delivered the opinion of the court:
The plaintiff, Richard Kus, brought suit against the defendants, Sherman Hospital, Dr. Gordon Vancil, Americal International Corporation (Americal), and Surgidev Corporation (Surgidev), alleging negligence and medical battery relating to the implantation of intraocular lenses. The plaintiff entered into settlement agreements with Dr. Vancil, Americal, and Surgidev, and they are no longer parties to these proceedings. Kus’ suit against Sherman Hospital proceeded to a jury trial, where the trial court granted a partial directed verdict for the hospital, dismissing a count charging the hospital with medical battery and a count charging the hospital with negligence in failing to respond adequately to a product recall involving the lens manufactured by Americal. A third count, based upon a negligence theory of lack of informed consent, went to the jury, which rendered a verdict for the hospital. The plaintiff appeals. We affirm in part, reverse in part, and remand.
Prior to the plaintiff’s intraocular lens implantations, pursuant to the medical staff bylaws of Sherman Hospital, an institutional review board (IRB) was established at the hospital to protect the rights of patients who were human subjects of research. One of the functions of the IRB was to "require that a legally effective informed consent is obtained prior to conducting a research project.” The bylaws of the IRB gave it "purview over all research or investigative activities” and reserved the right to "review the progress of all continuing studies *** for the purpose of safeguarding the rights of human subjects.” Dr. Richard Fiedler chaired the Sherman IRB from 1978 to 1984 and testified that the purpose of the IRB was to make sure that the patient who was undergoing the procedure knew what he was getting into. Fiedler agreed that the IRB had the power to stop unsafe investigative practices. Specifically, Fiedler admitted that the IRB could stop a doctor from using consent forms which were not approved under the protocol for that specific research.
On March 5, 1980, Fiedler, on behalf of the IRB, issued a directive to all operating eye surgeons, including Dr. Vancil, which stated that "the original or a copy of the Informed Consent Form be on the chart of each patient undergoing an intraocular lens implant.” On June 4, 1984, Fiedler issued a second directive to the same group of surgeons, which specified:
"It is *** mandatory that prior to the insertion of one of these lenses that the hospital have a copy of the informed consent signed by the patient so that the lens can be implanted. Without the hospital’s having the informed consent in its possession prior to the surgery, the surgery will not be allowed.”
The consent form referred to was the FDA-approved consent, detailed below.
The plaintiffs vision began to deteriorate in 1984, and he first went to see Dr. Vancil in January 1985. Vancil recommended cataract surgery and a lens implant, which, he allegedly told Kus, were "quite safe.” Kus testified that Vancil never told him that the lens Vancil intended to implant was under investigation for safety and effectiveness. Indeed, Vancil gave Kus a booklet which described intraocular lens implant surgery as a "tried and true method” of vision correction after cataract surgery. Prior to surgery, in Vancil’s office, Kus was presented with an informed consent document to read over and sign, which Kus did. The informed consent document which Kus signed had been modified from the FDA-approved and Sherman IRB-sanctioned consent form by the removal of a paragraph on "clinical investigation,” which was meant to inform the patient that the lens was under investigation for safety and efficacy. The consent form which Kus signed was then placed in his chart at Sherman Hospital. Eye surgery proceeded on July 15, 1985. Kus entered the operating room at 9:55 a.m., and surgery commenced at either 10:20 or 10:30 a.m., ending at 11:30 a.m. Vancil implanted an intraocular lens manufactured by Americal into Kus’ left eye. On that same day, July 15, 1985, a letter from Americal arrived in the office of the president of the hospital, John Graham. The letter was addressed to the IRB chairperson and indicated that, by order of July 3, 1985, the FDA had withdrawn Americal’s investigational device exemption for a number of lenses, including the type implanted in Kus’ left eye, and stated that, "FDA has ordered that further implantations of Americal’s IOLs be stopped and returned to Americal as soon as possible.” There was no evidence presented as to the time the letter was actually received. Graham testified that if mail is not addressed to him but to the IRB chairperson, it could be received by his office as late as 3 or 4 p.m. Graham’s secretary typically opens the mail and distributes it, and sometimes Graham’s secretary does not open the mail until the afternoon. Graham further testified that he did not think his secretary would have opened the mail, or have taken appropriate action with regard to the recall letter, within half an hour of receiving it.
When the plaintiffs vision deteriorated in his right eye, Vancil again recommended the implantation of an intraocular lens, this time one manufactured by Surgidev, which at that point had not been recalled. When Kus questioned Vancil as to why Vancil did not recommend the Americal lens for the right eye, Vancil responded that Americal "did not keep up with their paperwork.” Surgery on the right eye commenced on January 15, 1986, with allegedly no consent form in Kus’ hospital chart. Kus claimed he signed the consent form 2 to 10 days after the surgery, and the form then appeared in his hospital chart. Similar to the form for the surgery on Kus’ left eye, the consent form for the right eye surgery was also modified, and the form made no reference to the fact that the lens was being evaluated for safety and effectiveness.
A receptionist for Dr. Vancil testified that the reason the informed consent forms were missing the section on "clinical investigation” was that Vancil directed the office staff to remove language from the consent form approved by Sherman Hospital’s IRB because "he didn’t want it on there.” This removal was done for all of Vancil’s 43 patients who underwent intraocular lens surgery at Sherman Hospital. A subpoena was issued for Dr. Vancil to testify, but it was returned not served.
The Medical Device Amendments of 1976 (MDA) to the Food, Drug and Cosmetic Act of 1938 authorize the Secretary of Health and Human Services to promulgate a regulatory scheme for the clinical investigation of experimental devices under an investigational device exemption. (21 U.S.C. § 301 et seq. (1988).) The purpose of such exemptions is:
"[T]o encourage, to the extent consistent with the protection of the public health and safety and with ethical standards, the discovery and development of useful devices intended for human use and to that end to maintain optimum freedom for scientific investigators in their pursuit of that purpose.” 21 U.S.C. § 360(j)(g)(1) (1988).
In the year following the enactment of the MDA, the FDA issued regulations providing for "Investigational Exemptions for Intraocular Lenses.” (21 C.F.R. § 813.1 et seq. (1993).) The regulations detail the application process by which intraocular lenses can be implanted into human subjects. Under the terms of the regulations, Sherman Hospital was an "institution,” which is defined as a hospital which "engages in the conduct of research on human subjects.” (21 C.F.R. § 813.3(i) (1993).) The IRB of an "institution” is charged with the responsibility to review and monitor all investigational studies of intraocular lenses. (21 C.F.R. § 813.60 (1993).) Specifically, the IRB:
"[Shall] assure that the rights of human subjects are properly protected, that legally effective informed consent is obtained, and that the method of obtaining consent properly informs the human subject of the significant aspects of the study in accordance with Part 50 of this chapter.” (Emphasis added.) (21 C.F.R. § 813.66(a)(6) (1993).)
Part 50, dealing with IRB’s, requires that each subject be provided with basic information, including:
"A statement that the study involves research, an explanation of the purposes of the research and the expected duration of the subject’s participation, a description of the procedures to be followed, and identification of any procedures which are experimental.” (Emphasis added.) (21 C.F.R. § 50.25(a)(1) (1993).)
Part 50 also requires that informed consent be "documented by the use of a written consent form approved by the IRB and signed by the subject.” (21 C.F.R. § 50.27(a) (1993).) The IRB’s are also required to conduct "continuing review of research” on at least an annual basis, which includes the duty to review the informed consent process. (21 C.F.R. § 56.109 (1993).) In the case at bar, the defense’s expert witness, Earnest Prentice, admitted that, if Sherman Hospital’s IRB had audited any of Dr. Vancil’s charts in the 1½ years before Kus’ surgery, the IRB would have discovered Vancil’s use of the modified consent form. Additionally, Prentice admitted that a choice existed at Sherman Hospital by September 1, 1983, between an FDA-approved lens and the experimental lenses which were implanted into Kus’ eyes.
After the implants in Kus’ eyes allegedly caused difficulty and permanent damage due to their design, Kus filed suit against Sherman Hospital, alleging, in part: (1) medical battery, (2) negligence under a lack of informed consent theory, and (3) negligence for failing to respond adequately to a product recall involving the lens manufactured by Americal. The trial court dismissed the medical battery and negligence involving the recall claims by directed verdict. The jury returned a verdict for the hospital on the negligence count for the lack of informed consent.
The first issue to which we turn involves the scope of the preemption clause of the MDA. While other jurisdictions have probed the preemptive reach of the MDA, our research reveals that Illinois courts have yet to encounter this issue. Article VI of the United States Constitution declares that Federal law "shall be the supreme Law of the Land; and the Judges in every State shall be bound thereby, any Thing in the Constitution or Laws of any State to the Contrary notwithstanding.” (U.S. Const., art. VI.) As a result, State or local laws that conflict with Federal law and regulations are "without effect.” (Cipollone v. Liggett Group, Inc. (1992),
Federal laws can invalidate State or local laws in three ways. First, Congress’ intent may be " 'explicitly stated in the statute’s language or implicitly contained in its structure and purpose.’ ” (Cipollone,
Bearing these principles in mind, we turn to the language of the MDA, which states:
"(a) General Rule
Except as provided in subsection (b) of this section, no State or political subdivision of a State may establish or continue in effect with respect to a device intended for human use any requirement—
(1) which is different from, or in addition to, any requirement applicable under this chapter to the device, and
(2) which relates to the safety or effectiveness of the device or to any other matter included in a requirement applicable to the device under this chapter.” (21 U.S.C. § 360(k) (1988).)
Thus, States may not impose requirements differing from or adding to the FDA requirements which relate to the safety or effectiveness of the device in question. A State "requirement” may stem from any requirement established by a State, including statutes, regulations, ordinances, or court decisions. 21 C.F.R. § 808.1(b) (1993); see also San Diego Building Trades Council, Millmen’s Union, Local 2020 v. Garmon (1959),
The field of preemption established by the MDA has been interpreted to be "broad, but limited.” (King v. Collagen Corp. (1st Cir. 1993),
The MDA does not, however, preempt other State claims which do not relate to the safety or the effectiveness of the experimental device. With respect to intraocular lenses, Judge Posner has written that the preemptive provisions of the MDA do "not affect cases charging negligence in the implantation or removal of a lens, or complaining of contamination of the lens by bacteria or fungi or of failure to obtain the patient’s informed consent due to the procedure.” (Emphasis added.) (Slater,
Turning now to the other issues in the case, the standards for granting directed verdict motions in this State are clear. Verdicts should be directed only in those cases in which all of the evidence, when viewed in a light most favorable to the opponent, so overwhelmingly favors the movant that no contrary verdict based on the evidence could ever stand. (Thacker v. UNR Industries, Inc. (1992),
With these guidelines in mind, we agree with the plaintiff that the trial court erred in granting a directed verdict on the plaintiff’s medical battery claim. Clearly, the medical battery claim is warranted under existing law. In Illinois, two causes of action exist for lack of consent to medical procedures — an action based on negligence and an action based on battery. (Mink v. University of Chicago (N.D. Ill. 1978),
In the case at bar, we determine that a hospital, as well as a physician, may be held liable for a patient’s defective consent in a case involving experimental intraocular lenses, and thus the plaintiff’s claim is therefore viable. Two of our sister States have recently considered this very issue. While we are not bound by their decisions (Snyder v. Ambrose (1994),
We find the reasoning of the Friter court persuasive. (
Our review of the record in the present case reveals that the plaintiff had also presented sufficient evidence to tender his medical battery claim to the jury. This court has held, "[i]t is improper to direct a verdict when substantial factual disputes presented by the evidence require the assessment of witness credibility or the election between conflicting evidence, which fall within the jury’s function.” (Sloan v. O’Dell (1987),
The plaintiff also claims that the jury verdict for the defendant with respect to the plaintiff’s negligence claim for lack of informed consent is subject to reversal due to an incorrect jury instruction. We agree. The trial court instructed the jury that "[t]he only way you may decide that Sherman Hospital had a duty to determine that Richard Kus had given his informed consent is if you conclude that such a duty was imposed by federal laws and regulations presented to you at this trial.” This instruction was in error, for " '[wjhether under the facts of the case there is a relationship between the parties as to require that a legal obligation be imposed upon one for the benefit of another is a question of law to be determined by the court.’ ” (Rowe v. State Bank (1993),
The defendant contends that Kus waived the instruction issue by not objecting to the instruction and not raising it in his post-trial motions. We disagree. Generally, the failure to object to alleged defects in the instructions is considered a waiver of the objection. (Deal v. Byford (1989),
The plaintiff finally argues that the trial court erred in granting a motion for a directed verdict on the plaintiff’s claim that the hospital was negligent in failing to stop the July 15, 1985, operation, which occurred at either 10:20 or 10:30 in the morning, in light of the recall notice the hospital received on that same day. We disagree. Kus has failed to present sufficient evidence which would preclude a directed verdict on this count. Kus relies upon the testimony of Sherman Hospital’s president, John Graham, that the mail may arrive as early as 9:45 in the morning. Graham did not state, however, that the mail always arrived at 9:45 a.m. or that the mail in fact arrived at 9:45 a.m. on July 15, 1985. It is sheer speculation that the recall notice reached Graham’s office by 9:45 a.m., or even 10:30 a.m. Speculation, imagination, and mere conjecture do not give rise to liability. (Kalata v. Anheuser-Busch Cos. (1991),
For the foregoing reasons, the decision of the circuit court of Kane County to grant a partial directed verdict for the defendant on the count that Sherman Hospital was negligent in failing to stop the July 15, 1985, operation is affirmed. The circuit court’s decision granting a partial directed verdict for the defendant on the medical battery count and the jury’s verdict on the negligent failure to obtain informed consent claim are reversed, and the cause is remanded for further proceedings consistent with this opinion.
Affirmed in part; reversed in part and remanded.
INGLIS and GEIGER, JJ., concur.
