Burger v. Lutheran General HospitalBurger v. Lutheran General Hospital
Lead Opinion
delivered the opinion of the court:
At issue in these consolidated cases is whether certain provisions of section 6.17 of the Hospital Licensing Act (Act) (
BACKGROUND
During the early afternoon of December 12, 1996, plaintiff, Doris Burger, went to the emergency room of Lutheran General Hospital (Hospital) with a leg injury. Within a few hours, after examination and treatment, plaintiff was released. On the evening of December 13, 1996, plaintiff was admitted to the Hospital for intravenous antibiotic therapy. On December 16, 1996, plaintiffs leg was amputated at the knee. Plaintiff thereafter filed a medical malpractice complaint in the law division of the circuit court of Cook County, naming four doctors, the Hospital and the Hospital’s parent corporation as defendants. Plaintiff alleged that the Hospital was negligent in the care provided to her in the Hospital’s emergency room on December 12, 1996. In addition, plaintiff alleged that the Hospital was negligent in several respects during her admission from December 13 to December 16, 1996.
Discovery in plaintiffs case was ongoing at the time that Public Act 91—526 became effective on January 1, 2000. This Public Act, which was unanimously passed by the Illinois General Assembly, amended
“(a) Every hospital licensed under this Act shall develop a medical record for each of its patients as required by the Department [of Public Health of the State of Illinois] by rule.
(b) All information regarding a hospital patient gathered by the hospital’s medical staff and its agents and employees shall be the property and responsibility of the hospital and must be protected from inappropriate disclosure as provided in this Section.
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(d) No member of a hospital’s medical staff and no agent or employee of a hospital shall disclose the nature or details of services provided to patients, except that the information may be disclosed to the patient, persons authorized by the patient, the party making treatment decisions, if the patient is incapable of making decisions regarding the health services provided, those parties directly involved with providing treatment to the patient or processing the payment for that treatment, those parties responsible for peer review, utilization review, quality assurance, risk management or defense of claims brought against the hospital arising out of the care, and those parties required to be notified under the Abused and NeglectedChild Reporting Act, the Illinois Sexually Transmissible Disease Control Act, or where otherwise authorized or required by law.
(e) The hospital’s medical staff members and the hospital’s agents and employees may communicate, at any time and in any fashion, with legal counsel for the hospital concerning the patient medical record privacy and retention requirements of this section and any care or treatment they provided or assisted in providing to any patient within the scope of their employment or affiliation with the hospital.
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(h) Any person who, in good faith, acts in accordance with the terms of this Section shall not be subject to any type of civil or criminal liability or discipline for unprofessional conduct for those actions.
(i) Any individual who willfully and wantonly discloses hospital or medical record information in violation of this Section is guilty of a Class A misdemeanor. As used in this subsection, ‘wilfully or wantonly’ means a course of action that shows an actual or deliberate intention to cause harm or that, if not intentional, shows an utter indifference to or conscious disregard for the safety of others or their property.”210 ILCS 85/6.17(a) , (b), (d), (e), (h), (i) (West 2000).
On January 19, 2000, plaintiff filed with the circuit court an emergency motion to bar ex parte communication between the Hospital’s counsel and those members of its medical staff, agents, and employees who provided health care to plaintiff but were not named as defendants in plaintiffs complaint. Plaintiffs motion also requested that the circuit court declare subsection (e) of
At the time plaintiff filed these motions in the circuit court of Cook County, several similar motions were pending in that court’s law division. On February 17, 2000, the presiding judge of the law division of the Cook County circuit court entered an order intended to “efficiently and fairly deal with the multitude of motions” filed in the law division which challenged the constitutionality of
With the leave of the circuit court, plaintiff filed a fifth complaint at law on February 18, 2000, which added a fourth count to plaintiffs action. Count I of plaintiffs complaint, captioned “entity liability,” alleges that on December 12, 1996, and on December 13 through 16, 1996, the Hospital and its parent corporations, “acting through their employees and agents,” negligently failed to admit plaintiff to the hospital, failed to provide “timely and competent physician care,” failed to “properly diagnose and treat her condition of ill being,” failed to “obtain timely and appropriate consultations,” and negligently discharged
On May 10, 2000, the circuit court issued a written memorandum opinion and order. The court determined that its decision was controlled by this court’s rulings in Kunkel v. Walton,
In addition, the circuit court determined that the immunity provisions contained within subparagraph (h) of
The circuit court judge also determined that, pursuant to our decisions in Kunkel and Best, subparagraphs (d) and (e) of
The circuit court, however, rejected the argument proffered by plaintiff that subsections (d) and (e) of
Finally, the circuit court concluded that the constitutionally valid portions of
On May 18, 2000, the circuit court entered a judgment order in favor of plaintiff on count IV of her fifth complaint, “finding that the challenged sections of
Direct appeal was taken to this court by two groups of defendants. 134 Ill. 2d R 302(a). Those appeals have been consolidated.
ANALYSIS
This appeal presents the principal issues of whether the provisions contained within subsections (d), (e) and (h) of
Plaintiff at bar urges us to affirm the judgment of the circuit court that, based upon the reasoning of our decisions in Kunkel and Best, subsections (d), (e) and (h) of
I. Separation of Powers
The Illinois Constitution provides that the legislative, executive and judicial branches are separate, and that “[n]o branch shall exercise powers properly belonging to another.” Ill. Const. 1970, art. II, § 1. Article VI, section 1, of the Illinois Constitution of 1970 vests the judicial power of this state in the supreme court, the appellate court, and the circuit courts.
In “ ‘both theory and practice, the purpose of the [separation of powers] provision is to ensure that the whole power of two or more branches of government shall not reside in the same hands.’ ” Best,
Indeed, we have previously observed that “[where matters of judicial procedure are at issue, the constitutional authority to promulgate procedural rules can be concurrent between the court and the legislature. The legislature may enact laws that complement the authority of the judiciary or that have only a peripheral effect on court administration.” Kunkel,
A. Subparagraphs (d) and (e)
We first address plaintiffs separation of powers challenge to subparagraphs (d) and (e) of
In Kunkel v. Walton,
“Any party who by pleading alleges any claim for bodily injury or disease, including mental health injury or disease, shall be deemed to waive any privilege between the injured person and each health care provider who has furnished care at any time to the injured person. *** Any party alleging any such claim *** shall, upon written request of any other party who has appeared in the action, sign and deliver within 28 days to the requesting party a separate Consent authorizing each person or entity who has provided health care at any time to the allegedly injured person to:
(1) furnish the requesting party or the party’s attorney a complete copy of the chart or record of health care in the possession of the provider ***;
(2) permit the requesting party or the party’s attorney to inspect the original chart or record of health care ***;
(3) accept and consider charts and other records of health care by other, radiographic films, and documents, including reports, deposition transcripts, and letters, furnished to the health care provider by the requesting party or the party’s attorney, beforegiving testimony in any deposition or trial or other hearing;
(4) confer with the requesting party’s attorney before giving testimony in any deposition or trial or other hearing and engage in discussion with the attorney on the subjects of the health care provider’s observations related to the allegedly injured party’s health, including the following: the patient history ***; the health care provider’s opinions related to the patient’s state of health, prognosis, etiology, or cause of the patient’s state of health at any time ***.
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A request for a Consent under this subsection (a) does not preclude such subsequent requests as may reasonably be made seeking to expand the scope of the earlier Consent which was limited to less than all the authority permitted by subdivisions (1) through (4) of this subsection (a) or seeking additional Consents for other health care providers.
The provisions of this subsection (a) do not restrict the right of any party to discovery pursuant to rule.”735 ILCS 5/2—1003(a) (West 1996).
We determined in Kunkel and Best that
Specifically, we held that the mandatory consent procedures set forth in
We also held that section 2 — 1003(a) conflicted with Supreme Court Rule 201(c)(1) (166 Ill. 2d R. 201(c)(1)), which authorizes the circuit court, when appropriate, to issue protective orders to shield particularly sensitive materials from unnecessary disclosure. Based upon the statute’s clear and unequivocal language requiring a plaintiff to disclose medical information without limitation, we held that the “absolute and unqualified” disclosure mandated by
Finally, we held that section 2 — 1003(a) conflicted with Supreme Court Rule 219 (166 Ill. 2d R. 219), which lists a noninclusive range of sanctions which a circuit court, in its discretion, may impose upon litigants to address discovery violations and abuses. Best,
In the matter at bar, the primary focus of plaintiffs constitutional challenge is that subparagraphs (d) and (e) of
As stated, because all statutes carry a strong presumption of constitutionality, the party challenging a legislative enactment bears the burden of clearly establishing that the provision in issue is unconstitutional. Arangold,
The fundamental rule of statutory construction is to ascertain and give effect to the legislature’s intent. Michigan Avenue National Bank v. County of Cook,
The provisions of the Act, including subparagraphs (d) and (e) of
Pursuant to subsection (b) of
Defendants and amici Cook County and Illinois Hospital and Healthsystems Association contend that in order to safeguard and improve patient care, and to reduce morbidity and mortality, hospitals must constantly investigate the quality of patient care, especially when an unexpected adverse event occurs. A timely investigation may involve the sharing of the hospital’s information with risk management personnel or counsel for the hospital. Indeed, defendants and amici contend, if a hospital fails to engage in ongoing quality review, it may jeopardize the accreditation of the hospital. Defendants and amici note that the Joint Commission on Accreditation and Healthcare Organizations mandates that hospitals must collect data to “monitor the stability of existing processes, identify opportunities for improvement, identify changes that will lead to improvement, and sustain improvement.” Joint Commission on Accreditation of Healthcare Organizations, Comprehensive Accreditation Manual for Hospitals: The Official Handbook § 1, pt. PI.3, at PI-9 (1999 ed. updated August 2000). Further, occurrences involving death or physical or psychological injury, or the risk thereof, must be responded to, analyzed and followed up in a timely and thorough manner. Joint Commission on Accreditation of Healthcare Organizations, Comprehensive Accreditation Manual for Hospitals: The
In light of the highly regulated environment in which hospitals operate, we conclude that it is reasonable and logical that hospital risk managers and hospital counsel interact on a regular basis with hospital employees, agents and staff concerning a wide array of issues which may require prompt legal guidance and which are not related to litigation. As defendants and amici note, such issues include the prompt investigation of adverse incidents, the assessment of resuscitation orders and the validity of patient consents, patient treatment issues, emergency room problems, consultation requests, specialist involvement, follow-up procedures, surgical and postoperative complications, staffing and equipment issues, and payment processing for treatment. In each of these instances, communication of a patient’s medical information to legal counsel or risk management personnel may be necessary in order not only to adequately and appropriately respond to the occurrence, but also to prevent any similar adverse occurrence in the future.
In addition, hospitals must comply with a panoply of complex state and federal regulations and reporting requirements which may require regular consultation with legal counsel. See, e.g.,
In an effort to facilitate the goal of safeguarding and improving the quality of health care, the Illinois General Assembly unanimously enacted Public Act 91—526, in which it amended
We conclude that the limited intrahospital exchange of information authorized by subsections (d) and (e) of
Plaintiff further asserts that because the challenged provisions of the Act “permit the ex parte contact long before any lawsuit is filed; in fact, irrespective of whether a lawsuit is filed,” subsections (d) and (e) of section 6.17 “go[ ] further” than the provisions invalidated upon separation of powers grounds in section 2 — 1003(a). We find plaintiffs position untenable. Under plaintiffs view, no information with respect to a hospital patient could be shared with a hospital’s risk managers or legal counsel prior to the patient retaining an attorney and filing a lawsuit. Such a rule would lead to absurd results. For example, plaintiffs position would preclude the obtaining of prompt legal advice with respect to questions concerning the validity of patient consents or resuscitation orders, delays which could result in serious harm to the hospital’s patients. In addition, if we were to accept plaintiffs view, a hospital would be required to formally depose its own medical staff, agents and employees prior to investigating an adverse incident occurring in the hospital, and for which the hospital may potentially be liable. Such a procedure would hamper the prompt investigation of the adverse event and the hospital’s ability to respond to the event and prevent a similar reoccurrence. It is well settled that “[sjtatutes are to be construed in a manner that avoids absurd or unjust results.” Croissant v. Joliet Park District,
Even if litigation ultimately ensues with respect to a patient’s care at a hospital, we do not believe that the institution of a lawsuit by a plaintiff alters the fact that the hospital, through its risk management personnel or counsel, may communicate, within the limited parameters of subsections (d) and (e), with the patient’s caregivers prior to the suit regarding information that is, pursuant to subsection (b) of section 6.17, the property and responsibility of the hospital. In addition, upon the filing of suit, the plain language of subsections (d) and (e) does not infringe upon the circuit court’s inherent powers to manage the orderly discovery of information during litigation. The circuit court retains the full authority to enter protective orders, where appropriate, pursuant to Supreme Court Rule 201(c)(1), and to ensure compliance with discovery through discretionary sanctions, pursuant to Rule 219.
Plaintiffs attempt to equate subsections (d) and (e) of section 6.17 of the Act with invalidated section 2 — 1003(a) fails for several additional reasons. Unlike section 2 — 1003(a), which required the wholesale disclosure to all defendants of all medical records with respect to any care ever received by a personal injury plaintiff, section 6.17 allows only hospital employees, agents and medical staff to discuss with the hospital’s attorneys and risk managers the treatment provided by the hospital’s caregivers to a hospital patient at the hospital and “within the scope of their employment or affiliation with the hospital.” The provisions in subsections (d) and (e) are strictly confined to the internal hospital setting and thus do not involve the type of wholesale, third-party disclosure which was found objectionable under section 2 — 1003(a). Moreover, the scope of disclosure authorized by the Act is limited. Unlike section 2 — 1003(a), subsections (d) and (e) do not afford every personal-injury defendant the unlimited opportunity to discover the plaintiffs entire medical history.
Further, in Kunkel and Best, we found it significant that section 2—1003(a) mandated the circuit court to either order a wholesale disclosure to all defendants of all medical records with respect to any care ever received by a personal injury plaintiff, or to dismiss the plaintiff’s claim with prejudice for plaintiffs failure to comply. We observed that section 2—1003(a) appeared to be “designed to discourage tort victims from pursuing valid claims by subjecting them to the threat of harassment and embarrassment through unreasonable and oppressive disclosure requirements.” Kunkel,
Finally, we noted in Best that under section 2 — 1003(a), a plaintiff would lose his or her right of action as a penalty for not consenting to the blanket disclosure of all confidential medical information. Best,
In sum, plaintiffs argument that the challenged provisions of section 6.17 of the Act are analogous to section 2—1003(a), which was invalidated in Kunkel and Best, is misplaced. Further, the constitutional prohibitions sought by plaintiff would interfere with legitimate, limited intrahospital communications of hospital information which are unrelated to litigation, but are essential to the provision of high quality health care. Under subparagraphs (d) and (e) of section 6.17 of the Act, the judiciary retains the full discretion afforded to it under supreme court rules. As stated, “ [legislative enactments enjoy a strong presumption of constitutionality, and the burden rests upon the challenger to demonstrate the invalidity of a particular statute.” Kunkel,
B. Subsection (h)
We next turn to plaintiffs separation of powers challenge with respect to subsection (h) of section 6.17 of the Act, which provides that “[a]ny person who, in good faith, acts in accordance with the terms of [section 6.17] shall not be subject to any type of civil or criminal liability or discipline for unprofessional conduct for those actions.”
Plaintiff again attempts to analyze the statutory provision at issue solely in terms of its potential litigation impact. As we fully discussed above with respect to subparagraphs (d) and (e), the health-care regulations found in
II. Privacy
We next address plaintiffs contention that subparagraphs (d) and (e) of
Defendants contend that plaintiff in her argument, and the circuit court in its ruling, again improperly ignore the important nonlitigation purposes of subsections (d) and (e) of
Because plaintiffs constitutional challenge to sub-paragraphs (d) and (e) is again principally grounded on our analysis in Kunkel and Best, we examine the relevant portions of those decisions. In Kunkel, we noted that article I, section 6, of the Illinois Constitution of 1970 (Ill. Const. 1970, art. I, § 6) “goes beyond federal constitutional guarantees by expressly recognizing a zone of personal privacy.” Kunkel,
However, we specifically held in Kunkel and Best that the right to privacy is not absolute. Only unreasonable invasions of privacy are constitutionally forbidden. Kunkel,
As stated, it is the burden of the party challenging the validity of a statute to rebut the presumption of constitutionality. Arangold,
Significantly, in the modern hospital setting, healthcare services are provided to the patient not only by physicians, but by a wide array of hospital personnel. Individuals who may require information with respect to the patient’s medical history, current condition, and treatment include direct caregivers such as nurses and attendants; specialists such as radiologists, anesthesiologists and surgeons; and administrative personnel such as individuals responsible for compiling medical records and preparing billing statements. Indeed, because “the reasonable expectations of the public have changed” with the advent of modern hospital care (Petrovich v. Share Health Plan of Illinois, Inc.,
In light of the reality of contemporary hospital operations, we conclude that a hospital patient could not reasonably expect a member of the hospital’s medical staff, or the hospital’s agents and employees, to refrain from discussing, within the narrow parameters set forth in subsections (d) and (e) of
Contrary to plaintiffs assertions that our decisions in Kunkel and Best mandate invalidation of subparagraphs (d) and (e) of
In addition to her constitutional challenge, plaintiff further contends that subsections (d) and (e) of
The Petrillo court held that “ex parte conferences between defense counsel and a plaintiffs treating physician jeopardize the sanctity of the physician-patient relationship and, therefore, are prohibited as against public policy.” Petrillo,
Plaintiff acknowledges that the appellate court subsequently recognized an exception to the Petrillo holding, allowing a hospital’s attorneys to communicate ex parte with health-care employees who are specifically alleged to be negligent and whose negligence a plaintiff seeks to impute to the hospital. In Morgan v. County of Cook,
We continue to adhere to the belief that “the rationale of the Petrillo court is sound.” Best,
Unlike Petrillo, however, where confidential information was divulged during discovery to parties who otherwise would not possess the information absent the disclosure, in the matter at bar, the challenged provisions of the Act authorize limited intrahospital communication of information that is already the property of the hospital and is already known to the hospital’s agents, including hospital counsel, irrespective of the filing of a lawsuit. The hospital is not a third party with respect to its own medical information, which is compiled by the hospital’s own caregivers.
Furthermore, if and when a patient institutes a legal action against a hospital, the patient cannot validly claim any greater expectation of privacy after the lawsuit is filed than prior to its filing. Indeed, under Petrillo, the filing of a lawsuit diminishes, rather than increases, a patient’s expectations of privacy in information related to the mental or physical condition which the plaintiff has placed at issue in the legal action. Petrillo,
Indeed, accepting plaintiffs interpretation of Petrillo, under the facts presented at bar, would lead to absurd results. For example, if Petrillo prevented the limited intrahospital communications authorized by subsections (d) and (e) of
Finally, we observe that the provisions contained in subsections (d) and (e) of
We conclude that, in enacting subparagraphs (d) and (e) of
III. Special Legislation
In her brief to this court, plaintiff raises an argument, consisting of one paragraph, that subsection (e) of
Because subsection (e) of
The circuit court determined that the challenged provision of the Act satisfied the rational basis test and, therefore, did not constitute impermissible special legislation.
As we have explained above, the limited intrahospital communications authorized under the Act are necessary to assist a hospital in complying with federal and state regulations and reporting requirements and in maintaining and improving patient care. Nonhospital defendants neither face these government requirements nor have these same public policy interests. In addition, as also previously explained, unlike other defendants, hospitals may be held liable for the actions of their health-care providers. See Gilbert,
As a final matter, we note that the Illinois State Bar Association has filed an amicus brief in this matter which proffers, as its sole argument, the contention that the provisions of Public Act 91—526 violate the single subject rule contained in article IV section 8(d), of the Illinois Constitution of 1970 (Ill. Const. 1970, art. IV § 8(d)). Amicus states in its brief that “it seeks to bring to the attention of this court additional argument which may be of interest to the court, but which is unlikely to be raised by either party.” This court has repeatedly rejected attempts by amicus to raise issues not raised by the parties to the appeal. Frye v. Medicare-Glaser Corp.,
CONCLUSION
For the foregoing reasons, we hold that subsections (d), (e) and (h) of
Circuit court judgment reversed in part and affirmed in part; cause remanded.
Notes
Each group of defendants has submitted a separate brief to this court. One brief is submitted on behalf of defendants Rush-Presbyterian-St. Luke’s Medical Center, Resurrection Hospital, Northwestern Memorial Hospital, Michael Reese Hospital and Medical Center, Hoffman Estates Medical Center, Northwest Community Hospital, Sherman Hospital, Holy Cross Hospital, Alexian Brothers Medical Center, Norwegian American Hospital, Oak Park Hospital, St. Mary of Nazareth Hospital, Swedish Covenant Hospital, and Westlake Community Hospital. A second brief is submitted on behalf of defendants Loyola University Medical Center, The University of Chicago Hospitals, Lutheran General Hospital, Advocate Health Care Network, Children’s Memorial Hospital, and the Rehabilitation Institute of Chicago. In this opinion, we collectively refer to the two defendant groups as “defendants.”
Both Kunkel and Best were under advisement by this court at the same time.
Dissenting Opinion
dissenting:
Petrillo v. Syntex Laboratories, Inc.,
When the General Assembly last attempted to abrogate the Petrillo doctrine through legislative enactment, our court correctly found the legislation to be unconstitutional and void. Best,
The majority attempts to differentiate subparagraphs (d) and (e) of
When it drafted
Although the majority has embraced this rationalization, it suffers from two fundamental flaws. First, it fails to recognize that a patient’s constitutionally protected privacy interest in his or her own medical records (see Best,
The second flaw in the majority’s approach is that it appears to assume that hospitals occupy the same position with respect to patients as do the patients’ physicians. They do not. While hospitals may employ physicians and possess an independent duty to insure that those physicians provide patients with appropriate medical care (Berlin v. Sarah Bush Lincoln Health Center,
There is no question that defense counsel employed by other third parties cannot obtain medical records from a patient’s treating physician unless they utilize the discovery process authorized by Supreme Court Rule 201. Petrillo,
In view of that result, I find it perplexing that my colleagues purport to embrace the principles underlying Kunkel, Best and Petrillo. See
The majority is also wrong to reject plaintiffs contention that subsection (e) of
One’s physical health and medical condition are among the most intimate and personal aspects of one’s life. Our court has specifically held that the right to privacy regarding such matters is a fundamental right. Committee for Educational Rights v. Edgar,
Subsection (e) of
To the extent that subsection (e) of
With respect to the hospital’s lawyers, the primary purpose of subsection (e) of
For the foregoing reasons, I dissent.
JUSTICES FITZGERALD and KILBRIDE join in this dissent.