Wooten v. U.S., 86-5086

• Decision Date: 04 August 1987
• Docket Number: No. 86-5086,86-5086
• Citation: 825 F.2d 1039
• Parties: Willard WOOTEN, Plaintiff-Appellant, v. UNITED STATES of America, et al., Defendants-Appellees.
• Court: U.S. Court of Appeals — Sixth Circuit

Page 1039

825 F.2d 1039

Willard WOOTEN, Plaintiff-Appellant, v. UNITED STATES of America, et al., Defendants-Appellees.

No. 86-5086.

United States Court of Appeals Sixth Circuit.

Argued Feb. 2, 1987.

Decided Aug. 4, 1987.

William Hoskins, Jackson, Kelly, Williams, Palmore, Lexington, Ky., Daniel G. Grove (argued), Lewis J. Paper (argued), Keck, Mahin & Cate, Washington, D.C., for plaintiff-appellant.

Louis DeFalaise, U.S. Atty., Lexington, Ky., Charles L. Dause (argued), for defendants-appellees.

Before KENNEDY, JONES and NORRIS, Circuit Judges.

NATHANIEL R. JONES, Circuit Judge.

Plaintiff Willard Wooten appeals from the district court's order setting aside the judgment entered in his favor and dismissing his complaint brought under the Federal Tort Claims Act ("FTCA"), 28 U.S.C. Secs. 1346(b) and 2671 et seq. (1982). For the reasons set forth below, we reverse the district court's order in part and remand the case for further proceedings.

Wooten was incarcerated at the Federal Correctional Institution ("FCI") in Miami, Florida, on October 16, 1981. Five years prior to this, Wooten had suffered a back injury that was later diagnosed as a herniated disc. Wooten's physician at the time of the injury recommended that he avoid lifting heavy objects, rest when needed, and take aspirin to relieve pain. Upon his entry into the federal prison system at Miami, Wooten informed prison officials of his history of back trouble and advised them that he was unable to lift heavy objects. He was given a physical examination, which revealed the presence of a herniated disc. Shortly thereafter, prison officials received a report from Wooten's personal physician confirming his serious back condition. As a result of this condition, Wooten was assigned to perform light work.

On January 25, 1982, Wooten was transferred to FCI Ashland in Kentucky. Federal prison policy mandates that an inmate's medical records accompany him whenever he is transferred. Contrary to this policy, Wooten's medical records were never sent to FCI Ashland. The records were later discovered in the dead files at FCI Miami in August of 1985, a short time before the trial in this case commenced. Upon his arrival at FCI Ashland, Wooten was given an initial medical screening as required by prison policy. The screening was performed by a physician's assistant. Wooten informed the physician's assistant of his back trouble, but was nonetheless cleared for normal duty and assigned to work as an orderly. Wooten and two other orderlies were responsible for keeping a dormitory unit clean. His duties included cleaning floors, walls, and bathrooms. In order to carry out these duties, Wooten had to lift heavy weights, as well as bend and twist. These activities aggravated his back condition to such a degree that he began to experience pain radiating from his lower back down to his left leg. He experienced difficulty in walking due to this pain.

Bureau of Prison regulations require that each inmate be given a complete physical examination within two weeks of his arrival at a new institution. Such an examination is not required if the inmate has had an examination within one year of his transfer. This exception does not apply if an inmate has had medical problems. In Wooten's case, the regulations required the authorities at FCI Ashland to conduct a complete physical examination and take a full medical history not later than February 24, 1982.

When Wooten arrived at FCI Ashland, he reported his history of back trouble to prison officials. He also reported that he suffered from a perforated ear drum. Despite their knowledge of these medical problems, prison officials did not schedule Wooten for a complete physical examination at that time or at any time in the near future. In February 1982, Wooten visited the Outpatient Department at the prison, again reported his history of back trouble, and asked to see a physician. This request was not honored despite prison regulations that state that an inmate's request to see a doctor must be met. Wooten was not given the required examination until July 23, 1982, more than five months after his transfer.

Prison regulations further required that each facility conduct a monthly review or audit of inmate medical records to insure their completeness and accuracy. The regulations also required that each facility maintain a "problem list" identifying the inmate's chief medical problems. The list is used to advise medical personnel of an inmate's problems quickly and to record the inmate's treatment and progress. Neither of these regulations was followed at Ashland. Consequently, there was no periodic review of Wooten's records or medical problems.

Wooten's physical condition worsened significantly in late June. On June 21, 1982, he requested to see Dr. Susan Echterling, Chief of Health Programs at FCI Ashland, and an appointment was scheduled for July 2, 1982. The doctor failed to keep this appointment, and Wooten did not see her until July 15, 1982. At that time, Dr. Echterling examined Wooten, prescribed medication for his ear problem, placed him on light duty status to help ease the problems with his back, and scheduled him for a physical examination. During her examination, Dr. Echterling did not perform a neurological examination on Wooten, despite the fact that he informed her of his history of back trouble. Neither did she inquire into Wooten's medical history or order x-rays.

On July 23, 1982, Wooten was finally given the physical examination that he should have received upon his arrival at Ashland in February. The examination was performed by a physician's assistant. In instances where a physical examination is performed by a physician's assistant, prison regulations require that a physician countersign the examination report. However, no physician countersigned or reviewed the physician's assistant's report. Following the examination, the physician's assistant ordered that Wooten be placed on light duty status. Despite this order and a similar earlier order by Dr. Echterling, Wooten continued in his duties as an orderly.

Wooten's condition continued to worsen and he continued complaining to medical officials and the warden. On August 10, 1982, Wooten wrote a letter to the warden as a "last plea" for "immediate help." Two days later, Wooten was again seen by Dr. Echterling who reported that his back pain had worsened "dramatically." The doctor also reported that Wooten's medication could no longer relieve the pain.

In late August 1982, Wooten was flown to the U.S. Medical Center for Federal Prisoners in Springfield, Missouri, for treatment of his ear problem. On November 5, 1982, surgery was performed to remedy the problem. Prior to this surgery, Wooten was referred to Dr. Karl Albaeck, a neurosurgeon employed by the Bureau of Prisons, for treatment of his back problem. Dr. Albaeck performed a complete examination and concluded that Wooten was suffering from a herniated disc reflecting degenerative disc disease. Dr. Albaeck prescribed a conservative course of treatment, which included a diet, physical therapy, light work duty involving no lifting, and medication as needed. Wooten followed the physical therapy regimen for three months, but then chose to discontinue this treatment after concluding that it was not aiding him.

During his stay at Springfield, Wooten was assigned to jobs in the clothing room and as an elevator operator. These jobs were not strenuous and required no bending, twisting, or heavy lifting. Nonetheless, Wooten's physical condition continued to worsen and he eventually became unable to walk without pain. On March 2, 1983, Dr. Albaeck issued him a wheelchair to help him in moving about the institution. Dr. Perlmutter, Wooten's medical expert, testified that walking of any kind could produce considerable pain for a person in Wooten's physical condition. The parties stipulated that Wooten had to walk between 57 and 308 yards to and from his jobs, and between 142 to 196 yards to and from the dining room each day during his stay at Springfield.

Because of his physical condition, Wooten requested that he be sent to FCI Lexington, which had medical facilities, or that he be allowed to receive treatment outside the prison system. Both requests were denied and Wooten was instead returned to FCI Ashland on March 15, 1983. Upon his return, Wooten was assigned to work in the clothing room. Wooten was required to walk about 142 yards in order to go to work. He also had to walk 82 yards in order to go to the dining room. On March 16, 1983, Dr. Albaeck advised Dr. Echterling by telephone that Wooten should not be required to walk more than 50 to 100 yards. Although Dr. Echterling was well-aware that Wooten had serious back trouble, she made no effort to check to see how far he would have to walk to fulfill his job responsibilities and attend to other daily routines. Furthermore, she issued no directive limiting Wooten's walking and declined to allow him the use of a wheelchair.

Wooten continued to complain that walking was painful, that his left leg was becoming lame, that he was walking with a limp, and that he desperately needed medical help. Wooten's unit manager advised both Dr. Echterling and the assistant warden that Wooten was in no condition to work and should be transferred from FCI Ashland. No attempt was made to have Wooten transferred. Instead he was directed to "do the best he could."

On April 7, 1983, Wooten was taken to the infirmary on a stretcher, unable to walk, and in great pain. He was examined by a physician's assistant, put on lay-in status for seven days and given pain medication. He was eventually given crutches and allowed to return to his unit. On April 14, 1983, he returned to the infirmary and his lay-in status was extended until April 22. When this status ended, he was told to report to work. He refused to do so, claiming that his back pain was still disabling. He asked to...