EVA HOOFNEL V. JAMES SEGAL, M.D. AND SUSAN GALANDIUK, M.D.
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2004-SC-0381-DG
EVA HOOFNEL
Air
APPELLANT
REVIEW FROM COURT OF APPEALS
2003-CA-0412
JEFFERSON CIRCUIT COURT NO . 01-CI-6321
v.
JAMES SEGAL, M .D . AND
SUSAN GALANDIUK, M.D.
APPELLEES
OPINION OF THE COURT BY JUSTICE GRAVES
Affirming
This appeal is from a summary judgment granted to Appellees, Drs. James Segal
and Susan Galandiuk, in a medical battery claim arising out of a scheduled surgery to
treat Appellant Eva Hoofnel's colorectal cancer. Even though Appellant admitted the
medical necessity of removing her ovaries and uterus during the surgical procedure,
Appellant alleges she did not consent for the removal of these organs .' The Jefferson
Circuit Court entered summary judgment in favor of Appellees . The Court of Appeals
affirmed, and we granted review. We affirm; however for reasons different from those of
the lower courts .
' Contrary to the dissent's assertion that no such admission was made, during oral
argument, counsel for Appellant states, "we do concede that the procedure was
medically appropriate, medically necessary." 11 :25:45
On January 2, 2001, Appellant met with Dr. Galandiuk regarding the surgical
removal of a lesion in her lower colon. The parties agreed that Dr. Galandiuk would
perform a low anterior resection of the colon and an appendectomy . Dr. Galandiuk also
recommended that Appellant undergo an oophorectomy to remove her ovaries, and a
hysterectomy to remove her uterus . At this time, Appellant stated that she did not want
her uterus or ovaries removed .
On January 5, 2001, Appellant underwent pre-operative testing at Norton
Hospital where she met with a member of the hospital's nursing staff who described the
risks of the surgical procedure scheduled for January 17, 2001 . Appellant signed a
"Consent to Operation" form . This consent form states that Dr. Galandiuk explained in
layman's terms the nature and risks of the surgical procedures . In handwriting, the
consent form recites that the procedures to be performed are an "anterior resection
colon with appendectomy and possible bilateral oophorectomy." The consent form also
contains the following paragraph authorizing additional procedures that may be
medically necessary :
I understand that, during the course of the procedure(s) or operation(s),
unforeseen conditions may require additional or different procedures than those
listed above . I, therefore, authorize and request that the above-named physician,
his/her associates, assistants, or consultants, perform such additional
procedures as are deemed necessary in their professional judgment. This may
include, but is not limited to, procedures involving pathology and radiology .
In her deposition, Dr. Galandiuk testified that Appellant verbally consented to an
oophorectomy and hysterectomy provided Dr. Galandiuk felt that such additional
procedures were medically necessary. Appellant denies giving verbal consent . During
the surgery, Dr. Galandiuk discovered an abnormally large uterus which impaired her
ability to resect the lesion in the colon . Appellant's uterus was pressing on the front wall
of the rectum where the lesion was to be excised . Because Dr. Galandiuk believed that
2
the uterus may have been cancerous, she consulted with Dr. Segal, a gynecologist,
during the operation . Dr. Segal observed the uterus and ovaries and agreed that they
may be cancerous .
In his deposition Dr. Segal testified that the uterus contained multiple fibroid
tumors and that Dr. Galandiuk could not have properly completed the colon resection
without removal of the abnormally large uterus . In reviewing Appellant's consent form
he noticed that a hysterectomy was not a specifically listed procedure .
Dr. Galandiuk
and her nurse advised Dr. Segal that Appellant gave her conditional consent for a
hysterectomy . Unable to contact a member of Appellant's family to confirm the consent,
Dr. Segal performed the oophorectomy and hysterectomy.
The Jefferson Circuit Court granted Appellees' motion for summary judgment,
and held that the consent to operate form was indisputable evidence that Appellant
gave Appellees consent to perform the procedures . The trial court concluded, as a
matter of law, that this consent defeated Appellant's battery claim . Appellant moved to
vacate the trial court's opinion, arguing that her signature on the consent form was not
dispositive on the issue of consent, and that consent is a process that takes into
account preoperative discussions . Although the trial court agreed with Appellant on this
point, it nevertheless denied her motion to vacate . It held that lack of consent was
"inextricably woven together" with lack of informed consent, and as such, Appellant
failed to present expert testimony to negate informed consent. That is, Appellant failed
to offer testimony concerning the language that should have been used in the consent
form.
2 In her deposition, Dr. Galadiuk was asked, "Did you have concerns that the ovaries
and uterus may be cancerous as well?" She responded, "I was concerned . . . I wanted
an expert opinion ." Pg. 39 .
3
The Court of Appeals affirmed the trial court and held that, under the facts of the
case, no reasonable person would have refused consent to the removal of the uterus
and ovaries . The Court of Appeals found that under the circumstances consent was
implied for removal of the uterus and ovaries.
Summary judgment is appropriate when there is no genuine issue as to any
material fact and the moving party is entitled to a judgment as a matter of law. CR
56 .03; Steelvest, Inc. v. Scansteel Service Ctr., Inc., 807 S .W .2d 476, 480 (Ky. 1991) .
We must view the record "in a light most favorable to the party opposing the motion for
summary judgment and all doubts are to be resolved in his favor." Steelvest , supra .
In our analysis, it is important to differentiate the concept of medical
malpractice/negligence from the concept of a medical battery . In Vitale v. Henchey , 24
S .W.3d 651 (Ky. 2000), this Court distinguished a medical battery claim from a
negligence claim. Without repeating the analysis of Vitale, again we simply state that
medical battery is an intentional tort, and as such, it contains all of the essential
elements of a common law claim of battery . Id . at 657. In this appeal, the element upon
which summary judgment was granted is consent . A plaintiff must prove lack of consent
as an essential element of battery . Id . at 658 (citing Restatement 2nd, Torts ยง 13,
Comment d) . Consent may be either expressed or implied from the circumstances . Id .
An exception to the consent requirement is an emergency or life threatening situation .
Vitale , supra , at 659 .
3 Vitale, supra , at 659. The Court of Appeals opinion, as Judge Johnson notes in his
dissent, incorrectly extends the notion of implied consent to include whether a
reasonable person in the patient's situation would consent . The correct inquiry
regarding implied consent is whether the particular patient implicitly manifested consent.
The Court in Haywood v. Allen, 406 S.W.2d 721 (Ky. App. 1966), held that a patient had
given her implied consent to a procedure where the procedure had been discussed
between the parties and there was a "tacit understanding" that it would be performed .
4
In this case we must determine whether the consent form that Appellant signed
prior to her surgery created a valid consent to the oophorectomy and hysterectomy, and
if so, whether a genuine issue of fact remains on the consent issue. In Kovacs v.
Freeman , 957 S .W .2d 251 (Ky. 1997), this Court explained the nature and role of a
consent form for medical procedures . We held that consent is a process, and the
consent form is a component of this process . Id . at 254-55 . We stated, "valid consent
to medical treatment is to be gleaned from evidence of the circumstances and
discussions surrounding the consent process ." Id . (citing Haywood , supra) .
In examining the consent form signed by Appellant, we find that it confirms her
consent to the oophorectomy and the hysterectomy . The form specifically names a
"possible bilateral oophorectomy" as a surgical procedure . The form also authorizes
procedures "as are deemed necessary" in the treating physicians' professional
judgment. This clause gave Dr. Galandiuk consent to perform the hysterectomy to
remove Appellant's uterus as it was abnormally large secondary to fibroids, potentially
cancerous, and was impairing and impeding the surgeon's ability to resect the lesion in
her colon .
We find the signed consent form to be clear evidence that summary judgment
was proper. In evaluating consent in light of the circumstances and discussions
surrounding the consent process, we do not believe that these circumstances create a
genuine issue of material fact. Although in Kovacs we held that a consent form is not
conclusive on the issue of consent, this is not to say that a consent form carries no
weight at all .
The Kovacs opinion discusses Lewis v. Kenady, 894 S .W.2d 619 (Ky. 1994) . In
Lewis, the plaintiff signed a consent form authorizing a mastectomy, but was permitted
to introduce testimony that her authorization was orally conditioned upon a positive
biopsy. Id . at 620, 622; Kovacs , supra, at 255. There, the circumstances and
discussions surrounding consent elaborated upon a condition to the consent form,
namely a confirmation of pathology.
There is a trend toward holding that consent evidenced in writing is conclusively
presumed to be a valid consent in the absence of a valid collateral challenge . See
Parikh v. Cunningham, 493 So .2d 999, 1001 (Fla . 1986) ; Cardio TVP Surgical Assoc. v.
Gillis, 528 S.E .2d 785, 787 (Ga. 2002); Snyder v. Ash , 596 N .E.2d 518 (Ohio App.
1991); Lugenbuhl v. Dowling , 701 So .2d 447, 450 (La. 1997); Piedra v. J.M. Dugan , 21
Cal .Rptr.3d 36 (Cal.App.4th Dist. 2004). This presumption has been applied even
where the consent form describes the procedures in medical terms (not laymen's terms)
or refers to "such additional operations or procedures as are considered therapeutically
necessary on the basis of findings during the course of said operation ." Hutcheson v.
McGoogan , 292 S.E .2d 527 (Ga. App. 1982) ("The finding is bound by his written
consent."); Watson v. Worthy , 259 S .E.2d 138,139 (Ga . App. 1979).
In the instant case, Appellant has not presented sufficient evidence to rebut, or to
distinguish the clear and unambiguous words of the consent form. Rather, Appellant
acknowledges that she signed the consent form, but the essence of her argument is
that she did not actually intend for her signature to grant consent. Appellant testified
that she told Dr. Galandiuk, during an initial consultation, that she did not want her
ovaries or uterus removed . Even assuming this conversation to be accurate, her
signature on the consent form directly authorized one of these procedures and thus
superseded this previous intention . The additional surgical procedure to remove the
uterus became medically necessary once the enlarged uterus was observed as it
impaired and impeded Dr. Galandiuk's ability to resect the lesion in the colon. The
existence of a signed consent form gives rise to a presumption that patients ordinarily
read and take whatever other measures are necessary to understand the nature, terms
and general meaning of consent. To hold otherwise would negate the legal significance
to written consent forms signed by the patient and render the consent form completely
unreliable .
The order of the Jefferson Circuit Court granting summary judgment is affirmed .
Lambert, C.J ., Graves, Johnstone, Roach, and Scott, J.J., concur.
Cooper, J., dissents in a separate opinion in which wintersheimer, J., joins .
Counsel for Appellant
Kevin C. Burke
Jason R. Segeleon
125 S . Seventh St.
Louisville, KY 40202
Counsel for Appellees
Gerald R. Toner
Donald K. Brown, Jr.
Cathleen Charters Palmer
O'Bryan, Brown & Toner
Suite 1500 Starks Building
455 South Fourth Ave.
Louisville, KY 40202
RENDERED : JUNE 15, 2006
TO BE PUBLISHED
,;vuyrrmr (burf of ~irufurhV
2004-SC-0381-DG
EVA HOOFNEL
APPELLANT
ON REVIEW FROM COURT OF APPEALS
2003-CA-412
JEFFERSON CIRCUIT COURT NO. 01-CI-6321
JAMES SEGAL, M.D.; AND
SUSAN GALANDIUK, M .D .
APPELLEES
DISSENTING OPINION BY JUSTICE COOPER
The majority opinion affirms a summary judgment entered by the trial court.
Because the majority opinion misstates certain material facts that are in the record and
assumes other facts that are not in the record, it is appropriate to remember the
standard by which summary judgments are reviewed .
Summary judgment is appropriate only if there is no genuine issue as to any
material fact and the movant is entitled to judgment as a matter of law. CR 56.03 . The
motion may be granted only if it would be impossible for the respondent to prevail at
trial . Steelvest, Inc . v. Scansteel Serv . Ctr., Inc., 807 S .W .2d 476, 480 (Ky. 1991) . The
record must be viewed in a light most favorable to the respondent and all doubts are to
be resolved in the respondent's favor. Id. That includes all doubts as to the existence
of questions of fact. Tille!y v. Louisville & Nashville R.R. Co . , 433 S.W.2d 623, 624 (Ky.
1968) ; Estell v. Barrickman , 571 S.W .2d 650, 653 (Ky. App. 1978) . In ruling on a
motion for summary judgment, it is the role of the judge to determine whether issues of
fact exist, not to resolve them . James Graham_ Brown Found ., Inc . v. St. Paul Fire &
Marine Ins . Co . , 814 S.W.2d 273, 276 (Ky. 1991) . Summary judgment is inappropriate
where, "although the facts and evidence thus far developed do not establish the
existence of a genuine issue of material fact. . . . neither do they establish the nonexistence of such an issue ." Paintsville Hoso. Co . v. Rose , 683 S.W.2d 255, 256 (Ky.
1985) (quotation omitted) .
Appellant, Eva Hoofnel, brought this action in battery against the Appellees, Dr.
Susan Galandiuk, a colorectal surgeon, and Dr. James Segal, an obstetrician and
gynecologist, seeking damages for the unauthorized removal of her uterus and ovaries
during surgery deemed necessary in order to remove a tumor from her colon . The
evidence on which summary judgment was premised consists of (1) the depositions of
Hoofnel, Galandiuk, Segal, and Carolyn Gowan, a nurse anesthetist ; (2) answers to
interrogatories and requests for admissions filed by both Galandiuk and Segal ; and
(3) Dr. Galandiuk's operative report.
.
Appellant, then age 56 and with less than a high school education, was referred
to Dr. Galandiuk for the removal of a tumor from the lower anterior portion of her colon.
On January 2, 2001, Hoofnel met with Dr. Galandiuk and a surgical resident, Dr. William
Rudolph, at Dr. Galandiuk's office . Galandiuk testified by deposition that, because the
removal of the tumor from Hoofnel's colon required abdominal surgery, she
recommended to Hoofnel that she also surgically remove Hoofnel's appendix, uterus,
and ovaries (appendectomy, hysterectomy, and bilateral oophorectomy) . Hoofnel
testified that she agreed to the appendectomy, did not agree to the hysterectomy, and
that removal of her ovaries was never discussed (perhaps because Dr. Galandiuk did
not explain to her the meaning of the word "oophorectomy") . Specifically, Hoofnel
testified that she told Galandiuk that she "did not want any of my female parts
removed ." Galandiuk wrote in her notes:
I had talked with her about oophorectomy and she wishes not to pursue
that. I have discussed with her the possible need for hysterectomy should
there be tumor involvement and I've also discussed with her doing
incidental appendectomy, which she wishes to be done.
(Emphasis added .) Dr. Rudolph's notes reflect, inter alia: "Of note, the patient does not
wish her ovaries removed, but we will do an appendectomy along with the low anterior
resection ."
On January 5, 2001, Hoofnel reported to Norton Hospital for a preoperative
workup . While there, she signed the "Consent to Operation" form which the majority
opinion concludes entitles Galandiuk and Segal to summary judgments . That consent
form reads in pertinent part (handwritten portions underlined) :
1.
I hereby authorize Dr.
Galandiuk
and/or such associates,
assistants and consultants as may be selected by him/her to
perform the following procedures or operations upon me (my child) .
Description of procedure in layman's terms :
anterior resection colon with appendectomy and possible
bilateral oophorectomy
2.
Dr.
Galandiuk
has explained to me in terms I understand
the following information :
A.
The basic nature of the procedure(s) or operation(s) listed
above;
The substantial risks and hazards of the procedure(s) or
operation(s) ;
Alternative procedures or treatments ; and
C.
D.
The probable outcome should the procedure(s) or
operations(s) not be performed .
Both Dr. Galandiuk and Dr . Segal admitted that the description of the procedures on the
consent form were not in "layman's terms ." Hoofnel testified that she has "no clue" what
the word "oophorectomy" means. Contrary to the assertion in the majority opinion that
Hoofnel "underwent pre-operative testing at Norton Hospital where she met with Dr.
Galandiuk's nurse practitioner who described the risks of the surgical procedure," ante,
(slip op . at 2), Dr. Galandiuk testified that someone from her office contacted
someone at the hospital by telephone and informed that person what procedures Dr.
Galandiuk intended to perform and that the "[d]escription of procedure in layman's
terms" would have been added to the consent form based on that information . She
admitted that she did not talk to Hoofnel during the period between the office visit on
January 2, 2001, and the day of the surgery, January 17, 2001 . She did not attempt to
explain why the consent form contained the words "possible oophorectomy," but did
testify that she had originally recommended the oophorectomy to Hoofnel because
colon cancer sometimes spreads to the ovaries . Finally, although the consent form
states that "Dr. Galandiuk has explained to me in terms I understand the following
information," Galandiuk testified that she relies on hospital personnel to explain that
information to the patient.
There exists a factual dispute as to whether Hoofnel verbally consented to the
hysterectomy and oophorectomy immediately prior to the surgery . Nurse Gowan
testified that when Hoofnel arrived at the preoperative area, she asked Hoofnel what
procedures were to be performed and Hoofnel responded, "colon surgery and a
hysterectomy ." Gowan stated that she was surprised by this response because she
knew that Dr. Galandiuk does not do hysterectomies . (Dr. Galandiuk, however, testified
that she frequently performs both hysterectomies and oophorectomies.) According to
Gowan, when she informed Hoofnel that Dr. Galandiuk does not do hysterectomies,
Hoofnel became angry and insisted that "all of those things be done at the same time ."
Since there was no signed consent to a hysterectomy, Gowan paged Dr. Galandiuk,
who advised Hoofnel in Gowan's presence that she would only do a hysterectomy if it
was "medically necessary."
Dr. Galandiuk's version of this conversation is that Hoofnel said: "I want you to
take my ovaries out . I want you to do a hysterectomy . I want you to do everything
that's necessary, if you feel it's necessary."
Hoofnel's version is that when she entered the preoperative area, Gowan asked
her, "You are here for appendix and colon?" Hoofnel responded, "Yes," then took a pill
given to her by Gowan and remembers nothing else until she awakened in the recovery
room . She denies any conversation with Dr. Galandiuk on the day of the surgery. It
was Dr. Segal who told her that he had removed her uterus and ovaries . After the
surgery, Dr. Galandiuk made the following handwritten entry in her office notes :
"1/17/01 - discussed w/ pt - she does indeed wish ovaries removed ." But even this
belated entry does not reflect a consent to the hysterectomy.
Although Dr. Galandiuk testified that she found Hoofnel's uterus and ovaries to
be "grossly enlarged," her operative report does not mention the word "uterus" and only
states with respect to the ovaries:
The patient's ovaries and fallopian tubes appeared normal. However,
there were several endometrial fibroids including one very large one. We
asked Dr. Shaffer [sic] of gynecology to take a look in . He felt because of
the size of the mass that total abdominal hysterectomy was indicated .
Contrary to the statement made in the majority opinion, Dr. Galandiuk did not testify and
her operative report does not reflect that she "believed the uterus may have been
cancerous ." Ante , at
(slip op. at 2) . In her answers to interrogatories, Dr.
Galandiuk stated that Dr. Segal "made the determination that Plaintiff needed a
hysterectomy and oophorectomy ." Dr. Segal's version is substantially different .
Dr. Segal testified that on January 17, 2001, he was paged for a surgical
consultation and proceeded to the operating room where Dr. Galandiuk's surgery on
Hoofnel was in progress . He testified that Dr. Galandiuk told him that Hoofnel "had
requested that, if her uterus was abnormal, that it be removed . . . [a]nd she asked me if
her uterus was abnormal." Dr. Segal testified that Hoofnel's uterus was "abnormal"
because it was more than double the normal size of the uterus of a 56-year-old woman
who is not taking hormones" and had "multiple benign leiomyomata," i.e. , benign fibroid
tumors . He further testified that there was no emergency reason to perform either a
hysterectomy or an oophorectomy and that the benign fibroid tumors could have been
removed without removing the uterus . According to Dr. Segal, there was never any fear
that cancer had spread to the ovaries, and "cancer in the uterus was not a concern."
Rather, he performed the oophorectomy at Dr. Galandiuk's request pursuant to the
written consent form signed by Hoofnel and performed the hysterectomy because Dr.
Galandiuk told him that Hoofnel wanted her uterus removed if it was "abnormal." A
subsequent pathology report confirmed that neither the uterus nor the ovaries were
cancerous .
The majority opinion states that "Appellant admitted the medical necessity of
removing her ovaries and uterus during the surgical procedure ." Ante, at
(slip op.
at 1) . Not so. Hoofnel never made such an admission, nor is such an admission
contained in her brief. In fact, Hoofnel testified that (1) neither Dr. Galandiuk nor Dr.
Segal ever told her why they removed her ovaries and uterus, and (2) she did not
believe her life would be threatened today if her ovaries and uterus had not been
removed . In an unsworn response to a request for admission, dated November 14,
2001, Dr. Galandiuk's attorney wrote :
The procedures which Dr. Galandiuk performed could not be
accomplished without the hysterectomy and oophorectomy performed by
Dr. Segal . Because of concerns that Ms. Hoofnel may have extensive
cancer, it was felt that that probably required emergency action .
As noted, Dr. Segal specifically refuted any claim that either he or Dr . Galandiuk
believed the ovaries and uterus were cancerous or that emergency action was required
to remove them . Dr. Galandiuk did not testify-and her operative record does not
reflect-that the colon surgery could not have been accomplished without the
hysterectomy and oophorectomy . In fact, Dr. Segal testified that when he arrived at the
operating room, "[p]art of the bowel surgery had already been performed ." He did not
testify to any complaints by Dr. Galandiuk that she could not perform the colon surgery
because her access to the colon was blocked by the uterus and ovaries . The only
mention of this theory is arguably found in Dr. Galandiuk's January 14, 2002, answer to
an interrogatory asking why she called Dr. Segal in for consultation :
After Dr. Segal was consulted because of the condition of Plaintiff's
ovaries and uterus, both organs were grossly enlarged . Indeed, the
uterus was of such size that the low anterior resection was stapled
colorectal low, anterior resection colon J pouch could not be accomplished
if the uterus remained. [Sic.]
This is the only statement in the record that advances this theory, which is otherwise
unsupported by Dr. Galandiuk's testimony, by her operative report, or by Dr. Segal . Dr.
Galandiuk did not assert this alleged "necessity" in her brief in support of her motion for
summary judgment, but raised it. for the first time on appeal . Certainly, a jury was not
required to believe this belated claim in the face of the substantial evidence to the
contrary .
Every 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 .
Tabor v. Scobee, 254 S .W.2d 474, 475 (Ky. 1951) (citation and quotation omitted) .
The majority opinion deems the Consent to Operate Form signed by Hoofnel to
require summary judgments for both doctors despite the existence of substantial
evidence that Hoofnel specifically told Dr. Galandiuk that she did not want her "female
parts" removed, that Hoofnel did not know the meaning of the word "oophorectomy"
when she signed the consent form, that the consent form did not purport to authorize a
hysterectomy, and that there was no medical necessity for either the oophorectomy or
the hysterectomy . Furthermore :
Consent is a process, not a document. Authorization for treatment is the
culmination of a discussion between a patient and a health care provider,
the disclosure of risk and benefit information, the disclosure of reasonable
alternative forms of care, and the posing of questions and answers by
both the patient and the provider. Once the patient has agreed to a
specific course of treatment, the process is over. . . . The documentation,
the so-called consent form, is not the consent, for that lies instead in the
conclusion of the discussion between the patient and the physician .
Kovacs v. Freeman , 957 S .W.2d 251, 254 (Ky. 1997) (quotation omitted) .
There were substantial issues of fact in this case that precluded summary
judgment. The trial court, the Court of Appeals, and now this Court have simply
resolved those factual issues in favor of the doctors, ignoring the evidence to the
contrary . As noted at the outset of this opinion, a judge's obligation on motion for
summary judgment is to identify factual issues, not resolve them . Brown Found . , 814
S . W .2d at 276 .
Accordingly, I dissent.
Wintersheimer, J ., joins .
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