ESTATE OF Jeffrey H. WARE, By Barbara Boyer, individually, on behalf of wrongful death beneficiaries and as Administratrix of the Estate of Jeffrey H. Ware, Appellant v. HOSPITAL OF THE UNIVERSITY OF PENNSYLVANIA; University of Pennsylvania; University of Pennsylvania Perelman School Of Medicine; University of Pennsylvania Trustees; Ann R. Kennedy, D.S.C.; Gary Kao, M.D.; Michelle Alonso-Basanta, M.D.; National Space Biomedical Research Institute; Center For Acute Radiation Research
No. 16-3801
United States Court of Appeals, Third Circuit.
Argued June 28, 2017 (Opinion filed September 18, 2017)
874 F.3d 273
Donald E. Jose, Esquire (Argued), Jose & Associates, 108 Tramore Circle, Malvern, PA 19355, Theresa F. Sachs, Esquire (Argued), Daniel J. Sherry, Esquire, Donna Modestine, Esquire, Marshall Dennehey Warner Coleman & Goggin, 2000 Mar-
Before: AMBRO, RESTREPO, and COWEN, Circuit Judges
OPINION OF THE COURT
AMBRO, Circuit Judge
Barbara Boyer, the widow of a cancer researcher who developed a fatal tumor allegedly as a result of inadequate safety precautions taken to protect him from radiation in his lab, sued the University of Pennsylvania together with affiliated persons and entities.1 Before us is the reach of the Price-Anderson Act, see
Her claims fall within the text of the Act, so if we are to limit it to a zone of interests narrower than its text provides, Boyer must offer a compelling limiting principle that would put her allegations beyond the Act‘s reach. Although she suggests several implicit limitations, each is either unconvincing or, even if adopted, would leave this case still within the Act‘s reach. Thus we must affirm.
I. BACKGROUND
Jeffrey H. Ware, Ph.D., was a neuroscientist at the University of Pennsylvania who studied the effects of radiation on biological organisms with the goal of better understanding how radiation affects astronauts while in orbit. In the course of his research Ware used cesium-137 irradiators to track the effects of low-level radiation on mice and rats.
Tragically, Ware suffered in 2010 a rare form of brain cancer called gliosarcoma. Boyer claims gliosarcoma is associated with radiation exposure (however, because she produced no expert reports, there is nothing in the record to support this link). She also alleges that Ware‘s cancer specifically resulted from radiation exposure that UPenn failed to monitor properly or protect against. Moreover, UPenn failed to inform Ware of the level of radiation to which he was exposed.
Following his diagnosis, Ware turned to the University‘s affiliated hospital for medical care. He underwent chemotherapy and radiation in order to slow the cancer‘s progression. Boyer alleges that Ware was not given appropriate information about these treatments; that, given the advanced stage of his disease, they provided little benefit; and that, at one appointment where she was not present, a UPenn doctor enrolled Ware in a research study to investigate the effects of chemotherapy and radiation on brain cancer patients without his knowing consent. According to Boyer, UPenn concealed and withheld documents and data related to the study to “cover up its terrible record of radiation safety and to protect millions of research dollars.” Boyer‘s Br. at 9. UPenn also discouraged Ware from seeking palliative care, she claims, in order to maintain his participation in the study.
Just a year after his diagnosis, Ware died from his cancer at age 47. Boyer filed
UPenn and the NSBRI removed the case to federal court on the grounds that (1) claims against UPenn are covered by the Price-Anderson Act, which provides federal jurisdiction over claims asserting “public liability” arising from a “nuclear incident,” see
Following Boyer‘s unsuccessful motion to remand, the District Court adopted a Magistrate Judge‘s Report and Recommendation that the Price-Anderson Act applies to Boyer‘s claims alleging that Ware was harmed by radiation from cesium-137 used in his lab and that the NSBRI is a federal agency. Boyer responded by dismissing all claims against the NSBRI and amending her complaint to include two counts of “negligence under the Price-Anderson Act” (the “Price-Anderson claims“) and additional counts styled as state-law claims for fraud, negligent infliction of emotional distress, malpractice, and “corporate negligence.” J.A. 476-488.
Discovery began, and UPenn produced five expert reports and thousands of pages of documents. Boyer failed to produce a single expert report to substantiate her claims. UPenn filed four motions that the District Court construed as motions for summary judgment, to which Boyer never responded.
Per regulations issued by the Nuclear Regulatory Commission (“NRC“), entities holding licenses to handle certain nuclear materials must limit the dose of radiation received by employees from occupational exposure to five rem (5,000 millirem) per year.
The District Court denied the motion to withdraw, and, because Boyer had failed to produce any expert reports or even oppose UPenn‘s motions for summary judgment, it granted summary judgment to UPenn on all of her claims. Boyer appeals, challenging the District Court‘s determination that the Price-Anderson Act applies to her negligence claims as well as the Court‘s denial of her motion to withdraw while retaining jurisdiction over her remaining state-law claims.
II. STANDARD OF REVIEW
We review de novo the District Court‘s interpretation of the Price-Anderson Act and exercise the same review over whether subject-matter jurisdiction exists. See Fair Hous. Rights Ctr. in Southeastern Pennsylvania v. Post Goldtex GP, LLC, 823 F.3d 209, 213 (3d Cir. 2016); Weitzner v. Sanofi Pasteur, Inc., 819 F.3d 61, 63 (3d Cir. 2016). Our review of the
III. ANALYSIS
A. The Price-Anderson Act Governs Boyer‘s Negligence Claims.
The District Court held the Price-Anderson Act applies to Boyer‘s claims asserting that Ware was harmed by radiation emitted from cesium-137 irradiators used in his lab. The Act provides for removal to federal court of any “public liability action arising out of or resulting from a nuclear incident.”
But that is not the worst of Boyer‘s situation: if the Price-Anderson Act applies, even her claims that don‘t stem from Ware‘s radiation exposure are lost as well. Boyer failed to oppose summary judgment on any of her claims (even those, like medical malpractice, that the parties agree are not governed by the Act). Thus, on appeal Boyer attempts to save her claims by contending that the District Court either lacked jurisdiction over her claims or abused its discretion by exercising it.
For these reasons, Boyer contends the Price-Anderson Act, which grew out of the federal Government‘s initial efforts to regulate nuclear weapons and power plants in the 1940s and ‘50s, does not apply to laboratory research. Her interpretation of the Act conflicts with its text, and she identifies no principle that would both rule out its application to Ware‘s research and be true to the Act‘s purpose and structure.
1. The Price-Anderson Act
a. History
“With the object of encouraging the private sector to become involved in the development of atomic energy for peaceful purposes, Congress passed the Atomic Energy Act of 1954[], 68 Stat. 919, a broad scheme of federal regulation and licensing.” El Paso Nat. Gas Co. v. Neztsosie, 526 U.S. 473, 476 (1999) (internal brackets, quotation marks, and citation omitted). “[I]n 1957 Congress amended the [Atomic Energy Act] with the Price-Anderson Act, 71 Stat. 576[, which] provided certain federal licensees with a system of private insurance, Government indemnification, and limited liability for claims of ‘public liability,’ now defined generally as ‘any legal liability arising out of or resulting from a nuclear incident or precautionary evacuation[.]‘” Id. (quoting
Congress has continued to build on the Price-Anderson Act‘s foundation, expanding its scope and functions. The Act initially relied on state courts and state law to rule on and govern liability for nuclear accidents. In re TMI Litig. Cases Consol. II, 940 F.2d 832, 852 (3d Cir. 1991). However, amendments in 1966 “provided for the transfer, to a federal district court, of
“In the wake of the 1979 accident at the Three Mile Island nuclear power plant, suits proliferated in state and federal courts, but because the accident was not an ‘extraordinary nuclear occurrence,’ within the meaning of the Act, see
These 1988 amendments, which are at the heart of this case, deliberately increased the scope of the Act‘s coverage. See Acuna v. Brown & Root Inc., 200 F.3d 335, 339 (5th Cir. 2000) (“‘Nuclear incident’ is not limited to a single, catastrophic accident: indeed, one purpose behind the 1988 amendments was to expand the scope of federal jurisdiction beyond actions arising from ‘extraordinary nuclear occurrences’ only.” (citing Kerr-McGee Corp. v. Farley, 115 F.3d 1498, 1502 (10th Cir. 1997))). They provide federal jurisdiction in a wider variety of situations than the prior version of the law. See, e.g., Cook v. Rockwell Int‘l Corp., 618 F.3d 1127, 1133, 1140-42 (10th Cir. 2010) (claims of property owners at risk of nuclear material blowing onto their properties from nuclear weapons plant turned wildlife refuge); Dumontier v. Schlumberger Tech. Corp., 543 F.3d 567, 569 (9th Cir. 2008) (claims of workers exposed to cesium-137 carelessly left on oil drilling rig); Acuna, 200 F.3d at 338 (claims of workers, their family members, and nearby residents for harm from uranium mine).
Although the history of the Act‘s amendments tracks major events in the development of nuclear power and weapons, the Act‘s concerns are not so narrow. As noted above, Congress has “encourag[ed] the private sector to become involved in the development of atomic energy for peaceful purposes[.]” El Paso Nat. Gas, 526 U.S. at 476. Among the purposes pointed to by Congress at the outset of its plan for regulating atomic energy are “providing for ... a program of conducting, assisting, and fostering research and development in order to encourage maximum scientific and industrial progress[,] ... for the dissemination of unclassified scientific and technical information[,] and
b. Key Provisions
Today the Price-Anderson Act provides for the removal to federal court of any “public liability action arising out of or resulting from a nuclear incident.”
In essence, the Act provides federal jurisdiction over claims asserting legal liability for “any occurrence” causing physical harm or property damage resulting from the radioactive properties of nuclear material.
Section 2210(n)(2) contains the jurisdictional grant:
With respect to any public liability action arising out of or resulting from a nuclear incident, the United States district court in the district where the nuclear incident takes place ... shall have original jurisdiction without regard to the citizenship of any party or the amount in controversy.
That grant, in turn, depends on the definitions of “public liability action” and “nuclear incident.” A “public liability action” is simply “any suit asserting public liability.”
The term “nuclear incident” means any occurrence, including an extraordinary nuclear occurrence, ... causing ... bodily injury, sickness, disease, or death, or loss of or damage to property, or loss of use of property, arising out of or resulting from the radioactive, toxic, explosive, or other hazardous properties of source, special nuclear, or byproduct material[.]
Id. § 2014(q) .
This definition of “nuclear incident” is facially quite broad, and, because the definitions above all rely on it, the Price-Anderson Act‘s jurisdictional grant is also broad.
2. Boyer‘s Price-Anderson Claims
Despite these expansive definitions, Boyer contends the District Court erred
The Act‘s text maps neatly onto Boyer‘s allegations. There is no dispute that cesium-137 is a “byproduct material,”6 and, according to Boyer, its radioactive properties caused Ware‘s “bodily injury, sickness, disease, [and ultimately] death.”
Boyer claims UPenn bears legal liability arising from this nuclear incident, so what she alleges is “public liability” under
Boyer nonetheless raises arguments why the Act does not apply. There may exist some limiting principle that would effectively cabin the sweeping language Congress used to describe any nuclear incident subject to the Act, but none is persuasive here.
As noted, the Price-Anderson Act‘s history largely tracks major events in the development of the nuclear power and energy industries. Thus Boyer‘s first argument is that its jurisdictional grant applies only to nuclear accidents involving nuclear power plants or weapons facilities. For support, she looks to cases, agency factsheets, and academic publications summarizing the Act‘s applicability. E.g., In re TMI II, 940 F.2d at 855 (“[T]here can be no action for injuries caused by the release of radiation from federally licensed nuclear power plants separate and apart from the federal public liability action created by the [Price-Anderson] Act [amendments of 1988].“); See Acuna, 200 F.3d at 339 (“The Price Anderson Act sets up an indemnification and limitation of liability scheme for public liability arising out of the conduct of the nuclear energy and weapons industries.“); United States Nuclear Regulatory Commission, Nuclear Insurance and Disaster Relief, https://www.nrc.gov/reading-rm/doc-collections/fact-sheets/nuclear-insurance.pdf (December 2014) (“The Price-Anderson Act ... cover[s] liability claims of members of the public for personal injury and property damage caused by a nuclear accident involving a commercial nuclear power plant.“); Dan M. Berkovitz, Price-Anderson Act: Model Compensation Legislation?—the Sixty-Three Million Dollar Question, 13 Harv. Envtl. L. Rev. 1, 1 (1989) (“The Price-Anderson Act[‘s] ... coverage for NRC licensees encompasses activities of commercial nuclear power plants, certain fuel fabrication facilities, and non-[Department of Energy] reactors used for educational and research purposes.“).
Boyer contends these descriptions limit the Act‘s application regardless of what is in its text. But the summaries she cites do not purport to explore its scope. They merely give the reader a rough sense of the Act‘s general purpose. In re TMI II, for example, addresses “federally licensed
What is more, the Price-Anderson Act plainly applies in at least some contexts to research universities, as it has provisions that cover specifically institutions like the University of Pennsylvania. Section 2210(k) provides that “nonprofit educational institution[s]” conducting “educational activities” pursuant “to any license issued” under the federal atomic energy scheme shall be indemnified by the NRC for “public liability in excess of $250,000 arising from nuclear incidents.”
Boyer next argues, following the reasoning of a District Court in our Circuit, that even if the Price-Anderson Act applies to a broad set of industries, it only covers defendants that have indemnity agreements with the NRC. See Gilberg v. Stepan Co., 24 F.Supp.2d 325, 339 (D.N.J. 1998), supplemented, 24 F.Supp.2d 355 (D.N.J. 1998). Noting
We are unpersuaded that an indemnification agreement is necessary to trigger the Act‘s applicability. What Gilberg misses is that “one purpose behind the 1988 amendments was to expand the scope of federal jurisdiction beyond actions arising from ‘extraordinary nuclear occurrences[.]‘” Acuna, 200 F.3d at 339 (citing Kerr-McGee, 115 F.3d at 1502). Indeed, that is why the definition of “nuclear incident” is so broad. Id. Thus we agree with the Fifth Circuit‘s conclusion that Gilberg‘s “attempts to reintroduce the limitations of ‘extraordinary nuclear occurrence’ into the 1988 amendments’ substitution of ‘nuclear incident’ rely on faulty statutory interpretation and are contrary to Congressional intent.” Id. (citing Carey, 60 F.Supp.2d at 803-07).
The remaining arguments suffer from the same flaw. Even if we were to accept the limiting principles Boyer proposes, her claims would still be governed by the Act. For this reason, we have no need to pass on whether the Act is limited in the remaining ways Boyer suggests. We note only that, even so, the outcome here would be no different.
Boyer argues that the Act applies only when a defendant has a license to possess nuclear materials. Indeed,
But the University of Pennsylvania has such a license. Its license to engage in research using cesium-137 irradiators was issued by the Pennsylvania Department of Environmental Protection Bureau of Radiation Protection, which exercises delegated authority from the NRC per
The Price-Anderson Act is part of the Atomic Energy Act. The latter gives the NRC authority to enter into agreements with states allowing them to issue licenses in the NRC‘s stead. See
Next up is Boyer‘s claim that the Act applies only to unintentional releases of nuclear energy. For support, she looks to one District Court that declined to apply the Act to claims of cancer patients intentionally subjected to radiation because “all of the cases applying the Price-Anderson Act have extended potential liability only to the unintended escape or release of nuclear energy.” In re Cincinnati Radiation Litig., 874 F.Supp. 796, 832 (S.D. Ohio 1995) (emphasis added). Boyer contends her claims similarly do not implicate an unintentional release of nuclear energy. But that‘s not true. Her complaint alleges that Ware was harmed by UPenn‘s neglect of its duty to protect him adequately from radiation—that is, negligence, not deliberate exposure. So even if this exception to the Act exists, it wouldn‘t apply to this case.
Finally, the Cincinnati Radiation Court also noted that, during the legislative process leading to the 1988 amendments, Congress considered explicitly expanding the Act‘s reach to cover “persons operating nuclear pharmacies or hospital medicine department[s,]” but declined to enact the expansion. Id. at 832 n.33 (citing S. Rep. No. 100-218, at 18 (1988), reprinted in 1988 U.S.C.C.A.N. 1476, 1493). So, Boyer argues, we should hold Congress’ failure to adopt this language implies a limit on the Act‘s application to harm from radiation used for medical care.
But even if we were to read so much into Congress’ inaction, it wouldn‘t help Boyer. The cesium-137 irradiators that allegedly harmed Ware were not used for patient care or any medical purpose nor were they kept in a nuclear pharmacy. They were used for research only and kept in a lab. The language Congress declined to enact simply has nothing to do with the facts of this case.
None of this is to say that the Act applies to all harm occurring from nuclear material in any situation whatsoever. Counsel for UPenn conceded at oral argument that any nuclear incident must, at the very least, involve “source, special nuclear, or byproduct material[.]” See
* * * * *
In sum, Boyer‘s claims alleging that Ware‘s cancer developed because UPenn negligently exposed him to cesium-137 are covered by the Price-Anderson Act. The claims allege a “nuclear incident” in that they describe an “occurrence ... causing bodily injury, sickness, disease, or death ... arising out of or resulting from the radioactive ... properties of ... byproduct material[.]”
B. The District Court Did Not Err When It Declined to Permit Voluntary Dismissal of the Price-Anderson Claims and Retained Jurisdiction over Boyer‘s Remaining Claims.
When Boyer failed to convince the District Court that the Price-Anderson Act did not apply to her negligence claims (and later discovered that she would be unable to make the showing necessary to prevail on them), she asked to withdraw them and remand the remaining claims to state court. This tactic failed when the Court ruled that Boyer could not withdraw her claims so late in the game and thus retained jurisdiction over the entire case. It went on to grant summary judgment to the UPenn defendants on all of Boyer‘s claims because she failed to oppose any of their motions.
Boyer argues the District Court abused its discretion by denying her request to withdraw her Price-Anderson negligence claims and by refusing to remand the remainder of her claims. For the reasons that follow, we disagree.
1. Motion to Withdraw
Federal Rule of Civil Procedure 41 provides that a “plaintiff may dismiss an action without a court order by filing ... a notice of dismissal before the opposing party serves either an answer or a motion for summary judgment[.]”
Of course, the District Court‘s discretion is not without limit. It must consider “the presence or extent of any prejudice to the defendant by the draconian measure of dismissing [a] plaintiff‘s complaint.” Ferguson, 492 F.2d at 29. We have noted that “Rule 41 motions ‘should be allowed unless defendant will suffer some prejudice other than the mere prospect of a second lawsuit.‘” In re Paoli R.R. Yard PCB Litig., 916 F.2d 829, 863 (3d Cir. 1990) (citing 5 J. Moore, Moore‘s Federal Practice ¶ 41.05[1], at 41-62 (1988)). The record reflects that UPenn would indeed have suffered prejudice had the Price-Anderson negligence claims been withdrawn.
The Magistrate Judge held that the Act applied to at least some of Boyer‘s claims in May 2014, and the District Court adopted the Magistrate Judge‘s Recommendation in full in December 2014. By the time Boyer filed her withdrawal motion a year later in December 2015, UPenn had produced five expert reports and thousands of pages of documents and had filed one of its four motions for summary judgment (the other three would follow the next month).
These facts are of a piece with Ferguson, 492 F.2d at 29, which held that a District Court abused its discretion by granting withdrawal “[f]ourteen months after [the objecting parties] became defendants in one case and had gone to the expense of retaining counsel, six months after they had gone through pre-trial, and at least two months after they had expected that all discovery had been completed[.]” Were Boyer permitted to withdraw her claims without prejudice, UPenn would have faced the prospect of potentially relitigating, at some later date, claims it had put significant time and resources into defending and already litigated to the summary-judgment stage. Thus we have no doubt the District Court acted within its discretion when it denied Boyer‘s motion.
2. Retention of Jurisdiction over Boyer‘s Remaining Claims
Boyer contends the District Court abused its discretion by retaining jurisdiction over her remaining claims of fraud, negligent infliction of emotional distress, medical malpractice, and corporate negligence. We again disagree.10
Per
IV. CONCLUSION
The facts of Boyer‘s action are tragic: her husband, a 47-year-old researcher whose life‘s work was studying the effects of radiation on biological organisms, died from a rare form of brain cancer. But as often happens in the law, this case provides us little opportunity to contemplate Ware‘s suffering from his illness or his
AMBRO
CIRCUIT JUDGE
