Anaya Gomez v. Sauerwein

FILE
This opinion was filed for record
at $~'2f>l'"l
Ronald R. Carpenter
Supreme Court Clerk
IN THE SUPREME COURT OF THE STATE OF WASHINGTON
RODOLFO ANAYA GOMEZ, as
Personal Representative of the Estate
of Christina Palma Anaya, No. 88307-6
Petitioner, En Bane
v. Filed JUN 1 9 2014
MARK F. SAUERWEIN, M.D., and
THEYAKIMA VALLEY FARM
WORKERS CLINIC, a Washington
Corporation,
Respondents.
J.M. JOHNSON, J.*-This case asks whether Washington's informed
consent statute, RCW 7.70.050, applies when a health care provider
misdiagnoses the patient's condition. We must decide whether the legislature
intended to provide recovery to plaintiffs who allege both negligence and
informed consent violations based on the same set of facts.
*Justice James M. Johnson is serving as a justice pro tempore ofthe Supreme Court
pursuant to Washington Constitution article IV, section 2(a).
Anaya Gomez v. Sauerwein, eta!., No. 88307-6
We hold that when a health care provider rules out a particular
diagnosis based on the patient's clinical condition-including test results,
medical history, presentation upon physical examination, and any other
circumstances surrounding the patient's condition that are available to the
provider-the provider may not be liable for informed consent claims arising
from the ruled out diagnosis under RCW 7.70.050. We affirm the Court of
Appeals.
FACTS AND PROCEDURAL HISTORY
Christina Palma Anaya (Mrs. Anaya) suffered from uncontrolled
diabetes, leaving her immunocompromised and susceptible to serious
Community Hospital complaining of urinary tract infection (UTI) symptoms.
Urine and blood samples were taken and sent to the laboratory at Yakima
Regional Medical Center for analysis. She went home the next day. On
August 23, Mrs. Anaya returned to the Toppenish emergency room still
feeling ill from UTI symptoms and could not empty her bladder. After her
bladder was drained, she felt better so was sent home. On August 24, the lab
preliminarily determined that one ofMrs. Anaya's blood cultures was positive
for yeast. Following protocol, the lab called Mrs. Anaya's primary care
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facility, the Yakima Valley Farm Workers Clinic (Clinic), where
Dr. Sauerwein was covering for Mrs. Anaya's usual primary care provider.
Dr. Sauerwein was concerned about the test result. He conferred with
Dr. Moran, one of Mrs. Anaya's treating physicians at Toppenish on August
20 and 21. Dr. Moran, an internal medicine specialist, suggested contacting
Mrs. Anaya to obtain a fuller clinical picture ofMrs. Anaya's condition. Due
to the serious nature of a blood infection, the two physicians decided that if
Mrs. Anaya was feeling ill, she should come in immediately for treatment. If
Mrs. Anaya was feeling better, they determined that it was more likely that
the test result was a false positive, a common occurrence in microbiology
feeling much better since her second visit to Toppenish. Dr. Sauerwein used
the complete clinical picture available to him to conclude that the lab result
was a false positive resulting from contamination but had the nurse contact
1
Mr. Anaya asserts that false positive blood cultures for yeast are nearly nonexistent. Pet.
for Review at 4. The expert testimony appears to support this conclusion. Transcript of
Proceedings (TP) (June 9, 2010) at 21. But, this fails to account for the fact that yeast in
the blood is such an unusual condition and no expert testifying at trial had ever seen a non-
nosocomial case. The testimony regarding false positives in general reveals that they are
quite common. TP (June 10, 2011) at 82-83; see also Corrected Br. of Amici Curiae Wash.
State Med. Ass'n & Wash. State Hosp. Ass'n at 17 n.ll (citing Keri K. Hall & Jason A.
Lyman, Updated Review of Blood Culture Contamination, 19 CLINICAL MICROBIOL. REv.
788 (2006), available at http://www.ncbi.nlm.nih.gov/pmc/articles/PMC 1592696/ (last
viewed Mar. 12, 2014)).
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Anaya Gomez v. Sauerwein, et al., No. 88307-6
Mrs. Anaya to move her next appointment up to the following week.
Dr. Sauerwein did not tell Mrs. Anaya about the test result.
On August 26, the lab positively identified candida glabrata as the yeast
in Mrs. Anaya's blood. An infection of glabrata in the blood is serious and
can even be deadly. Lab microbiologists entered this information into
Mrs. Anaya's medical record but did not notify Dr. Sauerwein, the Clinic, or
anyone else about the positive test result.
Before Mrs. Anaya's next visit to the Clinic occurred, her condition
worsened. On August 29, Mrs. Anaya went to Yakima Memorial Hospital.
There she was prescribed a general antifungal called fluconazol. Fluconazol
When the hospital positively identified glabrata, they discontinued using
fluconazol and started using amphotericin B. While amphotericin B is
effective against glabrata, it is highly toxic to the kidneys. Given the
compromised state of Mrs. Anaya's kidneys from her diabetes, a health care
provider would not normally prescribe amphotericin B until positively
identifying glabrata.
Unfortunately, the amphotericin B treatment came too late to stop the
glabrata infection from spreading to the internal organs. Mrs. Anaya died at
4
Anaya Gomez v. Sauerwein, et al., No. 88307-6
age 32 on November 17, 2006, of cardiac arrest, deprivation of oxygen to the
brain, and fungal sepsis; all stemming from type II diabetes mellitus.
Mr. Anaya Gomez (Mr. Anaya), as personal representative of
Mrs. Anaya's estate, brought an action in Yakima County Superior Court
against Dr. Sauerwein and the Clinic for malpractice. Three weeks before the
jury trial, the estate moved to add a claim for failure to obtain informed
consent. The trial judge took the motion under advisement. At the close of
Mr. Anaya's case, the defense moved for judgment as a matter of law on the
informed consent claim.
The judge granted the motion and dismissed the informed consent
975 P.2d 950 (1999), precluded an informed consent claim in misdiagnosis
cases. The defense then presented its case in chief, and the jury found that
Dr. Sauerwein did not breach any duty owed to Mrs. Anaya. Finding that
Dr. Sauerwein did not deviate from the standard of care, the jury did not reach
the issues of proximate cause or damages.
On appeal, the Court of Appeals Division Three affirmed the trial court,
holding that this case was indistinguishable from Gates v. Jensen, 92 Wn.2d
246, 595 P.2d 919 (1979), but that Gates was either overruled sub silentio by
5
Anaya Gomez v. Sauerwein, eta!., No. 88307-6
Backlund or abrogated or limited to its facts by Keogan v. Holy Family
Hospital, 95 Wn.2d 306, 312-14, 622 P.2d 1246 (1980). Anaya Gomez v.
Sauerwein, 172 Wn. App. 370, 385 289 P.3d 755 (2012). The case was
appealed to this court for discretionary review, which was accepted. Anaya
Gomez v. Sauerwein, 177 Wn.2d 1008,302 P.3d 180 (2013).
ISSUES
1. Whether Mr. Anaya could bring an informed consent claim based on
the same facts giving rise to a medical negligence claim for misdiagnosis.
2. Whether any reasonable finder of fact could, on the facts in this case
taken in a light most favorable to Mr. Anaya, conclude that Dr. Sauerwein's
ANALYSIS
This court reviews de novo a granted motion for judgment as a matter
of law. Davis v. Microsoft Corp., 149 Wn.2d 521, 530-31, 70 P.3d 126(2003). The court will view the evidence in a light most favorable to
Mr. Anaya, drawing all reasonable inferences in his favor. Sing v. John L.
Scott, Inc., 134 Wn.2d 24, 29, 948 P.2d 816 (1997). Judgment as a matter of
law will be sustained if no rational, unbiased person could return a verdict in
the nonmoving party's favor. Davis, 149 Wn.2d at 531.
6
Anaya Gomez v. Sauerwein, et al., No. 88307-6
A. Mr. Anaya Cannot Bring an Informed Consent Claim Based on the
Same Facts That Gave Rise to His Misdiagnosis Malpractice Claim
Informed consent and medical negligence are distinct claims that apply
in different situations. While there is some overlap, they are two different
theories of recovery with independent rationales. In determining which theory
of recovery is available, the issue is whether this is a case of misdiagnosis
subject only to negligence or if the facts also support an informed consent
claim.
a. Informed consent and medical negligence are separate theories
of recovery
Modernly cognizable claims for failure to provide informed consent
(discussing the history of the doctrine of informed consent). The legislature
codified the common law elements of an informed consent claim in RCW
7.70.050. Stewart-Graves v. Vaughn, 162 Wn.2d 115, 125, 170 P.3d
1151 (2007) (citing FINAL B. REP. on Substitute H.B. 1470, at 23, 44th Leg,
1st Ex. Sess. (Wash. 1976)). The legislature intended to adopt the elements
as they appeared in Miller v. Kennedy, 11 Wn. App. 272, 522 P.2d 852 (1974),
affd, 85 Wn.2d 151, 530 P.2d 334 (1975) with minor changes to one element
not relevant here. Stewart-Graves, 162 Wn.2d at 122-23.
7
Anaya Gomez v. Sauerwein, eta!., No. 88307-6
In certain circumstances, this court has held that the right to informed
consent can include the process of diagnosis. Gates, 92 Wn.2d at 250-51("Important decisions must frequently be made in many nontreatment
situations in which medical care is given, including procedures leading to a
diagnosis, as in this case."). But Gates was decided on facts that predated
codification of informed consent in RCW 7.70.050. The statute clearly uses
the word "treatment," demonstrating the intent to limit informed consent
claims to treatment situations.
The doctrine of informed consent has been distinguished from
malpractice as applying to fundamentally different situations. As we stated in
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A physician[2l who misdiagnoses the patient's condition,
and is therefore unaware of an appropriate category of treatments
or treatment alternatives, may properly be subject to a negligence
action where such misdiagnosis breaches the standard of care,
but may not be subject to an action based on failure to secure
informed consent.
Simply put, a health care provider who believes the patient does not
have a particular disease cannot be expected to inform the patient about the
2
Most of our older cases use the word "physician." Modernly, however, we use the term
"health care provider" because the rule applies to other medical professionals such as
physician assistants and nurse practitioners. This is also the term used in the statute. See
RCW 7.70.050(1)(a).
8
Anaya Gomez v. Sauerwein, et al., No. 88307-6
unknown disease or possible treatments for it. In such situations, a negligence
claim for medical malpractice will provide the patient compensation if the
provider failed to adhere to the standard of care in misdiagnosing or failing to
diagnose the patient's condition.
In misdiagnosis cases, this rule is necessary to avoid imposing double
liability on the provider for the same alleged misconduct. !d. at 661-62 n.2.
The proposition that a provider cannot be liable for failure to inform in a
misdiagnosis case has been referred to as "the Backlund rule." !d. at 661.
Backlund followed several Court of Appeals opinions applying the same rule.
See Thomas v. Wilfac, Inc., 65 Wn. App. 255, 261, 828 P.2d 597 (1992)
violation of the duty to inform a patient."); Burnet v. Spokane Ambulance, 54
Wn. App. 162, 168-69, 772 P.2d, 1027 (1989) ("[T]he issues presented were
confined to negligence and misdiagnosis rather than a violation of the
informed consent law."); Bays v. St. Luke's Hasp., 63 Wn. App. 876,881,825
P.2d 319 (1992) ("[T]he duty to disclose does not arise until the physician
becomes aware of the condition by diagnosing it."). This court cited all of
these cases when it decided Backlund. See 137 Wn.2d at 659-60.
9
Anaya Gomez v. Sauerwein, eta!., No. 88307-6
· There are situations where a provider could be liable for failure to
inform without negligence. The most obvious example would be a provider
who knows about two alternative treatments but informs the patient of only
one treatment, which is subsequently performed perfectly. 3 This case presents
a different situation.
b. This is a medical malpractice case, not an informed consent case
While we allow plaintiffs to make multiple inconsistent claims,
plaintiffs must proceed cautiously to trial on those claims or risk confusing
the jury. CR 8(e)(2). In this case, Mr. Anaya's counsel made a tactical
decision to add the failure to inform claim three weeks before trial. Counsel
claim at trial, but based on the facts presented at trial, the judge concluded this
was a misdiagnosis case. Applying the commonsense rule from Backlund, the
judge found that this was a medical negligence case and not an informed
consent case. TP (June 9, 2011) at 69. Either Dr. Sauerwein knew that
Mrs. Anaya had a yeast infection, giving rise to a failure to inform claim, or
he failed to know she had a yeast infection, giving rise to the negligence claim.
3
Of course, this example assumes that the plaintiff will be able to prove the remaining
elements of a failure to inform claim.
10
Anaya Gomez v. Sauerwein, eta!., No. 88307-6
On one set of facts the two theories are mutually exclusive. Based on the
evidence and expert witnesses Mr. Anaya presented, he appears to have
chosen to pursue the latter rather than the former.
Mr. Anaya attempts to create a new duty in this case for providers to
inform patients of all positive test results. But that is not the rule. Corrected
Br. of Amici Curiae Wash. State Med. Ass'n & Wash. State Hosp. Ass'n at
13-16. Proposing this rule stems from ignorance of the medical process. A
lab test is one tool among many that a health care provider uses to form a
diagnosis. Other tools include the history of present illness, family history,
social history, and past medical history, as well as findings from a physical
or she inform the patient about possible treatments and the risks associated
with each.
Mr. Anaya also ignores the fact that microbiology labs are not perfect.
Mistakes can occur in identification. Contaminants can enter the culture at
any step in the process rendering the culture inaccurate. With blood samples,
contaminants can come from a variety of places, including the patient's skin,
the phlebotomist, the needle, the test tube holding the sample, the lab
11
Anaya Gomez v. Sauerwein, et al., No. 88307-6
personnel, and any tools used in the streaking process. TP (June 7, 2011) at
59.
In the case of an aerobic sample-the type of culture at issue in this
case-the culture is left open to the air so the contagion can breathe.
Contaminants from the air can get into the sample. Dr. Sauerwein testified
that in his practice he sees one false positive test result every week. TP
(June 10, 2011) at 83.
The rule that Mr. Anaya suggests also ignores the importance of taking
the patient's condition into account while making a diagnosis. The lead
opinion in Keogan noted that
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general physical condition actually presented by the patient.
Review of the individual patient's overall condition may all but
rule out diseases that might in the abstract be the cause of a
symptom or symptoms presented by the patient.
95 Wn.2d at 318 n.3. 4 In this case, Mrs. Anaya told the nurse from the Clinic
that she was feeling much better after her bladder was drained at her second
visit to Toppenish. TP (June 10, 2011) at 87. Because a patient actually
4
In Keogan, three judges signed the lead opinion and five judges signed Justice Hicks'
concurrence/dissent. The dissenters outnumber the "majority" on the informed consent
issue. Thus, five justices agreed that the duty to disclose does not arise "whenever [the
provider] becomes aware of a bodily abnormality which may indicate risk or danger," as
stated in Gates, but rather turns on whether or not "the diagnosis has been completed." 95
Wn.2d at 329.
12
Anaya Gomez v. Sauerwein, eta!., No. 88307-6
suffering from a yeast infection of the blood would continue to feel very sick,
Dr. Sauerwein concluded that Mrs. Anaya was not actually suffering from
such an infection. !d.
c. As a misdiagnosis case, Backlund, not Gates, controls
Mr. Anaya makes much of the Court of Appeals' opinion that this case
is indistinguishable from Gates. He repeatedly refers to Dr. Sauerwein's
knowledge about the "positive blood test." 5 Suppl. Br. ofPet'r at 5. However,
this case is very different from Gates for several reasons. In Gates, the
ophthalmologist had consistently high eye pressure readings that pointed to
higher risk for glaucoma over a two year period, whereas Dr. Sauerwein's
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record.
In Gates, 92 Wn.2d at 248, it was a "significant fact[]" that the
ophthalmologist had available "two additional diagnostic tests for glaucoma
which are simple, inexpensive, and risk free." The choice the ophthalmologist
5
The blood test on the date in question was positive for yeast, not glabrata. This
purposefully ambiguous statement confuses the difference between suspecting that a
patient has a yeast infection in the blood and knowing that the patient has glabrata in the
blood. In fact, the only thing that Dr. Sauerwein knew on August 24 was that Mrs. Anaya
had one blood test that was inconsistent with her physical condition and other tests,
rendering the positive blood test more likely to be a false positive resulting from
contamination. Glabrata was not identified until two days later, on August 26.
13
Anaya Gomez v. Sauerwein, eta!., No. 88307-6
could have put to Mrs. Gates was whether to do the additional testing in light
ofher borderline test result. Given the small cost and effort of those tests, the
decision was relatively easy.
Dr. Sauerwein had no additional tests available. He could either verify
the patient's physical condition or wait until the lab results positively
identified a contagion. 6 Using the information available to him on August 24
and lacking the ability to obtain more information, Dr. Sauerwein determined
that there was nothing further to diagnose.
Dr. Sauerwein ruled out a diagnosis of yeast based on the "physical
condition actually presented by [Mrs. Anaya]." Keogan, 95 Wn.2d at 318 n.3.
but did not present any indication of having a blood infection. Indeed, her
symptoms indicated that she did not have a blood infection. This case is
different from Gates because there was nothing else that Dr. Sauerwein could
have done. Informing a patient about a likely erroneous lab result gives the
health care provider nothing to "'put to the patient in the way of an intelligent
6
Whether Dr. Sauerwein owed a duty to follow up two days later when the lab identified
glabrata is an interesting question but not one raised by the parties nor argued by Mr. Anaya
at trial. Such an argument might have been relevant to medical negligence, but that is not
the issue before this court.
14
Anaya Gomez v. Sauerwein, eta!., No. 88307-6
and informed choice."' ld. at 330 (Hicks, J., concurring in part, dissenting in
part) (quoting Keogan, 22 Wn. App. at 370). Mr. Anaya points to no choice
that was available to the treating physicians or Mrs. Anaya, instead inviting
this court to ignore the medical realities surrounding the circumstances of the
case. 7
We hold that when a health care provider rules out a particular
diagnosis based on the circumstances surrounding a patient's condition,
including the patient's own reports, there is no duty to inform the patient on
treatment options pertaining to a ruled out diagnosis. To hold otherwise
would require health care providers and patients to spend hours going through
7
At oral argument, counsel for Mr. Anaya argued that informing Mrs. Anaya about the
test result would have allowed her to seek a second opinion. This is impractical.
Mrs. Anaya had numerous diseases, making diagnosis particularly difficult. She was free
at all times to seek a second opinion of Toppenish's UTI diagnosis. Patient's do not seek
second opinions on test results, heart rates, or blood pressure readings-all tools used in
making a diagnosis-they seek second opinions on the diagnosis itself or treatment
options. For example, a provider need not tell a patient that a malfunctioning blood
pressure cuff gave an erroneous reading. If the provider subsequently fails to use a
working cuff to obtain a correct blood pressure reading, he or she might be liable for
medical negligence. Likewise, if the provider misdiagnosed hypertension as a result of
the erroneous blood pressure reading, that might also give rise to a negligence claim. The
blood pressure reading itself has no use apart from aiding the provider in making a
diagnosis.
8
As Justice Hicks wisely noted in a case where the physician failed to diagnose a heart
attack, "[there are] 200 different things that might cause chest pain, only 3 of which related
to the heart." Keogan, 95 Wn.2d at 331 (Hicks, J., concurring in part, dissenting in part).
15
Anaya Gomez v. Sauerwein, eta!., No. 88307-6
of Amici Curiae Wash. State Med. Ass'n & Wash. State Hosp. Ass'n at 13.
The provider may be liable for negligence in failing to diagnose the condition
if the mistaken diagnosis otherwise meets the elements of a medical
malpractice claim.
This is a misdiagnosis case. Accordingly, the Backlund rule applies
and the trial court properly dismissed the informed consent claim as a matter
of law. Therefore, we affirm the Court of Appeals but point out that Gates
has not been overruled. See Anaya Gomez, 172 Wn. App. at 385. Backlund
and Keogan state the general rule of when a plaintiff can make an informed
consent claim. The Gates court allowed the informed consent claim based on
there may be instances where the duty to inform arises during the diagnostic
process, but this case does not present such facts. The determining factor is
whether the process of diagnosis presents an informed decision for the patient
to make about his or her care. Dr. Sauerwein's knowledge of the test result
provided no treatment choice for Mrs. Anaya to make.
A health care provider cannot possibly inform a patient about every disease that might be
causing each of his or her symptoms.
16
Anaya Gomez v. Sauerwein, eta!., No. 88307-6
B. A Reasonable, Unbiased Finder of Fact Could Not Conclude That
Dr. Sauerwein's Failure To Provide Informed Consent Proximately
Caused Mrs. Anaya's Death
Proximate cause is a necessary element of an informed consent claim.
RCW 7.70.050(l)(d). While the jury in this case did not consider the
proximate cause element, a trial court may properly dismiss a claim if no
rational, unbiased person could return a verdict in the plaintiffs favor. Davis,
149 Wn.2d at 531. "Proximate cause" means "(1) the cause produced the
injury in a direct sequence, and (2) the injury would not have happened in the
absence of the cause." Clerk's Papers at 58 (Jury Instruction 13); 6
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Even if this was not a misdiagnosis case the trial court properly
dismissed the failure to inform claim as a matter of law because there was no
evidence of proximate cause. Resp. to Pet. for Review at 14-19. Mr. Anaya's
only response is that this issue is not properly before the court because the
respondent failed to cross petition on the issue. 9 However, this court may
9
Mr. Anaya eventually made proximate cause arguments in his answer to brief of amicus
curiae WSAJF, but this was improper under RAP 10.3(f). That rule limits the content of
an amicus answer brief to "new matters raised in the brief of amicus curiae." Dr. Sauerwein
never backed down from his contention that there was no proximate cause. Mr. Anaya had
ample opportunity to address this argument in proper briefing but declined to do so, instead
arguing that the issue is not properly before the court. Suppl. Br. ofPet'r at 4 n.l.
17
Anaya Gomez v. Sauerwein, et al., No. 88307-6
consider any issues raised by the parties. Blaney v. Int 'lAss 'n of Machinists
& Aerospace Workers, 151 Wn.2d 203, 210 n.3, 87 P.3d 757 (2004).
Dr. Sauerwein raised the issue of proximate cause in his first brief; therefore,
the issue is before this court. Resp. to Pet. for Review at 14-19. 10
The expert testimony at trial supports Dr. Sauerwein's position. The
allegedly tortious cause in this case is Dr. Sauerwein's failure to inform
Mrs. Anaya about a positive test result for yeast in her blood. Taking all facts
in a light most favorable to Mr. Anaya, it is unclear what Mrs. Anaya could
have done with the knowledge of the test result because there was nothing for
Dr. Sauerwein to put before her in the form of an informed choice.
a very general identification that, at best, might have resulted in treating
Mrs. Anaya with a general antifungal drug, such as fluconazo1. 11 But,
10
Mr. Anaya contended in a later brief that this case is distinguishable from Blaney because
in that case the issue was argued at trial. However, Dr. Sauerwein's counsel vehemently
argued against finding proximate cause in closing argument at trial and renewed those
arguments before the Court of Appeals. See TP (June 14, 2011) at 33, 41-42; Br. ofResp'ts
(Wash. Ct. App. No. 30098-6-III) at 33. While those arguments specifically address
proximate cause in the context of medical negligence, the arguments are exactly the same
with respect to informed consent because Mr. Anaya contends that the same allegedly
tortious conduct supports both claims.
11
Mr. Anaya's assertion that amphotericin B is the "gold standard" antifungal is
misleading. Answer to Br. of Amicus WSAJF at 10. Plaintiff's expert, Dr. Dreyer, testified
about the efficacy of other antifungal drugs assuming that Dr. Sauerwein either knew about
the glabrata or affirmatively believed that the test result was actually positive, rather than
a false positive. See TP (June 9, 2011) at 29. Dr. Dreyer testified about the efficacy of
18
Anaya Gomez v. Sauerwein, et al., No. 88307-6
fluconazol is ineffective against glabrata. The only drug effective against
glabrata that was established at trial is amphotericin B. Mr. Anaya's experts
concluded that if Mrs. Anaya would have been treated with amphotericin B
starting on August 24, she likely would have survived. But, given
Mrs. Anaya's kidney difficulties, even an infectious disease specialist would
not have prescribed amphotericin B until glabrata was positively identified.
The lab identified the yeast as glabrata on August 26. The only expert to
testify about the hypothetical results of treatment with amphotericin B
beginning on August 26 concluded that Mrs. Anaya still would have died
because it was too late. Mr. Anaya never offered any evidence to rebut this
view these facts favorably for Mr. Anaya. 12
"broad spectrum" alternatives to fluconazol and amphotericin B. Id. However, Dr. Dreyer
testified on cross examination that fluconazol, and not these alternatives, was the drug most
likely to be used by "an [emergency room] doctor or an internist or a family practitioner."
Id. at 49-50. Furthermore, glabrata has varying degrees of resistance to voriconazole and
caspofungin, the two alternative treatments discussed. Failing to present sufficient
evidence of the efficacy of alternate treatments and evidence of whether any family practice
provider would have used those alternatives leaves Mr. Anaya without proximate cause.
12
Mr. Anaya's strained reading of Dr. Dreyer's testimony does not support his
conclusion that informing Mrs. Anaya about the positive test result would have led to
treatment with amphotericin B. A thorough review of the record reveals that nothing
supports this assertion.
19
Anaya Gomez v. Sauerwein, et al., No. 88307-6
Because the harm alleged would have occurred regardless of informed
consent, there cannot be proximate cause. We have held on many occasions
that when a judgment is correct, it will not be reversed because the court may
have given a wrong or insufficient reason. Retail Clerks Local 629 v.
Christiansen, 67 Wn.2d 29, 31, 406 P.2d 327 (1965). 13 Mr. Anaya's failure
to provide evidence of an essential element of his claim would have given the
trial court sufficient grounds to dismiss the claim. Accordingly, we affirm the
Court of Appeals.
CONCLUSION
We affirm the Court of Appeals' decision but clarify that Gates is not
informed about a known or likely condition that can be readily diagnosed and
treated. Backlund clarifies that Gates is the exception and not the rule with
regard to the overlap between medical negligence and informed consent.
Given the unique factual situation in Gates, it is unlikely we will ever see such
a case again. The lead opinion in Keogan has limited precedential value
because the five justices who concurred and dissented outnumbered those who
13
We do not imply here that the trial court was incorrect in dismissing the informed
consent claim as inapplicable to this misdiagnosis claim. In this case, however, the lack
of proximate cause provides an independently sufficient ground for dismissal.
20
Anaya Gomez v. Sauerwein, eta!., No. 88307-6
signed the lead opinion. But, the reasoning of the concurrence/dissent is
sound. Therefore, under Backlund and Keogan, informed consent is available
only when there is something to inform the patient about. Given the vast
number of false positive test results that occur in Washington on a daily basis,
imposing a duty on health care providers to inform every patient about every
test result would be unduly burdensome, pointless, and unwise.
We also affirm the Court of Appeals because the evidence at trial-
even taken in a light most favorable to Mr. Anaya-could not have supported
proximate cause.
21
Anaya Gomez v. Sauerwein, et al., No. 88307-6
WE CONCUR:
..-·~···
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Anaya Gomez v. Sauerwin, eta!., No. 88307-6 (Gonzalez, J. concurring in result only)
No. 88307-6
GONZALEZ, J. (concurring in result only)-I agree with the majority that the
trial judge properly declined to instruct the jury on informed consent because the
evidence presented at trial did not support a finding of proximate cause. I write
separately to stress that a health care provider may be liable for both a negligence
claim and an informed consent claim arising from the same set of facts. While the
majority purports to agree with this view, it also suggests that RCW 7.70.050 does not
permit a patient to bring an informed consent claim when a provider makes a
====~m~i~sd"""iaJznosis and. in proceeding to treat the misdiagnosed ailment, does not disclose a
material fact relating to treatment or nontreatment. 1 Compare majority at 2, 8, 9, 11,
16, with majority at 20. Because nothing in chapter 7.70 RCW suggests the
legislature intended such a dichotomy, I concur in result only.
Under Washington law, a patient claiming failure to secure informed consent
must establish:
(a) That the health care provider failed to inform the patient of a
material fact or facts relating to the treatment;
1Nontreatment is a form of treatment. See RCW 7.70.060; Backlund v. Univ. of Wash., 137
Wn.2d 651, 661n.2, 975 P.2d 950 (1999) (citing Brown v. Dahl, 41 Wn. App. 565, 570, 705
P.2d 781 (1985)).
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Anaya Gomez v. Sauerwin, et al., No. 88307-6 (Gonzalez, J. concurring in result only)
(b) That the patient consented to the treatment without being aware of or
fully informed of such material fact or facts;
(c) That a reasonably prudent patient under similar circumstances would
not have consented to tqe treatment if informed of such material fact or facts;
(d) That the treatment in question proximately caused injury to the
patient.
RCW 7.70.050(1). A material fact is one to which "a reasonably prudent person in
the position of the patient or his or her representative would attach significance."
RCW 7.70.050(2). To bring a negligence claim for failure to follow the standard of
care a plaintiff must show that:
( 1) The health care provider failed to exercise that degree of care,
skill, and learning expected of a reasonably prudent health care provider
at that time in the profession or class to which he or she belongs, in the
state of Washington, acting in the same or similar circumstances;
(2) Such failure was a proximate cause of the injury complained
======~of~.========================================
RCW 7.70.040. These statutes do not conflict. Nor are they inconsistent with the
overarching goals of chapter 7.70 RCW: to police the health care practice, foster
patient autonomy, and have a patient-centric view when imposing liability on health
care providers. See, e.g., Adair v. Weinberg, 79 Wn. App. 197, 203, 901 P.2d 340(1995) (noting that "both the medical profession and society play a role in establishing
what is expected of a medical provider"); Burnet v. Spokane Ambulance, 54 Wn. App.
162, 168, 772 P.2d 1027 (1989) ("Informed consent focuses on the patient's right to
know his bodily condition and to decide what should be done.").
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Anaya Gomez v. Sauerwin, eta!., No. 88307-6 (Gonzalez, J. concurring in result only)
Our informed consent laws allow a patient to recover damages from a health
care provider who fails to obtain informed consent whether or not the medical
diagnosis and/or treatment was negligent. RCW 7.70.050; Backlund v. Univ. of
Wash., 137 Wn.2d 651,659,975 P.2d 950 (1999). The majority states that Backlund
controls here. Majority at 13. I agree. As Backlund observes, "Negligence and
informed consent are alternative methods of imposing liability on a health care
practitioner." 137 Wn.2d at 659. The opinion goes on to say that
[a] physician who misdiagnoses the patient's condition, and is therefore
unaware of an appropriate category of treatments or treatment alternatives, may
properly be subject to a negligence action where such misdiagnosis breaches
the standard of care, but may not be subject to an action based on failure to
secure informed consent.
!d. at 661. Unfortunately, taken out of context, this language seems to have led some
commentators to believe a plaintiff can bring only a negligence or informed consent
claim. See majority at 10. This is not the case. If it were, we would not have
analyzed whether the Backlunds had made a prima facie informed consent claim
because, as a matter of law, they would have had no cause of action anyway. 137
Wn.2d at 663-69. Instead, we specifically rejected the provider's argument that "a
cause of action for failure to obtain informed consent is unavailable to the Backlunds
as a matter of law where the jury exonerated Dr. Jackson and the University from
negligence." !d. at 653-54.
Backlund sets out a set of facts that would not support both a negligence claim
and an informed consent claim: a health care provider misdiagnoses a headache as a
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Anaya Gomez v. Sauerwin, et al., No. 88307~6 (Gonzalez, J. concurring in result only)
transitory problem, resulting in a failure to detect a brain tumor. We stated
accordingly that it would be "anomalous to hold the physician culpable under RCW
7.70.050 for failing to secure the patient's informed consent for treatment for the
undetected tumor." !d. at 661 n.2. This is certainly true. But Blacklund did not
address the potential claim the patient would have if the provider had also failed to
secure informed consent before treating the transitory headache and an injury resulted.
Under such a scenario, the facts support claims that the provider was both negligent
and failed to secure informed consent and is potentially liable on either theory.
Though a plaintiff in such a case may not be permitted to recover on both claims so as
to avoid double damages, this does not mean these two theories of recovery are
mutually exclusive. Providers must secure informed consent regardless of whether
diagnosis rose to the proper standard of care.
Also, I respectfully disagree with the majority's characterization of the
plaintiffs arguments. See, e.g., majority at 11. There is nothing startling or
ridiculous about bringing both a negligence claim and an informed consent claim.
Nor is it inappropriate to analogize Gates v. Jensen, 92 Wn.2d 246, 595 P.2d 919(1979), to the case at bar. The majority believes that Mr. Rodolpho Anaya Gomez's
(Mr. Anaya) case is easily distinguishable from Gates because "there was nothing else
that Dr. Sauerwein could have done," and because of Gates' unique facts "it is
unlikely we will ever see such a case again." Majority at 14, 20. The record shows
that no matter what Dr. Sauerwein did Mrs. Christina Palma Anaya's outcome would
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Anaya Gomez v. Sauerwin, eta!., No. 88307-6 (Gonzalez, J. concurring in result only)
not have changed, 2 but that fact speaks solely to the issue of proximate cause: it does
not limit Mr. Anaya to a claim of negligence. Both here and in Gates, the providers
received information material to the treatment of their patients that they did not
disclose and, in both cases, easy additional steps should have been taken by the
providers. For Ms. Gates, it was pupil dilation, for Mrs. Anaya, reculturing.
Here, similar to Backlund, the provider did not believe his patient's positive
blood test required treatment because he believed it to be a false positive. But such a
misdiagnosis does not automatically preclude an informed consent claim. That said,
the trial court here, in accord with Backlund, properly refused Mr. Anaya's motion for
an informed consent instruction because there was not sufficient evidence to support a
prima facie case ofbreach of informed consent. Backlund, 137 Wn.2d at 654.
Nonetheless, I take this occasion to reject a distortion of the "Backlund rule"-
that a plaintiff cannot bring both an informed consent and a negligence claim.
Instead, I reaffirm the Backlund rule-that negligence and informed consent are
merely alternative methods of imposing liability. While it may be rare that the same
set of facts will support both claims, we should not foreclose the possibility that a
single course of events or treatment could give rise to both. Concerns about double-
2 At trial, the experts agreed that even if Dr. Sauerwein had ordered treatment immediately after
receiving the positive blood test it would not have prevented Mrs. Anaya's death because the
standard treatment would have been completely ineffective against the specific strain of yeast in
her blood. Transcript of Proceedings (TP) (June 10, 2011) at 42-43. However, it was undisputed
that there were steps Dr. Sauerwein could have taken: "[the standard of care required t]wo
things; one re-culture the blood and two begin on medication that specifically is known to
combat fungus infections." TP (June 7, 2011) at 86-88.
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Anaya Gomez v. Sauerwin, et al., No. 88307-6 (Gonzalez, J. concurring in result only)
damages may be well taken, but I am certain that our trial courts are capable of
crafting judgments that avoid such windfalls.
With these observations, I respectfully concur.
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Anaya Gomez v. Sauerwin, eta!., No. 88307-6 (Gonzalez, J. concurring)
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