Lead Opinion
Thе plaintiffs, Linda E. Woolley and her husband, Brandon Woolley, appeal from a judgment of the Superior Court, Somerset County, entered on April 13, 1979 following a jury verdict in favor of the defendant, Dr. Lester K. Henderson. On appeal in this medical malpractice action, the plaintiffs challenge rulings of the Superior Court Justice regarding the voir dire of the jury, the admission of evidence, the striking of an implied contract count in the complaint, the denial of a motion to add a battery claim to the complaint and the jury instructions concerning informed consent and the defendant’s right to practice medicine. We vacate the judgment.
Linda Woolley suffered from a history of back problems and associated sciatic pain in her right leg. In 1965 she had back surgery for a ruptured disc at the interspace between her fourth and fifth lumbar vertebrae (L 4, 5). Experiencing renewed back pain, the plaintiff, in January of 1976, consulted the defendant, an orthopedic surgeon practicing in Skowhegan, who diagnosed a ruptured disc at the L 4, 5 vertebral inter-space. When conservative treatment failed to alleviate the plaintiff's pain, the defendant performed a lumbar myelogram, a diagnostic procedure involving the use of dye and x-ray. On the basis of this test, the defendant recommended surgery. The extent to which he apprised the plaintiff of the risks of the proposed surgery is unclear.
In February of 1976, the defendant operated on the plаintiff, performing a laminec-tomy and foraminotomy at what he thought to be the L 4, 5 interspace. The defendant urged at trial, however, that because of the plaintiff’s transitional vertebra, a congenital abnormality of the spine that makes counting and ascertaining the vertebral levels difficult, he in fact operated at the L 2, 3 and L 3, 4 interspaces, performing the surgical procedures at L 3, 4 rather than at L 4, 5. There was also evidence that the area of previous surgery was in fact L 3, 4 and not L 4, 5.
During the course of this operation, the defendant inadvertently made a rent in the dura, arachnoid and pia, the protective tissues encasing the spinal cord, while removing a small bone attached to epidural scar tissue. As a result, spinal fluid leaked from the plaintiff’s spinal canal. Medical experts for both sides testified that a dural tear was a normal risk of this type of surgery, especially for a patient who had previous surgery at the location, and that a dural tear could occur at the hands of the most careful and competent surgeon.
Following surgery, the plaintiff’s low back and radiating leg pain intensified. The defendant did not order further x-rays or myelograms, choosing to treat these symptoms with pain medication. Because her condition failed to improve, the plaintiff consulted another physician who, following examination and myelogram, removed protruding disc material at the L 4, 5 inter-space in July of 1976. Althоugh this surgical treatment alleviated the plaintiff’s radiating leg pain, her back pain continued and subsequently intensified because she began to suffer from chronic adhesive arachnoidi-tis, an inflammation and thickening of the spinal cord that causes intractable back pain.
In a four-count complaint filed in the Superior Court on November 8, 1977, Linda Woolley alleged the defendant had breached an implied contract to perform surgery “in a good, workmanlike, professional, and
I. Voir Dire
At an early stage of the voir dire examination, the presiding Justice granted the plaintiffs’ motion to excuse five prospective jurors on the ground that current or former patients of the defendant or their close relatives had to be excused for cause.
Following this colloquy, the plaintiffs moved for a mistrial, arguing that the answers given by the challenged jurors created the prejudicial impression among the remaining jurors that the excused jurors were satisfied with the medical treatment that they or family members had received from the defendant. Although the presiding Justice denied the mistrial motion, he then ordered the previously excused jurors to leave the courtroom. On appeal the plaintiffs contend that the presiding Justice erred in not directing the immediate discharge of those jurors that he had excused and in refusing to grant the mistrial motion because of the prejudice that resulted from the further voir dire of the excused jurors in the presence of the entire array.
Although the scope and manner of voir dire are within the sound discretion of the presiding Justice, e. g., State v. Robbins, Me.,
II. Informed Consent
At trial the plaintiffs seasonably objected to the jury instruction of the presiding Justice that the defendant’s obligation to apprise Linda Woolley of the risks of the proposed surgery was limited to those disclosures which would be made by a reasonable medical practitioner. In Downer v. Veilleux, Me.,
The doctrine is based on the general principle of law that a physician has a duty adequately to disclose to his patient the proposed diagnostic, therapeutic or surgical procedure to be undertaken, the material risks involved therein and the alternatives available, if any, so that a patient of ordinary understanding, confronted with these disclosures and faced with a choice of undergoing the proposed treatment, оr selecting an alternative process, or preferring refusal of all medical relief, may, in reaching a decision, intelligently exercise his judgment by balancing the probable risks against the probable benefits. Id. at 90-91.
Our decision in Downer raised, but expressly left unresolved, the scope of the physician’s duty to disclose and the test applicable in determining proximate causation. We are now called upon to determine these questions, which go to the core of the informed consent doctrine.
A. Scope of Disclosure Duty
Although it is well settled that the law imposes on a physician a general duty
On the other hand, an increasing number of courts hold that because a physician’s obligation to disclose therapeutic risks and alternatives arises from the patient’s right оf physical self-determination, the disclosure duty should be measured by the patient’s need for information rather than by the standards of the medical profession. These courts reason that physicians have a legal obligation adequately to disclose risk and option information that is material to the patient’s decision to undergo treatment and that expert testimony as to medical standards is not required to establish this duty. Under this “material-risk” standard, although expert medical testimony may be necessary to establish the undisclosed risk as a known danger of the procedure, the jury can decide without the necessity of a medical expert whether a reasonable person in the patient’s position would havе considered the risk significant in making his decision. See, e. g., Canterbury v. Spence,
A basic principle of medical malpractice law is that the physician is not an insurer. “A poor result, standing alone, is insufficient to establish liability.” Downer v. Veilleux, supra,
When a patient alleges that an unrevealed hazard has caused him injury, the jury must determine whether, under the facts of the case, the physician has deviated from the standard of care of the reasonable practitioner. Although the unreasonableness of a particular nondisclosure may be “ ‘sufficiently obvious as to lie within common knowledge . . .”
Moreover, a rule that allows a plaintiff to establish the existence and extent of the defendant-physician’s disclosure obligation without regard to medical standards hardly diminishes the importance of expert medical testimony or absolves the plaintiff from producing such evidence on other issues in the case. The courts that have adopted this rule recognize the necessity, in the usual case, of medical evidence to identify the known risks of treatment, the nature of available alternatives and the cause of any injury or disability suffered by the plaintiff, e. g., Canterbury v. Spence, supra,
In addition, we are not unmindful of the practical implications of dispensing with the requirement of expert medical tеstimony to establish the existence and extent of the disclosure duty in a given case. Inherent in such a rule is the potential danger that a jury, composed of laymen and gifted with the benefit of hindsight, will divine the breach of a disclosure obligation largely on the basis of the unfortunate result. In Bly v. Rhoads, supra, the Virginia court expressed a similar concern:
The matters involved in the disclosure syndrome, more often than not, are complicated and highly technical. To leave the establishment of such matters to lay witnesses, in our opinion, would pose dangers and disadvantages which far outweigh the benefits and advantages a ‘modern trend’ rule would bestow on patient-plaintiffs. In effect, the relaxed ‘modern trend’ rule permits lay witnesses to express, when all is said and done, what amounts to a medical opinion.216 Va. at 650 ,222 S.E.2d at 787 .
Finally, we believe that legal principles designed to provide compensation to persons injured by bad professional practice should not unduly intrude upon the intimate physician — patient relationship. Although the “material-risk” theory may make it easier for some plaintiffs to recover, it does so by placing good medical practice in jeopardy. The physician’s attention must be focused on the best interests of his patient and not on what a lay jury, unschooled in medicine, may, after the fact, conclude he should have disclosed. As a North Carolina court noted,
[t]o adopt the [“material-risk” standard] would result in requiring every doctor to spend much unnecessary time in going over with every patient every possible effect of any proposed treatment. The doctor should not have to practice his profession with the knowledge that every consultation with every patient with respect to future treatment contains a potential lawsuit and his advice and suggestions must necessarily be phrased with the possible defense of a lawsuit in mind. This would necessarily result in the doctor’s inability to give the best interest of his patient primary importance. Butler v. Berkeley,25 N.C.App. 325 , 342,213 S.E.2d 571 , 581-82 (1975).
We hold, therefore, that the scope of a physician’s duty to disclose is measured by those communications a reasonable medical practitioner in that branch of medicine would make under the same or similar circumstances and that thе plaintiff must ordinarily establish this standard by expert medical evidence.
All courts recognizing the doctrine of informed consent as a species of medical negligence require the plaintiff to prove proximate causation by a preponderance of the evidence. Otherwise, the physician’s omission, however wrongful, is legally inconsequential. As we noted in Downer v. Veilleux, supra, to establish a proximate causal relationship between the nondisclosure and the untoward result, the plaintiff must show not only that the undisclosed risk materialized causing him harm but also that had he been informed of the risk he would not have submitted to the treatment.
We believe that the subjective test is an unsatisfactory gauge for determining causality in informed consent actions and, therefore, in accord with those courts that have squarely addressed this issue, we hold that causation should be judged by an objective standard. E. g., Canterbury v. Spence, supra,
[I]f a subjective standard were applied, the testimony of the plaintiff as to what he would have hypothetically done would be the controlling consideration. Thus, proof of causation under a subjective standard would ultimately turn on the credibility of the hindsight of a person seeking recovery after he had experienced a most undesirable result. Such a test puts the physician in ‘jeopardy of the patient's hindsight and bitterness.'281 Md. at 449 ,379 A.2d at 1025 . (Citations omitted).
Under the objective test, a causal connection exists between the defendant’s failure to disclose and the plaintiff’s injury only if a reasonable person in the position of the plaintiff would have declined the trеatment had he been apprised of the risk that resulted in harm, Canterbury v. Spence, supra,
III. Battery Claim
After the close of evidence, the plaintiffs moved to amend their complaint to add a battery theory of recovery on the ground that evidence in the case tended to show that the defendant actually had performed surgery at the L 2, 3 and L 3, 4 interspaces rather than the surgery at the L 4, 5 inter-space to which Mrs. Woolley had consented. The presiding Justice denied this motion, ruling that the plaintiffs’ “wrong-level” theory had not been tried by the express or implied consent of the parties as required by M.R.Civ.P. 15(b). We have no occasion to consider the propriety of this ruling, see, e. g., Poulette v. Herbert C. Haynes, Inc., Me.,
Although the decisions from which the informed consent doctrine developed were cases that imposed liability for unauthorized treatment on a theory of battery,
The plaintiffs’ allegation that the defendаnt operated at the wrong lumbar interspace does not come within the narrow area in which physicians remain liable for battery in their treatment of patients. Here, Linda Woolley authorized the defendant to operate on her lumbar vertebrae in an attempt to relieve her discomfort. The defendant did not perform this surgery against the will of the plaintiff. E. g., Schloendorff v. Society of New York Hospital,
We reject any shopworn doctrine that would impose liability for a battery on physicians whose treatment deviated from that agreed to, however slight the deviation and regardless of the reasonableness of the physician’s conduct. E. g., Wall v. Brim,
Prior to trial, the defendant moved under M.R.Civ.P. 12(b)(6) to dismiss Count I of the plaintiffs' complaint on the ground that the breach of contract allegation failed to state a claim upon which relief could be granted. The presiding Justice denied this motion, concluding that Maine law recognized a breach of implied contract as a theory of recovery for medical malpractice. Nevertheless, he ordered Count I stricken sua sponte on the ground that it was redundant in view of the negligence claim contained in Count III of the complaint. On appeal, the plaintiffs challenge the action of the presiding Justice, arguing that breach of implied contract is an independent theory of recovery in medical malpractice actions and that such a claim was not duplicative of the negligence count.
In support of these contentions, the plaintiffs rely, as did the presiding Justice, on a frequently cited passage in Coombs v. King,
He contracts with his patient that he has the ordinary skill of members of his profession in like situation, that he will exercise ordinary or reasonable care and diligence in his treatment of the case, and that he will use his best judgment in the application of his skill to the case. Id. at 378,78 A. at 468 . (Emphasis added).
Although Coombs and other early cases framed a physician’s duty in terms of an implied representation that he possessed and would exercise a reasonable level of professional competence, id. at 378,
Illustrative of the modern view holding that malpractice actions are squarely grounded in principles of tort law is the leading ease of Kozan v. Comstock,
It is the nature of the duty breached that should determine whether the action is in tort or in contract. To determine the duty one must examine the patient-physician relationship. It is true that usually a consensual relationship exists and the physician agrees impliedly to treat the patient in a proper manner. Thus, a malpractice suit is inextricably bound up with the idea of breach of implied contract. However, the patient-physician relationship, and the corresponding duty that is owed, is not one that is completely dependent upon a contract theory. There are instances in which the relationship exists though there is clearly no contractual relationship between the patient and the physician. Thus, the patient may be incapable of contracting or a third person may have contracted with the physician for the treatment of the patient. Even in thesе instances in which no contract is present the physician still owes a duty to the patient. The duty of due care is imposed by law and is something over and above any contractual duty. Cer*1135 tainly, a physician could not avoid liability for negligent conduct by having contracted not to be liable for negligence. The duty is owed in all cases, and a breach of this duty constitutes a tort. On principle then, we consider a malpractice action as tortious in nature whether the duty grows out of a contractual relation or has no origin in contract. Id. at 844 — 45.
In addition to the inadequacy of implied contract as a comprehensive liability base in malpractice actions, we discern additional reasons for eschewing any reliance upon a theory that a physician has breached an implied contractual duty of due care. First, the reasonableness of a physician’s conduct can be adequately determined under familiar tort principles without the necessity of importing into malpractice actions commercial concepts with traditionally distinct rules as to theory, proof, damages, limitation periods and venue. See Kozan v. Comstock, supra,
We are not here concerned with a breach of an express contract between a physician and his patient. A physician may be liable in contract for breach of an express agreement to effect a cure or to achieve a particular result. E. g., Depenbrok v. Kaiser Foundation Health Plan, Inc.,
Y. Instruction That Verdict Would Not Affect Defendant’s Right To Practice Medicine
The plaintiffs contend that the presiding Justice erred in refusing to instruct the jury that its verdict would not affect the defendant’s right to practice medicine. The plaintiffs posit as a popular notion that the jury verdict in a medical malpractice action is a general evaluation of the physician’s competence rather than a specific judgment regarding a particular fact pattern. The requested instruction was necessary, the plaintiffs assert, to dispel this notion, which they claim was underscored by the defendant’s repeated questioning concerning another physician’s statement impugning the professional competence of the defendant.
This argument has no merit. The requested instruction was superfluous and its omission caused the plaintiffs no prejudice. See Towle v. Aube, Me.,
The entry is:
Appeal sustained.
Judgment vacated.
Remanded to the Superior Court for further proceedings consistent with the opinion herein.
Costs awarded appellants.
ROBERTS, J., concurring separately.
Notes
. Although the plaintiffs identified by name only three jurors in their motion to excuse for cause, two other prospective jurors had also stated that they or members оf their families were former patients of the defendant. It is clear from the record that the presiding Justice understood the motion to include these two jurors and intended to excuse them along with the jurors specifically identified in the motion.
. In view of our disposition of this claim of error, we do not consider the plaintiffs’ further contention that the defendant’s counsel had a duty to disclose to the trial court prior to the voir dire the names of those prospective jurors or their family members who were patients or former patients of the defendant, the identity of whom counsel knew or should have known.
. The historical underpinnings of the doctrine of informed consent are frequently attributed to the fiduciary character of the physician-patient relationship, e. g., Lambert v. Park,
[e]very human being of adult years and sound mind has a right to determine what shall be done with his own body; and a surgeon who performs an operation without his patient’s consent, commits an assault for which he is liable in damages. This is true, except in cases of emergency where the patient is unconscious, and where it is necessary to operate before consent can be obtained. Id. at 129-30,105 N.E. at 93 . (Citations omitted).
Other early cases also recognized unauthorized treatment by a physician as a battery. See Pratt v. Davis,
Following the lead of these cases, some courts began to impose liability for battery on physicians who treated the plaintiff, however skillfully, without first informing him of the risks of treatment, reasoning that an uninformed consent is ineffectual. See, e. g., Bang v. Charles T. Miller Hosp.,
Beginning with Natanson v. Kline,
. For other courts adopting the “material-risk” approach, see Lambert v. Park, supra,
The informed consent doctrine and the scope of a physician’s disclosure obligation have been the subject of extensive commentary. See generally 2 F. Harper & F. James, The Law of Torts 58-61 (Supp.1968); A. Holder, Medical Malpractice Law 225 (2d ed. 1978); 2 D. Louisell & H. Williams, Medical Malpractice ¶¶ 22.-01-.08 (1979); McCoid, The Care Required of Medical Practitioners, in Professional Negligence 13, 50-61 (T. Roady & W. Anderson ed. 1960); Waltz & Scheuneman, Informed Consent to Therapy, 64 Nw.U.L.Rev. 628 (1970); Note, Informed Consent in Medical Malpractice, 55 Calif.L.Rev. 1396 (1967); Note, Failure To Inform as Medical Malpractice, 23 Vand.L.Rev. 754 (1970); 75 Harv.L.Rev. 1445 (1962); Annot.,
. Of course, lay witness testimony is competent to establish the physician’s failure to disclose the particular risk, the patient’s ignorance of the risk and, in some cases, the adverse consequences following treatment. Bly v. Rhoads,
. Additionally, there may be circumstances in which the professional standard is so clearly inadequate as to permit the conclusion that the entire profession is negligent. See, e. g., The T. J. Hooper,
.Courts that have rejected the need for medical evidence on the disclosure obligation nevertheless acknowledge that valid medical reasons may warrant nondisclosure. These courts posit that a physician has a “privilege” to withhold information for justifiable therapeutic reаsons. E. g., Canterbury v. Spence, supra,
. Even these courts recognize limits on a physician’s disclosure obligation. “The physician need not deliver a ‘lengthy polysyllabic discourse on all possible complications. A mini-course in medical science is not required[.]’ ” Sard v. Hardy, supra,
. We have recently ruled that “[a] medical specialist should be held to national standards of care and treatment appropriate to the specialty.” Roberts v. Tardif, Me.,
. See note 3 supra (discussing development of informed consent doctrine).
. Obviously, a physician, like anyone else, may be liable for a battery if contact is wholly unauthorized оr if he engages in flagrant misconduct toward another person. 1 D. Louisell & H. Williams, Medical Malpractice V 8.09 (1977). We are concerned here only with the viability of a battery theory for conduct which does not transcend the physician-patient relationship. Cf. Estate of Berthiaume v. Pratt, Me.,
Concurrence Opinion
concurring.
I agree with the disposition of each of the issues discussed in the court’s opinion. On the question of the voir dire examination, I express my views separately because of an important difference in emphasis. That the conduct of voir dire rests in the sound discretion of the presiding justice means that he may elect any of several options without committing error. I would not find error in the justice’s failure to remove excused jurors from the courtroom where some prejudice may incidentally result. In this instance, however, the danger of prejudice was eminently foreseeable.
The record indicates that counsel had previously discussed their requested voir dire questions with the presiding justice. Plaintiffs’ request for removal of the excused jurors was made in the light of those questions and the apparent potential that they would elicit prejudicial responses. Thus plaintiffs said, “If they [excused jurors] remain and are asked the remaining questions we are running a very substantial risk of a mistrial.” Defense counsel objected to plaintiffs’ request even though he was in a position to know the nature of the responses those very jurors might give. If he did know, he was under no duty to his client to seek an unfair tactical advantage.
For the reason that a sound exercise of discretion requires that foreseeable prejudice be avoided, I concur in vacating the judgment.
