Melissa Hines, on Behalf of Her Minor Daughter, Amber Sevier v. Secretary of the Department of Health and Human ServicesMelissa Hines, on Behalf of Her Minor Daughter, Amber Sevier v. Secretary of the Department of Health and Human Services
Melissa Hines (now known as Melissa Hines Sevier, herein “Sevier”), on behalf of her minor daughter, Amber Sevier, appeals the judgment of the United States Claims Court denying her compensation under the National Vaccine Injury Compensation Program (Vaccine Program), established pursuant to the National Childhood Vaccine Injury Act (Vaccine Act),
*1521 BACKGROUND
Amber Sevier was born to petitioner on October 5, 1987. She was delivered without complications, and weighed six pounds six ounces at birth. Her APGAR scores were 8 and 9 out of a perfect 10. 1 She was discharged from the hospital in good condition on October 7, 1987.
When she received her first DPT (diphtheria-pertussis-tetanus) and OPV (polio) vaccinations on March 3, 1988, Amber experienced no apparent side effects. Nor did she have any adverse reactiоns to her second DPT and OPV vaccinations on May 12, 1988. Thereafter, Amber was diagnosed as having bilateral otitis media (middle ear infections in both ears) on three separate occasions: August 15, 1988; November 1, 1988; and November 11, 1988. On each occasion, amoxicillin was prescribed. Then on January 26, 1989, Amber received her third DPT and her MMR vaccinations.
Prior to this MMR vaccination, Amber showed no signs of hearing impairment, but rather responded normally to the sounds of music, automobiles, and human voices. She was also able to speak six words. But on February 1, 1989, six days after her first MMR vaccination, Amber was taken to the emergency department at Sand Lake Hospital because of a fever of 104.4 degrees. According to the hospital records, Amber had been ill for the prior two days, i.e., four days after the vaccine was administered, with a cough and yellow nasal discharge. She had had three loose stools, had vomited twice, and had pulled on her ears throughout the day prior to the emergency department visit. Upon examination on the sixth day, Amber showed signs of bilateral otitis media and respiratory problems, and was diagnosed as having pneumonia. The doctor again prescribed amoxicillin.
The following day, February 2, 1989, petitioner took Amber to the Orange County Health Department Pediatric Clinic, where she was diagnosed with bilateral otitis media and possible bilateral pneumonia. An antibiotic was prescribed. On her first follow-up visit of February 6, both her otitis media and her pneumonia showed improvement. A new prescription was given. By her next follow-up examination of February 16, her infections were gone.
At about that time or shortly thereafter, Amber’s mother and grandmother started to notice that Amber did not respond to their voices, and seemed to ignore them. She also appeared to lose her equilibrium and her speech ability. This process apparently continued over a period of weeks. Sometime later, Amber’s mother became very concerned when she dropped some pans on the floor next to Amber and Amber did not react. She then beat the pans near Amber’s head and Amber did not react until she visually noticed what her mother was doing. As a result, Amber’s mother took Amber back to the pediatric clinic on March 27, 1989, to have her hearing examined. She was diagnosed as suffering from a moderate to severe bilateral sensorineural hearing loss. Subsequent examinations have shown that Amber has lost 95% of her hearing in the left ear and 99% in the right ear.
On August 25, 1989, Sevier filed a petition for compensation under the Vaccine Program, pursuant to
At this hearing, Sevier presented evidence, including medical records and expert testimony, to the special master. The government did not participate in the hearing, but did submit evidence to the special master including a medical review, signed by three doctors employed by the Department of Hеalth and Human Services, which recommended denial of compensation based on a lack of evidence in the medical records showing that the MMR vaccine caused Amber’s hearing loss. By a decision dated June 22, 1990, the special master deter *1522 mined that petitioner was not entitled to compensation for Amber’s hearing loss under the Vaccine Program because she was not able to prove by a preponderance of the evidence that Amber’s hearing loss was caused by the MMR vaccine.
Pursuant to
We have jurisdiction over Sevier’s appeal pursuant to
DISCUSSION
I
We consider at the outset an issue which, though not raised by the parties, goes to our jurisdiction to decide this appeal and thus must be considered sua sponte: whether the 1989 amendments to the Vaccine Act render our rеview merely advisory and thus impermissible under article III of the Constitution.
As originally enacted, the Vaccine Act required an unsuccessful petitioner, within 90 days of the Claims Court’s final decision, to file “an election in writing to accept the judgment or to file a civil action for damages for such injury or death.”
In 1989 the Vaccine Act was amended to provide that an election as to whether to accept the judgment is not required until “[ajfter judgment has been entered by the United States Claims Court or, if an appeal is taken ...
after the appellate court’s mandate is
issued_” Pub.L. No. 101— 239, § 6601(n)(l)(A), 103 Stat. 2292 (1989) (codified at
Article III of the U.S. Constitution extends the judicial power to various types of “cases” and “controversies.” This “case or controversy” requirement of article III has been interpreted as barring federal courts from rendering advisory opinions:
A “controversy” in this sense must be one that is appropriate for judicial determination.... The controversy must be definite and concrete, touching the legal relations of parties having adverse legal interests. It must be a real and substantial controversy admitting of specific relief through a decree of a conclusive character, as distinguished from an opinion advising what the law would be upon a hypothetical state of facts.
Aetna Life Ins. Co. v. Haworth,
It could be argued, as we implied in
Brown,
that the amendment of
Though superficially plausible, on closer examination this argument fails. The statute as amended permits an unsuccessful petitioner to either “accept the judgment or to file a civil action for damages” for the vaccine-related injury.
We therefore conclude that the amendment to the Vaccine Act permitting a petitioner after appeal to elect not to accept the final judgment of the Claims Court does not circumvent the case or controversy requirement of article III of the Constitution, and thus is no bar to our exercise of jurisdiction.
II
We turn next to our standard of review in cases arising under the Vaccine Act.
As originally enacted, the Vaccine Act provided that “[u]pon objection ... to the proposed findings of fact or conclusions of law prepared by the special master or upon the court’s own motion, the [Claims] court shall undertake a review of the record of the proceedings and may thereafter make a de novo determination of any matter and issue its judgment accordingly, including findings of fact and conclusions of law....”
In 1989, Congress amended the Act to provide that the Claims Court shall not set aside a special master’s findings of fact or conclusions of law unless it determines them to be “arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law_” Pub.L. No. 101-239, § 6601(h)(2)(B), 103 Stat. 2289-90 (1989) (codified at
We are thus presented with an issue of first impression: When the Claims Court has reviewed the decision of a special master under the arbitrary and capricious standard of
For example, when the Claims Court reviews an agency’s decision to reclassify job positions we have held that “[wjhether the Claims Court correctly determined that [the agency] did not act arbitrarily or capriciously is ... a question of law, subject to de novo review.”
Bosco v. United States,
We have also applied a similar standard in reviewing the Court of International Trade’s deferential review of Internаtional Trade Commission (ITC) decisions. For example, where that court reviews a determi
*1524
nation by the ITC under an “arbitrary and capricious” standard, we have held that the court’s determination is a question of law which on appeal we review de novo.
Mat-sushita Electric Industrial Co. v. United States,
The issue in the instant case is also analogous to that which arises when a district court reviews, under a clearly erroneous standаrd, findings made by a special master. In
Milliken Research Corp. v. Dan River, Inc.,
Our precedent thus shows a consistent pattern which provides us with clear guidance in the instant situation. Like a decision of the Claims Court or the Court of International Trade sustaining an agency decision as not arbitrary and capricious, and like a determination by a district court that a special master’s decision is not clearly erroneous, a Claims Court vaccine decision upholding a special master must be viewed as a
legal
conclusion that the master’s decision was not “arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law_”
Ill
Having determined our standard of review applicable to appeals arising under the amended Vaccine Act, we now apply that standard to the facts of the instant case.
Under the Vaccine Act, a petitioner seeking compensation for injuries caused by a covered vaccine must prove entitlement to compensation under either of two bases. First, a petitioner may recover when an injury or condition listed in the Vaccine Injury Table,
The Claims Court correctly stated that causation in fact requires “proof of a logical sequеnce of cause and effect showing that the vaccination was the reason for the injury.”
Hines,
First, Sevier takes issue with the special master’s discussion of the temporal relationship between the inoculation and the onset of the hearing loss, and his determination that “[n]ot only did Amber not experience a measles-like rash, the symptoms she did experience followed too closely after the vaccination to be attributed to the measles vaccine.” Hines, slip op. at 8 (Special Master June 22, 1990). She argues that the special master erred in relying on a medical textbook which was not introduced at the hearing, Behrman & Vaughan, Nelson Textbook of Pediatrics (13th ed. 1987), for the proposition that any side effects that may follow the MMR vaccination will occur within 6-14 days of vaccination. See Hines, slip op. at 6 (Special Master June 22, 1990). Specifically, she argues that the special master should not have relied on any material outside the record developed at the hearing, and that even if he could have taken “judicial notice” of the incubation period of measles as stated in the Nelson treatise, he erred in failing to inform the parties in advance that he intended to do so. She further contends that the incubation period of measles is in any event not the proper subject for the taking of judicial notice. She also challenges the period specified in Nelson as unreliable in view of her expert’s testimony that the symptoms occurred within the expected period. The special master recognized that Amber’s symptoms started at four days or earlier, and based on the six-day starting point of Nelson, found that they followed “too closely.”
As the Claims Court correctly pointed out, the Vaccine Act states that the procedural rules to be applied by special masters shall “provide for a less-adversarial, expeditious, and informal proceеding for the resolution of petitions,” and specifically that they shall “include flexible and informal standards of admissibility of evidence.”
Sevier argues that the medical textbook should not have been relied upon because she was not given an opportunity to be heard prior to the taking of judicial notice, as provided by
Sevier also argues that the incubation period of measles is not a fact that should be subject to judicial notice, even under informal rules. But even the Federal Rules of Evidence specifically permit the taking of judicial notiсe of a fact which is “not subject to reasonable dispute” because it is “capable of accurate and ready determination by resort to sources whose accuracy cannot reasonably be questioned.”
Sevier further argues that the special master misstated the facts and misread the record when he described Amber’s hearing loss as symmetrical, since Dr. Dimitrov, petitioner’s expert, testified that Amber’s hearing loss was asymmetrical. Since asymmetry is characteristic of hearing loss caused by measles, Sevier contends that this misstatement led the special master and the Claims Court to erroneously discount the importance of the asymmetry of Amber’s hearing loss as proof of causation. 2
The Claims Court, however, did not decide whether the special master acted arbitrarily and capriciously in finding that Amber’s hearing loss was symmetrical. Instead, the court explained that even assuming, arguendo, that the special master erred, since the decision to deny compensa *1527 tion was based on many factors, not simply the symmetry of Amber’s hearing loss, any such error was harmless because it did not change the outcome of the case. In any event, the master did not ignore the importance of this factor; he simply did not give it the controlling weight Sevier urges he should have.
Rather, as the Claims Court correctly noted, the special master considered numerous factors in his decision to deny compensation. In addition to the factors of symmetry and timing, on which Sevier focuses, the master made findings on various other factors. He noted that Amber’s symptoms were indicative of her ear infections and pneumonia rather than symptoms of measles, and that since there was no measles rash, it was very unlikely that Amber contracted measles. He also noted that she had suffered from ear infections in August and November 1988, prior to her MMR vaccination on January 26, 1989. Furthermore, the special master found that Amber’s hearing loss was progressive, which he concluded was more suggestive of a congenital (hereditary) defect than of measles. The master also found that the medical testimony and medical literature were unpersuasive in showing that administration of the MMR vaccine, as opposed to contracting measles, could have caused the hearing loss: Indeed the master found that “[t]he medical evidence that the measles vaccine can cause nerve deafness is very weak,” and that “the preponderance of the evidence would not support a finding that it did cause the nerve deafness in this case.” Hines, slip op. at 8 (Special Master June 22, 1990) (emphasis in original). In short, the special master appears to hаve considered the relevant evidence in the record as a whole, drawn plausible inferences from that evidence, and articulated a basis for his decision which is rational.
Sevier raises various other issues in her appeal, none of which merit extended discussion. Her contentions are essentially that various pieces of evidence should have been given more or less weight by the special master. Such arguments as to the weighing of evidence, particularly where, as here, witness credibility is involved, do not demonstrate reversible error. Regardless of whether the Claims Court, or we, would havе found different facts on a retrial of the case, the issue which the Claims Court resolved and which we now review is only whether the findings and conclusions of the special master were “arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law....”
The “not in accordance with law” aspect of the standard of review is not really involved here, there being no dispute over statutory construction or other legal issues. Nor is the “abuse of discretion” prong, ordinarily used where the tribunal under review had a finite range of discretion (e.g. to select a penalty, or to award a sрecific sum as damages, from within a range of permissible alternatives) really implicated in this case.
The issue before the special master, rather, was whether the evidence submitted by the petitioner warranted a conclusion that the vaccine caused the injury. The review applicable to this determination is under the “arbitrary and capricious” standard. While no uniform definition of this standard has emerged, it has been formulated in a variety of ways which suggest its meaning: “whether the decision was based on a consideration of the relevant factors and whether there has been a clear error of judgment,”
Citizens to Preserve Overton Park, Inc. v. Volpe,
We need not and do not adopt any one of these definitions for use in vaccine cases; it is clear from the cases cited above, however, that regardless of the precise formulation used, “arbitrary and cаpricious” is a highly deferential standard of review. If the special master has considered the relevant evidence of record, drawn plausible inferences and articulated a rational basis for the decision, reversible error will be extremely difficult to demonstrate.
In this appeal, we have carefully reviewed the special master’s decision, the Claims Court’s treatment of the assignments of error raised by petitioner, and all of the arguments raised. We can discern no error in the Claims Court’s conclusion that the special master’s decision was not, as a matter of law, arbitrary or capricious.
CONCLUSION
We review a decision of the Claims Court upholding a special master’s denial of compensation under the Vaccine Program as to whether or not the court correctly concluded that the master's decision was not arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law. Here, Sevier’s attack on particular findings by the special master fails to demonstrate that the master’s decision, based on the totality of the circumstances in the record as a whole, was arbitrary or capricious. Accordingly, the judgment is
AFFIRMED.
Notes
. Named for Dr. Virginia Apgar, the APGAR test measures five elements, summarized in mnemonic form as a ppearance, p ulse, g rimace, a ctivity, and respiration.
. Whether asymmetry is also indicative of hearing loss caused, not by measles, but directly by the MMR vaccine itself, is unclear.