Robert P. Fitzsimmons Herbert G. Underwood
William E. Parsons Steptoe & Johnson
Fitzsimmons & Parsons Clarksburg, West Virginia
Wheeling, West Virginia Attorney for the Appellee
and
Gregory A. Gaudino
William G. Petroplus
Petroplus & Gaudino
Wheeling, West Virginia
Attorneys for the Appellants
CHIEF JUSTICE McHUGH delivered the Opinion of the Court.
A few seconds after his birth, Michael stopped breathing.
James Edward Goodwin, M.D., the pediatrician selected to be
Michael's doctor upon birth, attempted to resuscitate Michael by
intubating him. Two and one-half hours later, a team from West
Virginia University arrived at Reynolds Memorial Hospital and had
to reintubate Michael because the tube was placed in his esophagus
instead of his trachea. The record indicates that Dr. Goodwin did
not have privileges at Reynolds Memorial Hospital to care for
premature infants experiencing complications.
Now, at eight years of age, Michael has severe to
profound mental retardation, severe developmental delays, cerebral
palsy, left hemiplegia, grand mal and petit mal seizures, attention
deficit with hyperactivity, no meaningful speech, and aggressive
behavior which is sometimes self-abusive. Michael is currently
functioning at the level of a one-year-old child.
Ms. Rine filed a medical malpractice action against Dr.
Irisari based on the theory that Dr. Irisari was negligent in
failing to transport Ms. Rine to a high-risk medical facility, in
failing to use an electronic fetal heart monitor, in failing to
monitor Ms. Rine's labor and fetus,See footnote 3 and in failing to organize an
adequate resuscitation team. Ms. Rine alleges that Dr. Irisari's
negligence caused or contributed to Michael's injuries.See footnote 4
A six-day trial was held before a jury in November of
1990, and at the conclusion, the jury returned a verdict in favor
of Dr. Irisari. The appellants now seek to have the jury verdict
and judgment set aside, and a new trial awarded.
normal efforts of third persons in rendering
aid which the other's injury reasonably
requires, irrespective of whether such acts
are done in a proper or a negligent manner.
Many courts have recognized the rule that, in cases of
successive malpractice, the original medical tortfeasor is liable
for subsequent negligent medical treatment which is undertaken to
mitigate the harm caused by the original medical tortfeasor. Daly
v. United States, 946 F.2d 1467 (9th Cir. 1991); Cokas v. Perkins,
252 F. Supp. 563 (D.C. 1966); Davidson v. Gaillard, 584 So. 2d 71
(Fla. Dist. Ct. App. 1991); Carter v. Shirley, 488 N.E.2d 16 (Mass.
App. Ct. 1986); Naccarato v. Grob, 180 N.W.2d 788 (Mich. 1970);
Lindquist v. Dengel, 595 P.2d 934 (Wash. 1979). See also Gilson v.
Mitchell, 205 S.E.2d 421 (Ga. Ct. App. 1974), aff'd, 211 S.E.2d 744
(Ga. 1975); Alberstett v. Country Mutual Insurance Co., 398 N.E.2d
611 (Ill. App. Ct. 1979); Sall v. Ellfeldt, 662 S.W.2d 517, 525 n.
4 (Mo. Ct. App. 1983); Incollingo v. Ewing, 282 A.2d 206 (Pa.
1971); Corbett v. Clarke, 46 S.E.2d 327 (Va. 1948).
In Lindquist v. Dengel, the Washington Supreme Court
found that
where malpractice results in an injury for
which a physician is liable, the risk created
includes that of additional medical treatment
and, perhaps, additional harm. There is no
reason in principle to create a special
exception to the rule of liability for harm
which is foreseeable and within the scope of
the risk merely because the tort-feasor is a
physician.
595 P.2d at 937. In reaching this decision, the court relied on the basic rule of liability for harm resulting from treatment of
injuries caused by a tortfeasor's negligent conduct which is stated
in Restatement (Second) of Torts § 457 (1965).
The Ninth Circuit recently clarified the rule stated by
the Washington Supreme Court in Lindquist. The Ninth Circuit
pointed out, in Daly v. United States, that "[t]he relationship
between the harm inflicted by the first physician and the treatment
initiated by the second is crucial to holding the first physician
liable for subsequent malpractice." 946 F.2d at 1471. The court
stated that section 457 of the Restatement (Second) of Torts (1965)
"applies only when the subsequent treatment is undertaken to
mitigate harm inflicted by a prior physician." Id.
The District Court of Appeal of Florida addressed the
issue of the foreseeability of the subsequent negligent treatment
in Davidson v. Gaillard, supra. That court also cited section 457
of the Restatement (Second) of Torts (1965) and recognized that
"[t]he rationale for this rule is that negligent medical treatment
is within the scope of the risk created by the original negligent
conduct." 584 So. 2d at 73. The court also observed that when an
original tortfeasor's negligent act causes a plaintiff to seek
medical treatment which is negligently provided, such negligent
medical treatment is foreseeable as a matter of law. Id. However,
the court acknowledged that if the nature of the subsequent
negligent treatment is "highly unusual, extraordinary or bizarre,"
such negligence would be unforeseeable as a matter of law. 584 So.
2d at 74.
Finally, the Appeals Court of Massachusetts, in Carter v.
Shirley, also found that the rule stated in the Restatement
(Second) of Torts § 457 (1965) should apply to "physicians whose
original negligence causes the intervention of a second physician
who either improperly diagnoses the case and performs an
unnecessary operation or makes a proper diagnosis and performs a
necessary operation negligently." 488 N.E.2d at 20.
Although we have never addressed this issue in a case
involving successive malpractice, this Court has recognized that a
person who negligently causes personal injuries is liable for
increased damages due to the negligence of a physician who treats
and aggravates the original injury when the injured person
exercises reasonable care in selecting the physician. Syl. pt. 1,
Mier v. Yoho, 114 W. Va. 248, 171 S.E. 535 (1933), overruled on
another point, syl. pt. 4, Thornton v. Charleston Area Medical
Center, 158 W. Va. 504, 213 S.E.2d 102 (1975).See footnote 5 We observed that
the reason given for this rule "is that the aggravation caused by
the negligent or unskillful treatment by a physician of the
original injury would not have occurred if there had been no
original injury[.]" Makarenko v. Scott, 132 W. Va. 430, 441, 55
S.E.2d 88, 93-94 (1949), overruled on another point, syl. pt. 4,
Thornton v. Charleston Area Medical Center, 158 W. Va. 504, 213
S.E.2d 102 (1975) and syl. pt. 1, Jones v. Laird Foundation, Inc.,
156 W. Va. 479, 195 S.E.2d 821 (1973).
There appears to be no reason not to apply this rule to
a physician whose original negligence causes the intervention of a
second physician who is also negligent. Therefore, we hold that a
negligent physician is liable for the aggravation of injuries
resulting from subsequent negligent medical treatment, if
foreseeable, where that subsequent medical treatment is undertaken
to mitigate the harm caused by the physician's own negligence.
Upon reviewing the jury instructions in the present case,
we do not find that the jury was properly instructed on the
appellants' theory of Dr. Irisari's liability for subsequent
negligent medical treatment.See footnote 6 The judge's chargeSee footnote 7 which included
the jury instructions,See footnote 8 did not adequately cover the appellants'
theory of Dr. Irisari's liability for foreseeable subsequent
negligent treatment. Thus, because the jury was not fully
instructed on all the principles that applied to the case, we
conclude that the refused instruction should have been given.See footnote 9
court regarding the conversation, stated that, from what she knew
of Dr. Irisari, "he seems alright to me."See footnote 11 The trial court did
not, however, excuse Ms. Okel for cause.
The other juror, William Brown, at first indicated that
he did not know Dr. Irisari. However, it later came out that Mr.
Brown operated a grocery store across the street from Dr. Irisari's
office, that Dr. Irisari's wife was one of his customers, and that
Dr. Irisari and his wife were both good neighbors and customers.
When asked whether he would be uncomfortable to see Dr. Irisari's
wife at the grocery store if he awarded a verdict against her
husband, Mr. Brown responded that "[i]t might be hard to look her
in the eye when I saw her."
The appellants rely on Davis v. Wang, 184 W. Va. 222,
225, 400 S.E.2d 230, 233 (1990),See footnote 12 wherein we restated the test of
a qualified juror: "The true test as to whether a juror is
qualified to serve on the panel is whether without bias or
prejudice he can render a verdict solely on the evidence under the
instructions of the court." Syl. pt. 1, State v. Wilson, 157
W. Va. 1036, 207 S.E.2d 174 (1974).
Although we recognized in Davis that the decision to
grant a motion to strike a juror for cause is within the discretion
of the trial court, we also explained how that discretion must be
balanced:
[T]he discretion granted the trial court in
striking jurors for cause must be balanced
against our determination, after the fact, of
whether the potential jurors were sufficiently
biased so as to prevent a fair trial. This
Court has concluded that 'the mere statement
of a prospective juror that he or she is not
biased with respect to a particular cause may
not be sufficient for the trial court to
conclude that no such bias exists.'
Id.
We further stated, in Davis, reaffirming our earlier
holding in State v. West, 157 W. Va. 209, 200 S.E.2d 859 (1973),
that "[a]ny doubt the court might have regarding the impartiality
of a juror must be resolved in favor of the party seeking to strike
the potential juror." 184 W. Va. at 226, 400 S.E.2d at 234.
In the case now before us, although Ms. Okel and Mr.
Williams both represented to the trial court that they each
believed they could reach a verdict based solely on the evidence
and the instructions, certain statements made by each of them
brought their impartiality into doubt. The mere statements by both
of these jurors to the effect that they would not be biased were
not sufficient for the trial court to conclude that no bias
existed, given their other statements about Dr. Irisari and his
wife.See footnote 13 In accordance with Davis, supra, any doubt regarding the
impartiality of Ms. Okel and Mr. Brown should have been resolved in
favor of the appellants who were seeking to strike them from the
jury for cause. Thus, we agree with the appellants that cause
existed to strike Ms. Okel and Mr. Brown from the jury.
Accordingly, we find that the trial court abused its discretion.
(1) Former Testimony.--Testimony given as
a witness at another hearing of the same or a
different proceeding, or in a deposition taken
in compliance with law in the course of the
same or another proceeding, if the party
against whom the testimony is now offered, or,
in a civil action or proceeding, a predecessor
in interest, had an opportunity and similar
motive to develop the testimony by direct,
cross, or redirect examination.
As a condition precedent to the admissibility of evidence
under the hearsay rule exceptions of W. Va. R. Evid. 804, the
proponent of the evidence must show proof of the unavailability of
the declarant. 11 James Wm. Moore & Helen I. Bendix, Moore's
Federal Practice § 804.02 (1989); 4 Jack B. Weinstein & Margaret A.
Berger, Weinstein's Evidence § 804(a)[01] (1991). The definition
for the "unavailability of a witness" is found in Rule 804(a) of
the West Virginia Rules of Evidence:
Rule 804. Hearsay Exceptions; Declarant
Unavailable. (a) Definition of
Unavailability.--'Unavailability as a witness'
includes situations in which the declarant--
(1) is exempted by ruling of the court on
the ground of privilege from testifying
concerning the subject matter of his
statement; or
(2) persists in refusing to testify
concerning the subject matter of his statement
despite an order of the court to do so; or
(3) testifies to a lack of memory of the
subject matter of his statement; or
(4) is unable to be present or to testify
at the hearing because of death or then
existing physical or mental illness or
infirmity; or
(5) is absent from the hearing and the
proponent of his statement has been unable to
procure his attendance (or in the case of a
hearsay exception under subdivision (b)(2),
(3), or (4), his attendance or testimony) by
process or other reasonable means. A
declarant is not unavailable as a witness if
his exemption, refusal, claim of lack of
memory, inability, or absence is due to the
procurement or wrongdoing of the proponent of
his statement for the purpose of preventing
the witness from attending or testifying.
As a general rule, it is within the discretion of the trial court to decide whether the proof of the witness' unavailability is sufficient. Barrett v. Asarco Inc., 799 P.2d 1078, 1082 (Mont.
1990); Williams v. A-Treat Bottling Co., Inc., 551 A.2d 297, 300
(Pa. Super. Ct. 1988).
There is a preference to have the witness available to
testify in open court. The United States Supreme Court explained
this preference in United States v. Inadi, 475 U.S. 387, 394, 106
S. Ct. 1121, 1126, 89 L. Ed. 2d 390, 398 (1986):See footnote 14
Unlike some other exceptions to the hearsay
rules, or the exemption from the hearsay
definition involved in this case, former
testimony often is only a weaker substitute
for live testimony. It seldom has independent
evidentiary significance of its own, but is
intended to replace live testimony. If the
declarant is available and the same
information can be presented to the trier of
fact in the form of live testimony, with full
cross-examination and the opportunity to view
the demeanor of the declarant, there is little
justification for relying on the weaker
version.
See 2 John William Strong, McCormick on Evidence § 301, at 304 & n.
6 (4th ed. 1992). See also City of Indianapolis v. Parker, 427
N.E.2d 456, 462 (Ind. Ct. App. 1981) (the policy favoring personal
presence requires that a showing of unavailability be made before
the testimony of a witness at a former trial may be introduced at
a subsequent trial).
Therefore, based on the discussion above, we hold that as
a condition precedent to the admissibility of former testimony
under W. Va. R. Evid. 804(b)(1), the proponent of such testimony
must show the unavailability of the witness. If the witness is
available, the in-court testimony of that witness is preferred.
In the case before us, the deposition of Ms. Rine's
sister, Cindi Bougher, was used by defense counsel to ask the
appellants' neurological expert, Charles Poser, M.D., whether he
was advised that her deposition was part of the record in the
case.See footnote 15 Defense counsel then used the deposition to question Ms.
Rine as to whether she knew that her sister's testimony regarding
the birth of Michael was contrary to her own. The appellants'
counsel objected on the grounds that the testimony was hearsay and
that defense counsel had failed to show Ms. Bougher was unavailable
to testify. Defense counsel then represented to the court that he
was going to attempt to bring Ms. Bougher in to testify,See footnote 16 and he
did not indicate that she was unavailable to testify. Defense
counsel, however, never called Ms. Bougher as a witness.
Although Dr. Irisari argues that the deposition was not
being offered to show the truth of the matter asserted, it is
apparent that it was being offered to show Michael's condition at
birth, a key issue in this medical malpractice action.
Furthermore, there is nothing in the record which indicates that
Ms. Bougher was unavailable to testify. Therefore, we find that,
under W. Va. R. Evid. 804, this deposition should not have been
used because there was no indication that the witness was
unavailable and the introduction of the hearsay testimony was
prejudicial to the appellants.
W. Va. R. Evid. 611(c) governs the use of leading
questions on direct examination and cross-examination:
(c) Leading Questions.--Leading questions
should not be used on the direct examination
of a witness except as may be necessary to
develop his testimony. Ordinarily, leading
questions should be permitted on cross-examination. When a party calls a hostile
witness, an adverse party, a witness
identified with an adverse party, or an expert
witness, interrogation may be by leading
questions.
This Court has recognized the right, under W. Va. R.
Evid. 611, to call an adverse party and interrogate that party by
leading questions. Syl. pt. 1, Gable v. Kroger Co., 186 W. Va. 62,
410 S.E.2d 701 (1991). We have also recognized that the trial
court has discretion under Rule 611(a) to exercise reasonable
control over the mode of cross-examining witnesses. Syl. pt. 2,
Gable, supra. However, we have yet to address the issue of whether
leading questions may be asked of an adverse witness on cross-examination, where the adverse party himself has been called as a
witness by the opponent and the cross-examination being conducted
by the adverse party's own counsel is cross-examination in form
only and not in fact.
Although leading questions are permitted on cross-examination, there are exceptions where leading questions should be
limited or prohibited on cross-examination. W. Va. R. Evid. 611(c)
and Rule 611(c) of the Federal Rules of EvidenceSee footnote 18 both include the
qualification "ordinarily" in their reference to the use of leading
questions on cross-examination to provide for those exceptions.
The Advisory Committee's Note to Fed. R. Evid. 611(c) explains the
purpose of the qualification "ordinarily":
The rule also conforms to tradition in
making the use of leading questions on cross-examination a matter of right. The purpose of
the qualification 'ordinarily' is to furnish a
basis for denying the use of leading questions
when the cross-examination is cross-examination in form only and not in fact, as
for example the 'cross-examination' of a party
by his own counsel after being called by the
opponent (savoring more of re-direct) or of an
insured defendant who proves to be friendly to
the plaintiff.
(emphasis added)
The rationale for limiting the use of leading questions
on cross-examination where the adverse party or a witness favorable
to him has been called by his opponent is that a friendly or pliant
witness may follow the suggestion of the interrogator as to the
desired answer. Ellis v. City of Chicago, 667 F.2d 606, 612 (7th
Cir. 1981); Harris v. Buxton T.V., Inc., 460 So. 2d 828, 832 (Miss.
1984); State v. Hosey, 348 S.E.2d 805, 810 (N.C. 1986); 1 John
William Strong, McCormick on Evidence § 6 (4th ed. 1992); 10 James
Wm. Moore & Helen I. Bendix, Moore's Federal Practice § 611.31
(1988); 3 Jack B. Weinstein & Margaret A. Berger, Weinstein's
Evidence § 611[05] (1991).
In Shultz v. Rice, 809 F.2d 643 (10th Cir. 1986), the
Tenth Circuit ruled on the issue of whether, under Fed. R. Evid.
611(c), defense counsel could ask leading questions of the
defendant doctor, after the doctor had been called as a witness by
his opponent. The court found that the questioning of the
defendant doctor by his own counsel on cross-examination "is
precisely that characterized in the [advisory committee's] note [to
Rule 611(c)] as 'cross-examination in form only and not in fact,'
and therefore, should not have been allowed as a matter of right."
809 F.2d at 654. The court observed, however, that the preliminary
questions defense counsel asked the defendant doctor related to
undisputed facts. The court ultimately held that the leading
questions asked the defendant doctor by his own counsel were
"archetypical of those allowed during direct examination to develop
testimony and expedite entry into evidence of time-consuming
foundational information." 809 F.2d at 655.
In State v. Hosey, supra, the Supreme Court of North
Carolina addressed the issue of asking leading questions to a
friendly witness on cross-examination. In discussing the rule
discouraging the use of leading questions when examining a friendly
witness, the Court explained that "[j]ustifiable concern has been
expressed that to allow a party to ask leading questions of a
friendly witness 'would allow the examiner to provide a false
memory to the witness by suggesting the desired reply to his
question.'" 348 S.E.2d at 810 (citation omitted). The Court held
that the qualification "ordinarily" included in Rule 611(c) "'is to
furnish a basis for denying the use of leading questions when the
cross-examination is cross-examination in form only and not in
fact[.]"See footnote 19 Id. The Court also recognized that inherent in the
discretion granted to the trial court under Rule 611 is the
discretion of the trial court to sustain objections to leading
questions asked on cross-examination of a friendly witness. Id.
Thus, based on the foregoing reasoning, we hold that
where the adverse party or a witness favorable to the adverse party
is called as a witness by the opponent, leading questions by the
adverse party's own counsel on cross-examination will usually not
be allowed.
In the present case, although it appears that the
questions to which the appellants' counsel objected at trial were
leading,See footnote 20 those questions and Dr. Irisari's responses were
substantially the same as those asked by appellants' counsel and answered by Dr. Irisari on direct.See footnote 21 However, because we intend to remand this case for a new trial, we caution counsel to avoid using leading questions under these circumstances.
If you find for the plaintiffs on the
issue of liability, then in assessing damages
against the defendant, you may include in your
verdict an amount for the damages, if any,
which you find resulted from subsequent
negligent medical treatment rendered by
physicians other than the defendant in caring
for the injuries caused by the defendant's
negligence so long as you find that the
plaintiffs exercised ordinary care in
selecting such subsequent physicians.
[I]f you believe from a preponderance of the
evidence that the alleged injuries to Michael
Rine occurred only as a consequence of the
intubation performed by Dr. Goodwin or Dr.
Sheinholtz immediately following his birth and
in the presence and with the acquiescence of
Dr. Ventosa and Dr. Sheinholtz, and that the
medical care and treatment was necessary as a
consequence of Michael Rine's prematurity and
if you find that the intubation was negligent
and not due to any negligence on the part of
Dr. Irisari, then you must fin[d] for the
Defendant, Oscar S. Irisari.
You are instructed that if you find
Defendant Oscar Irisari negligent, then it is
not a defense for him nor can he avoid
liability for aggravation of the injuries
caused by medical personnel who later
negligently treated Michael Rine for the
injuries he received as a result of the
original negligence of Defendant Oscar
Irisari.
Any reduction in the amount of damages as
a result of other persons' negligence, if any,
will be done by me, if the law so provides,
after the verdict. It is therefore important
that you assess the total amount of damages,
if any, according to these instructions.
Doctor, were you advised that in the course of evaluating this case and arriving at your conclusions that Ms. Cindi Bougher, a nurse and sister of Traci Rine, had testified with regard to the child; he was taken over and put on the warming lights. Kathy and Dr. Goodwin were working with him, and I remember Dr. Goodwin saying something about -- I don't recall. I don't think he said, he must have said respiratory arrest. I don't recall exactly, but it was something to the effect that the baby was not breathing as it should be. That was my end of contact with the baby at that time.
MR. FITZSIMMONS: Judge, there is no
testimony. Are you going to call her, Mr.
Underwood?
THE COURT: Is there going to be
testimony here?
MR. FITZSIMMONS: Are you going to
attempt to bring her in?
MR. UNDERWOOD: I expect to, yes, if I
can find her.
MR. FITZSIMMONS: Well, let's bring her
in and let her testify then.
THE COURT: Well, this has come up on two
or three other occasions.
MR. FITZSIMMONS: That's a deposition and
that's hearsay until--
THE COURT: Wait. Let's come up here.
(Discussion held at the bench out of the
hearing of the jury.)
THE COURT: It's been used two or three
times before.
MR. FITZSIMMONS: It's hearsay.
THE COURT: It's from the deposition but
it's not intended--I thought that someone
intended to bring her in here to testify.
MR. FITZSIMMONS: Mr. Underwood has her
listed as a witness, but he can't represent
that there is testimony. That's hearsay.
Mr. Fitzsimmons then explained to the court that
[T]he only way you can use a deposition, Judge, is if . . . there is an unavailability of the witness. He has not shown the unavailability of the witness and when he
does, then he can use the deposition. It's
use in this situation is not permitted under
the rules and it's hearsay.
The court, however, overruled the objection.
(c) Leading Questions. Leading questions
should not be used on the direct examination
of a witness except as may be necessary to
develop the witness' testimony. Ordinarily
leading questions should be permitted on
cross-examination. When a party calls a
hostile witness, an adverse party, or a
witness identified with an adverse party,
interrogation may be by leading questions.
W. Va. R. Evid. 611(c) has the same provision as the federal rule that "ordinarily leading questions should be permitted on cross-examination." (emphasis added)
Q. Doctor, in 1983, regardless of the
location, was there more than one type of
fetal monitor?
A. Yes, there was.
Q. What were those types?
A. One was -- you mean the manufacturer?
Q. No, sir. Was there an internal fetal
monitor?
A. Internal and external fetal monitors.
I thought that you wanted the manufacturer.
. . . .
Q. Excuse me, 1983. Doctor, did you
order that the only fetal monitor available at
Reynolds Memorial be applied to a patient of
yours on June 24, 1983?
A. Yes, and when Traci came that patient
was already in there. In my medical judgment
that patient has more life threatening
situation than Traci did.
Q. Was the patient to whom you ordered
the electronic fetal monitor applied at
Reynolds a high risk patient?
A. Yes.
Q. What was the nature of the high risk
that involved that patient, Doctor?
A. She had severe preeclampsia to the
point of being convulsive because her blood
pressures were really high.
Q. Is that a significant medical problem
to a mother, or a mother to be and the fetus?
A. Yes.
Q. Did you understand that this patient
of yours was afflicted with a significant
medical problem at that time?
A. Yes.
Q. Was it your decision from a medical
standpoint to --
Appellants' counsel raised an objection at this point.
Q. So, you were managing three patients
that night; one who was high risk that got the
monitor, and Traci Rine who was also high risk
and didn't get the monitor; is that a fair
statement?
A. Yes.
Q. And you managed Traci's labor knowing
that Traci and her baby were high risk without
an available electronic fetal heart monitor
from approximately 10:00 p.m. [o]n June 24 all
the way until the time she gave birth at 6:49
a.m. on June 25; didn't you?
A. I recognized Traci as high risk, and
the other patient that I was watching was in a
life threatening situation, more high risk
than Traci was.
Q. You testified that --
A. And I elected to put the monitor on
that patient, and that patient came in a lot
earlier than when Traci came.
Q. Right.