No. 92-5068.United States Court of Appeals, Federal Circuit.
July 23, 1993.
David R. Weiner, Law Offices of Windle Turley, P.C., Dallas, TX, argued for petitioners-appellees. With him on the brief was Thomas William Arbon.
John L. Euler, Atty. Dept. of Justice, Washington, DC, argued for respondent-appellant. With him on the brief were Stuart M. Gerson, Asst. Atty. Gen., Helene M. Goldberg and Mary Hampton Mason, Attys. Of counsel was Nancy R. Gaines.
Appeal from the Claims Court.
Before NIES, Chief Judge, NEWMAN, and SCHALL, Circuit Judges.
SCHALL, Circuit Judge.
[1] The Secretary of the Department of Health and Human Services (Respondent) appeals from the judgment of the United States Claims Court[1] awarding compensation to the parents and the estate of Lacey Marie Hellebrand (Petitioners) under the National Childhood Vaccine Injury Act of 1986, Pub.L. No. 99-660 (Title III), 1986Page 1566
U.S.C.C.A.N. (100 Stat.) 3743, 3755 (codified as amended at 42 U.S.C. § 300aa-1 to 300aa-34 (1988 Supp. 1990) and at 42 U.S.C.A. §§ 300aa-1 to 300aa-34 (West 1991 Supp. 1993)) (Vaccine Act or Act). That judgment followed the December 19, 1991 decision of the Claims Court which reversed the July 25, 1991 decision of the special master denying compensation under the Act for the death of Lacey Hellebrand. Hellebrand v. Secretary, Dep’t of Health Human Servs., 24 Cl.Ct. 756 (1991). Because the Claims Court erred in construing the Act, we reverse the court’s judgment and remand the case to the Court of Federal Claims, with instructions to enter judgment in favor of Respondent in accordance with the decision of the special master.
[2] I. BACKGROUND
[3] The pertinent facts are not in dispute. Lacey Hellebrand was born on December 31, 1983, by a routine Caesarean section. Her birth followed an uneventful pregnancy. Beginning in her second month, she was given phenobarbital (trade name “Levsin PB”) for colic. On March 7, 1984, between 3:00 and 4:30 p.m., she received her first diphtheria-tetanus-pertussis (DTP) vaccination. She cried hard and kicked for about two hours after the vaccination. At about 7:30 p.m., she was given a dose of Levsin PB, after which she calmed down and fell asleep. She awoke at 9:30 p.m. and took some, but not all, of her bottle and cereal. Thereafter, around midnight, she was seen awake in her crib and not crying. However, she appeared drowsy and dazed. The next morning, between 6:00 and 6:30, she was found dead. The precise cause of Lacey Hellebrand’s death was never determined. The medical examiner listed the cause of death as bronchopneumonia. An autopsy later classified her death as “Sudden Infant Death Syndrome” (SIDS).[2] In due course, Petitioners sought compensation for Lacey Hellebrand’s death pursuant to the provisions of the Vaccine Act.
[4] II. DISCUSSION[5] A. The Statutory Scheme
[6] The Vaccine Act established the “National Vaccine Injury Compensation Program … under which compensation may be paid for a vaccine-related injury or death.” 42 U.S.C. § 300aa-10(a) (Program). Section 13(a) of the Act sets forth the general rule for determining whether a petitioner is entitled to compensation under the Program. It provides in pertinent part as follows:
(a) General Rule
[7] 42 U.S.C. § 300aa-13(a). Thus, the Act hinges recovery upon the ability of the petitioner to establish by a preponderance of the evidence the matters which section 300aa-11(c)(1) requires be included in a petition for compensation.[3] [8] To the extent relevant to this case, section 300aa-11(c)(1) provides in pertinent part as follows:(1) Compensation shall be awarded under the Program to a petitioner if the special master or court finds on the record as a whole —
(A) that the petitioner has demonstrated by a preponderance of the evidence the matters required in the petition by section 300aa-11(c)(1) of this title, and
(B) that there is not a preponderance of the evidence that the illness, disability, injury, condition, or death described in the petition is due to factors unrelated to the administration of the vaccine described in the petition.
(c) Petition content
A petition for compensation under the Program for a vaccine-related injury or death shall contain —
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(1) . . . an affidavit, and supporting documentation, demonstrating that the person who suffered such injury or who died —
(A) received a vaccine set forth in the Vaccine Injury Table . . .,
* * * * * *
(C)(i) sustained, or had significantly aggravated, any illness, disability, injury, or condition set forth in the Vaccine Injury Table in association with the vaccine referred to in subparagraph (A) or died from the administration of such vaccine, and the first symptom or manifestation of the onset or of the significant aggravation of any such illness, disability, injury, or condition or the death occurred within the time period after vaccine administration set forth in the Vaccine Injury Table, or
(ii)(I) sustained or had significantly aggravated, any illness, disability, injury, condition not set forth in the Vaccine Injury Table but which was caused by a vaccine referred to in subparagraph (A). . . .
* * * * * *
[9] 42 U.S.C. § 300aa-11(c)(1)(A), (c)(1)(C)(i), (c)(1)(C)(ii)(I).
A. Anaphylaxis or anaphylactic shock — 24 hours
B. Encephalopathy (or encephalitis) — 3 days
C. Shock-collapse or hyporesponsive collapse — 3 days
D. Residual seizure disorder — 3 days
[11] 42 U.S.C. § 300aa-14(a)I. [12] Another part of section 300aa-14 contains “qualifications and aids to interpretation [which] shall apply to the Vaccine Injury Table. . . .” 42 U.S.C. § 300aa-14(b). Pertinent to this case is the aid to interpretation which relates to a shock-collapse or a hypotonic-hyporesponsive collapse. It provides as follows:E. Any acute complication or sequela (including death) of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed — time period not applicable.
[13] 42 U.S.C. § 300aa-14(b)(1). With the statutory scheme before us, we can now turn to the decisions of the special master and the Claims Court. [14] B. The Decision of the Special MasterA shock-collapse or a hypotonic-hyporesponsive collapse may be evidenced by indicia or symptoms such as decrease or loss of muscle tone, paralysis (partial or complete), hemiplegia or hemiparesis, loss of color or turning pale white or blue, unresponsiveness to environmental stimuli, depression of consciousness, loss of consciousness, prolonged sleeping with difficulty arousing or cardiovascular or respiratory arrest.
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Secretary of Dep’t of Health Human Servs., 970 F.2d 863, 865-66 (Fed. Cir. 1992); Hines v. Secretary of Dep’t of Health Human Servs., 940 F.2d 1518, 1524-25 (Fed. Cir. 1991).
[16] After the petition in this case was filed in the Claims Court, it was, in due course, assigned to a special master. See 42 U.S.C. § 300aa-11(a)(1). Before the special master, Petitioners contended that Lacey Hellebrand had died from either anaphylactic shock or hypotonic-hyporesponsive collapse (HHE), Table injuries IA and IC, respectively. See 42 U.S.C. § 300aa-14(a)I. As seen above, both of these injuries are generally compensable under the Program when they occur within seventy-two hours of vaccination. In the alternative, Petitioners argued that Lacey Hellebrand had died from some other injury caused by the DTP vaccination. Thus, Petitioners asserted both a Table claim, 42 U.S.C. § 300aa-11(c)(1)(C)(i), and a causation-in-fact claim, 42 U.S.C. § 300aa-11(c)(1)(C)(ii)(I). [17] Upon reviewing the evidence presented to him at a hearing, the special master found an absence of symptoms of either anaphylactic shock or HHE. He therefore concluded that Petitioners had failed to prove by a preponderance of the evidence that “Lacey Hellebrand suffered an on-table injury after her DTP vaccination and prior to her death.” Special Master’s Op. at 6. The special master also concluded that Petitioners had failed to prove by a preponderance of the evidence that “the DTP vaccination was in fact the cause of [Lacey Hellebrand’s] death.” Special Master’s Op. at 7. In rejecting the theory of causation-in-fact which had been advanced by Petitioners’ medical expert, the special master stated: “I cannot come to the conclusion that a temporal relationship to an unexplained death alone yields causation in fact.” Special Master’s Op. at 6-7. Having concluded that Petitioners had failed to establish either a Table claim or a causation-in-fact claim, the special master held that Petitioners were ineligible for compensation under the Program. Special Master’s Op. at 7. [18] C. The Decision of the Claims CourtPage 1569
supersedes the other items in the HHE provision of the aids to interpretation. Id. Accordingly, the court concluded, because Lacey Hellebrand died of an unknown cause (SIDS) and because it was undisputed that she had suffered cardiovascular or respiratory arrest, the special master should have held that she had suffered a Table injury. Id. The Claims Court read the special master’s decision as erroneously eliminating “the cardiovascular or respiratory arrest item from the determination of an on-Table injury. . . .” Id. The court stated:
[21] 24 Cl.Ct. at 762. Thus, the Claims Court held that Lacey Hellebrand’s SIDS death within three days of vaccination constituted HHE as a matter of law. [22] D. AnalysisIt is not for the court to delete [the factor of cardiovascular or respiratory arrest] on the ground that it may lead to a medically absurd result, or may authorize compensation for all SIDS deaths that occur within 72 hours after vaccination with DTP.
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death) of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed.” Id. The arrangement of the words in paragraph E renders the meaning of the paragraph clear. Recovery for a death following a DTP vaccination based on a Table claim is conditioned upon the death being a sequela of an illness or condition listed in paragraph A, B, C, or D “which arose within the time period prescribed” in the Table for that illness or condition.
[26] Thus, in order for Petitioners to recover for Lacey Hellebrand’s death based on a Table claim, they had to establish two things by a preponderance of the evidence. First, they had to show that, within 72 hours of receiving her DTP vaccination, she suffered HHE. Second, they had to show that her death was a sequela of HHE. The special master found that Petitioners had failed to establish that Lacey Hellebrand had suffered HHE. Accordingly, he denied their claim based upon a Table injury. That approach was correct. [27] As seen above, on review, the Claims Court looked to the provision of the aids to interpretation section of the Act which relates to HHE and determined that, in a situation where the cause of death is unknown, the cardiovascular or respiratory arrest item supersedes the other items in the provision. From that, the court reasoned that, because Lacey Hellebrand died of an unknown cause (SIDS) and because it was undisputed that she had suffered respiratory or cardiovascular arrest, the special master should have concluded that she had suffered a Table injury. This was error for two reasons. [28] First, the Claims Court’s analysis ignores the plain language of the Act, discussed above. In view of the clear wording of the Table, once the court accepted the finding of the special master that Petitioners had failed to establish that Lacey Hellebrand had suffered HHE, as a matter of law, the case was over as far as the Table claim was concerned. Petitioners had failed to meet their burden of proof. Since the court agreed with the special master’s conclusion as far as the causation-in-fact claim was concerned, it should have affirmed the special master’s decision. [29] Second, the Claims Court’s analysis misconstrues the HHE provision of the aids to interpretation section of the Act. As seen above, that provision states, in pertinent part, that HHE “may be evidenced by indicia or symptoms” such as, among other things, “cardiovascular or respiratory arrest.”42 U.S.C. § 300aa-14(b)(1). Use of the permissive “may be evidenced” rather than mandatory language such as “shall be evidenced” is significant. It compels the conclusion that, while respiratory or cardiovascular arrest may well be the most dramatic symptom of HHE, Congress did not intend that there be any circumstance in which respiratory or cardiovascular arrest automatically would serve to establish the presence of HHE. If Congress had so intended, we believe that it would have made its intention clear in the statute and would not have used language which conveys a contrary intent. See, e.g., United States v. International Business Mach. Corp., 892 F.2d 1006, 1009 (Fed. Cir. 1989) (“Had Congress intended to make the exemptions permanent, it knew how: it could and we believe would have used words of futurity. . . .”). [30] Neither does the language of the HHE provision of the aids to interpretation section support the Claims Court’s conclusion that when the cause of death is unknown, the cardiovascular or respiratory arrest item supersedes the other items in the provision. Quite simply, the words necessary to support such a conclusion are not present in the provision. Again, we believe that if Congress had intended the conclusion reached by the Claims Court, it would have used the appropriate language. IBM, supra. [31] Finally, as noted above, the Claims Court stated that it was not for it to “delete [the cardiovascular or respiratory arrest item] on the ground that it may lead to a medically absurd result, or, may authorize compensation for all SIDS deaths that occur within 72 hours after vaccination with DTP.” Hellebrand,Page 1571
and should try to construe a statute in a way which is consistent with the intent of Congress. See Best Power Technology Sales Corp. v. Austin, 984 F.2d 1172, 1175 (Fed. Cir. 1993) (citing Haggar Co. v. Helvering, 308 U.S. 389, 394, 60 S.Ct. 337, 339, 84 L.Ed. 340 (1940)) (“All statutes must be construed in light of their purpose. A reading of them which would lead to absurd results is to be avoided when they can be given a reasonable application consistent with their words and with legislative purpose.”). The decision of the Claims Court is at odds with this principle. We should not accept an approach to the aids to interpretation section of the Act which “may lead to a medically absurd result.” Additionally, various provisions of the Act make it clear that Congress intended that special masters have wide latitude in adjudicating claims under the Program.[5] The Claims Court’s reading of the aids to interpretation section as requiring a special master to mechanically find that an HHE occurred in any SIDS death plainly is inconsistent with such an intent.
[32] As already noted, Petitioners argue that we can affirm on the basis of a rationale different from that used by the Claims Court. They contend that section 300aa-11(c)(1)(C)(i) of the Act supports the court’s holding that all SIDS deaths within 72 hours of vaccination are compensable under the Program as Table injuries. In making this argument, they point to the part of that section which provides in pertinent part that[a] petition for compensation under the Program for a vaccine — related injury or death shall contain —
. . . an affidavit, and supporting documentation, demonstrating that the person who suffered such injury or who died
* * * * * *
[33] 42 U.S.C. § 300aa-11(c)(1)(C)(i) (emphasis added). [34] According to Petitioners, the language emphasized above compels the conclusion reached by the Claims Court. We cannot agree. It is true that, standing alone, the quoted language may be said to lend itself to such a conclusion. However, the quoted language does not stand alone. It appears in a section of the Act which both refers to, and operates in conjunction with, the “Vaccine Injury Table.” A statute is to be construed in a way which gives meaning and effect to all of its parts. United States v. Nordic Village, Inc., ___ U.S. ___, ___, 112 S.Ct. 1011, 1015, 117 L.Ed.2d 181 (1992) (“settled rule that a statute must, if possible, be construed in such fashion that every word has some operative effect”); Spruill v. Merit Sys. Protection Bd., 978 F.2d 679, 690 (Fed. Cir. 1992). Petitioners’ argument fails to do this because it considers the quoted language alone without reference to the Table. In addition, for the reasons discussed above in connection with the decision of the Claims Court, Petitioners’ argument yields a result (compensation for all SIDS deaths occurring within 72 hours of vaccination) which is at odds with the plain language of the Act. The argument must be rejected.. . . sustained, or had significantly aggravated, any illness, disability, injury, or condition set forth in the Vaccine Injury Table in association with [a vaccine referred to in the Vaccine Injury Table] or died from the administration of such vaccine, and the first symptom or manifestation of the onset or of the significant aggravation of any such illness, disability, injury, or condition or the death occurred within the time period after vaccine administration set forth in the Vaccine Injury Table. . . .
[35] CONCLUSION
[36] For the foregoing reasons, the judgment entered by the Claims Court in favor of
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Petitioners is reversed. The case is remanded to the Court of Federal Claims, which is directed to enter judgment for Respondent in accordance with the decision of the special master.
[37] COSTS
[38] Each side shall bear its own costs.
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the probability of cause and effect is such that it is more likely than not that the administration of the vaccine caused the death.
[47] With the aid of statistical analysis it is possible to ascertain where the preponderance lies. The probability that an unvaccinated child of Lacey’s age will suffer an unexplained death during any given period can be calculated, as can the probability that a child will die within a given time after inoculation. Applying standard techniques of medical statistics, it can readily be determined whether it is more likely than not that the death was caused by the vaccine. Such statistical evidence must be considered, along with all other relevant evidence. When as here the medical experts did not agree as to the cause of death, the methods of probability analysis can aid the decisionmaker in ascertaining whether the statutory requirement of causation has been met. Thus I would remand for determination, by statistical analysis of the relevant data, whether it was more likely than not that this particular undiagnosed infant death was due to the administration of the vaccine.(1) Compensation shall be awarded under the Program to a petitioner if the special master or court finds on the record as a whole —
(A) that the petitioner has demonstrated by a preponderance of the evidence the matters required in the petition by section 300aa-11(c)(1) of this title, and
(B) that there is not a preponderance of the evidence that the illness, disability, injury, condition, or death described in the petition is due to factors unrelated to the administration of the vaccine described in the petition.
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