Martinez v. Schrock
Opinion of the Court
OPINION OF THE COURT
Bailey v. DeQuevedo, 375 F.2d 72, 74 (3d Cir.), cert. denied, 389 U.S. 923, 88 S.Ct. 247, 19 L.Ed.2d 274 (1967), held that “an enlisted man in the armed services of the United States cannot maintain an action against an Army medical surgeon for negligence in an operation performed at an Army hospital in line of duty.” The question presented here is whether that bar can be extended to an action brought by the representative of a retired enlisted man against two Army surgeons. The district court held that the surgeons possessed immunity and dismissed the complaint with prejudice. We affirm.
Plaintiff’s decedent, a retired Army sergeant and a civilian employee at Fort Dix, New Jersey, died on January 23, 1975, shortly after a gall bladder operation performed on him by defendants, two Army surgeons. Plaintiff initiated survival (N.J. S.A. 2A:15-3) and wrongful death (N.J.S.A. 2A:31-1) claims in the Superior Court of New Jersey contending that defendants’ negligence caused the death. The action was properly removed to the district court pursuant to 28 U.S.C. § 1442(a) where it was dismissed with prejudice. The district court relied on the immunity doctrine enunciated in the defamation case of Barr v. Matteo, 360 U.S. 564, 79 S.Ct. 1335, 3 L.Ed.2d 1434 (1959) and later applied in this circuit in Keiser v. Hartman, 339 F.2d 597 (3d Cir. 1964), cert. denied, 381 U.S. 934, 85 S.Ct. 1764, 14 L.Ed.2d 699 (1965). Plaintiff appealed the order of dismissal.
We concede that the distinction in the status of plaintiff and her decedent deprives these defendants of the benefit of the rationale that “one soldier may [not] sue another for negligent acts performed in the line of duty.” Bailey v. Van Buskirk, 345 F.2d 298 (9th Cir. 1965), cert. denied, 383 U.S. 948, 86 S.Ct. 1205, 16 L.Ed.2d 210 (1966), quoted in Bailey v. DeQuevedo, supra, 375 F.2d at 74. But we do not believe that the applicability of immunity doctrines ought to turn on such distinctions. We perceive more meaningful policy considerations at work — considerations looking not to the particular status of the plaintiff, but to the governmental interests inhering in the duties of the defendants. The Supreme Court instructs:
[ T]he Court has not fashioned a fixed, invariable rule of immunity but has advised a discerning inquiry into whether the contributions of immunity to effective government in particular contexts outweigh the perhaps recurring harm to individual citizens .
Doe v. McMillan, 412 U.S. 306, 320, 93 S.Ct. 2018, 2028, 36 L.Ed.2d 912 (1973) (emphasis added). In particular, two considerations are to be counterbalanced:
[0]n the one hand, the protection of the individual citizen against pecuniary damage caused by oppressive or malicious action on the part of officials of the Federal Government; and on the other, the protection of the public interest by shielding responsible governmental officers against the harassment and inevitable hazards of vindictive or ill-founded damage suits brought on account of action taken in the exercise of their official responsibilities.
Barr v. Matteo, supra, 360 U.S. at 565, 79 S.Ct. at 1336; see Doe v. McMillan, supra, 412 U.S. at 319, 93 S.Ct. at 2018.
Applying these broad directives from the Supreme Court, we perceive significant public policy considerations at work here which tip the balance in favor of immunity.
First, as in Bailey, the defendants here were Army physicians on active duty, performing “in the course of military duty.” They could not pick and choose their patients. The objectives of certainty and uniformity in the law would be ill-served if immunity were wrapped around a surgeon for a nine o’clock operation in an Army hospital on an active-duty soldier who survived the operation, but were removed for a ten o’clock operation in the same operating room on a retired soldier who did not survive the operation. The law should not require the military surgeon, in exercising his informed medical judgment, to concern himself with his patient’s military status or with the technicalities of tort law. The same standard of professional care obviously ought to apply in both situations, and the same legal rules should obtain.
Second, if viewed from the perspective of avoiding “perhaps recurring harm to individual citizens”, the plaintiff’s position in this case is equally untenable. Immunizing these defendants from personal liability does not deprive the plaintiff of a remedy: she may seek relief under the Federal Tort
Third, concerning the contribution of an immunity rule to “effective government”, we note that this claim is not one where liability would be borne ultimately by the United States or by an insurance carrier. Absent a Federal Tort Claims Act suit naming the United States as a defendant, there is no provision for joinder of or indemnity from the United States; and malpractice insurance is not involved here.
We willingly concede that concern for the savings accounts of military doctors should not be controlling in and of itself. But viewed with regard for its possible effect on the delivery of health care to the armed services, the prospect of personal liability takes on added significance. Surely, there is a strong governmental interest in assuring that the military services be able to recruit and retain competent medical personnel. Given today’s litigious medical malpractice environment,
Finally, to argue, as does the plaintiff, that the protection of military medical officers is a matter for Congress,
We see the issues reduced to this: being limited to the salary of a military officer without the financial emoluments of private civilian practice, and being under military obligation to accept patients sent to him, should a military physician be confronted with potential personal liability for a claim of medical malpractice? Would such liability be consonant with sound public policy? We think not. We think that the contribution of immunity to effective government, relating here to the armed services’ ability to recruit and retain competent medical personnel, outweighs the perhaps recurring harm to individual citizens who, in fact, have recourse under the Federal Tort Claims Act.
The judgment of the district court will be affirmed.
. We cheerfully concede that the Bailey rationale has not captured universal acceptance. See, e. g., Henderson v. Bluemink, 167 U.S.App.D.C. 161, 511 F.2d 399 (1974).
. See the Report of the House Committee on Armed Services, note 5, infra, concerning the reasons why a plaintiff might choose not to sue the United States, and the general absence of malpractice insurance in this kind of litigation.
. See, e. g., New York Times, June 15, 1975, at 44, col. 3 (remarks of Dr. Malcolm C. Todd, president of the American Medical Association (“A.M.A.”), during the 124th Annual Meeting of the A.M.A.): “Malpractice is the number one problem that faces the American medical profession.”
. “The A.M.A. undertook the financial risk of forming a re-insurance company under pressures created by soaring malpractice premium rates and by the commercial industry’s virtual abandonment of medical malpractice coverage.” New York Times, June 20, 1975, at 39, col. 5. In the 10-year period prior to the A.M. A.’s action, rates jumped 1,600%, so that the annual premium for $1 million insurance coverage came to nearly $15,000 for high risk fields such as orthopedic surgery — and this figure obtained before carriers proposed doubling rates in 1975. New York Times, June 1, 1975, at 47, col. 5.
. The House of Representatives has passed H.R. 3954, 94th Cong. 1st Sess., to provide an exclusive remedy via the Federal Tort Claims Act for claims against active duty military physicians, dentists, nurses, pharmacists and paramedical personnel. Such protection had already been extended to medical personnel of the Veterans Administration, 38 U.S.C. § 4116, and of the Public Health Service, 42 U.S.C. § 233.
The House Committee on Armed Services Report accompanying H.R. 3954 explained the problem:
. . . If the defendant loses the case he must pay the judgment. Of course, if the individual is sued jointly with the United States and a judgment is entered against both jointly, the United States will satisfy the judgment. However, if the defendant is sued individually, neither the United States nor the individual can bring in the United States as a party defendant in order to invoke the provisions of the Federal Tort Claims Act.
One may ask why a plaintiff would not join the United States or sue the United States alone in order to claim the benefit of the world’s largest self-insurer. There are sever*769 al possible reasons. For example, a jury trial is not available in such a suit against the United States and the plaintiff may care to obtain jury consideration of the circumstances giving rise to the alleged malpractice . . . . Also, there are cases where the
two-year statuite of limitations on claims against the Umited States may have run out while the local statute for suit in a state court may not have run. In addition, there have been instances where for emotional or vindictive reasons plaintiffs have insisted on suing a physician personally for alleged negligence.
The present propensity of individuals to pursue more actively alleged medical malpractice and the attendant alarming increase in the cost of malp>ractice insurance coverage have caused physicians, dentists, nurses, paramedics and other individuals assigned to medically-related duties in the Department of Defense to be increasingly concerned over personal exposure to civil liability for alleged malpractice and their increasing inability to meet the cost of malpractice insurance.
The Department of Justice reported to the Committee that it is defending 20 such lawsuits in which 37 Defense Department defendants are being sued personally for damages in United States District Courts. In all but three cases there is no insurance coverage, and of those three the limitations on liability appear to fall well below the damages claimed. The total damages claimed in those 20 cases is in the amount of $13,755,-450.00. The Department of Justice, in reporting its experience regarding the national proliferation of medical malpractice claims and litigation, has advised the Committee that at the present time it is involved in approximately 494 suits characterized as arising out of alleged medical malpractice of officers or employees of the Federal establishment.
H.R.Rep.No.94-333, 94th Cong., 1st Sess. 2-3 (1975).
. Imbler v. Pachtman, 424 U.S. 409, 96 S.Ct. 984, 47 L.Ed.2d 128, 44 U.S.L.W. 4250 (1976); Doe v. McMillan, 412 U.S. 306, 93 S.Ct. 2018, 36 L.Ed.2d 912 (1973); Pierson v. Ray, 386 U.S. 547, 87 S.Ct. 1213, 18 L.Ed.2d 288 (1967); Barr v. Matteo, 360 U.S. 564, 79 S.Ct. 1335, 3 L.Ed.2d 1434 (1959).
. Wood v. Strickland, 420 U.S. 308, 95 S.Ct. 992, 43 L.Ed.2d 214 (1975); Scheuer v. Rhodes, 416 U.S. 232, 94 S.Ct. 1683, 40 L.Ed.2d 90 (1974); Pierson v. Ray, supra, note 6.
Concurring Opinion
(concurring in the result).
I concur in the judgment of the majority, but since I take a different route to arrive at the result, I write separately to state my views.
A.
The facts presented in Bailey v. DeQuevedo
The distinction is an important one, since the rationale utilized by the Court in Bailey was that of Feres v. United States,
When, several years later, the Supreme Court was faced in United States v. Brown
The Bailey Court recognized that Feres was not precisely on point, since the defendants in Bailey were the allegedly negligent physicians rather than the government, but it nonetheless adopted the Feres reasoning.
I thus conclude that Bailey does not require that we automatically immunize the defendants here. Consequently, I cannot agree with the determination of the majority that Bailey should be the starting point of the analysis or with the implication that Bailey is binding.
B.
Even if Bailey could stand for the proposition that Army physicians are absolutely immune from a suit brought by retired military personnel, it ought not govern the result here. The decision in Bailey came at a time when government officials with discretionary duties “enjoyed an absolute immunity from damage suits”
In the nine years since Bailey, however, the law of immunity has undergone a marked change. One commentator has observed that “[t]he common law doctrines of personal immunity for official acts were revitalized”
The rule of absolute immunity that prevailed at the time of Bailey has been modified by the Supreme Court into a standard of qualified immunity which, as stated in Scheuer v. Rhodes,
As noted in Chief Judge Seitz’s dissenting opinion, a number of the more recent Supreme Court decisions have involved the immunity of policymaking executive officials, and thus are factually distinguishable from the case now before us. The principles and the approach in the extant immunity decisions would appear to be useful in the present context, however, even though the Supreme Court has not addressed such a situation.
Thus, in Doe v. McMillan,
On the one hand, the protection of the individual citizen against pecuniary damage caused by oppressive or malicious ae*772 tion on the part of officials of the Federal Government; and on the other, the protection of the public interest by shielding responsible governmental officers against the harassment and inevitable hazards of vindictive or ill-founded damage suits brought on account of action taken in the exercise of their official responsibilities.19
The defendant doctors in this case are skilled professionals employed by the government. They must exercise, in the course of their daily employment, a careful discretion, — albeit not precisely of the same type adverted to in Doe and Barr — that has a direct impact on their patients. It would disserve the public interest if these governmental physicians had to concern themselves with the possibility of a monetary judgment each time they were faced with a discretionary decision. Thus, it would not seem realistic to suggest, as the reasoning employed by the dissent might, that a government agent in charge of a HUD office in a small town, for example, would be clothed with immunity when determining whether the government should insure a mortgage agreement, but that the chief surgeon at a military hospital in a major metropolis, deciding whether to perform difficult surgery, would not be.
Nor can the absence of congressional legislation respecting this situation be deemed controlling on the question whether the defendants should be immunized. It is true that Congress has specifically given immunity to medical personnel in the Veterans’ Administration
Since qualified immunity would thus appear to be applicable, it is necessary to follow the all-the-circumstances approach mandated by the Supreme Court in such cases. After such evaluation, I conclude that the defendants here should be held immune from a suit for damages.
Many of the important factors bearing on this case are set forth rather fully in the majority opinion. In my view, the most determinative ones, in capsule form, are: (1) the defendants were Army physicians on active duty, and as such were required to perform the operation upon Martinez; (2) the plaintiffs have an alternative remedy
Were one or more of the relevant factors missing — for example, if no alternative remedy existed — the balance could well be different. But an approach that regards Bailey as the controlling precedent and thus supplies absolute immunity in all military situations, or which provides for no immunity in any situation involving army physicians, would not permit the flexibility that would allow us to reweigh the totality of the considerations presented by cases that may arise in the future.
. 375 F.2d 72 (3d Cir.), cert. denied, 389 U.S. 923, 88 S.Ct. 247, 19 L.Ed.2d 274 (1967).
. 340 U.S. 135, 71 S.Ct. 153, 95 L.Ed. 152 (1950).
. Id. at 146, 71 S.Ct. at 159.
. Id.
. 348 U.S. 110, 75 S.Ct. 141, 99 L.Ed. 139 (1954).
. Id. at 112, 75 S.Ct. at 143.
. Id. 348 U.S. at 113, 75 S.Ct. at 144.
. Id.
. Note, Damages for Federal Employment Discrimination, 85 Yale L.J. 518, 527 (1976).
. Barr v. Matteo, 360 U.S. 564, 575, 79 S.Ct. 1335, 1341, 3 L.Ed.2d 1434 (1959) (Harlan, J., announcing the judgment of the Court). Barr was the leading case at the time Bailey was decided.
. McCormack, Federalism and Section 1983, 60 Va.L.Rev. 1, 10 (1974).
. 386 U.S. 547, 87 S.Ct. 1213, 18 L.Ed.2d 288 (1967).
. See, e. g., Wood v. Strickland, 420 U.S. 308, 95 S.Ct. 992, 43 L.Ed.2d 214 (1975); Scheuer v. Rhodes, 416 U.S. 232, 94 S.Ct. 1683, 40 L.Ed.2d 90 (1974). Cf. Imbler v. Pachtman, 424 U.S. 409, 96 S.Ct. 984, 47 L.Ed.2d 128, 44 U.S.L.W. 4250 (1976).
. 416 U.S. 232, 247, 94 S.Ct. 1683, 40 L.Ed.2d 90 (1974) (emphasis added). In the words of the Fifth Circuit, “[ajbsolute immunity . is a juridical relic, expressly rejected by the Supreme Court in both Wood and Scheuer.” Jones v. Diamond, 519 F.2d 1090, 1101 (5th Cir. 1975).
It is suggested in Chief Judge Seitz’s dissenting opinion that considerations relevant to suits such as Scheuer and Wood, brought under 42 U.S.C. § 1983, are not applicable to suits such as this, brought against federal officials. It would appear, however, that this Court has expressed a contrary view. Fidtler v. Rundle, 497 F.2d 794, 801 (3d Cir. 1974); Bethea v. Reid, 445 F.2d 1163, 1166 (3d Cir. 1971), cert. denied, 404 U.S. 1061, 92 S.Ct. 747, 30 L.Ed.2d 749 (1972).
. Doe v. McMillan, 412 U.S. 306, 320, 93 S.Ct. 2018, 2028, 36 L.Ed.2d 912 (1973). See Paton v. LaPrade, 524 F.2d 862, 872 (3d Cir. 1975); Note, The Supreme Court, 1974 Term, 89 Harv.L.Rev. 47, 220 (1975).
In Henderson v. Bluemink, 167 U.S.App.D.C. 161, 511 F.2d 399 (1974), the District of Columbia Circuit recognized a distinction between governmental discretion and medical discretion, and declined to immunize the defendant physician at all.
. 412 U.S. 306, 93 S.Ct. 2018, 36 L.Ed.2d 912 (1973).
. Id. at 319, 93 S.Ct. at 2028 (quoting Barr v. Matteo, 360 U.S. 564, 571, 79 S.Ct. 1335, 3 L.Ed.2d 1434 (1959)).
. Id. (quoting Barr v. Matteo, supra at 565, 79 S.Ct. at 1336).
. 38 U.S.C. § 4116 (Supp. IV, 1974).
. 42 U.S.C. § 233 (1970).
. Congress immunized VA doctors in 1965, Act of Oct. 31, 1965, Pub.L. No. 89-311, § 6(a), 79 Stat. 1156, but did not act to immunize PHS doctors until three years after this Court’s Bailey decision, Act of Dec. 31, 1970, Pub.L. No. 91-623, § 4, 84 Stat. 1870. Did Congress assume that army physicians had already been immunized by judicial decision when it addressed the immunity of VA doctors? of PHS doctors? Or did Congress intend specifically to exclude army doctors from protective cloak of immunity? There is no evidence whatsoever to indicate the latter.
. Doe v. McMillan, supra 412 U.S. at 318, 93 S.Ct. at 2028 (quoting Barr v. Matteo, supra 360 U.S. at 569, 79 S.Ct. 1335).
. Id. at 323, 93 S.Ct. 2018.
. Contrary to the suggestion in Chief Judge Seitz’s dissent, these factors would be present each time a retired military person seeks medical care from an army physician; they are not unique to this particular case.
Dissenting Opinion
(dissenting).
It was long ago said that hard cases make bad law. I think that aphorism is particularly applicable to the result reached by the majority here. Reduced to its essence the majority holds that for purposes of the immunity doctrine a claim by a retired serviceman against military personnel is to be equated with the claim of an individual in active service against military personnel. In this way, the majority attempts to avoid the applicability of Barr v. Matteo, 360 U.S. 564, 79 S.Ct. 1335, 3 L.Ed.2d 1434 (1959). Instead they rely on Feres v. United States, 340 U.S. 135, 71 S.Ct. 153, 95 L.Ed. 152 (1950) which, as the concurring opinion notes, is not applicable to a claim of a retired serviceman arising after his retirement. Compare United States v. Brown, 348 U.S. 110, 75 S.Ct. 141, 99 L.Ed. 139 (1954).
No amount of legal legerdemain can obscure the fact that this is a state law claim by a civilian against military personnel. As the Supreme Court held in Howard v. Lyons, 360 U.S. 593, 79 S.Ct. 1331, 3 L.Ed. 1454 (1959), the immunity claim in such cases is a matter of federal law to be formulated by the courts in the absence of Congressional action. In addition, Howard teaches that the controlling federal principles governing the existence and scope of such immunity, in the absence of Congressional action, are to be found in Barr v. Matteo, supra.
In granting summary judgment in favor of defendants, the district court relied on the doctrine of official immunity enunciated in Barr v. Matteo, supra, and adopted by this Court in Keiser v. Hartman, 339 F.2d 597 (3d Cir. 1964). The majority, as noted, rejects this approach, and, in my view, commits error.
Barr was a libel action against the Acting Director of the Office of Rent Stabilization. There the Supreme Court extended the doctrine of absolute immunity, previously provided as a shield to a cabinet-level official in Spalding v. Vilas, 161 U.S. 483, 16 S.Ct. 631, 40 L.Ed. 780 (1896), to one whose position, although somewhat less exalted, involved the operation of a federal agency. The test which emerges from Barr is twofold. For absolute immunity to apply the government officer must (1) be a “policy-making executive official” and (2) be acting “within the outer perimeter of [his] line of duty.”
I am convinced that the defendant-doctors are not officials entitled to absolute immunity under Barr or subsequent cases.
Lesser officials are entitled only to a qualified immunity, the scope of which is related to the nature and extent of their governmental duties, see Doe v. McMillan, 412 U.S. 306, 319-20, 93 S.Ct. 2018, 36 L.Ed.2d 912 (1972).
In this case the acts complained of clearly were not related to the formulation of policy nor to broad decision making with an impact on a wide number of people. Although defendants’ acts were discretionary in nature, it is clear that they were imbued, in the words of the court in Henderson v. Bluemink, 167 U.S.App.D.C. 161, 511 F.2d 399 (1974), with medical and not governmental discretion. I therefore believe that defendants’ acts were not governmental in nature and that defendants are not shielded from any liability which may arise out of the performance of those acts under the doctrine of qualified immunity.
The most casual examination of the policy factors relied on in the majority and concurring opinions shows that they are not relevant under controlling principles. Rather than focusing upon the scope of the defendants’ authority and the nature of their discretionary duties, both the majority and the concurrence seem to rely instead on irrelevant factors reflecting the “equities” of the case. Certainly, the fact that the defendants were required to perform this operation, that they lacked malpractice insurance, and that plaintiff may have an alternate remedy does not further the inquiry into whether defendants are deserving of the qualified immunity reserved to lower public officials. Although these considerations may ultimately sway Congress to pass the bill presently before it, it is not for this court to “force” a result which Congress, though afforded the opportunity, has not yet seen fit to enact into law.
I would reverse the judgment of the district court and remand for further proceedings.
. It may be noted that medical personnel in the Veterans’ Administration are immune from malpractice suits under 38 U.S.C. § 4116 (Supp. 1973). Similar legislation now pending in Congress would apply to military medical personnel. However, up until this date Congress has not seen fit to adopt this legislation.
. I need not consider the Supreme Court’s recent pronouncements concerning the extent of immunity available to certain public officials in actions under 42 U.S.C. § 1983 (1970), since they were based on considerations not applicable in a case which does not fall under that statute. See Wood v. Strickland, 420 U.S. 308, 95 S.Ct. 992, 43 L.Ed.2d 214 (1975); Scheuer v. Rhodes, 416 U.S. 232, 94 S.Ct. 1683, 40 L.Ed.2d 90 (1974).
. N.J.S.A. 2A: 15-3 (survival claim); N.J.S.A. 2A:31-1 (wrongful death claim).
. See, e. g., Howard v. Lyons, 360 U.S. 593, 79 S.Ct. 1331, 3 L.Ed. 1454 (1959).
Dissenting Opinion
(dissenting).
I join in Chief Judge Seitz’s dissenting opinion, but I believe that one consideration requires clarification and emphasis.
In this case we have a state law which provides a rule of decision in the absence of a federal immunity which would supplant it.
In Doe v. McMillan, 412 U.S. 306, 93 S.Ct. 2018, 36 L.Ed.2d 912 (1972), the Supreme Court, confronted with a virtually identical choice, declined, in the absence of Congressional action, to supplant a cause of action under local law by absolutely immunizing the Public Printer and the Superintendent of Documents. Indeed, Doe v. McMillan is an a fortiori case since the Speech or Debate Clause of the United States Constitution
Instead of deferring to future Congressional judgment on the creation of absolute immunity in this kind of suit, the majority has chosen to weigh the competing policy considerations and to make an essentially legislative judgment. It has done so, however, without the benefit of the interplay of the various competing interests which, by design, appropriately occurs within the legislative arena. Indeed, I strongly suspect that not all of the relevant factors have even been identified, since the record before us does not even disclose, for example, the extent to which army surgeons are paid proficiency or incentive allowances over and above the military pay authorized for their rank.
. I agree with Judge Adams’ analysis that Bailey v. DeQuevedo, 375 F.2d 72 (3d Cir.), cert. denied, 389 U.S. 923, 88 S.Ct. 247, 19 L.Ed.2d 274 (1967), is certainly not dispositive of the specific immunity issue presented in this case. Instead, like Chief Judge Seitz, I believe that the claimed immunity should not be recognized for the reasons advanced by Judge Bastian in Henderson v. Bluemink, 167 U.S.App.D.C. 161, 511 F.2d 399 (1974).
. 38 U.S.C. § 4116 (Supp. Ill 1973).
. 42 U.S.C. § 233.
. See H.R.3954, 94th Cong., 1st Sess. (1975), which has already been approved by the House of Representatives.
. Art. I, § 6, cl. 1.
. See 37 U.S.C.A. § 313 (Supp. 1976).
Reference
- Full Case Name
- Raphaela MARTINEZ, Administratrix ad Prosequendum and General Administratrix of the Estate of Miquel Martinez, Jr. v. Lawrence SCHROCK, M.D., and Ankia Chandrasekaran, M.D.
- Cited By
- 19 cases
- Status
- Published