Mrs. Verdie Mae Franklin Verdie Mae Franklin, Administratrix of the Estate of Lonnie B. Franklin v. United StatesMrs. Verdie Mae Franklin Verdie Mae Franklin, Administratrix of the Estate of Lonnie B. Franklin v. United States
This appeal
1
presents two somewhat thorny issues relating to the remedial scope and application of the Federal Tort Claims Act (FTCA),
I
Plaintiff Verdie Mae Franklin, on her own behalf and as administratrix of the estate of her late husband, Lonnie B. Franklin, appeals from a judgment of the district court dismissing this action under the FTCA. Mrs. Franklin brought suit against the United States claiming the death of her husband was the result of unauthorized surgery performed at a VA hospital in Oklahoma City, Oklahoma. The district court held that the action was in essence one for battery and therefore barred by the intentional tort exclusion contained in
Within the scope of its waiver of sovereign immunity, the FTCA makes the United States liable on tort claims “in the same manner and to the same extent as a private individual under like circumstances,”
In contrast to questions of liability, however, the threshold jurisdictional issue whether the government has even consented to a certain type of tort suit, particularly as that issue entails interpretation of the various exceptions to the waiver of immunity listed in
In the general area of unauthorized medical treatment, the traditionally recognized theory of recovery has been that of battery. See, e.g., 61 Am.Jur.2d Physicians, Surgeons, Etc. § 197 (1981); Restatement of Torts § 13 cmt. e, § 16 cmt. a, illus. 1, § 18 cmt. e, illus. 1 (1934); Restatement (Second) of Torts § 13 cmt. e, § 18 cmt. d, illus. 1 (1965). More recently, however, courts and legislatures have recognized a particular subspecies of negligent unauthorized treatment, in which the patient admittedly consented to surgery, but on the basis of an inadequate disclosure of the medical considerations involved, such as potential risks, benefits, and alternative treatment options. This exception to common law battery, often referred to as the doctrine of informed consent, is evidently now also the prevailing view. See 61 Am.Jur.2d Physicians, Surgeons, Etc., § 199; W. Page Keeton et al., Prosser and Keeton on the Law of Torts (Prosser) § 18, 120-21 (5th ed. 1984). Oklahoma recognizes and distinguishes these two distinct causes of action in a fairly representative manner:
If treatment is completely unauthorized and performed without any consent at all, there has been a battery. However, if the physician obtains a patient’s consent but has breached his duty to inform, the patient has a cause of action sounding in negligence for failure to inform the patient of his options, regardless of the due care exercised at treatment, assuming there is injury.
Scott v. Bradford,
In light of the intentional tort exclusion set out in § 2680(h), this distinction between the doctrines of informed consent and medical battery is critical to the cause of action under review. If the negligence theory applies, redress against the government under the FTCA is available,
see, e.g., Haley v. United States,
However, before the action was dismissed, the district court entered a pretrial order, which supersedes the complaint as the basis for disposition of the case.
See Hullman v. Board of Trustees of Pratt Community College,
This argument actually raises two separate questions' that must be addressed sequentially. First, should a claim of unauthorized surgery based on incapacity to consent be treated as merely one variant of the lack-of-consent theory and, thus, a medical battery, or should it be grouped with uninformed consent claims under the rubric of negligence?
3
Applying a similar medical battery/informed consent distinction from Illinois law, the Seventh Circuit held in
Lojuk v. Quandt,
The following passage from the plurality opinion in Shearer has informed the interpretation of § 2680(h) in numerous subsequent cases:
The Federal Tort Claims Act’s waiver of sovereign immunity does not apply to “[a]ny claim arising out of assault [or] battery,”28 U.S.C. § 2680(h) , and it is clear that [plaintiffs] claim arises out of the battery committed by Private Heard. No semantical recasting of events can alter the fact that the battery was the immediate cause of [the decedent’s] death and, consequently, the basis of [plaintiffs] claim.
[Plaintiff] cannot avoid the reach of§ 2680(h) by framing her complaint in terms of negligent failure to prevent the assault and battery.Section 2680(h) does not merely bar claims for assault or battery; in sweeping language it excludes any claim arising out of assault or battery. We read this provision to cover claims like [plaintiffs] that sound in negligence but stem from a battery committed by a Government employee.
Since
Shearer,
however, the Supreme Court has recognized one category of battery-related cases that falls outside the preclusive compass of
Here, the government would have no potential liability if not for the fact that those responsible for the intentionally tortious medical care alleged in the complaint were VA employees.
6
Indeed, the “negligent” pre-surgical conduct complained of in the pretrial order is part and parcel of the very battery claim that has implicated
One last matter raised by the pretrial order should be addressed briefly. The order includes two allegations of institutional-type negligence that might implicate, on a more general level, the direct responsibility of the VA hospital itself: “(i) Defendant owed a duty to [plaintiffs] to follow its procedure regarding consent,” and “(j) Defendant is guilty of negligence for its failure to follow its own procedures regarding consent.” Aplt. Addendum Vol. I, tab 2, at 4. Beyond these vague and conclusory allegations of negligence, however, the pretrial order fails to specify what the pertinent procedures were, why their nonobservance was material, and how all this related to Mr. Franklin’s death.
Negligence standing alone, without causal connection to cognizable injury, is not actionable.
Key v. Liquid Energy Corp.,
Accordingly, we agree with the district court that the cause of action asserted by Mrs. Franklin falls within the scope of
II
The Federal Employees Liability Reform and Tort Compensation Act (Liability Reform Act), Pub.L. No. 100-694, 102 Stat. 4563, 4564 (1988), substantially amended
The operative provision of the VA immunity statute,
For many years, VA medical personnel have been protected from personal liability in medical malpractice actions arising out of allegedly negligent conduct in the furnishing of medical care or treatment to veterans. However, the Government does not extend this immunity to actions arising out of intentional conduct — so-called “intentional torts.” In some instances, State law characterizes an act of medical malpractice as an intentional tort, leaving VA medical personnel potentially liable for an action for which the law intends the Government to assume liability. As an exam-pie, if a patient consents to an operation on his left elbow, but the physician mistakenly operates on the right elbow, responsibility for this action would lie with the United States. However, if the suit was based on a theory that a battery occurred, which is defined as any contact with a person without that person’s consent, the Government is not allowed to assume the employee’s liability. In essence, State law, which controls the character of the action brought against VA medical personnel, could defeat the intent of the Federal law to provide such employees with immunity.
H.R.Rep. No. 100-191, 100th Cong., 2d Sess. 19 (1988),
reprinted in
1988 U.S.C.C.A.N. 432, 450. The precise method chosen by Congress to address this development is critical to the application of
Congress could have resolved the problem directly by amending
(f) The exception provided in section 2680(h) of title 28 shall not apply to any claim arising out of a negligent or wrongful act or omission of any person described in subsection (a) of this section in furnishing medical care or treatment ... while in the exercise of such person’s duties in or for the Department of Medicine and Surgery.
This amendment applies to pre-existing claims, such as those considered here, “as to which a final judgment ha[d] not been rendered as of the date of the enactment [May 20, 1988].” Pub.L. No. 100-322, § 203(a)(2), 102 Stat. 509.
Although we know of no case applying
As the contra citations reflect, there is a dissenting view on this question, but it is very difficult to reconcile with the legislative history recounted above and, more importantly, with the plain, unqualified language of the statute, which states that the
Even accepting the construction of
It is a “ ‘cardinal principle of statutory construction that repeals by implication are not favored.’ ”
AMREP Corp. v.
Accordingly, we hold that
III
Finally, Mrs. Franklin challenges two collateral rulings issued by the district court before final disposition of the case. First, she objects to the denial of her motion for additional time to obtain an expert witness to support her belated allegations regarding informed consent/negligence. The district court deemed this request “completely untimely, speculative, prejudicial to the defendant, as well as contrary to the Court’s scheduling order previously entered, upon which the parties and Court have relied.” Aplt. Addendum Vol. I, tab 3, at 8. We do not take issue with this assessment. However, given our conclusion in section I that this case does not implicate negligence principles, we are constrained to hold simply that the matter is moot.
Mrs. Franklin’s second objection is that the district court erred in granting the government’s motion to reduce the ad dam-num clause in the complaint pursuant to
Action under [the FTCA] shall not be instituted for any sum in excess of the amount of the claim presented to the federal agency [as required for exhaustion of administrative remedies under§ 2675(a) ], except where the increased amount is based upon newly discovered evidence not reasonably discoverable at the time of presenting the claim to the federal agency, or upon allegation and proof of intervening facts, relating to the amount of the claim.
Id. (emphasis added).
The basis for the increased amount sought by Mrs. Franklin is her allegation that the
Likewise, on appeal, there is no legal argument or authority provided to support the facially dubious position that fraudulent or abusive discovery practices relate to the amount of the underlying claim in litigation. This omission alone would warrant affirmance of the district court’s ruling on the point.
See Phillips v. Calhoun,
The judgment of the United States District Court for the Western District of Oklahoma dismissing this action is AFFIRMED in part, REVERSED in part, and the cause is REMANDED for further proceedings consistent with this opinion.
Notes
. The parties have indicated they do not seek oral argument and, after examining the briefs and appellate record, this panel has determined unanimously that oral argument would not materially assist the determination of this appeal.
See
. A few courts have avoided this result by regarding medical batteries as only "technical” batteries that should escape the reach of
. The plaintiff's position in the pretrial order was ambiguous on the matter, characterizing the associated tort claim as battery at one point and as negligence at another. See Aplt. Addendum Vol. I, tab 2, at 2-4.
. The attempt to avoid this conclusion by alternatively alleging that Mr. Franklin's incapacity vitiated his
informed consent, see
Aplt. Addendum Vol. I, tab 2, at 3, is of no avail. Because a claim of uninformed consent proceeds from the premise that consent was in fact given and focuses instead on the adequacy of pre-consent disclosures,
see, e.g., Scott,
. Four justices concurred on the alternative basis that the plaintiff's claim was, in any event, barred under the
Feres
doctrine,
see Feres v. United States,
. We note that neither the complaint nor the pretrial order alleges a claim for negligent hiring, training, or supervision of the VA personnel involved, and, in any event, even after
Sheridan
it is doubtful on our alleged facts whether such a claim, which would still ultimately derive from the government's employment relationship to the immediate tortfeasors, would escape the reach of
. Absent sufficient reason to conclude that a prior decision of this court is no longer good law, this panel is not free to depart from circuit precedent.
United States ex rel. Rent It Co. v. Aetna Casualty & Surety Co.,
. For clarity of exposition, we shall refer to this statute throughout by its designation at the time of the events in this case. The version set out under the new designation includes no pertinent substantive changes.
. Indeed, the Supreme Court was asked in
Smith
to hold that the Liability Reform Act impliedly repealed