THOMAS L. GOWEN, Special Master.
On October 16, 2014, Erin Quackenbush-Baker ("petitioner") filed a claim for compensation pursuant to the National Vaccine Injury Compensation Program.
Petitioner initiated her claim on October 16, 2014. Petition. Following an initial status conference, petitioner confirmed that all relevant records had been filed. Respondent completed an initial review and elected to litigate the case. Petitioner filed five reports from neurologist Dr. Lawrence Steinman, M.D.
On January 7, 2016, the undersigned scheduled an entitlement hearing for February 2-3, 2017. As the case moved towards a hearing, the parties also explored the possibility of settlement. Petitioner obtained a neuropsychological evaluation and both parties retained life care planners to assess her needs. They exchanged offers but were ultimately unable to settle the case. On October 26, 2016, I awarded interim attorneys' fees and costs on petitioner's motion.
After the parties filed respective prehearing briefs and a joint prehearing submission, an entitlement hearing was held on February 2, 2017. Petitioner, Dr. Steinman, and Dr. Leist testified. The transcript was filed on February 23, 2017. Petitioner filed her post-hearing brief on April 28, 2017, and respondent filed his post-hearing brief on May 30, 2017. On June 9, 2017, petitioner filed a reply. This matter is now ripe for adjudication.
The Vaccine Act established the Program to compensate vaccine-related injuries and deaths. § 300aa-10(a). "Congress designed the Vaccine Program to supplement the state law civil tort system as a simple, fair and expeditious means for compensating vaccine-related injured persons. The Program was established to award `vaccine-injured persons quickly, easily, and with certainty and generosity.'"
Whether alleging a Table or an off-Table claim, a petitioner bears a "preponderance of the evidence" burden of proof § 13(1)(a). That is, a petitioner must offer evidence that leads the "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."
Here, petitioner is claiming an off-Table injury. Moreover, petitioner does not allege that she did not have MS before she received the flu vaccine. Rather, she alleges that she previously had MS that was asymptomatic at the time of the flu vaccine and that the vaccine significantly aggravated that condition. As stated above, petitioner bears the burden of proof with this claim.
The Vaccine Act defines significant aggravation as "any change for the worse in a preexisting condition which results in markedly greater disability, pain, or illness accompanied by substantial deterioration of health." § 300aa-33 (4).
In
The Federal Circuit endorsed this test in
The first three
In
As noted above, there is some ambiguity as to whether a petitioner bringing a significant aggravation claim must establish that absent the vaccine, her pre-existing condition would not have progressed the way it did. If that is petitioner's burden, it is ambiguous if whether that falls under
In determining whether a petitioner is entitled to compensation, a special master must consider the entire record and is not bound by any particular piece of evidence. § 13(b)(1) (stating that a special master is not bound by any "diagnosis, conclusion, judgment, test result, report, or summary" contained in the record). Furthermore, a petitioner is not required to present medical literature or epidemiological evidence to establish any
Once a petitioner fulfills the six
Petitioner's medical history was significant for three caesarean sections and a past history of anxiety which had resolved. Pet. Ex. 2 at 3; Pet. Ex. 5 at 37. She had no family history of neurologic or autoimmune diseases. Pet. Ex. 2 at 3; Pet. Ex. 5 at 37. Petitioner received a flu vaccine on September 25, 2009. Pet. Ex. 39 at 2. She received another flu vaccine on October 24, 2011. Pet. Ex. 3 at 9. She complained of upper respiratory symptoms in December 2011, May 2012, and June 2012. Pet. Ex. 2 at 10-19.
On June 29, 2012, petitioner went to her primary care provider with a one-week history of "sharp and burning" pain in her left shoulder, radiating to the arm, wrist, and hand. Her hand was also numb. A physical exam of the left shoulder and hand found "normal skin, soft tissue and bony appearance without gross edema or evidence of acute injury." The left shoulder had a full range of motion. Palpation elicited pain in the lateral deltoid. Petitioner was told to rest, ice, compress, and elevate the shoulder (RICE) and to limit her range of motion. She was told to wear a brace on her hand at night. She was prescribed Medrol (methylprednisone — a corticosteroid) and told to call if she developed new or worsening symptoms. Pet. Ex. 2 at 20-22. The parties stipulate that petitioner "received no treatment for the symptoms, and they went away within a few days of the June 29, 2012, doctor's appointment." Joint Prehearing Submission, 113. On August 14, 2012, petitioner returned to the primary care provider for a routine periodic health screening. The records do not mention shoulder or wrist symptoms. Pet. Ex. 2 at 23-25.
On August 22, 2013, she went to her family doctor with a one-week history of episodes of "diffuse . . . severe . . . burning . . . abdominal pain radiat[ing] to the left flank and right flank." The doctor did not believe it was an obstruction, urinary tract infection, or renal lithiasis. He was suspicious of gastritis, some other peptic disease, or perhaps gallbladder disease. He ordered an H2 blocker and a proton pump inhibitor to start. Pet. Ex. 3 at 4-5.
On October 14, 2013, petitioner went to the emergency room for persistent pain in her right upper jaw and her neck since undergoing dental work. She did not have a fever. No external evidence of infection or surgical complications was found. Petitioner was told to follow up with her dentist. Pet. Ex. 5 at 4-7.
On November 20, 2013, "petitioner was healthy (she had no symptoms of multiple sclerosis at that time)." Joint Prehearing Submission at 2. She had just received her real estate license and was about to start a job. She was the principal caregiver for three children: a 6-yearold daughter, a 4-year-old son, and a 23-month-old son. Joint Prehearing Submission at 2. Petitioner and the children went to their primary care provider for routine check-ups. It was suggested that petitioner and her children all get vaccinated for the flu. The holidays were approaching and they would be hosting family from out of town; the children were young; and they shared their home with petitioner's grandmother, who had cancer and therefore a weakened immune system. Petitioner recalled being told not to get vaccinated if anyone was sick. She agreed to the vaccinations because "everyone was feeling so good." Upon receiving the flu vaccine, she had no symptoms of infection — no fever, no cough. Neither did any of the children have fevers or coughs before being vaccinated. Her 6-year-old daughter received FluMist and MMR vaccines; her 4-year-old son received FluMist, polio, tetanus, and pertussis; and her 23-month-old son received FluMist. Affidavit at 1-2, Tr. 69-71. Petitioner received a trivalent influenza vaccination (Fluvirin 2013-2014). Pet. Ex. 3 at 11. This record of the vaccine administration is dated November 20, 2013 at 12:30 p.m. There are no notes of petitioner's condition or what was discussed.
The next day, Thursday, November 21, 2013, petitioner and her children "were not feeling [their] best, but were fine to go about [their] day." On Friday, November 22, 2013, at approximately 5:30 a.m., petitioner awoke and noticed that her feet felt "asleep" (numb). They remained numb and "tingly" throughout the day. All three children had fevers: the 6-year-old daughter was sent home with a temperature of 102; the 4-year-old son had a temperature of 102 and a cough; and the 23-month-old son had a temperature of 103. Petitioner testified that their doctor thought it was a reaction to their vaccinations. The children were given Tylenol and Motrin. However, petitioner did not develop a fever. Affidavit at 2-3; Tr. 70-71.
On Saturday, November 23, 2013, at about 4:00 a.m., petitioner woke because she was numb from the hips down. Affidavit at 2; Tr. 72. She checked on the children and discovered that the 6-year-old daughter and 4-year-old son's fevers remained at 102 and the 23-month-old son's fever had risen to 104. Affidavit at 3. Petitioner went with one or more of the children to the primary care provider. Affidavit at 3 (23-month old-son); Tr. 107 (6-year-old daughter). Petitioner was examined at approximately 10:30 a.m. She reported a 2-day history of "pins and needles in legs." The record reads: "Feet with numbness and tingling yesterday. Has now spread up entire legs into genital area and lower abdomen. No leg weakness, no bowel or bladder incontinence, no back pain. No fevers. . . . Recently had flu shot." Petitioner had a normal temperature as well as normal breath effort and sounds. The primary care provider's assessment was "paresthesia of bilateral legs." Because the paresthesia was not associated with weakness and loss of reflexes, the primary care provider doubted Guillain-Barre syndrome. Because the paresthesia was rapidly progressing and it involved the lower torso, she suspected the presence of a spinal cord lesion. She ordered a lumbar spine MRI. Pet. Ex. 3 at 13-14.
That afternoon, petitioner (accompanied by her grandmother) traveled about 75 miles to Twin Falls, Idaho for the MRI. Tr. 73. It had no abnormal findings in the lumbar spine area. Pet. Ex. 3 at 41-42; Pet. Ex. 4 at 1-3. The records indicate "no recent infection." Pet. Ex. 4 at 2. Petitioner also underwent a chest X-ray, which exhibited clear lungs and no acute abnormality. Pet. Ex. 3 at 43; Pet. Ex. 5 at 161. Petitioner was told to continue monitoring the numbness, because if it rose higher than her waist, it could impair her breathing. It did progress. By that evening, petitioner was numb from her feet to just below her rib cage. Affidavit at 3; Tr. 74.
That night at approximately 5:42 p.m., petitioner presented to the emergency department at the Wood River Medical Center ("WRMC") in Ketchum, Idaho. She was admitted later that night. Pet. Ex. 5 at 14. An intake or triage record made at approximately 10:14 p.m. states that petitioner "has not had a fever recently but does endorse recent runny nose. She does endorse having had her flu shot 5 days ago. She also endorses that all 3 of her kids have had flulike symptoms over the last week." Pet. Ex. 5 at 21.
A progress note from Sunday, November 24, 2013, at 1:28 a.m., states that petitioner "denied any fevers, chills, back pain, neck pain, headache but states she did have a headache the day of the flu shot." Petitioner denied "runny nose, sore throat [or. . .] a cough." Pet. Ex. 5 at 38. She "[did] have one child home with a fairly high temperature but otherwise has not had any preceding illness or known exposures." Pet. Ex. 5 at 9.
Also on November 24, 2013, a neurologist, Dr. Karin Lindholm, recorded that petitioner was a "36-year-old female with new onset dysesthesias [which . . .] started approximately 36 hours post-flu vaccination but was exposed to two children at home with high fevers." Dr. Lindholm recorded that petitioner's elevated white blood count was consistent with "early Guillain-Barre but also other post-infectious or inflammatory autoimmune processes affecting nervous system [and . . .] acute CNS demyelinating processes." Pet. Ex. 5 at 18.
Petitioner was discharged from the hospital on Sunday, November 24, 2013, with instructions to return for a brain MRI. Pet. Ex. 5 at 14. On Monday, November 25, 2013, the brain MRI revealed: "8 foci of T2 hyper-intensity in the cerebral white matter. 3 of these are in the white matter of the temporal lobes. At least 2 of these foci are radiating away from the lateral ventricles, with a Dawson's finger appearance. There is one enhancing lesion in the subcortical white matter of the right parietal lobe that also demonstrates diffusion restriction. No lesions seen within the brain stem or posterior fossa. The largest lesion measures up to 10 mm in length." The "foci of T2 hyperintensity in the cerebral white matter [were] somewhat nonspecific but [were] concerning for demyelinating lesions given their appearance and location. One enhancing lesion in the right parietal lobe [was] consistent with a site of active demyelination." Pet. Ex. 5 at 162.
On Monday, November 25, 2013, petitioner returned to Dr. Lindholm at St. Luke's Neurology Clinic in Hailey, Idaho. Dr. Lindholm recorded that the numbness had reached the "mid-trunk level." Pet. Ex. 3 at 15; Pet. Ex. 6 at 1-4. Dr. Lindholm also observed "abnormal CSF studies with mild elevation in the WBC count (19 WBC) with 100% lymphocytes." Pet. Ex. 3 at 17. "These findings are suggestive of an acute inflammatory or demyelinating disease process currently affecting the central nervous system without evidence at this time for peripheral nerve involvement. It is, however, early in the disease process and nerve conduction studies may need to be repeated in one to 2 weeks to evaluate for acute inflammatory polyradiculoneuropathy which may not be evidence[d] on nerve conduction studies for up to one to 2 weeks." Dr. Lindholm ordered a thoracic spine MRI, followed by the administration of Solumedrol (a corticosteroid). Pet. Ex. 3 at 17.
The thoracic spine MRI, performed the next day, visualized "from the level of the bottom of C4 through the conus which is at the level of Ll." It showed "a single T2 hyperintense lesion within the central slightly posterior cord centered at the level of C7 and measuring 4 × 4 mm transverse and 6 mm craniocaudal" that enhanced with contrast. The enhancing T2 lesion was "concerning for a demyelinating lesion," given the findings of the recent brain MRI. Pet. Ex. 5 at 164-65.
On November 29, 2013, at approximately 9:15 p.m., petitioner returned to the emergency department at WRMC. She reported that the numbness had risen to "the area between the nipples and the clavicles," she was "having trouble walking," and "her legs [were] getting heavier." The attending physician examined petitioner, then contacted Dr. Lindholm, who felt it was "too early to expect results from the Solumedrol." Petitioner was directed to go home and contact Dr. Lindholm the next day. She left the hospital at approximately 11:50 p.m. Pet. Ex. 5 at 53-67;
On November 30, 2013, petitioner's grandmother drove her to the University of Utah Medical Center in Salt Lake City for more specialized care for her progressively worsening condition. She was admitted to the university hospital on December 1, 2013, at approximately 3:00 a.m., where she remained until December 12, 2013.
Later, on December 4, 2013, Dr. Greenlee wrote: "The great likelihood is that this patient does not have ADEM but rather may have induced an exacerbation of her MS with immunization, although the two events could also have been coincidence." Pet. Ex. 7 at 45-46.
A cervical spine MRI was performed on December 1, 2013. A neurology resident, Dr. Gurjeet Singh, wrote: "T2 hyperintense focal short segment cervical cord lesion at C7 with unchanged enhancement along its inferior portion. Small non-enhancing lesion in the left posterolateral cord at the C3-C4 level. Given the intracranial findings on the outside MRI and the features of the cord lesions, a demyelinating process, such as MS, is favored. ADEM is an additional consideration, although thought to be less likely given the appearance and morphology of the supratentorial and cervical cord lesions." In the history of present illness, Dr. Singh wrote that "on 11/30/13
On December 11, 2013, Dr. Jennifer Juhl Majersik, an assistant professor and treating neurologist, wrote that ADEM was "not still on the differential" and diagnosed petitioner with MS. Pet. Ex. 7 at 89. After receiving five rounds of plasmapheresis and seeing some improvement, petitioner was discharged on December 12, 2013. Pet. Ex. 7 at 18-19. She was still numb from her collarbone to her toes. Affidavit at 5.
Beginning on December 14, 2013, petitioner experienced difficulty swallowing. She felt that solid food "hung up in mid-esophagus," although she had no difficulty drinking water. Pet. Ex. 5 at 63-64. She went to the emergency room, where she was evaluated, discharged, and directed to take an antihistamine and to drink thick liquids. Pet. Ex. 5 at 63-67;
Petitioner was referred to Dr. John Steffens, a neurologist with expertise in MS located in Twin Falls, Idaho. Petitioner first spoke to Dr. Steffens on the phone, then had her first appointment with him on December 31, 2013. He recorded that petitioner "had received a flu vaccine and felt immediately a weird sensation in her chest. Two days later, she began noticing paresthesias, pins and needles, in her feet."
On January 14, 2014, in the middle of the night, petitioner awoke with "significant," "excruciating" pain in her left shoulder, arm, chest, and back, for which she went to the emergency room. Pet. Ex. 5 at 73-74. Lab work found neutrophils at 33% (below the reference range of 40-76%); lymphocytes at 56% (above the reference range of 24-44%); 17.8 MMOL/L CO2 (below the reference range of 22-32 MMOL/L); and glucost at 102 MG/DL (above the reference range of 60-100 MG/DL). Pet. Ex. 3 at 7; Pet. Ex. 5 at 80. The attending physician "suspect[ed] this [was] MS related—dystonic issue." The attending physician spoke to Dr. Steffens, who "recommended against steroids[,] suggested Baclofen for spacticity[, and] recommend[ed] that [petitioner] continue her Copaxone injections." Dr. Steffens "felt that the lesion in [petitioner's] spine could be causing her symptoms." Pet. Ex. 5 at 84.
On January 17, 2014, petitioner had a follow-up with Dr. Steffens. She indicated that she had taken one Copaxone shot and then experienced symptoms such as chest tightness, lightheadedness, wooziness, dizziness, fear, anxiety, and swelling/soreness at the injection site. Shortly after, she began getting recurrent dysthesias and discomfort of her right side and her leg became numb. She subsequently went to the emergency room (see preceding paragraph). Dr. Steffens observed petitioner take a Copaxone shot, after which she developed hives/redness and hyperventilation, as she had described happening previously. Dr. Steffens concluded this was not a Copaxone side effect, but, rather, anxiety. He did note new discomfort and numbness in her right leg and a worsened spastic and hemiparetic gait. Dr. Steffens increased her Baclofen, recommended continuing Copaxone, and said that what petitioner was experiencing "while not comfortable and not optimal, is part of the whole evolutionary process of her MS as she continues to work through the initial attack." Pet. Ex. 8 at 6-8.
Also in January 2014, petitioner developed a blind spot in the upper right quadrant of her vision. Affidavit at 6-7; Pet. Ex. 3 at 23-28; Pet. Ex. 8 at 3. On February 12, 2014, petitioner underwent a brain MRI with and without contrast. It observed: "Interval increase in size and number of T2 hyperintense lesions within the brain, consistent with progression of MS compared to 11/25/2013. There are multiple new enhancing lesions within the brain. There are 2 somewhat large new lesions, one in the left temporal lobe measuring up to 3.3 cm and another in the left periatrial and deep white matter measuring up to 1.5 cm." Therefore, there were a total of "15-20 lesions," of which seven were enhancing. Pet. Ex. 5 at 170.
During February and March 2014, petitioner developed weakness in her arms and legs and began to have difficulty with multitasking and memory. Affidavit at 7; Pet. Ex. 8 at 4, 7. Around this same time period, petitioner had sinusitis and or an upper respiratory infection, for which she was prescribed antibiotics. Pet. Ex. 3 at 33-37.
On March 3, 2014, petitioner returned to Dr. Steffens. Dr. Steffens discussed that petitioner's "MRI show[ed] new and enlarging lesions compared to her original series of MRIs." Dr. Steffens continued: "It is impossible to tell how many of these represent `new disease activity' versus a `coasting phenomenon' given the fact that MRI lesions do not appear immediately on MRIs at the time of the clinical manifestations." He also recommended waiting to see how her MS responded to the Copaxone because "the first 3 months after starting a therapy don't count." Pet. Ex. 8 at 12-14. On March 17, 2014, petitioner saw Dr. Steffens again. He did not record any change in her condition, but discussed managing her psychological response to her medical condition. Pet. Ex. 8 at 15-17. On April 4, 2014, MRIs of the thoracic and cervical spinal cord did not reveal significant change. Pet. Ex. 5 at 172.
On April 21, 2014, petitioner saw Dr. Steffens again. He noted: "Her course has been plagued by resurgence of her symptoms in January and February, for which she has had IV steroids. She has had multiple colds, upper respiratory infections, etc., and has been treated concomitantly, and recently for `walking pneumonia' that was diagnosed in the emergency room at [WRMC]." He wrote that the brain MRI and an ophthalmology consult suggested that a brain lesion was the cause of petitioner's right-sided visual deficits. Dr. Steffens had scheduled this routine follow-up in recognition of petitioner's anxiety, but on examination, he was "pleased with her progress," opining: "We are starting to see the benefit of her Copaxone and she is starting to `cool off with her disease state." Pet. Ex. 31 at 2-4.
On April 30, 2014, petitioner went to the emergency room, reporting that for the "last few months," she had a sore throat, a "choking" sensation, and difficulty swallowing. The attending physician at WRMC ordered a soft tissue neck x-ray. Pet. Ex. 5 at 139-45. On May 14, 2014, while visiting California, petitioner sought treatment for tightness in her throat, which was diagnosed as laryngopharyngeal reflux disease. Pet. Ex. 35 at 2-4.
On June 14, 2014, petitioner experienced an episode of back spasms, difficulty breathing, and sensory symptoms in her hands and face for which she went to the WRMC emergency room. She was counseled for anxiety but there was no suspicion of significant MS exacerbation requiring new treatment, and she was sent home that night. Pet. Ex. 5 at 149-55.
On June 19, 2014, petitioner had a follow-up with Dr. Steffens. Dr. Steffens noted petitioner's multiple colds. Dr. Steffens reviewed certain "MRIs done in California which include no visible lesions on the [cervical] spine and [thoracic] spine, MRI of the brain reveals a couple of small enhancing lesions but actually a reduction in total number of enhancing lesions and reduction in size of existing lesions compared to previous scans. Both of these results are improved compared to their prior imaging." He prescribed an antidepressant and an increased intake of vitamin D. Pet. Ex. 31 at 5-7.
On July 22, 2014, petitioner sought a second opinion from Dr. Jonathan Carter, a neurologist at the Mayo Clinic in Arizona. Dr. Carter's impression was that petitioner was experiencing "worsening symptoms about every 2 weeks or so on average which then subside to baseline." Pet. Ex. 34 at 3-6. Dr. Carter ordered MRIs of the brain and cervical spine, which showed "significant improvement" and no new lesions. Pet. Ex. 34 at 7, 16-17. Neuropsychological testing was suggestive of "very mild cognitive inefficiency," which could be attributed either to MS or petitioner's admitted sleep deprivation and anxiety. Pet. Ex. 34 at 7-8, 34-36.
On August 11, 2014, Dr. Steffens did a routine follow-up and noted slight improvement to petitioner's physical and mental state. Pet. Ex. 31 at 8-10. On September 27, 2014, petitioner went to the WRMC emergency room with a several-day history of numbness in her left hand and tingling on the bottom of both feet. She also complained of significant fatigue for the past few weeks. She would get up each morning to get her children to school. Then she would sleep during the day until it was time to pick them up. The attending physician recommended following-up with Dr. Steffens and resuming regular appointments with a therapist. Pet. Ex. 32 at 19-23. On October 7, 2014, petitioner returned to the emergency room after experiencing an immediate post-injection reaction to the Copaxone. Pet. Ex. 32 at 24-28.
In October 2014, December 2014, April 2015, and June 2015, Dr. Steffens assessed petitioner's condition to be stable and did not observe any new symptoms. Pet. Ex. 31 at 11-31. In late June 2015, petitioner and her family moved from Idaho to Arizona. Pet. Ex. 36 at 7.
On August 16, 2015, petitioner went to the emergency room at the Mayo Clinic, where she reported a 1.5-week-long history of "difficulty with her memory and thinking." Pet. Ex. 34 at 41-43. The attending physician did not identify any "hard focal neurologic deficits that would necessitate an emergent MRI," but ordered labs to rule out the possibility of an intercurrent infection that could be exacerbating her MS. Pet. Ex. 34 at 42.
On October 29, 2015, petitioner established care with Dr. Amy Borazanci at Barrow Neuroimmunology in Phoenix, AZ. Pet. Ex. 36 at 3-6. On February 8, 2016, petitioner returned to Dr. Borazanci for follow-up and complaints of difficulty multitasking, difficulty sleeping, and occasional impaired peripheral vision. Pet. Ex. 36 at 7-10. MRIs showed no changes in the spine or the brain between August 2015 and February 2016. Pet. Ex. 36 at 25-26, 38-39. On August 8, 2016, Dr. Borazanci again recorded that petitioner was experiencing difficulty multitasking, difficulty sleeping, and memory problems. Petitioner observed that she fared better in hot weather and worse in cold weather. She also felt socially awkward and easily stressed. Dr. Borazanci's recommendations included continuing 20mg of Copaxone each day and considering increasing the dosage to 40mg. Pet. Ex. 36 at 11-14.
The evidence submitted and the parties' joint prehearing submission indicate that in February — March 2014, petitioner developed weakness in her arms and legs. See, e.g., Joint Prehearing Submission at ¶ 27. She also began to have difficulty with multitasking and memory.
Because of these symptoms, petitioner is unable to care for her three young children without assistance. Her grandmother helps petitioner take care of herself, the children, and the household. Tr. 84; 96-100. Petitioner stated that her grandmother is over 80 years old and has slow-moving leukemia. Tr. 87; Affidavit at 7.
Petitioner has also been unable to return to work selling real estate. Petitioner also testified that she had wanted, but was unable, to return to work. Affidavit at 7. She and her husband previously ran two restaurants; he was the chef, but she developed each concept, found the location, designed the restaurant, handled marketing, and greeted guests as they entered. Tr. 89-90;
During the February 2017 entitlement hearing, petitioner testified that her travel and participation were exhausting and she would need a long time to recover. Tr. 92-93. She felt fatigued and stressed, and she was experiencing more spasticity, that is, her muscles were tight and unable to relax. Tr. 93-95.
Since approximately January 2014, petitioner has been taking Copaxone to treat her condition. Tr. 100. She self-administers an intradermal injection every day. She stated that the injection causes pain and inflammation, she has to rotate the site of injection, she has developed dents in her skin, and she is running out of places to inject. Tr. 101-02.
Dr. Steinman is a board-certified neurologist. Pet. Ex. 10 at 2. He received a bachelor's degree from Dartmouth College and a medical degree from Harvard University, where he was also a NIH fellow.
Dr. Leist is board-certified in neurology and psychiatry. Resp. Ex. B at 1; Tr. 111. After completing an undergraduate degree and a doctorate in biochemistry at the University of Zurich in Switzerland, he received a medical degree from the University of Miami. Exhibit B at 1. Dr. Leist then had positions focusing on microbiology, immunology, internal medicine, and neurology. Since 2000, he has served on the faculty of Thomas Jefferson University, where he is currently a Professor of Neurology.
As detailed in the facts section above, petitioner appeared to be largely healthy before receiving the vaccine. The parties' experts, Dr. Steinman and Dr. Leist, agree that some of the non-enhancing lesions first detected on MRIs after the vaccine were probably present before the vaccine. Dr. Steinman explained that some factors, such as stronger MRI magnets or different doses of gadolinium, may affect the ability to see lesions or enhancement, but, in general, doctors look at enhancing lesions as new and ones that do not enhance as older or of indeterminate age. Tr. 10, 56.
Dr. Leist noted that in June 2012, petitioner had a one-week history of pain in her left shoulder, radiating to her arm, wrist, and hand. He contended that this could have been an early symptom of MS and it could be attributed to the non-enhancing lesion at C3-C4 detected by a December 1, 2013, cervical spine MRI. However, the primary care provider did not suspect MS. Following rest and prescription of a corticosteroid, these symptoms went away within a few days.
Otherwise, petitioner did not display any symptoms and she appeared quite healthy. She was an active mother of three children. She had partnered with her husband in running two restaurants. Shortly before receiving the vaccine, she had obtained her real estate license and planned to begin that new career. She reported feeling quite well upon receiving the flu vaccine on November 20, 2013. Indeed, the parties stipulate that she had no symptoms of MS at that time. Joint Prehearing Submission at ¶ 5.
Based on my review of the medical records set forth above, there is very little question that petitioner developed new signs and symptoms of MS beginning less than two days after the flu vaccine. Her initial symptoms were numbness and tingling in her feet, which then ascended through her legs and torso, almost up to her clavicles.
The initial two MRIs performed on November 25 and 26, 2013, less than one week after the vaccination, establish a baseline. The initial brain MRI showed one enhancing lesion, in the subcortical white matter of the parietal lobe, which was read as consistent with active demyelination. The initial brain MRI also showed seven non-enhancing lesions. Three of these were in the temporal lobes and at least two were radiating away from the lateral ventricles with a Dawson's finger appearance. Pet. Ex. 5 at 162;
The initial thoracic spine MRI showed one additional enhancing lesion, this one on the cervical spine. More specifically, it was a T2 hyperintense lesion within the central slightly posterior cord centered at the level of C7 which measured 4 × 4 mm transverse and 6 mm craniocaudal (in length). Pet. Ex. 5 at 164-65.
Compared to the initial brain MRI performed on November 25, 2013, the second brain MRI performed on February 12, 2014, showed significant progression. One existing lesion in the periventricular white matter lateral to the temporal horn of the left lateral ventricle, "previously 0.7 × 0.3 cm," had grown to "3.2 × 2.4 × 1.8 cm." There were two somewhat large new lesions, one in the left temporal lobe measuring up to 3.3 cm and another in the left parietal and deep white matter measuring up to 1.5 cm. There were a total of 15-20 lesions, of which seven were enhancing. Pet. Ex. 5 at 170;
As petitioner's lesion burden increased, her symptoms also worsened. She developed worsened spastic and hemiparetic gait; a blind spot in the right upper quadrant of her vision; nystagmus; numbness in her leg; and a new Lhermitte's sign. She also developed problems with swallowing; balance; memory; fatigue; and concentration. Pet. Ex. 8 at 6-7.
Today, petitioner is very dependent upon her 81-year-old grandmother to operate her household and has not been able to be employed. She suffers from gait and cognitive dysfunction as well as extreme fatigue after relatively minor exertion. There is no dispute that she is currently suffering symptoms and impairments caused by MS.
As provided above, the Vaccine Act defines a significant aggravation as "any change for the worse in a preexisting condition which results in markedly greater disability, pain, or illness accompanied by substantial deterioration of health." § 300aa-33(4). In the present case, petitioner has certainly met this definition. The parties agree that before she received the flu vaccine, she very likely had lesions in the brain and spine. She experienced one transient episode of left shoulder pain, which might possibly have been a symptom of MS, 17 months before receiving the flu vaccine. However, the differential diagnosis for this shoulder pain is large and contains many common conditions. It could include MS, but that diagnosis is quite speculative in light of the history. Regardless, petitioner had no other symptoms and was very healthy upon getting the vaccine. After getting the vaccine, she progressively developed numerous new lesions and significant new symptoms over the ensuing days, weeks and months. The increase in lesions seen in the February 2014 MRI correlated with worsening symptoms from November 2013 — February 2014. The increased symptoms and lesions represent a very substantial worsening of her condition, constituting a "significant aggravation." The cause of that worsening will be addressed below, under
Under
Petitioner's expert Dr. Steinman opined that there is homology between components of the 2013 Fluvirin vaccine (received by petitioner) and components of myelin in the human body. He presented a theory of molecular mimicry, which explains how the introduction of the flu vaccine can cause an autoimmune response against myelin, which can cause significant aggravation of MS.
Dr. Steinman's theory was partly based on his review of the available medical literature. He opined that the most relevant study was by Markovic-Plese, who found that cloned human Tcells that reacted to an influenza virus hemagluttinin ("Flu-HA") peptide also reacted to three peptides derived from human myelin proteins (two proteins from myelin oligodendrocyte glycoprotein ("MOG") and one protein from 23-cycle nucleotide 3/phosphodiesterase ("CNPase").
Dr. Steinman opined that Markovic-Plese's findings could be extrapolated to petitioner's case. Markovic-Plese's research involved a Flu-HA peptide sequence, YVKQNTLKL. Pet. Ex. 21 at 3. Dr. Steinman reported that mass spectroscopy of the 2013-14 Fluvirin vaccine petitioner received had the identical nine amino acid sequence, suggesting that the Fluvirin vaccine can cause the same cross-reactivity to myelin. Pet. Ex. 9 at 10.
He said that the dominant epitope that he studied in MS patients has been the myelin basic protein epitope between residues 83 and 99, and that often appears in his reports because he and his research them have studied it and found antibodies in the brains of MS patients. Tr. 27. He said that by 2015, he and his research team had actually studied Fluvirin, not for the purposes of this case, but for the understanding of another issue with molecular mimicry, so they had a huge database of what is actually in the vaccine. Tr. 28.
Dr. Steinman asserted that his and Markovic-Plese's findings of cross-reactivity were with the "dominant" epitope on myelin protein. He explained that the immune system tends to mount a stronger response against a dominant epitope. That immune response may spread and attack other components of the protein. Tr. 27-28.
Thus, Dr. Steinman concluded that there is sufficient cross-reactivity between the influenza vaccine administered to petitioner and the myelin components which are damaged in MS. He said that he would be quite comfortable presenting this theory at grand rounds at a university hospital. Tr. 35.
Dr. Leist challenged this theory because Markovic-Plese's findings were from just one MS patient (which Dr. Steinman acknowledged). Dr. Leist also cited to an Institute of Medicine ("TOM") committee report for the proposition that epidemiological studies have not demonstrated an increased risk for MS after vaccination.
I have fully considered all of the opinions and medical literature submitted. Molecular mimicry has been accepted as a theory of causation in numerous vaccine cases. Dr. Steinman has done considerable research in the field of molecular mimicry, particularly as it relates to myelin and the causation of MS. He has demonstrated homologies between three different components of myelin and the influenza vaccine, and in particular the one administered in this case.
While Dr. Leist is correct that epidemiology has not demonstrated a statistically significant increase in MS cases after vaccination, it is well recognized that epidemiology is not particularly effective in identifying rare events and thus is not required to establish any
Both doctors advocate vaccination for their MS patients and advocate for vaccination in general. But Dr. Steinman has demonstrated a theory that is sufficient to explain how the vaccine could cause an aggravation of an asymptomatic or radiologically isolated MS, and I have concluded that his theory has satisfied
Above, under
Dr. Steinman opined that flu vaccine more likely than not triggered a substantial aggravation of a formerly asymptomatic, radiologically isolated MS which he believed could have remained asymptomatic indefinitely but for receipt of the vaccine.
Dr. Leist disagreed, opining that petitioner's MS was already symptomatic. The only specific symptom he identified was her shoulder pain and numbness in June 2012. He opined that this was more than likely a clinical symptom of MS and it could be attributed to the C3-C4 lesion that was non-enhancing on the December 1, 2014, MRI. He further testified that it is not unusual for an individual to have symptoms of MS before he or she is ultimately diagnosed. Tr. 120-123.
On cross-examination, Dr. Steinman conceded that he could not exclude the possibility that these shoulder symptoms could have been clinical symptoms of MS. Tr. 54. He also agreed that non-enhancing lesions were of indeterminate age, so they may have existed before the vaccine. Tr. 57. However, shoulder pain is quite ubiquitous and has many common causes. The treating doctor at the time did not consider that it could be anything but a garden-variety issue, which indeed did go away several days later. Dr. Leist is correct that MS symptoms can appear at remote times and are not recognized in isolation as a part of an MS diagnosis, which frequently is not made until much later. But it is entirely too speculative to conclude that this single event was a manifestation of MS, particularly when there were no other symptoms whatsoever in the intervening 17 months.
Beyond the shoulder symptoms, the experts disagreed further about petitioner's expected course but for the vaccine. Dr. Steinman opined that MS can be latent (asymptomatic) and only apparent radiologically. Pet. Ex. 30 at 1. He cited the Okuda study for the proposition that some patients can have "radiologic MS" and never have any disabilities.
Dr. Steinman also stated that a patient's clinical condition often correlates to the number and size of lesions. He noted that while petitioner did have lesions that probably predated the vaccine, after the vaccine, she suffered a remarkable increase in both the number and the size of lesions in the subsequent months. As I have observed above under
Dr. Steinman also opined there is no "typical course of MS" and the course of petitioner's previously asymptomatic MS absent the vaccine could not be definitively predicted. However, he opined it was more likely than not that the vaccine was responsible for the significant increase in lesions and onset of symptoms based on his theory and on his review of petitioner's records. Pet. Ex. 30 at 1-2.
Dr. Leist responded that even if petitioner's shoulder pain and numbness are not found to be clinical signs of MS prior to vaccination, based on the lesions found on her MRI, petitioner had a high risk of converting to a clinical form of MS. Tr. 128-30. He pointed to the Okuda article, Table 4, which provides that subjects with spinal cord involvement have a significantly higher probability of experiencing a first clinical event. Tr. 133 (citing Pet. Ex. 67 at 7). Dr. Leist stated that petitioner was at this higher risk because of the small non-enhancing C3-C4 lesion observed five days after the vaccination. Tr. 133-35. Dr. Steinman conceded that petitioner's C3-C4 lesion may have been present before the vaccination. He noted that the Okuda study showed that patients with spinal cord involvement had an increased risk, but not a guarantee of experiencing a clinical event. In fact, after five years, approximately 50% of patients with spinal cord involvement were still asymptomatic. Tr. 187-88 (citing Pet. Ex. 67 at 6).
Dr. Leist also contended that petitioner had symptoms of a viral illness around the time of her significant aggravation, which would be a more likely cause of the same. He cited a study by Correale which showed an increase in MS relapse after documented infections. Dr. Leist's characterization of this article is accurate.
However, the medical records and testimony in this case do not establish that petitioner had an infection. The triage note from November 23, 2013 (five days after the vaccine) provides that petitioner "has not had a fever recently but does endorse recent runny nose." Pet. Ex. 5 at 21. However, none of the other many histories or physical exams mentions a runny nose. Upon testifying at the hearing, petitioner denied any memory of having a runny nose. Tr. 105. While certain of her children did develop fevers after receiving their vaccines, there is no indication that petitioner did at any time. Pet. Ex. 5 at 17. The emergency room records (which contain the one mention of a runny nose) also document a physical exam and lab work, which did not reveal a viral infection or mention a runny nose. Pet. Ex. 5 at 17, 26, 29. As Dr. Steinman noted, petitioner was then thoroughly evaluated and tested at the University of Utah Hospital, where no mention was made of a runny nose or viral illness and numerous temperatures were normal with no fever. Additionally, blood work looking for many different viral and bacterial antigens tested negative. Dr. Steinman did agree that there was an association between illness and MS relapse. Tr. 60. However, he noted that there was no evidence that there was an infection present much less what specific virus or bacterium might have been active. He further noted that a very thorough evaluation was done by medical professionals at the University of Utah, who did not see any evidence of infection. Tr. 48.
While respondent contends that the existence of a viral illness informs whether or not there is a logical sequence of cause and effect between the flu vaccine and petitioner's injury, respondent also suggests that a viral illness would be a more likely cause of petitioner's MS "relapse." It is respondent's burden to establish by a preponderance of the evidence that petitioner's injury was caused by a factor unrelated to the vaccine. A factor unrelated cannot be "any idiopathic, unexplained, unknown, hypothetical, or undocumented causal factor, injury, illness, or condition."
After full consideration of the evidence, I find that petitioner and her expert Dr. Steinman have established a logical sequence of cause and effect between the flu vaccination and the significant aggravation of her MS. As noted above, I find it more likely than not that before the flu vaccination, petitioner's MS was latent and that her June 2012 shoulder pain was not a manifestation of MS. Dr. Steinman has persuasively opined, based on the Okuda article, that MS can remain latent for many years. The Okuda article showed that spinal cord involvement was associated with an increased risk, but not a guarantee, of a first clinical event. The course of the disease after the onset, in this previously asymptomatic woman, is strongly suggestive of the vaccine as a trigger of the substantial aggravation of her previously asymptomatic disease as both the symptoms and lesion burden increased significantly between the day of the vaccination and the February 2014 MRI. Given the presence of non-enhancing lesions together with enhancing ones shortly after the vaccination, my
Under
In this case, both parties and their experts devoted significant attention to the timing of petitioner's symptoms and whether an immune response could have caused the onset of her symptoms approximately 40-41 hours after the flu vaccination. Dr. Steinman opined that it could, particularly when the response was a recall response to an antigen previously seen by the immune system in previous vaccines as was the case here. Pet. Ex. 9 at 12-13; Pet. Ex. 46 at 1-2.
In his first report, Dr. Steinman cited studies by Schonberger and Langmuir for the proposition that the swine flu vaccine had been associated with the onset of Guillain-Barre Syndrome ("GBS") within as little as 0 to 1 days. Pet. Ex. 9 at 12.
Dr. Steinman also cited a study by Bartholomäus for the proposition that activated immune cells gain access to the brain and spinal cord within 1 day.
Dr. Leist also suggested that the timing would be longer, based on a study by Rowhani-Rahbar, who reported that the "biologically plausible" timing between flu vaccination and acute disseminated encephalomyelitis (ADEM) would be 2-42 days.
Most importantly, Dr. Steinman opined that a rapid response would be medicallyacceptable and indeed likely in a recall situation. He explained that vaccinations are given to create adaptive memory responses to the antigen contained in the vaccine so that the immune system will respond rapidly and robustly to an exposure to the wild antigen at some time in the future and thus prevent disease. Dr. Steinman cited an IOM publication to explain that the immune response has a lag phase, a logarithmic phase, and finally a plateau.
According to Dr. Steinman, the TOM publication shows that the immune system can "rev up for a recall response, and within a day, two days, it's really firing off, and then it goes into a logarithmic phase." Tr. 37. He characterized the logarithmic phase as going into "hyperdrive." Tr. 38. He also noted that vaccines are designed to develop this recall response, which allows a faster, more effective response to viruses. Pet. Ex. 46 at 1; Tr. 36.
Dr. Steinman opined that it was likely that petitioner had a recall response because she had previously received flu vaccines in 2009 and 2011 before receiving the flu vaccine in November 2013 at issue in this case. Pet. Ex. 46 at 2 (
Dr. Steinman explained: "The latency period between petitioner's exposure to the 2013 flu vaccine and the onset of symptoms of her demyelinating disorder (about 40 hours) thus fits the expected lag phase between subsequent exposure to an antigen and development of the immune response (at one-to-three days). At this point, the `logarithmic phase' kicks in, and clear-cut pathology would be readily apparent once the immune system is `revved up.'" Pet. Ex. 46 at 1.
Dr. Steinman opined that petitioner's symptoms were consistent with a recall response followed by a logarithmic response. The recall response was manifested less than two days after the vaccination when she developed numbness in her feet. The logarithmic phase occurred over the subsequent days, as the numbness and tingling rose up through her legs and through her torso, almost to her clavicles by the ninth day after the vaccination.
Dr. Steinman added that petitioner's initial symptoms could be attributed to the enhancing lesion seen on the brain MRI five days post-vaccination, and the enhancing C7 lesion seen both on the thoracic MRI six days post-vaccination and the spinal MRI 11 days postvaccination. These enhancing lesions suggest that something was quite active in conjunction with her symptoms in this post-vaccinal period. Dr. Steinman believed these active lesions were further evidence of the flu vaccine triggering a recall response against myelin in her body. Tr. 49-50.
Another focus of the timing debate focused on the significance of the enhancing and nonenhancing lesions found on petitioner's MRIs, the first of which occurred five days after the flu vaccination. Dr. Steinman and Dr. Leist agreed that the enhancing lesions were new. A transient breakdown in the blood-brain barrier allowed the gadolinium contrast to come through and enter the central nervous system, thereby causing the enhancement at the sites of the lesions.
Dr. Steinman said that it is not known whether all enhancing lesions are new. Dr. Leist submitted a study by Rocca
In any event, Dr. Steinman and Dr. Leist agreed that in this case, it was likely that petitioner's MS was preexisting because the first MRIs showed multiple non-enhancing lesions. Both accepted the Cotton study
In this case, the initial MRI ordered was a lumbar spine study because the first symptoms were limited to the lower extremities. These films served only to rule out lumbar spine pathology. On November 25, 2013 (five days post-vaccination), a brain MRI showed eight foci of T2 hyper-intensity, one of which enhanced. Joint Pre-Hearing Submission, ¶ 17. On November 26, 2013 (six days post-vaccination), a thoracic MRI showed a single hyper-intense lesion at C7 and no other abnormality.
The actual MRI films were filed only at the conclusion of the hearing and they were not reviewed by either Dr. Steinman or Dr. Leist. Thus, the experts did not opine as to whether the November 26, 2013, thoracic spine MRI would have shown the small C3-C4 lesion that was not enhancing when found later on December 1, 2013. However, it is unlikely, as the radiologist noted, that the thoracic spine MRI captured "the bottom of C4" down to Ll. Pet. Ex. 5 at 164. It is possible that the C3-C4 lesion was present before the vaccination. It is also possible that after the vaccination, the C3-C4 lesion appeared, enhanced, and then stopped enhancing by the cervical spine MRI on December 1, 2013 (11 days after vaccination). This is quite plausible based on the Cotton study, which indicates that MS lesion enhancement is skewed towards a time period of one week or less, and that small lesions tend to enhance for less time than larger ones
Dr. Steinman opined that the November 20, 2013, flu vaccination "most likely triggered" the "new" lesion in the subcortical white matter of the right parietal lobe, found to be enhancing on the November 25, 2013 brain MRI. Pet. Ex. 11 at 3. Dr. Leist contended that because Cotton showed that the "average lesion enhanced for about 2 weeks," it was "quite likely" that the right parietal lesion was present and enhancing before the flu vaccination. Resp. Ex. A at 5. This argument is difficult to resolve because it is not known how long the right parietal lesion continued to enhance. Petitioner did not undergo another brain MRI until February 2014. On this argument, I find that the evidence is at least in equipoise. It is plausible that the right parietal lesion developed in correlation with petitioner's symptoms after the flu vaccination.
Dr. Leist opined that the C7 lesion also was present before the vaccination. Resp. Ex. H at 2-3. There is less support for this assertion, as the C7 lesion was enhancing both on November 26, 2013 (six days post-vaccination) and on December 1, 2013 (eleven days post-vaccination). The timing of a significant aggravation following the flu vaccination is further supported by the later MRIs, which demonstrate growth of the existing lesions and the presence of new enhancing lesions.
Dr. Steinman argued that the relatively mild onset of symptoms on the second day after the flu vaccination, followed by a rapidly progressing set of symptoms and radiologic findings that by February 12, 2013, had increased to 15-20 brain lesions which were larger and seven of which were enhancing was consistent with an autoimmune cross reaction triggered by the vaccine leading to significant disease. As noted above, he supported the early onset with reference to multiple case studies of CNS symptoms within one to two days of a vaccination.
Dr. Leist contended that there was not a medically-acceptable period of time between petitioner's flu vaccination and the symptoms and signs of clinical MS.
While the rapid onset of petitioner's symptoms is somewhat unusual, the fact of the likelihood of a recall response to a strain of the flu vaccine which petitioner had received before provides a reasonable and logical explanation. I have concluded that the timing of the onset of symptoms and the increase in lesion burden was consistent with Dr. Steinman's explanation of the mechanism of a recall response. The progression of the lesion burden and symptoms in the three months following the onset of the early sensory symptoms reinforced the conclusion that the vaccine triggered the onset of symptomatic MS in a previously asymptomatic patient. Dr. Steinman's explanation of the timing and his supporting literature are also persuasive. Accordingly, I have concluded that petitioner has established
After a review of the entire record and for the foregoing reasons, I have concluded that petitioner has established that the covered flu vaccination more likely than not caused-in-fact the significant aggravation of her multiple sclerosis. She is entitled to compensation. A separate damages order will issue.