Pafford v. Secretary of Health and Human Services

• Decision Date: 20 June 2006
• Docket Number: No. 05-5106.,05-5106.
• Citation: 451 F.3d 1352
• Parties: Lisa Ann PAFFORD and Richard Leon Pafford, Parents and Next Friends of Richelle Lorrae Pafford, a minor, Petitioners-Appellants, v. SECRETARY OF HEALTH AND HUMAN SERVICES, Respondent-Appellee.
• Court: U.S. Court of Appeals — Federal Circuit

451 F.3d 1352

Lisa Ann PAFFORD and Richard Leon Pafford, Parents and Next Friends of Richelle Lorrae Pafford, a minor, Petitioners-Appellants, v. SECRETARY OF HEALTH AND HUMAN SERVICES, Respondent-Appellee.

No. 05-5106.

United States Court of Appeals, Federal Circuit.

June 20, 2006.

Robert T. Moxley, Gage and Moxley, of Cheyenne, Wyoming, argued for petitioners-appellants.

Melonie J. McCall, Trial Attorney, Torts Branch, Civil Division, United States Department of Justice, of Washington, DC, argued for respondent-appellee. With her on the brief were Peter D. Keisler, Assistant Attorney General and Timothy P. Garren, Director, and Vincent J. Matanoski, Assistant Director.

Before LOURIE, RADER, and DYK, Circuit Judges.

Dissenting opinion filed by Circuit Judge DYK.

RADER, Circuit Judge.

Richelle Pafford (Pafford) alleges that her DTaP, MMR and OPV vaccinations resulted in the onset of systemic Juvenile Rheumatoid Arthritis.¹ Pafford v. Sec'y of Health & Human Servs., 2004 WL 1717359 (Ct.Fed.Cl.2004) (Trial Court Decision). Because the Special Master correctly interpreted and applied the relevant statutory test for proving causation in off-table cases, this court affirms.

I

On March 24, 1998, Pafford received a series of vaccinations from her doctor, Dr. Jay Schmidt (Dr. Schmidt). Trial Court Decision, 2004 WL 1717359, at *1. The vaccinations administered by Dr. Schmidt during this office visit included a DTaP vaccination, Pafford's fourth OPV vaccination, and a second MMR vaccination. Id. Pafford had received routine childhood immunizations prior to this. Both her first and second DTP, OPV, and Hib vaccinations were normal.² Id. However, she developed a faint maculopapular rash approximately seventeen days after receiving her third DTP and OPV vaccinations and her first MMR vaccination. Id.

Earlier that month, on March 5, 1998, Dr. Schmidt had treated Pafford for a cold and diarrhea. Approximately one week later, on March 12, 1998, Pafford was seen by Dr. Schmidt for inflamed tonsils with white patches on them and a fever of 101-102 degrees Fahrenheit. Id. She tested negative for strep. Id. At her March 24, 1998 visit, Dr. Schmidt examined Pafford and noted that the tonsillitis had cleared. Id. As was the case throughout her early childhood years, Dr. Schmidt concluded that Pafford was showing normal growth and development without any unusual medical problems. Id.

On April 4, 1998, Pafford developed a fever and complained of neck pain. Id. The fever resolved itself, but the neck pain continued. Id. Dr. Schmidt saw Pafford on April 7, 1998 for her neck pain. Id. By that time, she had developed a diffuse, pink, macular rash, whitish spots on her tongue. Id. She also complained of limb pain. Id. Dr. Schmidt diagnosed her with a vaccine-induced rash and recommended that she avoid exposure to others for five days. Id. On April 13, 1998, Pafford was taken to a local hospital emergency room with a fever, vomiting, pain on being touched and a rash on her hands, legs, chest, and upper abdominal area. Id. at *2. The hospital doctor, Dr. Bell, noted that "[t]he rash was very viral in character and I did not feel it was related to her immunizations but suggested a CBC to see if it supported the viral picture." Id. Pafford was admitted and her symptoms quickly dissipated. Id. She tested positive for a bacterial infection known as "mycoplasma" which Dr. Bell determined to be the cause of Pafford's symptoms. Id. She was released from the hospital the next day because her rash and fever had disappeared. Id. On April 20, 1998, Dr. Bell saw Pafford for a recurrence of her symptoms. Dr. Bell diagnosed Pafford with systemic onset Juvenile Rheumatoid Arthritis, also known as Still's disease. Id.

Pafford's parents, on behalf of Pafford, brought a claim under the National Childhood Vaccine Injury Act, 42 U.S.C. §§ 300aa-1 to 34, in the Court of Federal Claims. They alleged that their daughter's development of Still's disease was a result of the vaccinations she received on March 24, 1998. Id. at *1. On July 16, 2004, Special Master Richard Abell issued a decision denying Pafford's claim. Id. Special Master Abell determined that a vaccine can cause Still's disease but that Pafford had not sufficiently demonstrated that in her case the vaccine did cause the development of Still's disease. Id.

Following an appeal, Court of Federal Claims Judge Lawrence J. Block issued an opinion sustaining the Special Master's decision. Pafford v. HHS, 64 Fed.Cl. 19 (2005). Pafford filed a motion for reconsideration alleging "legal error with regard to standards of proof and the allocation of burdens" which was denied on March 8, 2005.

II.

This court reviews the United States Court of Federal Claims' review of the Special Master's decision without deference. Hines v. Sec'y of Health & Human Servs., 940 F.2d 1518, 1523-24 (Fed. Cir.1991). Thus, this court examines the Special Master's legal determinations under a "not in accordance with law" standard and factual determinations under an "arbitrary and capricious" standard. Munn v. Sec'y of Health & Human Servs., 970 F.2d 863, 870 n. 10 (Fed.Cir.1992).

Generally a petitioner can obtain compensation under the vaccine injury program in two ways. See id. at 865. In a "table" case, the petitioner has an initial burden to prove an injury listed in the Vaccine Injury Table within the prescribed time period under the requirements of 42 U.S.C. § 300aa-14(a). See Capizzano v. Sec'y of Health & Human Servs., 440 F.3d 1317, 1319 (Fed.Cir.2006) (citations omitted). Upon satisfying this initial burden, the petitioner earns a presumption of causation. At that point, the burden shifts to the respondent to prove that a factor unrelated to the vaccination actually caused the illness, disability, injury, or condition. 42 U.S.C. §§ 300aa-13(a)(1)(A),(B).

The other avenue for compensation does not involve the presumption of causation conferred by the table. In an "off-table" case (also known as a "causation-in-fact" claim), the petitioner cannot obtain a presumption of causation. Rather, the petitioner in an off-table case has the burden to prove the vaccination in question "caused" the illness, disability, injury, or condition. 42 U.S.C. §§ 300aa-13(a)(1), -11(c)(1)(C)(ii)(I). Pafford does not allege she suffered a table injury. Thus, Pafford must prove causation-in-fact or that the vaccine was actually the cause of her injuries.

Under this court's precedent, Pafford must prove by preponderant evidence both that her vaccinations were a substantial factor in causing the illness, disability, injury or condition and that the harm would not have occurred in the absence of the vaccination. Shyface v. Sec'y of Health & Human Servs., 165 F.3d 1344, 1352 (Fed.Cir.1999) ("We adopt the Restatement rule for purposes of determining vaccine injury, that an action is the `legal cause' of harm if that action is a `substantial factor' in bringing about the harm, and that the harm would not have occurred but for the action."). This court recently articulated an alternative three-part test. To show causation in fact, the petitioner must show:

(1) a medical theory causally connecting the vaccination and the injury;

(2) a logical sequence of cause and effect showing that the vaccination was the reason for the injury; and (3) ... a proximate temporal relationship between the vaccination and injury.

Capizzano, 440 F.3d at 1324 (citing Althen v. Sec'y of Health & Human Servs., 418 F.3d 1274, 1278 (Fed.Cir.2005)). Of course, as noted in Shyface, these prongs must cumulatively show that the vaccination was a "but-for" cause of the harm, rather than just an insubstantial contributor in, or one among several possible causes of, the harm.

The Special Master applied the tests of Althen and Shyface correctly in this case. Specifically, the Special Master indicated:

First, a petitioner must provide a reputable medical theory causally connecting the vaccination and the injury. In fine, can [the] vaccine(s) at issue cause the type of injury alleged? Second, a petitioner must also prove that the vaccine actually caused the alleged symptoms in her particular case.

Trial Court Decision, 2004 WL 1717359, at *4 (emphasis in original). The first prong of the Special Master's test is identical to the first prong of the Althen test. Capizzano, 440 F.3d at 1324 (citing Althen, 418 F.3d at 1278). The Special Master's inquiry also gave effect to the "logical sequence of cause and effect" at the heart of the second prong of the Althen test. Trial Court Decision, 2004 WL 1717359, at *6 (discussing Dr. Levin's testimony linking Pafford's March 1998 vaccinations to the onset of Still's disease). Most importantly, the second prong of the Special Master's test in this case restates correctly that the petitioner must show that the vaccine was the "but for" cause of the harm according to Shyface, or in other words, that the vaccine was the "reason for the injury" as stated in the second prong of the Althen test. Finally, the Special Master also required proof of a proximate temporal relationship between Pafford's vaccinations and the onset of Still's disease commensurate with the third prong of the Althen test. Trial Court Decision, 2004 WL 1717359, at *9 ("The link missing from Petitioner's argument . . . was the lack of any defined time period in which one would expect to see the onset of Still's disease subsequent to a triggering event."). Thus, this court perceives no significant difference between the Special Master's test and that established by this court in Althen and Shyface.

III.

This court turns next to the evidence of record on causation-in-fact. Notably, the causation evidence of record consists primarily of testimony from two of Pafford's experts, Drs. Levin and Geier, and scientific literature on which their testimony was based. As discussed below, this court finds it was not arbitrary and capricious for the Special Master to...