*1 Kurt Cоry EHLINGER and Ehlinger, minors, by their Litem; Guardian ad Larry Ehlinger and Carol Ehlinger,
Plaintiffs-Appellants,
v. SIPES, M.D., Donald R. M.D., Vogel, Edward G. Bay West Gynecology Obstetrics, Ltd., & Wisconsin Patients Compensation Fund, and John Doe Insurance
Companies, Defendants-Respondents-Petitioners.
Supreme Court Argued 1, No. May 88-0806. November 1989.—Decided 1990.
(Also reported 754.) in 454 N.W.2d *4 defendants-respondents-petitioners For the there by Hickey, Mary Murphy J. were briefs filed Peter E. Whitney, Everson, andBrehm, S.C., and Bay, Everson Green Hickey. argument by and oral Mr. plaintiffs-appellants-respondents For the there was joint by Slattery, brief filed Robert A. D. Sean O'Lochlayne Slattery Hausman, Ltd., Milwaukee; & and Lynn Carey Carey, S.C., Peck & and and Oconomowoc by Slattery. argument and oral Robert A. part
DAY, J. This is a review of that
of the deci-
Ehlinger
appeals,
Sipеs,
sion of the court of
v.
148 Wis.
(Ct.
1988),
App.
2d
Mrs. to Kurt birth and on June prematurely 1978. twins were born after only thirty-two of gestation. weeks As a their prema- result of births, ture Kurt from spastic suffers quadriplegia and Cory from a hearing suffers severe with loss related speech Ehlingers allege injuries difficulties. The to Cory Sipes' Kurt and were result of Dr. negligent diagnose failure pregnancy the twin to take and mea- premature prevent delivery, sures to allegedly a common complication multiple pregnancy. cases Ehlinger previously Mrs. Sipes' been under Dr. care pregnant while 1975. The pregnancy earlier was carried and Ehlinger gave full-term Mrs. birth to a nor- mal, child. healthy Ehlinger Mrs. testified trial that during the course of her pregnancy, second several fac- suspect tors led her to might carrying she be twins. Mrs. Ehlinger stated that she felt more fatigued, suffered from earlier, back pains, felt "life" and noticeably was larger and during pregnancy. heavier than her first Mrs. Ehlin- ger symptoms testified that she related these to Dr. Sipes directly and him possible even asked if it was she Ehlinger was twins. Dr. carrying Sipes Mrs. stated that seriously" "did not take her and not worry. told her Sipes perform Nor Dr. did an ultrasound examination which, the Ehlingers allege, would have revealed the multiple pregnancy. It not was realized that Mrs. Ehlin- ger carrying was gave twins until she birth to the two children.
Dr. Sipes deniеs his failure to Mrs. multiple Ehlinger's pregnancy negligence constituted or was Cory's Kurt's injuries. Sipes cause of Dr. *6 acknowledged called as an adverse witness at trial and he importance properly diagnosing multiple preg- nancy multiple pregnancy by and that a is definition high Sipes multiple preg- risk. Dr. conceded that in a nancy premature the likelihood of birth is increased and that as a result a different course of treatment is insti- preventing premature delivery, including tuted towards warning patient possibility premature of the deliv- ery, frequent being examinations, more certain of ade- quate prophylactics, decreasing physical nutrition, use of decreasing stress, bedrest, and intercourse, emotional bringing patient hospital Sipes to earlier. Dr. injuries Cory further conceded that the to Kurt and were being prematurely. the result of their born causation, On the issue of Dr. Bernard M. Nathan- Ehlingers' part son, M.D., testified on the behalf as follows: Doctor,
Q you you let opin- me ask this: Do have an ion degree probability to a reasonable of medical as to Sipes whether or not the failure of Dr. contributing twins in this case awas substantial fac- causing premature delivery tor labor and ultimately ensued? Yes,
A I do. Q opinion? What is that My opinion A is that it was.
Q you explain jury, Could to thе Court and please. Sipes
A Dr. diagnosis Yes. Had made the of twins timely made, in a manner that should have been then prevent certain measures could have been taken to premature delivery, labor and as the Williams multiple textbook stated as one of the aims of care pregnancy. bedrest, I things putting
And conclude here such patient week, reducing to bed the 30th least activity accordingly. her And these measures would given at least her prolonging a chance at this course, pregnancy. day, Of with each with each week pregnancy area, prolonged premature in the baby being healthier, surviving chances of the [sic] are increased. Sipes case,
theAt close of Plaintiffs' Dr. moved to Ehlingers produce on dismiss the basis the failed suf- ficient evidence from which the trier of fact could deter- Sipes' alleged negligence Dr. mine that caused Kurt's *7 Cory's injuries. granted and The circuit court the concluding Ehlingers produce any motion, to failed multiple pregnancy diag- evidence that had the been Sipes rendered, nosed Dr. and treatment injuries probably the twins suffered more than not would have been lessened or mony Dr. avoided. Nathanson's testi- causation,
was insufficient to establish the circuit compen- reasoned, court because Wisconsin law does not sate for mere "lost chance." Ehlingers appealed. appeals, The court of on 323(a) (Second) Torts, of basis sec. Restatement of reversed and remanded the case for a new trial. Section 323(a) provides:
Negligent Undertaking Performance of to Render undertakes, Services. gratuitously One who or for consideration, to render services to another which he recognize necessary should protection for the person things, subject liability other's or physical resulting other for harm from his failure perform to exercise reasonable care to his undertak- ing, if
(a) his failure to exercise such care increases the risk of such harm . . ..
The court of appeals concluded that Dr. Nathan- testimony provided son's sufficient evidence from which the trier of fact could determine that Dr. Sipes' alleged negligence had "increased the risk" premature births and resulting injuries Ehlinger, would occur. Wis. 2d at 268-69. appeals The court of held that question of whether the increased risk was a substantial factor causing Cory's Kurt's and injuries was then for the trier of fact to resolve. Id. at 269.
Dr. Sipes petitioned review, this court for which was granted. We conclude that the Ehlingers produced suffi- cient present evidence to to the trier question of fact the Dr. Sipes' whether alleged negligence was a substan- tial factor causing Kurt's and Cory's injuries. We disa- however, gree, with the appeals' court of interpretation 323(a). Thus, of sec. reviewed, on the issue we reach the same conclusion as appeals, the court of though on a basis, different accordingly we affirm.
The "increased risk" theory the court
appeals
followed
this case is one of several approaches juris-
dictions have
taken
attempting to address the causa-
problem presented
tion
generally Perdue,
here. See
Recovery
a Lost Chance
Survival: When the Doc-
for
Gambles,
Stakes?,
tor
Up
Who Puts
28 South Texas
(1987); Andel,
Law Review
45-46
Medical Malprac-
*8
Right
tice: The
to Recover
the Loss
a Chance
for
of
Survival, 12 Pepperdine
973,
(1985).
Law Review
978
jurisdictions
Several
have taken
approach
the
in
present
order to
the
question
causation
to the trier of
fact,
plaintiff
only
need
introduce evidence that
defendant's negligence deprived
of a "sub-
possibility"
stantial
avoiding
or lessening the harm.
See, e.g.,
Counselman,
Roberson v.
235 Kan.
686
(Kan. 1984);
P.2d 149
Hadley
Daniels v.
Memorial Hos-
(D.C.
pital,
1977);
Milner,
9
(8th
1970);
States,
If possibility there was substantial of survival it, destroyed and defendant has he is аnswerable. Rarely possible is it an demonstrate to absolute certainty happened what would have circum- wrongdoer stances that the did not allow to come to pass. The not in existing law does circumstances certainty require to show to a that the patient would hospitalized have lived had she been operated promptly. on Hicks, 368 F.2d at (emphasis original).
Other jurisdictions have viewed the loss an opportunity as creating for treatment a new cause of See, e.g., States, action. James v. United F. Supp. (N.D. 1980). Damages Cal. are in propor- awarded tion to the likelihood of success that treatment approach would have This supported by had. an oft- quoted Causation, commentator the field. See King, Valuation, and Chance in Injury Personal Torts Involv- *9 ing Preexisting Consequences, Conditions and Future (1981). 90 Yale L.J. 1353
A diminishing
jurisdictions
number of
have taken
See, e.g., Pillsbury-Flood
an
nothing" approach.
"all or
299,
Hospital,
v. Portsmouth
128 N.H.
A
jurisdictions
number of
like the court of
323(a),
appeals, applied
jurisdictions
sec.
but these
have
interpretations
differed
their
of how the "increased
theory applies
minority
risk"
case such
this. A
as
interpreted
323(a)
jurisdictions
compensat-
have
sec.
as
See, e.g.,
ing
opportunity
for the lost
for treatment
itself.
Inc.,
v. Saint Francis
McKellips
Hosp.,
This court has
of sec.
Co.,
530,
See Sanem v. Home Ins.
119 Wis. 2d
350
(1984).
Sanem,
prior
duty
N.W.2d 89
Even
to
in
323(a)
long
described
sec.
been the common-law
in
rule
v.
Hosp.,
Wisconsin. See Johnson Misericordia
521, 561,
(Ct.
1980),
Wis. 2d
App.
97
We
conclude
the evidence
this
was suffi-
case
cient under current
present
Wisconsin law to
the causa-
question
tion
to
the trier
fact. To establish causation
Wisconsin,
proving
bears the burden of
the defendant's negligence was a substantial
factor
in causing
harm. Merco Distg. Corp. v.
Co.,
Com'l.
455, 458,
Police Alarm
84 Wis. 2d
(1978).
phrase
N.W.2d 652
"The
'substantial
factor'
denotes that the
has
defendant's conduct
such an effect
in producing
fact,
the harm
trier
lead the
as a
person,
regard
cause,
reasonable
it as a
using that
popular
word
sense." Id. at 458-59. The test has
been
one
significance
described as
rather
quan-
than
Prosser,
Torts,
41,
turn. See
Law
sec.
at 240 n.29.
" 'All
required
that is
in negligence
plain
cases is for the
present probable
tiff to
facts
negligence
from which
"
may
reasonably
Johnson,
causal relations
be
inferred.'
Zimbelman,
Dr. satisfy contends that order to their production causation, burden of on the issue of Ehlingers must show that a proper diagnosis been appropriate rendered, made and treatment it is more probable Cory than not Kurt and would suf- not have fered their or injuries injuries their would have been less less, requirе asserts, severe. Dr. anything Sipes To would specu- allow the issue of causation to be decided on mere conjecture. disagree lation and We that to cau- establish Ehlingers proper diagnosis sation the must show that and treatment would have been successful. We conclude nature, that a case of this where the causal relation- ship negligence between the defendant's and the alleged plaintiffs only by surmising harm can be inferred as to plaintiffs what the condition would have been had the care, ordinary defendant exercised satisfy his or her causation, of production burden on need only show that the omitted treatment was intended resulted, very prevent type of harm which 13 treatment, would have submitted to the probable it is more than not the could treatment plaintiffs have lessened or injury avoided the had it been rendered. It then for the trier fact to determine whether negligence defendant's was a substantial plaintiffs in causing factor harm.
A physician is not an
or guarantor
insurer
of the
a diagnosis,
correctness of
but
or
he
she must exercise
338;
and skill. Id.
care
see
v.
also Francois
Mokrohisky,
196, 201,
67
2d
226
Wis.
N.W.2d
(1975); DeSham v. Taugher,
446, 449,
183 Wis.
(1924).
N.W. 268
A negligent diagnosis
followed
improper treatment
is actionable where it is a substan
tial
in causing
factor
Carson v.
injury.
Beloit,
282, 291,
(1966).
Wis. 2d
Causation is a
of fact.
at
Wis. 2d
A459. motion to dismiss for insufficiency of the evi-
dence should not be granted "unless there is no credible
evidence to support
finding
plaintiff
for the
when all
credible evidence and reasonable inferences therefrom
in
are
light
considered
the
plain-
most favorable to the
Downs,
tiff." Christianson
332, 334-35,
v.
90 Wis. 2d
(1979).
In
decisions,
several
this court affirmed dismissal plaintiffs
the
action on the
plaintiff
basis the
made no
showing that
the defendant
failed to conform to the
See,
appropriate
e.g., Christianson,
standard of
care.
337; Carson,
Wis. 2d at
In Bailey, plaintiff alleged the Dr. Pitts' failure to timely operate upon eye her condition resulted in her losing sight eye. one plaintiffs expert testifiеd operation that had an been performed 10, on December 1966, there was good "a chance that her eyesight may saved," have been although there was guarantee "no that that would eye the ..." This court did [have] save[d] not reach the issue of the sufficiency of the evidence on causation, however, because it had been established plaintiffs trial sight irretrievably had been lost she first consulted with Dr. Pitts on Decem- before 1966. Id. at 97. ber Dettmann,
In
plaintiff
suffered from cancer and
brought suit alleging the defendant had negligently failed
upper
a mass
and outer area of her
breast,
right
away
In
from the areola.
a subsequent
examination, a cancerous mass was
diagnosed
the are-
ola area
the same breast. Despite
claim
same,
that the masses were the
all of the
experts
medical
who
in agreement
testified were
there existed two
separate
masses. This court held failed to
relationship
establish a causal
between
defendant's
alleged
negligence
the first examination
injury
and her
produce any
because
failed to
credible evi-
*13
upper right
dence that the mass in the
of her breast was
same as
proved
that which
cancerous. Id. at 741.
Thus, there was no evidence that the
alleged
defendant's
negligence
any
relationship
causal
whatsoever
Compare Merco,
harm.
In only two failure diagnose Schuster and Dumer v. St. Michael's Hosp., 69 Wis. 2d (1975), N.W.2d 372 did this court specific address the question causation at issue here. Schuster,
In Mrs. Schuster was psychiat- under the ric care, care the defendant. During course of her fatally injured Mrs. Schuster was in an automobile acci- dent which she was the Mrs. driver. daugh- Schuster's ter, plaintiffs, one of the was a passenger the automo- bile and a result of paralyzed. the accident was The plaintiffs alleged the negligently defendant to diag- failed nose Mrs. psychotic Schuster's condition and take action, appropriate including commitment, seeking medication, administering proper and warning the family Schuster of the risks associated with Mrs. Schuster's condition. The plaintiffs alleged farther the defendant's negligence was a substantial factor causing the automobile accident. The circuit court dis- complaint. missed the This court and held the reversed plaintiffs' complaint stated cause action for negli- gent treatment, diagnosis and stating: only allegations negli- distinction between the
gent diagnosis present treatment and in the case malpractice those which constitute most claims is the type However, of harm negligent which resulted. failure to properly psychiatric or treat a may condition constitute the cause-in-fact of harm to patient parties and third if can it be established that with diagnosis and treatment *14 could patient's condition and behavior have been corrected or controlled.
Id. (emphasis added). at 230 This court held that whether the was defendant in negligent diagnosing and treating Mrs. Schuster's condition and whether alleged negligence was a substantial factor in causing the plaintiffs' questions for injuries were the trier of fact to resolve. Id. 231. Dumer, analogous Dumer. In closely
More Mrs. Dumer sought treatment from the defendants for a rash. The defendаnts misdiagnosed the condition as an aller- At the gic reaction. time Mrs. Dumer approximately was pregnant. one month The condition later proved to be born, rubella and when Mrs. Dumer's child suffered from syndrome. rubella Mrs. Dumer brought seeking suit damages for the deformity costs sustained of because and defects of the Mrs. Dumer child. alleged defend- had negligently ants to failed the rubella and possible warn her of the disease's effects upon preg- her nancy. In complaint, her Mrs. Dumer stated informed, she been so she have sought would an abortion prevent the birth. The circuit court dismissed the reversed, This complaint. court reasoning that sufficient аlleged facts had been to conclude the defendants were rubella, negligent not diagnosing the inquiring as pregnant, whether Mrs. Dumer warning was and her of Id. the possible upon effects of the disease pregnancy. complete at 776. This court further stated that "[t]o of cause action must then convince the they trier fact that sought would have and submitted to an abortion of the wife and that the abortion [would legally available to them.'' Id. been]
Schuster and Dumer are distinguishable from the case, In respect. part case here one each omitted treatment, Schuster psychiatric an commitment Dumer,
abortion
such
its
a nature that
suc-
instituted,
cess, if
was a matter of
certainty.
reasonable
inBut
neither case was the success of the omitted treat-
necessary
plaintiffs'
ment considered
to the
burden of
production on
In
causation.
a case such
presented
here, where
given
malady
natures
and omitted
if
treatment
the success of the treatment
instituted is
*15
matter
certainty,
place
not a
of reasonable
we refuse to
upon
plaintiff
an injured
of proving
burden
what
probably
more
than not would
happened
have
had the
negligent.
defendant not been
While the
bur-
present
den
question
to
the causation
to the
of
trier
fact
required,
is less than otherwise
and to that extent does
involve some measure of
uncertainty,
have
courts
in
generally
allowing
been liberal
the trier of fact
to
determine whether the defendant's negligence caused the
sec,
Prosser,
in
plaintiffs injury
such
See
circumstances.
41,
242-43;
Hicks,
(".
also
see
368
at 632
.
F.2d
n.3
.
if
might
victim
by
have been
precaution
saved
a
omitted,
which the
negligently
defendant
the omission is
harm,
deemed to have caused
though
even
is not
it
possible to
conclusively
precaution
demonstrate
that the
victim.").
fact
would
have saved the
Greater uncer-
tainty would
if
expert
required
be involved
an
were
to
testify
probably
to what mоre
than not would have
happened had the
appropriate
defendant
rendered
care.
Herskovits,
See
previ-
P.2d at 478. We find the rule
ously
products
stated in
liability
context
that "[t]he
required
plaintiff
prove
law of this state has never
a
to
negative
of
injuries
fact
what the
would
been
have
applicable
had there been no
equally
defect"
here.
Sumnicht,
'A rule of law which a to what portion by party of indivisible harm was caused each might happened and what have lieu what did requires happen speculation proof obvious of the impossible. approach This converts the common law governing principles legal rules causation into a uncertainty.' morass confusion and Id. at (quoting Volkswagenwerk, Mitchell v. (8th 1982). F.2d 1204-05 Cir. The difficulties proving involved a negative preva- fact are especially lent a malpractice medical involving case a physician's misdiagnosis. profession The medical is not an exact and its science members are subject liability not for Francois, mere unfavorable results. See 67 Wis. 2d at Physicians 201-02. not guarantors are insurers or See their work. id. require Yet to a in a case of type prove this probably what more than not would happened had the defendant not been negligent that, require just еxpert would testimony physician a speculating particular as to treatment, the success of a inherently incapable fact which of proof to a reasona- certainty. ble negligent "When defendant's action or *16 effectively inaction has person's terminated a chance of survival, it does not lie in the defendant's mouth to raise conjectures as to the measure of the chances that he has Hicks, put beyond possibility the of realization.” 368 632; F.2d at see McKellips, also at 741 P.2d 474. Sipes Dr. contends that the evidence here fails for plaintiffs the same reason as the evidence Merco. We Merсo, do not Merco a the Ehlingers' find bar to case. In plaintiffs insufficiency the case was for dismissed the evidence the plaintiff prove because failed to when the burglary occurred, Merco, positive 84 2d fact. Wis. Here, alleged in proof Ehlingers' 460. the failure is the inability prove importantly, a negative fact. More Merco, occurred, burglary proof absent of when the there was no from which the basis trier fact could probable
infer that it was more than not that the defen- negligence any relationship dant's causal whatsoever to the harm. Id. at 460-61. In a case such as presented by showing here, we conclude thаt that the prevent very omitted treatment was intended to plaintiff resulted, harm which that the would have sub- treatment, mitted to the and that the treatment could harm, lessened or avoided the estab- alleged negligence lishes a sufficient nexus between the and harm to allow the trier of fact to determine whether alleged negligence causing was a substantial factor in the harm. appeals
The court of has twice considered cases addressing sufficiency of the evidence on causation presented in circumstances similar to that here. Gegan In Backwinkel, v. Wis. 2d (Ct. App. 1987), plaintiffs brought N.W.2d alleging suit negligently the defendants had failed to Gegan's perforated and treat Mr. bowel, a condition physicians which resulted his death. Two testified on plaintiffs' negligence behalf that the defendants' causing Gegan's a substantial factor in Mr. death. The jury causally negligent. found the defendants appealed, contending defendants there was no evidence degree certainty to a reasonable of medical, negligence Gegan's defendants' caused Mr. death. The appeals court of affirmed on the basis there was credible supported jury's evidence which verdict. Id. at 899. appeals required The court of was not to address the precise questiоn here, however, what measure of evi- required satisfy dence is for the his or her production present burden of on causation order to *17 expert the fact, issue to the trier of because there was testimony Gegan that had Mr. received care the
20 that he likelihood would have survived was better than ninety percent.
In
Schammel,
763,
Finn v.
140 Wis.
2d
N.W.2d
(Ct.
1987),
App.
the plaintiff
the
alleged
defendant
negligently failed
do
necessary
certain acts
for the
reimplantation of
fingers
plaintiff
several
severed
work
a
accident. The defendant contended
fin-
that
gers
badly
had been so
damaged that whether the defen-
dant had been negligent wаs
A special
irrelevant.
instruction asked
jury
they
whether
believed to a
certainty
reasonable
reimplantation
of one or more
of the
fingers would have been successful. The
jury found the defendant negligent
spe-
but answered the
cial instruction
The
spe-
"No."
circuit court struck the
cial instruction answer and directed a verdict for the
plaintiff, reasoning
plaintiff
to damages
entitled
irrespective
reimplantation
of whether
would have been
appeals reversed,
successful. The court of
stating that
the "loss of
compensable
a chance" alone is not
in Wis-
appeals
consin.
court of
viewed Wisсonsin law as
adhering
nothing" approach.
to the "all or
Id. at 771-74.
appeals
The court of
interpreted this court's
decisions
Bailey
Wisconsin,
and Lobermeier v. General
Co.
Tel.
(1984),
2dWis.
We with disagree interpreta- the court Lobermeier, Bailey Finn. tions of and over-rule Bailey Neither nor Lobermeier stand for the rule that a case of this nature must establish that treаtment more probably omitted than not would have *18 plaintiffs lessening or the avoiding in successful been recovery Bailey, plaintiff was denied In the injuries. plaintiff that the uncontroverted it was because eye in her she irretrievably sight lost the already before by the defendant. Bai treated negligently allegedly was Thus, proper care the ley, 2d at 97-98. 59 Wis. Lobermeier is could not have been successful. defendant recov plaintiff sought there the distinguishable because by the proper which care ery for other than that harm Lobermeier, In prevent. the intended to defendant was hearing loss as a result of the defen sustained a plaintiff аlleged that the further negligence. dant's opportunity him deprived of the negligence defendant's in and he to recover journalism sought a career pursue recovery on the basis earnings. This court denied future wholly speculative, holding that recov damages the were if in only plaintiff proved be had a career ery could Lobermeier, 119 reasonably certain. Wis. journalism was 152. 2d at in appeals' the court of conclusion disagree
We with follows of this nature Wisconsin law Finn that a case this, In approach. a case such as nothing" the "all or proper treatment more plaintiff need not show not would have been successful lessen- probably than injuries prerequisite as a ing avoiding or production on the issue of his or her burden of satisfying requirements previ- other In addition to the causation. noted, is that ously required all that or could have lessened proper treatment establish Hicks, Compare 368 F.2d plaintiffs harm. avoided the of the may fact consider evidence 632. The trier of determining of success of treatment likelihood in caus- a substantial factor negligence whether it was not harm, may yet conclude that ing the injuries irrespective because the would have occurred (Second) negligence. Torts, See Restatement sеc. comment If 432 and b to that section. the defendant's negligence is found to have been a substantial factor causing may harm, trier of fact also consider *19 proper evidence the likelihood of success of treatment determining damages the amount of be to awarded. By appeals Court —The decision the court of affirmed; is and for cause remanded a trial. new (concurring). agree
STEINMETZ, J. I with the majority that the case should be remanded for newa clarify interpret I I trial. write to the law as it. plain- The trial court was error to hold that Ehlinger, prove proper tiff, to Carol that treatment given care, which was hеr not to as a Dr. result of Sipes' pregnant to conceded failure she was twins, with would to have worked avoid the children's prove The conditions. does not have to non-negligent result would have been if different care provided. had been showing test,
Under the substantial factor provided proof medical care not is sufficient negligent conduct increased risk and deprived patient opportunity continuing of the for pregnancy. issue one of a normal substantial factor. The prove does not the ratio of success opportunity proof the absent care. The lost line of constituting proof be should considered as sufficient jury theory create issue under the substantial factor causation. majority.
I concur with the
