Figueroa Ex Rel. Estate of Figueroa v. Secretary of Health & Human ServicesFigueroa Ex Rel. Estate of Figueroa v. Secretary of Health & Human Services
Lead Opinion
Stеphanie Vino Figueroa, widow of Man-ny Figueroa and personal representative of his estate, filed a petition under the Vaccine Act seeking compensation for vaccine-related injuries suffered by Mr. Figueroa. See National Childhood Vaccine Injury Act of 1986, Pub. L. No. 99-660, 100 Stat. 3755, codified at
Background
Mr. Figueroa received the flu vaccine on October 28, 2008. Within twenty days of the vaccination, Mr. Figueroa developed numbness in his face, impaired speech, and weakness. He was hospitalized and diagnosed with Guillain-Barré Syndrome (“GBS”), a debilitating and sometimes fatal nervous system disorder.
Because GBS is not listed on the Vaccine Injury Table, see
Mr. Figueroa had 36 months from the onset of his symptoms to file a petition under the Vaccine Act, that is, until approximately mid-November, 2011. See
It is not disputed that the estate satisfied the i’equirements for a timely petition under
That section provides:
any person who has sustained a vaccine-related injury, the legal representative of such person if such person is a minor or is disabled, or the legal representative of any person who died as the result of the administration of a vaccine ... may, if the person meets the requirements of subsection (c)(1) of this section, file a petition for compensation under the Program.
Ms. Figueroa sought review of the special master’s decision, and the Court of Federal Claims affirmed. Figueroa v. Sec’y of HHS,
Ms. Figueroa timely appealed. We have jurisdiction pursuant to
Discussion
I
This case requires us to address two questions reserved by this court in Zatuch-ni: whether the personal injury claim of a vaccine-injured individual who died from causes unrelated to the vaccine survives his or her death, and whether the personal representative of the estate has standing to file a petition under the Vaccine Act. See
In 1986, Congress enacted the Vaccine Act to address two primary concerns: first, “that the tort system was failing to adequately compensate persons injured from vaccinations,” and second, that there wаs too much vaccine-related tort litigation. Cloer v. Sec’y of HHS (Cloer I),
For the relatively few who are injured by vaccines—through no fault of their own—the opportunities for redress and restitution are limited, time-consuming, expensive, and often unanswered.... [I]n the end, no recovery may be available. Yet futures have been destroyed and mounting expenses must be met.
Id. at 6, reprinted in 1986 U.S.C.C.A.N. at 6347; see also Lowry ex rel. Lowry v. Sec’y of HHS,
In response, Congress established the National Vaccine Injury Compensation Program, see
It is not disputed that a claim for injury compensation under the Vaccine Act survives the injured person’s death and may be asserted by the personal representative of the estate in most situations, including (1) when the petition is filed before death by an injured individual who subsequently dies from non-vaccine-related causes; (2) when the petition is filed before death by a vaccine-injured individual who subsequently dies from vaccine-related causes, see Zatuchni,
As this court, sitting en banc, has recognized, “[rjemedial legislation like the Vaccine Act should be construed in a manner that effectuates its underlying spirit and purpose.” Cloer v. Sec’y of HHS (Cloer II),
In particular, as explained in our en banc decision in Cloer I, the Vaccine Act enshrines a principle of equal treatment
The government’s reading of the Act would instead treat similarly situated parties quite differently, based on the unforeseeable “personal circumstances” of an independent illness or injury. Id. If two individuals received the same vaccine on the same day, experienced the same nonfatal complications, and sought identical compensation, but died of accidents within days of one another — one the day before filing a petition, and the other the day after — the estate of the person who had not yet filed could recover nothing, while the other estate would receive the maximum injury benefit allowable under the Act. This makes no sense. Moreover, if neither party filed a petition before dying, but the first died of an accident and the second died some time later of vaccine-related complications, the first person’s estate would recover nothing, while the second person’s estate would recover injury compensation and death benefits. Again, this makes no sense. It is illogical to attribute to Congress a purpose to deny some claimants compensation while allowing compensation for others who suffer identical vaccine-related injuries. At oral argument, the government could offer no rational reason why Congress would have chosen to distinguish between injury claims filed before and after death, or between the claims of those who died of a vaccine-related cause and those who did not. “The fact that a vaccine-related death followed a vaccine-related injury in a particular case does not alter the fact that certain expenses were incurred, wages lost, or pain and suffering endured in the interim.” Zatuchni,
II
The government contends, however, that despite the policies of the Act, its language compels a different result, arguing that the “plain language of the Act does not providе for the personal representative of the estate of an individual who died from a non-vaceine-related cause to file a claim for injury compensation.” U.S. Br. 6.
“Statutory construction ... is a holistic endeavor.” United Sav. Ass’n of Tex. v. Timbers of Inwood Forest Assocs.,
A
The language of the Act does not speak to the first question, but it is well-established that the background rule is that remedial claims survive the death of the injured party. Our law recognizes that “ ‘[t]he basic federal rule is that an action for a penalty does not survive, though
The dissent’s rather startling response to this line of cases is that they were wrong to rely on this presumption of sur-vivorship, because a Supreme Court case from the turn of the century, Michigan Central Railroad Co. v. Vreeland,
Under the old common law principles prevailing at the time of Michigan Central, personal injury actions abated upon the death of either the injured party or the tortfeasor. See generally Wex S. Malone, The Genesis of Wrongful Death, 17 Stan. L. Rev. 1043, 1044-47 (1965). In light of those common law principles, the Supreme Court held in Michigan Central that an injury action under a federal statute did not survive unless the statute expressly provided for survival. Mich. Cent.,
In more recent opinions, the Supreme Court has recognized that in light of these changed background principles, remedial claims survive.
Following the Supreme Court’s lead in Cox and other modern cases, our court and our sister circuits have repeatedly and appropriately held that remedial claims survive even where federal statutes fail to provide for survivorship. In closely analogous circumstances, we have held that claims survive and can be recovered by the deceased’s personal representative, even if the statute does not expliсitly provide for such recovery.
In Phillips v. Shinseki,
Indeed, our prior decisions under the Act similarly recognize that personal injury claims survive. As stated earlier, vaccine-related injury claims survive death in most situations, including (1) when the petition is filed before death by an injured individual who subsequently dies of non-vaccine-related causes, (2) when the petition is filed before death by an injured individual who subsequently dies of vaccine-related causes, and (3) when the petition is filed after death by the estate of an injured individual who dies of vaccine-related сauses. If an injury claim survives in all these circumstances, it must survive here as well. Even if in situation (3), the survival of the injury claim could be inferred from the provision of the Act which allows a personal representative to file a petition on behalf of the estate of a person who dies of vaccine-related causes, see
B
With respect to the second question— whether the personal representative of the injured individual’s estate may file a petition asserting the surviving cause of action — the government again maintains that suit is barred. The government contends that although a personal representative
(b) Petitioners.
(A) Except as provided in subparagraph (B), any person who has sustained a vaccine-related injury, the legal representative of such person if such person is a minor or is disabled, or the legal representative of any person who died as the result of the administration of a vaccine set forth in the Vaccine Injury Table may, if the person meets the requirements of subsection (c)(1) of this section,5 file a petition for compensation under the Program.
The government’s argument is inconsistent with both the structure and the text of the Act. The Act never expressly states that a personal representative may only bring suit if he or she represents a decedent who died of vaccine-related causes. While the Act specifies that certain persons “may not” file a petition, the personal representative of an individual who died of non-vaccine-related causes is not among them. See, e.g.,
The existence of section 300аa-11(b)(1)(A) does, not suggest otherwise. As the dissent acknowledges, the interpretive canon expressio unius est exclusio alteris applies where “the term left out must have been meant to be excluded.” Chevron U.S.A. Inc. v. Echazabal,
The Supreme Court’s recent decision in Marx v. General Revenue Corp., 568 U.S. -,
[t]he argument of ... the United States depends critically on whether§ 1692k(a)(3) ’s allowance of costs creates a negative implication that costs are unavailable in any other circumstances. The force of any negative implication, however, depends on context. We have long held that the expressio unius canon does not apply “unless it is fair to suppose that Congress considered the unnamed possibility and meant to say no to it,” and that the canon can be overcome by “contrary indications that adopting a рarticular rule or statute was probably not meant to signal any exclusion.” In this case, context persuades us that Congress did not intend§ 1692k(a)(3) to foreclose courts from awarding costs under Rule 54(d)(1).
Id. (citations omitted). Here, similarly, the statutory context does not give rise to
So, too, the Supreme Court has declined to apply the canon where Congress has “an obvious reason for selecting the [examples] that are addressed” in the statute, and omitting others. Setser v. United States, 566 U.S. -, -,
Death benefit claims and personal injury claims are distinct causes of action with distinct beneficiaries. A personal injury claim belongs to the injured person, and upon death, passes to the estate. See Prosser & Keeton § 126, at 942 (“The survival action ... is not a new cause of action [but] the cause of action held by the decedent immediately before or at death, now transferred to his personal representative.”). In contrast, a death benefit claim belongs not to the decedent, but to the decedent’s survivors or estate. Thus, statutes that authorize wrongful death actions typically include provisions specifying the person authorized to file suit (usually the personal representative), see generally Robert VanHorne, Wrongful Death Recovery: Quagmire of the Common Law, 34 Drake L. Rev. 987, 1010 (1984), as do federal workers’ compensation statutes, see, e.g., FELA,
The legislative history of the Act demonstrates a direct relationship between the provision of a death benefit payable to the estate and the addition of the “legal representative” language to section 300aa-11(b)(1)(A). Of the two draft bills under consideration by Congress, S. 827 and H.R. 1780, only the Senate bill, which in large part became the basis for the final legislation, provided for a death benefit payable to the parents of the decеased, and for the recovery of expenses resulting from a vaccine-related injury that were incurred before death. S. 827 originally provided that:
(2) In the event of a death, compensation of not less than $300,000 and not more than $700,000 for the parents of the deceased (or other appropriate family member as determined by the court), plus such expenses as may have been incurred under paragraph (1) prior to death.
National Childhood Vaccine Improvement Act of 1985, S. 827, 99th Cong, (introduced April 2, 1985), § 2107(a)(2). S. 827 made no reference to suit by a personal representative, except in the case of a minor. See id. at § 2102(b). In the subsequent House bill, H.R. 5184, and likewise in the final House bill, H.R. 5546, (1) the death benefit was retained, but made payable to the estate, not the parents; (2) the provision regarding suit by the legal representative of the estate was added; and (3) the reference to recovery of expenses “prior to
In construing an enacted law, the Supreme Court has often looked to the history of amendments made to the draft legislation. See, e.g., Green v. Bock Laundry Mach. Co.,
Finally, other aspects of the Act’s legislative history make clear that Congress intended the Act to treat injured individuals inclusively and equitably, even after death. House Repоrt No. 99-908, which “contains an ‘authoritative’ account of Congress’ intent” in drafting the Act, Bruesewitz, 562 U.S. at -,
Subsection (b) — Petitioners.—A petition may be filed by any person (or his or her legal representative) who has been injured by a vaccine listed in the Vaccine Injury Table.
H.R.Rep. No. 99-908, at 14 (1986), reprinted in 1986 U.S.C.C.A.N. at 6355 (second emphasis added).
Conclusion
We conclude that the vaccine-related injury claims of an individual who dies of
REVERSED and REMANDED
Notes
. Both injury claims and deаth benefit claims are limited to a "vaccine-related injury or death” caused by a vaccine set forth in the Vaccine Injury Table. See
. The dissent cites four cases to illustrate that the Supreme Court has "directly applied” the rule of Michigan Central many times, but the cited cases did not involve the survival of claims under federal statutes. For example, in Florida ex rel. Vars v. Knott,
The dissent also suggests that Robertson v. Wegmann,
. See also Moragne v. States Marine Lines, Inc.,
. See United States v. NEC Corp.,
. The requirements of subsection (c)(1) are not relevant here.
. The relevant statutory language — “any person who has sustained a vaccine-related injury, the legal representative of such person if such person is a minor or is disabled, or the legal representative оf any person who died as the result of the administration of a vaccine set forth in the Vaccine Injury Table” — was the same at the time of the House Report. Compare
Dissenting Opinion
dissenting.
The majority’s opinion clearly conflicts with binding Supreme Court precedent, the plain language of the Vaccine Act, and decades of consistent decisions by the United States Court of Federal Claims. I must respectfully dissent.
I
The majority holds that Ms. Figueroa’s petition with the National Vaccine Compensation Program was permissible because she was the legal representative of Mr. Figueroa’s estate and Mr. Figueroa’s cause of action for injuries he sustained from a vaccine survived his unrelated death. To reach that conclusion, the majority does not rely on any express language in the Vaccine Act; the Act does not specifically provide for the survival of suсh causes of action under the Program. Instead, the majority reads a “presumption” into federal common law that personal injury actions arising under federal law survive the death of a plaintiff absent “a-statutory provision to the contrary.” Majority Op. at 1319. Therefore, in the majority’s view, because the Vaccine Act is silent regarding survivorship, causes of action arising under the Vaccine Act survive.
The majority’s conclusion, however, is directly opposed to the outcome mandated by Supreme Court precedent. The Court has held that, if a federal law creating a remedial cause of action for personal injuries is silent regarding survivorship, causes of action under the law do not survive the death of a plaintiff. Mich. Cent. R. Co. v. Vreeland,
While the majority acknowledges the existence of the Court’s holding in Michigan Central, it brushes it aside because, “as states enacted legislation providing for survival, the common law rule changed.” Majority Op. at 1319.
The statutes of many of the states expressly provide for the survival of the right of action which the injured person might have prosecuted if he had survived, but unless this Federal statute which declares the liability here asserted provides that the right of action shall survive the death of the injured employee, it does not pass to his representative, notwithstanding state legislatiоn. The question of survival is not one of procedure, but one which depends on the substance of the cause of action.
Mich. Cent.,
Nor does it matter, as the majority contends, that subsequent Supreme Court cases “nearly on point” provide for the survival of causes of actions when individuals other than an injured plaintiff die. Majority Op. at 1319-20. The equitable and common law considerations are different in those situations. None of the cases cited by the majority overrule or abrogate Michigan Central,
The majority further compounds its error by ignoring the plain language of
any person who has sustained a vaccine-related injury, the legal representative of such person if such person is a minor or is disabled, or the legal representative of any person who died as the result of the administration of a vaccine ... may, if the person meets the requirements of subsection (c)(1) of this section, file a petition for compensation under the Program.
The Supreme Court has instructed how to interpret a statute that includes such a specific listing of a related series of individuals who may access a remedy fоr a wrong through a particular process: the list of individuals should be read as exhaustive and exclusive of others “in circumstances supporting a sensible inference that the term left out must have been meant to be excluded.” Chevron U.S.A. Inc. v. Echazabal,
The majority, however, insists that Congress could not have meant for the list of legal representatives in § 300aa-11(b)(1)(A) to be exhaustive because barring petitions from legal representatives like Ms. Figueroa would “make[ ] no sense” and would illogically “attribute to Congress a purpose to deny some claimants compensation while allowing compensation for others who suffer identical vaccine-related injuries.” Majority Op. at 1318. But the conclusion I reach, based on the clear statutory language, is neither nonsensical nor illogical; in fact, it is re-fleeted in how the Program routinely operates.
As first implemented, the Program limited compensation to those petitioners who died from vaccine-related causes or to those petitioners who suffered from a vaccine-related injury for more than six months. H.R. 5546, 99th Cong. § 2211(c)(1)(D), as amended, by, PL 100-203, December 22,1987,101 Stat 1330; see
Despite that sensible reading of
Ill
The majority’s opinion does not comport with either Supreme Court precedent or the plain language of the Vaccine Act. I respectfully dissent.
. The Supreme Court has only recognized one' — -unsurprising-—exception to that rule: if the defendant in a Bivens action caused the death of the plaintiff through his unconstitutional acts, the plaintiff’s claim survives his death. Carlson v. Green,
. The Supreme Court has directly applied the common law rule many times before and after its decision in Michigan Central. See, e.g., Florida ex rel. Vars v. Knott,
.The majority asserts that "the common law [for survival] rule changed” because "states enacted legislation providing for survival.” Majority Op. at 1319. According to the majority, Congress therefore enacted the Vaccine Act in 1986 against "this changed legal background,” not the common law rule espoused by Michigan Central. Id. But the Supreme Court reaffirmed the continued applicability of Michigan Central four years after Congress
. Moreover, Congress knows how to provide, if and when it wishes, for survival of personal actions under federal law. See, e.g., Employer’s Liability Act,
. In Cox v. Roth, the Supreme Court discussed how forty-three states provided, by statute, that causes of actions survived the death of an alleged tortfeasor, but not a plaintiff.
Nor is it compelling that some courts have relied on the Supreme Court’s holding in Ex
. The Supreme Court has declined to create the majority’s federal common law rule in the only case it decided since Michigan Central that presented such a rule. Robertson v. Wegmann,
. For nearly two decades, the Court of Federal Claims has also interpreted § 300aa-11(b)(1)(A) to bar petitions from legal representatives of individuals who died of non-vaccine related causes. See Sigal v. Sec’y of Health & Human Servs.,
. The majority claims that the Supreme Court has “often” engaged in similar analysis of Congressional purpose it does here. Majority Op. at 1324. It is no secret that the Supreme Court has, in certain cases, found meaning in drafting history. But in such cases, the Court relied on the clear import of drafting changes by Congress. As discussed, the import of “changes” found by the majority here is simply not clear.