Edgeworth v. FAMILY CHIROPRACTIC & HEALTH
Edgeworth v. FAMILY CHIROPRACTIC & HEALTH
Opinion
Rhonda Sue Edgeworth, the plaintiff in the underlying medical-malpractice action against Family Chiropractic Health Center, P.C., Kenneth A. Robinson, D.C., and Gregory A. Kuhlmann, D.C. ("the defendants"), appeals from the April 19, 2005, judgment entered in favor of the defendants, in response to the verdict of the jury.
On appeal, Edgeworth complains only about the content of the trial court's instructions to the jury concerning the burden of proof applicable to a medical-malpractice action. Accordingly, the facts forming the basis of Edgeworth's claims against the defendants are not pertinent to *Page 1013 the issues on appeal, and we therefore do not discuss them.
Edgeworth asserts as her first issue on appeal that the trial court erred in instructing the jury that, because this was a medical-malpractice case, her burden of proof was higher than it would be in a normal civil case. The portion of the instruction at issue was as follows:
*Page 1014"If you are reasonably satisfied from the evidence in this case that the defendants complied with the standard set by the learning, skill, and care ordinarily possessed and practiced at the time in question by other chiropractors in the same general line of practice, under similar circumstances as shown by the expert chiropractic evidence in this case, then you should return a verdict for the defendants.
. . . .
"Now, I've stated before that the burden of proof in this case is upon the plaintiff. The burden of proof is something that we hear about a lot of times on TV and other cases in which you may have served as a juror. In this case, which is a medical malpractice case, the burden of proof is a little different. Okay? In a medical malpractice case, the burden of proof is upon the plaintiff to reasonably satisfy you by substantial evidence of the truthfulness of the matters and things claimed by her before she would be entitled to recover.
"All right. Now, normally in a civil case, and this is a civil case, normally the burden of proof is upon the plaintiff to only reasonably satisfy you of the evidence. So this being a malpractice case, it bumps it up some.
"Now, we've all heard the burden of proof beyond a reasonable doubt. Beyond a reasonable doubt is the highest burden of proof we have and that burden of proof is only in criminal cases. So that burden of proof would be up here. The normal civil case is to prove to your reasonable satisfaction the truth of material averments contained in their complaint.
"In a medical malpractice case, it's somewhere in between, not as high as beyond a reasonable doubt, but it's higher than to your reasonable satisfaction. Again, the burden is to prove to the jury's reasonable satisfaction by substantial evidence the truth of the matters and things claimed by her before the plaintiff would be entitled to recover.
"Now, normally in a civil case when the parties walk through the doors, and in this case also, when they walk through the doors of the courtroom, the scales of justice are equal. No one has an advantage and they're equal.
"In a civil case, normal civil case, if you weigh out that evidence, if it's weighted slightly or heavily in favor of the plaintiff, then you should rule in favor of the plaintiff. If it's weighted slightly or heavily in favor of the defendant, you should rule in favor of the defendant. This being a medical malpractice case, that burden of proof is up a little bit from that. So it's got to be more than slightly over 50 percent to slightly over 49 percent. It's got to be more.
"And I'll explain to you more. I'll go ahead now. Substantial evidence is that character of admissible evidence that would convince an unprejudiced, thinking mind of the truth of the facts to which the evidence is directed.
"That's the definition of substantial evidence. I'll read that to you again.
"Substantial evidence is that character of admissible evidence that would convince an unprejudiced, thinking mind of the truth of the facts to which the evidence is directed.
"Okay. So it's a little different burden of proof in this case because it is a medical malpractice case."
The objection Edgeworth interposed to the trial court's instruction on the burden of proof was as follows:
"[T]he plaintiff would except to the definition of the burden of proof. The suggestion was that the burden of proof is different in this case than in any other civil case. I believe that the statute says that the evidence to be considered by the jury is of a higher character or a higher quality, but that the burden of proof remains the same, that they be reasonably satisfied by a [sic] substantial evidence in this case, as opposed to reasonably satisfied by the evidence than [sic] in any other civil case."
Previous discussions among the court and the parties contained in the record make it clear that "the statute" to which Edgeworth is referring is the Alabama Medical Liability Act of 1987, as codified at §
In 1987, the Alabama Legislature enacted a 10 — bill package of "tort reform" legislation. Robert D. Hunter,1Alabama's 1987 Tort Reform Legislation, 18 Cumb. L. Rev. 281, 282 (1988). Included within that package was Act No.
In many respects the AMLA traveled a course quite distinct from the remainder of the tort-reform package, although it was at all times inseparable from the entire package. (Hunter, p. 308.) As introduced in the House of Representatives, the AMLA contained no definition of "substantial evidence," and when a definition of that term was added by amendment in the Senate, the definition used in the "general" substantial-evidence bill, Act No.
In explaining its subsequent construction of the general definition of substantial evidence appearing in §
"The wording of the statements of the quality and weight of the evidence necessary to submit an issue of fact to the trier of fact differs. However, with the judicial interpretation of §
12-21-12 (d) in West v. Founders Life Assurance Co. of Florida,547 So.2d 870 ,871 (Ala. 1989) (`substantial evidence' was there defined as `evidence of such weight and quality that fair-minded persons in the exercise of impartial judgment can reasonably infer the existence of the fact sought to be proved'), we cannot find that plaintiffs in actions against health care providers have a higher burden of proof under §6-5-542 (which defines `substantial evidence' as `admissible evidence which would convince an unprejudiced thinking mind of the truth of the fact to which the evidence is directed') than under §12-21-12 (d), which the plaintiff describes as the `general law.' This is a difference without a distinction."
In Campbell v. Williams,
"this Court has held that the difference between the definition of `substantial evidence' given in §
6-5-542 (5) and the definition of the same term given in §12-21-12 (d) is a `difference without distinction,' Clements, supra,595 So.2d at 862 ."
As amended in 1992, the Workers' Compensation Act provided that a judgment based on pure findings of fact by the circuit court should not be reversed on appeal if supported by "substantial evidence." §
The AMLA provides that in any medical-malpractice action, "the plaintiff shall have the burden of proving by substantial evidence" that the defendant health-care provider failed to exercise the requisite care, skill, and diligence, §
In Ex parte Gradford,
"Clearly, the substantial evidence rule pertains only to `rulings by the court' on the sufficiency of the evidence as presented by motions for summary judgment or motions for judgment as a matter of law (the current terminology; see Rule 50, Ala. R. Civ. P.). No one would have suggested before the adoption of Act No.
87-184 that the burden of proof on a plaintiff was to `reasonably satisfy the jury by a scintilla of evidence'; the burden was simply to `reasonably satisfy you [the jury] by the evidence,' Instruction 8.00, Alabama Pattern Jury Instructions: Civil (1st ed. 1974). That burden was not changed by the adoption of Act No.87-184 , as the pattern jury instruction committee apparently recognized when it did not change Instruction 8.00 in the second edition.". . . .
". . . [I]t is error to give a charge telling the jury that it must be `reasonably satisfied by substantial evidence.'
"The giving of such a charge is error, both because the substantial evidence rule has no place in the jury's deliberations and because the charge has a tendency to mislead and confuse the jury. Although the circuit court here instructed the jury on the legal definition of `substantial evidence,' the repeated use of that term may have confused the jury because of the ambiguity of the word `substantial.' `Substantial' may mean either `real, material, not seeming or imaginary' or `considerable in amount, value, or worth.' The former meaning seems to be what the `substantial evidence' standard requires for an affirmative ruling on the question of sufficiency of the evidence, but the latter meaning is one that is commonly understood. Thus, the jury might well understand `substantial evidence' to mean `more than a preponderance of the evidence.'
"This possibility of confusion is exacerbated by the fact that the jurors will probably not know about the shift in Alabama law from the scintilla rule to the substantial evidence rule. When `substantial' is considered in relation to `scintilla,' the term requires only that the evidence be material, of some substance. A circuit judge ruling on a summary judgment motion or a motion for a judgment as a matter of law will know this distinction and will look for substantial evidence with the correct threshold in mind. A jury, not knowing that `substantial' should be contrasted with `scintilla,' may well think that the requirement of `substantial evidence' requires the plaintiff to prevail by some margin of evidence greater than the mere preponderance of the evidence, which is the true burden of proof."
Justice Houston, dissenting in Ex parte Gradford and joined by three other members of the Court, was of this opinion:
*Page 1017"After examining the entire jury charge, I am satisfied that even though the trial court's references to `substantial evidence' in connection with the negligence claims were erroneous, those references, when considered in the context of the entire charge, do not rise to the level of reversible error. The trial court clearly charged the jurors that before they could return a verdict for the plaintiff they had to be reasonably satisfied from the evidence that the plaintiff was entitled to prevail. Although the trial court went further in several instances and told the jurors that they had to be reasonably satisfied by `substantial evidence,' the trial court defined `substantial evidence':
"`As to the allegation of negligence, the burden is on the plaintiff to prove each and every element of one or more of his claims by substantial evidence. Substantial evidence, members of the jury, is defined as evidence of such weight and quality that fair-minded persons, in the exercise of impartial judgment, can reasonably infer the existence of the fact sought to be proved.'"In my view, this merely conveyed to the jurors the obvious — that the plaintiff had to present evidence from which they could reasonably find in his favor and that before they could so find they had to be reasonably satisfied that the plaintiff was entitled to prevail.
"Although I agree with the majority that the jury did not need to be told that the plaintiff had to prove his case by `substantial evidence,' I nonetheless do not share the majority's concerns that the jurors could reasonably have been confused or misled by having that information. I am not willing to go outside the trial court's charge — to Webster's Third New International Dictionary, for example — to find a basis for concluding that the jurors could have been confused or misled. So far as I know, the jurors did not have a dictionary with them during their deliberations, and I am not willing to assume that the jurors did not understand and follow the law as it was explained to them by the trial court."
In Hayes v. Luckey,
The court went on to explain that the concept of sufficiency of the evidence was addressed to the court's function, not the jury's; "the weight of the evidence" "is usually used to refer to the jury's function and of course the jury is concerned with the weight of evidence at least in the sense of its persuasive effect on their own minds."
In Cackowski, supra, the response of the defendant health-care provider to the plaintiffs' medical-malpractice claim included the assertion of the affirmative defense of contributory negligence. On appeal from a judgment entered on a verdict for the defense, the plaintiffs argued that the trial court erred by requiring them "to prove their case by `substantial evidence,'" as mandated by the AMLA, "while the court required [the defendant] to prove its affirmative defense of contributory negligence only to the jury's reasonable satisfaction."
"[T]he trial court should have made it clear to the jury that each party was required to prove its case by substantial evidence to the reasonable satisfaction of the jury. We recognize that this decision conflicts with our holding in Ex parte Gradford [
699 So.2d 149 (Ala. 1997)]. However, we note that Gradford remains the law except in the relatively rare situation, such as in the present case, where contributory negligence is an issue in a medical-malpractice case."
Finally, in Hutchins v. DCH Regional Medical Center,
As noted earlier, this Court is committed to the proposition that the difference in wording in the "general" definition of substantial evidence in §
At any rate, Edgeworth lodged no objection or criticism with the trial judge about *Page 1019 the fact that it charged the jury that Edgeworth's burden of proof was "to prove to the jury's reasonable satisfaction by substantial evidence" the truth of her claims before she would be entitled to recover, or the fact that the trial judge advised the jury that substantial evidence was "that character of admissible evidence that would convince an unprejudiced, thinking mind of the truth of facts to which the evidence is directed." Rather, Edge-worth stated to the judge that it was her position that the AMLA "says that the evidence to be considered by the jury is of a higher character or a higher quality." The focus of Edgeworth's objection was that the trial judge had suggested "that the burden of proof is different" in a medical-malpractice case, as contrasted with any other civil case, whereas, in Edge-worth's view, "the burden of proof remains the same." Edgeworth agreed, however, that due to the higher character or higher quality of evidence required by theAMLA, the jury in a medical-malpractice case must be "reasonably satisfied by a [sic] substantial evidence . . . as opposed to reasonably satisfied by the evidence than [sic] in any other civil case."
Rule 51, Ala. R. Civ. P., declares that "[n]o party may assign as error . . . the giving of an erroneous, misleading, incomplete, or otherwise improper oral charge unless the party objects thereto . . . stating the matter objected to and the grounds of the objection." "`The essential purpose of Rule 51 is to give the trial court an opportunity to correct its instructions and to avoid the waste of time and money from reversals that result from oversight, technical omissions, or remediable mistakes.'" Alewine v. Southern Ry.,
Against the backdrop of that objection, we review the portion of the jury instruction at issue in the context of the entire instruction; we conclude that, when it is viewed in its entirety, any error of phraseology by the trial judge did not constitute reversible error. That is because in every instance the trial judge explained the supposed difference between the burden of proof in a medical-malpractice action and a "normal" civil case in such a way as to clearly explain that the difference was simply that the plaintiff had to reasonably satisfy the jury by substantial evidence. For example, upon initially advising the jury that in a medical-malpractice action the burden of proof was "a little different," the judge immediately explained that "the burden of proof is upon the plaintiff to reasonably satisfy you by substantial evidence of the truthfulness of the matters and things claimed by her before she would be entitled to recover." The trial judge then explained that normally in a civil action the burden of proof was upon the plaintiff "to only reasonably satisfy you of the evidence." This is exactly the same contrast Edgeworth made in her objection, except that she contended that "the burden of proof remains the same," whereas the trial judge stated colloquially that the difference "bumps it up some." Even though, standing alone, that *Page 1020 phraseology would be potentially misleading, it nonetheless related back to the immediately preceding explanation, subsequently endorsed by Edgeworth in her objection, that a higher character or quality of evidence was required in a medical-malpractice action, whereby the jury would have to be reasonably satisfied by substantial evidence rather than reasonably satisfied merely by "the" evidence. We need not concern ourselves with whether these attempts to contrast the two standards are accurate in the abstract; we are concerned only with whether the trial court's instruction, viewed in its entirety, represented reversible error in the face of the position taken by Edgeworth in stating her objection, and the grounds for it, to the trial court.
Although we do not approve of the trial court's attempt to calibrate the burden of proof visa-visa criminal case, the normal civil action, and a medical-malpractice action, particularly its statement that the burden of proof in a medical-malpractice action is "higher than to your reasonable satisfaction," the purpose of the manner in which the trial judge then, and every other time, attempted to relate or explain how the burden was "higher" was to contrast the burdens in terms of the additional "substantial evidence" requirement. In other words, immediately following the statement that the burden of proof was "higher than to your reasonable satisfaction," the trial judge reiterated, "Again, the burden is to prove to the jury's reasonable satisfaction by substantial evidence the truth of the matters and things claimed by her before the plaintiff would be entitled to recover." (Emphasis added.)
Admittedly, the trial court was not thereafter accurate in attempting to explain to the jury that in a medical-malpractice action "the burden of proof is up a little bit from" the burden in a normal civil action in which either party would be entitled to a verdict if the evidence was "weighted slightly or heavily" in his or her favor, the requirement in the medical-malpractice action being that "it's got to be more than slightly over 50 percent to slightly over 49 percent. Its got to be more." Nonetheless, the court once again immediately and clearly explained that difference exclusively in terms of the requirement of proof by substantial evidence. That is to say, after telling the jury "[i]t's got to be more," the trial judge stated "I'll explain to you [`]more[']. I'll go ahead now," and he then translated the "more," explaining that "[substantial evidence is that character of admissible evidence that would convince an unprejudiced, thinking mind of the truth of the facts to which the evidence is directed." Ensuring that the jury understood that to be the definition of substantial evidence, the trial judge repeated it to the jury, concluding with the explanation, "O.K. So it's a little different proof in this case because it is a medical malpractice case."
Viewing this charge in its entirety, we determine that all potentially erroneous phraseology used by the trial judge was immediately counteracted by his explanations that the difference in the burden of proof he was trying to communicate related solely to the fact that in a medical-malpractice action the burden was on the plaintiff to prove the truth of the claim to the jury's "reasonable satisfaction by substantial evidence" whereas in a non-medical-malpractice civil action that burden was only to prove the claims to the jury's "reasonable satisfaction by the evidence." Those being the same contrasting standards asserted by Edgeworth in her objection to the trial judge, we cannot condemn as reversible error its use by the trial judge. *Page 1021
We do not attempt in this opinion to anticipate and address all potential problems that may be associated with jury instructions that, conforming to the affirmative legislative mandate of the last sentence of §
As the federal district judge observed in Hayes, supra, quoting from an opinion by one of his fellow judges in that federal district, it is anomalous "`to give to the jury a case which already has passed the court's "substantial evidence" test and then to tell the jury that it can only find for the plaintiff in the event the plaintiff has proven his case by "substantial evidence," which, incidentally, the court has just found to exist.'"
In consideration of the conceptual anomaly occasioned by the requirement of the last sentence of §
Edgeworth states in her principal brief that, although not apparent from the transcript of the trial judge's instructions to the jury, the judge "used his hands to illustrate the scales of justice analogy that was given when discussing the burden of proof," and she suggests that oral argument could help this Court "better understand what happened during the trial court's instructions that are not reflected in the record." (Edgeworth's brief, p. 7, p. i.) Edgeworth did not at any time complain to the trial judge concerning any hand gestures, even in the motion for a new trial she later filed to argue extensively concerning the "burden of proof issue she now raises on appeal. Edgeworth has not otherwise attempted to supplement the record to introduce any description of the *Page 1022
alleged hand gestures through any of the possibly applicable procedures available under Rule 10, Ala. R.App. P. Certainly, this Court could not allow the record to be supplemented by an explanation supplied for the first time at oral argument. The Court is not permitted to consider matters outside the record; therefore, we do not incorporate in our analysis of this issue any speculation concerning possible hand gestures by the trial judge. Etherton v. City of Homewood,
The second, and related, contention Edgeworth raises on appeal is that the trial judge reinforced and compounded its erroneous instruction concerning the height of "the persuasion bar" by redundantly charging the jury, for a total of 17 times she says, that it was Edgeworth's burden to reasonably satisfy the jury by substantial evidence. (Edgeworth's brief, pp. 19-20.) Edgeworth's objection in that regard, interposed at the conclusion of the charge to the jury, was phrased only in these terms:
"We would except as to that portion of the charge that was redundant in several areas and without being specific about which ones. Generally, what I'm talking about is the applicable standard of care and how that should be determined and applied by the jury in deciding whether or not these defendants were negligent or had breached that standard of care.
"I didn't keep up with it exactly, but you went over that several times in different ways, and my fear is that the jury might be confused about what the issue is there."
It is questionable that this generalized statement satisfies the requirement of Rule 51, Ala. R. Civ. P., that the objection state "the matter objected to and the grounds of the objection." Moreover, in arguing the point in her principal brief, Edgeworth cites no legal authority except in this statement that concludes that portion of her argument:
"[A] medical malpractice case is a civil case like any other but for the unfortunate provision of Ala. Code §6-5-549 that requires the court to charge the jury with making a determination concerning the quality of the evidence presented, a requirement that usurps the responsibility of the trial court and embraces concepts that, as pointed out above, is not always simple for an untrained mind to comprehend. (See Lyons v. Walker Regional Medical Center, Inc.,868 So.2d 1071 ,1085 (Ala. 2003))."
(Edgeworth's brief, p. 20.) At face value, this statement does not seem to have anything to do with redundancy in a jury instruction, and, additionally, we find nothing on the cited page of Lyons v. Walker Regional Medical Center, Inc.,
At any rate, at least six of the statements in the jury instructions to the effect that Edgeworth had the burden to reasonably satisfy the jury by substantial evidence were occasioned by the fact that the same statements were contained in written charges requested by Edgeworth, which the trial court gave. For example, in Edgeworth's requested charge no. 20, that burden was stated three times, and substantial evidence was defined as "that character of admissible evidence that *Page 1023 would convince [the] unprejudiced thinking mind of the truth of the fact to which the evidence is directed." At the charge conference conducted by the trial court, all of the respective written charges requested by Edgeworth or the defendants were reviewed by the court seriatim, and they contained multiple references to the requirement that the jury must be reasonably satisfied by substantial evidence before it could return a verdict for Edgeworth. Edgeworth did not object to the repetition of those references, although she did twice comment about other supposed redundant features of the charge. In stating that one of the charges requested by the defendants was "part" of a charge requested by Edgeworth, she stated "we have no objection to it, but it is redundant." At another point she commented concerning the fact that one of the defendants' requested charges overlapped one of the other charges, albeit not with respect to the concept of substantial evidence, that "it's redundant, but it's not objectionable, except to its redundancy."
Taking all of this into consideration, we do not consider Edgeworth to have preserved at the trial court level or to have adequately presented at the appellate court level any issue relating to possible excessive redundancy in the jury instructions concerning the requirement for proof by substantial evidence.
AFFIRMED.
NABERS, C.J., and SEE, STUART, and BOLIN, JJ., concur.
Reference
- Full Case Name
- Rhonda Sue Edgeworth v. Family Chiropractic Health Center, P.C.
- Cited By
- 5 cases
- Status
- Published