. Facts ¶ 38.
r. Plaintiff Chantal Holt underwent a pregnancy test at the Edwards APB medical clinic. Facts ¶ 39.
s. The pregnancy test confirmed that Plaintiff Chantal Holt was pregnant on or about November 2, 2004. Facts ¶ 40.
t. NP Spikowski told Plaintiff Chantal Holt on or about November 2, 2004, that she should see Nurse Hobby to get a prescription for prenatal vitamins and to schedule a new pregnancy meeting. Facts ¶ 41.
u. At the new pregnancy meeting, Plaintiff Chantal Holt was given a list of civilian medical providers for her pregnancy care. Facts ¶ 42.
v. Plaintiff Chantal Holt chose Dr. Bansi Vora, a civilian doctor, for her pregnancy-related medical care. Facts ¶ 43.
w. In or about November 2004, Edwards APB medical staff gave plaintiff Chantal Holt a referral to Dr. Vora for her pregnancy-related medical care. Facts ¶ 44.
x. Dr. Vora is not an employee of the United States. Facts ¶ 45.
The uncontested evidence shows that after Ms. Holt's first pre-term delivery, the medical personnel at Travis did not "make a really big deal about it." TR 85. The child, MH, was placed in the NICU for 12 hours for monitoring, and plaintiffs were then sent home thinking they had had "the same experience everybody else had." TR 85.
The uncontested evidence also shows that prior to Ms. Holt's second preterm delivery, she was hospitalized twice at Landstuhl, and given IV drugs to prevent her preterm contractions. RT 87-88. After the premature birth of LH, the child was placed in the NICU for "[b]etween three and four" weeks. RT 89. Although this was Ms. Holt's second premature birth, the medical personnel at Landstuhl, including Dr. Hildebrand, did not give Ms. Holt any information or warnings about future births. TR 88-89; Facts ¶ 21. Instead, they told Ms. Holt her two premature births "don't appear to be related." RT 89.
The evidence further shows that because of Ms. Holt's two prior pre-term deliveries, "she was at very high risk to have a subsequent preterm delivery. And therefore, it was critical that she be informed of that risk factor." TR 33 (Dr. Null testimony).
In late summer 2001, Mr. & Ms. Holt, MH and LH moved to Edwards Air Force Base in California. RT 89. During their time there, and before Ms. Holt became pregnant with SH, Ms. Holt had a miscarriage (sometimes referred to in the record as a "spontaneous abortion"). RT 646 (video deposition of Mr. Holt read at trial).
In October 2004, Mr. Holt was notified that he would be transferred to Spain for at least three years. TR 389-90. Mr. Holt accordingly completed a "RIP" form on which he listed his wife and two children, whom he wanted to accompany him on his overseas assignment.
Ms. Holt's pregnancy with SH was confirmed by Air Force medical personnel, on or about November 2, 2004.
The purpose of the screening was to determine whether the dependents "had any medical problems that the gaining base would be unable to take care of." TR 450 (Stahlman testimony). In order to carry out this function, the doctor (and coordinator) spoke with the dependents and reviewed their medical records. TR 450. If during this process, the doctor identified any medical concerns, or anything he wasn't sure might be a medical concern, he would investigate further and "review the medical record more in depth." TR 451-52.
One of the issues the doctor would look at, if he knew the patient was pregnant, was whether she "had any significant medical or OB problems." RT 453, 459 (would only investigate further if he knew the patient was pregnant). If there remains an issue as to whether the receiving base could handle a medical issue relevant to a dependent, then the doctor would request to have that information sent "to the gaining base so that they can review it." TR 453. That "review" would be to determine if the receiving base could handle the medical issue. TR 42 (Null testimony). One such medical issue that would cause the doctor to get further information about the dependent is if he learned that the dependent had had two previous premature births and a prior miscarriage:
TR 454-55.
The uncontested evidence in this case is that at the time Dr. Stahlman conducted the overseas screening for the Holt family, Ms. Holt had already had two premature deliveries on U.S. military bases under the care of U.S. military medical personnel, as well as a miscarriage. The evidence shows that all of this information was documented in her medical records which were provided to, and reviewed by Dr. Stahlman prior to, or at the time of, the screening.
The government resists this conclusion by asserting that "there is no evidence that Col. Stahlman knew that Mrs. Holt was pregnant." ECF No. 147 at 17. The assertion is simply false, because there
The evidence is uncontested that Ms. Holt's pregnancy test was done by Air Force medical personnel at Edwards Air Force Base. It is uncontested that this test result was entered into Ms. Holt's medical records kept by the Air Force. It is uncontested that Ms. Holt's medical records were provided to Dr. Stahlman, for his review, prior to the screening.
The government nevertheless asserts that Dr. Stahlman did not have access to the
In order for Dr. Stahlman to know nothing of Ms. Holt's pregnancy, not only would the lab results need to still be in transit and not yet in the official records, but Spikowski must have failed to enter this obviously important medical development into Ms. Holt's medical records. Dr. Stahlman's own testimony refutes this possibility. He testified that when a person was seen in a clinic, the medical personnel would enter the notes from that visit into the medical records that day, even if the results of a lab test would not be entered until days later:
RT 467-78. In other words, there is no reason to think that Dr. Stahlman only knew information contained in an official, paper laboratory report. Rather, he would also know what was entered into the medical record by Ms. Holt's other providers, including Spikowski. There is no basis for believing that Spikowski would have withheld this information, and the government does not assert that she did.
In any event, the evidence is contradictory on whether the official, paper lab report would have made it into the records reviewed by Dr. Stahlman in time. The government cites Dr. Stahlman's testimony that lab results "might not be filed for a day or two, or several days."
RT 429-30 (videotaped deposition testimony of Spikowski).
In addition, the evidence shows that Dr. Stahlman was
RT 94. Thus, Ms. Holt's direct, eye-witness testimony is that Dr. Stahlman was told of Ms. Holt's pregnancy, and discussed it with her.
This testimony is uncontested. Dr. Stahlman's testimony plainly showed that he did not specifically recall meeting Ms. Holt and her children for the screening.
TR 465.
The government asserts that Dr. Stahlman "testified that he did not know that Mrs. Holt was pregnant." ECF No. 147. That is not a fair description of his testimony. After testifying that he did not recall having a conversation with Ms. Holt about her pregnancy, Dr. Stahlman then testified "I do not believe" that he saw the pregnancy lab reports, and "I do not believe that I knew that the patient was pregnant." TR 479 & 480. However neither of these statements even purports to come from his own memory. They are based upon the fact that Dr. Stahlman did not make a further investigation or request an FDI, and his belief that he would have done so if he knew that Ms. Holt was pregnant.
The court finds that Dr. Stahlman knew that Ms. Holt was pregnant, and that Ms. Holt had had two prior premature deliveries and a miscarriage. The court further finds that Dr. Stahlman breached his professional duty of care to Ms. Holt by failing to investigate further her OB history, and failing to take any steps to ensure that her overseas travel would not endanger her or SH.
Plaintiffs assert that the Air Force medical personnel's failure to warn Ms. Holt of the dangers inherent in future pregnancies, and its decision to let her travel to Spain without determining whether the facilities there were adequate to deal with her pregnancy, was the proximate cause of SH's injuries. They presented clear expert evidence to this effect:
TR 41-42 & 42-43 (Dr. Null expert testimony).
The government asserts that there is no causation because Ms. Holt received "appropriate" care in Spain. However, while there is no evidence that Ms. Holt was the victim of malpractice in Spain, the evidence is clear that Ms. Holt did not receive care in Spain that was appropriate for her dangerous pregnancy. Appropriate care for a person in her condition would be prenatal care addressing the danger, ready access to a NICU and specialists who deal with premature deliveries.
While there is no evidence (or allegation) that the care Ms. Holt received in Spain was negligent in any way, the evidence does show that the facility where she was treated was not capable of handling the issues she faced. It did not have a NICU and it did not have perinatal care available for Ms. Holt. TR 64 (Ms. Holt testimony). It had only one NICU nurse and none of the equipment that would be needed for a premature birth infant, such as proper-size intubation equipment or breathing tubes. TR 102. Overall, it was not equipped to prevent a premature birth or to handle a premature birth. TR 658-59.
As the direct result of these deficiencies, after Ms. Holt was already in preterm labor, she had to be rushed, by ambulance, to a facility capable of handling the situation. TR 658-59. Had appropriate specialists and facilities been in place at Rota, where Ms. Holt received her treatment, the traumatic, premature, emergency C-section that Ms. Holt and SH endured would "more likely than not" have been avoided. TR 42. Had that trauma been avoided, it is likely that SH's subsequent injuries would not have occurred, either. TR 42-43.
The court finds that the government's negligence in clearing Ms. Holt for travel to Rota, Spain, without making any effort to determine if the facility was adequate for her needs, was the proximate cause of the injuries that eventually befell SH.
Plaintiffs offered the expert testimony of Jenny McNulty, an economic consultant, in support of its damages calculation. RT 356. She was subject to voir dire by the government, which established that her opinions were "premised on the reports of Dr. Barras and Dr. Ancell." TR 359. The government established that McNulty would not give opinions "as a life-care planner," and that she would not give "opinions as to life expectancy" or as to "vocational rehabilitation." TR 359-60. McNulty would testify only "in an economic capacity." RT 360. After its voir dire, the government announced that it was "fine with her testimony." TR 360.
McNulty accordingly calculated SH's "projected loss of earnings." TR 372. She relied upon U.S. Census Bureau data, and the Ancell expert report, assuming that without her injuries, SH would have earned an Associate's or Bachelor's degree, and would work for a typical number of years. TR 373-74. Her calculation for lost earnings came to $620,945, using the Associate's degree assumption, and $814,028, using the Bachelor's degree assumption. TR 373-74.
McNulty next calculated the value of Ms. Holt's time spent caring for SH. TR 374-76. She assumed that Ms. Holt cared for SH 24 hours a day, every day from the day SH came home from the NICU, excluding time SH spent in "the 4-K Head Start program," and excluding time SH spent in school. TR 375. McNulty used a valuation for Ms. Holt's time of $30 per hour, which is based upon the expert report of Dr. Barras.
McNulty next calculated the value of SH's future care expenses. RT 376-77. This calculation is based upon the expert report of Dr. Barras, which included costs for "surgeries to medical needs, seeing doctors, to also equipment, wheelchairs, et cetera, as well as nursing —the nursing attendant needs, and then also educational needs." RT 376-77. McNulty's calculation of these costs came to $7,023,383, if SH attended public school, and $7,384,072, if she went to private school.
The government did not challenge any of McNulty's testimony during its opportunity to cross-examine her and it did not object to her testimony after conducting a voir dire of her. After McNulty's testimony, the government moved to strike it, and in its post-trial brief, the government asserts that McNulty's testimony should be disregarded because the expert report of Dr. Barras, upon which her testimony was based, was not admitted into evidence, and because plaintiffs did not call Dr. Barras as a witness. It argues that "[o]pinions based on assumptions must be excluded if they lack a basis in the evidence." ECF No. 174 at 19, citing
McNulty based her testimony on expert reports, not the unsupported assumptions the Ninth Circuit rejected in
The government further asserts that any damages award must be reduced by the value of the care relating to the time the Holts were still in Spain. ECF No. 174 at 21. The government is correct on this point, as the Holts cannot claim damages for an injury in Spain that did not occur until after they left Spain. The calculation for past care will therefore be reduced by the cost of the care incurred during the 14 months the Holts were still in Spain, or $302,400.
Plaintiffs request damages for non-economic damages, pursuant to Cal. Civil Code § 3333.2. Pl. Tr. Br. (ECF No. 105) at 16. Such damages are limited to $250,000 for "pain, suffering, inconvenience, physical impairment, disfigurement and other nonpecuniary damage." Cal. Civil Code § 3333.2(a) & (b). At trial, plaintiffs established the physical impairment of SH, and therefore she is entitled to the statutory maximum. While there is no direct evidence of the pain and suffering experienced by the parents, common sense and common experience is evidence enough. Thus the court will award $250,000 for the parents' pain and suffering. Accordingly, non-economic damages will be $250,000 for SH herself, and an additional $250,000 in total, for the parents' combined pain and suffering.
For the reasons stated above, the court finds and orders as follows:
1. The government's motion to strike the testimony of Jenny McNulty (ECF No. 146) is
2. Plaintiffs' FTCA claim is not barred by the foreign claim exception of 28 U.S.C. § 2680(k);
3. Dr. Stahlman, a military doctor acting within the scope of his duties, breached his duty of care to Ms. Holt by clearing her for travel to Spain without investigating further her medical history of premature births and miscarriage, and without making any inquiry on whether the receiving base could handle her situation;
4. This negligence, and Ms. Holt's subsequent treatment at a base incapable of handling her situation, was the proximate cause of the injuries ultimately suffered by SH and her parents;
5. Plaintiffs suffered $10,409,700 in damages, as follows,
a. $814,028 for SH's lost earnings;
b. $1,711,600 for Ms. Holt's costs of care;
c. $7,384,072 for SH's costs of future care;
d. $250,000 for SH's non-economic damages; and
e. $250,000 for Mr. and Ms. Holt's pain and suffering.
IT IS SO ORDERED.