ON PETITION TO TRANSFER
BOEHM, Justice.
The plaintiffs are a married couple who allege medical malpractice in the failure to follow up on a chest x-ray that revealed a nodule in the wife's lung. When the complaint was filed, the wife had incurred an increased risk of fatal cancer as a result of the delay in diagnosis, but was in remission. This case addresses whether a claim for medical malpractice may be asserted if the injury has not come to its full potential, and may never do so. We conclude that such a claim may be pursued under the circumstances of this case.
Factual Background
In June of 1993, sixty year-old JoAnn Alexander was scheduled for hip surgery by Dr. D. Kevin Scheid, an orthopedic surgeon at Orthopaedics Indianapolis, Inc. (Orthopaedics). Scheid ordered a chest x-ray, which was required at his office for patients over the age of sixty to ensure the strength of their lungs to undergo anesthesia. The x-ray was administered on the 24th of that month and revealed a density
In the spring of 1994, JoAnn began spitting up blood and went to another doctor. A second chest x-ray revealed a large mass on the upper right lobe of the right lung. In May, after a biopsy, JoAnn was diagnosed with non-small cell lung cancer. Efforts to remove the tumor were not completely successful, and, because the cancer had metastasized to one lymph node in her chest and to the bronchial margin, it was not curable. After JoAnn underwent extensive chemotherapy and radiation treatment, her condition went into remission in approximately October 1994.
Procedural History
Pursuant to the Medical Malpractice Act,
(1) The evidence supports the conclusion that Defendants D. Kevin Scheid, M.D. and Orthopaedics Indianapolis, Inc. failed to comply with the appropriate standard of care as charged in the Complaint.
(2) The conduct complained of was a factor of the resultant damages in that the failure to follow-up on the June 24, 1993 x-ray report resulted in a 10-month delay of the diagnosis of Plaintiff's lung cancer.
On October 8, 1996, the Alexanders filed an amended complaint in Marion Superior Court. In Count I, they alleged that Scheid and Orthopaedics were negligent in failing to follow up on JoAnn's chest x-ray, and that this negligence resulted in the following harms to JoAnn: (1) "serious and permanent injuries necessitating extensive additional medical care"; (2) an increased risk of harm and decreased chance for long-term survival (later dubbed "loss of chance"), including the loss of "the possibility of successful removal of the tumor"; (3) "the incurrence of substantial medical expenses" and "loss of earning capacity"; and (4) severe emotional distress. In Count II, Jack Alexander alleged loss of consortium. JoAnn asserts that in the months following her first x-ray but preceding her diagnosis with lung cancer her injuries included: (1) deterioration of her overall health, including exhaustion, pneumonia-like symptoms, and feeling "run-down" in general; (2) spitting up blood; (3) an exacerbation of cancer, i.e., an increase in the size of the tumor and metastasis to one lymph node and the bronchial margin, resulting in cancer that is either incurable or at a minimum has a significantly lower probability of being treatable; and (4) damage to healthy lung tissue and lung collapse.
Three doctors were deposed regarding JoAnn's comparative prognoses in June 1993 and May 1994. In capsule form, they presented admissible evidence that (1) JoAnn's cancer was likely in Stage I at the time of the first x-ray but had advanced to Stage IIIa before it was diagnosed; and (2) the probability of her long-term survival was significantly reduced over that period of time.
This case raises four questions. (1) Does Indiana law permit JoAnn to recover for an increased risk of incurring a life shortening disease under the "loss of chance" doctrine or otherwise? (2) If so, what is the appropriate measure of damages? (3) Has JoAnn suffered an impact that would allow her to recover for negligent infliction of emotional distress under the "modified impact rule?" (4) May JoAnn maintain a cause of action for the aggravation to date of her lung cancer?
Standard of Review
On appeal, the standard of review of a summary judgment motion is the same as that used in the trial court: summary judgment is appropriate only where the evidence shows that there is no genuine issue of material fact and that the moving party is entitled to a judgment as a matter of law. Ind. Trial Rule 56(C); Shell Oil Co. v. Lovold Co., 705 N.E.2d 981, 983-84 (Ind.1998). All facts and reasonable inferences drawn from those facts are construed in favor of the non-moving party. Shell Oil, 705 N.E.2d at 983-84. The review of a summary judgment motion is limited to those materials designated to the trial court. See T.R. 56(H); see also Rosi v. Business Furniture Corp., 615 N.E.2d 431, 434 (Ind.1993). Here, the designated evidence includes depositions of physicians that establish the factual predicates on which the Alexanders rely to defeat summary judgment.
I. Decreased Life Expectancy
A. Issues Raised under the Rubric "Loss of Chance"
"Loss of chance," also often referred to as "increased risk of harm" is usually traced back to this frequently quoted passage from Hicks v. United States:
368 F.2d 626, 632 (4th Cir.1966) (quoted in Mayhue v. Sparkman, 653 N.E.2d 1384, 1387 (Ind.1995)). The term "loss of chance" has been applied to a number of related situations. These include: (1) an already ill patient suffers a complete elimination of an insubstantial or substantial probability of recovery from a life-threatening disease or condition
These cases pose a number of separate but sometimes interrelated issues. First, many courts initially address the issue as one of causation. Mayhue took the view that under traditional medical malpractice theory, when a patient's chance of recovering from a disease is already less than fifty percent, it can never be said that the doctor's malpractice was the proximate cause of the ultimate death. See id. at 1387. Accordingly, recovery under traditional tort standards of causation is barred under those circumstances. This approach views the injury as the ultimate adverse result of the disease, which may be death, but may also be other conditions (paralysis, blindness, etc.).
One way to deal with this problem is to permit multiple suits as different injuries develop,
These factors argue in favor of permitting the Alexanders to bring their claims
Finally, if damages are awardable for the increased risk of an injury that has not yet occurred, the court faces the difficult task of putting a dollar amount on an as yet unknown loss. The Alexanders' claim here presents that issue as to the ultimate recurrence of the cancer. They also assert current injury in the form of the cancer's metastasizing, and the anxiety generated by the prospect of future recurrence.
B. Mayhue v. Sparkman
In Mayhue, this Court held that Section 323 of the Restatement of Torts was the appropriate mode of analysis of a claim for injuries that had been sustained (the patient had died), but which were more likely than not to have occurred even in the absence of any negligence (the patient's ultimate injury was more probable than not before treatment). See 653 N.E.2d at 1388-89. Section 323, "Negligent Performance of Undertaking to Render Services," states:
Specifically, under Section 323, a jury may consider, "once the plaintiff proves negligence and an increase in the risk of harm, ... whether the medical malpractice was a substantial factor in causing the harm suffered by the plaintiff." Id. at 1388. Section 323's formulation, by its terms, presupposes that physical harm has resulted from the negligent care. In Mayhue, because the patient had died, the ultimate physical harm was already known. We held that the plaintiff's spouse could, under Section 323, maintain his cause of action for loss of consortium even though the experts agreed that, in the absence of the defendant's negligence, it was still more likely than not that the plaintiff would have died. See id. at 1387-89. We distinguished Section 323 from what was dubbed a "pure loss of chance" doctrine, which compensates for the loss of chance itself and not for the plaintiff's physical injury that was incurred but likely even before the defendant's act or omission. In a pure loss of chance case, "[t]he compensable injury is not the result, which is
The defendants argue that in Mayhue this Court rejected the loss of chance doctrine, and that, left with Section 323 as their remedy, the Alexanders cannot recover because JoAnn has not yet suffered a recurrence. The Court of Appeals has agreed with this interpretation of Mayhue, finding that this Court "specifically rejected" the loss of chance doctrine in favor of Section 323. See Smith v. Washington, 716 N.E.2d 607, 614 n. 3 (Ind.Ct.App.1999); Cahoon v. Cummings, 715 N.E.2d 1, 6-7 (Ind.Ct.App.1999). The Alexanders, on the other hand, assert that this Court adopted the loss of chance doctrine in Mayhue, finding support for this hypothesis in the following language: "Accepting the § 323 approach does not require a separate loss of chance doctrine." 653 N.E.2d at 1389 (emphasis in original). According to plaintiffs, the emphasis of the word "separate" signals the incorporation of the loss of chance doctrine into this Court's Section 323 analysis. The plaintiffs contend that, in adopting Section 323, which provides a cause of action when the defendant, by his or her negligence, increases the risk of harm to a plaintiff, this Court has already recognized the viability of a cause of action for the increased risk of harm itself.
Mayhue left unresolved the issue presented by the Alexanders' claim. Mayhue explicitly pointed out that it dealt with a claim for a patient who had died, allegedly as the result of negligent treatment. Because the patient in Mayhue was seriously ill before treatment, the case addressed whether a plaintiff may maintain a cause of action for medical malpractice even though traditional causation standards may not be satisfied. In contrast, here the issue is whether a reduced chance of survival, which mathematically equates to a decrease in life expectancy, is itself a compensable injury. If it is, a plaintiff may recover for this injury, independently of whether the plaintiff has or has not actually beaten the odds to date.
C. "Loss of Chance" as an Independent Injury
Causation and injury are sometimes described together as the collective third element of a medical malpractice claim. See Mayhue, 653 N.E.2d at 1386-87 (reciting that, in order to prevail in a medical malpractice cause of action, a plaintiff must establish: (1) the physician owed a duty to the plaintiff; (2) the physician breached that duty; (3) the breach proximately caused the plaintiff's injuries). Causation and injury are distinct, however, and we are confronted with this distinction here.
We think that loss of chance is better understood as a description of the injury than as either a term for a separate cause of action or a surrogate for the causation element of a negligence claim. If a plaintiff seeks recovery specifically for what the plaintiff alleges the doctor to have caused, i.e., a decrease in the patient's probability of recovery, rather than for the ultimate outcome, causation is no longer debatable. Rather, the problem becomes one of identification and valuation or quantification of that injury. We view the issue presented by JoAnn's claim as whether a plaintiff may recover for an increased risk of harm, here a decreased life expectancy, caused by a doctor's negligence, before the ultimate consequences are known. Because in this case the ultimate injury is death, the increased risk of that result is a decrease in life expectancy. Although loss of chance could also be applied as a label for this injury, we do not view recognizing this injury as a deviation
A number of jurisdictions allow recovery for negligence that has "increased the risk of harm," even where the full ramifications of the defendant's actions are not yet known. See Cudone v. Gehret, 821 F.Supp. 266, 270-71 (D.Del.1993) (Delaware would allow jury instruction regarding recovery for increased risk of harm where doctor's alleged malpractice in failing to timely diagnose breast cancer more than doubled possibility of recurrence of breast cancer); James v. United States, 483 F.Supp. 581, 587 (N.D.Cal.1980) (in lung cancer case, awarding damages for "the loss of the opportunity for earlier and possibly more effective treatment" in spite of current remission); Boryla v. Pash, 960 P.2d 123, 127 (Colo.1998) (directed verdict in favor of the defendant was error in view of evidence that a three-month delay in diagnosing breast cancer could have increased plaintiff's risk of a recurrence); Petriello v. Kalman, 215 Conn. 377, 576 A.2d 474, 484-85 (1990) (upholding instruction on compensation for increased likelihood that plaintiff would suffer bowel obstruction); Moattar v. Foxhall Surgical Assocs., 694 A.2d 435, 439-40 (D.C.1997) (plaintiff could presently recover for all future economic injuries when cancer was more probable than not to recur and cause her death).
More specifically, many jurisdictions have recognized a decrease in life expectancy as a cognizable injury. See Anderson, 669 A.2d at 78 (recovery for shortened life expectancy due to increased risk of a recurrence of testicular cancer); Swain v. Curry, 595 So.2d 168, 172-73 (Fla.Dist.Ct.App.1992) (recovery for increased risk of cancer, decreased chance of survival, and reduction of life expectancy allegedly caused by defendant's failure to diagnose breast cancer in a timely manner); Knopfer v. Louisiana Patient's Compensation Fund, 527 So.2d 326, 329 (La.Ct.App.1988) (plaintiff's reduction in life expectancy justified jury award of $500,000 for misdiagnosis of moles as benign); Morrison v. Stallworth, 73 N.C. App. 196, 326 S.E.2d 387, 393 (1985) ("[S]hortened life expectancy is a compensable element of damage."); Davison v. Rini, 115 Ohio App.3d 688, 686 N.E.2d 278, 283-84 (1996) (recognizing a shortened life expectancy as a cognizable injury where eighty-five percent chance of full recovery was reduced to twenty-five percent chance of surviving five years). But see Beeman v. Manville Corp. Asbestos Disease Compensation Fund, 496 N.W.2d 247, 256-57 (Iowa 1993) (maintaining that reduction in life expectancy itself is an element of damages only in South Carolina, which has adopted the "English
Here, JoAnn has pointed to evidence that would support a finding of both present injury and increased risk of harm. We agree with the authorities that find these sufficient to maintain a cause of action for an increased risk of harm. JoAnn has characterized defendants' actions as having reduced her chance for long-term survival and extinguished the chance for successful removal of her tumor. The doctors testified that JoAnn's chances of complete recovery, sixty to eighty percent in June of 1993, had dropped to a ten to thirty percent chance of surviving five years by May of 1994. JoAnn has suffered physical injuries, including the growth of a cancerous tumor, the destruction of healthy lung tissue, and the collapse of a lung.
In some cases an "intangible" loss may be as great an injury as any that a plaintiff could suffer. JoAnn must live under constant fear that at any time she may suffer a recurrence of her lung cancer. If that occurs, her doctors have testified that she has no chance of survival. This is not too remote or speculative an injury to preclude recovery, and JoAnn should not be forced to wait until she has suffered a relapse to proceed with a cause of action for what is essentially a daily threat of impending death, or to wait until her husband, on her behalf, is left with a wrongful death claim. As already noted, given the occurrence-based statute of limitations for medical malpractice, these future claims may face substantial obstacles. Money is an inadequate substitute for a period of life, but it is the best a legal system can do. The alternative is to let a very real and very serious injury go uncompensated even if due to negligent treatment. Faced with that choice, we hold that JoAnn has stated a viable cause of action and presented evidence sufficient to defeat summary judgment. Specifically, within the parameters set forth here, we hold that JoAnn may maintain a cause of action in negligence for this increased risk of harm, which may be described as a decreased life expectancy or the diminished probability of long-term survival.
Here, we also have an injury that often accompanies a delay in diagnosis—the invasion of healthy tissue by a tumor or other growth. Accordingly, this case does not present the issue whether a plaintiff must have incurred some physical injury as a result of the defendant's negligence in order to recover for an increased risk of harm.
D. Valuation
We have referred to a "reduced probability of survival" and "diminished life-expectancy" as two terms for the same concept. This requires some explanation. In the Alexanders' case, let us assume the jury concludes from the expert testimony that before the failure to diagnose she had a seventy percent chance of full recovery and a normal life expectancy. As already noted, this is a statistical proposition that seventy of 100 patients with JoAnn's initial condition will have a normal lifetime. To take the simplest example first, assume that there is a 100% chance of successful treatment if there were no negligence. Leaving aside any other individual factors, the patient's life expectancy is the median of our collective experience as to the age at death of persons of her age and gender. Otherwise stated, a life expectancy is no more than the composite of the remaining lives of a large number of people, some of whom will die the next day and some of whom will become nonagenarians.
Here, at the time of diagnosis, the expert testimony put her chance of survival for five years at approximately twenty percent. To be comparable to her pre-negligence expectancy, it must be converted, which we assume can be done, into a comparable median lifetime or expectancy. A person with a normal life expectancy has only a fifty percent chance of attaining that expectancy. Even if we reduce both the "before" and "after" numbers to comparables, the problem identified earlier remains: expectancy is itself a statistical proposition, and compensating on the basis of expectancy will either overcompensate or undercompensate depending on how long the plaintiff actually lives.
Finally, if we take as our starting point not a normal life expectancy, but the expectancy of someone with an already heightened risk, the analysis is the same, but both the "before" and "after" numbers require a conversion of probability of survival into an expectancy. Presumably we do not have statistics that permit confident evaluation of the anticipated life span of patients with many conditions to the same degree that mortality tables give those values for the general population. Despite these difficulties, and recognizing that it can produce a windfall for some and shortchange others, we have compensated for reduced life expectancy in other contexts.
II. Negligent Infliction of Emotional Distress
The Alexanders argue that JoAnn is entitled to maintain a cause of action for negligent infliction of emotional distress because she suffered an impact sufficient to satisfy the modified impact rule. Scheid and Orthopaedics argue that JoAnn has failed to satisfy the modified impact rule because, in their words, "the failure to diagnose cancer" does not constitute an impact as required by Shuamber v. Henderson, 579 N.E.2d 452 (Ind.1991).
In order to maintain a cause of action for negligent infliction of emotional distress under Indiana law, a plaintiff must satisfy the "impact rule." The impact rule originally consisted of three elements: (1) an impact on the plaintiff; (2) that causes physical injury to the plaintiff; (3) that in turn causes the emotional distress. Id. at 454. This rule precluded recovery for the case in which a plaintiff experienced real mental stress in the absence of a physical injury. We recognized the policy reasons in support of relaxing the impact rule and held in Shuamber:
Id. at 456. In Shuamber, this Court concluded that passengers in a car involved in an accident in which a family member was killed could recover for emotional distress that resulted from the death, even if it was unconnected to their physical injuries. See id. In Conder v. Wood, we allowed a mental distress claim by a plaintiff who had beat on the side of a truck that was running over her co-worker, concluding that the contact between her fist and the truck satisfied the impact requirement. See 716 N.E.2d 432, 433 (Ind.1999).
Similarly, we conclude that the JoAnn has satisfied the elements of negligent infliction of emotional distress under
III. Exacerbation or Aggravation of JoAnn's Injuries
The Alexanders allege that the Court of Appeals erred in failing to address whether JoAnn suffered injuries proximately caused by Scheid and Orthopaedics and whether, as a result of the failure to follow up on her chest x-ray in June of 1993, she sustained an aggravation or exacerbation of her injury. In discussing this claim, the Alexanders speak primarily in terms of the injuries JoAnn incurred between the two x-rays. Defendants respond that, given JoAnn's concession that she seeks neither past medical expenses nor loss of earnings, the Court of Appeals did not err in failing to address this issue.
The Alexanders correctly note that ordinarily a defendant is liable for the aggravation or exacerbation of a current injury, to the extent that the defendant's "conduct has resulted in an aggravation of the pre-existing condition, [but] not for the condition as it was." Dunn v. Cadiente, 516 N.E.2d 52, 56 (Ind.1987) (citing William L. Prosser, Law of Torts 262 (4th ed.)). Scheid's and Orthopaedics' contention that JoAnn has been unharmed runs contrary to the record. If nothing else, the past injuries JoAnn sustained are substantial. During the time JoAnn's cancer remained undiagnosed, she incurred the destruction of healthy lung tissue, the growth of a cancerous tumor, and the collapse of a lung. Thus, JoAnn could conceivably maintain a cause of action for the aggravation of her pre-existing condition. Given that these injuries are injuries for which JoAnn seeks no compensation, however, we agree with Scheid and Orthopaedics that the Court of Appeals did not err in failing to address JoAnn's argument for recovering for aggravation of injury as formulated.
Conclusion
We grant transfer and reverse and remand to the trial court for proceedings consistent with this opinion.
SHEPARD, C.J., and DICKSON, SULLIVAN and RUCKER, JJ., concur.
FootNotes
Saxman estimated that there was only a 13 to 22% chance that her cancer had metastasized by the time of her first x-ray, but testified to the uncertainty of determining probability—which he defined as the probability that JoAnn had already suffered some lymph node involvement at the time of the initial x-ray. If she had, then the staging of her cancer would not have progressed during the 11-month period, even though the tumor had grown. He went on to state that staging is not the only indicator of a patient's prognosis, and later testified that, "[t]he larger the primary tumor, the more likely [the patient is] to have lymph node involvement."
Dr. Laurence H. Bates stated that, although it was impossible to know the stage of her cancer at the time of the first x-ray, there was a greater than 50% chance that JoAnn's cancer was in Stage I at the time the first nodule was revealed. According to Bates, in Stage I, "[T]here is a significantly higher likelihood of being able to resect it completely and curing the cancer than there is in the case of stage IIIa cancer." By the time JoAnn was diagnosed with cancer 11 months later, the cancer had progressed to Stage IIIa, and her tumor had approximately quadrupled in size, from one to four centimeters.
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