5 Professional Negligence 5 Professional Negligence
5.1 Osborn v. Irwin Memorial Blood Bank 5.1 Osborn v. Irwin Memorial Blood Bank
PAUL OSBORN et al., Plaintiffs and Appellants,
v.
IRWIN MEMORIAL BLOOD BANK et al., Defendants and Appellants.
Court of Appeals of California, First District, Division Four.
Michael J. Moriarty and John Daniel for Plaintiffs and Appellants.
Charles Bond, Stefanie Gandolfi, O'Connor, Cohn, Dillon & Barr, Duncan Barr, Lisa Ungerer, James C. Martin, John McDougall Kern, Mary C. Oppedahl, Paul D. Fogel and Crosby, Heafey, Roach & May for Defendants and Appellants.
246*246 Hassard, Bonnington, Rogers & Huber as Amici Curiae on behalf of Defendants and Appellants. Fred J. Hiestand as Amicus Curiae.
OPINION
PERLEY, J.
The trial in this case has been reported as the first in the nation where a blood bank was found liable in connection with transmission of the acquired immune deficiency syndrome (AIDS) virus by a blood transfusion.
In February of 1983, at the age of three weeks, Michael Osborn contracted the AIDS virus from a blood transfusion in the course of surgery on his heart at the University of California at San Francisco Medical Center. The blood used in the operation was supplied by the Irwin Memorial Blood Bank. Michael and his parents, Paul and Mary Osborn, sued Irwin and the University for damages on various theories. The only causes of action that survived defense motions for nonsuit and directed verdict were claims against Irwin for negligence, and intentional and negligent misrepresentation. After the jury returned a general verdict for plaintiffs, the court granted Irwin's motion for judgment notwithstanding the verdict on the intentional misrepresentation and negligence claims. Irwin was thus held liable only for a negligent misrepresentation.
The cause of action for negligent misrepresentation was based on a statement to the Osborns by Irwin's receptionist that blood donations could not be earmarked for use in Michael's operation. That statement could be construed as a misrepresentation in light of evidence that Irwin's policy at the time was to discourage rather than prohibit directed donations. Irwin offered to prove that Michael had a rare blood type and hence could not have received any blood from members of his family. Irwin also wanted to show that friends of the family who had agreed to donate for Michael could have provided only a small fraction of the rare blood he needed. This evidence was relevant to proximate cause. To the extent that Michael could not have used directed donations, a statement that prevented those donations did not affect the outcome of his case. However, the court excluded evidence associated with Michael's rare blood type. We conclude that the court erred, that the error was prejudicial to Irwin and thus a new trial on the claim of negligent misrepresentation is required.
The most significant issue on appeal is whether Irwin was entitled to judgment notwithstanding the verdict on the issue of negligence. Qualified experts opined for plaintiffs that Irwin's blood testing and donor screening practices prior to Michael's surgery were negligent in light of concerns about 247*247 AIDS at the time. On matters such as these that are outside common knowledge, expert opinion is ordinarily sufficient to create a prima facie case. Here, however, there was uncontradicted evidence that Irwin was doing as much if not more in the areas of testing and screening than any other blood bank in the country, and there is no question that it followed accepted practices within the profession. We hold that Irwin cannot be found negligent in these circumstances.
We also conclude that the University's motions for nonsuit and directed verdict were properly granted, and accordingly affirm the judgment in favor of the University.
I. INTRODUCTION
A. Michael Osborn's Medical Case
Michael Osborn was born on January 28, 1983, with isolated ventricular inversion, a rare and life-threatening heart condition that prevented unoxygenated blood from circulating to his lungs. He underwent surgery at the University on February 24, 1983, to repair this condition. It is undisputed that the surgery was necessary and successful. During the course of the procedure, Michael received 12 units or components of blood supplied by Irwin. The necessity of those blood transfusions is undisputed. Michael played normally and showed no symptoms of AIDS for over four years.
In August of 1987, the Osborns received a letter from the University recommending that Michael be tested for the antibody to the AIDS virus. The letter noted that he had received transfusions before April of 1985, at a time when no test for AIDS was available. Michael tested positive, and it is undisputed that he contracted AIDS from a transfusion he received incident to his heart surgery. In late February, 1988, Michael's speech became slurred and he began walking with a limp. He was diagnosed with an AIDS-related brain tumor and underwent surgery for its partial removal. He was receiving medication for swelling of the brain at the time of trial herein. Michael testified briefly at the trial. We have been advised that he has died during the pendency of this appeal.
The donor whose blood transmitted the AIDS virus to Michael has not been identified.
B. Procedural History
This suit was filed in May of 1988. The first amended complaint included causes of action against the University for medical malpractice, breach of 248*248 contract, intentional and negligent misrepresentation, intentional and negligent infliction of emotional distress, negligent screening of medical staff, battery, and simple negligence. Plaintiffs asserted claims against Irwin for negligence, breach of contract, intentional and negligent misrepresentation, intentional and negligent infliction of emotional distress, battery, and products liability.
The case was tried to a jury in November of 1988, after the court granted plaintiffs' motion for calendar preference based on Michael's illness. The University and Irwin moved for nonsuits when plaintiffs rested. The motion was granted on all claims except those of negligence, and intentional and negligent misrepresentation against Irwin, and those of malpractice, negligent misrepresentation and negligent infliction of emotional distress against the University. After Irwin and the University presented their defenses, the court granted the University's motion for a directed verdict on the remaining claims against it.
Claims against Irwin for negligence, and intentional and negligent misrepresentation were submitted to the jury. Irwin requested a general verdict. The jury returned a 9-3 decision against Irwin, awarding damages of $550,000 to Michael and $200,000 to his parents.
Irwin then moved for judgment notwithstanding the verdict and a new trial. The motion for new trial was supported, inter alia, by the affidavits of five jurors stating that negligent misrepresentation was the sole basis for their finding of liability. Irwin also moved for entry of an amended judgment reflecting the damage limitations of the Medical Injury Compensation Reform Act (MICRA). Plaintiffs opposed Irwin's motions and moved to strike the juror affidavits.
At the conclusion of the first hearing on the posttrial motions, the court granted Irwin judgment notwithstanding the verdict on the claims of intentional misrepresentation and negligence. The court acknowledged at subsequent hearings that Irwin had unsuccessfully urged throughout the case that claims against it were subject to MICRA. The court also acknowledged that it had erred in concluding that MICRA did not apply. Irwin argued that this error required a new trial. Irwin also argued that, if the court was not inclined to grant a new trial, it could amend the judgment to conform the damage award to MICRA. Irwin submitted that the general verdict could be recalculated in accordance with MICRA based on the evidence of damages at trial, and two juror affidavits about how much of the award represented unreimbursed medical expenses, pain and suffering, and future damages. Irwin suggested that the court could use "its remittitur power" and grant a "new trial conditionally" to effect this result.
249*249 The court decided to conditionally grant the motion for new trial, subject to plaintiffs' acceptance of an amended judgment for reduced and deferred damages. The motion to amend the judgment was granted as follows: "[Irwin] shall pay a lump-sum payment to plaintiffs in the amount of $250,100 in present damages; future damages of $250,000 are to be paid to Michael Osborn periodically in equal annual installments commencing on his eighteenth (18th) birthday, and continuing each year until his sixty-fifth (65th) birthday. Inasmuch as the Court finds that Michael Osborn owes no duty of support to anyone, the Court, in conformity with the spirit and intent of [Code of Civil Procedure] § 667.7, hereby orders that any unpaid future damages revert to defendant IRWIN in the event of Michael Osborn's death prior to payment in full." In between these sentences, which were typed on Irwin's form, the court inserted the handwritten notation, "$165,207 for nursing care."
Although the court granted plaintiffs' motion to strike the juror affidavits, it appears to have generally accepted Irwin's breakdown of present and future damages based on those affidavits. The $250,100 figure for present damages appears to represent $250,000 for Michael's pain and suffering, plus $100 for his parents' unreimbursed medical expenses. The $250,000 figure for future damages appears to cover Michael's lost earnings. Although the $165,207 figure appears to cover Michael's future nursing care, the court indicated in response to questions from the parties that this amount was payable in a lump sum as present damages. Since Michael was not expected to live to age 18 there was no real prospect for payment of any of the future damages awarded under the amended judgment. The court thus in effect reduced the award from $750,000 to $416,307.
Plaintiffs accepted the reduced award in lieu of a new trial and these appeals ensued. Plaintiffs contend that MICRA does not apply to Irwin, and thus that the court erred by amending the judgment in an attempt to conform it to MICRA. Plaintiffs also contend that the court misapplied MICRA when it provided for periodic future payments of lost earnings. Irwin contends that a new trial is required because certain of the jury instructions were erroneous, the court improperly used a remittitur, and it could not grant a partial judgment notwithstanding the verdict. Plaintiffs and Irwin discuss at length some of the evidence on Irwin's alleged negligence, presumably on the issue of whether judgment notwithstanding the verdict was properly granted on that cause of action. Irwin contends that it is entitled to judgment on the claim of negligent misrepresentation, or that a new trial on this cause of action is required. Finally, plaintiffs contend that the court erroneously granted the University's motions for nonsuit and directed verdict.
250*250 II. CLAIM OF NEGLIGENT MISREPRESENTATION AGAINST IRWIN
A. Background
Mr. and Mrs. Osborn knew that Michael's heart surgery would entail blood transfusions, they had learned of AIDS from newspapers and television, and they were afraid that AIDS could be transmitted by blood. They therefore spoke with seven of Mary Osborn's brothers and sisters, as well as thirty-five people at the office of Pacific Bell where they both worked, about donating blood for the operation, all of whom were willing to help. Three days before the operation, the Osborns asked Dr. Paul Stanger at the University whether they could arrange to have their blood, or the blood of family and friends, used in Michael's surgery. Stanger told them that they would have to take up the subject of directed donations with Irwin.
After talking with Dr. Stanger, the Osborns went to Irwin and spoke with Irwin's receptionist. They told the receptionist that they wanted to donate blood for use in their infant's heart surgery because they were worried about AIDS. The Osborns testified that the receptionist advised them that their donations would be credited to Michael's account, but could not be reserved specifically for his use. It was too soon after pregnancy for Mary Osborn to give blood, but Paul Osborn proceeded to make a donation. The claim of negligent misrepresentation is based on the receptionist's statement to the Osborns that Irwin did not accept directed donations.
The Osborns introduced evidence that Irwin's policy at the time was to discourage directed donations, rather than forbid them. A February 4, 1982, memorandum to Irwin personnel from its medical director, Dr. Herbert Perkins, indicates that directed donations were routinely accepted only in a few situations, not present in Michael's case, where they were deemed medically justified. Directed donations were otherwise discouraged, according to the memo, but they would be accepted if the patient and the patient's physician insisted on them. Dr. Perkins testified that Irwin's staff was informed of this policy. At trial, however, the receptionist did not recall that Irwin had a policy on directed donations at the time, and neither did Brian McDonough, who was then Irwin's executive director.
(1) Recovery for negligent misrepresentation involving a risk of physical harm requires proof that: (1) the defendant had a duty to exercise reasonable care in giving the information in question; (2) the defendant gave false information with a degree of culpability at least equal to negligence; (3) the plaintiff actually and reasonably relied on the misrepresentation; and (4) reliance on the misrepresentation proximately caused the plaintiff's 251*251 injury or death. (Garcia v. Superior Court (1990) 50 Cal.3d 728, 735-737 [268 Cal. Rptr. 779, 789 P.2d 960]; Weissich v. County of Marin (1990) 224 Cal. App.3d 1069, 1081 [274 Cal. Rptr. 342].) It is apparently conceded that there was sufficient evidence for the jury to conclude that Irwin's receptionist negligently misrepresented its directed donations policy, and that the Osborns reasonably relied on that misrepresentation. Irwin's arguments with respect to negligent misrepresentation focus exclusively on proximate cause.
Plaintiffs' sole response to those arguments is that proximate cause "is not even an element" of the cause of action for negligent misrepresentation. That is obviously incorrect. (Garcia v. Superior Court, supra, 50 Cal.3d at p. 737; Weissich v. County of Marin, supra, 224 Cal. App.3d at pp. 1081, 1083-1084; see also, e.g., Barbara A. v. John G. (1983) 145 Cal. App.3d 369, 376 [193 Cal. Rptr. 422] [defendant liable for injury "resulting from" reliance on misrepresentation]; Hanberry v. Hearst Corp. (1969) 276 Cal. App.2d 680, 686 [81 Cal. Rptr. 519] [same]; BAJI No. 12.45 (7th ed. 1986) p. 32 [same]; Rest.2d Torts, § 311.)
B. Irwin Is Not Entitled to Judgment
Irwin contends that plaintiffs cannot establish a prima facie case that denial of directed donations proximately caused Michael to contract AIDS, because there is no scientific evidence that blood from family and friends is any safer than blood from routine (homologous) donations by the general public. Several witnesses testified without contradiction that as of February, 1983, there were no studies on the relative safety of directed donations. In support of its motion for new trial, Irwin submitted statistics it compiled in 1988 showing that there was no significant difference in the risk of contracting AIDS from homologous and directed donations. Irwin also submitted a 1987 study for the Washington State Legislature which reached the same conclusion.
Irwin has emphasized to us and to the trial court that the State of Washington refused to mandate directed donations in light of this study. We note that California enacted a law requiring allowance of directed donations, despite the alleged lack of evidence of their utility. Subdivision (a)(1) of Health and Safety Code section 1628, which evidently expired on January 1, 1992, provided that "No person shall prohibit any individual from ... [¶] [m]aking blood donations to be used directly for blood transfusions for an individual designated by the donor...." (See also Health & Saf. Code, 252*252 § 1645 [patients receiving blood transfusions must be apprised of the "positive and negative aspects" of directed donations].)[1] We will nonetheless assume for purposes of Irwin's argument that no studies have proven that the use of directed donations decreases the risk of contracting AIDS from a transfusion. Irwin submits that the absence of such proof precludes plaintiffs from establishing proximate cause by a preponderance of the evidence, and thereby dictates a judgment in Irwin's favor on the claim of negligent misrepresentation. (See generally 1 Witkin, Cal. Evidence (3d ed. 1986) §§ 132, 133, 157 and authorities cited [burden of proof in civil cases]; Rest.2d Torts, § 433B.)
(2) The concept of proximate or legal cause has "defied precise definition." (Maupin v. Widling (1987) 192 Cal. App.3d 568, 573 [237 Cal. Rptr. 521]; see also Wright, Causation in Tort Law (1985) 73 Cal.L.Rev. 1735, 1737.) It is reasonably well settled, however, that the causation inquiry has two facets: whether the defendant's conduct was the "cause in fact" of the injury; and, if so, whether as a matter of social policy the defendant should be held legally responsible for the injury. (See Maupin v. Widling, supra, 192 Cal. App.3d at pp. 573-574, and authorities cited; and Rest.2d Torts, § 431 [definition of legal cause].) The issue presented here is solely one of "causation in fact."
(3) Whether a defendant's conduct actually caused an injury is a question of fact (Maupin v. Widling, supra, 192 Cal. App.3d at p. 573) that is ordinarily for the jury (Rest.2d Torts, § 434, subd. (2)(a)). (4) The two widely recognized tests for establishing cause in fact are the "but for" rule, which asks whether the injury would not have occurred but for the defendant's conduct, and the rule set forth in the Restatement Second of Torts section 431, subdivision (a), which asks whether the defendant's conduct was a "substantial factor in bringing about the harm." (Maupin v. Widling, supra, 192 Cal. App.3d at p. 574.) Our Supreme Court has recently observed that the "substantial factor" test generally subsumes the "but for" test. (Mitchell v. Gonzales (1991) 54 Cal.3d 1041, 1052-1053 [1 Cal. Rptr.2d 913, 819 P.2d 872].)
253*253 However the test is phrased, causation in fact is ultimately a matter of probability and common sense: "[A plaintiff] is not required to eliminate entirely all possibility that the defendant's conduct was not a cause. It is enough that he introduces evidence from which reasonable men may conclude that it is more probable that the event was caused by the defendant than that it was not. The fact of causation is incapable of mathematical proof, since no man can say with absolute certainty what would have occurred if the defendant had acted otherwise. If, as a matter of ordinary experience, a particular act or omission might be expected to produce a particular result, and if that result has in fact followed, the conclusion may be justified that the causal relation exists. In drawing that conclusion, the triers of fact are permitted to draw upon ordinary human experience as to the probabilities of the case." (Rest.2d Torts, § 433B, com. b.)
(5) A causal connection between the misrepresentation and the harm is readily apparent, as a matter of common sense, in Michael's case. Conduct can be considered a substantial factor in bringing about harm if it "has created a force or series of forces which are in continuous and active operation up to the time of the harm" (Rest.2d Torts, § 433, subd. (b)), or stated another way, "the effects of the actor's negligent conduct actively and continuously operate to bring about harm to another" (Rest.2d Torts, §§ 439, 433, com. e.). A "continuous" chain of cause and effect is manifest here: Michael received blood from Irwin's donor pool because Irwin misrepresented that directed donations were not available; and he contracted AIDS because Irwin's blood was contaminated, just as his parents feared it would be.
A lack of evidence that directed donations are safer does not in any event preclude a finding that, but for the failure to allow those donations, Michael probably would not have contracted AIDS. In support of Irwin's motion for new trial, Dr. Perkins declared that the risk of contracting the AIDS virus from a blood transfusion may have been as high as 1 in 100 in early 1983. However, Irwin does not argue that at this time it was more likely than not that any recipient of 12 units of blood would get the AIDS virus. If the chances of that happening were less than 50 percent, as is evidently conceded, then it is probable that Michael would not have been harmed by blood from 12 directed donations, or for that matter, any 12 units from Irwin's regular donor pool other than those he actually received. It appears that directed donations probably would have saved Michael's life.
We therefore hold that lack of scientific proof of the relative safety of directed donations is not conclusive in Irwin's favor on the issue of proximate cause.
254*254 C. Irwin Is Entitled to a New Trial
Over Irwin's objection, the court excluded evidence that Michael had a relatively rare blood type, A-negative. Irwin advised the court that this evidence would show that none of Michael's family could have donated blood for him because their blood types were incompatible with his. This evidence would also have shown that the 35 friends lined up to donate for Michael probably could have provided only a small fraction of the rare blood he needed. Irwin argued that these facts were probative because they indicated that most all of the blood for Michael's operation would have come from Irwin's public donor pool even if no misrepresentation had occurred, and all of the directed donations arranged by his parents had been obtained.
(6a) Evidence associated with Michael's rare blood type was relevant to proximate cause. The trial court appears to have excluded this evidence on the ground that the parents' failure to secure directed donations stemmed from Irwin's misrepresentation rather than Michael's rare blood type. The court stated that "the problem ... was not in the difficulty of getting the blood; it was in the fact that they asked, requested, and wanted to get to do it themselves, and they were turned down." However, an additional problem presented by the rare blood type was the extent to which any of the directed donations that would have been obtained could have been used. Ordinarily, of course, "the actor's negligent conduct is not a substantial factor in bringing about harm to another if the harm would have been sustained even if the actor had not been negligent." (Rest.2d Torts, § 432, subd. (1).) If directed donations for Michael would not have been feasible, a misrepresentation precluding those donations did not affect the outcome of his case. (7) (See fn. 2.), (6b) We conclude that the court erred when it excluded evidence relating to Michael's blood type.[2]
We also find that the error was prejudicial to Irwin. (8) Erroneous exclusion of evidence is grounds for reversal if in light of the entire record "`... it is reasonably probable that a result more favorable to the appealing party would have been reached in the absence of the error.'" (Clifton v. Ulis (1976) 17 Cal.3d 99, 105-106 [130 Cal. Rptr. 155, 549 P.2d 1251]; Loftleidir Icelandic Airlines, Inc. v. McDonnell Douglas Corp. (1984) 158 Cal. App.3d 83, 95-96 [204 Cal. Rptr. 358].) The error may be deemed harmless if the 255*255 excluded evidence was "immaterial or of so little materiality or value that its admission would not have had any substantial influence on the result," or it "would have been merely cumulative or corroborative of evidence properly in the record." (9 Witkin, Cal. Procedure (3d ed. 1985) Appeal, § 339, p. 346.) On the other hand, exclusion of admissible evidence on a material issue may be reversible error in a close case (id., at § 354, pp. 357-358 and precedents cited), especially where it has deprived a party of a crucial theory that would have supported a verdict in its favor (Grudt v. City of Los Angeles (1970) 2 Cal.3d 575, 588 [86 Cal. Rptr. 465, 468 P.2d 825]). All of these factors militate in favor of a finding of prejudice in this instance.
(9) This was not a case in which the proffered evidence was merely cumulative of other evidence in the record. In opening argument, counsel for the University stated that Michael's parents' blood could not have been used in the operation because it was incompatible with his. However, the court conferred with counsel after the opening arguments and advised the jury that "there will be no evidence of the blood type of Mr. and Mrs. Osborn." Before the close of plaintiffs' case and outside the presence of the jury, the court again ruled that evidence associated with Michael's blood type would not be admitted. When Irwin attempted to ask its first witness whether 40 or 50 directed donors would necessarily be able to provide 12 units of blood for an operation, the court instructed the witness not to answer. A witness for the University, Dr. Stephen Cohen, later testified without objection that Michael had type A-negative blood and that this was "an unusual type." This testimony enabled Irwin's counsel to suggest to the jury that plaintiffs might not have been able to secure enough blood from directed donations to cover Michael's operation. He argued that "We don't know what would have happened to Michael Osborn if he had gotten a directed donation from one of those thirty-five people at the phone company, whether thirty-five would have been enough for his twelve units of what Dr. Cohen called rare blood."
Although this argument perhaps planted some doubt about the feasibility of directed donations in Michael's case, the jury was instructed that statements of counsel were not evidence, and they never learned that donations from Michael's family could not have been used, or that 35 directed donations from outside the family were likely to have been insufficient. The jury proceeded to deliberate for over three full days. During the course of their deliberations they asked to review various portions of the trial testimony, including the testimony of Irwin's receptionist and the statements attributed to her by Michael's father. After deliberating for more than two days, the jury sent a note to the court indicating that they had "reached an impasse.... Today we have taken our fourth vote and it remains at 7-5. We have considered the areas we feel are relevant, asked for testimony to be 256*256 reread and now find ourselves arguing the same points over and over without achieving any changes in opinion." The eventual verdict was split 9-3.
It appears that this was a close and difficult case for the jury, where an additional defense could have changed the result. The jury could well have been influenced by Michael's inability to receive any blood from family members, and the likelihood that he would have needed far more than 35 other directed donations. This evidence might have led the jury to conclude that the misrepresentation caused no harm because most of Michael's blood would have come from homologous donations in any event.
In light of Michael's rare blood type, Irwin submits that plaintiffs will be unable to show that denial of directed donations was likely to have caused any harm, and hence that Irwin is entitled to judgment on the negligent misrepresentation claim. (See Jones v. Ortho Pharmaceutical Corp. (1985) 163 Cal. App.3d 396, 403 [209 Cal. Rptr. 456] [no causal relation unless it is "more likely than not" that injury resulted from defendant's action]; Morgenroth v. Pacific Medical Center, Inc. (1976) 54 Cal. App.3d 521, 533 [126 Cal. Rptr. 681] [same].) Dr. Perkins's declaration in support of Irwin's motion for new trial states in pertinent part that "[o]nly 6% of the blood donor population has A negative blood. In order to obtain 12 units of A negative blood for their son, the Osborns would have needed to bring in approximately 200 designated donors. [¶] These people would also have to be suitable blood donors in terms of their own health.... From experience, we would expect 5% of the potential donor[s] to be rejected, requiring 10 more to replace them."
Irwin's briefs do not make the logic explicit, but presumably the argument is as follows: if some 210 donors would probably have been needed to obtain 12 units of type A-negative blood, then the 35 people who agreed to donate for Michael probably could have provided only 2 units of type A-negative blood; and if only 2 out of the 12 units of blood used in Michael's operation would have been different if there had been no misrepresentation, then the odds that the misrepresentation affected the outcome of Michael's case were less than 50-50 and plaintiffs cannot prove proximate cause. (See Jones v. Ortho Pharmaceutical Corp., supra, 163 Cal. App.3d at pp. 401-402 [affirming nonsuit where plaintiff's expert could not testify to a greater than "50-50 chance" that defendant's product contributed to development of disease].)
We do not have an adequate record to rule on this argument, or Irwin's related claim that proximate cause cannot be established because there were "unanticipated blood requirements" in connection with Michael's surgery. The argument that causation cannot be shown because of Michael's rare 257*257 blood type is premised on his receipt of 12 units of blood and the need for all of that blood to be type A-negative. Neither of these predicates is entirely clear from the record.
It is apparently agreed that the blood furnished to Michael came from 12 different donors. We infer this from Dr. Perkins affirmative response to the query by plaintiffs' counsel, "We know that there were twelve donors of blood to Michael Osborn, correct?" But it further appears that Michael may have received a total of 12 blood "components," rather than 12 whole units, and that not all of these "fractions" had to be type A-negative. We infer this from statements by defense counsel during their argument for the admission of evidence associated with Michael's blood type: "The Court: `How many [units] did he actually get? [¶] Counsel for Irwin: `Twelve units.' [¶] University Counsel: `Not the whole units.' [¶] Counsel for Irwin: `Twelve components....' [¶] The Court: `The units, they don't have to have the exact A negative.' [¶] University Counsel: `It has to be A negative for that surgery. That is the first four units. After that four, for any whole blood it has to be A negative. For any fractions, there are some other compatibles.'"
The foregoing suggests that Irwin may have overstated its case for the relevance of Michael's rare blood type by implying, both at trial and on appeal, that over 200 directed donations would have been needed to find him sufficient compatible blood. On the other hand, we have found no indication in the record that 35 directed donations were likely to have been enough.
In these circumstances, we can do no more than conclude that Irwin should have been allowed to develop evidence tending to show that directed donations would not have been feasible in Michael's case. This evidence was relevant to the issue of proximate cause and we deem it sufficiently material to require a new trial. Whether it justifies a nonsuit will be for the trial court to determine after the evidence is in. (Cf. Julrik Productions, Inc. v. Chester (1974) 38 Cal. App.3d 807, 812 [113 Cal. Rptr. 527] [appellate court declines to engage in factfinding process with respect to erroneously excluded evidence].) It is difficult for us to see how evidence relating to Michael's blood type could be conclusive in Irwin's favor, because plaintiffs can always argue that they could have found more directed donors if they had to. (Cf. Rest.2d Torts, § 434, subd. (2)(a) [proximate cause is jury question unless jury could not reasonably differ on whether defendant's conduct was substantial factor in causing harm].)
We also have no way of properly evaluating the claim that plaintiffs cannot establish proximate causation because there was an "unanticipated" need for extra blood in connection with Michael's surgery. Irwin asserts that: 258*258 "it may reasonably be presumed" that any directed donations would only have covered the blood Michael needed "during" surgery; the University's medical records disclose that eight of the twelve units or components of blood Michael received were administered postoperatively; this indicates that Michael had an "unforseen" need for blood; and this unforeseen need would have been met with blood from Irwin's regular donor pool. Irwin also maintains that it was "effectively precluded" from making this argument at trial.
Irwin may have been dissuaded from making this argument by the rulings on evidence associated with Michael's blood type, but the argument in any event was never made, and no evidence to support it was ever developed. Insofar as it appears from the testimony on Michael's operation, the procedure went smoothly and was a complete success. We therefore do not know whether there was in fact any "unforeseen" need for blood in his case. This point, if valid, again appears relevant but not conclusive.
A new trial on the claim of negligent misrepresentation is required.
III. CLAIM OF NEGLIGENCE AGAINST IRWIN
A. Standard of Review
Most of the evidence at trial concerned the actions Irwin took, or allegedly should have taken, to safeguard its blood supply in early 1983 in light of concerns at the time that AIDS might be transmissible by blood. (10, 11) (See fn. 3.) The issue on appeal is whether, in light of that evidence, Irwin was entitled to judgment notwithstanding the verdict on plaintiffs' claim of negligence.[3]
(12) Well-settled standards govern judgments notwithstanding the verdict: "When presented with a motion for JNOV, the trial court cannot weigh 259*259 the evidence [citation], or judge the credibility of witnesses. [Citation.] If the evidence is conflicting or if several reasonable inferences may be drawn, the motion for judgment notwithstanding the verdict should be denied. [Citations.] A motion for judgment notwithstanding the verdict of a jury may properly be granted only if it appears from the evidence, viewed in the light most favorable to the party securing the verdict, that there is no substantial evidence to support the verdict. If there is any substantial evidence, or reasonable inferences to be drawn therefrom in support of the verdict, the motion should be denied. [Citation.] (Hauter v. Zogarts (1975) 14 Cal.3d 104, 110 [120 Cal. Rptr. 681, 534 P.2d 377, 74 A.L.R.3d 1282].) The same standard of review applies to the appellate court in reviewing the trial court's granting of the motion. (Henrioulle v. Marin Ventures, Inc. (1978) 20 Cal.3d 512, 515 [143 Cal. Rptr. 247, 573 P.2d 465]; Hauter, supra, at p. 111.) Accordingly, the evidence ... must be viewed in the light most favorable to the jury's verdict, resolving all conflicts and drawing all inferences in favor of that verdict." (Wright v. City of Los Angeles (1990) 219 Cal. App.3d 318, 343 [268 Cal. Rptr. 309], parallel citations and internal quotation marks omitted.)
B. Evidence
(1) Concerns About AIDS and the Blood Supply in Early 1983
Plaintiffs based their claim of negligence on Irwin's acts and omissions in January and February of 1983. Although the donor whose blood infected Michael was not identified, there was testimony that red blood cells have a shelf life of only 35 days, and the jury could infer that the blood in question was collected sometime during these two months. To put Irwin's procedures in proper perspective, it is necessary to outline the evidence on what was known about AIDS in early 1983, and the steps taken by blood banking organizations and regulators in light of that knowledge.[4]
The first cases in the United States of what later became known as AIDS were reported in 1981. Most of the early cases involved male homosexuals, intravenous drug users or Haitian immigrants. In July of 1982, the Centers 260*260 for Disease Control (CDC) reported that three heterosexual hemophiliacs, who were neither intravenous drug users nor Haitian immigrants, had contracted pneumocystis carinii pneumonia, an opportunistic infection associated with AIDS. This report suggested that AIDS might be transmissible by blood because these patients had received frequent injections of the blood product Factor VIII. However, Dr. Louis Aledort, who was then medical director of the National Hemophilia Foundation, testified that the report was discussed at an international conference on hemophilia shortly after its release and found to be inconclusive. According to Dr. Aledort and Dr. Paul Volberding, who began treating AIDS patients at San Francisco General Hospital in 1981, it was debated whether these cases involved an infectious agent in the blood, or suppression of the immune system from the chronic transfusions of concentrated blood proteins received by hemophiliacs.
In December of 1982, the CDC published a report by Dr. Perkins and others of a case of "possible transfusion-associated" AIDS. The case involved a 20-month old infant in the San Francisco area with symptoms resembling those seen among adults with AIDS. The infant received multiple transfusions shortly after birth, including platelets from a man who appeared to be in good health when he donated blood, but who began exhibiting symptoms associated with AIDS eight months later. The "editorial note" to this report, with footnotes omitted, states: "The etiology of AIDS remains unknown, but its reported occurrence among homosexual men, intravenous drug abusers, and persons with hemophilia A suggests it may be caused by an infectious agent transmitted sexually or through exposure to blood or blood products. If the infant's illness described in this report is AIDS, its occurrence following receipt of blood products from a known AIDS case adds support to the infectious-agent hypothesis. [¶] If the platelet transfusion contained an etiologic agent for AIDS, one must assume that the agent can be present in the blood of a donor before onset of symptomatic illness and that the incubation period for such illness can be relatively long.... [¶] This report and continuing reports of AIDS among persons with hemophilia A raise serious questions about the possible transmission of AIDS through blood and blood products."
These concerns led the CDC to convene a meeting on January 4, 1983. According to the invitation, the purpose of the meeting was "to formulate recommendations for the prevention of AIDS with special emphasis on possible transmission through blood and blood products." The meeting was attended by 80 to 100 people, including representatives of all of the major blood banking associations, the Food and Drug Administration (FDA), the National Gay Task Force and the news media. (13) (See fn. 5.) Three of those in attendance, Dr. Perkins, Dr. Aledort, and John Hink of Cutter 261*261 Laboratories, testified at trial.[5] Dr. Perkins said that "the meeting degenerated into a series of discussions that indicated that nobody was in agreement as to what should be done." Hink came to essentially the same conclusion in a memo two days after the meeting, in which he wrote that the "anti-discrimination position of the gays, self-serving comments of blood bankers and lack of data to provide legitimacy to many proposals resulted in an overall stalemate."
The cause of AIDS was unknown and there was no test for it at the time, but the CDC presented data on the results of various surrogate tests, performed on the blood of a limited population of people who exhibited symptoms of AIDS, which might be used to determine whether a donor was at high risk for the disease. The CDC estimated that only 5 percent of normal controls would be positive in anti-HBc tests for the antibody to the hepatitis B core antigen. However, all 21 of the intravenous drug users in the CDC's test group, and 88.2 percent of the 93 homosexuals or bisexuals in the group, tested positive for this antibody. Hink wrote in his memorandum that an "ever recurring" proposal at the meeting was to conduct anti-HBc tests and reject all blood that tested positive. Hink noted that the cost of the test "bothered many but not CDC." Dr. Aledort testified that "there was a great deal of beseeching and questioning and saying would somebody out there at least try and look at it." Dr. Perkins wrote in a January 9, 1983, memorandum that although "doubt was expressed that the test would select a high risk group for AIDS.... [f]urther experimental studies are clearly warranted."
The other "ever recurring" proposal at the CDC meeting, according to Hink, was to "[c]onduct an educational campaign on the subject [of AIDS] to all homosexual populations and allow them to voluntarily exclude themselves as blood and plasma donors." Hink described gay rights advocates as "definitely in favor" of AIDS education, but "greatly opposed" to exclusion of gays as donors. In his January 9 memo, Dr. Perkins wrote that "[t]he issue of rejecting prospective donors simply because they come from a high risk group was even more controversial" than surrogate testing. Perkins reported that "There was almost complete agreement that any policy which excluded all gay male donors was irrational, unscientific, unwise, and could jeopardize the nation's blood supply.... Some at the meeting obviously thought that working through leaders and physicians of the gay groups, it should be 262*262 possible to obtain voluntary restriction of donation by those male gays who fit the AIDS stereotype (very large numbers of sexual partners, indiscriminately chosen). No one thought this should be mandatory...."
On January 6, 1983, a committee of the American Association of Blood Banks (AABB) called a meeting to review what a witness at trial described as "the status of what blood banks could and should be doing" in light of the possibility that blood could transmit AIDS. The meeting was attended by representatives of the American Red Cross (ARC), the Council of Community Blood Centers (CCBC), and many of the other groups that had attended the CDC meeting two days earlier. On January 13, 1983, the AABB, ARC and CCBC issued a "Joint Statement on Acquired Immune Deficiency Syndrome (AIDS) Related to Transfusion," which, according to a physician who participated in the January 6 meeting, represented the "[c]ollective ... agreement by those responsible for provision of blood transfusions in the United States."[6]
The statement noted that less than 10 of the more than 800 AIDS cases then reported were possibly linked to blood transfusions, that approximately 10 million transfusions occur annually, and that evidence of transfusions transmitting AIDS was "inconclusive." The blood banking associations nevertheless believed that they "must respond to the possibility that a new and infectious illness has surfaced." They recommended that prospective donors be asked about AIDS-related symptoms, including "night sweats, unexplained fevers, unexpected weight loss, lymphadenopathy or Kaposi's sarcoma," and that all positive or suggestive answers "be evaluated before anyone donates." They also recommended that blood drives not target "groups that may have a high incidence of AIDS." They felt, however, that it was "inappropriate" to ask prospective donors about their sexual preference, and they did not advise "routine implementation of any laboratory screening program for AIDS," such as anti-HBc testing.
No other AIDS-related recommendations were made by these blood banking groups, and no AIDS-related guidelines were issued by the government, until March of 1983, after Michael's operation.
On March 4, 1983, the Public Health Service issued a statement on AIDS prevention. The statement noted that the distribution of AIDS cases paralleled that of hepatitis B, and that the incidence of AIDS in hemophilia patients, intravenous drug abusers, and transfusion recipients suggested that 263*263 AIDS was transmissible by blood. The statement observed that interested groups, including the American Association of Physicians for Human Rights and the National Gay Task Force, as well as the AABB, ARC and CCBC, had not agreed on the steps that should be taken to reduce this "potential risk" of AIDS transmission. The statement recommended that persons in high-risk groups refrain from donating blood, and it advised blood collection centers to inform potential donors of that recommendation. It also advised that studies be done to evaluate screening procedures, such as "laboratory tests as well as careful histories and physical examinations," that might identify blood with a high probability of transmitting AIDS.
The FDA issued recommendations on March 24, 1983. The FDA indicated that "[t]he major organizations engaged in blood collection have recently reached a consensus as to steps which should be taken to decrease the risk of transmitting AIDS by blood transfusion," and it stated that its recommendations were consistent with those of the AABB, ARC and CCBC. The recommendations called for blood banks to: inform people at increased risk of AIDS to refrain from donating; instruct their personnel on the use of questions to detect AIDS symptoms or exposure to those with AIDS; and establish procedures for handling of blood collected from donors suspected of having AIDS. On April 4, 1983, the AABB specified standard operating procedures in accordance with the FDA recommendations. The AABB disseminated FDA-approved literature to be given to prospective donors and listed AIDS-related symptoms to be elicited by donor screening.
(2) Irwin's Actions
Plaintiffs' principal theory of negligence is that Irwin should have started anti-HBc surrogate testing for AIDS prior to Michael's operation. (14) (See fn. 7.) Plaintiffs also argue that Irwin's practices with respect to donor questioning were negligent.[7] The evidence of Irwin's actions in these areas was as follows.
(a) Anti-HBc Testing
Dr. Perkins testified that Irwin acted on the assumption that AIDS could be transmitted by blood from the time of the December 1982 report of the 264*264 infant who appeared to have contracted AIDS from a transfusion. Perkins noted that the anti-HBc test results reported by the CDC at the January 4 meeting were inconclusive because they were performed on people who exhibited symptoms of AIDS, and there was no data on "whether people who appeared to be healthy and were carrying this presumed virus" would test positive. He explained that the real need was for a test that would eliminate the asymptomatic donors, because routine medical screening would identify people with full-blown AIDS like those in the CDC's test group. However, he "went home [from the CDC meeting] with a message that we ought to look into those tests and see if they would be useful." Two days after the CDC meeting, Perkins wrote a memorandum to Irwin's executive director and others outlining some of the difficulties he foresaw in evaluating surrogate tests for AIDS. His preliminary conclusion was "essentially that we will not learn anything."
Dr. Marcus Conant invited Perkins to a meeting at the University on January 20, 1983, to discuss transfusion-associated AIDS. Conant estimated that 50 physicians attended the meeting, and he recalled that there was a split of opinion among them on the utility of surrogate testing. On that issue, Conant's impressions were that "Dr. Perkins at that time did not feel that they had many high risk donors going to Irwin," or that "the problem was as acute as I and others felt it was." Conant said Perkins also expressed "concern about the cost of doing the [anti-HBc] test," which was stated at the meeting to be $5. Perkins testified he "thought we were all in agreement" when the meeting concluded, but it later appeared "they misunderstood what I was saying."
According to a telephone message, Conant called Perkins on January 28 to inform him "that a group of physicians from UCSF are planning to make a public statement next week concerning their demand that all blood be tested for hepatitis B core antibody." On that date, Conant and Dr. David Altman circulated to other physicians the text of the proposed statement for their review and comment. The memo began: "Concern has been expressed that additional steps should be taken to screen blood at the Irwin Memorial Blood Bank that is being donated by gay men in San Francisco. To date no public group has made a statement about using hepatitis B core antibody as a screen...." Perkins called Conant back on January 31 and told Conant that he "could understand the arguments which led to such a statement but was not ready to agree with it." Perkin's memo on the conversation noted that the proposed statement "failed to list the pros and cons of testing. I pointed out that the CDC data showed that 12% of known AIDS cases had neg[ative] tests for anti-HBc, and that the frequency could be much greater in the incubation phase. [¶] I pointed out that we would permanently lose 5% of 265*265 our donors, and that many of these would be driven to hysterics no matter how we reassured them."
On February 2, Conant, Altman and four other University physicians issued a press release stating: "It seems likely that the acquired immunodeficiency syndrome, AIDS, is caused by an infectious agent that is transmitted through sexual contact and/or blood or blood products, but neither the agent (or agents) nor the exact mode of transmission has been identified. Because of the strong possibility of an infectious agent being involved, the Centers for Disease Control has issued guidelines for medical personnel to follow in handling AIDS-related material.... [¶] Although a serologic marker for AIDS is not yet available, two facts compel us to recommend th[e] following screening test: First, AIDS seems to be transmitted in a manner parallel to that of hepatitis B virus; second, in patients with AIDS there is a very high incidence of the antibody to the hepatitis B core antigen, anti-HBc, a very sensitive marker for hepatitis B virus infection. This test is now readily available to clinicians and laboratories. [¶] We are recommending that the Irwin Memorial Blood Bank and other blood banks in New York and Los Angeles, where there is a high incidence of AIDS, investigate the feasibility of screening all donated blood for anti-HBc...."
Four of the six physicians who signed this press release testified at trial. They all said that the release was not intended as a directive to Irwin to immediately begin anti-HBc testing, but rather to do a study of its feasibility. Advocates of anti-Hbc testing at this time included Bay Area Physicians for Human Rights (BAPHRA), an organization of health care providers dedicated to promoting the health concerns of lesbians and gays. Dr. Perkins testified that Irwin personnel met frequently with members of BAPHRA beginning in December of 1982. He said BAPHRA advocated surrogate testing in lieu of excluding donors on the basis of sexual preference because "[t]hey wanted something that would not stigmatize gays."
Perkins indicated that Irwin had begun "moving to set up surrogate tests for evaluation purposes" in January of 1983. For various reasons, however, a protocol for meaningful testing could not be set up within a matter of weeks: "You have to decide what you are going to do, and that means consulting a lot of experts. You have to decide how you are going to do it. You have to make plans for what you will need, and you have to find out if the supplies will be available and you have to get them in. And then you have to begin to train your people on the procedures needed to do the test." Perkins explained that, because of the high volume of samples that needed to be processed, Irwin could not simply hire trained people to begin testing immediately. Dr. Aledort estimated that it would take several months to set up the test.
266*266 Perkins said that Irwin had only a small amount of supplies for anti-HBc testing in early February. He told hospital representatives at a meeting on February 8 that Irwin was "embarking on a study" of the test. Perkins ordered 10,000 anti-HBc testing kits on February 10. According to his memo on that date, testing would begin as soon as the kits arrived, and 10,000 tests would be completed before Irwin decided "whether to make the test part of our routine." Irwin did not begin its trial of anti-HBc testing until March of 1983, after Michael's operation.[8]
(b) Donor Questioning
On January 7, 1983, after returning from the CDC meeting, Dr. Perkins circulated a memo to Irwin personnel to immediately add three AIDS-related questions to the medical histories of prospective donors. These questions asked whether donors: had ever resided in Haiti; had problems with swollen lymph nodes in the last two years; or had unexplained fevers. Perkins estimated that Irwin collected 2,000-3,000 units of blood between January 7 and January 19, 1983, when it began asking additional questions about AIDS-related symptoms in accordance with the January 13 statement by the AABB, ARC and CCBC.
On February 8, 1983, Irwin began asking prospective donors whether they had had multiple sex partners who were intravenous drug users, Haitian immigrants, or homosexually active males. Perkins testified that Irwin worked with community leaders after the first report of possible transfusion-associated AIDS in December to get the message out that gays who had had large numbers of anonymous sexual partners should not donate blood. He said that the evidence at the CDC meeting was that only so-called "fast lane" gays were getting AIDS. By the end of January, however, cases of AIDS were appearing among gays who had not had numerous anonymous sex partners. This led Irwin to begin excluding gays as donors unless they had been celibate or monogamous for the period of time AIDS was believed to incubate. Perkins estimated that Irwin collected 8,000-10,000 units of blood between January 1 and February 8, 1983, when it began asking about sexual 267*267 orientation. The language Irwin developed in this area "became common nomenclature throughout blood banking."
It does not appear that Irwin's donor questioning changed again before Michael's operation. Between February 8 and April 7, 1983, nurses noted on donor medical history cards that all of Irwin's AIDS-related questions had been asked. On April 7, the questions were incorporated into a new donor card. Perkins said that Irwin deferred printing the new cards pending the expected release of FDA recommendations in March. Questions on the new card covered all topics specified in the FDA's March 24 recommendations and the AABB's April 4 standard operating procedures for donor screening.[9]
Perkins indicated that Irwin allowed adult and repeat donors to fill out their own cards to save time and encourage candid responses. The card that went into use on April 7 contained signature lines for the donor and a medical historian. It asked the donor to aver that "The medical history I have given is true and accurate to the best of my knowledge." Perkins said that people would often deny being gay or bisexual, and that was "why we didn't ask that question point blank."
The evidence includes a letter written by Cutter's John Hink to a physician at a plasma center on February 14, 1983, stating: "... You may have read about the Amer. Assn. of Blood Banks' (and in particular the Irwin Memorial Blood Bank of San Francisco) reluctance to screen homosexual donors. They were concerned about the potential reduction in availability of whole blood (and possibly discrimination) but have given in to the tremendous pressure from the public and regulatory authorities...."
(3) Expert Opinions
To assess the judgment notwithstanding the verdict, we must focus on the qualifications and testimony of plaintiffs' experts: Dr. Thomas Asher; Dr. William O'Connor; and Dr. J. Garrott Allen.
Dr. Asher received a Ph.D. in microbiology from the University of London in 1950. He worked six years for the CDC, then known as the Communicable Disease Center, where his duties included investigation of hepatitis 268*268 epidemics and disease diagnosis based on immune response. He worked eight years for Highland Laboratories, a large manufacturer of plasma products, which at the time had a whole blood bank. Asher became Highland's director of quality assurance, and monitored "how efficiently we were running a whole blood bank equivalent to the type of blood banks" in this case. He then formed his own plasma products business, sold it, and started a second company, HemaCare Corporation, a commercial supplier of specialized blood products. Asher testified that about half of HemaCare's activities could be considered a "very sophisticated form of blood banking." He was on the board of directors of the American Blood Resources Association (ABRA), the trade association for the plasma sector of the blood industry, in 1982 and 1983. He addressed the Presidential Commission on the HIV Epidemic in the spring of 1988.
Asher testified that he had studied literature on the subject of AIDS and the results of others' AIDS research. He said he first suspected AIDS was transmissible by blood "in mid 1982." It was "very obvious" to him in early 1982 that AIDS had a similar epidemiology to hepatitis B, which was known to be an infectious disease that could be passed through blood. He described the July 1982 report of AIDS in hemophilia patients as "the smoking gun" that showed blood could transmit AIDS. Asher said that he had reviewed the evidence of Irwin's actions in January and February of 1983 in response to concerns about AIDS. Based on that evidence, and his training and experience in the blood industry, Asher opined that Irwin's actions were "insufficient and inadequate. [¶] I feel that they failed to, to do certain things that other people knew of and that they should have done, that a prudent person would have done."
Asher said that surrogate testing was economically feasible at the time, and in his view it made more "sense to perform surrogate testing and lose a percentage of donors than it did to take a chance of killing people or infecting people." His company did not institute anti-HBc testing after the January 4 CDC meeting. However, it began taking total lymphocyte counts, another form of surrogate testing discussed at the meeting, and it rejected donors who fell below a certain count on this test. Asher's company also "became much more thorough" in its medical history screening during this period. It started asking donors whether they were intravenous drug users or practicing homosexuals, and it required donors to attest that they were not in any of the groups at increased risk of AIDS.
Asher opined that the questions Irwin first asked upon Perkins's return from the CDC meeting, which covered only Haitian residence, swollen lymph nodes and night sweats, were "inadequate" in light of the data then 269*269 available. Asher thought that there "should have been more questioning covering all of the symptoms associated with AIDS, not these three criteria." Asher further opined that the questioning on Irwin's April 1983 donor card was inadequate. He said that donors could not have been expected to accurately interpret the card's abbreviated sentences about AIDS. He also thought that Irwin should have asked its donors to attest to the best of their knowledge that they were not at risk for the disease.
Asher indicated that such an attestation was required by every company in the plasma sector of the blood industry "by sometime at the end of February or at the latest in March" of 1983. He also said he knew of a plasma company that was "doing a survey" of anti-HBc testing in "Late '82, early '83." Asher admitted he knew of no blood bank that took lymphocyte counts or performed anti-HBc tests for AIDS in February of 1983. (15) (See fn. 10.) However, he maintained that all blood banks were "very slow to respond" to the AIDS problem because they are "geographic monopolies" that do not have to compete "in their predesigned boundaries" with other blood suppliers.[10]
Dr. O'Connor graduated from medical school in 1981 and worked as a family practice physician. He became convinced that blood could transmit AIDS in July of 1982, when cases of the disease were reported in hemophilia patients. He testified that he "had a very deep concern about this epidemic from pretty much its onset," and had "developed over the years an expertise" on the subject "that is not only recognized by myself but persons with the field." He said "the majority of researchers by mid to late 1982 accepted that [AIDS] was a transmissible agent and most probably a virus." O'Connor was "critical" of Irwin for failing to institute anti-HBc testing after receiving the data presented at the January 4 CDC meeting.
On cross-examination, O'Connor acknowledged that he had never worked as a blood banker, and that he had never published an article on AIDS in any medical journal. He admitted that as of February 1983 no medical journal had reported that AIDS was caused by a virus. He conceded that the CDC's data in January of 1983 did not indicate how many asymptomatic people with AIDS would test anti-HBc positive. He could not identify any blood bank that conducted anti-HBc surrogate testing for AIDS in February of 270*270 1983. O'Connor noted that John Hink's memorandum on the CDC meeting said someone there named Fetzer "was going to go back and do hepatitis B core testing at his shop," but O'Connor did not know who Fetzer was or whether he worked at a blood bank.
Dr. J. Garrott Allen received his medical degree in 1938. He set up the blood bank at the University of Chicago clinics in 1941 and ran it for 18 years before leaving to head the department of surgery at Stanford Medical School. He wrote a textbook in 1972 on the epidemiology of posttransfusion hepatitis, and he authored numerous articles between 1944 and 1987 on blood diseases, blood transfusion, blood products and blood banking. Allen indicated that he had disagreements with the blood industry on various matters throughout his career, and that he had been critical of Irwin for 20 years. Allen opined that Irwin should have commenced surrogate testing in light of the evidence presented at the CDC meeting.
The background and testimony of Irwin's experts may be summarized more briefly. Dr. Paul Holland was chief of the blood bank at the National Institutes of Health for 20 years through September of 1983. Holland helped author the January 13, 1983, AABB statement that recommended against surrogate tests for AIDS or sexual preference questioning of prospective donors. He opined that the standard of care for blood banks in January and February of 1983 did not require surrogate testing. His investigations had revealed no blood bank performing surrogate tests at that time, and he said that Irwin was "way ahead of everybody else" when it made arrangements in February of 1983 to conduct a study of anti-HBc testing. In his opinion, it would have been "very inappropriate" for Irwin to begin routine anti-HBc testing before studying whether it would work.
Dr. Steven Kleinman had worked for the ARC in Orange County, California since July of 1982, spoken widely on the subject of AIDS and the blood supply, and written numerous articles on blood banking and transfusion-related diseases, including AIDS. He was asked whether, in light of its arrangements for surrogate testing and donor questioning, Irwin was doing "what a reasonably prudent and careful blood bank should have done" as of February 15, 1983, to combat the spread of AIDS. He opined that Irwin was acting "very responsibly" and doing more in those areas than any other blood bank. He said that the ARC also began asking AIDS-related questions in February of 1983.
Dr. Harold Oberman was a professor at the University of Michigan and director of the blood bank at its medical center, past president of the Michigan Association of Blood Banks, and author of over 100 scientific 271*271 articles in the fields of pathology and blood banking. Oberman opined that Irwin's donor questioning in mid-February 1983 represented what a reasonably prudent blood bank should have been doing at the time to eliminate those at high risk for AIDS. He also said that Irwin was doing more than any other blood bank in the country in the areas of donor questioning and anti-HBc testing.
C. Form of Plaintiffs' Expert Testimony
The form of their experts' testimony suggests that plaintiffs assumed their case against Irwin was one of ordinary negligence. Plaintiffs' experts did not couch their opinions in terms of the standard of care for blood banks in early 1983. They simply said what Irwin "should" have done, or what a "reasonable person" would have done, in light of what was known about AIDS at the time. We ultimately conclude that this distinction is one of substance as well as form, but the threshold question is whether Irwin should be held to a professional standard of care.
We note that this appears to be a point of first impression in California. The precedents indicating that blood banks are not subject to strict liability for providing contaminated blood (see Health & Saf. Code, § 1606 [distribution of blood is a service rather than a sale]) have observed that blood banks may be sued for negligence but have not undertaken to define the standard of care. (See McDonald v. Sacramento Medical Foundation Blood Bank (1976) 62 Cal. App.3d 866, 872 [133 Cal. Rptr. 444]; Klaus v. Alameda-Contra Costa Medical Assn. Blood Bank, Inc. (1976) 62 Cal. App.3d 417, 419 [133 Cal. Rptr. 92].) (16) We have determined that Irwin is a "health care provider" within the meaning of MICRA (Coe v. Superior Court (1990) 220 Cal. App.3d 48, 53 [269 Cal. Rptr. 368]), and there is no question that donor screening and blood testing are "professional services" for purposes of MICRA (see Civ. Code, §§ 3333.1, subd. (c)(2), 3333.2, subd. (c)(2); and Code Civ. Proc., § 667.7, subd. (e)(4) [defining "professional negligence" in pertinent part as "a negligent act or omission to act by a health care provider in the rendering of professional services"].) However, MICRA's damage limitations do not purport to define the standard of care.
(17) We conclude that the adequacy of a blood bank's actions to prevent the contamination of blood is a question of professional negligence and fulfillment of a professional standard of care. As another court has observed, the "activities of [the blood bank] at issue here — the collection, processing, and testing of blood for transfusion — no doubt require the exercise of professional expertise and professional judgment." (Doe v. American Red Cross Blood Services, S.C. Region (D.S.C. 1989) 125 F.R.D. 637, 642.)
272*272 This conclusion is consistent with most of the cases in other jurisdictions that have considered negligence claims against blood banks. (See Doe v. American Red Cross Blood Services (1989) 297 S.C. 430 [377 S.E.2d 323, 326]; Kirkendall v. Harbor Ins. Co., supra, 698 F. Supp. at p. 778; Kozup v. Georgetown University, supra, 663 F. Supp. at p. 1057; Tufaro v. Methodist Hospital, Inc. (La. Ct. App. 1979) 368 So.2d 1219, 1221; Hines v. St. Joseph's Hospital (App. 1974) 86 N.M. 763 [527 P.2d 1075, 1078]; Hutchins v. Blood Services of Montana (1973) 161 Mont. 359 [506 P.2d 449, 452-453]; see also Comment (1989) 41 S.C.L.Rev. 107, 114 ["most courts only hold blood banks to a `professional' rather than a `reasonable man' standard of care"].) This conclusion is also consistent with California cases that have applied a professional standard to activities involving special training and skill. (See, e.g., Landeros v. Flood (1976) 17 Cal.3d 399, 408 [131 Cal. Rptr. 69, 551 P.2d 389, 97 A.L.R.3d 324] [physicians]; Fraijo v. Hartland Hospital (1979) 99 Cal. App.3d 331, 342 [160 Cal. Rptr. 246] [nurses]; Neel v. Magana, Olney, Levy, Cathcart & Gelfand (1971) 6 Cal.3d 176, 187-189 [98 Cal. Rptr. 837, 491 P.2d 421] [lawyers].)
Irwin was therefore required to exercise with respect to blood testing and donor screening "that reasonable degree of skill, knowledge, and care ordinarily possessed and exercised" by other blood banks "under similar circumstances." (Mann v. Cracchiolo (1985) 38 Cal.3d 18, 36 [210 Cal. Rptr. 762, 694 P.2d 1134] [medical malpractice]; Landeros v. Flood, supra, 17 Cal.3d at p. 408 [same].) Although this same standard of care applies generally to "[t]hose undertaking to render expert services in the practice of a profession or trade" (Estate of Beach (1975) 15 Cal.3d 623, 635 [125 Cal. Rptr. 570, 542 P.2d 994]), we will refer to authorities in the area of medical malpractice because blood banking has appropriately been treated as a medical service. (See Doe v. American Red Cross Blood Services, supra, 377 S.E.2d at p. 326 [collection and processing of blood for transfusion is a "medical service"]; Tufaro v. Methodist Hospital, Inc., supra, 368 So.2d at p. 1221 [standard of care for physicians and surgeons applies to collection and transfusion of blood]; Hutchins v. Blood Services of Montana, supra, 506 P.2d at pp. 452-453; Cal. Code Regs., tit. 17, § 998, subd. (b) [director of blood bank must be licensed as physician and surgeon]; 21 C.F.R. § 640.3(a) [suitability of blood donor shall be determined by or under supervision of qualified physician]; and cf. Coe v. Superior Court, supra, 220 Cal. App.3d at p. 53 [blood banks' activities are "inextricably identified with the health of humans"].)
A "blood bank" is defined in Health and Safety Code section 1600.2 as "any place where human whole blood, and human whole blood derivatives specified by regulation, are collected, prepared, tested, processed, or stored, 273*273 or from which human whole blood or human whole blood derivatives specified by regulation are distributed." (Cf. Health & Saf. Code, § 1603.1, subd. (i) [defining "plasma center"].) Irwin argued at trial in connection with the testimony of Dr. Asher that it should only be judged with reference to other "non-profit blood centers that collect from volunteer donors whole blood that is used, on a unit-by-unit basis, for transfusion purposes."[11] It could be argued that the only blood banks in "similar circumstances" to those of Irwin in January and February of 1983 were those in other cities known to have a relatively high incidence of AIDS. It could also be argued that AIDS posed essentially the same risk for every blood bank and blood supplier in the nation. None of these arguments with respect to the standard of care is developed on appeal. For purposes of this opinion, we will assume that Irwin was similarly situated to all blood banks fitting California's statutory definition.
Irwin does not challenge the form of plaintiffs' expert opinions. Aside from the expert testimony, all of the evidence on negligence related to knowledge about AIDS in early 1983 and actions of blood banks in light of that knowledge. In the context of that evidence, it can be inferred that plaintiffs' experts were opining on what the standard of care for blood banks required. (See Wright v. City of Los Angeles, supra, 219 Cal. App.3d at p. 343 [party who secured verdict entitled to every favorable inference on appeal from judgment notwithstanding the verdict]; and cf. Tomei v. Henning (1967) 67 Cal.2d 319, 322 [62 Cal. Rptr. 9, 431 P.2d 633] [expert opinion on negligence "need not be in any particular language"].)
D. Qualifications of Plaintiffs' Experts
Irwin contends that the court erred in allowing plaintiffs' experts to testify because they were not qualified to opine on the issue of Irwin's negligence. This argument is potentially dispositive. (18) The standard of care in a professional negligence case "`... is a matter peculiarly within the knowledge of experts; it presents the basic issue in a malpractice action and can only be proved by their testimony [citations], unless the conduct required by the particular circumstances is within the common knowledge of the layman.' [Citations.]" (Landeros v. Flood, supra, 17 Cal.3d at p. 410; see also Estate of Beach, supra, 15 Cal.3d at p. 635.) Steps that should have been taken to safeguard the blood supply in early 1983 are not matters of "common knowledge." Plaintiffs thus needed opinions from qualified experts to establish a prima facie case. (See Carson v. Facilities Development Co. (1984) 36 Cal.3d 830, 844 [206 Cal. Rptr. 136, 686 P.2d 656].)
274*274 (19) "It is for the trial court to determine, in the exercise of a sound discretion, the competency and qualification of an expert witness to give his opinion in evidence [citation], and its ruling will not be disturbed on appeal unless a manifest abuse of that discretion is shown." (Huffman v. Lindquist (1951) 37 Cal.2d 465, 476 [234 P.2d 34, 29 A.L.R.2d 485]; see generally 3 Witkin, Cal. Evidence (3d ed. 1986) § 1844, pp. 1799-1800 and authorities cited.) We find no abuse of discretion in this instance.
The background and credentials of Dr. Allen were comparable to those of Irwin's experts and are not challenged on appeal. Irwin's sole, incorrect point on Dr. Allen is that he was "dismissed from the stand because of his evident senility."[12] The court described Allen's initial testimony as "rambling" and stated that he did not appear qualified. However, the court evidently changed its mind because Allen was later recalled to the stand and allowed to opine on Irwin's negligence. As previously noted, Allen said that Irwin should have begun anti-HBc testing in January of 1983 after receiving the CDC's surrogate testing data. The existence of qualified expert testimony on that issue is effectively conceded.
(20) Irwin's principal objection to Dr. Asher, who opined on donor questioning as well as surrogate testing, is that he had never worked in a nonprofit blood bank. However, work in a particular field is not an absolute prerequisite to qualification as an expert in that field. (See Ammon v. Superior Court (1988) 205 Cal. App.3d 783, 791 [252 Cal. Rptr. 748] [physician may be competent to opine outside of specialty based on education or observation]; Evid. Code, § 720, subd. (a) [qualification may be based on education or special knowledge as well as experience].) "Members of a profession, especially those members who specialize in a particular field ... will naturally be reluctant to testify against one another. Respect for fellow specialists, understanding of the complexities of the specialty and the margin for error, and fear of retaliation are motivations which could lead any professional to refuse to take the stand against a colleague." (Jeffer, Mangels & Butler v. Glickman (1991) 234 Cal. App.3d 1432, 1439 [286 Cal. Rptr. 243].) These considerations would apply as much to blood bankers as other professionals, and an overly strict standard of qualification could make it inordinately difficult to secure a qualified expert. (See Brown v. Colm (1974) 11 Cal.3d 639, 646 [114 Cal. Rptr. 128, 522 P.2d 688].)
275*275 Irwin notes that Asher was not a medical doctor, but again that is not conclusive. "`"The unmistakable general trend in recent years has been toward liberalizing the rules relating to the testimonial qualifications of medical experts."' [Citation.] `[I]t cannot be said as a matter of law that an individual is not qualified to give a medical opinion just because that person is not a licensed physician. [Citation.] Because of the dramatic growth of diverse interdisciplinary studies in recent times, often individuals of different nonphysician professions are called upon to give medical opinions or at least opinions involving some medical expertise.'" (Ammon v. Superior Court, supra, 205 Cal. App.3d at p. 791.) The court could reasonably find that Asher was qualified to opine against Irwin based on his education, his work with the CDC, and his experience in the commercial blood industry.
Having concluded that Drs. Allen and Asher were properly qualified as experts, we need not determine whether this was also true of Dr. O'Connor. Qualified experts opined that Irwin was negligent in the areas of surrogate testing and donor questioning, and the issue is whether those opinions precluded the granting of Irwin's motion for judgment notwithstanding the verdict.
E. Sufficiency of Plaintiffs' Expert Opinions
(21) The standards for granting a judgment notwithstanding the verdict are the same as those for directing a verdict (see Code Civ. Proc., § 629), and "the cardinal requirement for a directed verdict is that there be no substantial conflict in the evidence" (see Cal. Judges' Benchbook — Civil Trials (CJER 1981) § 9.87, p. 317 and authorities cited). (22) There was no conflict in the evidence on the issue of negligence in this case apart from expert opinions on the standard of care for blood banks in early 1983. On appeal from a judgment notwithstanding the verdict, we cannot "weigh" the expert opinions to the extent they were in conflict. (See Wright v. City of Los Angeles, supra, 219 Cal. App.3d at p. 343.) However, we may take into account uncontradicted testimony that Irwin was doing more than any other blood bank in the areas of its alleged negligence, and we may also consider other undisputed evidence bearing on the custom and practice of blood banks at the time. (Cf. Enriquez v. Smyth (1985) 173 Cal. App.3d 691, 697 [219 Cal. Rptr. 267] [substantial evidence of legal malpractice assessed "`on the entire record'"].)
(23a) Looking first at surrogate testing, the undisputed evidence is that no blood bank ran anti-HBc tests for AIDS in January and February of 1983. Although concerns about AIDS and the blood supply had recently surfaced, 276*276 no recommendations on the subject had been issued by any governmental agency, and the recommendations issued later did not endorse anti-HBc testing. The only published standards at the time were those of the AABB, ARC and CCBC, who jointly advised against any routine laboratory screening for AIDS. It is apparent that there were people at the January 4 CDC meeting and at the University who advocated anti-HBc testing. But the professional consensus at the time, reflected in both the joint statement of the blood banking associations and the universal practice among blood banks, was that further study of the test was needed. Plaintiffs' case for anti-HBc testing thus boils down to the proposition that the entire blood banking profession was negligent. We find that proposition to be untenable.
(24) Plaintiffs contend that custom and practice are relevant, but not conclusive, on the standard of care. This is the general rule in cases of ordinary negligence. (See Kinney & Wilder, Medical Standard Setting in the Current Malpractice Environment: Problems and Possibilities (1989) 22 U.C. Davis L.Rev. 421, 439-40 [hereafter Kinney and Wilder]; Keeton, Medical Negligence — The Standard of Care (1979) 10 Tex. Tech L.Rev. 351, 354 [hereafter Keeton].) The leading case for this rule is The T.J. Hooper (2d Cir.1932) 60 F.2d 737, 740, where Learned Hand wrote that "in most cases reasonable prudence is in fact common prudence; but strictly it is never its measure; a whole calling may have unduly lagged in the adoption of new and available devices. It never may set its own tests, however persuasive be its usages. Courts must in the end say what is required; there are precautions so imperative that even their universal disregard will not excuse their omission." (See also Texas & Pacific Ry. Co. v. Behymer (1903) 189 U.S. 468, 470 [47 L.Ed. 905, 906, 23 S.Ct. 622] [Justice Holmes's observation that "what ought to be done is fixed by a standard of reasonable prudence, whether it usually is complied with or not"].) There is no question that California follows this rule in ordinary negligence cases. (See BAJI No. 3.16 (7th ed. 1986) [Evidence of Custom in Relation to Ordinary Care].)
This is a case of professional negligence, however, and we must assess the role of custom and practice in that context. The question presented here is whether California law permits an expert to second-guess an entire profession. We have found no definitive precedent on this issue and it is not one that is likely to arise.
Custom and practice are not controlling in cases, unlike ours, where a layperson can infer negligence by a professional without any expert testimony. In Leonard v. Watsonville Community Hosp. (1956) 47 Cal.2d 509 [305 P.2d 36], for example, where a clamp was left in the plaintiff's body after surgery, the lack of an "`established practice'" of counting clamps did 277*277 not preclude a finding of negligence: "[D]efendants seek to avoid liability on the theory that they were required to exercise only that degree of skill employed by other hospitals and nurses in the community. It is a matter of common knowledge, however, that no special skill is required in counting instruments. Although under such circumstances proof of practice or custom is some evidence of what should be done and may assist in the determination of what constitutes due care, it does not conclusively establish the standard of care." (Id., at p. 519 [italics added].) Here again California follows the general rule. (See Morris, Custom and Negligence (1942) 42 Colum. L.Rev. 1147, 1165 [hereafter Morris].)
On the other hand, in cases like ours where experts are needed to show negligence, their testimony sets the standard of care (BAJI Nos. 6.30 and 6.37.4 (7th ed. 1986) pp. 205, 219) and is said to be "conclusive" (see Engelking v. Carlson (1939) 13 Cal.2d 216, 221 [88 P.2d 695]; disapproved on another point in Siverson v. Weber (1962) 57 Cal.2d 834 [22 Cal. Rptr. 337, 372 P.2d 97]). "Ordinarily, where a professional person is accused of negligence in failing to adhere to accepted standards within his profession the accepted standards must be established only by qualified expert testimony [citations] unless the standard is a matter of common knowledge. [Citation.] However, when the matter in issue is within the knowledge of experts only and not within common knowledge, expert evidence is conclusive and cannot be disregarded." (Huber, Hunt & Nichols, Inc. v. Moore (1977) 67 Cal. App.3d 278, 313 [136 Cal. Rptr. 603]; see also Lysick v. Walcom, supra, 258 Cal. App.2d at p. 156.) Qualified expert opinion will thus generally preclude a directed verdict in a professional negligence case.
(23b) This case, however, is distinguishable. Experts' testimony ordinarily cannot be "disregarded" because it cannot be said that their opinions about what should have been done do not reflect the custom and practice of the profession. When an expert describes the "standard technique" for a knee operation (Engelking v. Carlson, supra, 13 Cal.2d 216), or what a reasonable attorney would do to settle a wrongful death action (Lysick v. Walcom, supra, 258 Cal. App.2d 136), or how long an architect should take to approve change orders on a construction project (Huber, Hunt & Nichols, Inc. v. Moore, supra, 67 Cal. App.3d 278), it is impossible to say that no surgeon, lawyer or architect was doing what the expert said was required. Here it is undisputed that no blood bank in the country was doing what the plaintiffs' experts' standard of care would require of Irwin, and we have an unusual situation where we are called upon to address the significance of a universal practice.
This issue was certified to the South Carolina Supreme Court in Doe v. American Red Cross Blood Services, S.C. Region, supra, 125 F.R.D. 637, in 278*278 the context of a claim that the Red Cross was negligent for failing to perform anti-HBc surrogate tests for AIDS before January of 1985. The federal court asked whether "professionals are always absolved from negligence liability where their conduct is consistent with generally recognized and accepted professional practices" (id., at p. 642), and stated that "courts and commentators across the country are sharply split on this question" (ibid. [citing cases outside of California and medical malpractice commentaries]).
While it may be true that "[a]n increasing number of courts are rejecting the customary practice standard in favor of a reasonable care or reasonably prudent doctor standard" (Prosser & Keeton, The Law of Torts (5th ed., 1988 pocket supp.) p. 30, fn. 53 [citing cases outside California]), numerous commentaries have noted that custom generally sets the standard of care. (See, e.g., Kinney & Wilder, supra, 22 U.C. Davis L.Rev. at p. 442; King, In Search of a Standard of Care for the Medical Profession: The "Accepted Practice" Formula (1975) 28 Vand. L.Rev. 1213, 1235, 1245-1246 [hereafter King]; McCoid, The Care Required of Medical Practitioners (1959) 12 Vand. L.Rev. 549, 560, 606 [hereafter McCoid]; Morris, supra, 42 Colum. L.Rev. at pp. 1163-1164; Comment (1990) 61 U. Colo. L.Rev. 81, 88; and Comment (1984) 21 San Diego L.Rev. 455, 464 [suggesting that California follows this general rule].)[13]
Most commentators have urged that a customary or accepted practice standard is preferable to one that allows for the disregard of professional judgment. (Compare Keeton, supra, 10 Tex.Tech L.Rev. at pp. 364-365; King, supra, 28 Vand. L.Rev. at p. 1249; and McCoid, supra, 12 Vand. L.Rev. at p. 609; with Comment (1970) 23 Vand. L.Rev. 729, 745.) Indeed, the more recent commentaries are not concerned with whether customary practices should be the maximum expected of medical practitioners, but rather with whether those practices should continue to set a minimum standard in a time of increasing economic constraints. (See generally, e.g., Morreim, Cost Containment and the Standard of Medical Care (1987) 75 Cal. L.Rev. 1719; Havighurst, Altering the Applicable Standard of Care (1986) 49 Law & Contemp. Probs. 265; Note (1985) 98 Harv. L.Rev. 1004.)
(24b) The basic reason why professionals are usually held only to a standard of custom and practice is that their informed approach to matters 279*279 outside common knowledge should not be "evaluated by the ad hoc judgments of a lay judge or lay jurors aided by hindsight." (King, supra, 28 Vand. L.Rev. at p. 1249.) In the words of a leading authority, "When it can be said that the collective wisdom of the profession is that a particular course of action is the desirable course, then it would seem that the collective wisdom should be followed by the courts." (Keeton, supra, 10 Tex. Tech L.Rev. at pp. 364-365.)
The "most famous ... judicial departure from the usual rule" is Helling v. Carey (1974) 83 Wn.2d 514 [519 P.2d 981]. (Kinney and Wilder, supra, 22 U.C. Davis L.Rev. at 442.) In that case, the Washington Supreme Court held ophthalmologists negligent as a matter of law for failing to administer routine glaucoma tests to a patient under the age of 40, despite expert testimony from both sides that the standards of the profession did not require such testing of patients that age. The court reached this decision by balancing its perception of the seriousness of the disease against the cost of the test. (Helling v. Carey, supra, at p. 983 [citing Justices Hand and Holmes].)
Most of the commentary on this case has been unfavorable. A contemporary observer wrote that the Helling court had "unwisely ... arrogated to itself medical decisions, superimposing its medical judgment upon the collective experience of the medical profession. Can it really be said that medical judgments of the courts will be `right' more often than those guided by approved medical practices?" (King, supra, 28 Vand. L.Rev. at p. 1250; see also Keeton, supra, 10 Tex. Tech L.Rev. at pp. 367-8.) Such concerns may have been borne out by subsequent medical research: "It is a telling commentary on the judicial performance in the Helling case that medical research taking all relevant factors into account provides no convincing evidence for the cost-effectiveness of even the customary practice of screening all patients over age 40 for glaucoma. [Citation.] The Washington court, which held on the basis of its own intuition that it was negligence not to screen the plaintiff because she was under 40, is thus left with egg on its face." (Havighurst, Private Reform of Tort-Law Dogma: Market Opportunities and Legal Obstacles (1986) 49 Law & Contemp. Probs. 143, 159, fn. 45.)
(25) (See fn. 14.) We have found only one California case endorsing Helling v. Carey.[14] Barton v. Owen (1977) 71 Cal. App.3d 484 [139 Cal. Rptr. 494], reversed a malpractice verdict for a physician because the evidence did not 280*280 support a jury instruction given on the patient's contributory negligence. The majority rejected various other claims of error, including an argument based on Helling that the doctor was negligent as a matter of law for failing to timely perform a diagnostic test. Although there was no reason to consider the point, the majority said they agreed with the patient that "custom may be negligent." (Id., at p. 493.) Justice Jefferson's concurring opinion called the majority's discussion of issues other than contributory negligence "unnecessary, unwarranted and unwise dicta." (Id., at p. 509.)
We have found only one precedent approving of the use of BAJI No. 3.16 (custom "not necessarily controlling" on question of "ordinary care") in a malpractice case, and that precedent is also unpersuasive. The court's only reasoning was as follows: "Since evidence of habit and custom was properly introduced, as discussed ante, the jury was entitled to an instruction that they had a right to consider such evidence, but that it is not necessarily controlling on the issue of ordinary care. Although the Use Note refers the user to BAJI No. 3.10 (which should not be used in a medical malpractice case [citation]) there is no reason why BAJI No. 3.16 should not be used in a medical malpractice case." (Dincau v. Tamayose (1982) 131 Cal. App.3d 780, 799 [182 Cal. Rptr. 855].) This passage confuses ordinary and professional negligence, and overlooks the reasons for the different standards of care in those contexts.
It is difficult to square these decisions with California Supreme Court cases indicating that the professional standard of care is a function of custom and practice. In Arais v. Kalensnikoff (1937) 10 Cal.2d 428, 433 [74 P.2d 1043, 115 A.L.R. 163], the court observed that experts are usually required in malpractice cases because "[o]nly physicians who practice their profession at a particular place could have any knowledge of the method of treatment customarily used by the other members of the profession practicing there." The rule that judged physicians by the practices in a particular 281*281 locality was broadened into a standard of practice in "similar circumstances" (see generally Comment (1972) 7 U.S.F.L.Rev. 163), but custom continued to define the standard of care. In Sinz v. Owens (1949) 33 Cal.2d 749, 753 [205 P.2d 3, 8 A.L.R.2d 757], the court stated that "it is a practical knowledge of what is usually and customarily done by physicians under circumstances similar to those which confronted the defendant charged with malpractice that is of controlling importance in determining competency of the expert to testify to the degree of care against which the treatment given is to be measured."
More recently, in Landeros v. Flood, supra, 17 Cal.3d 399, the court considered whether a cause of action for malpractice could be stated for failure to diagnose the battered child syndrome. The trial court had sustained the defendants' demurrers and dismissed the case. The Supreme Court reversed, observing that battered child syndrome had been widely reported in the medical literature prior to the plaintiff's treatment, and thus it could not be said as a matter of law that the defendants were not negligent in failing to recognize the syndrome. Justice Mosk's opinion for a unanimous court, however, also noted that proof of the standard of care would require expert testimony on whether the procedures recommended in the literature had actually become the norm within the profession: "The question is whether a reasonably prudent physician examining this plaintiff in 1971 would have been led to suspect she was a victim of the battered child syndrome from the particular injuries and circumstances presented to him, would have confirmed that diagnosis by ordering X-rays of her entire skeleton, and would have promptly reported his findings to appropriate authorities to prevent a recurrence of the injuries. There are numerous recommendations to follow each of these diagnostic and treatment procedures in the medical literature cited above.
"Despite these published admonitions to the profession, however, neither this nor any other court possesses the specialized knowledge necessary to resolve the issue as a matter of law. We simply do not know whether the views espoused in the literature had been generally adopted in the medical profession by the year 1971, and whether the ordinarily prudent physician was conducting his practice in accordance therewith. The question remains one of fact, to be decided on the basis of expert testimony...." (Landeros v. Flood, supra, 17 Cal.3d at pp. 409-410 [footnote omitted, italics added].)
The highlighted language in Landeros v. Flood describes the subject of expert testimony in a malpractice case somewhat differently than Arais v. Kalensnikoff, supra, and Sinz v. Owens, supra. The court does not refer to custom, and its discussion suggests that the lack of an established custom for 282*282 diagnosing and treating battered child syndrome would not preclude a finding of negligence if it could be said that professional admonitions on the subject had been "generally adopted." The court may thus have moved beyond a customary practice standard to one of "accepted" practice, based on "reasonable expectations that the profession collectively holds for its members" rather than "tradition and habit." (King, supra, 28 Vand. L.Rev. at p. 1241; see also id. at p. 1243 [proof of accepted practice may be based inter alia on "the best of available medical literature"].)
(23c) Like the earlier cases, however, Landeros v. Flood confirms that professional prudence is defined by actual or accepted practice within a profession, rather than theories about what "should" have been done. The issue was not the existence of recommendations with respect to battered child syndrome, but whether physicians were "conducting [their] practice in accordance therewith." This is implicit in the definition of the standard of care as skill and knowledge "ordinarily possessed and exercised" in a profession. (Landeros v. Flood, supra, 17 Cal.3d at pp. 408, 410 [italics supplied].)
It follows that Irwin cannot be found negligent for failing to perform tests that no other blood bank in the nation was using. Judgment notwithstanding the verdict was properly granted to Irwin on the issue of anti-HBc testing because there was no substantial evidence that failure to conduct the tests was not accepted practice for blood banks in January and February of 1983.
This conclusion is consistent with most of the reported blood bank cases in other jurisdictions. (Compare Doe v. American Red Cross Blood Services, supra, 377 S.E.2d at pp. 325-326, and Doe v. American Red Cross Blood Services, S.C. Region, supra, 125 F.R.D. at p. 641 [blood bank not negligent for failing to surrogate test for AIDS because such tests were not a "generally recognized and accepted" professional practice]; Hines v. St. Joseph's Hospital, supra, 527 P.2d at p. 1078 [blood bank not liable for transmission of hepatitis because use of paid donors complied with governmental regulations, standards of professional group and blood bank's internal regulations]; and Hutchins v. Blood Services of Montana, supra, 506 P.2d at p. 452 [blood bank not negligent for failing to use surrogate test for hepatitis that no other blood bank employed]; with United Blood Services v. Quintana (Colo. 1992) 827 P.2d 509 [prevailing practice with respect to surrogate testing for AIDS may have been deficient]; and Vuono v. New York Blood Center, Inc. (D. 283*283 Mass. 1988) 696 F. Supp. 743, 746-747 [custom for testing and inspection of blood product containers may have been unreasonable].)[15]
We now turn to the allegations about donor screening.
(26a) Dr. Asher criticized the AIDS-related questions Irwin used in the immediate aftermath of the CDC meeting. However, there were no published standards for such questions at the time, and there was no evidence that any particular questions were generally adopted by blood banks during this period. We find no substantial evidence on the record as a whole that Irwin did not follow accepted practice among blood banks for donor questioning prior to January 19, 1983.
Asher's principal criticism and the thrust of plaintiffs' case on donor screening was that Irwin should have begun asking donors prior to February 8 about their sexual orientation. It is undisputed, however, that Irwin started asking such questions when they were labelled "inappropriate" in the only published standards on the subject. There was evidence that Irwin was "reluctant" to screen out homosexual donors and, if Asher's company was a "blood bank," then there was evidence that one blood bank started asking questions about homosexuality before Irwin. There was no evidence that sexual preference questioning was generally adopted by blood banks before February 8, 1983. We find no substantial evidence that Irwin failed to follow accepted practice among blood banks in this area.
Asher said that the AIDS-related questions Irwin began asking on February 8 were "inadequate," but his only specific criticism was that Irwin should have required its donors to attest that they were "safe." It is undisputed that the questions Irwin developed by February 8 covered all of the pertinent symptoms and relevant contacts with high-risk groups, and that other blood banks eventually adopted those questions. It is also undisputed that Irwin required its donors to aver that they understood the medical histories they provided. We find no substantial evidence that Irwin failed to follow accepted practice in the area of donor questioning from February 8, 1983, to February 24, 1983, the date of Michael's operation.
Asher also criticized Irwin for allowing donors to fill out their own medical history cards, but that practice was irrelevant in light of the uncontradicted evidence that medical personnel asked all of Irwin's AIDS-related questions before Michael's operation.
284*284 Insofar as it appears from the record, Irwin was a pioneer in the profession in the area of donor questioning. Accordingly, Dr. Asher's opinions about what Irwin "should" have done were not substantial evidence of negligence. (27) Substantial evidence "is not synonymous with `any' evidence. To constitute sufficient substantiality to support the verdict, the evidence must be `reasonable in nature, credible, and of solid value; it must actually be "substantial" proof of the essentials which the law requires in a particular case.'" (Kruse v. Bank of America (1988) 202 Cal. App.3d 38, 51 [248 Cal. Rptr. 217].)
(26b) We conclude that plaintiffs did not present a prima facie case of negligence with respect to donor questioning, and that Irwin was entitled to judgment notwithstanding the verdict on negligence.[16]
IV. CLAIMS AGAINST THE UNIVERSITY
The court granted the University's motions for nonsuit and directed verdict on every claim against it. Plaintiffs contend that these rulings were erroneous on eight of their nine claims. However, giving plaintiffs' evidence "all the value to which it is legally entitled," we find "no evidence of sufficient substantiality to support a verdict" against the University. (Estate of Lances (1932) 216 Cal. 397, 400 [14 P.2d 768].)
A. Intentional and Negligent Misrepresentation
(28) Plaintiffs submit that University personnel misrepresented Irwin's directed donations policy, and fraudulently or negligently asserted that Irwin's blood supply was safe. There is no evidence of any representation by anyone at the University on either subject.
This portion of plaintiffs' case was based solely on the Osborns' conversation with Dr. Stanger before Michael's surgery, when they asked about directed donations. According to Paul Osborn, "we wanted to know whether it was possible for us to donate our own blood specifically to be given to Michael, and [Stanger] told us that wasn't a possibility, that they got all their blood from Irwin Memorial Blood Bank and that they were under contract to 285*285 them or with them to get all their blood from them. And that was about the end of that conversation. He suggested that if we wanted to take the matter further that it would be best for us to take it up with Irwin." Mary Osborn gave essentially the same account. She testified that Stanger said "we couldn't donate our own blood for Michael, that U.C. had a contract with Irwin Memorial Blood Bank that if they were to get any blood from Irwin for any of their patients, they had to get all their blood from Irwin. [¶] And so we — if anything, we would need to take it up with Irwin."
These statements attributed to Dr. Stanger did not refer to the safety of Irwin's blood supply, and they cannot reasonably be interpreted as a representation about Irwin's directed donations policy. In light of Stanger's advice that Irwin furnished all of the blood used at the University, and his suggestion that directed donations be discussed with Irwin, his statement that such donations were impossible could only have been taken as a representation that the Osborns could not donate their blood at the University. This must have been the Osborns' understanding because they proceeded to renew their inquiry at Irwin. It is undisputed that the University did not collect any blood for transfusion. In the absence of any evidence of an untrue statement of a material fact (BAJI Nos. 12.31 & 12.45 (7th ed. 1986) pp. 23, 32), the University's motions for nonsuit and directed verdict were properly granted on the misrepresentation claims.
B. Professional and Ordinary Negligence
(29a) Plaintiffs' contend that the University was negligent for using Irwin as its sole blood supplier, and for not performing anti-HBc surrogate tests on the blood Irwin supplied. Plaintiffs also argue that the University was negligent because it "incorrectly advise[d]" them "regarding the alleged non-availability of directed donations," but this argument is just a restatement of the negligent misrepresentation theory, and it fails for the reasons set forth in the preceding section.
The merits of the University's policies for blood testing and procurement were issues of professional negligence. (30) A hospital is required to exercise the degree of care, skill and diligence used by other hospitals in similar circumstances. (Wood v. Samaritan Institution (1945) 26 Cal.2d 847, 851 [161 P.2d 556]; see also Valentin v. La Societe Francaise (1946) 76 Cal. App.2d 1, 6 [172 P.2d 359] [hospital must afford the "treatment customarily administered" by similar hospitals at the time].) The feasibility of routine anti-HBc testing at a hospital, and the relationship between hospitals and blood banks, are not matters of common knowledge. Expert testimony was therefore needed to support the claims of negligence in these areas. (See 286*286 Contreras v. St. Luke's Hospital (1978) 78 Cal. App.3d 919, 927 [144 Cal. Rptr. 647].)
Plaintiffs elicited no expert opinion on the University's alleged negligence. Asher was asked whether the University should have run surrogate tests on the blood it received from Irwin, but the defense objected that Asher's expertise on hospital procedure had not been established, and the question was never answered. The objection was sustained and the matter was never renewed. Asher's brief testimony about the relationship between hospitals and blood banks was critical of Irwin rather than the University. Dr. Allen was asked whether he was critical of the University for using Irwin as its sole blood supplier. Again, however, the court sustained an objection to the question and the matter was dropped.
We need not assess the undisputed evidence that the University's relationship with Irwin was the same as that of all other hospitals in the area, or the uncontradicted testimony that no hospital in the nation surrogate tested blood for AIDS in early 1983. Plaintiffs do not argue that their experts were improperly prevented from opining on the University's negligence, and thereby abandon any claim of error in connection with the judgment for the University on that issue.
C. Intentional and Negligent Infliction of Emotional Distress
We recognize that Mr. and Mrs. Osborn have suffered greatly because of the tragic outcome of Michael's surgery. Settled law, however, precludes any recovery against the University for their emotional distress.
(31) One of the elements of a prima facie case for intentional infliction of emotional distress is "extreme and outrageous conduct by the defendant.... Conduct to be outrageous must be so extreme as to exceed all bounds of that usually tolerated in a civilized community." (Cervantez v. J.C. Penney Co. (1979) 24 Cal.3d 579, 593 [156 Cal. Rptr. 198, 595 P.2d 975].) Nonsuit was properly granted on the claim of intentional infliction of emotional distress because there was no evidence of any outrageous conduct by anyone at the University.
The record is also devoid of any evidence of negligence on the part of anyone at the University, and that is dispositive of the claim of negligent infliction of emotional distress. (See Thing v. La Chusa (1989) 48 Cal.3d 644, 667-668 [257 Cal. Rptr. 865, 771 P.2d 814] [listing elements of claim for emotional distress caused by observing third person's "negligently inflicted injury"]; Marlene F. v. Affiliated Psychiatric Medical Clinic, Inc. 287*287 (1989) 48 Cal.3d 583, 588, 590 [257 Cal. Rptr. 98, 770 P.2d 278] ["breach of duty" a prerequisite to recovery on direct victim theory].)
D. Other Claims
(22a) The record also fails to support plaintiffs' claim of battery. (33) Physicians can commit a battery if the treatment they administer is "substantially different" than the treatment to which the patient has consented. (Cobbs v. Grant, supra, 8 Cal.3d at p. 239.) (32b) This principle has been extended to the transfusion of blood from homologous donations, if the patient has only consented to receive blood from directed donations. (Ashcraft v. King (1991) 228 Cal. App.3d 604, 611-613 [278 Cal. Rptr. 900].) Here the Osborns consented to Michael's operation knowing that it would entail transfusions, and that the blood would not come from directed donations. There was no evidence that the surgery differed in any respect from what was contemplated.
(34) Plaintiffs maintain that they have a claim for breach of contract based on the theory of promissory estoppel. However, we find no evidence of detrimental reliance by plaintiffs on any promise by the University. (See generally 1 Witkin, Summary of Cal. Law (9th ed. 1987) Contracts, § 249, p. 251 and authorities cited.)
Plaintiffs assert finally that the court erred in granting a nonsuit for the University on a claim of strict liability. This argument is anomalous because plaintiffs did not even plead a strict liability claim against the University.
V. DISPOSITION
The judgment against Irwin is reversed, and the case is remanded for a new trial of the negligent misrepresentation claim against Irwin. The judgment for Irwin on all other causes of action, and the judgment in favor of the University, are affirmed. Plaintiffs and Irwin shall each bear their own costs on Irwin's appeal and plaintiffs' cross-appeal against Irwin. Plaintiffs shall pay the University's costs on their cross-appeal against the University.
Anderson, P.J., and Poche, J., concurred.
The petition of plaintiffs and appellants for review by the Supreme Court was denied July 9, 1992. Mosk, J., Kennard, J., and George, J., were of the opinion that the petition should be granted.
[1] Those who supported California's laws on directed donations believed that they would help prevent the transmission of disease, despite Irwin's data that homologous donations presented no greater risk. (See Assem. Office of Research, 3d reading analyses of Sen. Bill No. 1542 (1986 Reg. Sess.) and Sen. Bill No. 1008 (1987 Reg. Sess.); see also Anderson, The AIDS Crisis and Directed Donations (1991) 37 Med. Trial Technique Q. 451, 466-467 ["individuals are acting reasonably to trust their common sense and have a hand in the selection of their donor" even if one "accepts the premise and scientific data that directed donations are no safer"]; and cf. Comment (1984) 12 San Fernando Val.L.Rev. 11, 22 [directed donations should be allowed because recipient "can know with relative certainty the health status of his immediate family members"].)
[2] We are not persuaded by Irwin's argument that it should have been allowed to show that one of the uncles asked to donate blood for Michael had AIDS at the time. This would have been no more than anecdotal evidence that directed donations are not necessarily safe. It did not otherwise tend to prove that Michael might have been harmed if directed donations had been accepted because, as Irwin's counsel represented to the trial court, Michael could not have taken any blood from family members. The potential prejudicial effect of this evidence outweighed its limited probative value.
[3] Plaintiffs come very close to waiving this issue for lack of a legal argument. (See generally 9 Witkin, Cal. Procedure, op. cit. supra, Appeal, § 479, pp. 469-471 [points not supported by legal argument with citation of authorities may be treated as waived].) Plaintiffs do no more than allude to the substantial evidence rule, and suggest in passing that judgment notwithstanding the verdict may have been unwarranted. We deem the point to be preserved as to negligence only because plaintiffs refer to some of the evidence on that claim in some detail. No evidence is singled out on the claim of intentional misrepresentation, and we find any error associated with judgment for Irwin on that cause of action to be abandoned. We also note that plaintiffs do not contest the directed verdict for Irwin on their other causes of action.
Irwin's briefs assert that "where the jury renders a general verdict on multiple counts and there is insufficient evidence or a legal error that affects any one of the counts, a new trial is required on all counts to prevent a miscarriage of justice." If that were true, then having found reversible error in connection with the negligent misrepresentation count, we would also be obliged to order a retrial on negligence without reaching the sufficiency of the evidence on that count. However, because a general verdict must be affirmed if there was any sufficient finding on which it could rest (see, e.g., Lysick v. Walcom (1968) 258 Cal. App.2d 136, 157 [65 Cal. Rptr. 406, 28 A.L.R.3d 368]; see generally 9 Witkin, Cal. Procedure, op. cit. supra, Appeal, § 268, p. 277), error on the claim of negligent misrepresentation does not dictate a new trial if a verdict on negligence can be upheld.
[4] Useful overviews of this subject are set forth in Kirkendall v. Harbor Ins. Co. (W.D.Ark. 1988) 698 F. Supp. 768, 770-772, affirmed (8th Cir.1989) 887 F.2d 857; and Kozup v. Georgetown University (D.D.C. 1987) 663 F. Supp. 1048, 1051-1053, affirmed in relevant part in Kozup v. Georgetown University (D.C. Cir.1988) 851 F.2d 437 [271 App.D.C. 172], but we are of course confined to the evidence adduced in this case in assessing the judgment notwithstanding the verdict.
[5] Our account of what transpired at the meeting is based solely on the evidence presented in this case. We decline plaintiffs' request to take judicial notice of the account of the meeting in Shilts, And the Band Played On (1987) at pages 220-224. Contrary to plaintiffs' suggestions, this reporter's account is not admissible under the "historical works" exception to the hearsay rule (Evid. Code, § 1341; see Gallagher v. Market St. R. Co. (1885) 67 Cal. 13, 15-16 [6 P. 869] [exception is generally confined to "ancient facts" and does not extend to work of living author within reach of court process]), nor is it limited to facts "not reasonably subject to dispute" that may be judicially noticed under Evidence Code section 452, subdivision (h).
[6] The AABB has advised us in an amicus curiae letter that its members provide approximately one-half of the blood transfused in the United States, and that the ARC provides the rest.
[7] Although plaintiffs submit that Irwin was negligent in other respects, they refer to little or no evidence for those other theories and we find them to be abandoned for purposes of this appeal. (See 9 Witkin, Cal. Procedure, op. cit. supra, Appeal, § 479, pp. 469-471 [reviewing court is not required to make unassisted study of record in search of error].) Stating that there was "clearly a plethora of substantial evidence" to support the verdict does not substitute for identification of the actions that should or should not have been taken and citation of evidence that those acts or omissions were negligent.
[8] Irwin advised the court in a pretrial motion that: "Following an efficacy study in March through May 1983 on the efficacy of anti-HBc testing as a surrogate test for AIDS, Irwin rejected its use. By May 1, 1984, despite the fact that there was no new scientific data showing that anti-HBc testing was effective at screening out AIDS carriers, Irwin decided to use the test on all of its donated blood in order to do something in light of its discovery that some high-risk donors, primarily homosexuals, were lying about their sexual orientation and continuing to donate blood." The court evidently granted Irwin's motion in limine to exclude any mention of this subsequent remedial measure, and the jury was never advised of it. (See Evid. Code, § 1151 [evidence of subsequent remedial measures inadmissible to prove negligence].)
[9] The card covered AIDS-related subjects as follows: "AIDS, a new disease of unknown cause, is characterized by abnormal functioning of the body's immune system. High risk groups for AIDS include: [¶] • Intravenous drug users [¶] • Haitian immigrants [¶] • Homosexually active males [¶] To assist in deferral of prospective donors who may be at high risk for AIDS, please indicate whether any of these conditions apply or have applied to you by answering yes or no below: [¶] • Residency in Haiti • Recurring fever over a long period of time • Heavy nightsweats • Unexpected weight loss of 10 lbs or more in a short time • Enlargement of glands throughout body • Kaposi's Sarcoma • Intimate contact with an AIDS patient • Multiple sex partners from any of the high risk groups listed above."
[10] We decline plaintiffs' request to take judicial notice of a statement in the June 1988 Report of the Presidential Commission on the Human Immunodeficiency Virus Epidemic that the "initial response of the nation's blood banking industry to the possibility of contamination of the nation's blood by a new infectious agent was unnecessarily slow." This report was not presented to the trial court and is not a matter of which we are required to take judicial notice. (See People v. Preslie (1977) 70 Cal. App.3d 486, 493 [138 Cal. Rptr. 828].) The commission's statement is in any event cumulative of Dr. Asher's testimony.
[11] Asher's testimony on this score was somewhat confused. He first testified that some of his company's activities could be viewed as a "form of blood banking," but then said that he knew of no "blood bank" that performed the surrogate test his company employed.
[12] Allen claimed to have been the first person in the world to recognize the AIDS virus, and said that in 1971 he had traced this virus back to Haiti. He said that his discovery was acknowledged in a letter by Elliot Richardson, who was then the Secretary of the Department of Health, Education and Welfare (HEW). Allen's credibility was certainly impeached when the letter he produced, written by Richardson as Secretary of Commerce in 1977, referred only to Allen's efforts to establish a "national blood program" without mentioning any discovery. But whether Allen was too "senile" to render a competent opinion was a question for the trial court who had the opportunity to observe him, and we are not in a position to make such a finding.
[13] Plaintiffs are thus only partially correct when they assert that the standard of care in medical malpractice cases is "higher" than in cases of ordinary negligence. A medical practitioner is "held to the standard of practice generally accepted by his branch of the profession," but is also "protected by this standard since compliance with accepted practice is generally taken as conclusive evidence of due care." (McCoid, supra, 12 Vand. L.Rev. at p. 560; see also Comment (1991) 27 Willamette L.Rev. 355, 356 [ordinary negligence standard may be "higher" than professional negligence standard].)
[14] Our research indicates that Helling v. Carey has been cited only once by our Supreme Court, and distinguished, in Truman v. Thomas (1980) 27 Cal.3d 285, 295 [165 Cal. Rptr. 308, 611 P.2d 902]. The defendant in that case, Dr. Thomas, had acted as family physician for plaintiffs' decedent, Rena Truman, for several years. During that time, he periodically advised her to undergo a pap smear test but she declined. She was eventually diagnosed with inoperable cervical cancer and died at the age of 30. Her children sued for wrongful death and requested a jury instruction, based on Helling, that a physician who failed to perform a pap smear test on a female patient over the age of 23 was negligent as a matter of law. The court noted that Helling did not apply because the doctors in that case had failed to recommend a glaucoma test, whereas Dr. Thomas had recommended a pap smear, and that thus the instruction was properly refused.
A 4-3 majority also held that Dr. Thomas could be liable for neglecting to inform Truman of the risks of failing to have a pap smear. The majority noted that custom does not define the scope of a doctor's duty to secure an informed consent. (Truman v. Thomas, supra, 27 Cal.3d at p. 291, fn. 3; see also Cobbs v. Grant (1972) 8 Cal.3d 229, 243 [104 Cal. Rptr. 505, 502 P.2d 1].) Since laypersons can ordinarily determine what information would be significant to a patient, "informed consent" cases are like other cases where professional negligence can be inferred without expert testimony, and they can be appropriately excepted from the rule that practice determines the standard of care. (See King, supra, 28 Vand. L.Rev. at pp. 1261-1265.)
[15] Kirkendall v. Harbor Ins. Co., supra, 698 F. Supp. at pp. 778-780, and Kozup v. Georgetown University, supra, 663 F. Supp. at p. 1057-1058, contain language cutting both ways on whether accepted practice sets the standard of care for blood banks. Dicta in Snyder v. Mekhijian (1990) 244 N.J. Super. 281 [582 A.2d 307, 313], suggests that the AABB may have been negligent for failing to adopt standards that would have required surrogate testing for AIDS.
[16] In view of this conclusion, we do not reach any of Irwin's arguments for a new trial of the claim of negligence. We also do not reach any of the arguments about the application of MICRA, because the parties have not briefed the threshold question of whether a claim based on a negligent misrepresentation by Irwin's receptionist is one of "professional negligence" within the meaning of MICRA. (Civ. Code, §§ 3333.1, subd. (c)(2), 3333.2, subd. (c)(2); Code Civ. Proc., § 667.7, subd. (e)(4).) With that issue and liability unresolved, we have no occasion to address the various problems associated with the trial court's modification of the jury's damage award.
5.2 Nowatske v. Osterloh 5.2 Nowatske v. Osterloh
Kim Nowatske and Julie Nowatske, Plaintiffs-Appellants, v. Mark D. Osterloh, M.D., The Medical Protective Company and Wisconsin Patients Compensation Fund, Defendants-Respondents.
Supreme Court
No. 93-1555.
Oral argument October 31, 1995.
Decided January 25, 1996.
*423 For the plaintiff-appellants there were briefs by David M. Skoglind and Warshafsky, Roter, Tarnoff, Reinhardt & Bloch, S.C., Milwaukee and oral argument by Gerald J. Bloch.
For the defendants-respondents there was a brief by Paul H. Grimstad, John F. Mayer and Nash, Spin-dler, Dean & Grimstad, Manitowoc and oral argument by Robert L. McCracken.
Amicus curiae brief was filed by Mark L. Thomsen and Cannon & Dunphy, S.C., Brookfield for The Wisconsin Academy of Trial Lawyers.
Amicus curiae brief was filed by Mark L. Adams and State Medical Society of Wisconsin and Barrett J. *424 Corneille, David J. Pliner and Bell, Metzner, Gierhart & Moore, S. C., all of Madison for the State Medical Society of Wisconsin.
SHIRLEY S. ABRAHAMSON, J.
This is an appeal by Kim and Julie Nowatske from a judgment of the circuit court for Winnebago County, Thomas S. Williams, judge. The circuit court dismissed the complaint upon a jury finding that Mark D. Osterloh, M.D. (the defendant), did not negligently cause the Nowatskes' injuries. Upon certification of the court of appeals pursuant to Wis. Stat. (Rule) 809.61 (1993-94), this court accepted the case but limited its review to the following issue: "Whether standard jury instruction Wis JI — Civil 1023 accurately states the law of negligence for medical malpractice cases?" We conclude that the jury instruction read as a whole was not erroneous. Nevertheless, we also conclude that the instruction should be improved and recommend that the Civil Jury Instruction Committee revise the standard jury instruction Wis JI — Civil 1023 in light of this decision.
Having reached this conclusion, the court would ordinarily dispose of the other issues raised by the parties and determine whether the judgment of the circuit court should be affirmed. However, because we accepted only one issue raised in the Nowatskes' appeal, we cannot reach the other issues. Instead, we must remand the cause to the court of appeals to consider the other issues the Nowatskes raised and to determine the validity of the circuit court's judgment. 1
*425 h — I
We briefly summarize the facts giving rise to this case, recognizing that the parties dispute whether certain events occurred, whether the surgery and care provided by the defendant were negligent and whether the defendant's alleged negligence caused the plaintiffs injury. 2
One morning the plaintiff noticed an area of blurred vision in his right eye. He was referred to the defendant, a retina specialist in Oshkosh, who diagnosed him as having a retinal detachment.
Prior to surgery to repair his retina, the plaintiff signed a consent form explaining the risks and possible complications involved in the proposed treatment. He also viewed a videotape explaining the procedure of retinal reattachment. The parties dispute whether the defendant warned the plaintiff that "blindness" or "loss of vision" could result. 3
The defendant elected to conduct a relatively common procedure, known as scleral buckling, in an effort to reattach the retina. Buckling procedures may raise *426 the intraocular pressure (IOP) in the eye, resulting in blindness.
Prior to placement of the buckle with permanent sutures, the defendant checked the IOP in the plaintiffs eye with his finger and then proceeded to attach the buckle. Subsequently, he again checked the IOP with his finger and concluded that it was within an acceptable range. The parties dispute whether the defendant should have used a tonometer rather than his finger to check the plaintiffs IOP.
On the morning following surgery, the defendant conducted a post-operative visit to assess the success of his surgery. The parties dispute whether the defendant measured the IOP. The defendant tested the plaintiffs vision with an ophthalmoscope, shining a light into the eye to check its response. Noting a normal "back-off' response to the light, he concluded that the surgery had been successful. The parties dispute whether the defendant should have also asked the plaintiff directly whether he could see out of his right eye.
Although the defendant did not administer any pressure-reducing medication, he did prescribe pain relievers for what he assessed as a normal amount of pain following such an operation. The parties dispute whether the prescription of pressure-reducing medication would have been more harmful than beneficial, given the side-effects associated with the medication in question.
Following discharge the plaintiff went home and experienced severe eye pain. Learning that upon discharge the plaintiff had not received the medicine prescribed to alleviate his pain, the defendant called in a prescription of pain-relievers to a local pharmacy. The parties dispute whether the defendant should have also asked for a further description of the plain *427 tiffs pain or spoken with him directly rather than only speaking with the plaintiffs wife.
By the next morning, the swelling around the plaintiffs .eye had subsided. Because the defendant had not indicated when the plaintiffs vision would return, the plaintiff remained unconcerned about his continuing inability to see out of his right eye. At the plaintiffs scheduled follow-up appointment, however, the defendant informed the plaintiff that he would be permanently blind in the right eye. The parties dispute whether the blindness was caused by increased anterior IOP resulting from the surgery or by a discrete vascular event such as an occlusion of the central retinal artery posteriorly.
On April 22, 1991, the plaintiff filed a complaint alleging that the defendant negligently treated him. During a five-day jury trial in January 1993, the plaintiff introduced expert testimony suggesting that if the defendant had utilized reasonable care, the plaintiff would not have lost his eyesight. The defendant, in turn, introduced expert testimony suggesting that the defendant had exercised ordinary care and that a high IOP was not the cause of the plaintiffs blindness.
At the defendant's request and over the plaintiffs objection, the circuit court used various paragraphs from the standard jury instruction pertaining to medical malpractice, Wis JI — Civil 1023, to instruct the jury. 4 In response to the verdict question asking whether the defendant was negligent, the jury answered "no," thus returning a verdict in his favor. The circuit court entered a judgment dismissing the complaint.
*428 II.
We first examine the standard of review applicable to a jury verdict in a case involving a challeiige to the jury instructions.
First, a circuit court has broad discretion when instructing a jury so long as it fully and fairly informs the jury of the rules and principles of law applicable to the particular case. Peplinski v. Fobe's Roofing, Inc., 193 Wis. 2d 6, 24, 531 N.W.2d 597 (1995) (quoting Fischer v. Ganju, 168 Wis. 2d 834, 849-50, 485 N.W.2d 10 (1992)); D.L. v. Huebner, 110 Wis. 2d 581, 624, 329 N.W.2d 890 (1983). An instruction that is an incorrect or misleading statement of the law is erroneous.
Second, a circuit court should instruct the jury with due regard to the facts of the case. Carlson v. Drews of Hales Corner, Inc., 48 Wis. 2d 408, 414, 180 N.W.2d 546 (1970). The court has held that it is error to refuse to instruct on an issue that the evidence raises; it has also held that it is error to instruct on an issue that the evidence does not support. Lutz v. Shelby Mut. Ins. Co., 70 Wis. 2d 743, 750, 235 N.W.2d 426 (1975).
Third, an instruction should not be unduly favorable to any party. While a circuit court has "some leeway in the choice of language and emphasis in framing instructions," the instructions "as a whole must not favor one side or the other but should set forth the respective versions of the evidence of the contestants." Aetna Cas. & Sur. Co. v. Osborne-McMillan Elevator Co., 35 Wis. 2d 517, 529, 151 N.W.2d 113 (1967); see also Huebner, 110 Wis. 2d at 624.
*429 Fourth, an appellate court must consider the instructions as a whole to determine whether the challenged instruction or part of an instruction is erroneous. The instructions are not erroneous if, as a whole, they adequately and properly informed the jury. Peplinski, 193 Wis. 2d at 25; White v. Leeder, 149 Wis. 2d 948, 954-55, 440 N.W.2d 557 (1989). "On review, the language of a jury instruction should not be fractured into segments, one or two of which, when considered separately and out of context, might arguably be in error." State v. Paulson, 106 Wis. 2d 96, 108, 315 N.W.2d 350 (1982).
Fifth, when the circuit court has given an erroneous instruction or has erroneously refused to give an instruction, a new trial is not warranted unless the error is prejudicial. "[A]n error relating to the giving or refusing to give an instruction is not prejudicial if it appears that the result would not be different had the error not occurred." Lutz, 70 Wis. 2d at 751. See also Wis. Stat. § 805.18(2) (1993-94); Helmbrecht v. St. Paul Ins. Co., 122 Wis. 2d 94, 131, 362 N.W.2d 118 (1985).
III.
The plaintiffs claim that Wis JI — Civil 1023 is erroneous and prejudicial focuses on the first three paragraphs of the instruction. As presented to the jury in this case, those paragraphs, virtually unmodified from the pattern instruction, read as follows:
In treating Kim Nowatske, Dr. Osterloh was required to use the degree of care, skill, and judgment which is usually exercised in the same or similar circumstances by the average specialist who practices the specialty which Dr. Osterloh practices, *430 having due regard for the state of medical science at the time Kim Nowatske was treated. The burden in this case is on the plaintiffs to prove that Dr. Oster-loh failed to conform to this standard.
A physician does not guarantee the results of his care and treatment. A physician must use reasonable care and is not liable for failing to use the highest degree of care, skill, and judgment. Dr. Osterloh cannot be found negligent simply because there was a bad result. Medicine is not an exact science. Therefore, the issue you must decide in determining whether Dr. Osterloh was negligent is not whether there was a bad result but whether he failed to use the degree of care, skill, and judgment which is exercised by the average physician practicing the sub-specialty of retinal surgery.
If you find that more than one method of treatment for Kim Nowatske's injuries is recognized, then Dr. Osterloh was at liberty to select any of the recognized methods. Dr. Osterloh was not negligent merely because he made a choice of a recognized alternative method of treatment if he used the required care, skill, and judgment in administering the method. This is true even though other medical witnesses may not agree with him on the choice that was made.
The plaintiff argues that this instruction was erroneous and prejudicial because (1) paragraph one of the instruction substitutes medical custom for reasonable care by defining the degree of care that must be exercised in terms of what the average physician would usually do under the same or similar circumstances and thereby improperly permits the medical profession to set the standard of care for physicians; (2) paragraph two of the instruction is unduly exculpatory by emphasizing the ways in which the defendant was not negligent and is consequently biased toward the defen *431 dant; and (3) paragraph three instructs the jury that it must find for the defendant when an expert witness testifies that the defendant's actions represent a recognized alternative method of procedure and thereby strips the jury of its fact-finding function. 5
We shall examine each of these paragraphs of the jury instruction in turn.
A.
To repeat, the first paragraph of the circuit court's medical malpractice instruction to the jury in this case reads as follows:
*432 In treating Kim Nowatske, Dr. Osterloh was required to use the degree of care, skill, and judgment which is usually exercised in the same or similar circumstances by the average specialist who practices the specialty which Dr. Osterloh practices, having due regard for the state of medical science at the time Kim Nowatske was treated. The burden in this case is on the plaintiffs to prove that Dr. Oster-loh failed to conform to this standard.
The plaintiffs principal objection to this paragraph is that it defines the standard of care as that care usually exercised by the average physician practicing within the same specialty. According to the plaintiff the instruction thus equates the reasonable care required by law with customary medical care as defined by the medical profession, regardless of whether what is customary in the profession reflects what is reasonable in the wake of current medical science.
Because the medical profession is allowed to set its own definition of reasonable behavior in accordance with the customs of the profession, argues the plaintiff, what counts as an exercise of due care is established as a matter of law by doctors rather than as an issue to be resolved by the jury. Under Wis JI — Civil 1023, the plaintiff continues, all a defendant doctor need do is demonstrate that the methods used in treating the patient were customary in the medical profession. Even if the challenged custom is unreasonable and outdated, claims the plaintiff, the fact that it is "usually exercised in the same or similar circumstances by the average physician" is sufficient to shield clearly negligent conduct and negligent practitioners from liability.
The plaintiff is correct in suggesting that physicians, like all others in this state, are bound by a duty *433 to exercise due care. Every person in Wisconsin must conform to the standard of a reasonable person under like circumstances; so too, then, "[t]he duty of a physician or surgeon is to exercise ordinary care." Scaria v. St. Paul Fire & Marine Ins. Co., 68 Wis. 2d 1, 11, 227 N.W.2d 647 (1975). As the amicus brief of the State Medical Society of Wisconsin correctly states, "the basic standard — ordinary care — does not change when the defendant is a physician. The only thing that changes is the makeup of the group to which the defendant's conduct is compared." Brief for the State Medical Society of Wisconsin as Amicus Curiae at 2.
The Medical Society's characterization of how the law gauges whether physicians have met their duty of reasonable care is correct. Generally a determination of negligence involves comparing an alleged tortfeasor's standard of care with "the degree of care which the great mass of mankind exercises under the same or similar circumstances." Wis JI — Civil 1005. When a claim arises out of highly specialized conduct requiring professional training, however, the alleged tortfeasor's conduct is compared with the conduct of others who are similarly situated and who have had similar professional training. 6
Thus physicians are required to exercise reasonable care, a standard to which they have been held since *434 early Wisconsin case law. In Reynolds v. Graves, 3 Wis. 371 [416], 375-76 [421-22] (1854), a physician's duty of care was also expressed as the obligation "to use reasonable professional skill and attention" and "to use due and reasonable skill and diligence" in an effort to cure the patient.
In Gates v. Fleischer, 67 Wis. 504, 507, 30 N.W. 674 (1886), the court repeated that the defendant physician "was bound to exercise reasonable skill and care in the treatment of the plaintiff." The court then proceeded to define that care in language similar to that now incorporated into the first paragraph of Wis JI — Civil 1023, stating that the physician "was bound to bring to [the plaintiffs] aid and relief such skill as is ordinarily possessed and used by physicians . . . having regard to the advanced state of the profession at the time of treatment." 7
These early cases demonstrate that the standard of reasonable care applicable to all people in this state applies to physicians in this state as well. Subsequent case law has confirmed and amplified what these early cases announced. 8
*435 The cases also demonstrate, as the plaintiff urges, that should customary medical practice fail to keep pace with developments and advances in medical science, adherence to custom might constitute a failure to exercise reasonable care. The court explained its aversion to equating custom with reasonable care in abolishing the locality rule. The locality rule, observed the court, allowed a small group, through its "laxness or carelessness," to "establish a local standard of care that was below that which the law requires." Shier v. Freedman, 58 Wis. 2d 269, 280, 206 N.W.2d 166 (1973) (quoting Pederson v. Dumouchel, 431 P.2d 973 (Wash. 1967)). But "[n]egligence," the court continued, "cannot be excused on the ground that others in the same locality practice the same kind of negligence. No degree of antiquity can give sanction to usage bad in itself." Id. Since technological changes insured that there was no longer any "lack of opportunity for a physician or surgeon to keep abreast of the advances made in his profession and to be familiar with the latest methods *436 and practices adopted," id., the court concluded that the reasons prompting the abolition of the locality rule elsewhere applied "with equal logic and persuasion in Wisconsin." Shier, 58 Wis. 2d at 283.
Wis JI — Civil 1023 incorporates the reasoning of Shier, not only by defining reasonable care as that "which is usually exercised in the same or similar circumstances by the average physician" but also by requiring that this definition of care itself be shaped by a "due regard for the state of medical science at the time plaintiff was treated." If what passes for customary or usual care lags behind developments in medical science, such care might be negligent, despite its customary nature. 9
Both the amicus brief of the State Medical Society of Wisconsin and the defendant have acknowledged *437 that the first paragraph of Wis JI — Civil 1023 requires that custom must be dynamic to be reasonable. As interpreted by the Medical Society, the portion of Wis JI — Civil 1023 which instructs the jury to judge the defendant's conduct with "due regard for the state of medical science at the time the plaintiff was treated" means that "[p]laintifis can always, if appropriate, present evidence regarding the 'state of medical science' to show that a professional custom is obsolete or unreasonable." Brief for the State Medical Society of Wisconsin as Amicus Curiae at 3. 10
The defendant interprets the same jury instruction language as applying "a dynamic standard" to professionals because the standard "changes as the state of knowledge of the profession changes." Brief for Defendant at 17. "Absent a dynamic standard," the defendant continues, "the law could not adjust to changes and improvement in medical science." Id. at 18. At oral argument before this court, counsel for the defendant stated that if a particular custom in the medical profession failed to keep pace with what developments in medical science had rendered reasonable, *438 the plaintiff could introduce evidence demonstrating that the custom in question constituted negligent conduct.
We agree with the parties and the Medical Society that while evidence of the usual and customary conduct of others under similar circumstances is ordinarily relevant and admissible as an indication of what is reasonably prudent, customary conduct is not disposi-tive and cannot overcome the requirement that physicians exercise reasonable care. 11
The standard of care applicable to physicians in this state can not be conclusively established either by what the majority of practitioners do or by a sum of the customs which those practitioners follow. It must instead be established by a determination of what it is reasonable to expect of a professional given the state of *439 medical knowledge at the time of the treatment in issue.
We recognize that in most situations there will be no significant difference between customary and reasonable practices. In most situations physicians, like other professionals, will revise their customary practices so that the care they offer reflects a due regard for advances in the profession. An emphasis on reasonable rather than customary practices, however, insures that custom will not shelter physicians who fail to adopt advances in their respective fields and who consequently fail to conform to the standard of care which both the profession and its patients have a right to expect.
The issue then is whether the first paragraph of the instruction conveys the correct legal message that the defendant is held to a standard of reasonable care, skill and judgment and that reasonable care, skill and judgment are not necessarily embodied by the customary practice of the profession but rather represent the practice of physicians who keep abreast of advances in medical knowledge.
We conclude that the first paragraph of Wis JI — Civil 1023, read in conjunction with the remainder of the instructions given, conveys this message. The first paragraph speaks of the degree of care, skill, and judgment usually exercised in the same or similar circumstances by the average specialist. The second paragraph expressly states that a physician must use reasonable care. The third paragraph cautions that even a physician who has chosen a recognized method of treatment can nevertheless be found negligent for failing to exercise "the required care, skill, and judgment in administering the method" chosen. And much *440 like the first paragraph of the plaintiffs proposed instruction, the first paragraph of the instruction given requires that in determining the degree of care, skill and judgment required of a physician, "due regard" should be given to "the state of medical science." The phrase "due regard for the state of medical science" tells the jury that a reasonably competent practitioner is one who keeps up with advances in medical knowledge.
Paragraph one of the plaintiffs proposed instruction, see supra note 5, is substantially the same as paragraph one of the instruction given except that the plaintiffs proposed instruction uses the word "reasonable" to describe the physician, while the instruction given uses the word "average."
The word "average" is problematic, as we explain more fully below. Viewed as a whole, however, the instruction given does not imply that the degree of care, skill and judgment expected of a doctor is set by the customs of the profession. Consequently, we disagree with the plaintiffs claim that the first paragraph of Wis JI — Civil 1023 allows medical custom to be dis-positive regarding what constitutes reasonable medical care.
Nevertheless, the plaintiffs arguments demonstrate that this pattern jury instruction could be improved, and we conclude that the instruction should be revised.
The Civil Jury Instruction Committee's accompanying comment to Wis JI — Civil 1023 correctly states that the "basic inquiry with respect to the defendant's conduct [should] be framed in simple terms of negligence" and that " [failure on the part of the doctor to conform to the applicable standards of care constitutes negligence." But Wis JI — Civil 1023 itself neither *441 frames the standard of care in simple terms of negligence nor informs the jury that failure to conform to the applicable standard of care constitutes negligence. 12
The instruction's failure to define negligence is exacerbated by its use of the word "average" to denote the subset of physicians with whom an alleged tortfeasor is to be compared. The fallacy in the "average" formulation is that it bears no intrinsic relation to what is reasonable. As the American Law Institute stated in its commentary to sec. 299A Restatement (Second) of Torts (1965), "those who have less than . . . average skill may still be competent and qualified. Half of the physicians of America do not automatically become negligent in practicing medicine . . . merely because their skill is less than the professional average." 13
The Civil Jury Instruction Committee's comment to Wis JI — Civil 1023 tacitly recognizes the difficulty with the word "average," stating that it interprets "average" in the instruction and in the court's decisions on which the instruction is based "to mean a typical *442 physician in the same class and not a midpoint concept." "The Committee does not believe," the comment continues, "that measuring a doctor's conduct against the conduct normally exercised by physicians changes the standard of conduct from reasonable care to average care." 14
On reflection, we too have reservations about the reference to "average" in Wis JI — Civil 1023 and conclude that this word should be eliminated. Loaded as it is with mathematical connotations, the word could distract a jury from its true purpose in a medical malpractice case: an investigation of whether the alleged tortfeasor exercised reasonable care. Reasonable care cannot be established by determining whether a physician provided care above or below the mean of the medical profession, but rather must be determined by assessing whether a patient received the standard of care he or she might reasonably expect from that practitioner, with due regard for the state of medical science at the time of treatment.
B.
The second paragraph of the circuit court's medical malpractice instruction to the jury in this case reads as follows:
*443 A physician does not guarantee the results of his care and treatment. A physician must use reasonable care and is not liable for failing to use the highest degree of care, skill, and judgment. Dr. Osterloh cannot be found negligent simply because there was a bad result. Medicine is not an exact science. Therefore, the issue you must decide in determining whether Dr. Osterloh was negligent is not whether there was a bad result but whether he failed to use the degree of care, skill, and judgment which is exercised by the average physician practicing the sub-specialty of retinal surgery.
The plaintiff does not suggest that this paragraph in any way misconstrues or misrepresents prior case law, from which much of the paragraph's language is derived. See, e.g., Kuehnemann v. Boyd, 193 Wis. 588, 592-93, 214 N.W. 326 (1927) ("we see no reason why proof of a bad result should constitute proof of negligence on the part of the physician"); Francois v. Mokrohisky, 67 Wis. 2d 196, 201, 226 N.W.2d 470 (1975) (medicine "is not an exact science, and even the very best of [physicians] can be wrong in diagnosis or procedure"). See also Hoven v. Kelble, 79 Wis. 2d 444, 456, 256 N.W.2d 379 (1977).
The plaintiff characterizes the paragraph as argumentative, however, because it allegedly accords undue emphasis to the defendant's case by repeatedly telling the jury what is not negligent without ever explaining what negligence is. Furthermore, argues the plaintiff, the undue prominence accorded what is not negligent in the first two paragraphs is exacerbated by the third paragraph, which also instructs the jury regarding what behavior is not negligent when it states that a physician choosing an alternative method of treatment is not negligent so long as he or she exercises the requisite degree of care.
*444 Compounding the second paragraph's allegedly disproportionate emphasis on behavior which is not negligent, argues the plaintiff, the facts in this case did not merit giving the first sentence of that paragraph. Although the first sentence simply states that a doctor does not guarantee a favorable result, the plaintiff never claimed that the defendant was guaranteeing results. Hence in giving this part of Wis JI — Civil 1023, insists the plaintiff, the circuit court did not fulfill the requirement that an "instruction must be germane to the situation at hand and must be framed in light of the evidentiary issues." Carlson, 48 Wis. 2d at 414.
Finally the plaintiff contends that by repeatedly emphasizing forms of behavior which are not negligent, Wis JI — Civil 1023 ignores this court's admonition that an instruction "should not give undue prominence to the contention of one party without giving equal prominence to the contention of the other party." Kuklinski v. Dibelius, 267 Wis. 378, 381, 66 N.W.2d 169 (1954).
We agree with the plaintiff that the circuit court need not have given the instruction's "no guarantee" language and we acknowledge that the second paragraph of Wis JI — Civil 1023 lárgely defines negligence through what is not negligent. Nevertheless, we conclude that the instruction is not erroneous.
First, concepts are frequently defined by what they are not. For reasons suggested by the plaintiff himself in mounting his attack against custom, defining negligence by what it is not is especially applicable here because the concept requiring definition is necessarily dynamic and changing.
Second, even assuming arguendo that the disputed sentences are in error, we again emphasize that when we review jury instructions, their language "should not be fractured into segments, one or two of *445 which, when considered separately and out of context, might arguably be in error." Paulson, 106 Wis. 2d at 108. Any error, the Paulson court instructs us, "must permeate the underlying meaning of the instruction" for there to be reversible error. Id.
When read in the context of both the remaining portions of Wis JI — Civil 1023 and the instructions as a whole, any alleged bias in the second paragraph of this instruction is readily dissipated. As the defendant points out in his brief to this court, the fifth paragraph of Wis JI — Civil 1023, which addresses the relation between negligence and cause and which was also given at trial, could be perceived as demonstrating a bias in favor of the plaintiff. 15 Similarly, as the defendant suggested in oral argument before this court, one could conclude that the damages instructions given to the jury at trial were erroneous because of their focus on the plaintiffs suffering. 16
We would reject such arguments, as we reject the one made here by the plaintiff. While jury instructions can appear to be biased or argumentative when read in isolation, the litmus test applied by this court when *446 reviewing such instructions is whether that bias persists when the instructions are read together. Read together with the remaining instructions given by the circuit court, the second paragraph of Wis JI — divil 1023 passes that test. We therefore conclude that the second paragraph of Wis JI — Civil 1023 as given in this case was not erroneous. 17
C.
The third paragraph of the circuit court's medical malpractice instruction to the jury in this case reads as follows:
If you find that more than one method of treatment for Kim Nowatske's injuries is recognized, then Dr. Osterloh was at liberty to select any of the recognized methods. Dr. Osterloh was not negligent merely because he made a choice of a recognized alternative method of treatment if he used the required care, skill, and judgment in administering the method. This is true even though other medical witnesses may not agree with him on the choice that was made. 18
The plaintiff contends that the last sentence of this paragraph of the instruction invades the province of the jury by requiring the jury to disregard other expert testimony and to conclude that a physician has not *447 acted negligently when any expert testifies that the physician pursued a recognized method of treatment. Not only does such an instruction unduly favor the defendant, the plaintiff insists, but it also conflicts with another instruction given the jury, Wis JI — Civil 260 ("Expert Testimony"), which confers úpon the jury the right to determine the credibility of experts. 19
In response, the defendant asserts that the purpose of the third paragraph in the instruction is to inform the jury that there may be more than one accepted method of treatment and that a doctor may not be held negligent merely because the doctor made a choice of a recognized alternative method of treatment.
We disagree with the plaintiffs interpretation of the third paragraph of JI — Civil 1023.
First, the opening of the third paragraph states that a doctor cannot be excused for utilizing an alternative method until "you [the jury] find that more than one method of treatment... is recognized." Thus the instruction insures that it is for the jury, exercising its role as fact-finder, to determine whether there is more than one method of treatment as well as whether the treatment method chosen is among those methods recognized as acceptable.
Second, the circuit court informed the jurors that they were "the sole judges of the credibility of the witnesses and the weight to be given to their testimony" *448 and that while " [o] pinion evidence was admitted in this case to help you reach a conclusion," "[y]ou are not bound by any expert's opinion." See Wis JI — Civil 215; Wis JI — Civil 260.
Jury instructions are to be construed as a whole, Paulson, 106 Wis. 2d at 108, and "[w]e must assume the jury followed the instructions," Johnson v. Pearson Agri-Systems, Inc., 119 Wis. 2d 766, 776, 350 N.W.2d 127 (1984). Consequently, we must assume that the jurors listened and adhered to those portions of the circuit court's instructions informing them that they were not bound by any expert's opinion regarding what procedures were "recognized" or whether the defendant acted negligently.
Third, we disagree with the plaintiffs claim that the final sentence of this paragraph of the instruction requires a finding of non-negligence whenever any expert testifies that an allegedly negligent physician has pursued an accepted treatment method. The sentence states that "[t]his is true even though other medical witnesses may not agree ... on the choice [of methods] that was made." The "this" which is "true" refers to the antecedent sentence, which states that a physician is not negligent merely because he chose a recognized alternative method. As that preceding sentence also makes clear, to be negligent a physician must also fail to exercise reasonable care in using that recognized alternative method.
The third paragraph of the instruction would be clearer if its final sentence were eliminated or if the paragraph stated explicitly that the jury alone determines which methods of treatment are "recognized" on the basis of the expert testimony in evidence. But these suggested revisions do not alter our conclusion that the *449 third paragraph adequately instructed the jury regarding its prerogative to assess and weigh the evidence before it in reaching a verdict.
To sum up, we conclude that these three paragraphs of Wis JI — Civil 1023, read as a whole and in conjunction with the other instructions given in this case, were not erroneous. At the same time, however, we recognize that the plaintiff has pointed to a number of ways in which the first three paragraphs of Wis JI — Civil 1023 might be clarified and thereby improved. Hence even though we hold that the pattern jury instruction was not erroneous in this case, we also conclude that it should be revised.
For the reasons set forth we remand the cause to the court of appeals for further proceedings consistent with this opinion.
By the Court. — The cause is remanded to the court of appeals.
This court did not accept the following issue identified by the court of appeals and the Nowatskes: "Whether evidence that a medical expert witness was the subject of an unrelated prior malpractice action or a currently pending action is admissible *425 for impeachment purposes under 906.08, Stats.?" The Nowat-skes' brief in the court of appeals raised a third issue: Did prejudice result from a witness's use of a pen light device during the trial?
For the court's decision regarding certification, see the unpublished order dated February 23, 1995, in the court's file on this case (Abrahamson and Geske, J.J., objecting to limiting the issues accepted on appeal).
Both Kim Nowatske and his wife Julie Nowatske are plaintiffs in this case. In the interest of clarity, we refer only to Kim Nowatske as the plaintiff.
The plaintiff did not raise the issue of informed consent either in the circuit court or before this court.
Unless otherwise noted, all references are to the 1992 version of the instruction used at trial. With one exception noted below, it is the same as the recently revised 1995 instruction.
The plaintiff proposed the following modified version of the instruction:
With regard to question 1 you are instructed that in undertaking to care for Kim Nowatske, Mark Osterloh was required to use the degree of care, skill and judgment usually exercised under the same or similar circumstances by reasonable physicians who specialize in the care of retina problems having due regard for the state of medical science at the time in question.
A physician such as Dr. Osterloh is negligent when he fails to exercise reasonable and ordinary care. Reasonable and ordinary care is the degree of care which physicians who specialize in the care of retina problems ordinarily exercise under the same or similar circumstances. A physician fails to exercise reasonable and ordinary care when, without intending to do any wrong, he does an act or omits to act under circumstances in which a physician ought reasonably to foresee that such action or omission of action will subject his patient to an unreasonable risk of injury or damage.
Whether or not Dr. Osterloh complied with the standards of care, skill and judgment required of him as someone who specializes in the care of retina problems is not a matter within the common knowledge or experience of lay persons. These standards are within the special knowledge of experts in the field of medicine and can only be established by the testimony of persons knowledgeable in the field of medicine, or by the written materials received in evidence.
See, e.g., A.E. Investment Corp. v. Link Builders, Inc., 62 Wis. 2d 479, 489, 214 N.W.2d 764 (1974) (an architect has "the duty of using the standard of care ordinarily exercised by the members of that profession"); Malone v. Gerth, 100 Wis. 166, 173, 75 N.W. 972 (1898) (quoted with approval in Helmbrecht v. St. Paul Ins. Co., 122 Wis. 2d 94, 111, 362 N.W.2d 118 (1985)) (a lawyer is required to exercise a "reasonable degree of care and skill, and to possess to a reasonable extent the knowledge requisite to a proper performance of the duties of his profession").
See also Kuehnemann v. Boyd, 193 Wis. 588, 591-92, 214 N.W. 326 (1927) overruled on other grounds by Fehrman v. Smirl, 20 Wis. 2d 1, 21-22, 121 N.W.2d 255 (1963); Jaeger v. Stratton, 170 Wis. 579, 581, 176 N.W. 61 (1920); Wurdemann v. Barnes, 92 Wis. 206, 208, 66 N.W. 111 (1896); Nelson v. Harrington, 72 Wis. 591, 597, 40 N.W. 228 (1888).
With the exception of Reynolds, the early cases also adhered to the locality rule which equated a physician's exercise of ordinary care with the standard exercised by other physicians in the same or similar communities. As we explain below, the locality rule was abolished by Shier v. Freedman, 58 Wis. 2d 269, 280, 206 N.W.2d 166 (1973).
See, e.g., Kerkman v. Hintz, 142 Wis. 2d 404, 419-420, 418 N.W.2d 795 (1988) (chiropractors must "exercise that degree of *435 care, diligence, judgment, and skill which is exercised by a reasonable chiropractor under like or similar circumstances"; such a standard is consistent with that imposed on other professionals); Francois v. Mokrohisky, 67 Wis. 2d 196, 201-02, 226 N.W.2d 470 (1975) ("[l]ike automobile drivers, engineers, common laborers, and lawyers, [physicians] are obliged to conform to reasonable care in the circumstances").
The circuit court in Steinberg v. Arcilla, 194 Wis. 2d 759, 773, 535 N.W.2d 444 (Ct. App. 1995), instructed the jury as follows:
A physician ... is negligent when he fails to exercise reasonable and ordinary care. A physician fails to exercise reasonable and ordinary care when, without intending to do any wrong, he does an act or omits an act under circumstances in which a physician ought reasonably to foresee that such action or omission will subject his patient to an unreasonable risk [of] injury or damage.
The relation between custom and negligence in medical malpractice has long been a topic of debate in American tort law. See, e.g., 3 Fowler V. Harper et al., The Law of Torts § 17.3 (2d ed. 1986); W. Page Keeton et al., Prosser and Keeton on the Law of Torts § 32, at 185-89 (5th ed. 1984); Richard A. Epstein, Medical Malpractice, Imperfect Information, and the Contractual Foundation for Medical Services, Law & Contemp. Probs., Spring 1986, at 201, 202; Clark C. Havighurst, Altering the Applicable Standard of Care, Law & Contemp. Probs., Spring 1986, at 265, 266-70; John Kimbrough Johnson, Jr., An Evaluation of Changes in the Medical Standard of Care, 23 Vand. L. Rev. 729, 741-747 (1970); Joseph H. King, Jr., In Search of a Standard of Care for the Medical Profession: The "Accepted Practice"Formula, 28 Vand. L. Rev. 1213 (1975); Allan McCoid, The Care Required of Medical Practitioners, 12 Vand. L. Rev. 549, 605 (1959); Matthew J. Mitten, Team Physicians and Competitive Athletes: Allocating Legal Responsibility for Athletic Injuries, 55 U. Pitt. L. Rev. 129,146 (1993); Richard N. Pearson, The Role of Custom in Medical Malpractice Cases, 51 Ind. L.J. 528 (1976).
What constitutes reasonable physician care in the wake of developments in medical science must ordinarily be established by expert testimony, because "medical practice demands special knowledge or skill or experience on subjects which are not within the realm of the ordinary experience of mankind, and which require special learning, study, or experience." Weiss v. United Fire & Casualty Co., 197 Wis. 2d 365, 541 N.W.2d 753 (1995) (quoting Cramer v. Theda Clark Mem. Hosp., 45 Wis. 2d 147, 150, 172 N.W.2d 427 (1969)). On the hasis of expert testimony, a jury could determine whether the customary practices of the medical profession had kept pace with developments in medicine at the time of an incident and whether a particular practice in issue was therefore negligent.
Cf. Wis JI—Civil 1019 ("[c]ustom... cannot overcome the requirement of reasonable safety and ordinary care. A practice which is obviously unreasonable and dangerous cannot excuse a person from responsibility for carelessness"); 3 Fowler V. Harper et al., The Law of Torts § 17.3 at 579 (2d ed. 1986) ("[b]y the great weight of modern American authority a custom either to take or to omit a precaution is generally admissible as bearing on what is proper conduct under the circumstances, but is not conclusive"); Keeton, supra, § 33, at 195 (5th ed. 1984) ("[m]uch the better view, therefore, is that. . . every custom is not conclusive merely because it is a custom, that it must meet the challenge of 'learned reason,' and be given only the eviden-tiary weight which the situation deserves").
The court has concluded that a "self-created custom of the profession" is an improper standard for measuring a doctor's conduct in an informed consent case. Scaria v. St. Paul Fire & Marine Ins. Co., 68 Wis. 2d 1, 12, 227 N.W.2d 647 (1975). The Scaria court concluded that the instruction improperly allowed physicians to set their own standard of care.
A 1995 revision to Wis JI — Civil 1023 has attempted to address the second of these two issues. The 1995 revision adds a sentence to the first paragraph of the instruction stating that "[fiailure to conform to this standard is negligence." But because the 1995 revision does not address the plaintiffs argument regarding how the reasonable standard of care applicable to physicians should be defined and applied, this revision does not address the plaintiffs argument that an excessive reliance on custom distorts the relation between physicians' standard of care and ordinary negligence.
Restatement (Second) of Torts § 199A cmt. e (1965). See also Keeton, supra, § 32, at 187 (reliance on what is average in determining what constitutes reasonable medical care is "clearly misleading").
In the initial version of Wis JI — Civil 1023 in 1963, the first paragraph of the instruction spoke in terms of the "degree of care, skill, and judgment which is usually exercised by reputable physicians" rather than average physicians. In fashioning a replacement for the locality rule which it abolished, Shier appears to be the first Wisconsin case to use the phrase "average practitioner." Shier, 58 Wis. 2d at 283.
As given at trial, the fifth paragraph of Wis JI — Civil 1023 reads as follows:
The cause question asks whether there was a causal connection between negligence on the part of Dr. Osterloh, if you find such negligence, and Kim Nowatske's present condition. A person's negligence is a cause of a plaintiffs condition if the negligence was a substantial factor in producing the present condition of the plaintiffs health. This question does not ask about "the cause” but rather "a cause." The reason for this is that there can be more than one cause of a condition.
The circuit court gave the jury both Wis JI — Civil 1700 ("Damages: General") and Wis JI — Civil 1750A ("Personal Injury").
In Steinberg v. Arcilla, 194 Wis. 2d at 773-74, 535 N.W.2d 444 (Ct. App. 1995), the court of appeals recently reached a similar conclusion when it rejected a claim that the second paragraph of Wis JI — Civil 1023 prejudicially tipped the scales in favor of the defendant physician.
This paragraph is apparently derived from Treptau v. Behrens Spa, Inc., 247 Wis. 438, 20 N.W.2d 108 (1945); Holton v. Burton, 197 Wis. 405, 222 N.W. 225 (1928); DeBruine v. Voskuil, 168 Wis. 104, 169 N.W. 288 (1918).
As given to the jury in this case, Wis JI — Civil 260 stated, in pertinent part:
You are not bound by any expert's opinion. In resolving conflicts in expert testimony, weigh the different expert opinions against each other and consider the relative qualifications and credibility of the experts, the reasons and facts supporting their opinions, and whether the facts and reasons given are based on facts you find are established by the evidence in this case.
5.3 Gambill v. Stroud 5.3 Gambill v. Stroud
Richard GAMBILL et al v. Dr. Paul T. STROUD
75-80
Substituted Opinion On Rehearing Delivered January 26, 1975
McMath, Leatherman & Woods, for appellants.
Barrett, Wheatley, Smith & Deacon, for appellee.
John A. Fogleman, Justice.
The appellants, the husband and the guardian of Yvonne Gambill, brought this action for damages assertedly resulting from medical malpractice. After an extended trial there was a verdict for the defendant, Dr. Stroud. The principal question on appeal is whether we should modify our prevailing “same or similar locality” rule in malpractice cases, by which a physician, surgeon, or dentist is held only to the standard of competence that obtains in his own locality or in a similar locality. The rule is fully stated in AMI 1501, which the trial judge gave over the plaintiffs’ objections. AMI Civil 2d, 1501 (1974).
In discussing the issues of law that are presented we need not describe in detail the serious injuries suffered by Mrs. Gambill. The appellee and another surgeon were prepared to operate upon the patient in a Jonesboro hospital, for the removal of a thyroid cyst. The operation was not performed because, after the patient had been put under anesthesia, she suffered a cardiac arrest (and later respiratory arrest) that resulted in serious and irreversible brain damage. The plaintiffs’ claim against the anesthesiologist was settled before trial. It is not argued that there was no substantial evidence to support the verdict.
The evidence disclosed that Dr. E. B. Sparks, the anesthesiologist who participated, told Dr. Stroud that the patient was ready for surgery, but the procedure was stopped immediately after Dr. Stroud made an incision and found that Mrs. Gambill’s blood was “very dark.” This blood coloration is indicative of an inadequate oxygen supply in the blood. On the evidence admitted, there was a jury question as to Dr. Stroud’s negligence.
Appellants offered the testimony of Dr. James Mayfield and Dr. George Mitchell, Jonesboro anesthesiologists, Dr. Sparks, also of Jonesboro, Dr. Charles W. Quimby, an anesthesiologist who practices and teaches at Vanderbilt University Hospital and Dr. Davis A. Miles, a Little Rock neurologist, who testified that he was familiar with the standards of practice in Jonesboro or similar communities. Dr. Quimby had taught and practiced anesthesiology for five years at the Medical Center in Little Rock, during which time he conducted statewide seminars relating to types and techniques of anesthesia for general practitioners, surgeons, obstetricians and anesthesiologists. He had obtained a law degree from the University of Pennsylvania in 1959. There is no indication that any witness offered by plaintiffs was not permitted to testify, or that any pertinent testimony of any medical witness for plaintiffs was excluded. Appellants state in their brief that it was uncontroverted that the standards of medical practice in Jonesboro, Little Rock and Memphis were comparable. Appellants did not offer any instruction in lieu of AMI 1501. All of the parties tried this case under the same or similar locality rule.
In spite of the failure of appellants to show how they were prejudiced in the introduction of evidence or to offer an instruction expressing their theory of the proper test of negligence in a medical malpractice case, they did make a specific objection to reference to locality. We might well conclude our discussion on the instruction on the failure to offer a modified or substitute instruction. See Wharton v. Bray, 250 Ark. 127, 464 S.W. 2d 554. We consider the objection to support the contention that the locality rule is obsolete. We think, however, that the same or similar locality rule articulately expressed in AMI 1501 is proper, adequate, viable and not unduly restrictive on the evidence a plaintiff may introduce. In spite of its abandonment in some jurisdictions and limitations in others, it may well be the majority rule. See 61 Am. Jur. 2d 239, Physicians & Surgeons, § 116; 70 CJS 950, Physicians & Surgeons, § 43; Restatement of the Law, Torts 2d (1965) 73, § 299A. It has been recently applied in many jurisdictions. See e.g., Goedecke v. Price, 19 Ariz. App. 320, 506 P. 2d 1105 (1973); Peters v. Gelb, 303 A. 2d 685 (Del. Super. 1973); Bailey v. Williams, 189 Neb. 484, 203 N.W. 2d 454 (1973); Karrigan v. Nazareth Convent & Academy Inc., 212 Kansas 44, 510 P. 2d 190 (1973); Burton v. Smith, 34 Mich. App. 270, 191 N.W. 2d 77 (1971); McBride v. U.S., 462 F. 2d 72 (9 Cir., 1972).
The thrust of appellants’ argument is that the rule set out in AMI 1501 is no longer applicable to modern medicine, because doctors practicing in small communities now have the same opportunities and resources as physicians in large cities to keep abreast of advances in the medical profession, due to availability of the Journal of the American Medical Association and other journals, drug company representatives and literature, closed circuit television, special radio networks, tape recorded digests of medical literature, medical seminars and opportunities for exchange of views between doctors from small towns and those from large cities where there are complexes of medical centers and modern facilities.
However desirable the attainment of this ideal may be, it remains an ideal. It was not shown in this case, and we are not convinced, that we have reached the time when the same postgraduate medical education, research and experience is equally available to all physicians, regardless of the community in which they practice. The opportunities for doctors in small towns, of which we have many, to leave a demanding practice to attend seminars, and regional medical meetings cannot be the same as those for doctors practicing in clinics in larger centers. It goes without saying that the physicians in these small towns do not and cannot have the clinical and hospital facilities available in the larger cities where there are large, modern hospitals, and medical centers or the same advantage of observing others who have been trained, or have developed expertise, in the use of new skills, facilities and procedures, of consulting and exchanging views with specialists, other practitioners and drug experts, of utilizing closed circuit television, special radio networks or of studying in extensive medical libraries found in larger centers.
The rule we have established is not a strict locality rule. It incorporates the similar community into the picture. The standard is not limited to that of a particular locality. Rather, it is that of persons engaged in a similar practice in similar localities, giving consideration to geographical location, size and character of the community. Restatement of the Law, Torts, 2d, 75 Comment g, § 299A. The similarity of communities should depend not on population or area in a medical malpractice case, but rather upon their similarity from the standpoint of medical facilities, practices and advantages. See Sinz v. Owens, 33 Cal. 2d 749, 205 P. 2d 3, 8 ALR 2d 757 (1949). For example, appellants state in their brief that it was uncontroverted that the medical standards of practice in Jonesboro, Little Rock, and Memphis are comparable. Thus, they could be considered similar localities. The extent of the locality and the similarity of localities are certainly matters subject to proof. Modern means of transportation and communication have extended boundaries but they have not eliminated them. See Sinz v. Owens, supra; Tvedt v. Haugen, 70 N.D. 338, 294 N.W. 183 (1940), 132 ALR 379. The opportunities available to practitioners in a community are certainly matters of fact and not law and may be shown by evidence under our own locality rule.
Our locality rule is well expressed in Restatement of the Law, Torts 2d (1965) 73, § 299A, viz:
Unless he represents that he has greater or less skill or knowledge, one who undertakes to render services in the practice of a profession or trade is required to exercise the skill and knowledge normally possessed by members of that profession or trade in good standing in similar communities.
It is fallacious to say that our locality rule permits a doctor in one place to be more negligent than one in another place. It is a matter of skill that he is expected to possess, i.e., the skill possessed and used by the members of his profession in good standing, engaged in the same type of practice in the locality in which he practices, or a similar locality. The similar locality rule prevents highly incompetent physicians in a particular town from setting a standard of utter inferiority for the practice of medicine there. Restatement of the Law, Torts 2d, 75, Comment e, § 299A. See also 3 Sherman & Red-field on Negligence 1532, § 617 (1941).
One of the ideas suggested in appellants’ argument is that a national standard of care should be observed. This is also unrealistic. We cannot accept that premise as a matter of law and we certainly do not take the theory that such a standard exists to Be so well established that it can be judicially noticed. If it does factually exist to any extent, or in any case, then certainly it can be shown by evidence. If the medical profession recognizes that there are standard treatments, which should be utilized nation-wide this fact should be readily susceptible of proof under the similar locality rule, because the skill and learning should be the same and all localities would be similar.1 See Annot, 37 ALR 3d 420, 425; Peters v. Gelb, 303 A. 2d 685 (Del. Super. 1973); Rucker v. High Point Memorial Hospital, Inc., 285 N.C. 519, 206 S.E. 2d 196 (1974); Hundley v. Martinez, 151 W. Va. 977, 158 S.E. 2d 159 (1967). The same may be said for any region exceeding the boundaries of a particular city or town. This is much more likely to be true in cases where a specialist, and not a general practitioner like Dr. Stroud, is involved. See Prosser, Law of Torts (4th Ed.) 164, 166, Ch. 5, § 32; Naccarato v. Grob, 384 Mich. 248, 180 N.W. 2d 788 (1970); McGulpin v. Bessmer, 241 Ia. 1119, 43 N.W. 2d 121 (1950). For this reason, cases cited by appellant which involved specialists are of little persuasive weight. After all, in all but the obvious cases of negligence, the question whether the defendant physician has applied that degree of skill and learning which the law requires him to possess is dependent upon medical testimony. Davis v. Kemp 252 Ark. 925, 481 S.W. 2d 712.
One of the difficulties with the strict locality rule was the tendency to apply it as a rigid, exclusionary rule of evidence, rather than a definition of a standard of care required of a physician. Of course the standard does necessarily have a relationship to the admissibility of evidence. See Couch v. Hutchison, 135 S. 2d 18 (Fla. App. 1961). But the similar locality rule is not necessarily so restrictive, and an expert witness need not be one who has practiced in the particular locality or who is intimately familiar with the practice in it in order to be competent to testify if the appropriate foundation has been laid to show that he is familiar with the standards of practice in a similar locality, either by his testimony or by other evidence showing the similarity of localities. For examples of such witnesses held competent and testimony held admissible under a similar locality rule, see Dunham v. Elder, 18 Md. App. 360, 306 A. 2d 568 (1973); Sinz v. Owens, supra; Iterman v. Baker, 214 Ind. 308, 15 N.E. 2d 365 (1938); Kirchner v. Dorsey, 226 Iowa 283, 284 N.W. 171 (1939); Turner v. Stoker, 289 S.W. 190 (Tex. Civ. App., 1926); Riley v. Layton, 329 F. 2d 53 (10 Cir., 1964); Sales v. Bacigalupi, 47 Cal. App. 2d 82, 117 P. 2d 399 (1941); Dickens v. Everhart, 284 N.C. 95, 199 S.E. 2d 440 (1973).
It is also suggested that modern transportation and communications have so extended the borders of the locality as to bring the physician in a smaller community within the boundaries of a larger community where appropriate treatment may be assured to a patient, even though the physician in the small town be unable to give it because of limited facilities or training. Here again, the appropriate community standard may require that these doctors send such patients as may be taken to such larger centers,2 but when this is not practicable, the small town doctor should not be penalized for not utilizing means or facilities not reasonably available to him.3 This, too, is a fact question which may be inquired into under our similar locality rule. Furthermore, there is nothing in the instruction that limits the locality to the limits of a city. Lewis v. Johnson, 12 Cal. 2d 558, 86 P. 2d 99 (1939). It may be comprised of a much larger district or area, depending upon the particular facts and circumstances. See Warnock v. Kraft, 30 Cal. App. 2d 1, 85 P. 2d 505 (1938); Kirchner v. Dorsey, supra. For e.g., it might be established by evidence that Jonesboro is a part of a locality that also includes Memphis, Tennessee.
It also seems that appellants have overlooked the impact of better medical education, modern technology, and improved means of travel and communication upon the law as it now exists. If the impact is as great as they theorize then no change in the law is necessary. See Peters v. Gelb, 303 A. 2d 685 (Del. Super. 1973). These factors have already elevated the degree of skill and learning ordinarily possessed and used by members of the medical profession in every locality, if that premise is correct.
It has also been suggested that we should adopt a standard of care and skill based upon that of the “average qualified practitioner” and permit consideration of the medical resources available to the practitioner as a circumstance in determining the skill and care required. Not only would this put a jury in a predicament as to how to arrive at an “average” but it seems to us that requiring the skill of the “average qualified practitioner” automatically makes approximately one-half of the doctors guilty of malpractice. The question is not one of the “average” or “medium” skill, but of the minimum common skill. Prosser, Law of Torts, 165, Ch. 5, § 32. See Restatement of the Law, Torts, 2d, 75, Comment e, § 299A. As pointed out heretofore, the availability of medical resources already has had a bearing upon the question of similarity of localities and, to some extent, upon the establishment of the boundaries of a locality.
As a subordinate contention the appellants argue that the court should not have allowed the jury to take the typewritten instructions into the jury room because these appellants objected to that procedure. The statute requires only that the court deliver a copy of the instructions to the jury when counsel for all parties so request. Ark. Stat. Ann. § 27-1732.1 (Repl. 1962). That does not mean that any party has an absolute veto power when all parties do not agree. The question is still one falling within the trial court’s discretion, as it was before the present statute was adopted. Rutledge v. State, 222 Ark. 504, 262 S.W. 2d 650 (1953). We find no abuse of discretion in this case.
The judgment is affirmed.
In this very case, appellants’ expert witness, Dr. Quimby, was permitted to testify, over the vigorous objections of appellee, that the problems encountered in the Gambill case are specific and unique and that the treatment of such cases is well known and clear-cut and that there was a deviation from this “norm” which was basic whether in New York City or Jonesboro, Arkansas.
See Tvedt v. Haugen, 70 N.D. 338, 294 N.W. 183 (1940).
We certainly are not unaware of the difficulties experienced by small towns and rural communities in attracting qualified physicians. A complete abolition of the locality rule would certainly add to these difficulties.
Conley Byrd, Justice,
concurring. While I must agree that there is some merit to the minority’s criticism of the “same or similar locality” rule, I find that it has become firmly established as part of the law of this State. The rule did not come into our law as the result of an incorrect interpretation of the Constitution of this State or the United States as was the situation in Parish v. Pitts, 244 Ark. 1239, 429 S.W. 2d 45 (1968), and therefore it is subject to change by the General Assembly. In that situation under Article 2, § 12 of the Constitution of Arkansas this court is prohibited from suspending or setting aside the law with respect to the “same or similar locality” rule. Article 2, § 12 provides:
“No power of suspending or setting aside the law or laws of the State shall ever be exercised except by the General Assembly.”
For the reasons stated, I concur in the majority opinion.
George Rose Smith, Justice,
dissenting. This case illustrates the unjust situation that necessarily results from the “same or similar locality” rule: The plaintiff’s difficulty in obtaining expert medical testimony. Here Dr. Quimby, a qualified expert who had taught in medical schools in Arkansas and Tennessee, testified for the plaintiffs. On cross-examination Dr. Quimby admitted that he had not practiced in Jonesboro and was therefore not familiar with the standard of care adhered to by general practitioners in Jonesboro. Defense counsel then repeatedly asked Dr. Quimby, in various forms, what was essentially the same question: “If you do not know what the standard of care in Jonesboro, Arkansas, is, then what is your point of reference, how do you compare it to another locality?” The witness, understandably, could not give an altogether satisfactory answer to the question, despite his unquestioned qualifications as a medical expert. Since AMI 1501 compels the plaintiff to prove his charge of negligence by the same or'similar locality rule, defense counsel were obviously in a position to make a devastating jury argument with regard to Dr. Quimby’s testimony.
Such injustice is unavoidable under the rule adhered to by the majority. As a practical matter, a plaintiff simply has no real hope of finding a favorable medical witness whose testimony cannot be seriously weakened by the line of questioning adopted in this case. Thus the local physician obtains a demonstrably unfair advantage. As Prosser observes, the present tendency in the courts is to abandon the same or similar locality rule and, in its stead, to treat the size and character of the community as merely one factor to be taken into account by the jury in applying the general professional standard. Prosser, Torts, p. 167 (3d ed., 1964). I think we should have no hesitancy in taking this opportunity to adopt a rule that is becoming commonplace in other jurisdictions and that is unquestionably fair to both sides in the lawsuit.
Elsijane T. Roy, Justice,
dissenting. The writer is of the view that the narrow “same or similar locality” rule in malpractice cases has long outlived its usefulness. The tenor of the briefs filed by appellants and appellee both reflect the tremendous advances made in medical science during the last twenty years. The opinion of the majority in this case also recognizes the progress made in the field of medicine.
In Kolesar v. United States, D.C., 198 F. Supp. 517 (1961), the court pointed out that:
. . . [T]he locality rule of medical standards was originally formulated when communications were slow or virtually non-existent, and that it has lost much of its significance today with the increasing number and excellence of Medical Schools, the free interchange of scientific information, and the consequent tendency to harmonize medical standards, throughout the country. * * *
The North Carolina Supreme Court in Wiggins v. Piver, 276 N.C. 134, 171 S.E. 2d 393 (1970), stated:
The “locality rule” (never recognized in England) had its origin in the very old and faraway days when there were many little institutions which called themselves medical schools. Students were admitted who could show a high school diploma or furnish a certificate from a school piincipal that the bearer had completed the “equivalent” of a high school course of study. At the end of the course, he was given an M.D. degree. Passing the licensing board was in the nature of a formality. In many rural communities, ever thereafter the doctor was on his own. Frequent refresher courses, now generally attended, were unknown. * * *
Now medical schools admit only college graduates. They are equipped to the highest point of efficiency and turn out doctors who must continue their studies by internships and by actual experience under expert supervision. They continue to study, continue to attend refresher courses, and have access to journals which afford them opportunity to keep them current in the latest treatments and procedures.
It would serve no useful purpose to set out at length the many jurisdictions which have already recognized the need for change and have modified the rule to be applied in malpractice cases.
I agree completely with the comments in the dissenting opinion of Justice George Rose Smith concerning a plaintiff’s difficulty in obtaining expert medical testimony under the present rule. Medical science recognizes no geographical boundaries in its broad expanse in the field of progress, and neither should the law place such restrictive impositions upon the rule establishing the degree of skill and care required of medical practitioners.
In criticizing a standard of care and skill based upon that of the “average qualified practitioner”, the majority opinion states “[T]he question is not one of the ‘average’ or ‘medium’ skill but of the minimum common skill.” (emphasis added). In the writer’s opinion this was not the test and has never been the test applied in Arknasas. As far back as Dunman v. Raney, 118 Ark. 337, 176 S.W. 339 (1915), to our present AMI Civil 2d 1501 (1974), the standard established has been that in treating or operating upon a patient a physician or surgeon must possess, and using his best judgment, apply with reasonable care the degree of skill and learning ordinarily possessed and used by members of his profession in good standing engaged in the same type of practice or specialty in the same or a similar locality to that in which he practices.
In the writer’s opinion there is no need to change the standard established by AMI 1501 except to remove the restrictiveness of the “same or similar locality” rule and to give due regard to the medical resources available as one factor in determining the skill and care required of a physician or surgeon. For the foregoing reasons I respectfully dissent.
Amendment of Rule 11, Rules of Supreme Court October 20, 1975
PER CURIAM
Paragraphs (f) and (g) of Supreme Court Rule 11 are amended to read as follows, effective November 1, 1975:
(f) Appellant’s Duty to File Abstract and Brief. — In all felony cases it is the duty of the appellant, whether he is represented by retained counsel, appointed counsel, or a public defender, or acts pro se, to abstract such parts of the record, but only such parts of the record, as are material to the points to be argued in his brief. (The former requirement that the Attorney General supply an abstract in felony cases no longer obtains.) The appellant’s brief in chief, before its printing, shall not exceed 40 doublespaced typewritten pages, with a similar 10-page limit upon the reply brief, except that if either limitation is shown to be too stringent in a particular case it may be waived by the Court on motion. See paragraph (g) of this Rule with respect to the printing of an indigent’s abstract and brief. The State’s brief shall be subject to the same page limit.
When the sentence is death or life imprisonment, the Court must review all errors prejudicial to the appellant. Act 333 of 1971; Ark. Stat. Ann. § 43-2725 (Supp. 1973). To make that review possible the appellant must abstract all objections that were decided adversely to him in the trial court, together with such parts of the record as are needed for an understanding of the objection. The Attorney General will make certain that all objections have been so abstracted and will brief all points argued by the appellant and any other points that appear to him to involve prejudicial error.
(g) Printing of Abstracts and Briefs for Indigent Appellants. — When an indigent is represented by appointed counsel or a public defender, his attorney may have the abstract and briefs printed by submitting the double-spaced typewritten manuscript to the Attorney General not later than the due date of the brief.
5.4 McGraw v. St. Joseph's Hospital 5.4 McGraw v. St. Joseph's Hospital
Robert S. McGRAW, Plaintiff Below, Appellant, v. ST. JOSEPH’S HOSPITAL, a Corporation, and Thomas J. Tarney, M.D., Defendants Below, Appellees.
No. 23540.
Supreme Court of Appeals of West Virginia.
Submitted Jan. 15, 1997.
Decided Feb. 21, 1997.
Dissenting Opinion of Justice Maynard July 16, 1997.
*116 William L. Jacobs, Parkersburg, for Appellant.
Jeffrey M. Wakefield, Don R. Sensabaugh, Flaherty, Sensabaugh & Bonasso, Charleston, for Appellees.
DAVIS, Justice:
This is an appeal by Robert S. McGraw, plaintiff below, from a summary judgment order of the Circuit Court of Wood County dismissing his complaint against the defendant below, St. Joseph’s Hospital.1 On appeal the plaintiff argues that the circuit court committed error in granting summary judgment on the grounds that medical expert testimony was required to show the defendant violated the standard of care in its treatment of him.
I.
FACTUAL BACKGROUND
The facts of this ease are straightforward, though some critical points remain in dispute. On May 10,1991 the plaintiff walked into the defendant’s emergency room complaining of shortness of breath. After several hours of waiting to be seen by medical personnel, the plaintiff was admitted into the hospital. On the morning of May 11, four female hospital personnel attempted to assist the plaintiff back into bed.2 The plaintiff testified during his deposition that he informed the four *117women that he did not believe they could put him in bed because he weighed too much.3 The plaintiffs memory of what happened immediately after making that statement is minimal. He testified that all he could remember is that he “had a sensation of falling.”4 During the early morning hours of May 12 the plaintiff was discovered on the floor near his bed. The plaintiff indicated in his deposition that he fell out of bed.5 The plaintiff further testified that on the afternoon of May 21, four female nurses and nurse’s aides dropped him while attempting to place him in bed.6 He stated that “they had to get men to put me — get me up and put me in bed after they had dropped me[.]” The plaintiff was eventually discharged from the hospital on June 28,1991.
On May 6, 1993 the plaintiff filed the instant action against the defendant. The complaint charged the defendant with dropping or permitting him to fall on two occasions. It was also alleged that he sustained “a fractured neck and other injuries in, about and upon his arms, knees and other parts of his body” as a result of both incidents. After discovery in the case, the defendant moved for summary judgment “premised upon the failure of McGraw to produce expert testimony demonstrating that the hospital deviated from the standard of care and that any deviation caused injury or damage to McGraw.”
By order entered June 16, 1995 the circuit court granted the defendant’s motion for summary judgment on the grounds that “West Virginia law requires that a violation of the standard of care by a health care provider be proven by expert testimony,” but that the plaintiff “is unable to produce expert testimony as to any violation of the standard of care by the Hospitalf.]” This appeal followed. We reverse.
II.
STANDARD OF REVIEW
We stated in syllabus point 1 of Painter v. Peavy, 192 W.Va. 189, 451 S.E.2d 755 (1994) that “[a] circuit court’s entry of summary judgment is reviewed de novo.” See also Syl. pt. 1, Jones v. Wesbanco Bank Parkersburg, 194 W.Va. 381, 460 S.E.2d 627 (1995); Syl. pt. 1, Hanlon v. Chambers, 195 W.Va. 99, 464 S.E.2d 741 (1995). Syl. pt. 4, Jividen v. Law, 194 W.Va. 705, 461 S.E.2d 451 (1995). We, therefore, apply the same standard as a circuit court. Williams v. Precision Coil, Inc., 194 W.Va. 52, 59, 459 S.E.2d 329, 335 (1995). In syllabus point 2 of Williams the Court stated:
Summary judgment is appropriate if, from the totality of the evidence presented, the record could not lead a rational trier of fact to find for the nonmoving party, such as where the nonmoving party has failed to make a sufficient showing on an essential element of the ease that it has the burden to prove.
Further, in syllabus point 3 of Williams we held:
If the moving party makes a properly supported motion for summary judgment and can show by affirmative evidence that there is no genuine issue of a material fact, the burden of production shifts to the non-moving party who must either (1) rehabilitate the evidence attacked by the moving party, (2) produce additional evidence *118showing the existence of a genuine issue for trial, or (3) submit an affidavit explaining why further discovery is necessary as provided in Rule 56(f) of the West Virginia Rules of Civil Procedure.
It is through the above legal principles that we decide the merits of this case.
III.
DISCUSSION
We pointed out in Neary v. Charleston Area Medical Center, Inc., 194 W.Va. 329, 334, 460 S.E.2d 464, 469 (1995) that “[w]hen the principles of summary judgment are applied in a medical malpractice ease, one of the threshold questions is the existence of expert witnesses opining the alleged negligence.” Defendant takes the position that medical expert testimony was mandatory in this case pursuant to W.Va.Code § 55-7B-7 (1986), which provides in relevant part:7
The applicable standard of care and a defendant’s failure to meet said standard, if at issue, shall be established in medical professional liability cases by the plaintiff by testimony of one or more knowledgeable, competent expert witnesses if required by the court.
In granting the defendant summary judgment in this ease, the circuit court did not cite the above statute. The circuit court held that our law required “a violation of the standard of care by a health care provider8 be proven by expert testimony[.]” We address the meaning of the above quoted passage from W.Va.Code § 55-7B-7.
A.
West Virginia Code § 55-7B-7
Our traditional rule of statutory construction is set out in syllabus point 2 of Keen v. Maxey, 193 W.Va. 423, 456 S.E.2d 550 (1995) as follows:
“ ‘ “When a statute is clear and unambiguous and the legislative intent is plain the statute should not be interpreted by the courts, and in such a case it is the duty of the courts not to construe but to apply the statute. Point 1, syllabus, State ex rel. Fox v. Board of Trustees of the Policemen’s Pension or Relief Fund of the City of Bluefield, et al., 148 W.Va. 369 [135 S.E.2d 262 (1964)].” Syllabus Point 1, State ex rel. Board of Trustees v. City of Bluefield, 153 W.Va. 210, 168 S.E.2d 525 (1969).’ Syl. pt. 3, Central West Virginia Refuse, Inc. v. Public Service Com’n of West Virginia, 190 W.Va. 416, 438 S.E.2d 596 (1993).”
Our examination of the relevant language of W.Va.Code § 55-7B-7 instructs us that it is without ambiguity and that the legislature has not, as argued by the defendant, mandated that expert testimony be used in medical professional liability eases. “ Where the language of a statute is plain and unambiguous, *119there is no basis for application of rules of statutory construction; but courts must apply the statute according to the legislative intent plainly expressed therein.’ Syllabus, Dunlap v. State Compensation Director, 149 W.Va. 266 (140 S.E.2d 448) [1965].” Syl. pt. 1, Kucera v. City of Wheeling, 153 W.Va. 531, 170 S.E .2d 217 (1969).
We hold that W.Va.Code § 55-7B-7 provides that circuit courts have discretion to require expert testimony in medical professional liability cases.9 We are aided in our holding that W.Va.Code § 55-7B-7 provides discretionary authority in the use of experts, by our decision in Neary. The plaintiff in Neary brought a medical professional liability action against the defendant hospital, due to an infection from a back operation. The circuit court in that case granted summary judgment to the defendant, on the basis that the plaintiff could not produce expert testimony that the operation was negligently performed. On appeal the plaintiff contended that expert testimony was not required because the doctrine of res ipsa loquitur applied to the case. Although we cited W.Va. Code § 55-7B-7 in Neary, we did not elaborate upon its meaning.
■ Implicit in our disposition of the Neary case, was the fact that W.Va.Code § 55-7B-7 did not mandate expert testimony in medical professional liability cases. If the doctrine of res ipsa loquitur had applied in that case, medical expert testimony would not have been required. We determined that the doctrine of res ipsa loquitur did not apply in Neary and that the complexity of the issues in that case required expert testimony. See also Farley v. Meadows, 185 W.Va. 48, 404 S.E.2d 537 (1991) (doctrine of res ipsa loqui-tur held not to apply and medical expert testimony needed).
B.
Requirement Of Medical Expert
In determining that W.Va.Code § 55-7B-7 provides for discretionary use of expert testimony in medical professional liability cases, “we will not reverse the trial court’s decision, in the case before us, unless the ... trial court clearly abused its discretion.” Mayhorn, 193 W.Va. at 48, 454 S.E.2d at 93. The circuit court’s ruling in the instant case, on the issue of expert testimony, presents two matters that must be addressed: (1) was expert testimony necessary in this case; and (2) did the plaintiff in fact have an expert?
We note some general principles that our prior cases have developed in this area. In syllabus point 1 of Farley we stated that “ ‘[i]t is the general rule that in medical malpractice cases negligence or want of professional skill can be proved only by expert witnesses.’ Syl. pt. 2, Roberts v. Gale, 149 W.Va. 166, 139 S.E.2d 272 (1964).”
In Totten v. Adongay, 175 W.Va. 634, 638, 337 S.E.2d 2, 6 (1985), the Court stated that “ ‘cases may arise where there is such want of skill as to dispense with expert testimony.’ ” Quoting, in part, Syl., Buskirk v. Bucklew, 115 W.Va. 424, 176 S.E. 603 (1934); Syl. pt. 2, Howell v. Biggart, 108 W.Va. 560, 152 S.E. 323 (1930). We held in syllabus point 4 of Totten that:
In medical malpractice cases where lack of care or want of skill is so gross, so as to be apparent, or the alleged breach relates to noncomplex matters of diagnosis and treatment within the understanding of lay jurors by resort to common knowledge and experience, failure to present expert testimony on the accepted standard of care and degree of skill under such circumstances is not fatal to a plaintiffs prima facie showing of negligence.
Totten recognizes what is known as the “common knowledge” exception to expert testimony.
Was Expert Testimony Necessary In This Case? The defendant takes the position *120that the common knowledge exception10 is not applicable here, because “liability is premised upon complex medical management issues involving professional management.” We have reviewed cases addressing hospital fall incidents and found that a majority of jurisdictions do not require expert testimony in such cases. See Cockerton v. Mercy Hospital Medical Center, 490 N.W.2d 856 (Iowa App.1992)(where patient fell while in x-ray room expert testimony was not required on hospital’s negligence); Walker v. Southeast Alabama Medical Center, 545 So.2d 769 (Ala.1989)(where bed rail left down contrary to doctor’s order and patient fell, no expert testimony required on standard of care); Edelin v. Westlake Community Hospital, 157 Ill.App.3d 857, 109 Ill.Dec. 890, 510 N.E.2d 958 (1987)(expert not required where patient falls while leaving hospital, as matter involved administrative duty to provide escort); Rewis v. Grand Strand General Hospital, 290 S.C. 40, 348 S.E.2d 173 (1986)(hospital’s negligence in allowing patient to fall out of bed did not require expert testimony); Bennett v. Winthrop Community Hospital, 21 Mass.App. 979, 489 N.E.2d 1032 (1986)(ex-pert testimony not required where drugged patient not restrained and he fell getting out of bed); Rice v. Sebasticook, 487 A.2d 639 (Me.1985) (where patient fell out of chair expert testimony not required on issue of hospital’s negligence in allowing patient to sit in chair); Biggs v. Cumberland County Hospital System, Inc., 69 N.C.App. 547, 317 S.E.2d 421 (1984) (where patient is known to be in weakened condition and is left alone in shower, where she falls, expert testimony on standards for nurse’s aides not required); Robbins v. Jewish Hospital of St. Louis, 663 S.W.2d 341 (Mo.App.1983)(expert testimony not required where bed rails not raised and brain damaged patient fell out); Washington Hospital Center v. Martin, 454 A.2d 306 (D.C.App.1982)(mere fact that patient falls in hospital will not normally require expert testimony on hospital’s negligence); Newhall v. Central Vermont Hospital, Inc., 133 Vt. 572, 349 A.2d 890 (1975)(expert testimony not required where nurse failed to respond to sedated patient’s call and patient got out of bed and fell); McEachern v. Glenview Hospital, Inc., 505 S.W.2d 386 (Tex.Civ.App.1974)(ex-pert testimony not needed where patient fell from table while unattended in emergency room); Veesart v. Community Hospital Asso., 211 Kan. 896, 508 P.2d 506 (1973)(ex-pert evidence not required where elderly patient fell while going to bathroom); Gold v. Sinai Hospital of Detroit, Inc., 5 Mich.App. *121368, 146 N.W.2d 723 (1966)(where patient fell from bed after warning nurse she was dizzy and nurse assured her she would brace her, no expert testimony required).
In Cramer v. Theda Clark Memorial Hospital, 45 Wis.2d 147, 172 N.W.2d 427, 428 (1969) the Wisconsin Supreme Court articulated the rationale used by jurisdictions that generally do not require expert testimony in hospital fall cases:
Courts generally make a distinction between medical care and custodial care or routine hospital care. The general rule is that a hospital must in the care of its patients exercise such ordinary care and attention for their safety as their mental and physical condition, known or should have been known, may require.... If the patient requires professional nursing or professional hospital care, then expert testimony as to the standard of that type of care is necessary.... But it does not follow that the standard of all care and attention rendered by nurses or by a hospital to its patients necessarily require proof by expert testimony. The standard of nonmedical, administrative, ministerial or routine care in a hospital need not be established by expert testimony because the jury is competent from its own experience to determine and apply such a reasonable-care standard.
(Citations omitted)(emphasis added).
We find the reasoning of Cramer persuasive and consistent with the direction of our law in this area. We noted in syllabus point 3 of Utter v. United Hospital Center, Inc., 160 W.Va. 703, 236 S.E.2d 213 (1977) that ‘“[a] hospital owes to one who is a patient therein a duty to exercise reasonable care in rendering hospital services to the patient and, in the performance of such duty, due regard must be given to the mental and physical condition of the patient of which the hospital, in the exercise of reasonable care, should have knowledge.’ ” Quoting, Syl. pt. 2, Duling v. Bluefield Sanitarium, Inc., 149 W.Va. 567, 142 S.E.2d 754 (1965). Although the defendant has contended on appeal that complex management issues are involved in this case, the defendant has not articulated such issues. Because the circuit court erroneously assumed that our law makes it mandatory that expert testimony be proffered in all medical professional liability cases, the court did not make a finding on whether complex management issues existed in this ease which would necessitate expert testimony. On remand the circuit court is directed to determine, before the trial of this case, whether complex management issues are involved in the May 21 incident only. As we explain below, the May 12 incident where Mr. McGraw fell out of his hospital bed is ripe for trial on the merits.
Did The Plaintiff In Fact Have An Expert? The record indicates that the plaintiff was prepared to proffer Dr. Raymond Bruce Henthorn as an expert in this case on the standard of care. Dr. Henthorn was deposed during discovery on November 21, 1994. His deposition was considered by the circuit court during the summary judgment proceeding. The circuit court interpreted Dr. Henthorn’s testimony to mean that the defendant met the standard of care in this case. Therefore, the plaintiff had no expert.11 We are not convinced that the circuit court’s finding is correct. Dr. Henthom was *122questioned at length regarding two issues involving plaintiffs fall on May 12:(1) Did the defendant violate the standard of care when the plaintiff fell out of bed?; and (2) Did the defendant violate the standard of care in not timely diagnosing the injuries plaintiff may have sustained in falling out of bed?
With regard to whether the defendant violated the standard of care when the plaintiff fell out of bed, Dr. Henthorn was questioned in detail. The record is clear that Dr. Hent-horn testified regarding the hospital’s standard of care as the same relates to the safety of its patients. Dr. Henthorn specifically stated, with respect to the May 12 incident, that “Hospitals have responsibilities .to their patients, side rails, vigilance, whatever the case may be.” Dr. Henthorn opined that “anytime a patient injures themself in the hospital by either falling out of bed or something of that regard ... the hospital is at fault.” Moreover, Dr. Henthorn testified that the hospital could have prevented Mr. McGraw’s injuries by making sure the side rails were up.
The testimony of Dr. Henthorn indicates that he opined that the standard of care in this case, with respect to the May 12 incident, was that of pulling up the side rails on the plaintiffs bed. Dr. Henthorn opined that the defendant violated this standard. The circuit court, however, erroneously found that Dr. Henthorn opined that the defendant met the standard of care in this case. The circuit court reached this unsupported con-elusion based upon Dr. Henthorn’s testimony regarding the limited issue of the timeliness of diagnosing injuries plaintiff may have sustained in the fall from his bed.12
IV.
CONCLUSION
The facts surrounding the plaintiffs fall from his bed on May 12, and being dropped on May 21, are susceptible to a reasonable standard of care that can be determined, without an expert, by the jury. However, consistent with W.Va.Code § 55-7B-7, a violation of standard of care shall be established in medical professional liability cases by testimony of an expert witness if required by the court. Based upon the current record, the trial judge required an expert for both incidents, though no evidence was proffered which revealed complex management issues involving either incident. We believe evidence of complex management issues was necessary for both issues, in order to justify requiring expert testimony by the plaintiff.
Notwithstanding the lack of evidence of complex management issues in this case, plaintiff produced an expert in Dr. Henthorn, who clearly testified that defendant violated the standard of care it owed to plaintiff as a result of plaintiff’s May 12 fall. Dr. Hent-horn has determined a standard of care for the May 12 incident and opined that the defendant violated that standard. Therefore, the circuit court was cléarly wrong in ruling *123that the plaintiff did not have an expert on the standard of care, with respect to the May 12 incident. As to the May 21 incident, the trial court may find at a pretrial hearing that expert testimony is necessary on this incident, should the defendant proffer satisfactory evidence that this incident involved complex management issues.
Therefore, we hold that the circuit court erred in granting defendant summary judgment on the grounds that plaintiff had no medical expert to show the defendant violated the standard of care. This case is reversed and remanded for a determination by the trial court consistent with this opinion.
Reversed and Remanded.
. There was a second defendant in the case, Dr. Thomas J. Tamay. The record indicates that the plaintiff dismissed Dr. Tamay from the case, prior to the summary judgment proceeding, pursuant to W.V.R.Civ.P., Rule 41(a)(1)(ii).
. The record does not indicate whether the worn-en were nurses or nurse's aides.
. The record is not clear as to the exact weight of the plaintiff. It appears that he weighed somewhere between 280 to 306 pounds.
. This incident was recorded in the nurse's progress notes by the defendant as follows: "4 ... lifted [patient] to feet [with] much difficulty— [patient] is weak, shaky [and] unsteady when up — knees buckled — [patient] placed into [bed].” The defendant’s position on this incident is that its personnel did not drop the plaintiff, its "personnel had some difficulty in keeping McGraw on his feet[J"
. The defendant's nurse's progress notes report finding the plaintiff on the floor near his bed.
.This incident was recorded in the nurse's progress notes by the defendant as follows: "Attempted to put [patient] back in bed. With help of four staff personnel [patient] stood up and pivoted. When ready to sit in bed [patient] gave out in legs and was helped to floor by staff. Several attempts made by staff to pick up off floor and did not succeed. Pulled men from several departments, put blanket under and used eight staff people to pick up and [put] patient to bed.” The defendant’s position on this incident is that its personnel did not drop the plaintiff, its "personnel had some difficulty in keeping McGraw on his feet[.]”
. The full text of W.Va.Code § 55-7B-7 provides:
The applicable standard of care and a defendant's failure to meet said standard, if at issue, shall be established in medical professional liability cases by the plaintiff by testimony of one or more knowledgeable, competent expert witnesses if required by the court. Such expert testimony may only be admitted in evidence if the foundation, therefor, is first laid establishing that: (a) The opinion is actually held by the expert witness; (b) the opinion can be testified to with reasonable medical probability; (c) such expert witness possesses professional knowledge and expertise coupled with knowledge of the applicable standard of care to which his or her expert opinion testimony is addressed; (d) such expert maintains a current license to practice medicine in one of the states of the United States; and (e) such expert is engaged or qualified in the same or substantially similar medical field as the defendant health care provider.
. W.Va.Code § 55-7B-2(c) sets out the following definition of health care provider:
'Health care provider’ means a person, partnership, corporation, facilily or institution licensed by, or certified in, this state or another state, to provide health care or professional health care services, including, but not limited to, a physician, osteopathic physician, hospital, dentist, registered or licensed practical nurse, optometrist, podiatrist, chiropractor, physical therapist, or psychologist, or an officer, employee or agent thereof acting in the course and scope of such officer’s, employee's or agent’s employment.
The plaintiff has invited this Court to determine whether health care provider, as defined above, includes maids, housekeepers and janitors. We decline to address this issue, as the record nowhere indicates that maids, housekeepers or janitors are actors in this case.
. Although the issue was not before us in Gilman v. Choi, 185 W.Va. 177, 179, 406 S.E.2d 200, 202 (1990) overruled in part, Mayhorn v. Logan Medical Foundation, 193 W.Va. 42, 454 S.E.2d 87 (1994), we did state in passing that W.Va.Code § 55-7B-7 “authorizes a trial court to require ‘the testimony of one or more knowledgeable, competent expert witnesses' to establish the applicable standard of care in a medical malpractice action and a defendant’s failure to meet that standard, if at issue.” (Emphasis added.)
. Defendant’s brief cites two cases requiring expert testimony when patients fell in hospitals. The first case cited was Murphy v. Schwartz, 739 S.W.2d 777 (Tenn.App.1986). In Murphy the plaintiff fell from a cot in a hospital emergency room. The plaintiff alleged the hospital failed to properly attend to her and to treat her for the injuries she sustained in the fall. The trial court granted summary judgment to the hospital. The Court of Appeals of Tennessee sustained the lower court on the grounds that the plaintiff needed expert testimony to refute the hospital's expert testimony that the standard of care in the examination and treatment of the plaintiff was met. Murphy is distinguishable from the instant case in that the defendant herein did not proffer testimony or an affidavit that indicated the standard of care and treatment was met in this case. We add caution on this point. We are not holding that mere submission of such an affidavit, in the context of a hospital fall case, would absolutely require a plaintiff to proffer an expert.
The second case cited by the defendant was Waatti v. Marquette General Hospital, Inc., 122 Mich.App. 44, 329 N.W.2d 526 (1982). In Waatti the plaintiff fell from a bed in an emergency room while having an epileptic-type seizure. The trial court directed a verdict for the hospital on the grounds that the plaintiff failed to present expert evidence on the applicable standard of care. The Court of Appeals of Michigan sustained the trial court on the grounds that the issue of whether a seizure patient requires constant medical attendance or restraints is a medical management issue that must be established by expert testimony. Waatti is distinguishable on several grounds from the instant case. First, Waatti involved a seizure patient and the plaintiff in the instant matter does not suffer that affliction. Next, and most importantly, the expert proffered by the plaintiff in the instant case opined that the hospital met the standard of care for observing the plaintiff during the early morning hours of May 12; and that the hospital had no reason to believe that the plaintiff had to be restrained by leg or body straps. As we discuss in the main text, another standard of care was at issue in this case. See also Hodo v. General Hospitals of Humana, Inc., 211 Ga.App. 6, 438 S.E.2d 378 (1993)(expert testimony required where patient falls while being evaluated for capacity to walk with prosthesis); Reifschneider v. Nebraska Methodist Hospital, 222 Neb. 782, 387 N.W.2d 486 (1986)(the need for restraints on a patient in an emergency room requires expert testimony).
. The circuit court made the following findings regarding Dr. Henthom:
1. That Plaintiffs only expert on the standard of care, Dr. Raymond Bruce Henthom, testified in his deposition taken on November 21, 1994, that if an incident report was filled out by the hospital's personnel indicating that the physician was notified concerning the incident of May 11, 1991 (early morning of May 12, 1991), when the patient was found sitting on the floor of his room, the hospital would have met the standard .of care in its care and treatment of the Plaintiff.
2. That, unbeknownst to Dr. Henthorn at the time of his testimony, an incident report was, in fact, filled out concerning said incident by Deborah Marshall, R.N., as reflected in the Affidavits of Linda Culp, Vice President of St. Joseph’s Hospital and Deborah Marshall, R.N., filed in support of St. Joseph's Hospital of Parkersburg’s Motion for Summary Judgment.
3. That the incident report reflects that Dr. Reddy, the Plaintiff’s physician, was notified of the incident that morning.
4. That the Plaintiff therefore is unable to produce expert testimony as to any violation of the standard of care by the Hospital and its agents, servants and employees concerning the care and treatment of the Plaintiff, Robert S. McGraw.
. Dr. Henthom’s testimony regarding the issue of timeliness of diagnosis was as follows:
Q. Do you have an opinion as to whether or not the nurses violated the standard of care or the other hospital personnel in any other respect other than the finding him at three, a.m., on the floor?
A. ■ It’s my opinion that the nurses should have filled out an incident report.
Q. Why do you say that?
A. I feel that if an incident report would have been filled out that it would have been more' — that if it had been known that Mr. McGraw had an injury, then when he developed neurological symptoms that the information would have been able to be used to come up with a more timely diagnosis.
Q. ... [Yjou’re not aware then, are you, that an incident report was, in fact, filled out at three, a.m., on May [12]th — regarding the three, a.m., May [12]lh, 1991, incident, are you?
A. No, I’m not.
Q. And it was, then you would have no— would have the opinion that the personnel at St. Joseph’s Hospital followed the standard of care with regard to that incident, wouldn’t you?
A: As long as it included in that that the nurse supervision also made the physician aware of it.
Q. Okay. But assuming that the report reflects that the physician was made aware and there was an incident report filled out concerning that May [12]th, 1991, incident when the patient was sitting on the floor, it would be your opinion that the hospital met the standard of care?
A. Yes.
MAYNARD, Justice,
dissenting:
I respectfully dissent because I disagree with the majority’s conclusion that the facts surrounding the alleged negligence presented in this ease are susceptible to a reasonable standard of care that can be determined by the jury without an expert.
As noted in Syllabus Point 5 of the majority opinion, “[i]t is the general rule that in medical malpractice eases negligence or want of professional skill can be proved only by expert witnesses.” Of course, there is an exception to every rule and the exception to this rule is known as the “common knowledge” exception, which is duly noted in Syllabus Point 6 of the majority opinion. Although the common knowledge exception was originally crafted to be used only “in rare cases,” Totten v. Adongay, 175 W.Va. 634, 639, 337 S.E.2d 2, 7 (1985), the majority here expands it to ridiculous proportions.
While the appellant apparently relied on three incidents of alleged negligence in bringing his complaint, it appears the only incident which suggested a fall and which merited consideration by the appellant’s expert was the finding of the appellant on the floor at 3:00 a.m. on May 12, 1991. In concluding that the common knowledge exception applies to this incident, the majority relies on several hospital fall cases from other jurisdictions and the rationale used by these jurisdictions as it was articulated by the Wisconsin Supreme Court. However, the majority failed to focus on the words of our common knowledge exception as the exception is stated in Totten. It is clear that there are only two situations in which the common knowledge exception applies. These situations are “where lack of care or want of skill is so gross, so as to be apparent, or the alleged breach relates to noncomplex matters of diagnosis and treatment within the understanding of lay jurors by resort to common knowledge and experience!)]” Syllabus Point 4, Totten, supra. I believe that neither situation was present in this case. Instead, expert testimony was necessary here to demonstrate that there was a failure on the part of St. Joseph’s Hospital to properly observe and restrain the appellant in order to prevent him from falling out of bed. Certainly, the proper procedure for evaluating a patient’s susceptibility to falling in the absence of restraints and in light of the patient’s present medical condition, medical history, degree of medication, etc., is an issue of medical management to be established by expert testimony. This is not something that lay jurors would immediately understand, based on common knowledge and experience.
In Waatti v. Marquette General Hospital, Inc., 122 Mich.App. 44, 329 N.W.2d 526 (1982) the court held that expert testimony was necessary to establish whether a seizure patient required constant medical attention or restraint in order to prevent a fall. The court stated:
Plaintiffs next assert that expert testimony was not required because only issues of ordinary negligence were presented. They claim that to leave a seizure patient unattended with the hospital bed’s side rails down is so obviously negligent as to present issues cognizable by an ordinary layman. We disagree. Whether a seizure patient requires constant medical attendance or restraints is an issue of medical management to be established by expert testimony.
Id., 329 N.W.2d at 528. (Citations omitted). Similarly, in Murphy v. Schwartz, 739 S.W.2d 777 (Tenn.App.1986), a husband and wife filed a medical malpractice suit alleging, in part, that the wife fell from an emergency *124room cot because hospital physicians failed to properly attend to her. No expert testimony was offered by the plaintiffs. The trial court granted summary judgment in favor of the health care providers and the appellate court affirmed, noting that:
There is a “common knowledge” exception to the general rule, that is, the medical negligence is as blatant as a “fly floating in a bowl of buttermilk” so that all mankind knows that such things are not done absent negligence_ We see little difference in matters of medical malpractice between the question of the applicability of res ipsa at the close of a plaintiffs proof and the common knowledge exception to the expert medical proof requirement in a summary judgment before trial. It seems to us that the inference of negligence obtained by the application of res ipsa which creates a jury issue and the common knowledge exception to the requirement of expert testimony in summary judgments are just about Siamese twins in that both require that it be evident to all, that is judicial notice be taken, that the injury complained of does not ordinarily occur absent negligence.
Id., 739 S.W.2d at 778-79 (Citation omitted). In this case, I would adopt the “fly floating in a bowl of buttermilk”1 test and thereby properly limit the common knowledge exception to the expert witness requirement to those rare cases in which it belongs.
Also, I disagree with the majority’s characterization that Dr. Henthorn “opined that the standard of care in this case, with respect to the May 12 incident, was that of pulling up the side rails on the plaintiffs bed,” and that the hospital violated this standard. A review of the record reveals that Dr. Henthorn testified that, based upon the records, there was no reason to suspect, prior to 3:00 a.m. on May 12,1991, that the appellant was going to fall or be found lying in the floor in the middle of the night, and there was no reason for the nurses to have taken any extraordinary measures in the additional monitoring or restraining of the appellant. As noted in ate 12 of the majority opinion, when asked if, in his estimation, the hospital met the standard of care, Dr. Henthorn replied “yes”. Therefore, I agree with the circuit court that Dr. Henthorn testified that it was his opinion that the hospital met the applicable standard of care.
For the reasons stated above, I believe that the circuit court was correct in granting summary judgment on behalf of St. Joseph’s Hospital. This is clearly a ease in which expert testimony was needed, but no such testimony was, in effect, provided. Therefore, the appellant failed to produce the evidence essential to his case. In Jividen v. Law, 194 W.Va. 705, 712-13, 461 S.E.2d 451, 458-59 (1995) this Court stated:
In Painter v. Peavy, 192 W.Va. 189, 451 S.E.2d 755 (1994), we clarified our view of summary disposition, in part, to disabuse litigants and circuit courts of the erroneous notion that West Rule of Civil Procedure 56 had ceased to exist. In that same vein, we recently stated that “[t]o the extent that our prior cases implicitly have communicated a message that Rule 56 is not to be used, that message, hereby, is modified.” Williams v. Precision Coil, Inc., 194 W.Va. 52, 58, 459 S.E.2d 329, 335 (1995). (emphasis added). Rule 56 was incorporated into West Virginia civil practice for good reason, and circuit courts should not hesitate to summarily dispose of litigation where the requirements of the Rule are satisfied. (Footnote omitted).
Because the appellant failed to produce an expert witness to testify that St. Joseph’s Hospital failed to conform to the applicable standard of care, I believe there was no genuine issue of fact which warranted a trial on the merits. Consequently, I believe the circuit court did not err in granting the appellee’s motion for summary judgment.
Finally, I note that this ease is governed by the Medical Professional Liability Act, W.Va.Code § 55-7B-1 et seq. W.Va.Code § 55-7B-1 (1986) provides in part:
*125The Legislature hereby finds and declares that the citizens of this state are entitled to the best medical care and facilities available and that health care providers offer an essential and basic service which requires that the public policy of this state encourage and facilitate the provision of such service to our citizens ...
That it is the duty and responsibility of the Legislature to balance the rights of our individual citizens to adequate and reasonable compensation with the broad public interest in the provision of services by qualified health care providers who can themselves obtain the protection of reasonably priced and extensive liability coverage;
That in recent years, the cost of insurance coverage has risen dramatically while the nature. and extent of coverage has diminished, leaving the health care providers and the injured without the full benefit of professional liability insurance coverage[.] (Emphasis added).
This Court frustrates the Legislature’s policy in medical malpractice actions when it strains to allow such actions to go forward after they were properly disposed of at the circuit court level by a grant of summary judgment. Because I believe this to be the ease here, I dissent.
. This colorful but apt language comes from a Tennessee case, as cited. Since coming to this Court, I have learned to have a genuine appreciation for Tennessee opinions as a wonderful source of common sense and rational rules.
5.5 Courteau v. Dodd 5.5 Courteau v. Dodd
Dollie & Duane COURTEAU, Guardians of the Estate and Person of Timothy Courteau v. Doyne DODD, M.D.
89-105
Supreme Court of Arkansas
Opinion delivered July 3, 1989
[Rehearing denied September 11, 1989. * ]
Perroni, Rauls & Looney, P.A., by: Samuel A. Perroni and Stanley D. Rauls, for appellants.
Barber, McCaskill, Amsler, Jones & Hale, P.A., for appellee.
Purtle, J., would grant rehearing.
David Newbern, Justice.
This is a medical malpractice case decided by summary judgment in favor of defendant, Doyne Dodd, M.D., the appellee. The action was brought by the appellants, Dollie and Duane Courteau, on behalf of their son and ward, Timothy Courteau. Timothy, at age twenty, suffered a broken neck in a diving accident. While he was a patient at North Little Rock Memorial Hospital, a breathing tube which had been placed through his nostril into his trachea became dislodged. Breathing was severely hampered, blood gases elevated, and he suffered a heart attack and massive brain damage. Suit was brought on his behalf by the appellants, who are Timothy’s parents and guardians, against three physicians and an insurance company. The allegation against Dr. Dodd, a radiologist, was that he failed to take immediate action to notify others involved in treating Timothy that an X-ray showed the tube was not present where it should have been. The trial court entered a final judgment as to Dr. Dodd, finding no reason to delay. Ark. R. Civ. P. 54(b). The Courteaus argue the remaining fact issue is whether the doctor used the proper means of communication. They assert it is a question a juror could answer absent expert testimony. We agree, however, with the court’s conclusion that, absent the prospect of expect medical testimony showing Dr. Dodd to have been negligent, there was no remaining fact issue, and summary judgment was appropriate.
Facts revealed in the pleadings and affidavits supporting and responding to the summary judgment motion are not disputed. Timothy Courteau was admitted to the hospital on July 3, 1986. Following surgery necessitated by his spinal injury he was placed on a.respirator, and the tube was put in place to keep an air passageway open to his lung. The nursing notes beginning on the night of July 5, 1986, showed the patient was agitated and was fighting the ventilator and shaking his head from side to side.
A nurse checked between 6:00 and 7:30 a.m. on the morning of July 6 and found there was a whistling sound around the tube and the patient was unresponsive. At about that same time, a respiratory therapist reported the blood gases were at readings of around 90, and they should have been around 30. The therapist caused a call to be made to Dr. Marvin, the treating physician, who then ordered that the tube be repositioned. Dr. Duke tried unsuccessfully to get the tube back into the lung, using both the nostril and the mouth, but instead the tube went into the esophagus and stomach. Timothy’s inability to breathe resulted in the brain damage and a heart attack which occurred at 8:59 a.m.
Requisitions had been made for daily chest X-rays. The requisition dated July 3 for a July 4 X-ray made no reference to the tube. Dr. McAdoo, who read the July 4 film, stated in his notes “[t]here is an endotracheal tube in place.” The requisition dated July 4 for the July 5 X-ray again made no mention of the tube, and Dr. McAdoo’s notes did not mention the tube. The requisition dated July 5 for the July 6 X-ray had two notations: “CHEST-PORTABLE RECUMBENT” and “INTUBATION.”
Dr. Dodd’s affidavit accompanying the motion for summary judgment stated that he read the film between 7:30 and 8:30 the morning of July 6. The Courteaus point out that in his earlier deposition Dr. Dodd said he read the film between 7:15 and 8:30. The X-ray had been taken at 6:35 that morning. He noted the absence of the tube, stating, “the endotracheal tube is not visualized and may have been removed.” His dictated notes were transcribed and printed at 10:37 that morning. He took no other action to notify anyone of the finding that the tube was not in place. In his affidavit Dr. Dodd described the X-ray requisition as “routine” with nothing to suggest urgency with respect to his report. He also noted there was nothing unusual about the disappearance of a tube or other appliance which may be removed as a patient’s condition improves.
Also accompanying the motion for summary judgment were affidavits of two board certified radiologists, each of whom stated he was familiar with the standard of care for radiologists practicing in the Little Rock and North Little Rock community in 1986. Each stated that he had reviewed the undisputed facts and concluded that Dr. Dodd promptly read the X-ray in question and interpreted it in a manner consistent with the standard of care for a radiologist in the community in 1986. Each stated:
It is my professional medical opinion that Dr. Dodd did not negligently fail to bring his endotracheal tube finding regarding Tim Courteau’s July 6, 1986, morning chest x-ray to the attention of the treating physician, the intensive care unit, the emergency room, or hospital administration, as alleged in . . . plaintiffs’ . . . Complaint. Dr. Dodd dictated a report which indicated that “the endotracheal tube is not visualized and may have been removed.” No request for a STAT reading was communicated to Dr. Dodd. It was within the standard of care for a radiologist who read a routine chest x-ray on a patient who had been intubated in the intensive care unit for several days to dictate his findings that no tube appeared in the x-ray. This is true even though the requisition indicated that the patient was intubated, because the computer-generated requisitions often indicated the presence of tubes or appliances which had been removed as the patient’s condition improved.
In response to the motion for summary judgment, the Courteaus presented, among other things, excerpts from a number of depositions concerning the direct care which was being given in or about the patient’s hospital room. The only items, other than the X-ray films, directly related to Dr. Dodd were an excerpt from a deposition given by an internist, Dr. Frank Logan Brown, Jr., and an affidavit from a respiratory therapist, John Govar.
Dr. Brown expressed no opinion about the standard of care and whether Dr. Dodd’s actions were within the standard. He stated he did not understand why Dr. Dodd had not called the intensive care unit where the patient was hospitalized when he noticed the tube was not present, given the “intubation” notation on the requisition.
Mr. Govar’s affidavit stated that he was a certified respiratory therapist with twelve years experience, currently serving as Director of Respiratory Care at Hillside Hospital in Pulaski, Tennessee. The affidavit contained nothing about Mr. Govar’s education or training for his position. There was nothing showing the size or nature of the community in which he was working or any community in which he had worked. There was nothing to show any knowledge of radiology or X-ray reading and reporting procedures. He stated that in his experience “a chest x-ray requisition reflecting the word ‘intubation’ means that a chest x-ray is being requested for the purpose of determining tube placement.” He stated his opinion that the absence of the tube shown in the July 6 film should have been reported immediately.
After finding that a genuine issue of material fact remained as to the question of causation, the trial court’s order stated:
However, it is the Court’s opinion that in this case the Plaintiffs would have to have expert medical testimony and opinion that Dr. Dodd acted below the standard of care for radiologists in 1986 in North Little Rock, Arkansas, or a similar community, and that Plaintiffs have not listed a medical physician who would so testify, and, therefore, there is not a genuine issue of material fact concerning Dr. Dodd’s alleged negligence.
In Prather v. St. Paul Ins. Co., 293 Ark. 547, 739 S.W.2d 676 (1987), we reversed a summary judgment because we found ample medical expert testimony to raise a question of fact as to a physician’s negligence. We stated the standard rule for review of a summary judgment. The burden is on the moving party to demonstrate that there is no genuine issue of fact for trial. We view the evidence most favorably to the party against whom relief is sought. Citing Clemons v. First National Bank, 286 Ark. 290, 692 S.W.2d 222 (1985), we said summary judgment is not proper where the evidence is not in dispute but has aspects from which inconsistent hypotheses might reasonably be drawn.
The malpractice statute, Ark. Code Ann. § 16-114-206(A) (1987), provides:
In any action for medical injury, the plaintiff shall have the burden of proving:
(1) The degree of skill and learning ordinarily possessed and used by members of the profession of the medical care provider in good standing, engaged in the same type of practice or specialty in the locality in which he practices or in a similar locality;
(2) That the medical care provider failed to act in accordance with that standard; and
(3) That as a proximate result thereof, the injured person suffered injuries which would not otherwise have occurred.
The question here is whether, once Dr. Dodd presented medical expert opinion testimony to the effect that he was not negligent, the Courteaus presented sufficient evidence to pose a question of fact on that issue. Further refined, the question becomes whether the affidavit of Mr. Govar expressing his opinion that Dr. Dodd was negligent was sufficient to rebut Dr. Dodd’s evidence and thus raise a fact question.
To the extent the trial court’s judgment could be interpreted as stating that the Courteaus were required to find a radiologist to testify against Dr. Dodd and to rebut the affidavits of his fellow radiologists, we disagree. Arkansas Code Ann. § 16-114-207(1) (1987) provides that A.R.E. 702 governs the qualifications of expert witnesses in an action for medical injury. Rule 702 is not so strict. We have held that if there is a reasonable basis for saying a witness knows more of the subject at hand than a person of ordinary knowledge, his evidence is admissible. Dildine v. Clark Equip. Co., 282 Ark. 130, 666 S.W.2d 692 (1984). By way of obiter dictum in Haney v. DeSandre, 286 Ark. 258, 692 S.W.2d 214 (1985), we stated that:
the statute does not expressly state that every plaintiff in a malpractice case must find a doctor willing to testify against a fellow doctor. Such a requirement might subject the validity of the statute to serious doubt, as being special or class legislation. ^
Reserving the question whether educational background is a necessary component of the qualifications of a person presented as a medical expert, Mr. Govar’s affidavit makes it pretty clear that he is a person who may have more knowledge than the ordinary person would have about respiratory therapy. It states:
[t]he respiratory therapy issues in this case relating to the proper and standard care to be provided to an intubated patient in the Intensive Care Unit are common to any hospital operating such a unit. The issues involve the basic components of airway management of an intubated patient in the Intensive Care Unit.
It then states that “intubation” noted on a requisition means a chest X-ray is being requested to determine tube placement, and that the findings from the 6:35 a.m. film were of major significance to the patient’s care and should have been immediately reported. Had the issue in this case been one of the standard of care to be exercised in administering respiratory therapy, and had Mr. Govar been able to qualify as an expert in that field, his testimony might have been sufficient to present a fact question. The subject at hand here, however, was the standard of care a radiologist must follow in interpreting an X-ray requisition.
The question we face is whether Mr. Govar was qualified to express an opinion about how Dr. Dodd should have reacted to the July 6 X-ray, given the instructions in the July 5 requisition. The affidavit offers nothing to sustain the Courteaus’ burden of proof which, in the words of § 16-114-206(A)(1), includes “[t]he degree of skill and learning ordinarily possessed and used by members of the profession of the medical care provider . . . engaged in the same type of . . . specialty in the locality . . . or . . . similar locality.” Mr. Govar’s affidavit contained nothing about his having knowledge as to how a radiologist in a community like North Little Rock should have interpreted the July 5 requisition. His statement that the “respiratory care issues” are common to any hospital operating an intensive care unit states no basis for his evaluation of the conduct of a radiologist.
The Corteaus cite Phillips v. Good Samaritan Hosp., 65 Ohio App.2d 112, 416 N.E.2d 646 (1979). There a radiologist determined that the patient had a broken arm, although the physician who had examined her had concluded there was no break. The radiologist dictated his findings into a machine, but they were not communicated to the treating physicians. The Courteaus urge upon us the language from that case to the effect that the “mode” of communication is an area in which an ordinary juror could ascertain whether the radiologist breached a duty to the patient. We find, however, that the court carefully and clearly distinguished the “urgency” of the communication which the court concluded depended on medical facts as to which expert testimony would be required.
The Courteaus also cite Jenoff v. Gleason, 215 N.J. Super. 349, 521 A.2d 1323 (App. Div. 1987), where the mode of communication by a radiologist resulted in delay in informing a patient and her physician about a lung tumor until it had grown and spread. The information was not placed in the hands of Ms. Jenoffs doctors but was attached to her hospital records after she had been discharged. It was only discovered by a nurse who was reviewing her record on behalf of a workers’ compensation carrier some months later. The trial court dismissed the claim against the radiologist at the conclusion of the plaintiffs evidence. A physician testified that an unusual finding by a radiologist would be communicated to the treating physician and where, as in the case of Ms. Jenoff the X-ray was being taken to assess her general suitability for surgery, to the surgeon. The appellate court reversed on the ground that the evidence was sufficient to take the case to the jury. By way of obiter dictum, the court noted that “modes of communication are not so peculiarly within the expertise and knowledge of the medical profession as to necessitate expert testimony.”
The Jenoff case is easily distinguishable from the one before us now. We agree that the discovery of a lung tumor by a radiologist is clearly an item to be communicated to a treating physician and patient, and a layperson could determine that failure to communicate in those circumstances could be characterized as negligence. In this case, however, there was no failure to communicate. Unlike the Jenoff case, the jurors here would have had the task of interpreting the term “intubation” and determining the action, if any, it required under the community standard made applicable by the statute.
In Prater v. St. Paul Ins. Co., supra, we wrote:
Expert testimony is required when the asserted negligence does not lie within the jury’s comprehension; when the applicable standard of care is not just a matter of common knowledge; and when the jury must have the assistance of expert witnesses to decide the issue of negligence. Sexton v. St. Paul Fire & Marine Insurance Co., 275 Ark. 361, 631 S.W.2d 270 (1982); David v. Kemp, 252 Ark. 925, 481 S.W.2d 712 (1972).
Again, the question presented has to do with the urgency, if any, suggested by the X-ray requisition and the resulting film, and we cannot say the trial court was wrong in requiring expert testimony on that issue and in holding that Mr. Govar’s affidavit was insufficient and the “question” raised in the deposition testimony of a physician presented no genuine issue of material fact.
Affirmed.
John I. Purtle, Justice,
dissenting. We should abandon the archaic rule that dictates that before an injured person may proceed against a physician, he must have another physician who is willing to testify that the treating physician did not use the degree of care required. One of the basic instructions given to the jury is: “In considering the evidence in this case you are not required to set aside your common knowledge, but you have a right to consider all evidence in the light of your own observations and experiences in the affairs of life.” AMI Civil 3rd 102. If a jury is urged not to set aside its common knowledge, then certainly the admonition should apply with equal force to the courts. Our court-made rule requiring a physician to testify against another in support of a plaintiff’s claim is, at the very least, obsolete. In view of the existence of special legislation protecting doctors from certain risks, we ought to subject physicians to all other normal risks encountered by other professions.
The majority opinion is well-written and contains all the facts necessary to understand this case. My disagreement is not so much with the majority as it is with the practice which has grown up protecting the medical profession from liability for negligence. For example, in the present case two board-certified radiologists testified, relative to the motion for summary judgment, that the appellee, also a board-certified radiologist, did things in conformity with the standards prevailing in the community where the hospital is located. It would surprise me if all other board-certified radiologists in the city would not make the same statement. However, the ultimate decision in this case should not be left to a radiologist.
Timothy Courteau was in grave condition when he was placed in the intensive care unit at Memorial Hospital on July 3, 1986. It was deemed necessary to insert a tube into his lungs, through the trachea, to enable him to receive sufficient oxygen. He was then placed on a ventilator to assist him in breathing. One of the routine orders was that Tim would have a daily X-ray in the morning for the purpose, among other things, of determining whether the tube was in place. When the tube is properly inserted, the condition is referred to as “intubation.” When the tube is not in place the condition is called “extubation.”
The X-rays were read each morning between 7:30 a.m. and 8:00 a.m. Until July 6, 1986, the early morning X-rays clearly revealed that Tim had the breathing tube in place. The requisitions for the July 6 early morning X-ray required a reading for intubation. The early morning X-ray of July 6,1986, was read by Dr. Dodd between 7:15 a.m. and 8:30 a.m. The remarkable thing about this X-ray is that it is obvious, even from the photo copy in appellant’s briefs, that the tube is missing from his throat. Dr. Dodd’s report alluded to the missing tube by stating that it “may have been removed.” One of Dr. Dodd’s partners, Dr. Dalrymple, stated that ICU X-rays at the North Little Rock Memorial Hospital were to be given priority reading and were not to be handled as “routine” X-rays. However, the reading of this X-ray by Dr. Dodd at about 8:00 a.m. was not received at Tim’s station until 10:37 a.m. In the meantime, Tim had suffered a cardiac arrest.
It seems to me that it does not take the testimony of another radiologist to explain that the breathing tube had been dislodged from the patient’s thoratic area prior to the taking of the X-ray on July 6, 1986. Compared with the X-rays of July 4 and 5, it is obvious to the normal eye that the tube is not in place. Knowing that the tube was not in place, the doctor nevertheless handled the situation as a matter of routine. While this routine was taking its course, Timothy Courteau was in a life-threatening situation and indeed almost died. He deserved more than routine care under these circumstances.
Even before the report of the X-rays came back to the patient’s chart, the duty nurses had discovered he was extubated. In the attempt to replace the tube it was inserted through the esophagus into the stomach. Certainly this series of mishaps was not planned by the institution or any of its employees. I doubt that any employee or staff member of the hospital, from attending physician to janitor, would have failed to recognize that something needed to be done when it was discovered that the tube was not in place. The requisition for the X-ray stated that one purpose was to determine whether the patient was intubated. It does not take expert medical testimony to recognize that this fact should be immediately called to the attention of those entrusted with preserving the life of the patient. This was not done. Rather, this most significant and alarming fact was not called to the attention of anyone except through routine channels.
It is quite clear to me that the evidence in this case reveals certain aspects from which inconsistent hypotheses might reasonably be drawn. In other words, reasonable men might differ on the interpretation of the evidence. In the case of Prater v. St. Paul Fire and Marine Insurance Co., 293 Ark. 547, 739 S.W.2d 676 (1987), this court stated:
Expert testimony is required when the asserted negligence does not lie within the jury’s comprehension; when the applicable standard of care is not a matter of common knowledge; and when the jury must have the assistance of expert witnesses to decide the issue of negligence.
The jury did not need the testimony of an expert witness to interpret the facts in this case. The question boils down to whether Dr. Dodd was negligent in failing to communicate the extubated condition of Timothy Courteau. Aside from the fact that it is most difficult to find a physician who is willing to testify against another physician, it is clear from the facts in this case that the jury could have made a determination on the question of the appellee’s negligence. See Haney v. DeSandre, 286 Ark. 258, 692 S.W.2d 214 (1985).
Even though we may not have decided this precise factual question before, we have decided the same issue many times. I have cited two cases and will point to several others from other jurisdictions. The finding of a radiologist concerning X-rays has been held not to be a matter so peculiarily within the expertise and knowledge of the medical profession as to require expert testimony. Phillips v. Good Samaritan Hospital, 416 N.E.2d 646 (Ohio App. 1919); Jenoff v. Gleason, 521 A.2d 1323 (NJ. Super. A.D. 1987); Thomas v. Corso, 288 A.2d 379 (Md. 1972); Baldwin v. Knight, 569 S.W.2d 450 (Tenn. 1978); Wilkinson v. Vesey, 295 A. 2d 676 (R.I. 1972); Steele v. Woods, 327 S.W.2d 187 (Mo. 1959); and Prater v. St. Paul, supra. When a patient is in peril of his life, it does him very little good if the examining doctor has discovered his condition unless the physician takes measures and informs the patient, or those responsible for his care, of that fact.
The director of respiratory therapy at the hospital testified that the procedures involved in this case are common to any hospital furnishing such services. The director had twelve years’ experience in respiratory therapy. He was familiar with the X-ray procedures normally employed to determine the proper placement of breathing tubes. He stated that the purpose of a requisition requesting an X-ray to be read for intubation was to see whether the breathing tube was still in place. It was obvious to him from'observing the X-ray of July 6 that the tube was not in place.
An attending physician who found Timothy in a lifethreatenting situation obviously recognized the need for immediate attention and attempted to replace the respiratory tube. However, she mistakenly inserted the tube in his esophagus, thereby aggravating the patient’s already precarious situation.
The holding in Phillips v. Good Samaritan Hospital, supra, was that:
Modes of communication. . . are not so peculiarily within the expertise and knowledge of the medical profession so as to necessitate expert testimony. The manner of communication, unlike urgency and content that depend upon medical facts, is not so complex and technical that is should escape the comprehension of a layman jury. In so holding, we merely apply the general principle that a party need not “submit expert testimony in order to have the case submitted to the jury, where [a] violation of the defendant’s duty to the patient is otherwise made to appear.” (Citation omitted.) Once the need for a communication, and the necessary information that it should contain, have been established, the trier of fact should be able to pass on the issue of adequacy of the communication bearing in mind the facts available to the parties at the time the communication was made.
It seems to me that common knowledge is all that is needed to determine that the X-rays of July 6, taken at 6:35 and read by Dr. Dodd about an hour later, clearly demanded that the extubation required immediate attention rather than the normal routine. Had the X-rays been read in the ICU unit when Dr. Duke or Dr. Bates arrived, the cardiac arrest most likely would not have occurred. Dr. Bates stated that the available evidence indicated that Timothy Courteau was in a life-threatening situation at 7:15 a.m., about an hour after the X-ray had been taken.
If we must continue to employ the archaic rule requiring one physician to testify against another, it seems to me that Dr. Bates’ testimony is factual enough to demand that the matter be submitted to a jury for determination. Common sense requires that a jury be allowed to decide the issue of negligence and proximate cause in medical malpractice cases as well as in all other cases.
5.6 Russo v. Griffin 5.6 Russo v. Griffin
Anthony J. Russo and J. A. Russo Paving, Inc. v. H. Vaughn Griffin, Jr. and Griffin & Griffin, Ltd.
No. 83-462
Opinion Filed March 28, 1986
*21 Plante, Richards, Terino & Hanley, P.C., White River Junction, for Plaintiffs-Appellants.
Lisa Chalidze of Dick, Hackel & Hull, Rutland, for Defendants-Appellees.
Hill, J.
This is a legal malpractice action. The trial court found for defendants, H. Vaughn Griffin, Jr. and Griffin & Griffin, Ltd., and entered judgment on their behalf. Plaintiff, J. A. Russo Paving, Inc., appealed. We reverse.
Sometime during the 1930’s Joseph Russo established a paving business in Rutland, Vermont. In 1975, Mr. Russo decided to turn the business over to his two sons, Anthony (Tony) and Francis (Frank). They approached defendant Griffin, a lawyer in the Rut-land area, to help them with the process of incorporation. As their attorney, defendant Griffin drew up the corporate charter, filed it with the Secretary of State and arranged the necessary transfer of assets. Between 1975 and 1978 the corporation held its annual meetings at Mr. Griffin’s office.
In early 1978, Frank entertained thoughts of purchasing a laundromat in Rutland, and he entered into discussions with his brother concerning the sale of his interest in the corporation. The father, who was not happy with the proposed arrangements, eventually got involved in the negotiations, which culminated in a meeting at Mr. Griffin’s office.
According to defendant Griffin, the main purpose of the meeting, and the documents he prepared pursuant thereto, was to protect Frank. In this regard, a $6,000 promissory note from the corporation to Frank Russo was personally guaranteed by Tony Russo and his wife, and it was secured by a chattel mortgage. In *22return, Frank resigned as president and transferred his stock to the corporation.
At no time during the meeting did defendant Griffin inform the corporation or Tony Russo, the sole remaining shareholder, of the desirability of obtaining a covenant not to compete or explain the implications thereof. Three months after the stock transfer, Frank went back into the paving business in Rutland in direct competition with the plaintiff corporation. A properly drafted noncompetition covenant would have prevented this from occurring.
At trial, plaintiff introduced two expert witnesses, both well-respected practicing attorneys from the Burlington area, who testified that defendant Griffin’s failure to advise the corporation to exact a covenant not to compete deviated from the standard of care required of attorneys practicing in Vermont at that time. Defendants introduced two similarly qualified Rutland attorneys who testified that defendant Griffin’s conduct comported with the standard of care then expected of Rutland attorneys.
The question for determination was clearly whether defendant Griffin’s conduct violated the attorney standard of care as it existed at the time of the alleged breach. In answering this question, the trial court focused on the long-standing professional relationship between defendant Griffin and the Russo family and the fact that this was not an arms-length transaction. It did not, however, find these facts to be dispositive. The court ultimately chose to accept the testimony of defendants’, rather than plaintiff’s, expert witnesses on the premise that “those attorneys whose practice primarily was conducted in the Rutland area prior to and during 1978 are more familiar with the standard of care then required of lawyers.”
Defendants claim that the trial court was more concerned with the time frame of the alleged act of malpractice then the locale in which it occurred. We cannot agree. In ruling for the defendants, the court found the relevant standard of care to be limited to what a careful and prudent practitioner in the Rutland area would do under the circumstances. The court concluded:
The standard of care in the Rutland area in 1978 required of an attorney did not require him to suggest or recommend to a purchasing client that a noncompete agreement be obtained from a seller who is a relative and who has been a *23business associate for several years, the transaction not being one at arms length. (Emphasis added).
In Hughes v. Klein, 139 Vt. 232, 233, 427 A.2d 353, 354 (1981), this Court held that the standard of care within the legal profession required lawyers to exercise “the customary skill and knowledge which normally prevails at the time and place.” We are now asked to reexamine the underlying rationale and continued vitality of the so-called locality rule.
The locality rule is an exclusive product of the United States. See Shilkret v. Annapolis Emergency Hospital Association, 276 Md. 187, 193, 349 A.2d 245, 248 (1975). It was first applied to the medical profession approximately a century ago when there existed a great disparity between standards of practice in large urban centers and remote rural areas. Id. at 193, 349 A.2d at 249. “The rule was unquestionably developed to protect the rural and small town practitioner, who was presumed to be less adequately informed and equipped than his big city brother.” Id. at 193, 349 A.2d at 248.
The shortcomings of the locality rule are well recognized. It immunizes persons who are sole practitioners in their community from malpractice liability and it promotes a “conspiracy of silence” in the plaintiffs’ locality which, in many cases, effectively precludes plaintiffs from retaining qualified experts to testify on their behalf. Id. at 193-94, 349 A.2d at 249 (citing Waltz, The Rise and Gradual Fall of the Locality Rule In Medical Malpractice Litigation, 18 DePaul L. Rev. 408, 411 (1969); Note, Medical Malpractice — Michigan Abandons “Locality Rule” with Regard to Specialists, 40 Fordham L. Rev. 435, 438 (1971)). Recent developments in technology and the trend toward standardization have further undermined support for the rule. See Shilkret, supra, 276 Md. at 197, 349 A.2d at 250.
According to defendants, the reasoning of the courts which have rejected the locality rule in medical malpractice decisions is inapposite to legal malpractice. We disagree.
The ability of the practitioner and the minimum knowledge required should not vary with geography. The rural practitioner should not be less careful, less able or less skillful than the urban attorney. The fact that a lower degree of care or less able practice may be prevalent in a particular local community should not dictate the standard of care.
*24Mallen & Levit, Legal Malpractice § 254, at 334 (2d ed. 1981). Defendants correctly note that “knowledge of local practices, rules, or customs may be determinative of, and essential to, the exercise of adequate care and skill.” Id. To argue this fact in support of continued application of the locality rule, however, is to confuse “the degree of ‘skill and knowledge’ and the relevance of local factors which constitute the knowledge required by the standard of care.” Id. at 337. Although attorneys throughout this state may be required to familiarize themselves with local practices, rules or customs peculiar to their area, the crucial inquiry for malpractice purposes turns not on the substance of the underlying practice, rule, or custom but on whether a reasonable and prudent attorney can be expected to know of its existence and practical applications.
In selecting a territorial limitation on the standard of care, we believe that the most logical is that of the state. See Mallen & Levit, supra, at 336; see also Restatement (Second) of Torts § 299A comment g (1965) (allowance for variations in type of community or degree of skill and knowledge possessed by practitioners therein has seldom been made in legal profession as such variations either do not exist or are not worthy of recognition). In Vermont, the rules governing the practice of law do not vary from community to community but are the same throughout the state. Moreover, in order to practice law in Vermont attorneys must successfully complete the requirements for admission established by this Court and administered by the Vermont Board of Bar Examiners. Among these prerequisites is the requirement that all candidates for admission complete a study of law in the office of a judge or practicing attorney in this state.
The relevant geographic area then is not the community in which the attorney’s office is located or the nation as a whole, but the jurisdiction in which the attorney is licensed to practice. Accordingly, we hold that the appropriate standard of care to which a lawyer is held in the performance of professional services is “that degree of care, skill, diligence and knowledge commonly possessed and exercised by a reasonable, careful and prudent lawyer in the practice of law in this jurisdiction.” Cook, Flanagan & Berst v. Clausing, 73 Wash. 2d 393, 395, 438 P.2d 865, 867 (1968); see also Ramp v. St. Paul Fire & Marine Insurance Co., 254 So. 2d 79, 82 (La. App. 1971) (attorney liable for failure to exercise that degree of care, skill and diligence which is commonly pos*25sessed and exercised by practicing attorneys in his or her jurisdiction); Hodges v. Carter, 239 N.C. 517, 520, 80 S.E.2d 144, 146 (1954) (attorney not liable for following service of process custom which had prevailed in state for two decades and was followed generally by attorneys throughout the state); Feil v. Wishek, 193 N.W.2d 218, 225 (N.D. 1971) (attorney liable for failure “to exercise that degree of care commonly possessed and exercised by other reasonable, careful and prudent lawyers of this State”).
Unlike the medical profession, the legal profession has not yet established a certification and licensing process which is national in scope. Mallen, supra, § 254, at 337. Nevertheless, “[w]hen certain recognized specialities are involved a national standard may be appropriate.” Id. These “national law” specialities might include federal taxation law, securities law, patent law, and bankruptcy law where the need for uniformity is clearly apparent. Id. at 338. Regardless of whether a state or national standard is applied, however, our holding points out the need to advise clients as to the limits of one’s professional capabilities and to refer them to specialists in appropriate cases.
In this case, defendant Griffin, in advising a family-held business on how to structure a buy-out and drafting the documents necessary to the transaction, failed to inform his clients of the possible need for, and implications of, a covenant not to compete. Both sides presented expert testimony addressing whether this failure constituted attorney malpractice. In answering this question, the trial court erroneously applied the locality rule in defining the applicable standard of care. This ruling clearly prejudiced the plaintiffs as the court chose to accept the testimony of defendants’, rather than plaintiff’s, expert witnesses on the rationale that they were from the Rutland area, and therefore were more familiar with the applicable standard to care. Accordingly, the decision of the superior court is reversed and the cause is remanded for a new trial.
Reversed and remanded.
Hayes, J.,
concurring in part and dissenting in part. I agree with the majority that the correct standard to which an attorney should be held in the performance of professional services is not the standard of his or her locality. If there are only two lawyers in *26a small town, and both are incompetent, they cannot set a standard of inferiority for a third who comes to town.
I disagree with the Court’s holding that the applicable standard of care should be a state standard. Doctors in Vermont are required to adhere to standards based upon the medical profession generally. Lawyers should be subject to a similar standard of care based on their profession.
The scope of an attorney’s obligation to his or her client should not vary with geography. The law schools of today are truly national in legal training. Vermont and almost all other states give a multistate bar examination. Much of our continuing legal education is national in scope. Why then must candidates for admission to the Vermont bar clear a multistate hurdle, and be required to meet only a state standard for performance once admitted?
I would require that the standard of care for Vermont lawyers be based upon the legal profession generally, and I would.reject a state or local standard.
We are members of a profession that has not won a full measure of public confidence. To adopt a state standard is to say that what may be considered attorney negligence in New Hampshire may not violate the standard of adequacy of legal services in Vermont. Such a caliper to measure attorney conduct will lower public esteem for the Vermont legal profession and will arouse suspicions in lay circles that we have selected a cemetery in the Green Mountains in which quietly to bury the faults of our legal brothers and sisters.
5.7 Fishman v. Brooks 5.7 Fishman v. Brooks
Irving Fishman vs. Larimore S. Brooks.
Middlesex.
October 10, 1985.
January 30, 1986.
Present: Hennessey, C.J., Wilkins, Liacos, Lynch, & O’Connor, JJ.
*644 John B. Connarton, Jr. (John Egan with him) for the plaintiff.
Thomas Hoffman for the defendant.
Wilkins, J.
This appeal principally concerns the propriety of certain evidentiary rulings in the trial of a counterclaim for malpractice filed by Larimore S. Brooks against Irving Fishman, a member of the bar of theXommon wealth. Brooks persuaded the jury that (a) Fishman was negligent in representing Brooks in an action for personal injuries Brooks sustained when a negligently operated motor vehicle collided with the bicycle he was riding; (b) as a result of Fishman’s negligence, Brooks was obliged to settle the personal injury action; and (c) the damages which Brooks should have recovered in that action were substantially greater than the amount of the settlement.
Fishman commenced this action by filing a complaint for declaratory relief against Brooks, who, after the settlement, had notified his health care providers that the case had been settled and they would be paid. Fishman alleged that Brooks had violated the terms of an agreement between them which would have given Fishman, as an additional fee, any amount he saved in negotiating settlements of Brooks’s medical bills. Fishman voluntarily abandoned this claim shortly before Brooks filed his counterclaim. In addition to his malpractice claim, Brooks successfully asserted an abuse of process claim based on Fishman’s commencement of this action. On our own motion, we transferred Fishman’s appeal to this court, and we now affirm the judgment in favor of Brooks.
We need recite the facts only in general terms in order to present the legal issues raised in Fishman’s appeal. On the night of September 25, 1975, Brooks suffered serious injuries when a motor vehicle traveling in the same direction struck him as he rode his bicycle in the breakdown lane of Route Nine in Newton. Brooks wore dark clothing, and his bicycle may have lacked proper light reflectors. Shortly after the accident Brooks retained Fishman to represent him.
*645 The jury would have been warranted in finding various facts bearing on Fishman’s negligence. Fishman had not tried a case of any sort since 1961. His part-time solo practice mainly involved real estate conveyancing. He did not commence suit until sixteen months after the accident and, for no apparent reason, did not obtain service on the driver defendant for more than ten months after filing the complaint, a delay which, by his own admission, interfered with his handling of the case. Fishman made no effort to examine the motor vehicle or to investigate in any detail what the driver had been doing immediately prior to the accident. He engaged in no useful pretrial discovery. Instead, he relied on information the driver’s insurer volunteered. He did not learn, for example, that shortly after the accident the driver had stated that she neither saw Brooks nor the bicycle before her vehicle struck them.
In April, 1978, a Federal District Court judge assigned the case for trial on June fifth. Fishman thereupon consulted an able attorney experienced in personal injury litigation about referring the case to him, but the negotiations failed because Fishman would not agree to an even division of his one-third contingent fee.
In April, 1978, Fishman made a settlement demand of $250,000 on the driver’s insurer. At various times the driver’s insurer made offers of settlement. Fishman did not know what the available insurance coverage was. He told Brooks that only $250,000 was available when, in fact, $1,000,000 was available. Brooks rejected several offers of settlement, although Fishman had recommended that Brooks accept them. Finally, shortly before trial, after Fishman had told Brooks that he could not win if he went to trial, Brooks agreed to settle his personal injury claim for $160,000, knowing that Fishman was not prepared to try the case.
In the trial of this case, the jury answered special questions concerning the malpractice action. They found that Fishman was negligent in his handling of the personal injury action and that Brooks was damaged thereby in the amount of $525,000. The driver’s negligence was 90% and Brooks’s negligence was 10% of the contributing cause of his injuries. The jury also *646 returned a verdict in the amount of $10,000 on Brooks’s abuse of process claim.
The judge entered judgment on the malpractice count by reducing Brooks’s damages ($525,000) to reflect (a) his contributory fault (10% or $52,500), (b) the amount of medical expenses paid from the settlement ($32,000), and (c) the amount Brooks received personally from the settlement ($90,000) and by allowing interest on the balance. No reduction was allowed for Fishman’s counsel fees collected in the earlier action.
An attorney who has not held himself out as a specialist owes his client a duty to exercise the degree of care and skill of the average qualified practitioner. See McLellan v. Fuller, 226 Mass. 374, 377-378 (1917); Caverly v. McOwen, 123 Mass. 574, 578 (1878); Varnum v. Martin, 15 Pick. 440, 442 (1834); Glidden v. Terranova, 12 Mass. App. Ct. 597, 598 (1981); Barry, Legal Malpractice in Massachusetts, 63 Mass. L. Rev. 15, 17 (1978). An attorney who violates this duty is liable to his client for any reasonably foreseeable loss caused by his negligence. See McLellan v. Fuller, supra; Glidden v. Terranova, supra at 600. Thus an attorney is liable for negligently causing a client to settle a claim for an amount below what a properly represented client would have accepted. See, e.g., Edmondson v. Dressman, 469 So. 2d 571, 574 (Ala. 1985); Cook v. Connolly, 366 N.W.2d 287, 292 (Minn. 1985); Rodriguez v. Horton, 95 N.M. 356, 359-360 (Ct. App. 1980); Helmbrecht v. St. Paul Ins. Co., 122 Wis. 2d 94, 117-118 (1985). See generally R. Mallen & V. Levit, Legal Malpractice § 580, at 723-726 (2d ed. 1981). Although properly informed of all the relevant law and facts, an attorney may nevertheless cause a client to settle a case for an amount below that which competent counsel would approve. As the authorities cited above tend to show, such a situation is more theoretical than real. The typical case of malpractice liability for an inadequate settlement involves an attorney who, having failed to prepare his case properly or lacking the ability to handle the case through trial (or both), causes his client to accept a settlement not reasonable in the circumstances.
*647 A plaintiff who claims that his attorney was negligent in the prosecution of a tort claim will prevail if he proves that he probably would have obtained a better result had the attorney exercised adequate skill and care. McLellan v. Fuller, supra at 378. Brooks’s case was tried on this theory, and thus first involved the question of Fishman’s negligence in the settlement of Brooks’s claim and, second, if that were established, the question whether, if the claim had not been settled, Brooks would probably have recovered more than he received in the settlement. This is the traditional approach in the trial of such a case. The original or underlying action is presented to the trier of fact as a trial within a trial. If the trier of fact concludes that the attorney was negligent, a matter on which expert testimony is usually required (see Pongonis v. Saab, post 1005 [1985]), the consequences of that negligence are determined by the result of the trial within the trial. Thus, in the trial within the trial in this case, the jury had to determine whether the driver negligently caused Brooks’s injury and, if so, the damages Brooks suffered and the comparative fault of Brooks and the driver. On this approach to the trial of a legal malpractice action, except as to reasonable settlement values, no expert testimony from an attorney is required to establish the cause and the extent of the plaintiff’s damages. 1
1. Over Fishman’s objection, the judge properly admitted expert testimony from an experienced tort lawyer and an experienced claims adjuster as to the reasonable settlement value of *648 the underlying claim at the time it was settled. The attorney testified that such a case normally would have settled for $450,000 to $500,000. The claims adjuster estimated that such a case would have settled for $400,000 to $450,000.
Fishman argues that the settlement value of the underlying action was not a proper measure of damages. Brooks does not assert that it was; rather, he argues that proof of the fair settlement value of the underlying action was an important element of his case against Fishman. If, in spite of Fishman’s negligent preparation of the personal injury case, settlement was made in an amount that properly prepared counsel reasonably could have recommended, Brooks would have suffered no loss from Fishman’s negligence. Consequently, evidence of the fair settlement value of the underlying claim was admissible to prove not only Fishman’s negligence but also that his negligence caused a loss to Brooks. See Rodriguez v. Horton, 95 N.M. 356, 360 (Ct. App. 1980). In precisely these terms and without objection from Fishman, the judge submitted a special question to the jury as to whether $160,000 was a fair settlement. The reasonableness of the $160,000 settlement was relevant, therefore, and on that question expert testimony was appropriate. See Williams v. Bashman, 457 F. Supp. 322, 328 (E.D. Pa. 1978); Duncan v. Lord, 409 F. Supp. 687, 693 (E.D. Pa. 1976); Warwick, Paul & Warwick v. Dotter, 190 So. 2d 596, 598 (Fla. App. 1966); Helmbrecht v. St. Paul Ins. Co., 122 Wis. 2d 94, 116 (1985). Cf. Worden v. Tri-State Ins. Co., 347 F.2d 336, 340-341 (10th Cir. 1965); Jiffy Foods Corp. v. Hartford Accident & Indem. Co., 331 F. Supp. 159, 160 (W.D. Pa. 1971).
Fishman also contends that admission of evidence concerning the fairness of the settlement was improper because it allowed the jury to impose liability by second-guessing the attorney’s judgment. The answer is that no liability would have been imposed for a settlement made within the range of settlement values that an attorney exercising due care would have recommended. Like a member of any other profession, an attorney is not immune from liability for the consequences of a negligent exercise of professional judgment. The absence of *649 any evidence that the insurer of the defendant in the underlying action would have settled for more than $160,000 is immaterial on the theory on which Brooks presented his case. If $160,000 did not equal or exceed the amount that a nonnegligent attorney would have recommended for settlement, the case should not have been settled.
If Fishman had wished the jury to understand that the experts ’ testimony was not to be considered on the issue of the damages that would have been recovered in the underlying action, he could have asked for a limiting instruction both at the time the evidence was admitted and in the judge’s final charge. He did neither. In fact, the judge instructed the jury on damages as in the typical personal injury tort action without reference to the settlement value of the underlying action.
2. Fishman now challenges the admission of expert testimony from a law school professor concerning the ethical obligations of attorneys in general and of Fishman in particular. At trial Fishman objected successfully to the professor’s qualifications to give an opinion on an attorney’s standard of care. Fishman advanced and withdrew an objection to the relevancy of expert testimony concerning ethical standards governing the conduct of a practicing attorney. He did not renew his relevancy objection at any time, nor does he argue here an objection to any specific question asked of the professor. There is thus nothing before us requiring appellate review.
We add a brief comment about the relationship between the canons of ethics and an attorney’s duty of care to his client. A violation of a canon of ethics or a disciplinary rule (S.J.C. Rule 3:07, as amended through 395 Mass. 1106 [1985]), is not itself an actionable breach of duty to a client. See Robert L. Sullivan, D.D.S., P.C. v. Birmingham, 11 Mass. App. Ct. 359, 368-369 (1981). As with statutes and regulations, however, if a plaintiff can demonstrate that a disciplinary rule was intended to protect one in his position, a violation of that rule may be some evidence of the attorney’s negligence. See, e.g., Cimino v. Milford Keg, Inc., 385 Mass. 323, 327 (1982) (statute forbidding sale of liquor to intoxicated persons intended to protect accident victims); LaClair v. Silberline Mfg. Co., 379 Mass. 21, 29 (1979) *650 (worker’s compensation statute intended to protect employees); Perry v. Medeiros, 369 Mass. 836, 841 (1976) (building code intended to protect tenants in common areas). Cf. Beecy v. Pucciarelli, 387 Mass. 589, 590 n.3, 597 (1982) (disciplinary rules not intended to protect client’s opponent).
Expert testimony concerning the fact of an ethical violation is not appropriate, any more than expert testimony is appropriate concerning the violation of, for example, a municipal building code. Perry v. Medeiros, supra at 842. A judge can instruct the jury (or himself) concerning the requirements of ethical rules. The jurors need no expert on legal ethics to assess whether a disciplinary rule was violated. A jury would not be aided, and their function could be impinged upon, by expert testimony in such a circumstance. See Perry v. Medeiros, supra. Of course, an expert on the duty of care of an attorney properly could base his opinion on an attorney’s failure to conform to a disciplinary rule.
3. The judge did not err in admitting, over general objection, testimony from a pharmacist concerning the side effects (e.g., drowsiness) of a nonprescription drug. There was evidence that a defendant in the personal injury action, the driver of the vehicle, had taken the drug before the accident. The pharmacist testified concerning generalities and possibilities and not concerning the specific effect of the drug on the driver in this case. Admission of that evidence as tending to prove the driver’s negligence might have been error in the absence of other evidence concerning the influence of the drug on the driver. See LaClair v. Silberline Mfg. Co., 379 Mass. 21, 32 (1979). That the driver took the drug and that it could cause drowsiness were relevant, however, to the question of Fishman’s negligence. Although, in a statement made to her insurer shortly after the accident, the driver had admitted that she was taking medication, Fishman did not learn of the facts concerning the drug before the case was settled.
4. Fishman contends that certain statements admitted as prior inconsistent statements did not satisfy the requirements of G. L. c. 233, § 23 (1984 ed.). Brooks called Fishman to testify as part of his case in chief. Fishman’s own counsel then questioned *651 him extensively in “cross-examination,” during which Fishman explained his position substantially as if he had been called as a witness on his own behalf. Thereafter Brooks questioned him again. After Fishman had left the stand, Brooks offered testimony from a prior proceeding in which Fishman had made statements that were inconsistent with statements Fishman made during “redirect” examination.
Fishman objected to the admission of these statements in part on the ground that the offer should have been made while he was on the stand. For the purposes of this case, we accept the objection as adequate to raise Brooks’s failure to comply with the condition of G. L. c. 233, § 23, that a witness one “produces” may be impeached by prior inconsistent statements only if the witness has been given an opportunity to acknowledge or deny and, where appropriate, to explain them. Section 23 restricts only the use of prior inconsistent statements by a “party who produces a witness.” If Fishman had testified as a witness on his own behalf, Brooks properly could have offered prior inconsistent statements without establishing any foundation for doing so. Sirk v. Emery, 184 Mass. 22, 25 (1903). Commonwealth v. Shagoury, 6 Mass. App. Ct. 584, 597 (1978), cert. denied, 440 U.S. 962 (1979). In the circumstances, once Fishman had testified extensively on questioning by his own counsel, § 23 did not restrict the admission of prior inconsistent statements because Brooks effectively was no longer the party who had produced Fishman as a witness. 2
5. The judge did not abuse his discretion in excluding a photograph said to be of “the scene of the accident, or the *652 approximate scene of the accident.” The date when the photograph was taken was never established. Other evidence demonstrated the nature of the roadway.
6. Fishman’s challenge to the judge’s charge concerning the abuse of process claim against him is without merit. Indeed, the charge may have been overly favorable to Fishman because, at one point, the judge instructed the jury that Brooks had to prove not only that Fishman had an ulterior motive in bringing the action but also that Fishman had no basis for bringing the action. Proof of the groundlessness of an action is not an essential element of an action for abuse of process. See Beecy v. Pucciarelli, 387 Mass. 589, 595-596 (1982); Dangel v. Offset Printing, Inc., 342 Mass. 170, 171 (1961). That the person commencing the litigation knew or had reason to know his claim was groundless is relevant, however, as tending to show that the process was used for an ulterior purpose. See Lorusso v. Bloom, 321 Mass. 9, 10 (1947); Reardon v. Sadd, 262 Mass. 345, 348 (1928). 3
Judgment affirmed.
A plaintiff whose case was settled too low because of his attorney’s negligence lost a valuable right, the opportunity to settle the case for a reasonable amount without a trial. See Drury v. Butler, 171 Mass. 171, 175 (1898). Brooks could also have argued, therefore, that he was entitled at least to the difference between (a) the lowest amount at which his case probably would have been settled on the advice of competent counsel and (b) the amount of the settlement. Brooks made no such claim. In such an approach there would be no need for a trial within a trial, but a plaintiff’s potential recovery would be more limited than in the traditional approach. See general Mallen & Levit, supra, § 580, at 725; Spiegal, Lawyering and Client Decisionmaking: Informed Consent and the Legal Profession, 128 U. Pa. L. Rev. 41,137-138 (1979); Note, The Standard of Proof of Causation in Legal Malpractice Cases, 63 Cornell L. Rev. 666, 670-671, 679-680 (1978).
Massachusetts R. Civ. P. 43 (b), 365 Mass. 806 (1974), provides in part that where an adverse party is called as a witness, counsel for the adverse party-witness may cross-examine him “only upon the subject matter of his examination in chief.” In this case, Fishman’s examination by his own counsel exceeded the scope of Brooks’s examination of Fishman and in that respect Fishman was offering or producing himself as a witness. Rule 43 (b) permits the impeachment of an adverse party called as a witness “in all respects as if he had been called by the adverse party, except by evidence of bad character.” We need not resolve any conflict between § 23 and rule 43 (b) because, in the circumstances, rule 43 (b) authorized Fishman’s impeachment and § 23, as construed, does not forbid it.
Fishman does not contend by an independent statement of the issue that the evidence did not warrant a finding for Brooks on the abuse of process count. Fishman’s passing allusion to the point in his brief does not qualify as argument calling for us to consider the issue. Mass. R. A. P. 16 (a) (4), as amended, 367 Mass. 919 (1975).