Mark R. Staun, Esq. Ancil
G. Ramey, Esq.
The Segal Law Firm Jason
D. Stevens, Esq.
Charleston, West Virginia Steptoe
& Johnson
and Charleston,
West Virginia
Kathryn Reed Bayless, Esq. and
Bayless & McFadden, L.L.P. Darrell
E. Baker, Jr., Esq.
Princeton, West Virginia Baker
& Whitt, PLLC
Attorneys for Jessie L. Graham Memphis,
Tennessee
Attorneys
for David A. Wallace, D.D.S., M.S.
The Opinion of the Court was delivered PER CURIAM.
JUSTICE DAVIS, deeming herself disqualified, did not participate in the decision
in this case.
JUDGE JOHNSON, sitting by special assignment.
CHIEF JUSTICE STARCHER dissents and reserves the right to file a dissenting
opinion.
JUDGE JOHNSON dissents and reserves the right to file a dissenting
opinion.
2. Evidence which is irrelevant or immaterial and has no probative value in determining any material issue is inadmissible and should be excluded. Syllabus Point 1, Smith v. Edward M. Rude Carrier Corp., 151 W.Va. 322, 151 S.E.2d 738 (1966).
3. A
judgment will not be reversed because of the admission of improper or irrelevant
evidence, when it is clear that the verdict of the jury could not have been
affected thereby. Syllabus Point 7, Starcher v. South Penn Oil Co.,
81 W.Va. 587, 95 S.E. 28 (1918).
Per Curiam:
This
is a medical malpractice case where a jury rendered a verdict for the appellee
and defendant below, Dr. David A. Wallace, against the appellant and plaintiff
below, Jessie L. Graham. On appeal, Mr. Graham asserts that the circuit court
erred in admitting into evidence the testimony of Dr. Wallace's expert witness,
Dr. Phillip Hutt, regarding the proper way to perform and read a radiological
procedure called an arthrogram. Because we agree with Mr. Graham, we reverse
and remand for a new trial.
Mr. Graham first visited Dr.
David A. Wallace, an oral and maxillofacial surgeon, in 1984, complaining of
headaches. Pursuant to Dr. Wallace's examination of Mr. Graham, he performed
a panorex x-ray of his jaw.
This type of x-ray shows a picture of the jaw bone.
Dr. Wallace suspected that Mr. Graham suffered from problems with his temporomandibular
joints.
The temporomandibular joint (hereinafter TMJ) is a ball and socket joint located on each side of the face just in front of the ears, which connects the mandible or lower jaw to the temporal bone of the skull.
According to The Merck Manual of Medical Information (Home Edition) 513 (Robert Berkow, M.D., et al, eds., 1997):
The
[TMJ] is the most complicated joint in the body: It opens and closes like
a hinge and slides forward, backward, and from side to side. During chewing,
it sustains an enormous amount of pressure. The [TMJ] contains a piece of
specialized cartilage called a disk that keeps the lower jawbone and skull
from rubbing against each other.
In this opinion, we will refer to this specialized disk as the meniscus. People
with a disorder of the TMJ may experience tenderness of the chewing muscles,
clicking or locking of the joints, or recurring headaches that do not respond
to usual medical treatment. See The Merck Manual at 513-14. As noted
above, Mr. Graham suffered from recurring headaches.
To help determine whether Mr. Graham had a TMJ disorder, Dr. Wallace sent him to Dr. Stephen P. Raskin, a radiologist, who performed an arthrogram and a tomogram. An arthrogram is an x- ray film of the TMJ, after the injection of contrast dye, which shows the TMJ's inner structures. One purpose of an arthrogram is to reveal displacement or damage to the meniscus. In order to picture how an arthrogram works, one of the lawyers at trial suggested that it may be helpful to think of the inside of the TMJ as a bologna sandwich. The bread on the top is the superior compartment of the TMJ, and the bread on the bottom is the inferior compartment. The piece of bologna in between is the meniscus.
There was testimony at trial
that an arthrogram can be conducted in two different ways. First, dye may
be injected by needle into both the superior and inferior compartments so
that the shape of the meniscus shows up on the x-ray. Alternatively, dye may
be injected into the lower compartment, and if dye shows up in the superior
compartment on the x-ray, this means that the dye traveled through a tear
or hole in the meniscus. At trial, Dr. Raskin testified that he intended to
inject the dye into both the superior and
inferior compartments of Mr. Graham's TMJ in order to get an outline of his
meniscus. However, when he attempted to put the needle into the inferior compartment,
he missed and hit soft tissue. Therefore, Dr. Raskin reported the results
of the arthrogram as, Unsuccessful
(no charge) TMJ arthrography with initial filling of the superior compartment
and subsequent muscular extravasation. In other words, the dye missed
the lower compartment and escaped into the muscles.
Dr.
Raskin also performed a tomogram which is a detailed x-ray of the jaw bones.
Dr. Raskin's tomogram revealed
Bilateral degenerative eburnation of the condyles, right greater than
left. In other words, the ball parts of the joints on both sides of
the skull showed a rubbing away of the bone's surface, exposing them to motion
and friction, and resulting in roughening of the bones. This rubbing away
was worse on the right side.
In 1987, Mr. Graham returned
to Dr. Wallace and had surgery performed for the same problem on his left
jaw. This time, however, Dr. Wallace did not insert an implant because of
increasing dissatisfaction with those devices in the medical community.
On appeal, Mr. Graham
asserts that the circuit court committed error below by admitting evidence
at trial which should not have been admitted. With regard to the admission
of evidence, this Court has held:
We have explained that [a]
trial court abuses its discretion if its ruling is based on an erroneous assessment
of the evidence or the law. Bartles v. Hinkle, 196 W.Va. 381, 389,
472 S.E.2d 827, 835 (1996) (citation omitted). In other words, '[u]nder
the abuse of discretion standard, we will not disturb a circuit court's decision
unless the circuit court makes a clear error of judgment or exceeds the bounds
of permissible choices in the circumstances.' Hensley v. West Virginia
DHHR, 203 W.Va. 456, 461, 508 S.E.2d 616, 621 (1998) (quoting Gribben
v. Kirk, 195 W.Va. 488, 500, 466 S.E.2d 147, 159 (1995)). Finally, under
the abuse of discretion standard, the specific degree of deference accorded
very well may depend on the nature of the ruling being reviewed. Stephen
L.H. v. Sherry L.H., 195 W.Va. 384, 395 n.15, 465 S.E.2d 841, 852 n. 15
(1995), superseded by statute on other grounds as stated in Sharon B.W. v.
George B.W., 205 W.Va. 594, 519 S.E.2d 877 (1999). Accordingly, we now proceed
to review the circuit court's decision concerning the challenged evidence to
determine whether, in the context of the entire trial, the circuit court incorrectly
assessed the law or the evidence or made an impermissible choice. Prior to calling Dr. Raskin,
Dr. Wallace called Dr. Phillip Hutt to testify as an expert in oral and maxillofacial
surgery. Dr. Wallace's counsel elicited testimony from Dr. Hutt that, according
to a professional radiology text, the proper way to perform an arthrogram
is to first inject the dye below the meniscus, in the inferior compartment.
Dr. Hutt added that [t]here are some people that inject both spaces
to show the whole shape, but my personal feeling is the proper way to do it
is to inject into the lower space[.] He further opined that it was within
the standard of care for an oral and maxillofacial surgeon practicing in 1984
to presume, when reading the results of an arthrogram, that the dye was first
injected into the lower space, or, inferior compartment.
Based on his examination, including
the results of the tomogram and arthrogram, Dr. Wallace diagnosed Mr. Graham
with degenerative joint disease of the right TMJ and a torn meniscus. Dr. Wallace
subsequently operated on Mr. Graham in June 1984, removed the meniscus, and
replaced it with a Vitek implant. Dr. Wallace testified that during surgery
he found a hole in the attachment of the ligament to the meniscus, and he considered
the meniscus to be irreparable.
Dr. Wallace saw Mr. Graham in
his office for the last time in June 1987. In July 1987, Dr. Wallace received
a letter from the manufacturer of the Vitek implant about potential problems
with the implant. In December 1990, the federal Food and Drug Administration
(hereinafter FDA) recalled Vitek implants and issued a safety alert.
In January 1991, Dr. Wallace received a letter from the FDA regarding the recall.
For reasons that are disputed, Dr. Wallace never personally contacted Mr. Graham
about the recall. Another doctor removed Mr. Graham's Vitek implant in October
1993.
In October 1995, Mr. Graham
sued Dr. Wallace in the Circuit Court of Mercer County. In his complaint, Mr.
Graham alleged:
(a)
failure to properly assess the plaintiff's condition in 1984 in accordance with
professional criteria then known;
(b)
failure to treat the plaintiff with more conservative modalities prior to performing
surgery which involved the insertion of the proplast implant;
(c)
failure to provide adequate follow-up care to the plaintiff, including the failure
to advise plaintiff of any product recall or warnings issued by professional
organizations and regulatory agencies concerning the many failures of the proplast
implant;
(d)
failure to perform any diagnostic testing subsequent to the placement of the
implant in plaintiff which would have disclosed the failure of the implant prior
to 1993; and
(e)
other negligent acts.
The original trial, held
in March 1999, resulted in a verdict for Mr. Graham. Dr. Wallace appealed to this Court, and in Graham v. Wallace, 208 W.Va. 139,
538 S.E.2d 730 (2000) (Graham v. Wallace I), this Court
reversed and remanded. We held that the circuit court committed reversible
error in denying Dr. Wallace's request to call two rebuttal witnesses.
There was a second trial in
July 2001, in which the jury returned a verdict for Dr. Wallace. The circuit
court subsequently denied Mr. Graham's motion for a new trial, and he now
appeals to this Court.
The
West Virginia Rules of Evidence and the West Virginia Rules of Civil Procedure
allocate significant discretion to the trial court in making evidentiary and
procedural rulings. Thus, rulings on the admissibility of evidence and the
appropriateness of a particular sanction for discovery violations are committed
to the discretion of the trial court. Absent a few exceptions, this Court
will review evidentiary and procedural rulings of the circuit court under
an abuse of discretion standard.
Syllabus Point 1, McDougal v. McCammon, 193 W.Va. 229, 455 S.E.2d 788
(1995).
DISCUSSION
We find it necessary
to discuss only the first issue raised by Mr. Graham which is whether the
circuit court erred in permitting Dr. Wallace's expert witness, Dr. Phillip
Hutt, to testify concerning the standards of care for taking and interpreting
arthrograms where these opinions were not disclosed to Mr. Graham during the
course of written discovery or through the deposition testimony of Dr. Hutt. (See footnote 1)
At trial, one theory of Mr.
Graham's case was that Dr. Wallace misread the results of the arthrogram performed
on Mr. Graham by Dr. Raskin. Mr. Graham's counsel elicited testimony from
Dr. Wallace that he did not know whether Dr. Raskin injected the superior
or inferior compartment first, but he assumed that he injected the inferior
compartment first because that is the routine way of performing an arthrogram.
Dr. Raskin, who was a fact witness called by Dr. Wallace, testified, however,
that he injected the superior compartment first.
Mr.
Graham now asserts that it was improper for the circuit court to allow Dr.
Hutt's testimony on the proper way to perform an arthrogram because at no
time prior to trial was Dr. Hutt's opinion on this issue disclosed. Mr. Graham
points to this Court's holding in Syllabus Point 5 of Prager v. Meckling,
172 W.Va. 785, 310 S.E.2d 852 (1983), which states:
Factors
to be considered in determining whether the failure to supplement discovery
requests under Rule 26(e)(2) of the Rules of Civil Procedure should require
exclusion of evidence related to the supplementary material include: (1) the
prejudice or surprise in fact of the party against whom the evidence is to
be admitted; (2) the ability of that party to cure the prejudice; (3) the
bad faith or willfulness of the party who failed to supplement discovery requests;
and (4) the practical importance of the evidence excluded.
According to Mr. Graham, Dr. Hutt's testimony was a surprise because during
his deposition
four weeks earlier, he said nothing about the arthrogram procedure. Second,
Mr. Graham's counsel tried unsuccessfully to cure the prejudice on cross-examination
of Dr. Hutt. Third, the failure to disclose was egregious because this was
a vigorously litigated case and there was extensive discovery. Finally, the
importance of Dr. Hutt's testimony cannot be overstated. Mr. Graham concludes
that the testimony at issue was introduced as an ambush tactic to confuse,
mislead, and prejudice.
Dr. Wallace responds that
he fully disclosed Dr. Hutt's testimony prior to trial and that Mr. Graham
could not have been surprised by it. As proof, Dr. Wallace first sets forth
in his brief a portion of his May 29, 2001, response to Mr. Graham's interrogatories
in which he indicated that Dr. Hutt was expected to testify that the
radiographic studies performed on the plaintiff's jaw in 1984 demonstrated
a degree of boney [sic] abnormality consistent with advanced TMJ disease that
could not have been treated successfully with splint therapy or other non-surgical
methods. Second, Dr. Wallace points us to his March 15, 2001, witness
disclosure statement which indicated, in part, that Dr. Hutt is specifically
expected to testify concerning diagnosis, surgical technique, follow-up and
recall, surgical removal of VITEK devices, and the potential damage associated
with VITEK implants. Third, Dr. Wallace notes Dr. Hutt's deposition
testimony, taken prior to the second trial, at which the following questioning
occurred:
[Mr. Graham's counsel]: Following initial contrast injection, a small
amount of contract [sic] is demonstrated in the superior compartment, right?
[Dr. Hutt]: Right.
[Mr. Graham's counsel]: What's that mean?
[Dr. Hutt]: That means one of two things. Either he injected it into the
superior compartment.
[Mr. Graham's counsel]: Right.
[Dr. Hutt]: Or he injected it into the inferior compartment and it wound
up in the superior compartment. That's what it means.
[Mr. Graham's counsel]: You don't know, do you?
[Dr. Hutt]: No, I said that.
[Mr. Graham's counsel]: Let's assume for a minute that he injected in
the superior compartment?
[Dr. Hutt]: Hypothetically?
[Mr. Graham's counsel]: Yeah.
[Dr. Hutt]: Okay.
[Mr. Graham's counsel]: And it did not -- what's that word -- extravasate
into the inferior compartment. Let's assume that, since you don't know.
[Dr. Hutt]: Okay.
[Mr. Graham's counsel]: What's that tell you?
[Dr. Hutt]: It tells me he injected the wrong compartment, but -- no,
he injected it into the superior compartment, that's what it tells me.
Dr. Wallace concludes from this questioning that while Mr. Graham's counsel
chose not to question Dr. Hutt at length about the performance of the arthrogram,
it is obvious that counsel had both an appreciation of the significance of
the procedure as well as Dr. Hutt's opinion about the manner of the proper
administration of the procedure. Finally, Dr. Wallace argues that even if
the admission of Dr. Hutt's testimony was improper, the jury verdict could
not have been affected thereby. This is because the undisputed evidence at
trial indicated that Dr. Wallace's diagnosis of a perforated meniscus was
accurate. Accordingly, Dr. Wallace's reliance, or lack thereof, on the arthrogram
is irrelevant and had no impact on the jury.
In considering this issue,
we begin with the Rules of Civil Procedure which govern the way trials of
civil actions are to be conducted. According to Rule 26 (b)(4):
Trial
preparation: experts. -- Discovery of facts known and opinions held by experts,
otherwise discoverable under the provisions of subdivision (b)(1) of this
rule and acquired or developed in anticipation of litigation or for trial,
may be obtained only as follows:
(A)(i)
A party may through interrogatories require any other party to identify each
person whom the other party expects to call as an expert witness at trial,
to state the subject matter on which the expert is expected to testify, and
to state the substance of the facts and opinions to which the expert is expected
to testify and a summary of the grounds for each opinion.
In addition, Rule 26(e) provides that,
Supplementation
of responses. -- A party who has responded to a request for discovery
with a response that was complete when made is under no duty to supplement
the response to include information thereafter acquired, except as follows:
* * * *
(B)
The identity of each person expected to be called as an expert witness at
trial, the subject matter on which the expert is expected to testify, and
the substance of the expert's testimony.
The essence of Mr. Graham's assignment of error is that Dr. Wallace failed
to fully disclose the substance of Dr. Hutt's expected testimony prior to
trial in violation of Rule 26. As a result, Mr. Graham was unfairly surprised.
This Court explained in McDougal
v. McCammon, 193 W.Va. 229, 236-37, 455 S.E.2d 788, 795-96 (1995), that
one of the purposes of the discovery process under our Rules of Civil
Procedure is to eliminate surprise. Trial by ambush is not contemplated by
the Rules of Civil Procedure. The discovery process is the manner in
which each party in a dispute learns what evidence the opposing party is planning
to present at trial. Each party has a duty to disclose its evidence upon proper
inquiry. The discovery rules are based on the belief that each party is more
likely to get a fair hearing when it knows beforehand what evidence the other
party will present at trial. This allows for each party to respond to the
other party's evidence, and it provides the jury with the best opportunity
to hear and evaluate all of the relevant evidence, thus increasing the chances
of a fair verdict.
After carefully considering the arguments of the parties, we agree with Mr. Graham that he was unfairly surprised by Dr. Hutt's testimony concerning the proper way for a radiologist to perform an arthrogram. We can find nothing in Dr. Wallace's pre-trial disclosures that puts Mr. Graham on notice that Dr. Hutt was going to opine as to the proper way for a radiologist to perform an arthrogram. Rather, the obvious import of Dr. Wallace's disclosures was that Dr. Hutt was going to testify as to the radiographic studies as these related to Dr. Wallace's diagnosis. Therefore, we agree with Mr. Graham that he was unfairly surprised by Dr. Hutt's testimony, (See footnote 2) and that this testimony was irrelevant and prejudicial.
According to Rule 402 of
the West Virginia Rules of Evidence, in part, [e]vidence which is not
relevant is not admissible. This is in line with this Court's holding
in Syllabus Point 1 of Smith v. Edward M. Rude Carrier Corp., 151 W.Va.
322, 151 S.E.2d 738 (1966) which states that [e]vidence which is irrelevant
or immaterial and has no probative value in determining any material issue
is inadmissible and should be excluded. See also, Ward v. Smith,
140 W.Va. 791, 816, 86 S.E.2d 539, 552-53 (1955) (Evidence which
is irrelevant and immaterial to any issue in a case and which tends to
confuse and mislead the jury is inadmissible and should be excluded.
(Citations omitted)). Relevant evidence is defined as evidence having
any tendency to make the existence of any fact that is of consequence to the
determination of the action more probable or less probable than it would be
without the evidence. W.Va.R.Evid.
401. This Court has recognized
that,
Under
Rule 401, evidence having any probative value whatsoever can satisfy
the relevancy definition. Obviously, this is a liberal standard favoring a
broad policy of admissibility. For example, the offered evidence does not
have to make the existence of a fact to be proved more probable than not or
provide a sufficient basis for sending the issue to the jury.
McDougal, 193 W.Va. at 236, 455 S.E.2d at 795.
Dr.
Hutt's testimony concerning the proper way to perform an arthrogram simply
was not probative on the issue whether Dr. Wallace misread Dr. Raskin's arthrogram
report. Dr. Raskin's report was clear on its face, and it indicated that the
arthrogram was unsuccessful.
The report also stated, TMJ arthrography with initial filling of the
superior compartment[.] Obviously, if Dr. Wallace read this report in
any way other than to indicate that Dr. Raskin injected the superior compartment
first and the arthrogram was unsuccessful, he misread the report. Therefore,
Dr. Hutt's testimony simply
did not make it any more or less likely that Dr. Wallace misinterpreted Dr.
Raskin's report.
It has long been recognized by this Court that, [a] judgment will not be reversed because of the admission of improper or irrelevant evidence, when it is clear that the verdict of the jury could not have been affected thereby. Syllabus Point 7, Starcher v. South Penn Oil Co., 81 W.Va. 587, 95 S.E. 28 (1918). After considering Dr. Hutt's testimony in the context of the evidence heard at trial, it is not clear to this Court that the jury's verdict could not have been affected by the testimony.
First, as we noted in Graham
v. Wallace I, [t]he instant case was clearly a close one -- on liability,
causation, and damages. 208 W.Va. at 143, 538 S.E.2d at 734. The close
nature of the case presents a greater possibility that the injection of irrelevant
evidence in the trial affected its outcome. Second, the
question of the proper interpretation of the arthrogram was significant at
trial. This is indicated by the fact that Dr. Wallace, Dr. Hutt, and Dr. Raskin
all testified about it at some length. Third, Dr. Wallace's testimony on cross-examination
concerning his reading of the arthrogram was confusing and equivocal.
(See footnote 3)
If the jury had been able to evaluate Dr. Wallace's testimony in light
of the express findings in Dr. Raskin's report, absent Dr. Hutt's irrelevant
testimony, we are not convinced that it would have reached the same verdict.
As noted above, Dr. Wallace
urges that the issue whether he misread Dr. Raskin's report is itself immaterial
since his findings during surgery confirmed his original diagnosis. We disagree.
Dr. Hutt's irrelevant testimony injected substantial confusion into the issue
of Dr. Wallace's reading of the arthrogram. As aptly stated in Mr. Graham's
brief, Dr. Wallace was able to muddy the water with the patina of expert
opinion. As a result, we believe that the jury may have been robbed
of a fair opportunity to determine whether Dr. Wallace's reading of the arthrogram
actually was immaterial in light of his subsequent findings, or, alternatively,
that his negligent reading of the report did not cause any harm to Mr. Graham.
For the reasons stated above,
this case is reversed and remanded for a new trial.
Further,
we believe that Dr. Hutt's testimony could have had a detrimental effect on
Mr. Graham's case because of the nature of the case and the evidence presented.
This is a medical malpractice case in which jurors were called upon to determine
complicated questions of diagnosis and treatment with the necessary aid of
expert witnesses. In this context, we believe that it was likely that irrelevant
testimony by an expert witness beclouded or confused a significant issue to
such an extent that the balance of the trial was unfairly tilted.
In closing, we emphasize that
we have carefully considered all of Dr. Wallace's arguments. We also fully
recognize that the trial judge did not enjoy our benefit of hindsight in assessing
Dr. Hutt's testimony in the context of this hard-fought and closely-tried
case. We must conclude, however, that fairness requires that the jury below
be able to evaluate all of the relevant evidence untainted by confusing, prejudicial,
and immaterial evidence.
Reversed and Remanded.
Footnote: 1