IN THE UNITED
STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF OKLAHOMA DAWANNA
ROBERTSON, et al. PLAINTIFFS,
J. MICHAEL MCGEE, M.D., F.A.C.S., et. al. DEFENDANTS
PLAINTIFFS' OPPOSITION TO DEFENDANTS' MOTIONS TO DISMISS
I. INTRODUCTION
Plaintiffs
bring this action against defendants as a result of a human clinical
trial that everyone agrees went awry. Virtually every aspect of this
trial was contrary to the rules and standards governing such human
experiments. Plaintiffs are patients in the study, as well as their
spouses, children and loved ones. Defendants have each filed motions
to dismiss the pleadings, essentially arguing that plaintiffs have
no federal or state causes of action to remedy the harm they have
suffered. These motions should be denied. Plaintiffs submit this memorandum
of law in opposition.
II.
STATEMENT OF FACTS
On
December 30, 1996, defendant J. Michael McGee, M.D., F.A.C.S., an
Assistant Professor of Medicine, Division of
Surgery, at the University of Oklahoma Health Sciences Center-Tulsa
("OUHSC-T") submitted to the Food and Drug
Administration ("FDA") an Investigational New Drug application ("IND")
proposing to conduct a human clinical trial at
OUHSC-T; the drug originally named "Melanoma Vaccine" was renamed
"Allogenic Melanoma Cell Line (IIB-MEL-J)
, University of Oklahoma Vaccine" ("the Vaccine"). A copy of the IND
is attached as Exhibit "A." At its outset, this human
clinical trial was beset with errors. The IND was deficient and misleading;
among other things, it referenced preclinical
animal studies for a vaccine other than the one which was the subject
of the IND and failed to state that no preclinical
animal studies supported the injection of the Vaccine into humans.
At or about this same time, Dr. McGee submitted to the
Tulsa Institutional Review Board a protocol ("the Protocol") proposing
to conduct a human clinical trial of the Vaccine ("the
Trial") at OUHSC-T involving no more than 15 subjects. The Tulsa IRB
approved the protocol on January 8, 1997, and
permitted Dr. McGee to begin enrolling patients shortly thereafter
and well before the FDA approved the IND on March 11,
1997. A copy of the Protocol is attached as Exhibit "B." An IRB is
an institutional review board of at least five members
which is charged with knowing institutional commitments and regulations,
applicable law, and standards of professional
conduct and practice. An IRB, which is mandated by federal law at
institutions such as OUHSC-T, has the responsibility
pursuant to federal regulations to review and approve all aspects
of a human clinical trial including the design of the
protocol, the qualifications of the investigator, the informed consent
document, the selection process of participants, the
balance of risks and benefits, and the conduct of the trial. All of
these functions have but one purpose: to protect the
subjects in every human experiment conducted at the institution. Included
among the Tulsa IRB was defendant Dr. Donovan
who, as the Chief Bioethicist at OUHSC-T, assumed the responsibility
of ensuring that this and other clinical trials at
OUHSC-T comported with generally accepted ethical standards. Plaintiffs
allege, and various auditors and regulators have
found, that the IRB Defendants failed in these responsibilities in
not critically examining the design of the protocol and the
qualifications of Dr. McGee, in failing to review the operation of
the Trial, proposed amendments to the informed consent
forms provided to patients, the amendments to the protocol, and the
advertisements for the Trial, and in failing to ensure
proper reporting. The stated purpose of the Protocol was to conduct
a controlled clinical trial in a regulated environment to
determine the toxicity of the Vaccine. Thereafter, Dr. McGee revised
the Protocol for a phase I/II study to determine
safety/efficacy of the Vaccine on 25 patients. Over the course of
the Trial, certain other entities joined with Dr. McGee as
cosponsors. These entities, defendants St. John Medical Center, Immunex
Corporation, and the Hoag Cancer Center, are
named in the Amended Complaint as the Sponsor Defendants. Throughout
the course of the Trial, with the approval and
knowledge of the Tulsa IRB, and the Sponsor Defendants, Dr. McGee
instead considered it "his goal" to treat patients with
a product he considered to be a cure for cancer. That "goal" was in
complete disregard of the applicable federal rules and
regulations, the Protocol approved by the FDA and the Tulsa IRB, and
ethical standards governing the conduct of human
clinical trials. Upon obtaining approval to begin the Trial, Dr. McGee
sought to obtain patients with varying degrees of
melanoma. To that end, Dr. McGee and defendant St. John Medical Center
began advertising the Trial, including buying
time for a commercial designed to look like a newscast in which the
Vaccine was represented to be a cure for cancer.
Ultimately, more than 90 patients were admitted to the Trial, more
than the number in the FDA approved Protocol. The
Vaccine was a biological agent prepared by Dr. McGee and his staff
using human cancer cells. At a later point, defendant
Hoag Cancer Center participated in the process of manufacturing the
Vaccine. For a variety of reasons as set forth in the
Amended Complaint, the Vaccine failed to meet the standards for the
production of such drugs. Essentially, the Vaccine
was neither manufactured, maintained, nor tested properly. On or about
February 5, 1999, defendant Immunex Corporation
agreed to cosponsor the Trial and to provide a biochemical drug to
be used in the Trial in combination with the Vaccine
known as sargramostim, a recombinant human granulocyte macrophage-colony
stimulating factor ("GM-CSF"), which
causes certain cells to multiply. In exchange, Immunex received a
right of first negotiation to obtain a worldwide license to
any patentable drug or protocol arising out of the Trial. Immunex
represented that the GM-CSF it was providing would be in
"appropriately marked containers. . . . [and] that no dosage form
being part of any shipment by Immunex to the Investigator
. . . shall be adulterated or misbranded." It agreed that it would
provide GM-CFS to the Trial only if Dr. McGee and others
associated with administering the Vaccine would adhere to certain
requirements, including submission to Immunex any
amendments of the Protocol, that the Trial be conducted in accordance
with the Protocol and the applicable requirements of
21 C.F.R., and that the Investigator obtain the informed consent of
each subject/patient participating in the Trial. A copy of
the Agreement with Immunex is attached as Exhibit "C." All patients
selected to participate in the Trial were provided a form
titled "Individual's Consent to Voluntary Participation in a Research
Project" ("consent form"). Copies of the consent forms
are attached as Exhibit "D." Plaintiff Participants each were given
the consent form and other documents, which purportedly
were to provide certain information necessary to make an informed
decision as to whether they were going to take part in,
and were appropriate candidates for, the Trial. These consent forms,
other documents, and discussions were materially
misleading and deceptive, as set forth in the Amended Complaint. Problems
with the forms included:
a. The consent form falsely implied that the FDA approved the Trial
of the Vaccine and GM-CSF and their experimental use when the Trial
that was actually implemented was different than the proposed Trial
submitted for approval to the FDA.
a. The consent form falsely stated that "[t]he medical and scientific
basis for the use of such a vaccine comes from studies in both animals
and humans showing that, from these cells, factors are obtained that
appear to assist the body to reject cancer." In actuality, no proper
studies were conducted on either animals or humans.
a. The consent form falsely stated that risks subjects could expect
included only local skin reddening; itching, swelling, and pain; and
occasional temporary fever. In addition, the consent form provided
that "fever, weakness, headache, bone and muscle pain, and chills
have occurred with GM-CSF and can be prevented or reduced with Tylenol
or Advil. Additional side effects may include swelling in the feet
and hands due to water retention, difficulty breathing and rash."
In fact, Plaintiff Participants suffered through much more dangerous
and painful side effects.
a. The consent form stated that "records of the Trial would be kept
confidential and that the subject would not be identifiable by name
or description in any reports or publications. In actuality, the records
of the Trial were not kept confidential and the subjects were identified
by name in reports.
a. Dr. McGee, the principal investigator, failed to adequately discuss
the consent form with the plaintiffs, failed to advise them of the
true nature of the Trial, and instead advised them that he had the
cure for their cancer.
a. Certain versions of the consent form indicated that pregnant women
were prohibited from participating in the Trial and that participants
in the Trial should not become pregnant or impregnate women while
in the Trial, while other drafts of the consent form did not contain
this provision.
As
a result of these and other deficiencies and misrepresentations, Plaintiff
Participants were led to believe the risks of the
Trial were minimal and the potential benefits of their participation
for themselves and the future treatment of melanoma were
enormous. The effects of such misrepresentations and non-disclosures
were that Plaintiff Participants agreed to participate
and continue in the Trial. The conduct of the Trial was in violation
of federal regulations. These included faulty or nonexistent
quality control and assurance procedures with respect to the manufacture,
storage and shipping of the Vaccine, inadequate
patient examinations before and after injections, serious inattention
to the reporting of adverse events related to the use of
the Vaccine, over enrollment of subjects in the Trial, and the admission
of subjects in the Trial who were not eligible under
the Protocol because of the severity of their illness or pregnancy.
Defendants McGee, Plunket, Wortham, Brooks,
Broughan and Donovan were continually advised of the unlawful and
unsafe practices in the Trial and the need to report the
errant practices to the federal regulators; yet no action was taken.
In response, Dr. McGee told Nurse Cherlynn Mathias
that God guided him on a path to cure cancer and that his only concern
was to give the Vaccine as a treatment for
melanoma patients. As a result of Nurse Mathias' objections to the
Trial, in January 2000, OUHSC-T retained a firm to
conduct a one-day audit after which, if hired, it would conduct a
full audit. At the conclusion of this initial review, the auditor
advised Dr. Broughan, Dr. Wortham, Dr. Plunket, and Dr. McGee that
serious violations of the law had occurred, that
serious risks to patient safety existed, and that the FDA should be
notified of the infractions. Dr. McGee then telephoned
safety officer Karen Jones of the FDA, but instead of advising Ms.
Jones of the safety violations in the Trial, Dr. McGee
represented that any lack of compliance was due to faulty paperwork.
A full audit occurred by a different firm in or about the
first week in March 2000. These auditors also found serious safety
and other violations and recommended that the Trial
immediately terminate. Defendants thereafter decided that these findings
would be distributed only on "a need to know
basis," meaning not to the FDA or the patients. By letter dated April
10, 2000, Dr. McGee, with the knowledge and approval
of others at OUHSC-T, represented to the patients that the Trial was
closing due to an inadequate supply of the Vaccine;
this was false and a deliberate misrepresentation. A copy of one of
these letters is attached as Exhibit "E." Neither the
patients nor the FDA was advised of the safety violations. After a
rebuke by the regulators, OUHSC-T later sent a follow-up
letter to some of the subjects admitting that the first letter was
false and that the Trial was closed for safety reasons. A
copy of one of these letters is attached as Exhibit "F.' Due to the
failure of OUHSC-T to inform the patients and the FDA of
the serious safety infractions, Nurse Mathias contacted the Division
of Human Subject Projections, Office of Protection from
Research Risks, National Institute of Health (known since June 18,
2000 as the Office of Human Research Protections in
the Office of the Secretary or "OHRP"). After receipt of a June 12,
2000, letter from Dr. Michael Carome of the OHRP,
OUHSC-T ordered another audit. By letter dated June 29, 2000, the
OHRP advised OUHSC-T that it had found serious
violations with respect to the Trial and to the Tulsa IRB's review
and supervision of the Trial. A copy of this letter is attached
as Exhibit "G." On June 30, 2000, OUHSC-T provided a report of the
latest audit. The audit was highly critical of essentially
all aspects of the Trial. For example, the audit found serious defects
with the manufacturing, testing and distribution of the
Vaccine. It also found that patients were treated in remote sites
without local IRB review and approval of the Protocol. The
audit also found there was "an intent to deceive at the very time
that full disclosure is most needed." A copy of the audit
report is attached as Exhibit "H." In or about July 2000, Dr. Wortham
was removed from his position as Director of the Tulsa
Office of Research, Dr. Plunket was removed from his position as Chair
of the Tulsa IRB, and Dr. McGee was removed as
Assistant Chair of Surgery and Research Professor and relieved of
all administrative functions. By letter dated July 20,
2000, the University of Oklahoma terminated Dr. Brooks, Dean of the
College of Medicine-Tulsa, citing "professional
incompetence or dishonesty [and] substantial, manifest, or repeated
failure to fulfill professional duties and responsibilities
or to adhere to University policies" due to "knowledge of multiple
serious problems" with the Trial. A copy of this letter is
attached as Exhibit "I." From July 17 through August 4, 2000, the
Department of Health and Human Services, Public Health
Service of the FDA audited the Trial. On August 4, 2000, the FDA,
through investigators Joel Martinez and David M. Beltran,
issued a four-page report detailing its findings of numerous infractions
and safety violations, including inclusion of patients
which did not meet the Protocol criteria and failure to perform all
Protocol procedures as required. The report also concluded
that OUHSC-T, as the sponsor of the Trial, committed various substantive
infractions. With respect to the Tulsa IRB, the
report concluded it had abrogated its responsibilities, including
failing to assure proper protection of human subjects.
Additional infractions included, but were not limited to, deviating
from the Protocol, missing documentation, shipping of
drugs to people's homes, allowing subjects to self-inject themselves,
missing data in the case report forms, failing to report
adverse events, enrolling ineligible patients, and allowing patients
to receive other treatments while enrolled in the Trial. A
copy of the HHS report is attached as Exhibit "J." On the eve of filing
this response to the Defendants' Motions To Dismiss,
Plaintiffs learned that on June 21, 2001, the Department of Health
and Human Services, Public Health Service of the FDA
sent to Dr. McGee a Notice of Initiation of Disqualification Proceeding
and Opportunity to Explain letter, outlining in twelve
(12) pages only some of the deficiencies with his clinical studies,
and the misleading manner with which Dr. McGee is
responding to these allegations. The FDA, through this process, "...asserts
that [Dr. McGee] repeatedly or deliberately
failed to comply with the...regulations, and it proposes that [Dr.
McGee] be disqualified as a clinical investigator." See
Exhibit "Y" attached hereto. These infractions and safety violations
render the Trial void of any research, scientific or
medical value. As a result of this misconduct, and the harm it has
caused, plaintiffs brought this lawsuit alleging
Constitutional, federal statutory, and state law causes of actions.
Defendants McGee, Immunex, Broughan, Boren, St. John
Medical Center, The Hoag and the IRB defendants have each filed motions
to dismiss the pleadings alleging plaintiffs have
failed to state claims upon which relief may be granted. As set forth
below, these motions should be denied.
III.
LEGAL ARGUMENT
A.
STANDARD OF REVIEW
Defendants
move to dismiss the Amended Complaint pursuant to Federal Rule of
Civil Procedure 12(b)(1) and (6) which provides: Every defense, in
law or fact, to a claim for relief in any pleading, whether a claim,
counterclaim, cross-claim, or third-party claim, shall be asserted
in the responsive pleading thereto if one is required, except that
the following defenses may at the option of the pleader be made by
motion: (1) lack of jurisdiction over the subject matter…(6) failure
to state a claim upon which relief can be granted….
If
the complaint that is the subject of a Rule 12(b)(1) motion relies
"directly upon a federal statute, so that the question of
the court's jurisdiction is intertwined with the merits of the case,
the general rule is that a federal court possesses
jurisdiction and should decide the case on its merits." Bloomer v.
Norman Regional Hospital, 221 F.3d 1351, 2000 WL
963336, *2 (10th Cir. July 12, 2000). The only exceptions to this
rule are if the federal claim is immaterial and asserted only
to obtain jurisdiction or if the claim is "insubstantial and frivolous."
Id. If the exceptions do not apply, and they are not
alleged to apply in this matter, the motion is converted into a Rule
12(b)(6) or, if appropriate, a motion for summary
judgment under Rule 56. Id. In other words, the issue is not whether
there is jurisdiction over the subject matter of the
claims but whether plaintiffs failed to state a claim upon which relief
can be granted. In reviewing a Rule 12(b)(6) motion, a
court accepts the allegations in the complaint as true and views them
in the light most favorable to the nonmoving party. A
court, thus, does not weigh potential evidence. Aguilera v. Kirkpatrick,
241 F.3d 1286, 1292 (10th Cir. 2001). To that end, a
motion predicated on Rule 12(b)(6) shall not be granted "unless it
appears beyond doubt that the plaintiff can prove no set of
facts in support of his claim which would entitle him to relief."
GFF Corp. v. Assoc. Wholesale Grocers, Inc., 130 F.3d
1381, 1384 (10th Cir. 1997). The Statement of Facts is a synopsis
of the Amended Complaint. Accordingly, for the purpose
of this motion, all of the facts set forth above must be accepted
as true.
B.
THE RIGHT TO BE TREATED WITH DIGNITY IN THE CONTEXT OF MEDICAL EXPERIMENTATION
IS GUARANTEED BY THE FOURTEENTH AMENDMENT TO THE UNITED STATES CONSTITUTION.
Defendants argue that this Federal Court is no place for this litigation
because no federal or Constitutional issues are at
stake. History and an emerging body of law argue otherwise. What is
at stake in this litigation is whether individuals have
a Constitutional right to human dignity so as not to be the subjects
of an unethical human experiment. Such a right, set
forth in the Nuremberg Code and in the federal regulations known as
the Common Rule, is a fundamental right of all
citizens of the world and, thus, must be a right of the citizens of
the United States, a Constitutional right.
The Fourteenth
Amendment provides that no State shall "deprive any person of life,
liberty, or property, without due
process of law." This clause "guarantees more than fair process, and
the 'liberty' it protects includes more than the
absence of physical restraint." Washington v. Glucksberg, 521 U.S.
702, 719 (1997). Rights are protected under the Due
Process Clause of the Fourteenth Amendment if they are "so rooted
in the tradition and conscience of our people as to
be ranked as fundamental" or if such rights reflect "basic values
implicit in the concept of ordered liberty" such that
"neither liberty nor justice would exist if they were sacrificed."
See Moore v. City of East Cleveland Ohio, 431 U.S. 494,
503 (1977) ; Griswold v. Connecticut, 381 U.S. 479, 500 (1965); Palko
v. Connecticut, 302 U.S. 319, 325 (1937); Snyder
v. Massachusetts, 291 U.S. 97, 105 (1934); . The right to bodily integrity
has long been recognized as a fundamental right
protected by the Constitution. See Albright v. Oliver, 510 U.S. 266
(1994) (due process accorded to matters involving
marriage, family, procreation and the right to bodily integrity);
Planned Parenthood of Southeastern Pennsylvania v.
Casey, 505 U.S. 833 (1992), (Constitutional liberty interest includes
right to bodily integrity, a right to control one's
person); Schmerber v. California, 384 U.S. 757 (1966) (integrity of
an individual's person is cherished value of our society);
Union Pacific R. Co. v. Botsford, 141 U.S. 250 (1891) (no right held
more sacred or more carefully guarded than right of
every individual to be in possession and control of his own person,
free from restraint or interference of others). Courts
have particularly recognized such Constitutional autonomy rights in
the medical context. See, e.g., Cruzan v. Director,
Missouri Department of Health, 497 U.S. 261 (1990) (Constitution grants
competent person right to refuse lifesaving
hydration and nutrition); Roe v Wade, 410 U.S. 113 (1973) (women have
Constitutional right to control decision on
whether to obtain an abortion); Griswold v. Connecticut, 381 U.S.
479 (1965) (restriction on citizens from receiving
contraceptives from their physician an unconstitutional intrusion);
Rochin v. California, 342 U.S. 165 (1952) (forcible
stomach pumping of accused violates due process and is conduct which
"shocks the conscience"); Skinner v. State of
Oklahoma, 316 U.S. 535 (1942) (sterilization performed without consent
deprives individual of basic liberty). As Justice
Cardoza stated in Schloendorff v. The Society of New York Hospital,
211 N..Y. 125, 105 N.E. 92, 93 (1914), a case
against a surgeon for performing an operation without consent: "Every
human being of adult years and sound mind has a
right to determine what shall be done with his own body." Id., 211
N.Y. at 129-130. While this Court could easily find that
the right at issue here is within the right to bodily integrity, the
right to be free from unethical human experimentation,
sometimes called the right to human dignity, should be considered
a distinct fundamental right of all human beings not
just citizens of the United States. To best understand the nature
of this right, it is important to understand both the
historical context in which the Nuremberg Code arose and the post-Nuremberg
controversies involving human subject
protection. That understanding is necessary because an examination
of "our Nation's history, legal traditions and
practices" is critical in determining the scope of the right to liberty
under the Due Process Clause. Washington v.
Glucksberg, 521 U.S. 702 (1997); Collins v. Harker Heights, 503 U.S.
115, 125 (1992); Cruzan, supra, at 269-70; Moore,
supra, at 503. After the Nazi holocaust, a series of twelve unprecedented
war crimes trials took place at the Palace of
Justice in Nuremberg, Germany. In the first trial, later the subject
of numerous books and movies, the allies designated
four judges from the United States, Great Britain, the Soviet Union,
and France to sit and render judgement under
international law on the leaders of the Third Reich. Thereafter, the
United States proceeded with the other prosecutions
including with what became known as the "Doctors Trial," whose verdict
included what is now known as the "Nuremberg
Code." See Jay Katz, "The Nuremberg Code and the Nuremberg Trial,"
JAMA 1996; 276:1662-1666, a copy of which is
attached as Exhibit "K." The Doctors Trial, captioned United States
v. Karl Brandt et al., was conducted by three United
States judges, one of whom was Johnson Crawford who at the time was
a United States District Court Judge for the
District of Oklahoma. The trial began on December 9, 1946, under the
authority of the United States Military pursuant to
United States rules of procedure with United States lawyers as prosecutors.
Karl Brandt, Hitler's personal physician, and
twenty-two other medical doctors were charged with war crimes, membership
in criminal organizations, and crimes
against humanity. See "From the Indictment," United States Holocaust
Memorial Museum archives, reprinted at
www.ushmm.org/research/doctors/persons.htm, a copy of which is attached
as Exhibit "L." The first two charges
concerned acts intended to aid the Third Reich's military aims; the
third charged the physicians with acts undertaken
under the guise of human experimentation either in the reckless pursuit
of scientific knowledge or for sadistic torture. The
experiments included studies on the tolerance of human beings to adverse
conditions such as high altitudes, freezing
temperatures and ingestion of sea water, tests involving the inoculation
of prisoners with infectious diseases, pathogens
and new vaccines, and gruesome physiological studies involving mutilations
and transplants. See "The Brutalities of Nazi
Physicians," JAMA, 1946; 132: 714-715, Editorial, a copy of which
is attached as Exhibit "M." Telford Taylor's opening
statement for the prosecution underscores the point that the wrongs
at issue in the Doctors Trial were breaches of the
fundamental rights of all human beings under American jurisprudential
principles. Mr. Taylor stated:
The charges against these defendants are brought in the name of
the United States of America. They are being tried by a court of American
judges. The responsibilities thus imposed upon the representatives
of the United States, prosecutors, and judges alike, are grave and
unusual. . . The mere punishment of the defendants, or even of thousands
of others equally guilty, can never redress the terrible injuries
which the Nazis visited on these unfortunate people. For them it is
far more important that these incredible events be established by
clear and public proof so that no one can ever doubt that they were
fact and not fable; and that this Court as the agent of the United
States and as the voice of humanity, stamp these acts, and the ideas
which engendered them, as barbarous and criminal.
Trials
of War Criminals Before the Nuremberg Military Tribunals Under Control
Council Law, Vol. I, No. 10, (Washington
D.C.: G.P.O. 1946-1949), reprinted at www.ushmm.org/research/doctors/telford.htm,
a copy of which is attached as
Exhibit "N." A principal defense, as articulated by Dr. Brandt's counsel,
the eminent jurist Robert Servatius of Cologne,
was that the scientific and medical community at large and particularly
in the United States had long been conducting
human experiments on prisoners, vulnerable populations and uninformed
subjects. Sadly, this charge was quite accurate,
though certainly never to the extreme as practiced by the Nazis. After
139 court sessions, 62 witnesses, and 901 written
exhibits, Chief Judge Walter B. Beals, who was the Chief Justice of
the Supreme Court of the State of Washington,
announced the verdict of the court. Sixteen of the defendants were
convicted of war crimes against humanity and seven
were condemned to death. Though nothing else was required, the court
did far more, perhaps because of the troubling
defense testimony with respect to unethical scientific and medical
experiments occurring outside of the Third Reich. The
court held:
The
great weight of the evidence before us is to the effect that certain
types of medical experiments on human beings, when kept within reasonably
well defined bounds, conform to the ethics of the medical profession
generally. The protagonists of the practice of human experimentation
justify their views on the basis that such experiments yield results
for the good of society that are unprocurable by other means of study.
All agree, however, that certain basic principals must be observed
in order to satisfy moral and legal concepts:
1. The voluntary consent of the human subject is absolutely
essential. This means that the person involved should have legal capacity
to give consent; should be so situated as to be able to exercise free
power of choice, without the interventions of any elements of force,
fraud, deceit, duress, over reaching, or other ulterior form of constraint
or coercion; and should have sufficient knowledge and comprehension
of the elements of the subject matter involved as to enable him to
make an understanding and enlightened decision. This latter element
requires that before the acceptance of an affirmative decision by
the experimental subject, there should be made known to him the nature,
duration, and purpose of the experiment; the method and means by which
it is to be conducted; all inconveniences and hazards reasonably to
be expected; and the effects upon his health or person which may possibly
come from his participation in the experiment. The duty and responsibility
for ascertaining the quality of the consent rests upon each individual
who initiates, directs, or engages in the experiment. It is personal
duty and responsibility which may not be delegated to another with
impunity.
2. The experiment should be such as to yield fruitful results
for the good of society, unprocurable by other methods or means of
study and not random and unnecessary in nature.
3. The experiment should be so designed and based on the results
of animal experimentation . . .
4. The experiment should be conducted so as to avoid all unnecessary
physical and mental suffering and injury.
5. No experiment should be conducted where there is a priori
reason to believe that death or disabling injury will occur. . .
6. The degree of risk to be taken should never exceed that
determined by the humanitarian importance of the problem to be solved
by the experiments.
7. Proper preparations should be made and adequate facilities
provided to protect the experimental subject against even remote possibilities
of injury, disability, or death.
8. The experiment should be conducted only by scientifically
qualified persons . . .
9. During the course of the experiment the human subject should
be at liberty to bring the experiment to an end . . .
10. During the course of the experiment the scientist in charge
must be prepared to terminate the experiment at any stage, if he has
probable cause to believe, in the exercise of the good faith, superior
skill and careful judgment required of him that a continuation of
the experiment is likely to result in injury, disability, or death
to the experimental subject.
Id., reprinted at www.ushmm.org/research/doctors/nuremberg_code.htm,
a copy of which is attached as Exhibit "O."
These ten points constitute what is now known as the Nuremberg Code.
They were not promulgated as new legislation to
be applied retroactively to the defendants then in the dock. They
were an articulation of what these United States judges
believed "all agree" were the fundamental rights of every human being.
See Affidavit prepared for this case of Michael
Grodin, M.D., a leading authority on the Nuremberg Code. A copy of
his Affidavit and C.V. is attached as Exhibit "P." The
Code set forth two equally important requirements of ethical human
experimentation, both of which are at issue in this
case. The first is the requirement of voluntary consent of the subjects
after being informed of all material information about
the experiment. The second, often overlooked but no less significant,
is that such experiments must comport to certain
ethical and scientific standards even if subjects have given their
informed consent to participate. The Code did not just
look backward at the events that gave rise to the Doctors Trial but
looked forward to postwar research on human beings.
As stated by Dr. Leo Alexander, one of the prosecution's key expert
witnesses and the man many credit as the author of
the Code:
.
. . it is a useful measure by which to prevent in less blatant settings
the consequences of more subtle degrees of contempt for the rights
and dignity of certain classes of human beings, such as mental defectives,
people presumably dying from incurable illnesses, and other people
disenfranchised, such as prisoners or other inarticulate public charges
whose rights might be easily disregarded for the apparently compelling
reason of an urgent purpose.
Michael
Grodin, "Historical Origins of the Nuremberg Code," in Annas and Grodin,
The Nazi Doctors and the Nuremberg
Code: Human Rights in Human Experimentation (1992) at p. 139, a copy
of which is attached as Exhibit "Q." The World
Medical Association, which includes representatives of the American
Medical Association, was founded in 1947 soon
after the Doctors Trial. In 1954, the Eighth General Assembly of the
World Medical Association adopted a resolution on
human experimentation based largely on the Nuremberg Code. The resolution
contained the basic principles that "it is the
duty of the physician in medical research to protect the life, health,
privacy and dignity of the human subject." After
several revisions, this document now known as the Declaration of Helsinki
was adopted by the 18th World Medical
Assembly in Helsinki in 1964. It was revised again in 1975 to include
a requirement for ethical review committees, such
as Institutional Review Boards and adopted most recently by the 52nd
General Assembly of the World Medical
Association in Edinburgh Scotland in October 2000. In the fifty years
after Nuremberg, outrage over a series of public
scandals involving human experiments in the United States have reaffirmed
this Nation's commitment to human subject
protection. The first two public scandals were revealed in a landmark
article by Harvard physician and Medical School
Professor Henry Beecher in the New England Journal of Medicine. See
H. K. Beecher, "Ethics and Clinical Research,
New England Journal of Medicine, Vol. 274 (June 16, 1966), pp. 1354-60,
a copy of which is attached as Exhibit "R." One
occurred at New York's Sloan Kettering Institute for Cancer Research
where a researcher working on the immune
system's ability to fight cancer convinced the director of the Jewish
Chronic Disease Hospital in Brooklyn to allow him to
inject unwitting patients with live cancer cells. The second was the
Willowbrook Study, in which researchers at an
institution for mentally disabled children sought to develop a hepatitis
vaccine by studying children whom they had
deliberately infected with isolated strains of the virus. In the conclusion
of Dr. Beecher's article, he cautioned that no
research should be conducted without the informed consent of the subject
and that the risks in any experiment must be
commensurate with the benefits.
It was the third scandal, with racial overtones all
too reminiscent of Nazi atrocities, that generated federal action
to
regulate human subject research. The infamous Tuskeegee Syphilis Study
conducted by physicians of the U.S. Public
Health Service was halted in 1972, nearly 40 years after it began
while 200 African-American subjects were allowed to
remain untreated despite the availability of therapeutic measures.
In 1973, the Ad Hoc Advisory Panel issued its Final
Report of Tuskeegee Syphilis Study, concluding "society can no longer
afford to leave the balancing of individual rights
against scientific progress to the scientific community." See Final
Report, Department of Health Education and Welfare
(Washington, D.C.: G.P.O. 1973), a copy of which is attached as Exhibit
"S."
Thereafter, Congress appointed a federal commission
to examine the system for protecting human research subjects.
The National Commission for the Protection of Research Subjects in
Biomedical and Behavioral Research was charged
with identifying the basic ethical principles underlying research
on human subjects. In 1979, it issued "The Belmont
Report," a document all research institutions, including the University
of Oklahoma in this case, promise in an Assurance
Agreement to uphold in all research studies in order to be eligible
for certain grant monies. After acknowledging the
influence of the Nuremberg Code, the Belmont Report sets forth three
principles to guide human subject research: the
first is respect for persons, which demands that researchers fully
inform their subjects of all material information about the
study and only then obtain their voluntary consent; the second is
beneficence, which prohibits any experiment where the
risks are too great or are outweighed by the benefits; and the third
is justice, which requires equitable selection of
research subjects. Belmont Report, DHEW Pub. No. (05) 78-0012. (Washington
D.C.: G.P.O.), a copy of which is
attached as Exhibit "T."
Congress passed the National Research Act in 1974 which authorized
the implementation of regulations to protect
research subjects. In 1991, the regulations were integrated into the
Common Rule for 17 departments and agencies, the
most familiar of which is the Department of Health and Human Services
regulations at 45 C.F.R. Part 46, a copy of which
is attached as Exhibit "U." The Common Rule is published in the Federal
Register at 56 Fed. Reg. 28, 012 (June 18,
1991). These regulations, among other things, detail the conditions
required for obtaining informed consent and the
information that must be provided under those conditions, restrict
experiments to those in which risks are minimized,
require the equitable selection of research subjects and establish
the requirement for institutional review boards to
oversee research at every institution subject to the regulations.
Public concern over the rights of research subjects has increased
within the decade subsequent to the Common Rule,
and particularly within the last few years, as media reports detailed
the tragic consequences of unethical human
experiments, including the one at issue here. See, e.g., "Ethics and
Orphans: The Monster Study," San Jose Mercury
News, June 7, 2001 (revealing 1939 experiment inducing orphans to
stutter); "Research Volunteer Dies in Hopkins
Asthma Study," Baltimore Sun, June 14, 2001 (27-year-old volunteer
killed in nontherapeutic experiment); "Uninformed
Consent," The Seattle Times, March 11-15, 2001 (death of subjects
in blood cancer trial at Fred Hutchinson Cancer
Research Center); "Federal Rules for Research on People Often Fail,"
USA Today, Feb. 26, 2001 (corneal transplant
experiment conducted without full disclosure); "Uninformed Consent,"
Salon Magazine, March 27, 2000 (survey article on
student research subjects at risk); "U.S. Halts Cancer Tests in Oklahoma,"
Washington Post, July 11, 2000 (melanoma
vaccine trial at University Oklahoma shut down for numerous violations);
"Regulating Dr. Frankenstein: Money, Lax Ethics
& Clinical Trials," Legal Times, October 16, 2000 (call for stricter
standards to protect research subjects); "The Ethics of
Drug Testing: Kids as Guinea Pigs," Salon Magazine, May 31, 2000 (nine-month-old
killed in propulsid drug trial at
Pittsburgh Children's Hospital); "The Biotech Death of Jesse Gelsinger,"
New York Times Magazine, Nov. 28, 1999 (18-
year-old volunteer killed in gene therapy experiment at University
of Pennsylvania); "Research Volunteers Unwittingly at
Risk," Washington Post, August 1, 1998 (survey article on research
subjects at risk); "Student Dies at Rochester in MIT
Based Study," MIT Tech Talk, April 10, 1996 (19-year-old university
student volunteer killed in nontherapeutic
experiment); "For the Sake of Science," Los Angeles Times Magazine,
September 11, 1994 (suicide of 23-year-old UCLA
student in schizophrenia experiment). Copies of these articles are
attached collectively as Exhibit "V."
One question for this Court is, in light of this history, whether
the principles of the Nuremberg Code have any present day
applicability to American law and the rights of American citizens
or whether they are simply wartime relics applicable only
to understanding the Nazi horrors. Given that the Code emerged from
the judgment of United States judges in a United
States military tribunal, if any country is bound by the legal precepts
of the Nuremberg Code, it is the United States. As
George Annas, one of the leading authorities on the Nuremberg Code,
has opined,
The
most complete and authoritative statement of the law of informed consent
to human experimentation is the Nuremberg Code...This Code is part
of international common law and may be applied in both civil and criminal
cases covered by state, federal and municipal courts in the United
States.
George
J. Annas, et al., Informed Consent to Human Experimentation: The Subject's
Dilemma 21 at 1 (1997). A
number of evolving opinions support this view; none has rejected it.
The first opinion to suggest that the Nuremberg Code has a place in
American jurisprudence is the dissent in the
Kentucky case of Strunk v. Strunk, 445 S.W. 2D 145 (Court of Appeals
of Kentucky, 1969), in which the court by a vote
of four to three authorized the removal of a kidney from a mentally
retarded institutionalized adult for transplantation into
his ailing mentally sound brother. In an eloquent dissent, Justice
Samuel Steinfield wrote:
Apparently
because of my indelible recollection of a government which, to the
everlasting shame of its citizens, embarked on a program of genocide
and experimentation with human bodies, I have been more troubled in
reaching a decision in this case than in any other. My sympathies
and emotions are torn between a compassion to aid an ailing young
man and a duty to fully protect unfortunate members of society....
Regretfully, I must say, no."
445
S.W.2d at 149.
In Whitlock v. Duke University, 637 F. Supp. 1463 (M.D.N.C., 1986),
aff'd, 829 F. 2d 1340 (4th Cir. 1987), a subject in a nontherapeutic,
deep-diving experiment sustained severe brain damage. In dismissing
the action because of a finding that the plaintiff had consented to
participate in the experiment with full knowledge of the risks, the
court stated that the Nuremberg Code provided persuasive guidance
on the standard of care in the context of human experimentation. The
court stated:
The
United States Military Tribunal at Nuremberg adopted the Nuremberg
Code as a proper statement of the law of informed consent in connection
with the trials of German scientists for human experimentation after
World War II.
Id.
at 1471.
One year later, the United States Supreme Court considered the case
of James B. Stanley, a Master Sergeant who
had been surreptitiously dosed with LSD as part of a mind control
experiment conducted by the United States Army.
United States v. Stanley, 483 U.S. 669 (1987). Mr. Stanley became
aware that he had been a guinea pig in such an
experiment when he received a letter almost 20 years later soliciting
his cooperation in a study of the long-term
effects on such "volunteers." The Supreme Court in a narrow five to
four ruling reaffirmed the decision dismissing the
plaintiff's complaint under the Feres Doctrine which holds that a
serviceman cannot sue the government for putting
him in harm's way. In so holding, the Court impliedly acknowledged
that Stanley would have had a constitutional
claim, if not for the Feres Doctrine and Stanley's status as a serviceman
during the experiment.
In
dissent, Justice Brennan noted the importance of placing the government's
conduct in historical context: The medical trials at Nuremberg in
1947 deeply impressed upon the world that experimentation with unknowing
human subjects is morally and legally unacceptable. The United States
Military Tribunal established the Nuremberg Code as a standard against
which to judge German scientists who experimented with human subjects.
Its first principle was: the voluntary consent of the human subject
is absolutely essential.
Id.
at 687.
Justice Brennan then concluded that "the United States Military developed
the Code which applies to all citizens--soldiers as well as civilians."
Id.
Justice Brennan characterized the government's experimentation on
an unknown human subject as "an intentional Constitutional tort" and
ended his opinion with a phrase that would thereafter be associated
with the right to be free from unethical experimentation: "Soldiers
ought not be asked to defend a Constitution indifferent to their essential
human dignity." Id.
Justice O'Connor, also dissenting, stated: "No judicially crafted
rule should insulate from liability the involuntary and unknowing
human experimentation alleged to have occurred in this case." Id.
at 709-10. Justice O'Connor noted that the United States Military
played an instrumental role "in the criminal prosecution of Nazi officials
who experimented with human subjects during the Second World War...and
the standards of the Nuremberg Military Tribunal used to judge the
behavior of the defendants stated that the 'voluntary consent of a
human subject is absolutely essential...to satisfy moral, ethical
and legal concepts'". Accordingly, Justice O'Connor reasoned:
If
this principle is violated the very least that society can do is to
see that the victims are compensated, as best they can be, by the
perpetrators. I am prepared to say that our Constitution's promise
of due process of law guarantees this much.
Id.
at 711. In re Cincinnati Radiation Litigation, 874 F. Supp. 796 (S.D.
Ohio 1995), is the first case to expressly hold that the Nuremberg
Code may be applied in the courts of the United States. Plaintiffs
who had been the unknowing subjects in experiments on radiation exposure
brought suit against investigators and institutions involved in the
study. In rejecting a motion for summary judgment, the court held
that such claims were cognizable under the Due Process Clause of the
United States Constitution. In a section titled, "The Nuremberg Code,"
the court examined the history of the Doctors Trial, stating: The
judges appointed by President Truman to hear the medical case were
all American judges and lawyers...The Nuremberg tribunal was asked
to determine culpability . . . under "the principles of the laws of
nations as a result from the usages established among civilized people,
from the laws of humanity, and from the dictates of public conscience.
. . Throughout the trial, the question of what were or should be the
universal standards for justifying human experimentation recurred.
"The lack of a universal principle for carrying out human experimentation
was the central issue pressed by the defendant physicians throughout
their testimony". Id. , quoting, United States of America v. Karl
Brandt, et al., I Trials of War Criminals, Vo., II at 181 (1947).
After quoting the first principle of the Nuremberg Code, the court
concluded: "The Nuremberg Code is part of the law of humanity. It
may be applied in both civil and criminal cases by the federal courts
in the United States." The court thus held: If the Constitution has
not clearly established a right under which these clients may attempt
to prove their case, then a gaping hole in that document has been
exposed. The subject of experimentation who has not volunteered is
merely an object. The plaintiffs in this case must be afforded at
least the opportunity to present their case. Id. The next case to
invoke Nuremberg was Stadt v. University of Rochester, 921 F.Supp.
1023 (W.D.N.Y. 1996). In this case, plaintiff brought an action under
the Federal Tort Claims Act claiming she had been the subject of testing
by physicians who had injected her with plutonium without her informed
consent. In rejecting a motion that the Constitutional claims should
be dismissed, the court stated: "This case does not involve the right
to refuse medical treatment, but instead the right to be free from
non-consensual experimentation on one's body...the right to bodily
integrity...a right which has been recognized throughout this nation's
history." Id. In support, the court reviewed the long line of cases
holding that the right to bodily integrity, which would include the
right to be free from unethical human experimentation, was a fundamental
right under the United States Constitution. Id., citing Albright v.
Oliver, 510 U.S. 266 (1994); Schmerber v. California, 384 U.S. 757
(1966); Skinner v. State of Oklahoma, 316 U.S. 535 (1942); Union Pacific
R. Co. v. Botsford, 141 U.S. 250 (1891). The court thus held: "The
Constitution and, more specifically, the due process clause of the
Fifth Amendment, clearly established the right to be free from non-consensual
government experimentation on one's body." Id. The last case and the
one most similar to the factual issues here is Heinrich v. Sweet,
62 F. Supp. 2d 282 (D. Mass., 1999), where family members brought
an action based on allegations that various government doctors conspired
to conduct extensive, unproven, and dangerous medical experimentation
on 140 terminally ill patients without their informed consent. The
court stated that the issues presented must be understood in their
historical context and then proceeded to describe the background of
the Doctors Trial and the Nuremberg Code. The court then adopted the
reasoning and holding of In re Cincinnati Radiation Litigation that
a breach of the principles of the Nuremberg Code by a government actor
would violate the Due Process Clause of the United States Constitution.
In language particularly relevant here, the court stated: "Similar
conduct that "shocks the conscience" includes the use of false promises
of therapeutic hope to terminally ill patients in order to lure them
into becoming human subjects...for the benefit of curious scientists
rather than the health of test subjects." 62 F. Supp. 2d at 287. As
these cases and history make clear, and as "all agree" in the words
of the Nuremberg judges, the right to essential human dignity in the
context of medical experimentation as expressed in the Nuremberg Code
is a fundamental right rooted in the conscience and history of the
people of the world, in general, and of the United States, in particular.
It is a right reflecting basic human values essential to any "concept
of ordered liberty" and, if it is sacrificed, neither liberty nor
justice can exist. It is, thus, a right guaranteed by the Fourteenth
Amendment to the United States Constitution and its violation will
give rise to liability under 42 §U.S.C. 1983. The case law and arguments
submitted by defendants in opposition are unpersuasive and do not
address the claim at issue here. For example, Dr. McGee contends that
"the law of nations does not create private causes of action in this
country." McGee Brief, Page 5. Dr. McGee further claims that "[n]either
the Nuremberg Code, nor the Helsinki Accords, provide a private right
of action," Brief, page 5, citing Tel-Oren v. Libyan Arab Republic,
726 F.2d 772 (D.C. Cir. 1984), cert. denied, 470 U.S. 1003 (1985)
and Hoover v. West Virginia Dep't of Health and Human Services, 984
F. Supp. 978 (S.D.W.Va. 1997), aff'd, 129 F.3d 1259 (11th Cir. 1997).
This argument misses the point. Plaintiffs assert claims under the
United States Constitution not the Nuremberg Code or the Declaration
of Helsinki. As set forth above, these documents, primarily the Nuremberg
Code, are mere expressions and reflections of the essential rights
of all citizens of the world, rights which predate the documents themselves
and have their origins in the conscience and values of the people
of any nation founded on the principles of liberty and justice. The
issue in Tel-Oren was whether plaintiffs, predominantly Israeli citizens,
could maintain an action against defendants Libyan Arab Republic and
others for damages resulting from an armed attack on a civilian bus
in Israel. In a per curiam decision, the United States Court of Appeals,
District of Columbia Circuit affirmed the district court's decision
to dismiss the action for lack of subject matter jurisdiction. Dr.
McGee relies heavily on Judge Bork's concurring opinion which does
not address the issue of whether claims for violations of the right
to bodily integrity and the right to dignity can be brought pursuant
to the Constitution. Rather, the opinion is based generally upon a
hesitancy to adjudicate issues between individuals in other lands
in general and the situation surrounding the Middle East conflict
in particular. These are certainly not the facts here. In Hoover,
the plaintiff was a physician who sued the state Board of Medicine
due to an investigation it conducted concerning whether she over-prescribed
narcotics for a patient. The plaintiff, acting pro se, sought relief
under the American with Disabilities Act and the Declaration of Helsinki.
The court granted the defendant's motion to dismiss, holding that
because the administrative proceeding by the defendant was still pending
it should abstain from deciding this action. As dicta, the court also
stated, "Secondly, the Helsinki Accords do not create a private right
of action in U.S. federal courts and do not have the force of law."
Id. at 979. That was the full extent of a reference to or analysis
of plaintiff's claim under the Declaration of Helsinki. No reference
was made as to what portion of the Declaration was alleged to be applicable
to plaintiff's claims or for what reason plaintiff believed it applied,
nor was there mention that plaintiff sought a cause of action under
the United States Constitution. This decision can hardly be viewed
as pertinent to the issues here. The other cases cited by defendants,
including United States v. Noriega, 746 F.Supp. 1506 (S.D.Fla. 1990),
aff'd, 117 F.3d 1206 (11th Cir. 1997), cert. denied, 523 U.S. 1060
(1998), Handel v. Artukovic, 601 F.Supp. 1421 (C.D.Ca. 1985), Princz
v. Federal Republic of Germany, 26 F.3d 1166 (D.C.Cir. 1994), cert
denied, 513 U.S. 1121 (1995), do not apply as they concern doctrines
setting forth "broad general principles governing the conduct of nations
toward each other…." United States v. Noriega, supra, 746 F.Supp at
1533. That is simply not the situation here. Dr. McGee acknowledges
that "[i]t is undisputed that non-consensual medical experimentation
violates the law of nations and, therefore, the laws of the United
States." Dr. McGee Brief, Page 7. The issue to him thus appears to
be which laws have been violated by the conduct set forth in the Amended
Complaint and whether the wrongs committed by these state actors are
mere garden variety torts such as negligence and battery. (Curiously,
Dr. McGee later argues plaintiffs can not bring these claims either.)
But when such individuals under color of state law trample on rights
so fundamental to this Nation's concept of ordered liberty, when the
right of these plaintiffs to essential human dignity has been breached,
then this Federal Court is the proper forum to address those wrongs
with the Constitution as its guide.
C. THERE IS AN IMPLIED PRIVATE CAUSE OF ACTION UNDER
45 C.F.R. PART 46
The
Amended Complaint asserts a claim under 45 C.F.R. Part 46, which establishes
the law of the United States with respect to the protection of human
research subjects at institutions such as OUHSC-T. These regulations
require: Risks to subjects are minimized: (i) By using procedures
which are consistent with sound research design and which do not unnecessarily
expose subject to risk. . . . Risks to subjects are reasonable in
relation to anticipated benefits . . . . Selection of subjects is
equitable. . . . Informed consent will be sought from each prospective
subject or the subject's legally authorized representative, in accordance
with, and to the extent required by §46.116. . . . Informed consent
will be appropriately documented, in accordance with, and to the extent
required by §46.117. . . . Where appropriate, the research plan makes
adequate provision for monitoring the data collected to insure the
safety of subjects. . . . Where appropriate, there are adequate provisions
to protect the privacy of subjects and to maintain the confidentiality
of data. . . . Where some or all of the subjects are likely to be
vulnerable to coercion or undue influence, such as persons with acute
or severe physical or mental illness, or persons who are economically
or educationally disadvantaged, appropriate additional safeguards
have been included in the study to protect the rights and welfare
of these subjects. These regulations also require institutions such
as OUHSC-T to appoint an IRB to review the design of any clinical
trial protocol and to ensure that the conduct of any clinical trial
at the institution is consistent with the requirements of the regulations.
For purposes of this motion, this Court must accept as true that defendants
violated these and several other provisions of the federal regulations.
Defendants contend no private right of action exists under these regulations,
and that they create enforcement rights only for the OHRP and the
FDA. The regulations for which plaintiffs bring causes of action are
silent as to whether a claimant may assert a private cause of action.
Thus, for plaintiffs to be able to assert such a claim, Congress or
an administrative agency must have implicitly intended to have individuals
use them to litigate. 24 Hour Fuel Oil Corp v. Long Island Rail Road
Company, 903 F.Supp. 393, 397 (E.D.N.Y. 1995). In Cort v. Ash, 422
U.S. 66 (1975), the United States Supreme Court set forth a four part
test to determine the availability of an implied private cause of
action: (1) whether the plaintiff is one of the class for whose benefit
the statute was enacted; (2) whether there is any indication of legislative
intent, explicit or implicit, to create or deny such a remedy; (3)
whether the private right of action would be consistent with or frustrate
the purposes of the legislative scheme; and (4) whether the cause
of action is traditionally relegated to state law remedies, so that
it would be inappropriate to infer a cause of action based solely
on federal law. The primary factor in this analysis is whether there
is any indication, one way or another, of legislative intent. Olmsted
v. Pruco Life Insurance Company of New Jersey, 134 F.Supp.2d 508,
512 (E.D.N.Y. 2000). A review of the Cort factors demonstrates that
there is an implied private cause of action under 45 C.F.R. Part 46,
the federal regulations addressing human experimentation. First, plaintiffs
are obviously in the class for whose benefit the regulations were
enacted. The regulations are intended for one purpose: to protect
human subjects in clinical trials such as the one at issue here. As
the Memorandum titled "Review of Federal policy for the Protection
of Human Subjects" reflects, 45 C.F.R. Part 46 provides that review
by the IRB for all research protocols involving human subjects to
ensure that "(1) risks are minimized and reasonable in relation to
anticipated benefits; (2) there is informed consent; and (3) the rights
and welfare of the subjects are maintained." A copy of the February
17, 1994, Memorandum is attached hereto as Exhibit "W." These regulations
are designed to protect substantive rights, not simply to set forth
procedures by which certain actions are to be efficiently performed.
Stated differently, this is not a statute focusing on spending directives
or conditions for government grants. See Rapid Transit Advocates v.
Southern California Rapid Transit Dist., 752 F.2d 373, 377 (9th Cir.
1985). Second, there certainly is no legislative history expressing
an intent to deny individuals subjected to unlawful human experimentation
the ability to seek redress. Had a bar to private actions been contemplated,
Congress would have so stated. On the other hand, the legislative
history surrounding these regulations reflects Congressional intent
to protect to the fullest extent subjects in human experiments. As
set forth in Section B above, the legislative history is principally
the hearings conducted in response to the Tuskeegee scandal. These
gave rise to the National Research Act which authorized the implementation
of the regulations. The hope was that, if the regulations were followed,
there would be no more Tuskeegees or Willowbrooks, no deaths like
that of Jesse Gelsinger, no tragedies like that at Johns Hopkins or
the Fred Hutchinson Center, no melanoma trials like that which occurred
at OUHSC-T. And what if the regulations were ignored either because
of self-interest or sheer ignorance? Surely if such substantive rights
were created, then the breach of those rights must have a remedy.
Third, it follows that a private right of action is consistent with
and does not frustrate the purpose of the regulations. If the goal
is to protect human subjects from injury and harm, then certainly
those who suffer as a result of the failure to abide by such protections
should have redress when such injury and harm occur. Finally, the
protection of human subjects to which 45 C.F.R. Part 46 applies is
an appropriate federal cause of action. As set forth in Section B
above, the rights at issue here are Constitutional rights rooted in
this Nation's history and conscience. That there are state causes
of action applicable to defendants' conduct does not negate the viability
of a federal cause of action. As the court stated in In re Cincinnati
Radiation Litigation, 874 F.Supp. 796, 817 (S.D.Ohio 1995), a case
also involving unethical human experimentation,"[t]he distinction
between this case and an ordinary tort case is not one of degree,
but rather, of kind." Thus, a private right of action exists for the
failure to abide by 45 C.F.R. Part 46 when such failure causes harm
to human subjects. Defendants contend that a private cause of action
can not be brought by the plaintiffs under the Food, Drug and Cosmetic
Act ("FCA") for unlawful human experimentation . In support, defendants
cite cases including Merrell Dow Pharmaceuticals, Inc. v. Thompson,
478 U.S. 804, 106 S.Ct. 3229 (1986), and Kemp v. Medtronic, Inc.,
231 F.3d 216 (6th Cir. 2000). These cases do hold that a private cause
of action cannot be brought under the FCA, but are not factually applicable
here As the plaintiffs' claim in this matter is predicated on federal
claims, e.g., the Code of Federal Regulations, defendants' reliance
on Merrell Dow Pharmaceuticals is misplaced, in addition to being
irrelevant.. Plaintiffs do not dispute that the FCA does not provide
a private cause of action. Defendants also cite Buckman Company v.
Plaintiffs' Legal Committee, 531 U.S. 341, (2001) for the proposition
that a fraud on the agency claim cannot be made. Again, Buckman Company
specifically concerned the FCA, not any other agency or department
of the government. Thus, that case has no relevance to this matter.
Plaintiffs do not seek a private cause of action under the FCA and
have never sought such relief. While the defendants may have violated
the provisions of the FCA and 21 C.F.R. Part 312, the plaintiffs claims
are for violations of 45 C.F.R. Part 46. It also appears that defendants
including Immunex may have violated the provisions of 21 U.S.C. §
331. These provisions are not part of plaintiffs' causes of action.
Rather, the provisions relating to drugs concern the process of disseminating
a drug into the marketplace. A violation of this section is not alleged
here although it is certainly possible that defendant Immunex violated
provisions of this Act also. Thus, defendants' reliance on precedent
that there is no private cause of action under the FCA while correct
is irrelevant.
D.
PLAINTIFFS HAVE SET FORTH A VALID CAUSE OF ACTION UNDER 42 U.S.C.
§1983
Defendants
next argue that plaintiffs have not stated a cause of action under
42 U.S.C. §1983. Plaintiffs have alleged a "deprivation of ... rights,
privileges, or immunities secured by the Constitution and laws…."
as set forth in 42 U.S.C. §1983. Thus, if plaintiffs have set forth
a valid cause of action under the Constitution or the Code of Federal
Regulations, they are able to assert a 1983 action. As set forth in
the sections above, plaintiffs have alleged valid claims under the
Fourteenth Amendment and under 45 C.F.R. Part 46. Defendants contend,
however, that they are immune to a civil rights claim pursuant to
42 U.S.C. §1983, although even Dr. McGee acknowledges he is a state
actor for purposes of civil rights liability. Dr. McGee attempts to
distinguish various United States Supreme Court cases but these cases
do not support defendants' contentions; they disprove them. For example,
Washington v. Harper, 494 U.S. 210 (1990), involved a mentally ill
state prisoner who filed a civil rights action against a prison warden
contending that he should not have received antipsychotic drugs against
his will. The Supreme Court held that the Due Process Clause permits
the State to treat a prison inmate with serious mental illness against
his will if he is dangerous to himself or others and if the treatment
is in his medical interest. Id. at 222-23. The converse of this holding
is that a doctor could not subject a competent individual to a procedure
without his or her informed consent. To that end, in Washington v.
Harper, Justice Kennedy concluded that "[t]he forcible injection of
medication into a nonconsenting person's body represents a substantial
interference with that person's liberty." Id. at 229. Similarly, in
Riggins v. Nevada, 504 U.S. 127 (1992), the United States Supreme
Court held that a prisoner's Fourteenth Amendment rights were violated
when he was forced to ingest anti-psychotic drugs during his trial
without the state demonstrating that the medication was medically
appropriate and there were not less intrusive alternatives. Defendant
McGee also seeks to distinguish United States v. Stanley, 483 U.S.
669 (1987), discussed above at length. This case only stands for the
inequitable holding that, under the Feres Doctrine, a serviceman can
not sue the military even if it subjects him to an unethical experiment
without his informed consent. Implied in this ruling is the holding
that a Constitutional claim could be asserted for such conduct but
for the Feres Doctrine and Stanley's status as a serviceman. Defendant
McGee cites Collins v. City of Harker Heights, 502 U.S. 115, 127,
n.10 (1992), to advance the argument that the guarantee of due process
applies to "deliberate" or willful decisions to deprive a person of
"life, liberty, or property." The Amended Complaint sets forth in
great detail the deliberate process engaged by Dr. McGee and the other
defendants to administer rogue medicine under the guise of a clinical
trial in violation of the ethical rules, standards, regulations and
internal protocol governing such conduct. There is no allegation that
defendants' conduct with respect to the Trial was anything but deliberate.
Defendants also contend they are either not "state actors" or not
proper parties for the purpose of liability under this section. At
this stage of the litigation, defendants' arguments must be rejected.
The allegations in the Amended Complaint are that the defendants all
were involved in the conduct of this Trial. Contrary to defendants'
statements, there is no claim of respondeat superior . Rather, all
defendants, state and otherwise private actors, worked together to
deprive plaintiffs of their constitutional rights. An otherwise private
entity, such as Immunex, will be held liable under §1983 if it engaged
in joint activity with the state actor defendants. Storck v. Suffolk
County Department of Social Services, 62 F.Supp.2d 927, 940 (E.D.N.Y.
1999). A "state actor" is one who receives governmental assistance
and performs a traditional governmental function , and if the injury
is caused as an incident of the governmental authority. Id. at 939-40.
In Downs v. Sawtelle, 574 F.2d 1 (5th Cir. 1978), plaintiff, a deaf
mute, brought a civil rights action against a community hospital and
operating physician for conspiring to sterilize her against her will.
The court held that determining a state actor is a factual intensive
procedure and that, in this instance, the hospital and physician were
state actors. Id. at 10. At this stage of the litigation, there is
not enough evidence to determine that any of the defendants is not
a state actor. In fact, the allegations in the Amended Complaint are
that all defendants participated in this state sponsored clinical
trial and all either knew or should have known of the unlawful manner
in which it was conducted. Taking these allegations as true, the defendants
are to be considered state actors for purposes of §1983 liability.
E.
DEFENDANTS ARE NOT ENTITLED TO QUALIFIED IMMUNITY " \l 2
Defendants
all contend they are entitled to qualified immunity and cite numerous
cases for general though nonapplicable legal theories. Defendants
omit any discussion of In re Cincinnati Radiation Litigation, 874
F.Supp. 796 (S.D.Ohio 1995), one of the few cases on point. In that
matter: Defendants engaged in the design and implementation of experiments
from 1960 to 1972 to study the effects of massive doses of radiation
on human beings in preparation for a possible nuclear war. The experiments
utilized terminal cancer patients who were not informed of the consequences
of their participation nor, indeed, informed of the existence or purpose
of the experiments. Id. at 800. Plaintiffs were the subjects of the
study and set forth various causes of action including a Section 1983
claim. Among the defenses raised by defendants was the defense of
qualified immunity. The court explained this judicially created doctrine:
The qualified immunity defense operates as an affirmative defense
protecting officials from liability for any damages caused by their
performance of discretionary functions. Importantly, the defense is
not effective when plaintiffs can demonstrate that an official's conduct
violated a plaintiff's clearly established statutory or constitutional
rights. Id. at 807. To that end, the court stated, "[c]ourts are charged
with the responsibility of ensuring that the defense of qualified
immunity gives no more protection than is necessary for the official
in question to effectively fulfill his duties." Id. at 807. The court
in In re Cincinnati Radiation Litigation noted that plaintiffs alleged
they were not informed that the radiation they received was not for
the treatment of their cancer, and they were not informed of the effects
of the radiation. Id. at 812. Based on these factors, the defendants
were denied the ability to seek shelter behind the qualified immunity
defense. Id. at 814. The court stated, "The Constitution never authorizes
government officials, regardless of their specific responsibilities,
to arbitrarily deprive ordinary citizens of liberty and life." Id.
Further, as the court held in Downs, the case in which the deaf mute
plaintiff was sterilized against her will: [I]f a jury could reasonably
conclude that [defendant] determined that sterilizing the plaintiff
was for her own good or the good of society and as a consequence of
that belief ignored indications from the plaintiff that she did not
consent to the operation, or if it could conclude that he attempted
to take advantage of her mental and communication limitations to unduly
influence her decision, he would be liable…He should reasonably have
known that such conduct amounted to an unconstitutional deprivation
and he would be acting with a malicious motive. The fact that the
doctor thought he had the plaintiff's best interests at heart would
not justify a qualified immunity for constitutional purposes any more
than would the belief, if asserted by a discriminatory employer or
educator, that minority group members are happier and more productive
in a segregated environment. Id. at 12. The court also stated that
a private individual acted in concert with a state actor cannot rely
upon any type of qualified immunity. Id. The holdings in In re Cincinnati
Radiation Litigation and Downs apply to this matter. These defendants
committed acts of grave injustice to desperate people who were misled
into believing the Trial was their only source of hope. Defendants'
claims that they did not know that such human experimentation without
informed consent and in violation of the regulations and rules governing
such conduct was unlawful simply cannot be believed. At the very least,
at this stage of the litigation, plaintiffs should be permitted to
move forward with their claims. Certain defendants also contend there
is no liability because the theory of respondeat superior does not
apply under §1983. But as the court stated in In re Cincinnati Radiation
Litigation, "a plaintiff must allege and prove that the supervisors
in question condoned, encouraged, or knowingly acquiesced in the alleged
misconduct." There is no requirement that the supervisor had to actually
engage in the conduct challenged. To that end, the court stated, "[a]
supervisor may be liable for violations of clearly established constitutional
rights, even if the violations were directly carried out by others."
Id. at 806-807. Plaintiffs will prove such facts in this case. In
any event, for the purpose of this motion, this Court must accept
such allegations as true.
F. PLAINTIFFS ARE THIRD-PARTY BENEFICIARIES TO THE
ASSURANCE AGREEMENT IN WHICH DEFENDANTS PROMISE TO ABIDE BY THE BELMONT
REPORT
As
stated in the Amended Complaint, Dr. Wortham, on behalf of OUHSC-Tulsa,
entered into a written agreement known as the "Multiple Project Assurance
of Compliance with DHHS Regulations for Protection of Human Research
Subjects" ("Assurance Agreement"). A copy of the Assurance Agreement
is attached as Exhibit "X." The Assurance Agreement provides that
OUHSC-T will adhere to the Belmont Report and to the Common Rule.
Plaintiffs allege that defendants breached the provisions of the Assurance
Agreement by conducting human experimentation in violation of the
principles of the Belmont Report and the federal regulations. Plaintiffs'
cause of action is premised on their third-party beneficiary status.
Dr. McGee, who as chief investigator of the Trial is bound by the
provisions of the Assurance Agreement, argues no such claim has been
stated upon which relief may be granted. 15 Okl.St.Ann. §29 provides,
"A contract, made expressly for the benefit of a third person, may
be enforced by him at any time before the parties thereto rescind
it." A contract does not have to expressly state that a beneficiary
may enforce it; rather, it must appear that the contract was "expressly
made for the benefit of a class of persons to which group the party
seeking enforcement belongs." Oil Capital Racing Ass'n, Inc. v. Speedway,
Inc., 628 P.2d 1176, 1179 (Okla. Ct. App. 1981). A third-party need
not be named specifically as a beneficiary. Keel v. Titan Const. Corp.,
639 P.2d 1228, 1231 (Okl. 1981). The terms of the contract are the
means to determine the intent of the parties contracting, the primary
question in this analysis. Shebester v. Triple Crown Insurers, 974
F.2d 135, 138 (10th Cir. 1992). The following questions are thus at
issue: 1) Is the Assurance Agreement an Agreement? 2) Does it bind
the defendants? 3) Does it provide that defendants promise to conduct
all clinical trials in accordance with the Belmont Report and 45 C.F.R.
Part 46? 4) Have defendants breached that promise in the manner in
which the Trial was conducted? 5) Were plaintiffs in the class of
persons the Assurance Agreement was intended to benefit? 6) Have plaintiffs
been damaged as a result of defendants' breach? Plaintiffs have alleged
facts which answer each of these questions in the affirmative, facts
which defendants' own auditors have found to be true. In any event,
for the purpose of this motion, this Court must answer each of these
questions in favor of plaintiffs and deny defendants' motion to dismiss
the claim.
G.
PLAINTIFFS HAVE ASSERTED CAUSES OF ACTION FOR INTENTIONAL AND NEGLIGENT
INFLICTION OF EMOTIONAL DISTRESS, AND NEGLIGENCE
Defendants
contend that plaintiffs are unable to pursue causes of action for
intentional and negligent infliction of emotional distress. Again,
the allegations in the Amended Complaint, which must be taken as true,
set forth a cause of action for these claims. In Oklahoma, "to establish
a cause of action for intentional infliction of emotional distress,
a plaintiff must prove extreme and outrageous conduct done intentionally
or recklessly by the defendant which resulted in severe emotional
distress in the plaintiff." Mason v. The Board of Regents of the University
of Oklahoma, 23 P.3d 964, 969 (Okla. Ct. App. 2001). The Comment to
the Restatement (Second) of Torts §46 provides that conduct within
this section is such that "upon hearing of it, a reasonable member
of the community might exclaim 'outrageous!'" See Comment d to the
Restatement (Second) of Torts §46. Defendants' own auditors have all
but so exclaimed, as have the federal regulators and the national
media. This Court must now allow a jury to give its response. A claim
for negligent infliction of emotional distress is not an independent
tort but an extension of a claim for negligence. See Lockhart v. Loosen,
943 P.2d 1074, 1081 (Okla. 1997). To pursue such a claim, plaintiffs
must establish a duty on the part of a defendant to protect plaintiffs
from injury, a failure of the defendant to protect plaintiffs from
that injury, and injuries resulting from that failure. Kraszewski
v. Baptist Medical Center of Oklahoma, Inc., 916 P.2d 24, n.1 (Okla.
1996). Plaintiffs have alleged each of these facts and will establish
them at trial. Nor can there be debate that defendants owed plaintiffs
a duty to protect them from the harm they suffered. Dr. McGee's contention
that plaintiffs did not allege a duty of care is absurd. Could he
or his counsel possibly believe that he did not owe patients under
his care a duty to treat them in accordance with professional standards?
The allegation that Dr. McGee and other defendants had a duty to plaintiffs
to render proper care and treatment, and breached that duty causing
damages, is sufficiently alleged.
H.
PLAINTIFFS HAVE SET FORTH PARTICULAR ALLEGATIONS OF FRAUD
Defendants
also contend that plaintiffs have not set forth with particularity
allegations of fraud. Rule 9(b) of the Federal Rules of Civil Procedure
does not require the kind of detail plaintiffs provided in the Amended
Complaint. Rather, the rule "merely requires that the circumstances
constituting fraud shall be pleaded with particularity." Nolan Bros.,
Inc. v. United States for the Use of Fox Bros. Construction Co., 266
F.2d 143, 145-46 (10th Cir. 1959), cited by Resler v. Financial Group,
Inc., 668 F.Supp. 1454, 1457 (W.D.Okla. 1985). Rule 9(b) is to be
read in conjunction with Rule 8, which calls for "'a short and plain
statement of the claim' which presents 'simple, concise, and direct'
allegations." Cayman Exploration Corp. v. United Gas Pipe Line Co.,
873 F.2d 1357, 1362 (10th Cir. 1989). A court will not dismiss a pleading
of fraud "unless absolutely necessary…." Resler,, 668 F.Supp. at 1457.
If the pleading sets forth the facts in detail, the claim should proceed.
As the court stated in Scheidt v. Klein, 956 F.2d 963 (10th Cir. 1992),
"a lengthy and detailed factual recitation thoroughly setting out
the circumstances giving rise to" fraud claims does not provide a
basis for relief under Rule 9(b). In addition, as in this case, when
plaintiffs' "allegations involve multiple defendants engaging in the
same fraudulent conduct over an extended period of time, and that
conduct and the defendants' alleged role in that conduct is clearly
identified in the pleadings, the Court will not dismiss the complaint
if defendants have received fair notice of the claims against them."
United States v. Medical Consultants, 170 F.R.D. 490, 497 (W.D. Okla.
1997). Plaintiffs have met their burden in alleging fraud. The Amended
Complaint details the numerous misrepresentations made by Dr. McGee
and the other defendants with respect to the risks of participating
in the Trial, the nature, scope and legitimacy of the Trial, and the
reasons for terminating the Trial . Defendants were more than aware
of what this case is about even before plaintiffs filed the complaint.
Defendants have more than enough information to provide them with
fair notice of plaintiffs' claims. Nowhere in the Briefs of defendants
seeking to dismiss the fraud counts is it alleged that they do not
know or understand the charge of fraud brought against them. Rather,
they generally contend that the Amended Complaint does not indicate
what risks were misrepresented or how the nature, scope and legitimacy
of the Trial were falsified, and that plaintiffs do not allege how
they were caused harm. See McGee Brief, page 23. This is simply inaccurate.
The plaintiffs' pleading goes into specific detail about defendants'
misrepresentations and the harm plaintiffs sustained. At this stage
of the litigation, defendants should be able to respond to the allegations.
I. PLAINTIFFS HAVE ASSERTED A PROPER CAUSE OF ACTION
FOR INTENTIONAL ASSAULT AND BATTERY/LACK OF INFORMED CONSENT
Dr.
McGee claims that the causes of action for "Intentional Assault and
Battery/Lack of Informed Consent" should be dismissed because plaintiffs
did not allege all criteria necessary for each tort. As already stated,
the purpose of the pleading requirements in this Court is to put defendants
on notice of the claims against them. The Amended Complaint does this.
Similarly, Dr. McGee argues that the battery and informed consent
portions of the claim fail because there is no allegation plaintiffs
would not have become subjects of a human experiment if there was
no benefit to them and if, in fact, they would be harmed. A battery
occurs if the treatment provided was "completely unauthorized." Scott
v. Bradford, 606 P.2d 554, 557 (1980). A cause of action based on
lack of informed consent is comprised of three parts: "the duty to
inform being the first, the second is causation, and the third is
injury. The second element, that of causation, requires that plaintiff
patient would have chosen no treatment or a different course of treatment
had the alternatives and material risks of each had been made known
to him." Scott v. Bradford, supra, 606 P.2d at 558. Common sense should
tell the defendants that plaintiffs would not have agreed to become
subjects of an experiment that had no value, medically or otherwise,
that placed them at great risk, that caused them severe discomfort
and pain, that gave them false hope in their time of great illness,
and that robbed them of human dignity.
J.
PLAINTIFFS HAVE STATED A CLAIM FOR STRICT PRODUCTS LIABILITY AGAINST
DR. MCGEE AND IMMUNEX
Dr.
McGee contends that because he is a "research scientist" he cannot
be held liable under Oklahoma's products liability doctrine. Immunex,
a drug company whose sole purpose is to sell its product, also seeks
dismissal of these counts. To hold Dr. McGee and Immunex liable under
this theory, plaintiffs must show (1) the product caused plaintiffs'
injuries; (2) the defect existed in the product at the time it left
Dr. McGee's and/or Immunex's possession and control; and (3) the defect
rendered the product unreasonably dangerous. Kirkland v. General Motors
Corp., 521 P.2d 1353, 1363 (Okla. 1974). A product is "unreasonably
dangerous" when it is "beyond that which would be contemplated by
the ordinary customer who purchases it, with the ordinary knowledge
common to the community as to its characteristics." Alexander v. Smith
& Nephew, P.L.C., 98 F.Supp.2d 1299, 1307 (N.D. Okla. 2000). Per the
allegations in the Amended Complaint, the Vaccine caused substantial
physical and emotional damages to the plaintiffs, the defect in the
Vaccine at all times existed as it never left defendants' possession
and control, and the product was unreasonably dangerous. At this point
it is too early to determine what benefits Dr. McGee would receive
from the Trial, including whether he would have received any benefit
from the sale of the Vaccine and what role he would have in such sales.
What is clear is the Dr. McGee developed, manufactured, distributed
and sold the Vaccine, and advertized its benefits over the airways.
At this stage, plaintiffs have stated a claim against him. Similarly,
these counts against Immunex are viable. That Immunex contends it
should not be liable does not make it so. Contrary to Immunex's arguments,
the claims for strict products liability concern all the drugs distributed
to plaintiffs, including the drug manufactured by Immunex.
K.
DEFENDANTS ARE NOT EXEMPT FROM PUNITIVE DAMAGES
Contrary
to defendants' representations, plaintiffs are entitled to seek and
obtain punitive damages under Oklahoma's Governmental Tort Claims
Act, provided defendants were not acting within the scope of their
employment. See 51 Okl.St.Ann. §152.1. If Dr. McGee or the other defendants
are found to not have acted within the scope of their employment,
they may be liable for punitive damages. See DeCorte v. Robinson,
969 P.2d 358 (Okla. 1998). Moreover, plaintiffs are entitled to claim
punitive damages under their federal claims. Accordingly, plaintiffs'
claim for punitive damages, which applies to all claims, not simply
the state law claims, should not be dismissed.
L.
SHIRLEY AND BOB ROGERS ARE PROPER PARTIES
Dr.
McGee contends that because there is no statement of citizenship for
Shirley and Bob Rogers they may not pursue their causes of action.
Due to the oversight of not listing their citizenship, plaintiffs
seek to move to amend the Amended Complaint or, rather, to present
evidence during discovery of citizenship so that the claims of Shirley
and Bob Rogers will not be barred.
M.
PLAINTIFFS' CLAIM FOR MEDICAL MONITORING IS AN ELEMENT OF THEIR DAMAGES
Defendants
contend there is no specific cause of action for medical monitoring
in Oklahoma but, rather, it is an element of damages. Plaintiffs agree.
N.
ALL STATE CLAIMS SHOULD REMAIN IN THIS COURT UNDER THE DOCTRINE OF
SUPPLEMENTAL JURISDICTION
It
appears that Dr. McGee is claiming there is no supplemental jurisdiction
because there is no federal question jurisdiction. As explained above,
there are valid federal causes of action. Accordingly, the remaining
claims should be heard by this Court. The United States Supreme Court
has held that supplemental jurisdiction's justification: lies in consideration
of judicial economy, convenience and fairness to litigants; if these
are not present a federal court should hesitate to exercise jurisdiction
over state claims…Needless decisions of state law should be avoided
both as a matter of comity and to promote justice between the parties,
by procuring for them a surer footed reading of applicable law. United
Mine Workers v. Gibbs, 383 U.S. 715, 726 (1966). There is no reason
for the claims to be divided between the state court and this Court.
All the causes of action are created by the same set of facts and
involve the same defendants. To sever the causes of action would serve
no purpose.
O.
OKLAHOMA'S TORT CLAIMS ACT DOES NOT PROHIBIT PLAINTIFFS' CLAIMS
Plaintiffs'
claims against Dr. McGee do not fall under the Oklahoma Governmental
Tort Claims Act, 51 Okla. Stat. §151 et seq. ("the Act"). Plaintiffs,
thus, have no duty to comply, nor to allege compliance, with the notice
requirements of the Act, nor does the Act limit plaintiffs' claims
in any manner. Under the Act, employees of the State of Oklahoma,
acting within the scope of their employment, are immune from personal
tort liability. 51 Okla. Stat. §152.1(A) The State of Oklahoma has
waived its immunity for "...its torts or the torts of its employees
acting within the scope of their employment subject to the limitations
and exceptions specified in this act..." 51 Okla. Stat. §153(A). Section
152 (5) defines an employee for the purposes of the Act, and states
clearly that, "Physician faculty members and staff of the University
of Oklahoma Health Sciences Center...not acting in an administrative
capacity or engaged in teaching duties are not employees or agents
of the state." (Emphasis added.) Dr. McGee cites the case of Anderson
vs. Eichner, 890 P.2d 1329 (Okla. 1994), 1994 OK 136, in support of
his position that the claims made by plaintiffs are covered by the
Act. Anderson, however, stands for precisely the opposite point. In
Anderson , the Oklahoma Supreme Court ruled that the Act created a
"dichotomous division of physicians [employed by the State of Oklahoma]
into two distinct categories: (a) teachers or students and (b) practitioners
of medicine. For their tortious conduct as teachers or students the
state is liable; for their like acts or omissions as practitioners
the state is not." Id. at 1337. See also, Bivens vs. State ex rel.
Oklahoma Memorial Hospital, 917 P.2d 456 (Okla. 1996), 1996 OK 5,
and Lykins vs. Saint Francis Hosp., 917 P.2d 1 (Okla. 1995), 1995
OK 135. In Lykins , the Supreme Court of Oklahoma established that
the notice-of-claim and related procedural provisions of the Act do
not apply in actions against physicians who, although employees of
the State, are not immune from liability under the Act. Id., at 4,
5. Plaintiffs' state law claims against Dr. McGee are for acts that
fall under the distinct category of practicing medicine. Under no
interpretation, no matter how stretched or strained, can defendants
argue that plaintiffs' causes of action against Dr. McGee are for
his acts as a teacher, student or in an administrative capacity. Dr.
McGee is a physician member of the University of Oklahoma Health Science
Center. He was conducting an experiment of a biochemical agent by
injecting it into human research subjects. He was not teaching students
or acting as an administrator for the State of Oklahoma. He was engaged
in the practice of medicine in the field of clinical research, and
Dr. McGee considered his research to be a treatment for a terminal
illness. It is important to again note that, for the purposes of these
motions, the facts as stated in the Amended Complaint are to be taken
as true. The Amended Complaint states in paragraph no. 39 that, "...Dr.
McGee...considered it 'his goal' to treat patients with a product
he considered to be a cure for cancer." (Emphasis added.) Therefore,
the acts complained of in the Amended Complaint against Dr. McGee
are not the type of acts or omissions within the purview of the Act.
The acts complained of are not administrative in nature, and are not
acts of Dr. McGee while he was engaged in teaching. They are acts
and omissions while practicing medicine and delivering medical services
to patients. The fact that the acts and omissions occurred during
the course of a human experiment does not bring the claims within
the purview of the Act. Defendants cannot create a category of immunity
under the Act that is not specifically and explicitly contained therein.
As one court has stated, "A statutory grant of immunity must be explicit--immunity
will not be divined from a legislative text that is silent, doubtful
or ambiguous." Anderson vs. Eichner, 890 P.2d 1329, at 1339, (Okla.
1994), 1994 OK 136. Plaintiffs' claims against Dr. Broughan also fall
outside the scope of the Act on the same grounds as do the claims
against Dr. McGee. The Amended Complaint clearly alleges that Dr.
Broughan is the supervisor of Dr. McGee. In that capacity, Dr. Broughan
has individual tort liability for his acts and omissions in negligently
supervising McGee. In Anderson, Dr. Eichner's individual tort liability
arose from negligent supervision of two residents who were treating
a patient while they were all three employed by the State. Anderson
vs. Eichner, 890 P.2d 1329, 1333, (Okla. 1994), 1994 OK 136. The claims
against Dr. Broughan are indistinguishable from the claims in Anderson
and are, therefore, properly made. Dr. McGee's brief in support of
his Motion To Dismiss admits that the Act does not apply to plaintiffs'
federal causes of action. As to the state law tort claims against
the individual IRB members, plaintiffs agree that these claims are
subject to the provisions of the Act. Defendants claims that the Act
prohibits plaintif