Ande v. RockAnde v. Rock
- Reporters:
- , , ,
- Before:
- Roggensack
¶ 1. Linda A. Ande, Charles Ande and their minor children, C.E.A. and C.L.A. who
BACKGROUND
¶ 2. C.E.A. was born to Linda and Charles Ande on July 13, 1993. There was then ongoing a cystic fibrosis research project which had begun in 1985. Philip Farrell and Norman Fost were the co-investigators. To test for the presence of factors indicative of cystic fibrosis, the study used excess blood that had been drawn from all newborns to conduct statutorily required tests for the presence of other congenital and metabolic disorders. The research protocol required that the parents of half of the newborns in the study were told if their child tested positive for cystic fibrosis. A nutritional plan was made available to them immediately, as it was the researchers’ theory that treating the nutritional needs of children with cystic fibrosis before they became symptomatic would result in a less vigorous development of the disease with fewer impairments to overall health. The other half of the children who were tested were placed in the “blinded control” group. Their parents and their treating physicians were not. told if they had tested positive for factors indicative of cystic fibrosis. C.E.A. was placed in the blinded group, and therefore, her parents and her primary physician, Dr. Amy Plumb, were not told that she had tested positive.
¶ 3. Prior to testing the blood of newborns for cystic fibrosis, a pamphlet was prepared that told about the different tests that were required to be completed on newborns’ blood. It also told of the cystic fibrosis test that would be run as part of a research project. It described the dangers of cystic fibrosis and stated that
¶ 4. Subsequent to birth, C.E.A. had difficulties thriving. On June 23, 1995, when C.E.A. was almost two years old, she was diagnosed with cystic fibrosis. At the time that the Andes learned that C.E.A. had cystic fibrosis, Linda Ande was pregnant with a second child. The Andes’ second child, C.L.A., is also afflicted with cystic fibrosis.
¶ 5. In this lawsuit, the Andes’ allegations may be summarized into the assertion that the defendants committed three wrongful acts that give rise to the Andes’ various claims: (1) The cystic fibrosis test was run without their informed consent; (2) treatment was withheld from C.E.A. when the investigators had knowledge that nutritional treatment would reduce the severity of her cystic fibrosis; and (3) C.E.A.‘s test results were withheld from them. They allege to have
¶ 6. In response, the defendants assert that they did not test C.E.A.‘s blood without the Andes’ knowledge and consent. They also contend that although all the children in the blinded control group were tested as newborns, no one reviewed the test results for the control group, some of which were negative and some of which were positive for factors indicative of cystic fibrosis. Therefore, the defendants contend they did not withhold information from the Andes. 4 The defendants also raised many affirmative defenses, including failure to state a claim and qualified immunity.
¶ 7. After some discovery had been completed, the defendants moved for summary judgment, which the circuit court granted. It concluded that the plaintiffs gave
Standard of Review.
¶ 8. It is well established that we apply the same summary judgment methodology as the circuit court. Smith v. DodgevilleMut. Ins. Co., 212 Wis. 2d 226, 232, 568 N.W.2d 31, 34 (Ct. App. 1997). We first examine the complaint to determine whether it states a claim, 6 and then we review the answer to determine whether it joins a material issue of fact or law. Id. If we conclude that the complaint and answer are sufficient to join issue, we examine the moving party‘s affidavits to determine whether they establish a prima facie case for summary judgment. Id. at 232-33, 568 N.W.2d at 34. If they do, we look to the opposing party‘s affidavits to determine whether there are any material facts in dispute which entitle the opposing party to a trial. Id.
Medical Malpractice.
¶ 10. Medical malpractice arises when a physician fails to exercise that degree of care and skill usually employed by the average practitioner under similar circumstances.
See Johnson v. Misericordia Cmty. Hosp.,
97 Wis. 2d 521, 543-44, 294 N.W.2d 501, 513 (Ct. App. 1980),
aff‘d,
99 Wis. 2d 708, 301 N.W.2d 156 (1981). Whether a suit for malpractice will lie against a specific physician depends upon whether there is a physician-patient relationship between that physician and the complainant.
See, e.g., Froh v. Milwaukee Med. Clinic, S.C.,
85 Wis. 2d 308, 311, 270 N.W.2d 83, 84 (Ct. App. 1978). A physician-patient relationship is a trust relationship, created when professional services are provided by a physician and accepted by a patient.
See Brown v. Dibbell,
227 Wis. 2d 28, 46-47, 595 N.W.2d 358, 368 (1999). Only a physician “who treats a patient” is charged with a statutory duty to inform the patient about treatment modalities and the benefits and risks of those treatments.
¶ 12. Additionally, uncontradicted materials submitted in the circuit court by the respondents during the summary judgment proceedings show that Aronson is the Chief Medical Officer for Family and Community Health for the Wisconsin Division of Public Health within the Wisconsin Department of Health and Family Services. He was not engaged in the practice of medicine, did not render primary care to any patients and had no authority or responsibility to direct or control the cystic fibrosis research study which is central to this lawsuit. All of the remaining defendants appear to have been connected with the cystic fibrosis research project in some manner, but they had no relationship with the Andes. For example, Farrell was the Dean of the University of Wisconsin Medical School and, together with Fost, was a co-investigator for the cystic fibrosis study. Plaintiffs have provided no affidavit or other eviden-tiary proof to show any physician-patient relationship between the Andes and any defendant who is subject to this appeal. Accordingly, we conclude that the circuit court correctly dismissed plaintiffs’ claims for medical malpractice.
Federal Claims.
¶ 13. The Andes’ federal claims invoke
1.
¶ 14.
¶ 15. Qualified immunity may preclude claims against a government official for the performance of discretionary functions if the official‘s conduct does not violate a clearly established federal statutory or constitutional right.
Harlow v. Fitzgerald,
457 U.S. 800, 818 (1982);
Penterman,
211 Wis. 2d at 469, 565 N.W.2d at 528. Additionally, even though qualified immunity is an affirmative defense, a plaintiff must be able to demonstrate by closely analogous case law that the defendant‘s alleged conduct constituted a violation of a federal statutory or constitutional right that was clearly established at the time the acts occurred.
Penterman,
211 Wis. 2d at 469, 565 N.W.2d at 528. Accordingly, if a reasonable person in the position of the defendants could have believed that the manner in which he or she conducted the cystic fibrosis study did not violate the plaintiffs’ rights at the time the test on C.E.A. was conducted and that not informing the Andes of the test results until 1995 did not violate the Andes’ liberty or property interests, qualified immunity protects the defendants from liability arising from the Andes’ claims brought under federal law.
See Hunter,
502 U.S. at 227-28. “The qualified immunity standard ‘gives ample room for mistaken judgments’ by protecting ‘all but the plainly incompetent or those who
3. Violation of a clearly established right,
a. Property interest.
¶ 16. The first step in our analysis is to determine whether the Andes had a substantive property right to receive the results of C.E.A.‘s cystic fibrosis test at or near the time it was performed. See Arneson v. Jezwinski, 225 Wis. 2d 371, 386, 592 N.W.2d 606, 613 (1999). Substantive property interests are created exclusively under state law. Id. Therefore, in order to determine whether the Andes had a substantive property interest in the test results, we look to Wisconsin law. However, federal constitutional law determines whether a state-created property interest rises to a “legitimate claim of entitlement” under the Due Process Clause of the United States Constitution. Id. (quoting Memphis Light, Gas & Water Div. v. Craft, 436 U.S. 1, 9 (1978)). Federal law also determines how much procedural due process must be provided before one may be deprived of a protected property right. Arneson, 225 Wis. 2d at 386, 592 N.W.2d at 614.
¶ 17. Because a qualified immunity analysis examines the status of the right asserted at the time it was allegedly denied, we must determine whether prior to June 26, 1995,
10
the Andes had a property right under Wisconsin law, that was then clearly established,
b. Liberty interest.
¶ 18. The Andes also allege a constitutional violation of a liberty interest based on the failure to obtain informed consent for the testing that was done, as well as on the alleged failure to disclose information. Liberty interests may arise under either state
11
or federal
12
law. For example, the Fourteenth Amendment of the United States Constitution protects an “individual interest in avoiding disclosure of personal matters.”
Hillman v. Columbia County,
164 Wis. 2d 376, 400, 474 N.W.2d
¶ 19. Once a liberty interest has been established, it may not be denied without a constitutionally acceptable amount of procedural due process.
Arneson,
225 Wis. 2d at 399, 592 N.W.2d at 619. In regard to the alleged failure to obtain informed consent before the cystic fibrosis test was run in the first instance, the Andes base none of their claimed injuries on an unau
¶ 20. We now turn to the alleged failure to timely disclose the results of C.E.A.‘s cystic fibrosis test. The closest the Andes come in making an argument that the alleged failure to disclose was a clear violation of their rights is to contend that one of the defendants, Richard Aronson, as the Medical Director for the Wisconsin Newborn Screening Program conducted under the direction of the Wisconsin Department of Health and Family Services, had a statutory duty under
The department shall disseminate information to families whose children suffer from congenital disorders and to women of child-bearing age with a history of congenital disorders concerning the need for and availability of follow-up counseling and special dietary treatment and the necessity for testing infants. The department shall also refer families of children who suffer from congenital disorders to available health and family services programs and shall coordinate the provision of these programs. The department shall periodically consult appropriate experts in reviewing and evaluating the state‘s infant screening programs.
In 1993, the year C.E.A. was born, Wis. Admin. Code § HSS 115.04 (1993) set out the tests to be done and for which information was required to be provided under
¶ 21. The Andes also allege a “general” violation of substantive due process, claiming that the actions of the defendants were arbitrary and capricious in the way in which they selected C.E.A for the control group and failed to disseminate the information they had about her. Substantive due process protects individuals from arbitrary, wrongful, governmental actions regardless of the process afforded prior to the deprivation.
Penterman,
211 Wis. 2d at 480, 565 N.W.2d at 533. The Supreme Court has repeatedly explained that the touchstone of substantive due process is the protection of the individual against arbitrary action of government.
County of Sacramento v. Lewis,
523 U.S. 833, 845-46 (1998). Substantive due process protects against governmental actors who engage in conduct that “shocks the conscience” or conduct that interferes with rights “implicit in the concept of ordered liberty.”
Id.
at 846-47 (quoting
Rochin v. California,
342 U.S. 165, 172 (1952)). However, even so generalized a claim of protection still requires the identification of a clearly protected interest that the actor‘s conduct violates. Due process claims are not a substitute for general tort claims.
Lewis,
523 U.S. at 846 n.8. The Andes have failed to identify any . Wisconsin or federal case law
CONCLUSION
¶ 22. Because we conclude that plaintiffs have made no showing of a physician-patient relationship with any remaining defendant, which relationship is necessary to support a medical malpractice claim, and that plaintiffs have made no showing of a clearly established state property right or a clearly established state or federal liberty interest that any named defendant‘s conduct violated, we affirm the judgment and order of the circuit court.
By the Court. — Judgment and order affirmed.
Notes
All references to. the Wisconsin Statutes are to the 1995-96 version unless otherwise noted.
Numerous defendants were voluntarily dismissed by stipulation both before and after the circuit court‘s decision on defendants’ summary judgment motion. Additionally, appellants have chosen not to appeal the circuit court‘s decision as to many other defendants. Consequently, this appeal involves the appeal of claims against only the following defendants: Michael Rock, Norman C. Fost, Philip M. Farrell, Elaine H. Mischler, Richard A. Aronson and Anita Laxova.
The brochure was revised numerous times, with differing disclosures listed in each version. The edition that plaintiffs’ attorneys aver was presented to the Andes states:
One-half of the blood samples are tested for CF before the babies are one month old. The remaining blood samples are partially tested at this time. Testing on these blood samples is completed when the children are 4 years old. Positive test results are reported to your child‘s doctor.
If the CF research test is done, you may contact your doctor, certified nurse-midwife, or the CF specialist at (608) 263-8555 for the result.
There is a clear factual dispute on what defendants knew and when they knew it, but it relates only to the plaintiffs’ state claims such as the alleged breach of the researchers’ duty to warn. Because the plaintiffs have not appealed the circuit court‘s decision that notice of claim was given more than 120 days after these state claims arose, this factual dispute is not material to the disposition of the appeal.
A notice of claim for medical malpractice against these defendants could have been filed up to 180 days after it arose.
For example, whether the allegations in the complaint are sufficient to give rise to a physician-patient relationship supportive of a malpractice claim is a question of law we review de novo.
This part of the claim was initially focused on Dr. Amy Plumb and others who treated C.E.A. However, Dr. Plumb was dismissed by stipulation prior to the circuit court‘s decision on summary judgment, and the Andes have accepted the dismissal of all of the other physicians who were involved in C.E.A.‘s treatment.
Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any State or Territory or the District of Columbia, subjects, or causes to be subjected, any citizen of the United States or other person within the jurisdiction thereof to the deprivation of any rights, privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured in an action at law, suit in equity, or other proper proceeding for redress.
Paragraph 34 of the Second Amended Complaint alleges that “[t]he Andes had a property and/or liberty interest in knowing that C.E.A. was being placed in the study at the time she was placed in it; in knowing the nature of the study and the ramifications of participation before C.E.A. was placed in the study; and in knowing that she had cystic fibrosis at or near the time that diagnosis was made.” In paragraph 75, the Andes allege that they were denied “their property right to information about C.E.A.‘s medical condition (cystic fibrosis).” And paragraph 76 alleges that the defendants denied the Andes’ children their “respective liberty interests in maintaining their health and their bodily integrity.”
The Andes learned the results of C.E.A.‘s initial cystic fibrosis test on June 26, 1995; however, she was diagnosed with cystic fibrosis on June 23, 1995, through tests run on that date.
See State ex rel. Gendrich v. Litscher, 2001 WI App 163, ¶ 6, 246 Wis. 2d 826, 632 N.W.2d 878 (state liberty interests are decided on a case-by-case basis).
See Cruzan v. Director, Mo. Dept. of Health, 497 U.S. 261, 278 (1990) (a competent person has a constitutionally protected liberty interest in refusing unwanted medical treatment); Harris v. McRae, 448 U.S. 297, 311-12 (1980) (liberty interests protected by the Due Process Clause include a freedom of personal choice in certain matters of marriage and family life).
We note that developing appropriate recommendations for obtaining adequate informed consent when gathering tissue samples that may later be used for genetic studies and determining when additional consent should be required for tissue samples already collected have been the subject of some debate.
See Ellen Wright Clayton et al.,
Informed Consent for Genetic Research on Stored Tissue Samples, 274 JAMA 1786 (1995). Additionally, at the time relevant to the Andes’ claims, federal law permitted certain research on some types of tissue samples without informed consent, if the tissue samples had already been collected and the subjects from whom the samples had been obtained could not be identified.
See
In 1993, Wisconsin law required screening of all newborns in the state for biotinidase deficiency, congenital adrenal hyperplasia, congenital hypothyroidism, galactosemia, phe-nylketonuria and sickle cell disease.
See
According to Aronson‘s deposition testimony and affidavit, routine screening for cystic fibrosis actually commenced in April 1994, which was several months prior to the effective date of the emergency rule.
The Andes do not address the circuit court‘s denial of their motion for reconsideration as a separate argument. Therefore, we conclude that there was no erroneous exercise of discretion in denying the motion, for the reasons stated above.