Lead Opinion
OPINION
I. INTRODUCTION
Ruth Ward was admitted to Fairbanks Memorial Hospital for the birth of her fourth child. She was treated under the care of her
II. FACTS AND PROCEEDINGS
Ruth Ward was admitted to Fairbanks Memorial Hospital (FMH) on May 27, 1989, for the birth of her fourth child. Complications following the birth caused substantial blood loss, and over the next several days she received eight units of transfused blood. Six of the units came from the FMH blood bank, and two were provided by the Blood Bank of Alaska. In December 1992 Ward was diagnosed with hepatitis C, a blood-borne liver disease.
Ward received her prenatal care from Dr. Lawrence Dunlap at Tanana Valley Clinic (TVC). Dr. Dunlap also had provided prenatal care to Ward for two of her previous pregnancies, and in tMs instance was her treating physician from the pregnancy test through delivery. Ward’s first contact with FMH was on May 27, when she went into labor and checked herself in through FMH’s emergency room. She was admitted to the maternity ward under Dr. Dunlap’s care.
While at FMH, Ward was treated by Dr. Dunlap and Drs. Ralph Wells and Owen Hanley. Each physician ordered blood transfusions for Ward at FMH. None of the tM’ee physicians has an employment contract with FMH, maintains an office there, or is a member of the group of physicians that staffs the emergency room. Each has staff privileges at FMH allowing him to admit and treat his patients there and see other patients in consultation. Drs. Wells and Han-ley are associated with TVC. They treated Ward because she was under the care of Dr. Dunlap, a shareholder of TVC.
Ward began to experience symptoms of hepatitis shortly after receiving blood at FMH. She sued FMH in December 1993, alleging negligence in the testing of the blood. Ward amended her complaint to add Blood Bank of Alaska as a defendant and to allege failure by FMH to obtain her informed consent for the blood transfusions. In January 1995 the superior court granted FMH’s motion for summary judgment on Ward’s claim that FMH was negligent in testing the blood.
In February 1996 the superior court granted summary judgment to FMH on all of Ward’s rеmaining claims. In so doing, it noted that two issues were addressed by the parties’ cross-motions for summary judgment:
1. Does a hospital have an independent duty to obtain a patient’s informed consent for a blood transfusion ordered by a physician who is not an employee of the hospital; that is does the hospital have a non-delegable duty to ensure that a non-employee physician has obtained a patient’s informed consent for a blood transfusion?
2. Can a hospital be held liable for acts or omissions of a non-employee physician (an independent contractor physician) based on apparent authority?
III. DISCUSSION
Ward seeks recovery against FMH for its failure to obtain her informed consent before her Seating physicians ordered blood transfusions. In support of her claim, Ward asserts fivе theories of liability, including corporate negligence,
A. Standard of Review
Because all claims were resolved by the superior court on summary judgment, we review the court’s decision de novo. See Alaska Continental, Inc. v. Trickey,
B. FMH Is Not Liable under the Nonr-Delegable Duty to Provide Quality Emergency Care or under a Theory of Apparent Agency.
Alaska is the only state that imposes on hospitals a nondelegable duty to provide quality emergency medical care. Unless the patient selects the physician herself, a general acute care hospital will be liable for the physician’s negligence in the emergency room. See Jackson v. Power,
Other jurisdictions rely оn the theory of apparent agency to establish hospital liability for the negligence of independent contractor physicians. We described this doctrine in Jackson:
One who employs an independent contractor to perform services for another which are accepted in the reasonable belief that the services are being rendered by the employer or by his servants, is subject to liability for physical harm caused by the negligence of the contractor in supplying such services, to the same extent as though the employer were supplying them himself or by his servants.
Id. at 1380 (quoting Restatement (Second) of Torts § 429 (1965)).
Despite the separate theoretical underpinnings of apparent agency and Alaska’s non-delegable duty doctrine, in practice each theory will create liability in thе same circumstances.
Application of this standard to the facts of this case shows that FMH is not liable to Ward. Ward was treated by her own physician in an emergency room provided for the convenience of the physician. Although she received the injurious transfusions at FMH, she was there under the care of her personal physician, Dr. Dunlap. He is not an employeе of FMH and was not provided by the hospital. He is Ward’s obstetrician, he treated her during two of her previous pregnancies, and he was her treating physician in this case from her pregnancy test through birth of the child. We conclude that FMH is not liable for any negligence of Dr. Dunlap in failing to obtain Ward’s informed consent under the non-delegable duty doctrine.
The patient-selected physician exception to hospital liability also extends to Drs. Wells and Hanley. Both physicians ordered transfusions for Ward. However, Drs. Wells and Hanley treated Ward at FMH only because she was under the care of Dr. Dunlap; all three physicians are associated with TVC. Because Ward was treated only by her own physician and his associates in an emergency room provided for their convenience, FMH cannot be held liable fоr the physicians’ possible negligence under the non-delegable duty doctrine.
C. Blood Banks Do Not Have a Duty-to Obtain the Informed Consent of Prospective Patients.
Ward argues that as an operator of a blood bank, FMH had a duty to obtain her informed consent. First, Ward contends that Alaska regulations governing hospital blood banks require a hospital to obtain the patient’s informed consent. Second, Ward
As an initial matter, the Alaska Administrative Code is not as explicit as Ward contends. It provides that a general acute care hospital’s medical staff must adopt rules providing for appointment of a committee on transfusions. See 7 Alaska Administrative Code (AAC) 12.110(b)(2) (1997). Hospital laboratories are governed by 7 AAC 12.790-.850. Section 12.790(f) provides:
A laboratory must have or have readily available from another source blood and blood products. A laboratory must maintain storage areas for blood and blood products under adequate control and supervision.
Section 12.850(e) provides:
Virology services must be in compliance with the following requirements:
(1) systems for the isolation of viruses and reagents for the identification of viruses must be available to cover the entire range of viruses which are etiologically related to those clinical diseases for which laboratory testing services are offered.
These regulations do not require hospital laboratories to inform prospectivе patients of risks inherent in blood transfusions. They do not mention informed consent. Ward does not have a cause of action against FMH based on the Alaska Administrative Code.
The testimony of Ward’s expert witness also does not further her argument. Such testimony does not establish the hospital blood bank’s standard of care. Courts routinely have rejected the testimony of experts as a basis for establishing this standard. Instead, they have looked to industry practices and the rules promulgated by national blood bank organizations and regulatory authorities.
In Juneau v. Interstate Blood Bank, Inc.,
Courts have deferred to industry practices and national guidelines when determining a blood bank’s standard of care because it is reasonably certain that these standards аre not negligent. Common law tort principles allow a defendant’s adherence to industry custom to raise a possible inference that his conduct is reasonable. See Restatement (Second) of Torts § 295A cmt. b (1965). Generally, the patient can attack the custom itself as negligent. See id. cmt. c. However, “[i]n particular instances, where there is
Blood banking is an industry whose customs and practices are entitled to judicial deferencе. The guidelines for the industry are set by regulatory agencies and national blood banking associations. The Alaska Administrative Code specifically applies these guidelines to hospital laboratories.
Recipients of transfusions are- best served when blood banks devote their energies to adhering to these guidelines, rather than attempting to develop their own methods. National organizations and regulatory agencies have the resources and expertise to evaluate new ideas. In effect, they act as clearinghouses for experimental techniques. Rather than having individual blood banks develop standards for the industry in a piecemeal fashion, in anticipation of what an expert witness might later require, courts have evaluated blood banks according to the accepted practices of their industry. The standard of care for a blood bank is defined by these practices. Should a medical expert discover a novel technique that is worthy of implementation, it will be imposed on blood banks through their national and regulatory organizations, not through the tort system.
Ward offers no evidence that industry custom or practice directs blood testing laboratories to obtain the informed consent of prospective patients.
D. FMH Did Not Have a Statutory Duty to Obtain Ward’s Informed Consent.
Finally, Ward contends that aside frоm any common law theories of hospital liability, FMH owed her a statutory duty “to.obtain [her] informed consent before submitting her to medical treatment or procedures.” Alaska Statute 09.55.556(a) provides:
A health care provider is liable for failure to obtain the informed consent of a patient if the claimant establishes by a preponderance of the evidence that the provider has failed to inform the patient of the common risks and reasonable alternatives to the*1038 proposed treatment or procedure, and that but for that failure the claimant would not have consented to the proposed treatment or procedure.
Alaska Statute 09.55.560(1) includes in the definition of health care provider “a hospital as defined in AS 18.20.130.” Alaska Statute 18.20.130 gives an expansive definition of hospitаl that clearly includes FMH.
We do not interpret AS 09.55.556(a) as imposing a duty on FMH to obtain Ward’s informed consent. Section (a) provides that a health care provider is liable if it fails to inform a patient of “common risks and reasonable alternatives to the proposed treatment or procedure.” (Emphasis added.) Although several health care professionals and institutions may meet the definition of “health care provider” under AS 09.55.560 and may be involved in a patient’s care, only the health care provider who proposes and orders a procedure owes the patient the duty of obtaining her informed consent. Mere status as a health care provider involved in a patient’s care is insufficient to trigger the duty.
In so holding, we are in accord with the consensus among other jurisdictions that the duty to obtain informed consent does - not extend to hospitals. See Giese v. Stice,
Indeed, this is the predominant view even where informed consent statutes define hospitals as health care providers. See Goss v. Oklahoma Blood Inst.,
Similarly, an informed consent statute that defined “health care provider” to inсlude hospitals was at issue in Alexander v. Gonser,
The Alexander court relied in part on Fiorentino v. Wenger,
The solicitude for physician discretion expressed in these cases is also found in Alaska law. Alaska Statute 09.55.556(b) provides:
It- is a defense to any action for medical malpractice based upon an alleged failure to obtain informed consent that
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(4) the health care provider after considering all of the attendant facts and circumstances used reasonable discretion as to the manner and extent that the alternatives or risks were disclosed to the patient because the health care provider reasonably believed that a full disclosure would have a substantially adverse effect on the patient’s condition.
Similarly, we have held that
[t]he physician retains a qualified privilege to withhold information on therapeutic grounds, as in those cases where a complete and candid disclosure of possible alternatives and consequences might have a detrimental effect on the physical or psychological well-being of the patient....
Korman v. Mallin,
Given our reading of AS 09.55.556(a), our consideration of the decisions of other courts interpreting similar statutes, and the deference to a physician’s discretion found in Alaska law, we conclude that FMH did not owe a statutory duty to obtain Ward’s consent before her physicians proposed and ordered blood transfusions.
IV. CONCLUSION
The superior court’s grant of summary judgment in favor of FMH is AFFIRMED.
Notes
. The trial court also approved the parties’ stipulation for dismissal of Blood Bank of Alaska as a party.
. Ward failed to present her corporate negligence theory to the superior court. Indeed, in her reply brief Ward does not dispute FMH’s contention that Ward neither expressly nor impliedly raised the issue below. An issue cannot be considered for the first time on appeal. See Arnett v. Baskous,
Moreover, we note that the argument appears meritless. Under the corporate negligence doctrine, “hospitals have a duty to their patients to verify the qualifications of admitted physicians
Additionally, other courts have held that the corporate negligence doctrine does not encompass a claim for a hospital’s failure to obtain a patient's informed consent. See, e.g., Petriello v. Kalman,
.We note in passing that the superior court’s memorandum and order of summary judgment states, "The court takes no position regarding actual authority or any contractual duty. This is not an issue that is before the court at this time." This disposition suggests that Ward may still litigate as-yet unexplored theories of liability against FMH. This is not correct. Because Ward failed to make these arguments in a proceeding on which final judgment was entered below, any future attempt to raise these claims against FMH on the basis of the transaction at issue in this case would be precluded by the doctrine of res judicata. See DeNardo v. State,
. As applied by the cоurts in the hospital context, the apparent agency doctrine has been broadened. We noted in Jackson that apparent agency
does not require an express representation to the patient that the treating physician is an employee of the hospital. Nor is direct testimony as to reliance required absent evidence that the patient knew or should have known that the treating physician was not a hospital employee when the treatment was rendered.
Jackson,
. One pаir of commentators has remarked on the contiguity between the two doctrines. Kenneth Abraham and Paul Weiler note that in theory, a patient asserting apparent agency must show reliance, and courts cannot impose liability when
. Because we now acknowledge that the two doctrines cover the same area, a litigant need not separately plead apparent agency in order to establish a hospital’s liability for a physician’s emergency room negligence. Thus, although Ward’s apparent agency theory was not adequately briefed, it was preserved by her claim under the non-delegable duty doctrine.
. Our resolution of this issue is consistent with the overwhelming weight of authority in this area. All other jurisdictions have refused to impose apparent agency liability on hospitals for failure to obtain informed consent where the connection between the hоspital and physician is insufficient to hold the hospital vicariously liable for the physician's negligence. See Cox v. Haworth,
In Texas, courts have gone so far as to make the physician’s duty to obtain the patient's informed consent non-delegable. See Boney v. Mother Frances Hosp.,
. See also Hutchins v. Blood Servs. of Montana,
There is one exception to the courts' otherwise unalloyed deference to industry practices. Some are willing to review blood banks’ donor screening policies. See, e.g., Gilmore v. St. Anthony Hosp.,
. See 7 AAC 12.820(a) and (d):
A laboratory must successfully participate annually in a nationally recognized proficiency test program or a proficiency test program administered by the department [of Health and Social Services] for each testing service offered by the laboratory.
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In this section, "nationally rеcognized proficiency test program” means a proficiency test program that is recognized by the American Association of Bioanalysts, Center for Disease Control, College of American Pathologists, or any other nationally recognized testing authority.
. No court has ever required a blood bank to obtain a blood recipient's informed consent. One jurisdiction has specifically rejected the existence of such a duty. A Georgia court found no liability in the laboratory or hospital where hepatitis-infected blood had been tested and handled in conformity with standards promulgated by the American Association of Blood Banks, and the transfused units had been tested for compatibility with the patient. See Sanders v. Colquitt County Hosp. Auth.,
.Four justices have participated in the decision of this appeal, two of whom dissent from this section of the opinion. "A decision by an evenly divided court results in an affirmance.” Thoma v. Hickel,
. The statutory definition of "health care provider” includes a wide variety of health care professionals, such as chiropractors, dental hygienists, naturopaths, and optometrists. See AS 09.55.560. Their inclusion in the statute, however, does not require them to obtain the patient’s informed consent when another of the patient's health care providers orders a procedure. Rather, a health care provider must obtain the patient's informed consent only when proposing and directing the procedure.
. As noted above, a hospital may be liable under the nondelegable duty doctrine for the negligence of a physician who is not an independent contractor selected by the patient. Moreover, where a hospital employee proposes or orders a procedure, the hospital may have a duty to obtain the patient's informed consent under AS 09.55.556(a). Because Drs. Dunlap, Wells, and Hanley were independent contractors selected by Ward, and not hospital employees, such is not the case in this appeal.
. Alexander is arguably distinguishable from the case at hand to the extent that it involves the failure to inform the patient of the risks of a doctor's inactive treatment of her condition, while this case involves the failure to inform the patient of the risks of a doctor’s proactive treatment of her condition. The two, however, are opposite sides of the same coin. As the Alexander court concluded, "[i]nformed consent focuses on the patient's right to know his or her body’s condition and to decide what should be done about it.” Alexander v. Gonser,
. See, e.g., Roberson v. Menorah Med. Ctr.,
The one dealing with the patient at this point must have knowledge of the patient — his temperament, his intelligence, his mental condition and his physical condition. He must also have a knowledge of the surgery itself — its risks, whether imminent or remote, and whether it is pressing, deferrable or optional. He must know the availability of conservative methods of treatment, if any, and their promises for success as compared to the surgery. All these factors must be placed in the equation. The physician alone is equipped to make the delicate judgments called for.
See also Krane v. Saint Anthony Hosp. Sys.,
Dissenting Opinion
with whom MATTHEWS, Justice, joins (except as to footnote 1), dissenting in part.
I do not agree with the analysis in part III.D of Justice Fabe’s opinion.
Alaska Statute 09.55.556(a) provides:
A health care provider is liable for failure to obtain the informed consent of a patient if the claimant' establishes by a preponderance of the evidence that the provider has failed to inform the patient of the common risks and reasonable alternatives to the proposed treatment or procedure, and that but for that failure the claimant would not have consented to the proposed treatment or procedure.
Alaska Statute 09.55.560(1) includes in the definition of health care provider “a hospital as defined in AS 18.20.130.” Alaska Statute 18.20.130 gives an expansive definition of hospital that clearly includes FMH.
There is no textual basis for concluding that, because the statute references a “proposed” procedure, only the health care provider who proposes the procedure is responsible for obtaining informed consent. Until a procedure is proposed there is nothing to which the patient may consent. This court should not blind itself to the everyday practice whereby physicians leave instructions for hospital staff to carry out medical procedures that the physician neither attends nor directly supervises, but that entail risks about which reasonable patients would want to be informed. If a hospital’s duty to obtain informed consent has any real force, it must apply under such circumstances. Hospitals do not practice medicine independently of the individuals they employ. A hospital itself will never “propose” a procedure, as the court suggests, yet the clear intent of the statute is to impose some responsibility on hospitals to obtain patients’ informed consent. To the extent that hospitals may be
Courts of other states have held that only the patient’s physician is in a position to decidе whether to seek the patient’s informed consent. Those courts have therefore exempted hospitals from the informed consent duty, in order to protect physicians’ discretion.
Giese v. Stice,
Were it not for AS 09.55.556(a) and AS 09.55.560(1), I might find the reasoning of the out-of-state cases discussed in Justice Fabe’s opinion to be persuasive, particularly in light of the deference to physician discretion expressed in AS 09.55.556(b)(4) and Korman v. Mallin,
Any duty imposed on hospitals by AS 09.55.556(a) would have to be tempered by the discretion not to seek informed consent that is guaranteed by AS 09.55.556(b)(4).
In this case, it does not appear that FMH adopted measures to ensure that its patients are fully informed of common risks and reasonable alternatives to proposed procedures that the hospital undertakes to perform. I would remand for a determination of this issue, requiring the superior court to allow FMH to supplement the record with information on any such measures it had in place at the time of Ward’s transfusion.
. I have written that this court should have retained its former practice, when affirming a decision by an evenly-divided vote, of issuing an order stating only that the decision is affirmed. See Taylor Constr. Servs., Inc. v. URS Co.,
. See, e.g., opinions quoted and summarized in Justice Fabe's opinion, supra, at 1039 n. 15.
. Alaska Statute 09.55.556(b)(4) provides:
It is a defense to any action for medical malpractice based upon an alleged failure to obtain informed consent that
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(4) the health care provider after considering all of the attendant facts and circumstances used reasonable discretion as to the manner and extent that the alternatives or risks were disclosed to the patient because the health care provider reasonably believed that a full disclosure would have a substantially adverse effect on the patient's condition.
Similarly, we have held that
[t]he physician retains a qualified privilege to withhold information on therapeutic grounds, as in those cases where a complete and candid disclosure of possible alternatives and consequences might have a detrimental effect on the physical or psychological well-being of the patient.
Korman v. Mallin,
. The superior court would also consider on remand whether Ward was owed a duty of informed consent at the time she was treated at FMH. If it was too late to pursue alternative sources of blood or alternatives to blood transfusion by the time Ward was admitted to FMH, then Ward could not have been harmed by a failure by FMH to ensure that its physicians would seek informed consent, and Ward would have no cause of action against FMH.
