Commonwealth v. ByersCommonwealth v. Byers
1. PROCEDURAL HISTORY
We have for consideration defendants’ motions to quash and/or petitions for habeas corpus. After careful review of the testimony via the transcripts of the preliminary hearing, the adjudication and order of the hearing examiner for the State Board of Medicine, the adjudication and order of the State Board of Medicine, the motions filed by the defendants, the response in each case filed by the Commonwealth, and the briefs by the parties for and against the motion, the amicus curiae brief submitted by the Pennsylvania Medical Society, and the arguments of counsel, the motions will be granted in part and denied in part.
All of the defendants in this matter were doctors employed by the Pennsylvania Department of Public Welfare at Polk Center in Venango County at the time of the alleged conduct. Polk Center is a residential treatment facility for severely to profoundly mentally retarded and developmentally disabled individuals. All of the victims in these cases were patients at Polk Center. All of the defendants were initially charged with neglect of care of a dependent person, 18 Pa.C.S. §2713, however, the district justice dismissed all of the counts brought under that section as it was determined by the district justice that that section did not become law until June of 1997 and, therefore, the conduct charged predated the act and it did not apply.
There are remaining three different charges against the five physicians. Simple assault, 18 Pa.C.S. §2701(a)(l),
The matter was argued before this judge on June 21, 1999. The Pennsylvania Medical Society was permitted to, and did, file an amicus curiae brief. The court also considered, as both sides briefed and argued, the findings, conclusions and order of the hearing examiner for the State Board of Medicine dated April 12, 1999. The adjudication and order of the State Board of Medicine, dated October 29, 1999, was submitted to the court by defense counsel on November 1, 1999. The Commonwealth has not objected to the submission of the final adjudication of the State Board of Medicine to the court, therefore, based on Pa.R.E. 201, the court will take judicial notice of the state board’s actions. These actions are the culmination of the hearing examiner’s findings and conclusions which are already part of the record in this case. The adjudications and orders are not subject to reasonable dispute because they are capable of accurate and ready determination by sources whose accuracy cannot be reasonably questioned. Pa.R.E. 201(b). A court can take judicial notice without being asked, Pa.R.E. 201(c), and judicial notice can be taken at any stage of the proceeding. Pa.R.E. 201(f).
2. DISCUSSION
In order to defeat a motion to quash or a petition for habeas corpus, the Commonwealth must establish aprima facie case against the accused. Commonwealth v. Fox,
In the informations filed against all five defendants, the Commonwealth alleges three forms of culpable conduct, that is, intentionally, knowingly, and recklessly. At page 12 of its brief, however, the Commonwealth asserts only one form of culpable conduct, recklessness. We, therefore, conclude that the Commonwealth has abandoned any theory of intentional or knowing assault and is relying entirely upon the theory of recklessness in the assault cases.
3. SIMPLE ASSAULT CHARGES
As it pertains to the facts elicited in these cases, the Pennsylvania Legislature has defined simple assault as:
“A person is guilty of assault if he:
“(1) recklessly causes bodily injury to another. . . .” 18 Pa.C.S. §2701.
Bodily injury is defined as an impairment of physical condition or substantial pain. 18 Pa.C.S. §2301. The Commonwealth has not shown any impairment of the patients’ physical condition, so it contends there was substantial pain to the residents. “Substantial pain may be inferred from the circumstances surrounding the physical force used, even in the absence of significant injury.”
Dr. Stitt is charged with two counts of simple assault. It is alleged in Count 1 that on January 30,1996, he placed
Dr. Louka Makkar is charged with two counts of simple assault. It is alleged that on November 26,1995, he placed three staples in a resident without anesthesia and on June 1,1996, he placed four staples without anesthesia. In front of the hearing examiner, it was established that Dr. Makkar placed staples without anesthesia because of this patient’s dramatic jerking which occurred during medical treatment or medical procedures. The one flap injury to be closed was in close proximity to the patient’s eye. Dr. Makkar’ was reluctant to use a needle. The stapling took 20 to 30 seconds. (Hearing officer’s findings, 6 through 15.) The other patient was very combative. In both cases, Dr. Holliman was of the opinion that the conduct of Dr. Makkar in stapling the injuries without anesthesia was a “gross deviation from the standard of care.” (Dr. Hol-liman’s testimony, preliminary hearing, March 30, Commonwealth v. Makkar, p. 5.)
In the case of Dr. Moussa, there are eight counts of simple assault, seven involving charges of stapling with
Dr. David Byers is charged in Counts 2 through 9 with inserting four to 15 surgical staples in seven different patients on seven different occasions without anesthesia. Dr. Holliman testified that in each instance placing the staples without local anesthesia was a gross deviation from the standard of care.
Our reading of the transcripts of the preliminary hearing and the findings and conclusions of the hearing examiner and of the State Board of Medicine causes us to conclude that in the instance of closing the wounds with staples without anesthesia that not one of the defendants was shown to be acting with an intent to hurt the patients. On the contrary, the defendants were attempting to treat the injury and as quickly as possible, close the wound and help alleviate the pain the residents were feeling because of their injuries. The doctors, from the evidence, believed and intended that their actions would help heal the patients and not harm them more.
To find that the defendants acted recklessly, the court must find that they consciously disregarded a substantial or unjustifiable risk that the bodily injury would result from their actions. The risk and nature of their actions must disregard the risk to the level of gross deviation from the standard of care that a reasonable person would observe in the actor’s situation. Pa. Standard Criminal Jury Instructions §15.2071(b). Clearly from the evidence, the physicians did not consciously disregard any risk to the residents. According to the findings of the hearing officer, they weighed the benefits of closing the lacerations quickly, even the Commonwealth’s expert, Dr.
We are persuaded, however, with regard to the stapling and suture simple assaults charged by the defen
“(a) General rale. — The court shall dismiss a prosecution if, having regard to the nature of the conduct charged to constitute an offense and the nature of the attendant circumstances, it finds that the conduct of the defendant:
“(1) was within a customary license or tolerance, neither expressly negatived by the person whose interest was infringed nor inconsistent with the purpose of the law defining the offense;
“(2) did not actually cause or threaten the harm or evil sought to be prevented by the law defining the offense or did so only to an extent too trivial to warrant the condemnation of conviction; or
“(3) presents such other extenuations that it cannot reasonably be regarded as envisaged by the General Assembly or other authority in forbidding the offense.” 18 Pa.CS. §312.
Whether charges should be dismissed as de minimis is directed to the sound discretion of the trial court. Commonwealth v. Eliason,
“PMS is not entering this case to defend the quality of care rendered by the accused physicians. Nor is PMS advocating that a physician should not be held accountable for providing sub-standard care. PMS asserts that the criminal justice system is not the appropriate forum to address honest errors in medical judgment. The appropriate forums for addressing deficient medical care are the civil tort system, the internal and external quality review mechanisms for health care facilities and the disciplinary proceedings by the physician professional licensing boards.” Amicus brief at 2.
While the PMS brief is more specifically directed at the recklessly endangering and the manslaughter charges,
“Every day across the Commonwealth, physicians routinely, consciously disregard a known risk of death or serious bodily injury when treating a seriously injured or gravely ill patient. They disregard such risks simply because they are keenly aware that if they do not take necessary but life-risking measures, they will be subjecting the patient to an even greater risk of death.” Amicus brief at 7.
We certainly respect the logic presented in that brief. Essentially, if a physician can be prosecuted because another physician, using 20/20 hindsight can say it was a gross deviation from the standard of care, while other physicians will say that it is acceptable practice, then such a state of affairs may indeed have a chilling effect on the ability of physicians to take chances in what they believe is to be their best personal and professional judgment. The de minimis provision of the Crimes Code, we conclude, ultimately gives the court the authority, to be used only very circumspectly, to dismiss charges where the harm imposed is not substantially great, where the sanctions that could be imposed by the system are not so substantial and the matter can be dealt with administratively and where the costs of resources devoted to trying the case may be substantial. Commonwealth v. Jackson,
We now address specifically the three distinct bases for de minimis dismissal applying section 312. We seriously question whether the Commonwealth, given the state of the evidence and the findings of the State Board of Medicine, can prove that the conduct of the defendants was outside the customary license or tolerance. As to the second basis, taking into consideration that the defendant physicians were confronted with, in all instances, minor emergencies wherein they were expected to, and did, exercise judgment in the interests of their patients, we conclude that in many instances, the risk of greater injury to the patient or to those treating the patient necessitated the quickest resolution. Arguably, the injury inflicted was so trivial as not to warrant the condemnation of conviction. We do not mean to trivialize the plight of persons who are as severely handicapped as the patients in this case, but on the other hand, reading
Another extenuating circumstance is the further invasion of privacy of these patients that will be necessitated by the public testimony about their condition, symptoms and reactions. We note that the preliminary hearing transcripts in this case use the patients’ full names. What are their rights not to have their names bandied about in the context of extremely low IQs and distasteful medical conditions? Is this public show really necessary?
For all of the foregoing reasons, we will dismiss all of the counts of simple assault.
We turn then, to the two remaining cases which are the charges of recklessly endangering, section 2705 of the Crimes Code, Count 1, brought against Dr. Byers, and recklessly endangering and involuntary manslaughter, section 2504(a) of the Crimes Code, which is Count 3 brought against Dr. Miranda. We note that the Pennsylvania Medical Society, in its brief, vigorously argues against prosecuting the physicians in this case under the charges of recklessly endangering. PMS asserts the criminal justice system is not the appropriate forum to address honest errors in medical judgment. Amicus brief at page 2. The emphasis in the brief is a physician should not be subject to criminal sanctions if they take a chance.
“The line between recklessness and aggressive medical treatment is a fine one and very difficult for a layman to discern.” Amicus brief at 5.
In all three instances, however, where we see the recklessly endangering and manslaughter statutes applied in this case, the focus is not on medical judgment but on failure to treat. In essence, the physician can be accused of abandoning the patient or not taking seriously symptoms which were obviously very serious. In the case of Count 1, as to Dr. Byers, Dr. Simons’ testimony establishes at least a prima facie case that Dr. Byers recklessly failed to treat the pneumonia symptoms of patient R.M. (Dr. Byers’ preliminary hearing transcript, March 22, 1999, Dr. Simons, pp. 64-67.) In the case of Dr. Miranda, there are two instances where he is accused of failing to treat patients. In the case of D.C., the patient was critical
Applying the standards for recklessness, as it pertains to physicians, which our Superior Court used in Commonwealth v. Youngkin,
We will deny the motions to quash and for habeas corpus in the case in the recklessly endangering counts brought against Doctors Miranda and Byers and the manslaughter count brought against Dr. Miranda.