Filed United States Court of Appeals Tenth Circuit
Filed United States Court of Appeals Tenth Circuit
Filed United States Court of Appeals Tenth Circuit
Plaintiff - Appellant,
v. No. 16-1290
(D.C. No. 1:12-CV-01897-RM-MJW)
TEJINDER SINGH; TED LAURENCE, (D. Colo.)
Defendants - Appellees.
_________________________________
Stephen Thene Sparks, a Colorado inmate, appeals the district courts grant of
summary judgment to physician assistants Tejinder Singh and Ted Laurence on his
claim that they violated his Eighth Amendment rights by failing to diagnose and treat
his diabetes. Exercising jurisdiction under 28 U.S.C. 1291, we affirm the district
courts judgment.
*
After examining the briefs and appellate record, this panel has determined
unanimously that oral argument would not materially assist in the determination of
this appeal. See Fed. R. App. P. 34(a)(2); 10th Cir. R. 34.1(G). The case is therefore
ordered submitted without oral argument. This order and judgment is not binding
precedent, except under the doctrines of law of the case, res judicata, and collateral
estoppel. It may be cited, however, for its persuasive value consistent with
Fed. R. App. P. 32.1 and 10th Cir. R. 32.1.
I. BACKGROUND
A. Diagnostic Standards
all people with diabetes may be undiagnosed. Aplt. App., Vol. 1 at 119. Since
2006, the ADA has used three diagnostic criteria. First, a patient can be diagnosed
unexplained weight loss, coupled with a casual plasma glucose greater than or equal
to 200 mg/dl (milligrams per deciliter).1 Second, diabetes can be diagnosed using a
fasting plasma glucose (FPG) test, the preferred diagnostic test. Id. at 118. An
FPG of 100 to 125 mg/dl suggests a form of pre-diabetes called impaired fasting
diabetes itself. Id. (internal quotation marks omitted). Third, diabetes can be
diagnosed if a patient has a two-hour plasma glucose greater than or equal to 200
mg/dl during an oral glucose tolerance test. See id.; see also id. at 142, 144.
The ADA states that [p]atients with IFG should be given counseling on
weight loss [and] instruction for increasing physical activity to prevent or delay the
onset of diabetes. Id. at 120. The ADA also emphasizes the importance of follow-up
counseling and monitoring for diabetes every one to two years, with close attention
1
Casual is defined as any time of day without regard to time since last meal.
Aplt. App., Vol. 1 at 118.
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In 2010, the ADA expanded the criteria for detecting impaired glucose and
diabetes by adding the hemoglobin A1c (A1C) test. See id. at 144. According to the
ADA, in general terms, the A1C test measures the percentage of hemoglobin that is
5.7% and 6.4% satisfies the criteria for impaired glucose, while an A1C greater than
According to the ADAs 2010 guidelines, patients with IFG are at high risk for
developing diabetes and cardiovascular disease, and thus individuals with an A1C of
5.7% - 6.4% should be informed of their increased risk for diabetes as well as
followed the ADA guidelines for diagnosing IFG and diabetes using FPG levels, but
CDOC did not employ the A1C test until sometime after April 2011, see id. at 139;
1. Test results2006-2010
Mr. Sparks first had his blood tested on August 17, 2006, when he was an
inmate at CDOCs Limon Correctional Facility. His FPG at the time was 104 mg/dl,
which classified him as IFG. Aplt. App., Vol. 1 at 116. On February 14, 2007, a
2
The Perma.cc link archives the referenced webpage.
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blood test showed his FPG had risen to 109 mg/dl. Id. at 122. A September 5, 2007
blood test showed his FPG rose again to 123 mg/dl, near the top of the IFG range.
Id. at 191. The record does not reflect that Mr. Sparks had any blood tests between
September 2007 and April 2010, but on April 28, 2010, a blood test revealed a
non-fasting glucose level of 177 mg/dl, id. at 137. Additional blood work done on
August 16, 2010 showed Mr. Sparks FPG had fallen to 103 mg/dl, id. at 145, though
his A1C was 7.0%high enough to diagnose him with diabetes under the newly
Mr. Sparks testified he was not informed or counselled about his impaired glucose
level.
Correctional Facility. As part of the routine intake process, Mr. Singh, a physician
assistant (PA), reviewed Mr. Sparks medical recordshe did not actually see
Mr. Sparksand noted the results of his most recent blood work: an FPG of 103
mg/dl and a 7% A1C. Although Mr. Singh knew the diagnostic standards for
impaired glucose and diabetes, see id., Vol. 2 at 236, and circled Mr. Sparks IFG of
103 mg/dl, see id., Vol. 1 at 145, Vol. 2 at 245, he did not refer Mr. Sparks to the
chronic care clinic. He reasoned that Mr. Sparks had not been diagnosed with a
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Moreover, Mr. Singh stated at his deposition, based on notes in the medical
records, that Mr. Sparks had been educated about his glucose impairment and the
need for a proper diet and exercise by his medical provider at Limon, Gisela Walker.
He said Ms. Walker had counseled Mr. Sparks about his elevated glucose levels
[m]aybe four or five times. Id. at 237. He cited six ambulatory notes from 2006
through 2008, which purport to show that Ms. Walker counseled Mr. Sparks on his
impaired glucose levels, see id., Vol. 1 at 187-92. Mr. Singh testified that he had
recently accessed Mr. Sparks medical records and discovered the notes. See id.,
knowledge whether Mr. Sparks was counselled, see id. at 240 (depo. at 59-60, lines
20-9), and conceded his testimony was based on the six ambulatory notes, which he
could not recall reviewing when he processed Mr. Sparks intake, see id. at 244
(depo. at 73, lines 4-6). Nevertheless, Mr. Singh stated that he had reviewed the
entire chart during the September 2010 intake and the records were part of the chart.
In April 2011, Mr. Sparks went to the prisons medical clinic for leg pain. He
was evaluated by another PA, Mr. Laurence, who sent him to the hospital for
treatment of deep vein thrombosis. Blood tests at the hospital indicated his A1C had
risen to 8.5%, and a hospital discharge note listed controlled diabetes among the
[d]ischarge [d]iagnoses, id., Vol. 1 at 186. Also, the note stated, Probably has
new onset [diabetes] which may have contributed by [sic] relative dehydration. Id.
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Mr. Sparks was discharged from the hospital to a CDOC infirmary located at
received a call from a hospital physician, Dr. Drake. According to an infirmary note,
Dr. Drake told the provider that Mr. Sparks A1C was 8% and he had a questionable
history of diabetes, which Mr. Sparks apparently confirmed. See id., Vol. 1 at 184.
Mr. Laurence did not treat him for either diabetes or impaired glucose, despite the
information contained in the hospital records and the infirmary note. Mr. Laurence
acknowledged during his deposition that he would have reviewed the infirmary note
when Mr. Sparks returned to Arkansas Valley, but when presented with the infirmary
note, he said it reflected only a questionable history of diabetes. See id., Vol. 2 at
333 (depo. at 82, lines 4-7). He then denied seeing any documentation indicating that
Mr. Sparks was actually diagnosed with diabetes. Id. (depo. at 82, lines 15-23).
Further, he explained, I usually review the infirmary notes if theyre in the chart,
id. at 334 (depo. at 87, lines 16-19), and it was common practice to review
inmates infirmary notes when they return from the hospital, id. at 335 (depo. at 89,
lines 17-20). But he said he probably would not have prescribed medication if the
infirmary had not started any medication. See id. at 334 (depo. at 87, lines 22-24).
He also clarified that the lab reports from the hospital may have been in the chart
when [Mr. Sparks] returned, but [he] did not remember seeing the documentation.
Id. at 334 (depo. at 87, lines 1-3). He admitted that it would have been important to
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be aware of this type of record and that he would have started Mr. Sparks on
darkly colored urination, a sore throat and mouth, fever, chills, trouble sleeping and
eating, coughing with yellow and green sputum, and a burning sensation in his chest.
Also, his gums and throat were red with white patches. After an evaluation, a nurse
gave Mr. Sparks ibuprofen and instructions to return to the clinic if his symptoms
worsened. Mr. Singh also prescribed an antibiotic, though he did not evaluate
The next day, Mr. Sparks returned to the clinic reporting no improvement. He
said he had been up all night, nauseous and vomiting. He had a low-grade fever,
enlarged cervical nodes, and no improvement to the sores in his mouth, gums, and
Mr. Sparks to drink more water to maintain proper hydration and to sleep with his
On February 4, 2012, Mr. Sparks again returned to the clinic. This time he
said he could not swallow, his tongue was swollen, he was having trouble breathing,
and he was vomiting acid. Id., Vol. 1 at 209. He reported eating almost nothing in
the past couple of days, not even water. A nurse examined Mr. Sparks and noted his
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lips and cheeks appeared swollen, he had a white film on the inside of his mouth and
on his tongue, and he had papules on his hands. The nurse consulted with
Mr. Laurence, who was on-call. Mr. Laurence ordered a urinalysis, which revealed
abnormal amounts of ketones and sugar in Mr. Sparks urine. Additionally, his
non-fasting blood glucose was 396 mg/dl. Based on this information, Mr. Laurence
directed the nurse to administer fluids and insulin, which dropped Mr. Sparks
glucose to 296 mg/dl. Once Mr. Sparks was stable, Mr. Laurence transferred him to
C. Procedural History
Based on these events, Mr. Sparks filed a pro se complaint under 42 U.S.C.
1983, alleging Mr. Singh and Mr. Laurence violated his Eighth Amendment rights
by failing to diagnose and treat his diabetes.3 Mr. Singh and Mr. Laurence moved for
summary judgment, and through counsel, Mr. Sparks filed a response in opposition.
Mr. Sparks argued that Mr. Singh was deliberately indifferent to his serious
medical needs by failing to refer him to the chronic care clinic upon transfer to
Arkansas Valley. He insisted Mr. Singh knew he had impaired glucose levels and
also knew the attendant risks of it progressing to diabetes, and yet he did nothing.
Mr. Sparks alleged that Mr. Laurence failed to treat him for diabetes after he
was discharged from the hospital in April 2011. Citing Mr. Laurences testimony
3
Mr. Sparks named additional defendants, all of whom were dismissed by the
district court and are not parties to this appeal.
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that he would have reviewed the infirmary records reflecting an 8% A1C and a
Valley.
The district court rejected these arguments and granted summary judgment to
II. DISCUSSION
the same legal standards the district court applied under Federal Rule of Civil
Procedure 56(a). Helget v. City of Hays, 844 F.3d 1216, 1221 (10th Cir. 2017).
The [c]ourt shall grant summary judgment if the movant shows that there is no
genuine dispute as to any material fact and the movant is entitled to judgment as a
matter of law. Id. (quoting Fed. R. Civ. P. 56(a)). A fact is material if it could
affect the outcome of the suit; a dispute is genuine if the evidence is such that a
reasonable jury could return a verdict for the nonmoving party. Anderson v. Liberty
Lobby, Inc., 477 U.S. 242, 248 (1986). At the summary judgment stage, the judges
function is not . . . to weigh the evidence and determine the truth of the matter but to
4
The district court noted that defendants raised qualified immunity as a
defense, but the court did not analyze the issue. Defendants have not addressed
qualified immunity on appeal, and we do not consider it.
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A prison officials deliberate indifference to an inmates serious medical
needs is a violation of the Eighth Amendments prohibition against cruel and unusual
punishment. Mata v. Saiz, 427 F.3d 745, 751 (10th Cir. 2005). Deliberate
Colorado, 218 F.3d 1205, 1209 (10th Cir. 2000). The objective component is met if
the deprivation is sufficiently serious. Id. (quoting Farmer v. Brennan, 511 U.S.
825, 834 (1994)). The parties do not dispute that impaired glucose and diabetes are
sufficiently serious medical conditions that satisfy the objective component. Thus,
we do not consider the objective component and evaluate only the subjective
component, careful to maintain the critical distinction between the two. See Self v.
Crum, 439 F.3d 1227, 1233 (10th Cir. 2006) (analyzing only the subjective
component where the parties agreed the objective component was met).
plaintiff to present evidence of the prison officials culpable state of mind. Mata,
427 F.3d at 751. An official will not be liable unless he knows of and disregards an
excessive risk to inmate health or safety; the official must both be aware of facts
from which the inference could be drawn that a substantial risk of serious harm
exists, and he must also draw the inference. Self, 439 F.3d at 1231 (quoting
Farmer, 511 U.S. at 837). But an official may be liable if he knew the prisoner
faced a substantial risk of harm and disregarded that risk by failing to take
reasonable measures to abate it. Hunt v. Uphoff, 199 F.3d 1220, 1224 (10th Cir.
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We have explained that [t]he deliberate indifference standard lies somewhere
between the poles of negligence at one end and purpose or knowledge at the other.
Mata, 427 F.3d at 752 (internal quotation marks omitted). The deliberate
substantial risk of serious harm. Self, 439 F.3d at 1231, 1232 (internal quotation
marks omitted).
Mata, 427 F.3d at 752 (brackets, citation, and internal quotation marks omitted).
medical judgment. Self, 439 F.3d at 1232. Indeed, the Eighth Amendment is not
infringed when a doctor simply resolves the question whether additional diagnostic
omitted). Thus, in the context of a missed diagnosis or delayed referral, there must
be direct or circumstantial evidence that the need for additional treatment or referral
to a medical specialist is obvious. Id. The fact that a serious medical need was
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medical professional fails to treat a medical condition so obvious that even a layman
Our cases recognize two ways in which the subjective component may be
shown. First, a medical professional may fail to treat a serious medical condition
properly, and second, a prison official may act as a gatekeeper and prevent an
inmate from receiving treatment or deny him access to medical personnel capable of
evaluating the need for treatment. Sealock, 218 F.3d at 1211. In either case, the
not satisfy the deliberate indifference standard. Estelle v. Gamble, 429 U.S. 97,
105-06 (1976).
B. Analysis
1. Mr. Singh
argues that Mr. Singh failed to refer him to the chronic care clinic upon admission to
Arkansas Valley in September 2010, despite knowing he had impaired glucose levels.
Specifically, Mr. Sparks contends that Mr. Singh reviewed his chart, recognized his
most recent lab results from August 2010 reflected an IFG of 103 mg/dl and an A1C
of 7%, and yet Mr. Singh did nothing. Implicit in this argument is that the chronic
care clinic could have counselled Mr. Sparks on the benefits of a proper diet and
exercise to delay or prevent the onset of diabetes. Mr. Sparks contends that
Mr. Singh consciously disregarded the risks of his IFG and diabetes by failing to
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The district court rejected this argument, ruling that [t]he possibility that
plaintiffs impaired glucose levels could progress to a diabetic condition that would
then require referral to the chronic care clinic is insufficient to support allegations of
This reasoning, however, does not distinguish the objective and subjective
components of the deliberate indifference test. The parties agree that impaired
protects against future harm to an inmate. Hunt, 199 F.3d at 1224. The question,
therefore, is not whether Mr. Sparks impaired glucose would progress to diabetes. It
is whether Mr. Singh, despite knowing about Mr. Sparks impaired glucose levels
when he reviewed Mr. Sparks chart in September 2010, disregarded his known risk
On this score, Mr. Singh testified, based on the notes, that Ms. Walker
educated Mr. Sparks on the importance of a proper diet and exercise when
Mr. Sparks was incarcerated at Limon. He said she counselled Mr. Sparks repeatedly
over several years and took his family history, including his mothers diagnosis of
diabetes. Aplt. App., Vol. 2 at 235. Although Mr. Singh had no independent
knowledge of whether Mr. Sparks had actually been counselled and conceded that his
testimony was based on the six ambulatory notes recorded by Ms. Walker, see id. at
243-44 (depo. at 72-73, lines 23-6), he also said these ambulatory notes were in
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Mr. Sparks medical chart and he reviewed the entire chart, see id. at 240 (depo. at
would have seen the ambulatory notes reflecting Mr. Sparks counselling at the time
of intake, even if Mr. Singh could not remember those notes by the time he was
deposed. Mr. Sparks fails to create a factual dispute by citing his testimony that
CDOC never counselled him on his impaired glucose because it has no bearing on
Mr. Singhs state of mind when he reviewed Mr. Sparks medical chart and saw
records purporting to show that Mr. Sparks had been counselled. Cf. Mata, 427 F.3d
at 756 (holding that prison officials state of mind is evaluated at the time treatment
2. Mr. Laurence
Mr. Sparks claims that Mr. Laurence failed to diagnose and begin treating his
condition in April 2011 when he returned to Arkansas Valley from the infirmary
following his hospital discharge.5 Mr. Sparks cites his hospital records, which
reflected an 8.5% A1C, and the infirmary note, which reported a questionable history
of diabetes, and says Mr. Laurence was deliberately indifferent in failing to treat him
for diabetes despite having reviewed these records. Mr. Laurence denied having
reviewed the hospital records, but he does not dispute that he had reviewed the
5
Mr. Laurence was consulted by the nurse who evaluated Mr. Sparks in
February 2012, but Mr. Sparks claim is not predicated on that interaction.
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infirmary note. See Aplee. Br. at 29 (P.A. Laurences review focused on records
concerning the medical condition for which he had sent Mr. Sparks to the
however, that he was not deliberately indifferent because neither the hospital
medication.
The district court accepted this argument and concluded that Mr. Laurence had
provided a level of care consistent with Mr. Sparks symptoms. The court reasoned
that during interactions with Mr. Sparks both in April 2011 and February 2012,
Mr. Laurence triaged the urgent condition, stabilized Mr. Sparks, and sent him to the
This analysis does not directly address Mr. Sparks claim, which is not
predicated on how Mr. Laurence treated him on these two occasions. And the fact
that other medical providers failed to prescribe medication at that time does not
resolve the claim against Mr. Laurence. Mr. Sparks claim is that Mr. Laurence knew
of and disregarded a substantial risk of harm when Mr. Sparks returned from the
Initially, when asked at his deposition whether he would have reviewed the
hospital records, Mr. Laurence said, Maybe. Aplt. App., Vol. 2 at 333 (depo. at 81,
line 6). He was more direct when asked whether he would have reviewed the
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infirmary records, stating, Yes, sir. Id. (depo. at 81, line 10). But when presented
with the actual infirmary note, Mr. Laurence said it showed only a questionable
showed that Mr. Sparks had been diagnosed with diabetes when he returned to
Arkansas Valley. Id. (depo. at 82, lines 16-18). He also denied receiving a copy of
the hospital discharge note and said he was not given any indication of the potential
new diagnosis when Mr. Sparks returned from the infirmary. See id. at 334 (depo.
Mr. Laurence clarified, however, that the lab report in the hospital records
showing the 8.5% A1C may have been in the chart but he could not remember seeing
it. Id. (depo. at 87, lines 1-3). Further, he testified, I would have reviewed the
infirmary notes. I do not remember reviewing that entry. Id. at 335 (depo. at 89-90,
lines 25-1). Also, he said the infirmary note may have been included in Mr. Sparks
medical chart when he returned from the infirmary, but he could not recall seeing it.
He explained the documents are typically in chronological order in the medical chart
and sometimes [i]ts easy to miss some of th[e] encounters due to the location in the
a. Hospital records
Mr. Laurences testimony reflects that he did not see, or did not remember
seeing, the hospital records. Although his failure to review those records may have
standard. See Sealock, 218 F.3d at 1211 (recognizing that a medical professional
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may claim as a defense that he was only negligent in diagnosing or treating a medical
condition).6
b. Infirmary note
April 2011 by failing to act on the information in the infirmary note. Mr. Laurence
does not dispute he reviewed the infirmary note, which contained the following
shorthand reference to a questionable history of diabetes: Dr. Drake said pt.s A1C
Mr. Laurence testified that he would not have been concerned with the 8%
A1C because CDOC was not using the A1C test to diagnose diabetes at the time. See
id., Vol. 2 at 335-36 (depo. at 92-93, lines 20-4). Indeed, he repeatedly said A1C
results were immaterial or unimportant because CDOC was not using it to diagnose
diabetes. See id. at 330 (depo. at 69, lines 5-6); id. at 336 (depo. at 93, lines 3-4). In
light of CDOCs exclusion of the A1C test, Mr. Laurences testimony demonstrates
that he did not subjectively believe the A1C results manifested a substantial risk of
harm.
6
We note a significant distinction between this case and Sealock, where a
defendant PA candidly admitted that he would have summonsed an ambulance for an
inmate experiencing unexplained chest pain if he had known about the inmates chest
pain. 218 F.3d at 1211-12. We reversed the grant of summary judgment in favor of
the PA because there was conflicting evidence as to whether he did, in fact, know
about the inmates chest pain. Id. at 1212. Here, Mr. Laurence similarly
acknowledged that if he had seen the hospital lab reports, he would have said
Mr. Sparks was diabetic and begun treating him for diabetes. See Aplt. App., Vol. 2
at 334, 336. But unlike Sealock, there is no evidence controverting Mr. Laurences
testimony that he did not see the hospital lab reports.
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Regarding the infirmary notes comment that Mr. Sparks had a questionable
to treat a medical condition so obvious that even a layperson would understand the
indifference. See, e.g., Oxendine v. Kaplan, 241 F.3d 1272, 1279 (10th Cir. 2001)
(reversing dismissal for failure to state a claim where the complaint alleged a prison
follow-up care despite knowing that amputated portion of finger was decaying, had
turned jet black, and was gradually falling off (internal quotation marks omitted)).7
The reference to Mr. Sparks questionable history of diabetes did not manifest an
obvious need for treatment. Although it put Mr. Laurence on notice of a potential
risk, our legal standard requires an obvious risk to create an inference of deliberate
indifference. See Mata, 427 F.3d at 752 ([I]f a risk is obvious so that a reasonable
man would realize it, we might well infer that the defendant did in fact realize it.
Absent an obvious risk, the need for additional treatment usually is a question
of medical judgment, which is not a predicate for deliberate indifference. See Self,
7
Obviousness may also arise in two other contexts that do not apply here
viz., when (1) a medical professional recognizes an inability to treat the patient due
to the seriousness of the condition and his corresponding lack of expertise but
nevertheless declines or unnecessarily delays referral and (2) a medical
professional completely denies care although presented with recognizable symptoms
which potentially create a medical emergency. Self, 439 F.3d at 1232.
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439 F.3d at 1232 (Matters that traditionally fall within the scope of medical
medical testing.). Mr. Laurence could still possibly be liable if he had recognized a
substantial risk of harm and yet failed to confirm whether Mr. Sparks needed
treatment. See Mata, 427 F.3d at 752 (An official would not escape liability if the
evidence showed that he merely refused to verify underlying facts that he strongly
suspected to exist. (internal quotation marks omitted)). But the record shows that
was not a confirmed diagnosis requiring treatment. Nor did it manifest a clear
directive for treatment such that a reasonable jury could infer that Mr. Laurence was
deliberately indifferent. Cf. Erickson v. Pardus, 551 U.S. 89, 90, 94 (2007)
hepatitis C, removed him from his prescribed medication, and refused to provide
did not raise such a strong inference of actual, present risk that Mr. Laurence must
disconfirmation. See Mata, 427 F.3d at 752. Without such evidence, the decision
whether to treat Mr. Sparks based on a questionable history of diabetes would have
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been a question of medical judgment, which does not support an inference of
not signal a need for treatment so obvious that even a layperson would recognize it.
The law requires a level of obviousness that did not exist here, and the record shows
Mr. Laurences subjective understanding of whether to treat Mr. Sparks was within
the realm of medical judgment. Mr. Laurence was entitled to summary judgment.
III. CONCLUSION
8
If there had been a definitive diagnosis of diabetes, Mr. Laurences testimony
is that a medical response would have been proper and he would have exercised his
medical judgment to determine an appropriate response. See Aplt. App., Vol. 2 at
334, 336.
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