CHRISTIAN J. MORAN, Special Master.
On September 25, 2008, Nicole and Larry Bayless on behalf of their son, Spencer, filed a petition for compensation under the National Vaccine Injury Compensation Program, 42 U.S.C. § 300aa-10 through 34 (2006). In their petition, the Baylesses alleged that Spencer suffered a "table encephalopathy and an aggravation of his neurologic condition" as a result of the diphtheria-tetanus-acellular-pertussis ("DTaP") vaccination he received on October 4, 2005. Alternatively, petitioners alleged that Spencer suffered "a non-table encephalopathy and an aggravation of his neurologic condition" as a result of the DTaP vaccine.
To support their claim for compensation, petitioners periodically filed evidence including medical records, affidavits, and expert reports. The Secretary filed a responsive expert report, and the parties began planning for an expert hearing to be held in November 2011. Order, issued June 13, 2011. However, at petitioners' request, the scheduled hearing was cancelled and the Baylesses obtained a supplemental report from their expert. Later, the case was referred to another special master for alternative dispute resolution. Order, issued May 22, 2012.
The parties did not reach a resolution. In light of this, in February 2013, petitioners proceeded with filing additional evidence from their experts. On March 28, 2013, the case was reassigned to the undersigned. Following the filing of the respondent's second expert report, it became evident that the experts were assuming different facts regarding Spencer's condition following his October 4, 2005 DTaP vaccination through his November 28, 2005 hospitalization.
When they are confronted with discrepancies among medical records and affidavits, special masters are encouraged to hold hearings to evaluate the testimony of the affiants.
Following the hearing, the parties submitted Joint Proposed Findings of Fact ("Proposed Findings") on April 30, 2014. Although the Baylesses referred to Spencer reaching milestones as described by
Petitioners are required to establish their case by a preponderance of the evidence. 42 U.S.C. § 300aa-13(1)(a). The preponderance of the evidence standard requires a "trier of fact to believe that the existence of a fact is more probable than its nonexistence before [he] may find in favor of the party who has the burden to persuade the judge of the fact's existence."
The process for finding facts in the Vaccine Program begins with analyzing the medical records, which are required to be filed with the petition. 42 U.S.C. § 300aa-11(c)(2). Medical records created contemporaneously with the events they describe are presumed to be accurate.
Not only are medical records presumed to be accurate, they are also presumed to be complete, in the sense that the medical records present all the problems of the patient. Completeness is presumed due to a series of propositions. First, when people are ill, they see a medical professional. Second, when ill people see a doctor, they report all of their problems to the doctor. Third, having heard about the symptoms, the doctor records what he or she was told.
Appellate authorities have accepted the reasoning supporting a presumption that medical records created contemporaneously with the events being described are accurate and complete. A notable example is
Decisions by judges of the Court of Federal Claims have followed
The presumption that contemporaneously-created medical records are accurate and complete is rebuttable, however. For cases alleging a condition found in the Vaccine Injury Table, special masters may find when a first symptom appeared, despite the lack of a notation in a contemporaneous medical record. 42 U.S.C. § 300aa-13(b)(2). By extension, special masters may engage in similar fact-finding for cases alleging an off-Table injury. In such cases, special masters are expected to consider whether medical records are accurate and complete. To overcome the presumption that written records are accurate, testimony is required to be "consistent, clear, cogent, and compelling."
Special masters will consider various explanations for inconsistencies between contemporaneously created medical records and later given testimony. The Court of Federal Claims listed four such explanations. Inconsistencies can be explained by: (1) a person's failure to recount to the medical professional everything that happened during the relevant time period; (2) the medical professional's failure to document everything reported to her or him; (3) a person's faulty recollection of the events when presenting testimony; or (4) a person's purposeful recounting of symptoms that did not exist.
In weighing divergent pieces of evidence, special masters usually find contemporaneously-written medical records to be more significant than oral testimony.
The relative strength or weakness of the testimony of a fact witness affects whether this testimony is more probative than medical records. An assessment of a fact witness's credibility may involve consideration of the person's demeanor while testifying.
These criteria are considered in the analysis below.
Spencer was born on June 2, 2005. Exhibit 2 at 96. To care for Spencer during the day while the Baylesses worked, they arranged for Ms. Bahuchet, Mrs. Bayless's mother, to come to their house. Tr. 145, 166. Ms. Bahuchet moved from Colorado to the Baylesses' home in California to tend to Spencer. Tr. 54-55. Ms. Bahuchet described herself a "teaching parent" who was very involved with Spencer's daily routine. Tr. 57.
On October 1, 2005, Ms. Bahuchet left the Baylesses' home ahead of the visit of ex-husband, Mr. Jacques Pierre. Tr. 60. Ms. Bahuchet used the opportunity to return to Colorado and complete packing up her house. Tr. 61. When Mr. Pierre and his wife visited their new grandson, Spencer had his four-month well-baby checkup with his pediatrician, Dr. Delmonteverde, on October 4, 2005. Tr. 20-22; exhibit 45 at 1-3; exhibit 2 at 90. During this check-up, Spencer received his second round of IPV, DTaP, Hib-Hep B, and Prevnar immunizations. Exhibit 2 at 90.
The parties do not dispute that on October 5-6, 2005, the two days following his four-month vaccinations, Spencer had a fever, cried often and was fussy and irritable.
Mr. Pierre left on October 10, 2005. Tr. 22; exhibit 45 at 1. During the hearing, he testified about his observances of Spencer for the five days after vaccination. Tr. 30-38;
Ms. Bahuchet resumed care-taking on October 12, 2005. Tr. 62. Ms. Bahuchet testified that she deferred to her daughter's judgment in matters involving Spencer's care, and that there were instances when their opinions differed causing a strain on their relationship. Tr. 71-72, 95-96, 155-56, 228-29.
Between October 5, 2005 and November 23, 2005, relatively few records were created. Mrs. Bayless made entries on various dates in Spencer's baby book and the Baylesses recorded video of Spencer's first Halloween. Exhibit 25; exhibit 26; exhibit 53. The witnesses provided their recollections about Spencer's health during this time, which is discussed in the section of disputed facts.
Mrs. Bayless averred that on November 23, 2005, she "noticed Spencer flexing his right arm in the morning . . . [and] thought he was flexing his muscle and that it looked cute. Over the next several days he continued to do this while bending his head forward." Exhibit 43 (second affidavit of Nicole Bayless) at 5.
The Secretary does not dispute that a few days before Spencer was taken to Torrance Memorial Hospital (TMH) on November 27, 2005, he began to have jerks or movements described as "twitching." Proposed Findings at 12-13 (citing exhibit 34 at 1-3, 6-7; exhibit 9 at 101; exhibit 10 at 40-41, 44-45, 85).
Thanksgiving occurred on November 24, 2005. On the day after, the Baylesses took Spencer shopping during which Spencer moved erratically and Ms. Bahuchet thought he was having a seizure. Tr. 76, 80-81,111-15, 124-26; exhibit 44 at 4-5. The Baylesses created a video on November 27, 2005, then brought Spencer to TMH and provided a history to Spencer's treating physicians. Exhibit 43 at 6; exhibit 34; Tr. 172.
On November 28, 2005, the Baylesses brought Spencer to Dr. Delmonteverde's office, where Dr. Chittenden saw Spencer. Exhibit 9 at 101. Later, Spencer was taken to Children's Hospital of Los Angeles (CHLA) where Spencer was seen by Dr. Rosser. Dr. Rosser remains Spencer's treating neurologist and offered an opinion that the DTaP vaccine harmed Spencer. Exhibits 56, 144.
The admission records from TMH and CHLA provide sufficient documentation to account for Spencer's condition from November 23, 2005 forward.
The parties' dispute focuses on Spencer's condition in the several weeks following his October 4, 2005 vaccination for which there are no contemporaneous medical records.
The Baylesses assert that Spencer was a "normal healthy baby who achieved all of his developmental milestones" prior to his October 4, 2005 DTaP vaccination. Exhibit 5 (first affidavit of Nicole Bayless) at 1. The Baylesses claim that following the vaccination, Spencer stopped reaching milestones and began having many problems including a decreased appetite, listlessness with long periods of blank staring, irritability, sudden loss of use of his right hand, and episodes of "bad dreams."
In support of their allegations, the Baylesses have submitted medical records and affidavits in addition to their testimony and the testimony of Spencer's maternal grandparents. The Secretary challenges the Baylesses' assertions and contends that the medical records do not support their assertions about Spencer's health.
With the exception of Spencer's gradual loss of the use of his right hand and staring, the undersigned finds that the medical records, including the admission records from TMH and CHLA, provide sufficient documentation to account for his condition prior to November 23, 2005.
The topics covered by the parties' proposed findings are each discussed separately below.
The Baylesses assert that, starting October 5, 2005, and continuing until his November 28, 2005 treatment at CHLA, Spencer experienced "bad dream" episodes. Proposed Findings at 2-3; exhibit 45 (affidavit of Jacques Pierre) at 2; Tr. 21. The Secretary argues that there is no documentation, contemporaneous or otherwise, to support the assertion that Spencer was exhibiting this behavior. Proposed Findings at 2.
The Baylesses described that during these episodes Spencer would jerk awake from sleeping with a shake of his head from left to right, followed by screaming and crying. The Baylesses assert these episodes, which they liken to awakening from a bad dream, happened several times a day. Exhibit 45 at 2; Tr. 23-24.
The witnesses testified about their recollections of Spencer's bad dreams. Mr. Pierre recalls Spencer having bad dream episodes during his October 2005 visit and described Spencer's behavior during these episodes as abruptly awaking from sleep with left to right head shaking followed by intense crying. Tr. 19-26. According to Mr. Pierre's recollection, these episodes did not cause the Baylesses to be concerned and were considered "normal." Tr. 38.
Furthermore, when Ms. Bahuchet arrived back to the Baylesses' home from Colorado on October 12, 2005, she was not informed of any new or unusual behavior by Spencer during her absence. Tr. 89-90. Ms. Bahuchet resumed Spencer's daily care without any conversation about the bad dream episodes and by her account "everyone was acting like nothing happened after the vaccines." Tr. 97. Ms. Bahuchet testified that she saw the jerking and bad dream episodes as Spencer would wake up, with high pitched crying like a "night terror," and that she recalled this occurring around the time she returned from Colorado. Tr. 105-06.
Mrs. Bayless testified that these episodes occurred during her father's visit but that she assumed they were reflexes and medical care was not required. Tr. 158. Although Mrs. Bayless testified that Spencer had been having bad dream episodes and jerking himself awake starting October 5, 2005, she did not express concern to Spencer's primary physician, Dr. Delmonteverde. For example, when Mrs. Bayless stopped into Dr. Delmonteverde's office on October 14, 2005, to retrieve a letter excusing her from jury duty, she did not mention any issues or arrange for an appointment. Tr. 163-64; exhibit 2 at 89.
Standing by itself, this version seems coherent. The Baylesses did not seek medical attention for Spencer's "bad dream" behavior because they did not understand the behavior was abnormal.
However, a problem with this version arises once additional evidentiary materials are considered. The medical records created when the Baylesses began to realize that Spencer might be ill are inconsistent with their testimony. One of the first doctors to see Spencer was Dr. May at TMH on November 27, 2005. By this date, the Baylesses had already videotaped Spencer's aberrant movements and, thus, were worried about their child's health. The Baylesses told Dr. May that Spencer's "twitching" seemed to occur when he woke from naps and had started the previous Wednesday, November 23, 2005. Exhibit 34 at 1, 6. Given that both the reported "twitching," and Spencer's bad dream episodes appeared to occur following naps, it seems that his parents would have been prompted to explain both to Dr. May. Instead, the Baylesses reported only that Spencer's "unusual motor activity" was different from his "baseline." Exhibit 9 at 102.
Dr. May ordered an electrolyte panel and bloodwork, then called Dr. Delmonteverde to review the results.
Later that same day, Ms. Bahuchet observed Spencer having another "twitching" episode which led the Baylesses to take Spencer to CHLA. Again, no report was provided describing weeks of bad dream behavior. The Baylesses reported that Spencer was:
Exhibit 10 at 44 (emphasis added).
The CHLA history is a third instance in which the parents provided a history about when Spencer's unusual waking movements began. The CHLA history is relatively consistent with the TMH history; the former places onset at November 21, 2005, and the latter gives an onset of November 23, 2005. Exhibit 10 at 44; exhibit 34 at 3. This two-day discrepancy is not important. What does matter is neither history even remotely suggests that the problem started in early October 2005.
Given the above, it is difficult to accept that Spencer routinely woke from sleep with abnormal screaming and head shaking as if aroused from a bad dream or "night terror." It seems that if this were the actual severity of Spencer's typical behavior, the Baylesses and/or Ms. Bahuchet would have reported it to his treating physicians when care was sought in November 2005. Moreover, given that the history provided included a newly observed behavior when waking, it is difficult to accept that his parents would not report other routine and abnormal behavior that also occurred as he woke. Thus, it appears that the Baylesses and their witnesses are not accurately recalling the onset, severity, or frequency of Spencer's behavior. The evidence, on the whole, does not support a finding that Spencer routinely awoke with abnormal "night terror" screaming, head shaking and inconsolable crying.
Mrs. Bayless claims that, according to her interpretation of
Ms. Bahuchet, in particular, expressed her strong personal belief that Spencer's development slowed following his October 4, 2005 vaccinations. Tr. 57-72. Ms. Bahuchet described herself as a "teaching parent" and oversaw Spencer's daily routine as his caregiver when Mr. and Mrs. Bayless were at work. Tr. 66, 100-01, 166. Ms. Bahuchet stated that upon her return from Colorado on October 12, 2005, Spencer was "a different child." Tr. 66. She gave several examples of what she believed to be causes for concern, stating that Spencer was "generally listless and uninterested to reach, kick and play with his toys." Tr. 99-102; exhibit 44 at ¶ 10.
Ms. Bahuchet described Spencer's development before the October 4, 2005 vaccination as "advanced," and that there was a "huge contrast" in his development after vaccination. Exhibit 44 at ¶ 7. Ms. Bahuchet and Mrs. Bayless testified that their discussions about Spencer's alleged condition occurred frequently and caused stress between them. Tr. 71-72, 96, 109, 132, 155-56, 166, 228-29.
Again, the Secretary contends that there is an absence of documentation, contemporaneous or otherwise, to support the Baylesses' assertions that Spencer stopped reaching "developmental milestones." Proposed Findings at 9. Moreover, the Secretary contends that Ms. Bahuchet and Mrs. Bayless lack the scientific and/or medical expertise to characterize the progression or lack thereof of Spencer's "developmental milestones."
The milestones described in the popular "What to Expect" books are simple and easily observed.
The five-month chapter of
Even more importantly, it seems clear that Spencer could actually perform many of the events described in the five-month chapter of
Mrs. Bayless testified that Spencer "didn't eat much at all" for the two days following his October 4, 2005 vaccinations. Tr. 150-52, 218. Mrs. Bayless recalled that although Dr. Delmonteverde had advised her to start Spencer on solid foods during his October 4, 2005 four-month check-up, she was unable to do so right away. Tr. 150-52.
Mrs. Bayless provided two reasons for not starting Spencer on a solid food diet until two-and-one-half weeks after Dr. Delmonteverde's recommendation. First, Mrs. Bayless explained that she might have tried to introduce Spencer to solid food that same day, but had not yet had the chance to buy infant cereal from the grocery store. Tr. 152. Second, Mrs. Bayless testified that, due to Spencer's fever the following two days, he was uninterested in eating and she thought he was not well enough for a new diet. Tr. 152. According to Mrs. Bayless, Spencer's appetite slowly returned and by October 22, 2005, she felt he was well enough to have him try solid food for the first time. Tr. 150-52.
Ms. Bahuchet testified that in her opinion Spencer's feedings became difficult following his October 4, 2005 vaccinations. Tr. 69. Mrs. Bayless testified that Spencer continued to have trouble eating and "did not want to take his bottles" through October 2005, which she attributed to her assumption that he was teething. Tr. 162, 218.
The Secretary does not dispute that Spencer started solids on October 22, 2005, but contends that there is a lack of evidence supporting the claim that Spencer's appetite was decreased following his vaccinations through October 22, 2005. Proposed Findings at 3.
During this period of time, Mrs. Bayless did not make additional notes in Spencer's baby book akin to the notes describing his fever and fussiness on October 5-6, 2005. Additionally, the Baylesses did not contact Dr. Delmonteverde to report any change in Spencer's eating. It is likely that if Spencer had not resumed more regular eating habits following his October 5-6, 2005 fever, Mrs. Bayless would have called Dr. Delmonteverde, as she claims to have done when Spencer's fever lasted more than a day. Tr. 209-12.
Thus, it is likely that Spencer's eating habits improved during the time following his fever until he started solid foods on October 22, 2005, and continued to be relatively normal through November 2005. Exhibit 34 at 1-2 (patient history given on Nov. 27, 2005 stating "patient has been taking good p.o.'s
The Baylesses claim that in the six to seven weeks following his four-month vaccinations, Spencer "suddenly" began using his left exclusively and fisting his right hand. Exhibit 5 at 3. Specifically, Spencer would rely on his left hand to sit up and play with toys. Tr. at 127-29. Mrs. Bayless testified that she attributed this behavior to Spencer being left handed and that it was not until his admission at CHLA that she realized he could no longer grasp with his right hand. Exhibit 25 at 14; Tr. 127-29.
Although Spencer's admitting physicians at CHLA noted that he "[m]oves all extremities equally," on November 29, 2005, Spencer is seen in the Halloween trick-or-treating video resting in his mother's arms with his right hand in a fist. Exhibit 10 at 41; exhibit 53. The Secretary's expert addresses this stating:
Exhibit D at 7.
The evidence supports a finding that at some point prior to the end of October 2005, Spencer began favoring his left hand and fisting his right hand.
The Baylesses also assert that following his four-month vaccinations, Spencer began staring at objects for extended periods of time. Examples of objects that fascinated him include a jack-o-lantern Halloween decoration, his hands, and his arms. Tr. 126-27, 153-54, 168-69; exhibit 25 at 14 (baby book October 2005 notation: "I like our jack-o-lantern and like to stare at its flickering lights"). In her August 2011 affidavit, Mrs. Bayless alleged that Spencer began staring at his hands beginning around October 7, 2005. Exhibit 43 at 3. Mrs. Bayless described this behavior as lasting for seven weeks. Exhibit 5 at 2-3. During her testimony, Mrs. Bayless pointed to two examples of Spencer staring at his hand from the video taken of him during Halloween 2005. Tr. 168-69 (discussing exhibit 53).
The Baylesses' witnesses also testified that Spencer's overall demeanor and personality changed following his October 4, 2005 vaccinations. Exhibit 45 at 2; exhibit 44; Tr. 63-64. Mr. Pierre testified that Spencer was not "a happy person" in the days following his vaccination and no longer played or smiled. Tr. 26. Mr. Pierre recalled that Spencer was not as "alert" as he was before his October 5, 2005 vaccination and would stare for long periods of time. Tr. 39; exhibit 45 at 2.
Ms. Bahuchet testified that Spencer would stare "blankly" and no longer reached for his toys. Tr. 70. Ms. Bahuchet also testified that Spencer lost interest in playing and remained fussy in the weeks following his October 4, 2005 vaccination. Tr. 68.
Mrs. Bayless testified that during the weeks following Spencer's vaccination, her mother made comments to her that Spencer's behaviors, including his staring and listlessness, were not normal. Exhibit 44; Tr. 155, 166. In response, she researched Spencer's behaviors, including the hand staring, on the internet until she was satisfied that Spencer was normal. Tr. 212. Mrs. Bayless explained that she preferred looking for answers on the internet because she was reluctant to see a physician and be considered a hypochondriac. Tr. 229-30.
The Secretary does not dispute that Spencer stared at the family's jack-o-lantern decoration as indicated in Spencer's baby book. Exhibit 25 at 14. However, the Secretary contends that there is a lack of documentation in support of a finding that Spencer spent long periods of time staring at any object including his hand. Proposed Findings at 3.
It is clear from their testimony that Mrs. Bayless and Ms. Bahuchet worked closely in coordinating Spencer's care at this time. Tr. 70, 108,155, 166. They share a similar perspective and both clearly recall specific conversations and disagreements regarding Spencer's staring and listless behavior. In light of this, the evidence preponderates in favor of the Baylesses' allegation that from around October 7, 2005, and during the following seven weeks, Spencer stared at objects for long periods of time and appeared listless.
The parties are ordered to provide these findings of fact to any expert whom they have retained to testify. Expert opinion inconsistent with these findings of fact is not likely to be persuasive.
A status conference is set, sua sponte, for
Any questions may be directed to my law clerk, Mary Holmes, at (202) 357-6353.