Case Law[2022] ZAWCHC 133South Africa
Van Zyl N.O obo A.M v MEC for Health, Western Cape Provincial Department of Health (A138/2021) [2022] ZAWCHC 133; [2023] 1 All SA 501 (WCC) (4 July 2022)
Headnotes
on 17 January 2022. For the sake of convenience, I shall continue to refer to the parties as they were a quo.
Judgment
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## Van Zyl N.O obo A.M v MEC for Health, Western Cape Provincial Department of Health (A138/2021) [2022] ZAWCHC 133; [2023] 1 All SA 501 (WCC) (4 July 2022)
Van Zyl N.O obo A.M v MEC for Health, Western Cape Provincial Department of Health (A138/2021) [2022] ZAWCHC 133; [2023] 1 All SA 501 (WCC) (4 July 2022)
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sino date 4 July 2022
SAFLII
Note:
Certain
personal/private details of parties or witnesses have been
redacted from this document in compliance with the law
and
SAFLII
Policy
IN
THE HIGH COURT OF SOUTH AFRICA
WESTERN
CAPE DIVISION, CAPE TOWN
REPORTABLE
CASE
NO: A138/2021
In
the matter between:
PHILIPPA
SUSAN VAN ZYL N.O.
obo
A[....]
M[....]
Appellant
and
THE
MEC FOR HEALTH, WESTERN CAPE
PROVINCIAL
DEPARTMENT OF HEALTH
Respondent
Bench:
P.A.L. Gamble, T.D.Papier and J.D. Lekhuleni, JJ
Heard:
17 January 2022
Delivered:
4 July 2022
This
judgment was handed down electronically by circulation to the
parties' representatives via email and release to SAFLII. The
date
and time for hand-down is deemed to be 10h00 on 4 July 2022.
JUDGMENT
GAMBLE,
J:
INTRODUCTION
1.
On
8 August 2007, A[....] M[....] (then 12 years old and hereinafter
referred to as “the patient”), underwent routine
surgery
at the Tygerberg Hospital in Bellville for repair of a left inguinal
hernia. The operation, which required the administration
of a general
anaesthetic, proceeded without any problems. As the patient was being
revived from the anaesthetic he experienced
a laryngospasm
[1]
,
causing his brain to be deprived of oxygen for an appreciable time –
so-called hypoxia – which, it is claimed, resulted
in the
patient suffering anoxic brain damage.
2.
In 2014
proceedings were brought on behalf
of the patient to recover damages from the defendant, who bore
responsibility for any acts or
omissions by staff at the hospital
resulting in injury and damages to its patients. The patient was
assisted in those proceedings
by Ms. P.S. van Zyl, a member of the
Cape Bar, who was appointed as his curator ad litem. The defendant
denied liability and the
matter eventually went to trial on the
merits, with the quantum to stand over for later determination.
3.
The trial proceeded before Nuku J who heard
the expert evidence on behalf of the plaintiff of, inter alia, an
anaesthetist, a neurosurgeon
and a clinical neuropsychologist. At the
conclusion of the plaintiff’s case, the defendant successfully
applied for absolution
from the instance. As will be seen more fully
hereunder, the plaintiff and the defendant each appointed, inter
alia, specialist
anaesthetists as expert witnesses to assist the
Court in determining the question of professional negligence and
these two experts
prepared a joint minute during the pre-trial stage
setting out their points of agreement and disagreement.
4.
At the close of the plaintiff’s case,
and before adducing any evidence on its part, the defendant
successfully persuaded the
Court
a quo
that there was no longer any difference
of opinion between the experts, due regard being had to certain
points of agreement allegedly
concluded in the joint minute and the
cross-examination of the plaintiff’s anaesthetic expert, and
that the plaintiff had
thus failed to establish a
prima
facie
case for negligence which
required an answer from the defendant.
5.
Although the Court
a
quo
heard the evidence of a
neurosurgeon and a clinical neuropsychologist, which was adduced by
the plaintiff in relation to the causation
component of her delictual
claim, no finding was made on this aspect. Absolution was granted
solely on the basis that the plaintiff
had failed to adduce
sufficient evidence to make out a case for negligence on the part of
the defendant.
6.
The Court
a
quo
having refused an application for
leave to appeal, the patient is before this Court with the leave of
the Supreme Court of Appeal
(“SCA”) granted on 1 April
2021. The patient was represented on appeal by Mr. P. Corbett SC and
the defendant by Ms.
S. Witten, both of whom appeared in the court
below. We are indebted to counsel for their helpful heads of argument
and submissions
during the virtual hearing held on 17 January 2022.
For the sake of convenience, I shall continue to refer to the parties
as they
were
a quo.
ABSOLUTION FROM THE
INSTANCE
7.
Before proceeding to consider the merits of
the appeal against the judgment granting absolution from the
instance, it is as well
to consider first principles in relation
thereto.
8.
In
De
Klerk
[2]
,
the SCA commented as follows on the approach on appeal against an
order for absolution in the court below.
“
[1]
Counsel who applies for absolution from the instance at the end of a
plaintiff’s case takes a risk, even though the plaintiff’s
case be weak. If the application succeeds the plaintiff’s
action is ended, he must pay the costs and the defendant is relieved
of the decision whether to lead evidence and of having his body of
evidence scrutinized should he choose to provide it. But time
and
time again plaintiffs against whom absolution has been ordered have
appealed successfully and left the defendant to pay the
costs of both
the application and the appeal and with the need to decide what is to
be done next. The question in this case is
whether the plaintiff has
crossed the low threshold of proof that the law sets when the
plaintiff’s case is closed but the
defendant’s is not.”
9.
The
authorities on this point go back more than a century and they are
clear, as
Claude
Neon
[3]
demonstrates.
“
(W)hen
absolution from the instance is sought at the close of plaintiff’s
case, the test to be applied is not whether the
evidence led by
plaintiff establishes what would finally be required to be
established, but whether there is evidence upon which
a Court,
applying its mind reasonably to such evidence, could or might (not
should, nor ought to) find for the plaintiff. (
Gascoyne
v Paul and Hunter,
1917 T.P.D 170
at
p173;
Ruto Flour Mills (Pty) Ltd v
Adelson (2)
1958 (4) SA 307
(T))”.
10.
It
has been said that, because the enquiry here is only whether a
prima
facie
case has been set up by the plaintiff, the bar for the avoidance of
absolution is set fairly low in that party’s favour.
In
Supreme
Service Station
[4]
the erstwhile Rhodesian Appellate Division dealt with an appeal
against an order for absolution by a magistrate at the conclusion
of
the plaintiff’s case. Beadle CJ dealt extensively with the
authorities, stressing that the test was different at that
stage of
proceedings as compared with the close of the defendant’s case.
The question, emphasized the Chief Justice, was
“what might a
reasonable court do” at the close of the plaintiff’s case
as opposed to “what ought a reasonable
court to do” at
the close of the defendant’s case.
11.
Beadle
CJ went on to remark about the importance of the court hearing the
defendant’s evidence in circumstances where certain
of the
material events might be said to fall peculiarly within that party’s
knowledge.
[5]
“
A
feature of applications of this sort which must always be borne in
mind is that the defendant is giving no evidence. If the defendant
closes his case without giving evidence in a proper case, an
inference must always be drawn against him from his failure to give
evidence contradicting that of the plaintiff and, inasmuch as the
onus on the defendant who applies for absolution from the instance
before closing his case is greater than the onus placed upon him when
he applies for absolution from the instance after closing
his case,
it follows that in considering applications of this sort the fact
that the defendant has not given evidence at all to
refute what
appears to be in the plaintiff’s evidence is often a cogent
factor to be taken into account.
Before concluding my
remarks of the law on the subject, I must stress that rules of
procedure are made to ensure that justice is
done between the
parties, and so far as is possible the court should not allow rules
of procedure to be used to cause an injustice.
If the defence is
something peculiarly within the knowledge of the defendant, and the
plaintiff has made out some case to answer,
the plaintiff should not
likely be deprived of his remedy without first hearing what the
defendant has to say. A defendant who
might be afraid to go into the
box should not be permitted to shelter behind the procedure of
absolution from the instance. I might
usefully quote here what was
said by Sutton J in
Erasmus v Boss
1939 CPD 204
at p.207:
‘
In
Theron v Behr
1918 C.P.D. 442
, Juta, J at p451, states that according to the
practice in this Court in later years Judges have become very loath
to decide upon
questions of fact without hearing all the evidence on
both sides.’
We in this territory have
always followed the practice of the Cape courts. In case of doubt at
what a reasonable court ‘might’
do, a judicial officer
should always, therefore, lean on the side of allowing the case to
proceed.”
12.
I must confess that, while orders for
absolution do not appear to abound in this court’s
jurisdiction, I am not familiar with
this practice in the Cape
courts. But then again, there is no authority either of which I am
aware, that suggests that the
dictum
of
the Chief Justice is wrong or is no longer applicable. Indeed, I
would have thought that in the constitutional era where s34
of the
Constitution, 1996 ensures access to the courts for the determination
of a civil suit in a “fair public hearing”,
it would be
inimical to the interests of justice (“
cause
an injustice”
) not to continue to
adopt such an approach. I leave it there.
THE CASE AS PLEADED BY
THE PARTIES
13.
In the particulars of claim the plaintiff
first pleaded the conclusion of an agreement with the defendant in
terms whereof it undertook
“
to
furnish appropriate medical, nursing and hospital care, treatment and
supervision
” to the patient. The
plaintiff further pleaded an implied term of that agreement that the
defendant “
would at all material
times exercise such skill, care and diligence as was reasonably
required in
the
circumstances in furnishing such medical, nursing and hospital care,
treatment and supervision
.”
14.
In the alternative, the plaintiff pleaded
that the defendant was “
under a
legal duty of care to [the patient] to administer medical, nursing
and hospital treatment with due professional skill and
care and
without negligence.
”
15.
The plaintiff pleaded further that in
breach of the agreement and the duty of care as alleged, the
defendant’s employees were
negligent in failing to treat the
patient with the skill, care and diligence reasonably required in the
circumstances in one or
more of the following respects:
“
13.1
whilst intubating [the patient] they failed to diagnose the
laryngospasm timeously, adequately or at all;
13.2 whilest extubating
[the patient] they failed to diagnose the laryngospasm timeously,
adequately or at all;
13.3 they failed to treat
the laryngospasm as a medical emergency;
13.4 they failed to treat
the laryngospasm by prompt and rapid administration of oxygen;
13.5 they failed to treat
the laryngospasm by gentle jaw thrust;
13.6 they failed to treat
the laryngospasm by the administration of propofol to increase the
depth of anesthesia;
13.7 they failed to act
with due care.”
16.
In his plea, the defendant pleaded that the
staff who treated the patient were at all material times acting
within the scope and
course of their employment at the hospital in
question and that they –
“
assumed
a legal duty to assess, manage and treat [the patient] with the
degree of care, skill and diligence reasonably expected
of reasonable
medical practitioners, nursing staff and/or hospital staff in their
position and in accordance with the generally
accepted standards and
norms of provincial and/or public hospital practice.”
17.
In respect of the aforesaid allegations
made in para 13 of the particulars of claim, the defendant raised a
general denial that
the staff who treated the patient were negligent
in any respects and further pleaded that they had treated the patient
in accordance
with the duty set forth in para 16 above. There was an
alternative allegation that the defendant denied that any negligence
on
the part of his staff was the cause of the patient’s
injuries and damages. The issue of causation is not relevant to this
appeal.
18.
The defendant pleaded the following
specific allegations in reply to para’s 13.1 and 13.2 of the
particulars of claim:
“
8.2
In amplification of the above denial but without derogating from the
generality thereof, the defendant pleads that:
8.2.1 symptoms of the
laryngospasm presented upon extubation; and
8.2.2 the laryngospasm
was timeously and adequately diagnosed.”
19.
Save as aforesaid, the defendant did not
plead any further particularity in relation to the allegations made
in para’s 13.3
to 13.7 of the particulars of claim but relied
on a general denial of a breach of the admitted duty of care as set
forth in para
16 above.
20.
The exchange of requests for trial
particulars and the answers thereto did not take the matter much
further as the parties kept
their cards close to their chests and
repeated, in the main, the oft heard refrain that the particulars
sought constituted matters
of evidence. Nevertheless, the following
emerged from those exchanges.
(i)
The defendant alleged that the laryngospasm was diagnosed by the
anaesthetist following removal
of the endotracheal tube used to
ventilate the patient while under anaesthetic;
(ii)
The defendant further contended that the laryngospasm was managed by
the anaesthetist who provided
ventilation to the patient through a
bag-mask. However, the defendant refused to be drawn on the question
as to how long this was
applied;
(iii)
The defendant admitted that the anaesthetist administered the
following drugs to the patient to manage the
laryngospasm –
·
100mg succinylcholine;
·
Naloxone;
·
Neostigmine; and
·
Glycopyrrolate.
(iv) The
plaintiff did not persist in her allegation that there was a failure
by the defendant’s staff to diagnose
the laryngospasm;
(v)
The plaintiff alleged that the defendant’s staff failed to
treat the patient’s laryngospasm
as a medical emergency in that
they took too long to successfully oxygenate the patient;
(vi)
The plaintiff alleged that the defendant’s staff breached the
duty of care owed to the patient by failing
to adequately oxygenate
him to avert hypoxic brain damage.
That then by way of
background. I move on now to a discussion of the evidence
THE EVIDENCE OF THE
PLAINTIFF’S ANAESTHETIC EXPERT
21.
The plaintiff presented the evidence of
Prof. Aina Christina Lundgren as her principal expert on the question
of the appropriate
response by an anaesthetist to the emergence of a
larygospasm. Prof. Lundgren is a respected and experienced
anaesthetist, having
formerly been the head of the Department of
Anaesthesia at the University of the Witwatersrand. In that capacity
she was responsible,
inter alia, for the training and support of many
students in anaesthetics, in addition to her own practice as such.
She thus has
experience as both an academic and a practitioner.
22.
Prof. Lundgren explained that as a teacher
and moderator in specialist anaesthetic examinations she was familiar
with the programmes
which the College of Anaesthetists recognized.
Firstly, there was an Anaesthetic Diploma which was intended to offer
a qualification
to medical practitioners who wished to offer their
services in the district hospital areas in our country. Then there
was the Fellowship
of the College of Anaesthetists which recogni
z
s
ed
a specialist qualification in anaesthetics.
23.
The
professor explained in detail the role of the anaesthetist and the
administration of an anaesthetic to a patient. The primary
function
of the anaesthetist is to use drugs to render the patient unconscious
in order that surgery may proceed unhindered. In
that regard, an
anaesthetic comprises three components. Firstly, there is the
application of hypnosis i.e. putting the patient
to sleep by
rendering him
[6]
unconscious.
Secondly, there is the administration of analgesia for the relief of
pain during surgery and thirdly there is the
necessity for muscle
relaxation intra-operatively. When the surgery is complete, the
anaesthetist must administer an antidote to
counter-act the effect of
these drugs and to render the patient
compos
mentis
:
the proverbial waking up of the person.
24.
The duties of the anaesthetist in relation
to the monitoring of a patient commence with the administration of
the anaesthetic and
continue until such time as the surgery is
completed, the patient has recovered in the recovery room and has
been taken through
to the ward. Those duties include the monitoring
of the heart rate, blood pressure, oxygen saturation, temperature,
degree of muscle
relaxation and the amount of carbon dioxide exhaled
by the patient.
25.
Prof. Lundgren referred to the well-known
adage describing of the plight of the anaesthetist as follows.
“
The
duties of the anaesthetist, they – M ’Lord, they refer to
our speciality as 90% boredom and 10% of sheer terror.
And that is
because usually the patient is stable and we [need] only to monitor
the patent”.
The
“
sheer
terror
”
alluded to suggests that when the unexpected happens and things go
wrong, the hapless anaesthetist is drawn away from the
drudgery of
routine monitoring of the patient and spurred into action in which
she
[7]
is confronted with myriad
considerations requiring immediate attention.
26.
In the case of the patient, oxygen and
other gases used during the administration of the anaesthetic were
supplied through the use
of an endotracheal tube which was inserted
through his vocal cords into his trachea whereafter he was
ventilated. The process of
inserting the endotracheal tube through
the vocal cords is termed “
intubation
”
and the removal thereof after surgery is called “
extubation
”.
27.
With
reference to the leading text book on the topic by
Morgan
and
Mikhail
[8]
,
Prof Lundgren explained the phenomenon of the laryngospasm as
follows.
“
Laryngospasm
is a forceful, involuntary spasm of the laryngeal musculature caused
by stimulation of the superior laryngeal nerve.
It may occur at
induction, emergence or any time in-between without an endotracheal
tube. Laryngospasm is more common in young
pediatric patients (almost
one in fifty) than in adults, being highest in infants 1 to 3 months
old. Laryngospasm at the end of
a procedure can usually be avoided by
extubating the patient either awake (opening the eyes) or while
deeply anaesthetised.”
The professor noted that
a laryngospasm can be either complete or partial. A complete
laryngospasm, as occurred in this matter,
means that the patient’s
vocal chords are completely closed and there is no passage of air,
either into or out of, the patient’s
lungs.
28.
Prof.
Lundgren was asked to testify about the appropriate treatment of a
patient in the event of a laryngospasm. She referred to
a leading
journal article on the topic by
Visvanathan
et al
[9]
,
a copy whereof was included in the joint medical literature bundle
placed before the Court
a
quo.
She agreed with the authors of the article that, in light of the fact
that it is a relatively well-known and documented phenomenon,
the
crisis management of laryngospasm is generally regarded by
anaesthetists as “
a
distinct entity
”.
From the context of the article, I understand this to mean that it is
an airway obstruction that has its own specific treatment
protocol,
thereby bringing it within the ambit of the “
blind
terror
”
analogy.
29.
Visvanathan et al
issued
the following cautionary observation at the beginning of their
article.
“
While
laryngospasm occurs relatively frequently and is nearly always easily
recognized and handled, it has the potential to cause
morbidity and
mortality, especially if managed poorly.”
30.
The authors made use of the following
diagrammatic table in their article to summarise the steps in the
suggested treatment protocol,
which Prof. Lundgren readily endorsed.
“
MANAGEMENT
·
Cease stimulation/surgery;
·
100% oxygen;
·
Try gentle chin lift/jaw thrust;
·
Request immediate assistance;
·
Deepen anaesthesia with an IV agent;
·
Visualise and clear the pharynx/airway;
o
If you suspect aspiration [go to page 16
of the of the Crisis Management Manual]
o
If you suspect airway obstruction
[go
to page 14 of the Crisis Management Manual]
·
Try
mask CPAP
[10]
/IPPV
[11]
,
if this is unsuccessful
o
Give suxamethonium unless
contraindicated
o
Give atropine unless contraindicated;
·
Again, try mask CPAP/IPPV;
·
Intubate and ventilate.
”
31.
Prof. Lundgren noted that in the patient’s
case, surgery had been completed and so the first step referred to in
the protocol
no longer applied. She was unable to say what
stimulation might have caused the laryngospasm but, in any event,
that does not appear
to have been relevant to the enquiry in this
case. The focus of the expert evidence here, rather, was whether Dr
Ramklass had managed
the sudden emergence of the larygospasm in
accordance with good anaesthetic practice.
32.
Prof Lundgren explained that the first step
to take then was a gentle chin lift and/or jaw thrust. If that did
not break, or release,
the spasm, then the anaesthetist, suspecting
an obstruction of the airway, would be required to make use of a face
mask and “
bag
”
(or ventilate) the patient manually. As I understand the evidence,
this is a mask attached to an elasticised bag (the trade
name
evidently being an “
Ambu-bag
”)
which is then placed over the patient’s nose and mouth and
squeezed manually by the anaesthetist to force air into
the airway.
33.
The “
bagging
”
of the patient must be closely monitored by the anaesthetist because
it may lead to air inadvertently going into the stomach
and not
breaking the spasm in the trachea. Prof Lundgren explained that risk
as follows.
“
If
you are not breathing on your own and you are needing someone to
pressurize a bag, for example, an ambu-bag or a circuit with
a bag to
push oxygen into your lungs and your vocal chords are absolutely
closed, the only other - and the mask is tight fitting,
the only
other place that the gas can go is down the esophagus into the
stomach. So you will be applying quite a lot of pressure
and the
vocal chords are closed and the only place that is potentially a
cavity and open is the esophagus, which lies behind the
trachea, and
that is where the gas may go and it may distend the stomach. And that
pushes up on the diaphragm and makes getting
oxygen into the lungs
more difficult, because the diaphragms are splintered by this
gas-filled stomach.”
34.
If the anaesthetist cannot break the spasm
through “
bagging”
the patient, she would be required to consider the use of a drug
called Suxamethonium. This was discussed by Prof. Lundgren as
follows.
“
Suxamethonium
is one of the muscle relaxants. There are two groups: depolarizing
and non-depolarising. And suxamethonium is a depolarizing
muscle
relaxant. It is short-acting and works quickly and is considered one
of our emergency drugs. It needs to be kept in the
fridge, so in a
lot of facilities it’s not drawn up for in cases of emergency,
because our operating theatres are warmer
than a fridge. But very
often there’ll be a cooler-box in the theatre and an ampule of
suxamethonium will be in that cooler-box.
And we teach anaesthetists
to have a 2 millilitre syringe ready in case you need to draw up
suxamethonium in a hurry…”
35.
According to Prof. Lundgren, if a
laryngospasm cannot be relieved immediately through a jaw thrust, the
first recommended method
of emergency response, would be to use a
drug called propofol. If this is available to the anaesthetist, it
should preferably be
used before the suxamethonium.
“
M
‘Lord propofol is a drug, an intravenous drug, that induces
anaesthesia, puts patients to sleep, induces the hypnosis. It’s
a white milky solution, often referred to…the trade name is
Diprivan, but it’s the most commonly used intravenous
anaesthetic agent. And what is suggested, if you can’t get any
oxygen through the vocal chords in the presence of a total
laryngospasm, you need to put the patient to sleep quickly. If that
doesn’t work, then you need to go to suxamethonium, which
is a
drug we’ve just discussed. The difference is that propofol is
not considered an emergency drug, so it may not have been
available -
easily available in these circumstances. I don’t know. Where
suxamethonium is considered an emergency drug and
should have been in
the theatre and available for immediate use.”
36.
Prof Lundgren also said that bradycardia –
the slowing of the heart rate – is a likely complication of a
laryngospasm
and hypoxia in children. In that regard, the professor
was further referred to the aforementioned table and she commented as
follows
on the recommended use of a drug called atrophine.
“
Atrophine
is a cholinergic agent, so it’s an agent that we may give
together with suxamethonium to counter-act the slowing
of the heart
rate that might be caused by the suxamethonium…Bradycardia is
the slowing of the heart rate…”
37.
Prof. Lundgren was asked to comment on the
patient’s haemoglobin level, pre-operatively. She explained
that haemoglobin is
a substance in a person’s red blood cells
which carries oxygen throughout the body, and that a normal level of
haemoglobin
is required at all times so that the blood delivers
sufficient oxygen to the organs. A normal haemoglobin level for a 12
year old
child would be of the order of 11 to 13. The patient, who
weighed 35,4 kg, only had a haemoglobin level of 8. This is 30% lower
than what could have been expected. It was her view that surgery is
not advisable in such circumstances.
38.
The professor explained that in the case of
a haemoglobin level which is below normal, the body has less
haemoglobin available to
transport oxygen to that patient’s
organs. This has implications in circumstances where an event occurs
whereby the patient
has not been sufficiently oxygenated. Larygospasm
would be such an event and the anaesthetist would need to have regard
to the
low haemoglobin level should this occur.
THE TREATMENT OF THE
PATIENT
39.
The patient’s condition was such that
intubation was not expected to present complications. He was
ventilated by means of
a size 6 PVC endotracheal tube which was
inserted through his vocal cords which enabled him to breathe during
the procedure. Prof.
Lundgren said that Dr Ramklass’ notes
recorded that the anaesthetic endured from 12h15 to 14h05, while the
surgical procedure
lasted from 12h30 to 13h20.
40.
One of the anaesthetist’s core
functions, in the discharge of her aforesaid duties, was to keep a
complete contemporaneous
record of the anaesthetic using a pro forma
document provided to her by the hospital in which she was required to
note down all
of the relevant medical parameters of the patient as
the operation proceeded. These would include blood pressure,
temperature,
heart rate, oxygen saturation and the like.
41.
It
was a cause of some concern to the professor that although the
surgery was completed by 13h20, and the anaesthetic is recorded
as
having ended at 14h05, there were no entries made in the anaesthetic
record after 13h00. Accepting that the laryngospasm occurred
during
this time, Prof. Lundgren said one would not necessarily have
expected Dr Ramklass to have made contemporaneous notes while
dealing
with such an emergency, but, certainly after the event, the record
should have been brought up to date. In this case, these
seem to have
been jotted down on a document headed “
Recovery
Room Record”.
[12]
42.
The medical notes record that the
anaesthetic proceeded without any problems until the laryngospasm
occurred while the patient was
still in the operating theatre. In
order to attempt to understand what happened there, Prof. Lundgren
was obliged to rely on the
“
Recovery
Room Record
” notes. She noted
therefrom that the patient was duly given the relevant drugs to
reverse the effects of the anaesthetic
and then extubated. It was
upon extubation that the laryngospasm occurred, according to the
records. This is common cause as per
the trial particulars already
referred to.
43.
The notes record, also via medical
shorthand, that the patient’s oxygen levels desaturated to zero
within less than a minute.
That, said the professor, meant that “
the
vocal chords have shut and an oxygen saturation of 0, if the [oxygen
monitor] probe is still on the finger, is a red light that
needs
urgent attention
.” Thus, it must
be concluded, Dr Ramklass was confronted by the proverbial “
sheer
terror
” scenario. Having occurred
in the operating theatre, the professor was of the view the
anaesthetist would have had “
all
the instruments and equipment necessary to deal with a laryngospasm
and drugs.”
44.
The notes further record that the patient
still had an oxygen mask on and that he was given “
100%
oxygen
”. The anaesthetist is
recorded as having tried to bag the patient but there was “
no
air movement
”. This, said Prof
Lundgren, meant that there had been a complete larygospasm “
and
that no oxygen was going through the vocal chords into the lungs”.
An attempt to intubate the patient again by immediately inserting an
endotracheal tube revealed that the chords were indeed completely
closed.
45.
Prof. Lundgren was asked to comment on the
following entry in the notes which was transcribed as “
+
ventilated for plus/minus five minutes with air entry heard
bilaterally (but course wet sounds), abdomen distending
.”
She said the following.
“
M
‘Lord, I would interpret that as… So the tube was in the
mouth but not going through the vocal chords and she was
trying to
bag. And as I explained earlier, if the oxygen doesn’t go
through the vocal chords because they are closed, it
will go down the
oesophagus into the stomach and then the stomach, the abdomen, will
extend. And I interpret that as she was bagging,
ventilating the
stomach, not the lungs, and that the air entry that she heard…
So that’s when we put a stethoscope
on and we listen to the
chest. You can - in a thin patient if you’re bagging the
stomach inadvertently you can get transmitted
sounds that sound like
breath sounds when you put a stethoscope over the chest.”
46.
When asked by counsel for the plaintiff to
explain the references to “
abdomen
extending
”, the witness said that
this meant that the stomach was becoming bloated. She explained
further –
“
And
I’m sure that was because oxygen was going into the stomach.
And then as the abdomen distends the diaphragm moves up and
it’s
increasingly more difficult to try and force oxygen into the lungs.”
47.
Prof. Lundgren then pointed out that the
notes reflect that suxamethonium was given. The dose of 100
milligrams that was administered
was regarded as “
quite
a large dose
” in light of the
patient’s reduced body weight and, upon consideration, said the
witness, should rather have been of
the order 17,5 to 70 milligrams.
48.
Counsel then referred the professor to an
entry in the notes which read “
On
re-examining about five minutes later ET above chords and unable to
push through
” and asked her to
comment.
“
M
‘Lord, so at that stage the suxamethonium had been given. The
vocal chords should have been open and it should have been
- bearing
in mind that the airway assessments done beforehand indicated a good
airway, it should be easy to put in the instrument
that we use to
insert the tube and push the tube through the vocal chords. So I’m
not quite sure why she couldn’t get
the tubes through the vocal
chords.”
49.
Thereafter, said Prof. Lundgren, the tube
was removed and Dr Ramklass continued to bag the patient, while the
oxygen saturation
was increased to 100%. After about 10 minutes, the
patient was noted to be breathing spontaneously although irregularly
at first.
He was seen to be thrashing around and moaning initially
and later, at around 15h30, he started opening his eyes when his
oxygen
saturation was observed to be at 97%. By the following day,
the patient was sitting up in bed, fully awake, eating and talking to
his mother.
HOW SHOULD THE
LARYNGOSPASM HAVE BEEN MANAGED?
50.
Before dealing with the witness’
evidence on this aspect which is central to the plaintiff’s
case, it is useful to have
regard to a medico-legal report submitted
to the plaintiff’s attorneys and the expert summary filed under
Rule 36(9)(b) in
which Prof. Lundgren’s evidence was
foreshadowed.
51.
In June 2014, Prof. Lundgren delivered a
detailed medico-legal report to the plaintiff’s attorneys in
which she commented
as follows regarding her assessment of the
treatment of the patient.
“
Dr
Ramklass managed the laryngospasm initially with bag-mask
ventilation. This did not break the spasm and according to her notes
she continued with this for approximately 5 minutes, which is a long
time for the patient to be without adequate oxygenation. Saturations
of 0% and approximately 90% are recorded in the handwritten notes,
but the intervals between these are not indicated. This is not
in
keeping certainly not adequate oxygenation.
She then administered 100
mg succinylcholine (25mg would probably have been sufficient). She
then also administered naloxone plus
neostigmine and glycopyrrolate,
none of which is indicated. I am not sure if she panicked?
Administering neostigmine after succinylcholine
can prolong
neuromuscular blockage, which is contra-indicated in this situation.
She describes the chest
as sounding ‘wet’ which is probably due to negative
pressure pulmonary oedema, a common complication
of laryngospasm. She
does not mention this diagnosis in her notes. The management however
is that you should oxygenate him, which
[the patient] received once
the spasm had broken.
[The patient] took a long
time to wake up fully from the anesthetic. In addition it took until
23h15 before he started to talk properly.
The severe hypoxia at the
time of the laryngospasm needs to be considered as a cause of this
slow recovery.
My concern is the history
that his mother has given of slow recovery after his first
anaesthetic as has been documented in the notes.
Was Dr Ramklass
negligent?
In order to prove
negligence one needs to look at the following:
·
Was there a duty of care? Yes there most
definitely was.
·
Was there a breach of this duty? There was
most definitely a breach in that [the patient] developed a
post-operative problem which
was managed, but not very quickly, and
it would appear that he sustained a degree of hypoxia.
·
Did the breach cause the injury? This is
difficult to comment on currently is I do not know what the injury
is.”
52.
Thereafter, on 1 April 2016, the
plaintiff’s attorneys compiled and filed the prescribed summary
under Rule 36(9)(b) setting
forth the opinion evidence to be
presented on behalf of the plaintiff and recorded the following
conclusions arrived at by Prof.
Lundgren.
“
7.
Professor Lundgren will testify that, in her opinion, the treating
staff at the Tygerberg Hospital failed to treat Plaintiff
with the
degree of skill and care expected of them in the particular
circumstances, in the following respects:
7.1
bag-mask ventilation was continued although it did not break the
spasm;
7.2
inadequate oxygen, resulting in severe hypoxia; and
7.3
medication in the form (sic) neostigmine was administered after the
administration of succinylcholine, which
was contra-indicated because
it would probably have prolonged the neuromuscular blockage; and
7.4 in
the presence of a well-known complication of general anesthesia in
the form of a post-operative laryngospasm,
they failed to act
appropriately and timeously.
8. In the further opinion
of Professor Lundgren, had (sic) treating staff followed the
recommended management guidelines for laryngospasm,
the hypoxic brain
damage and consequent neuropsychological and neurological deficit
would probably have been prevented.”
Against that background,
I turn to the witness’s
viva voce
evidence before the
Court
a quo.
PROF. LUNDGREN’S
EVIDENCE-IN-CHIEF
53.
In response to a question by counsel for
the plaintiff as to what a practicing anaesthetist should do in order
to properly manage
a laryngospasm, Prof Lundgren said the following –
“
Well,
a practicing anaesthetist should be able to distinguish between a
partial laryngospasm and a total laryngospasm. In a partial
laryngospasm when one places the mask over the nose and the mouth and
closes the APL valve on the circuit and squeezes the reservoir
back,
one can usually get some oxygen into the lungs. With a total
laryngospasm the vocal cords are absolutely shut and one is
unable to
manually squeeze the bag and get oxygen into the lungs. So one needs
to be able to distinguish between the two. And then
one needs to
manage it quickly, because - and it depends on if one is dealing with
a child. It depends on how much oxygen the patient
has been on prior
to this event. It depends on the hemoglobin level, because the lower
the hemoglobin the less hemoglobin there
is to carry the oxygen. And
it depends on the heart rate, so the hemodynamic. You know, if
there’s a slow heart rate and
a low hemoglobin one has less
time to get oxygen to the vital organ. And then one needs to attempt
to bag the patient, so take
the circuit, close the valve, put 100%
oxygen and squeeze the bag. And if one cannot get any oxygen into the
lungs with two or
three squeezes of the bag, one then needs to resort
to intravenous drugs…
So it’s an
anesthetic emergency. One needs to get oxygen into the patient as
soon as possible…
(T)hey must be able to
manage it. M ‘Lord, it doesn’t matter what level of
anaesthetist you are. One needs to be able
to administer safe and
anaesthetic and therefore one needs to be able to oxygenate one’s
patient.”
54.
Counsel then referred Prof. Lundgren to the
recordal in Dr Ramklass’ notes that, firstly, an attempt was
made to intubate
the patient which was unsuccessful because the vocal
chords were closed, that the patient was thereafter continuously
“
bagged
”
for about 5 minutes and then lastly, that medication was
administered. When asked to comment on this, the professor answered
as follows.
“
At
that point, M ‘Lord, when the vocal cords were seen to be shut,
intravenous drugs should have been given immediately…
Because
you can’t get oxygen into the lungs. You already have an
anaemic patient. There is no heart rate documented during
that period
of time but it is highly likely that [the patient] had a slow heart
rate. So you’ve got a low hemoglobin, a slow
heart rate and
you’re not getting oxygen into the patient, so you need to give
intravenous drugs. M ‘Lord will see
in the literature that is
in the file, there are various suggestions for which drugs to use. As
I stated earlier this morning,
suxamethonium
[13]
is an emergency drug that we have available in all theaters to use in
such cases of emergency. And under those circumstances where
the
chords are tightly shut, suxamethonium is the drug of choice. There
are articles which state that a small dose of propofol,
which we did
discuss this morning. And there is other literature that suggests
Lidocaine, intravenous Lidocaine, which is a local
anaesthetic. But
in circumstances where the oxygen saturation is documented as zero,
which it was at that time, and under those
circumstances when one
cannot get any oxygen into the lungs, suxamethonium is the drug of
choice.”
55.
Prof Lundgren expressed concern about the
drugs administered by the anaesthetist when the laryngospasm
occurred.
“
100
milligrams of suxamethonium is a very large dose for a 35-kilogram
child, M ‘Lord, and 25 to 50 milligrams would have
sufficed.
The concern with the 100 milligram dose is that it may have worsened
the bradycardia, which one is assuming - I’m
assuming [the
patient] had at that stage…
Naloxone was administered
to reverse the morphine-type drugs, the morphine and the Fentanyl,
which is probably unnecessary at that
stage, because then morphine
needed to be given again in the recovery room when he was thrashing
around. And Neostigmine and Glycopyrrolate
were totally
contra-indicated…(b)ecause they had already been given to
reverse the Cisatracurium, the muscle relaxants that
had already been
given earlier to reverse the muscle relaxant. And you don’t
give Neostigmine after you’ve given suxamethonium,
because it
causes profound muscle weakness in the patient.”
56.
Finally, Prof. Lundgren was of the view
that if Dr Ramklass had managed the laryngospasm in the manner she
had suggested, “
the probable
outcome is that [the patient] would probably (sic) not have been
brain-damaged.”
57.
I shall deal with the cross-examination of
Prof. Lundgren later in this judgment.
COMMENTS ON DR
RAMKLASS’ QUALIFICATIONS
58.
Prof. Lundgren pointed out in her
evidence-in-chief that, at the time, Dr Ramklass held the Diploma in
Anaesthetics referred to
earlier and was not yet a Fellow of the
College of Anaesthetists. Evidently, she did later acquire her
Fellowship.
59.
The professor held the view that the fact
that Dr Ramklass held a lower qualification than a Fellow did not in
any way affect the
yardstick against which her professional duties
were to be measured.
“
A
safe anesthetic is a safe anaesthetic, whatever one’s
qualifications and status is (sic). If one administers an anaesthetic
it is expected to be a safe anaesthetic. And one is judged against
those standards in the anaesthetic world. I’m not talking
in
court but in the anaesthetic world that is how we gauge safe
anaesthesia…
M ‘Lord the WHO
defines an anaesthetist as someone who administers anaesthesia and it
defines an anaesthesiologist as a specialist
anaesthetist. So she was
an anaesthetist in those circumstances and needed to practice safe
anaesthesia under those circumstances.”
THE JOINT EXPERT
MINUTE
60.
In accordance with the practice directives
applicable in this Division, Prof. Lundgren met before the trial with
the expert anaesthetist
appointed on behalf of the defendant, Dr.
Anthony Reed, whom, she said, she knew well and respected
professionally. Dr Reed’s
expert summary filed on 19 December
2016 records that he has a long career as an anaesthetist in the
public health sector in the
Western Cape.
61.
In accordance with the said practice,
the experts compiled a signed joint minute in which they set out
their points of agreement
– there were evidently no points of
disagreement. It is a single page document, the contents whereof I
shall recite in full.
I should point out that in the original
document the four sub-paragraphs under para 2 are unnumbered but
identified by small transverse
arrows. I have numbered them for
purposes of reference herein.
“
JOINT
EXPERT MINUTE…
DR ANTHONY REED and
PROF CHRISTINA LUNDGREN
A telephonic discussion
was held on the 20
th
February 2017, with regards to Dr
Ramklass’ perioperative management of [the patient] on the 8
th
August 2007.
1.
We both agree that the actual anaesthetic management of [the patient]
was acceptable.
2.
We discussed the laryngospasm and the management thereof, and agreed
on the following:
2.1
Dr Ramklass took appropriate action and did not leave the patient;
2.2
Dr Ramklass took appropriate steps to improve [the patient’s]
oxygenation, but these steps did
not work soon enough, even though
she escalated the management of the laryngospasm;
2.3
Despite administering oxygen to [the patient], Dr Ramklass did not
restore oxygenation timeously, and
estimated that there was a period
of approximately 5 minutes of inadequate oxygenation;
2.4
The administration of naloxone and a second dose of neostigmine with
glycopyrrolate was not ideal.
3.
Dr Reed has no evidence that [the patient] has any cognitive
dysfunction following this incident.”
The minute, although
signed by the experts, does not record a date of conclusion. It
appears from the cross-examination that it
was signed towards the end
of February 2017.
CONSIDERATION OF THE
EXPERT EVIDENCE
62.
The
point of departure for consideration of the joint minute must
commence with a more general discussion regarding the function
of
expert witness in a matter such as this. This was usefully summarized
by Wallis JA in
AM
[14]
as follows.
“
[17]
Something needs to be said about the role of expert witnesses and the
expert evidence in this case. The functions of an expert
witness are
threefold. First, where they have themselves observed relevant facts
that evidence will be evidence of fact and admissible
as such.
Second, they provide the court with abstract or general knowledge
concerning their discipline that is necessary to enable
the court to
understand the issues arising in the litigation. This includes
evidence of the current state of knowledge and generally
accepted
practice in the field in question. Although such evidence can only be
given by an expert qualified in the relevant field,
it remains, at
the end of the day, essentially evidence of fact on which the court
will have to make factual findings. It is necessary
to enable the
court to assess the validity of opinions that they express. Third,
they give evidence concerning their own inferences
and opinions on
the issues in the case and the grounds for drawing those inferences
and expressing those conclusions…
[21] The opinions of
expert witnesses involve the drawing of inferences from facts. The
inferences must be reasonably capable of
being drawn from those
facts. If they are tenuous, or far-fetched, they cannot form the
foundation for the court to make any finding
of fact. Furthermore, in
any process of reasoning the drawing of inferences from the facts
must be based on admitted or proven
facts and not matters of
speculation. As Lord Wright said in his speech in Caswell v Powell
Duffryn Associated Collieries Ltd:
‘
Inference
must be carefully distinguished from conjecture or speculation. There
can be no inference unless there are objective facts
from which to
infer the other facts which it is sought to establish … But if
there are no positive proved facts from which
the inference can be
made, the method of inference fails and what is left is mere
speculation or conjecture
.’
(Internal references omitted)
63.
In
Michael
[15]
(also a delictual claim arising from alleged negligence on the part
of an anaesthetist) the Supreme Court of Appeal dealt with
a court’s
function in assessing the evidence of an expert as follows.
“
THE
APPROACH TO THE EXPERT EVIDENCE
[34] In the course of the
evidence counsel often asked the experts whether they thought this or
that conduct was reasonable or unreasonable,
or even negligent. The
learned Judge was not misled by this into abdicating his
decision-making duty. Nor, we are sure, did counsel
intend that that
should happen. However, it is perhaps as well to re-emphasise that
the question of reasonableness and negligence
is one for the court
itself to determine on the basis of the various, and often
conflicting, expert opinions presented. As a rule
that determination
will not involve considerations of credibility but rather the
examination of the opinions and the analysis of
their essential
reasoning, preparatory to the court’s reaching its own
conclusion on the issues raised.
[35]
What must be stressed in this case is that none of the experts was
asked, or purported, to express a collective or representative
view
of what was or was not accepted as reasonable in South African
specialist anaesthetist practice in 1994. Although it has often
been
said in South African cases that the governing test for professional
negligence is the standard of conduct of the reasonable
practitioner
in the particular professional field, that criterion is not always
itself a helpful guide to finding the answer. The
present case shows
why. Apart from the absence of evidence of what practice prevailed
one is not simply dealing here with the standard
of, say, the
reasonable attorney or advocate, where the court would be able to
decide for itself what was reasonable conduct. How
does one, then,
establish the conduct and views of the notional reasonable
anaesthetist without a collective or representative
opinion?
Especially where the primary function of the experts called is to
teach, with the opportunity only for part-time practice.
In these
circumstances counsel
s
were probably left with little option but to elicit individual views
of what the respective witnesses considered reasonable.
[36] That being so, what
is required in the evaluation of such evidence is to determine
whether and to what extent their opinions
advanced are founded on
logical reasoning. That is the thrust of the decision of the House of
Lords in the medical negligence case
of
Bolitho v City and Hackney
Health Authority
[1997] UKHL 46
;
[1998] AC 232
(H.L (E.)). With the relevant
dicta in the speech of Lord Browne-Wilkinson we respectfully agree.
Summarised, they are to the following
effect.
[37] The court is not
bound to absolve a defendant from liability for allegedly negligent
medical treatment or diagnosis just because
evidence of expert
opinion, albeit genuinely held, is that the treatment or diagnosis in
issue accorded with sound medical practice.
The court must be
satisfied that such opinion has a logical basis, in other words that
the expert has considered comparative risks
and benefits and has
reached “a defensible conclusion” (at 241 G - 242 B).
[38] If a body of
professional opinion overlooks an obvious risk which could have been
guarded against it will not be reasonable,
even if almost universally
held (at 242 H).
[39] A defendant can
properly be held liable, despite the support of a body of
professional opinion sanctioning the conduct in issue,
if that body
of opinion is not capable of withstanding logical analysis and is
therefore not reasonable. However, it will very
seldom be right to
conclude that views genuinely held by a competent expert are
unreasonable. The assessment of medical risks and
benefits is a
matter of clinical judgment which the court would not normally be
able to make without expert evidence and it would
be wrong to decide
a case by simple preference where there are conflicting views on
either side, both capable of logical support.
Only where expert
opinion cannot be logically supported at all will it fail to provide
“the benchmark by reference to which
the defendant’s
conduct falls to be assessed” (at 243 A-E).
[40] Finally, it must be
borne in mind that expert scientific witnesses do tend to assess
likelihood in terms of scientific certainty.
Some of the witnesses in
this case had to be diverted from doing so and were invited to
express the prospects of an event’s
occurrence, as far as they
possibly could, in terms of more practical assistance to the forensic
assessment of probability, for
example, as a greater or lesser than
fifty per cent chance and so on. This essential difference between
the scientific and the
judicial measure of proof was aptly
highlighted by the House of Lords in the Scottish case of Dingley v
The Chief Constable, Strathclyde
Police, 200 SC (HL) 77 and the
warning given at 89 D-E that: “
(o)ne cannot entirely
discount the risk that by immersing himself in every detail and by
looking deeply into the minds of the experts,
a judge may be seduced
into a position where he applies to the expert evidence the standards
which the expert himself will apply
to the question whether a
particular thesis has been proved or disproved - instead of
assessing, as a judge must do, where the
balance of probabilities
lies on a review of the whole of the evidenc
e.”
64.
In
Maqubela
[16]
the Supreme Court of Appeal, commenting on para 40 in
Michael
,
stressed that -
“
The
scientific measure of proof is the ascertainment of scientific
certainty, whereas the judicial measure of proof is the assessment
of
probability”,
and
thereby cautioned trial courts not to fall into the trap of demanding
too high a measure of proof from a litigant.
PROF. LUNDGREN’S
EXPERTISE
65.
In this matter, the Court
a
quo
only had the expert evidence
tendered on behalf of the plaintiff to consider and, for the purposes
of this appeal, I shall focus
on the testimony of Prof. Lundgren. As
the discussion of the professor’s evidence has demonstrated,
she had no direct testimony
from an eye-witness or the like to rely
on. Rather, she studied the available medical records and offered her
interpretation of
the material facts to be inferred therefrom on the
strength of her vast experience in the field of anaesthetics. She
then offered
the Court
a quo
her expert opinion on the basis of those factual assumptions.
66.
As will appear more fully hereunder, it
does not appear from the cross-examination of Prof. Lundgren that the
factual inferences
she drew were in dispute. It must be
borne in mind that the defendant had
the benefit of access to factual evidence from its hospital and
theatre staff who were involved
in this matter, as well as Dr
Ramklass herself. This suggests that the facts that Prof. Lundgren
relied on were either effectively
common cause, or not disputed by
the defendant.
67.
Further, there was no suggestion from the
defendant that the professor was not duly qualified to testify in an
anaesthetics matter
nor that she favoured the plaintiff’s case.
Having regard to the pre-trial opinions expressed by the witness, it
is reasonable
to infer that the plaintiff’s legal team must
have believed that the evidence of Prof. Lundgren would assist the
court in
coming to the conclusion that Dr Ramklass’ treatment
of the patient’s larygospasm did not measure up to the required
standard and that the defendant was thus liable to her in delict,
otherwise they are unlikely to have called her.
THE STATUS OF THE
JOINT MINUTE
68.
A
joint minute compiled by the experts has a particular status in a
matter such as this. The Court
a
quo
relied
on the judgment of Rogers AJA (as he then was) for the majority in
Bee
[17]
which sets out that status and the approach thereto as follows.
“
Effect
of agreement between experts
[64] This raises the
question as to the effect of an agreement recorded by experts in a
joint minute. The plaintiff’s counsel
referred us to the
judgment of Sutherland J in Thomas v BD Sarens (Pty) Ltd [2012]
ZAGPJHC 161. The learned judge said that where
certain facts are
agreed between the parties in civil litigation, the court is bound by
such agreement, even if it is sceptical
about those facts (para 9).
Where the parties engage experts who investigate the facts, and where
those experts meet and agree
upon those facts, a litigant may not
repudiate the agreement ‘unless it does so clearly and, at the
very latest, at the outset
of the trial’ (para 11). In the
absence of a timeous repudiation, the facts agreed by the experts
enjoy the same status as
facts which are common cause on the
pleadings or facts agreed in a pre-trial conference (para 12). Where
the experts reach agreement
on a matter of opinion, the litigants are
likewise not at liberty to repudiate the agreement. The trial court
is not bound to adopt
the opinion but the circumstances in which it
would not do so are likely to be rare (para 13). Sutherland J’s
exposition
has been approved in several subsequent cases including in
a decision of the full court of the Gauteng Division, Pretoria, in
Malema
v The Road Accident Fund
[2017] ZAGPHC 275
para 92.
[65] In my view, we
should in general endorse Sutherland J’s approach, subject to
the qualifications which follow. A fundamental
feature of case
management, here and abroad, is that litigants are required to reach
agreement on as many matters as possible so
as to limit the issues to
be tried. Where the matters in question fall within the realm of the
experts rather than lay witnesses,
it is entirely appropriate to
insist that experts in like disciplines meet and sign joint minutes.
Effective case management would
be undermined if there were an
unconstrained liberty to depart from agreements reached during the
course of pre-trial procedures,
including those reached by the
litigants’ respective experts. There would be no incentive for
parties and experts to agree
matters because, despite such agreement,
a litigant would have to prepare as if all matters were in issue. In
the present case
the litigants agreed, in their pre-trial minute of
14 March 2014, that the purpose of the meeting of the experts was to
identify
areas of common ground and to identify those issues which
called for resolution.
[66] Facts and opinions
on which the litigants’ experts agree are not quite the same as
admissions by or agreements between
the litigants themselves (whether
directly or, more commonly, through their legal representatives)
because a witness is not an
agent of the litigant who engages him or
her. Expert witnesses nevertheless stand on a different footing from
other witnesses.
A party cannot call an expert witness without
furnishing a summary of the expert’s opinions and reasons for
the opinions.
Since it is common for experts to agree on some matters
and disagree on others, it is desirable, for efficient case
management,
that the experts should meet with a view to reaching
sensible agreement on as much as possible so that the expert
testimony can
be confined to matters truly in dispute. Where, as
here, the court has directed experts to meet and file joint minutes,
and where
the experts have done so, the joint minute will correctly
be understood as limiting the issues on which evidence is needed. If
a litigant for any reason does not wish to be bound by the
limitation, fair warning must be given. In the absence of repudiation
(i.e. fair warning), the other litigant is entitled to run the case
on the basis that the matters agreed between the experts are
not in
issue.
[67] It is unnecessary,
in the present case, to decide whether a litigant needs to have good
cause for repudiating an agreement
reached by his or her expert.
Certainly litigants should not be encouraged to repudiate agreements
for ‘tactical’ reasons.
Whatever may have been the
attitude to litigation in former times, it is not in keeping with
modern ideas to view it as a game.
The object should be just
adjudication, achieved as efficiently and inexpensively as reasonably
possible. Private funds and stretched
judicial resources should only
be expended on genuine issues.
[68] There may be cases
where the expert rather than the litigant wishes to depart from what
he or she previously agreed. The same
rules of fair play apply. The
expert should notify the attorney through whom he or she was engaged
and due warning should be given
to the other side. In such a case
there will often be a further procedural requirement, namely the
furnishing of a supplementary
report by the expert whose views have
changed.
[69] The limits on
repudiation, particularly its timing, are matters for the trial
court. The important point for present purposes
is that repudiation
must occur clearly and timeously. The reason for insisting on timeous
repudiation is obvious. If the repudiation
only occurs during the
course of the trial, it might lead to a postponement to allow facts
which were previously uncontentious
to be further investigated. It
might be necessary for a party to recall witnesses, including his or
her expert. Whether a trial
court would allow this disruption would
depend on the circumstances. The trial court would be entitled to
insist on a substantive
application from the repudiating litigant.
[70] My colleague [Seriti
JA, in his minority judgment] has referred to the passage from
Thomas
dealing with the right of a trial court to depart from an
expert’s opinion. In the present case, however, the important
matters
on which [the expert witnesses] Edwards and Van der Elst
agreed were, in my view, factual, albeit facts which forensic
accountants
are more adept than others at uncovering and analysing.
In
Thomas
the court said that facts agreed upon by the experts
are binding unless a litigant timeously repudiates the agreement.
[71] I would add that
even where the agreed matter is one of opinion, fair play will, as I
have said, generally require that a possible
rejection of the agreed
opinion be timeously raised. This is for the reason that litigants
will quite properly not spend their
resources on establishing matters
of expert opinion which are not in dispute. Indeed, they would
rightly be upbraided for wasting
court time by doing so. If a court
is minded to reject the opinion on the available evidence, the
litigants should be alerted to
this so that they can consider
adducing further evidence.
[72] I agree with my
colleague (para 20) that parties to legal proceedings cannot, by
their agreement, compel the court to decide
the case on incorrect
legal basis. However, that principle is concerned with agreements or
concessions as to the law, not facts
and expert opinions. In the
present case, the joint minute does not in my view record any
agreements on matters of law.”
69.
It bears mention that the dispute in
Bee
centred on the plaintiff’s loss of earnings – both past
and future – and the calculation thereof based on various
financial statements analysed by the forensic accountants appointed
by the respective parties as their expert witnesses. The agreement
in
the experts’ joint minute in that matter was manifestly in
relation to facts, not opinion. The defendant relied heavily
on
Bee
both in the Court
a quo
and
before us and it is thus necessary to consider the application of the
principles referred to this case in a little more detail.
70.
It is important to bear in mind that when a
court is called upon to consider the contents of a joint minute, it
is not considering
a contract between the parties’ agents and
accordingly the mandated contextual approach to the interpretation of
contracts
in our law is not warranted.
71.
In
HAL
[18]
Wallis JA, in a separate concurring judgment for the majority,
discussed the import of
Bee
in matters involving alleged medical negligence and qualified its
applicability thereto as follows.
“
[216]
It has become a practice in medical negligence cases for parties to
arrange for the expert witnesses to meet and to file agreed
minutes
of their opinions. In some divisions of the high court this may be a
requirement. It is a useful practice that may facilitate
the running
of the litigation by narrowing the issue and enabling the court and
the parties to focus on the central issues in the
case. That is
reflected in the decision of this court in
Bee
.
That was a case involving the computation of damages for loss of past
and future earnings. Forensic accountants were employed
by the
parties and they signed a joint minute setting out the facts on which
they were agreed and the areas where they were unable
to agree. At
the trial the Road Accident Fund's forensic accountant sought to
depart from the factual agreement by relying on a
report not
available at the time the joint minute was signed and using that to
recalculate the agreed figures on which the joint
minute had been
based. Contrary to the agreement, he also sought to contend that
there was no gratuitous element to the remuneration
Mr. Bee had been
receiving since the accident.
[217] In
Bee
the
majority judgment, authored by my brother Rogers AJA, rightly held
that this could not be countenanced. The trial had been
prepared and
conducted under this head of damages on the limited issues identified
in the joint minute. Those included an agreement
as to the basis for
calculating the loss of earnings of the business in which the
plaintiff was involved and an agreement that
a proportion of his
earnings after his injuries was gratuitous and paid only because it
was a family business involving him and
his brother. To permit a
departure from that course would have required an adjournment and
probably the filing of a supplementary
expert's opinion. The decision
was expressly based upon the need for fairness in the conduct of
legal proceedings and the avoidance
of trial by ambush.
[218] The effect of
Bee
in relation to the agreed minutes of experts in this case
involved two misconceptions. The first related to the need to call
the
experts to give oral evidence in support of their opinions and,
where experts were called, their entitlement to expand upon and
explain the basis for their opinions. The second related to the
weight to be attached to the opinions themselves.
[219] There appeared to
be a perception, reflected in both the record and the heads of
argument that such agreements are contractual
in nature. The
agreements were described as having been 'struck' and not having been
'repudiated'. That is the language of contract,
and the give and take
of negotiation, to arrive at a compromise. It is wholly inappropriate
to describe the endeavours of independent
experts to explain for the
benefit of a court the matters on which they hold the same view and
those on which they differ. That
is why it was suggested in
AM v
MEC for Health
that the experts should be required to draft these
minutes themselves and that the lawyers should play no part in that
process.
[220] A clear distinction
in principle needs to be drawn between factual evidence given by an
expert witness and the opinions expressed
by that witness. As to the
former, there is no difficulty in applying
Bee
to the facts on
which the experts agree, any more than there is a difficulty where
the parties themselves reach agreement on factual
issues. The
opinions of the experts stand on a completely different footing.
Unlike agreements on questions of fact, the court
is not bound by
such opinions. It is still required to assess whether they are based
on facts and are underpinned by proper reasoning.
Bee
endorsed
a remark by Sutherland J in
Thomas
that the occasions on which
that occurs are likely to be rare, but that will only be in cases
where the opinion is clear and there
is nothing in the evidence to
controvert it. Before a court accepts an opinion, it must pay close
attention to the qualifications
attaching to it. Furthermore,
agreement by two experts on an opinion cannot preclude another expert
with appropriate qualifications
from expressing a different view,
either in a report or in oral evidence. That is especially so when
the third expert's views are
based on their own speciality, which
differs from that of the other two. The only constraint on that is
that it should not result
in unfairness to the party that has relied
on the agreed opinion…
[226] In
Huntley v
Simmons
Waller LJ said in relation to expert minutes that:
'The
evidence of experts is important evidence but it is nevertheless only
evidence which the judge must assess with all other evidence.
Ultimately issues of fact and assessment are for the judge. Of course
if there is no evidence to contradict the evidence of experts
it will
need very good reason for the judge not to accept it and he must not
take on the role of expert so as to, in effect, give
evidence
himself. So far as Joint Statements are concerned parties can agree
the evidence but (as happened in this case) it can
be agreed that the
joint statements can be put in evidence without the need to call the
two experts simply because they do not
disagree; but either party is
entitled to make clear that the opinion expressed in the joint
statement is simply evidence that
must be assessed as part of all the
evidence
…
[229] In summary, the
position in regard to agreements between experts, is as follows. In
accordance with
Bee
, if they agree on issues of fact and the
appropriate approach to technical analysis, the litigants are bound
by those agreements,
unless they have been withdrawn in circumstances
where no prejudice results, or any prejudice can be cured by an
adjournment or
other means. If the experts have reached agreement on
a common opinion on a matter within their joint expertise, that is
merely
part of the total body of evidence. The court must still
determine whether to accept the joint opinion. The existence of that
agreement
between the experts will not ordinarily preclude evidence
that qualifies or contradicts their opinion, unless the case has been
conducted on the basis of the agreement and the admission of that
evidence will prejudice the other party in a manner that cannot
be
cured. If the parties choose to place an agreed minute before the
court reflecting both shared opinions and areas of disagreement
and
do not call the parties to the minute to deal with the areas of
disagreement, the minute will do no more than reflect that
there is
disagreement on the point. While it is for the parties to determine
which witnesses they call, if they fail to call the
authors of a
joint minute they cannot object when other witnesses express views
that qualify or dissent from the views in the minute.
[230] The existence of
joint minutes may not be used to prevent witnesses from explaining
the reasons for the conclusions expressed
in the minute. For example
it would have been most helpful for one or both of [the expert
witnesses in this case] Prof Andronikou
and Dr Kamolane to have
explained how they arrived at the view that the injury occurred in
the perinatal period. That is the sort
of question that a court would
ask in order to understand the degree of certainty about this
opinion. They could also have been
asked to comment on Dr Mogashoa's
view that the nature of MML's disability was more consistent with
injury occurring to the preterm
brain and inconsistent with hypoxia.
The passage from
AM
cited in para 212 identifies the second
purpose of expert evidence as being 'to provide the court with
abstract or general knowledge
concerning their discipline that is
necessary to enable the court to understand the issues arising in the
litigation'. The existence
of a joint minute of experts cannot be
used to prevent that function from being fulfilled, whether by the
experts who were party
to the minute or by another expert. The
decision in
Bee
does not relate to the admissibility of expert
opinions, but to the fairness of the trial. Expert opinion evidence
should only
be excluded when it impacts adversely on the latter.
[231] My final point is
that the joint minute does not render the whole of the expert's
report admissible in evidence. Unless the
expert gives evidence, or
it is agreed that the report will be admissible, it remains
inadmissible. The deficiencies in a joint
minute cannot be resolved
by reference to the report of the expert. As the trial judge remarked
in
Huntley
a joint minute is a useful document, but by its
nature it is never more than a summary.” (Internal references
omitted.)
ANALYZING THE JOINT
MINUTE OF FEBRUARY 2017
72.
In the instant matter, the joint minute
records that the two anaesthetic experts discussed a matter of
medical opinion – whether
Dr Ramklass managed the anaesthetic
during the operation, as well as the subsequent larygospasm, in
accordance with accepted anaesthetic
practice.
73.
In para 1 of the minute there is agreement
that the anaesthetic administered during the operation was
“
acceptable
”.
This suggests that the experts were viewing the matter from the
perspective of whether the administration of the anaesthetic
itself
was within acceptable parameters from a medical perspective, and they
agreed that it did. In any event, I do not understand
the plaintiff’s
case to constitute an attack on the conduct of Dr Ramklass during the
operation itself, only on her response
to the emergency presented by
the larygospasm.
74.
In para 2.4 of the minute the experts are
critical of Dr Ramklass’ use of the two drugs referred to and
describe it as “
not ideal
”.
The phrase is somewhat equivocal and a court would be entitled to ask
either of the experts to expand on the statement
in order to assess
whether it may be considered to be below the standard expected from a
reasonable anaesthetist. It was, after
all, as I have attempted to
show through the authorities referred to, for the Court
a
quo
to decide ultimately whether Dr
Ramklass’ treatment of the patient measured up to the requisite
standard, or not.
75.
Para’s 2.2 and 2.3 of the joint
minute both focus on the time taken by Dr Ramklass to respond to the
emergency presented by
the laryngospasm. The experts agreed in para
2.2 that the anaesthetist adopted the correct treatment protocol to
improve the patient’s
oxygenation and, in so doing, she
“
escalated the management of the
larygospasm
”. Further, the
experts held the view that “
these
steps did not work soon enough.”
Manifestly, the minute suggests that the experts were concerned about
the lapse of time and, besides the persuasive evidence of
Prof.
Lundgren in that regard, common sense tells one that the longer a
person is deprived of life-giving oxygen, the higher the
risk of
brain injury (or ultimately death) ensuing. To employ a phrase
borrowed from the law of contract, “time was of the
essence”
in this matter.
76.
Turning
to para 2.3, as I read the minute, the experts noted that Dr Ramklass
did not restore oxygenation “
timeously
”
[19]
,
thereby implying that she took longer than was expected of her. The
word is, after all, an adverb which is essentially critical
of the
anaesthetist’s steps not being taken “
sufficiently
early.
”
That is consonant with the language of negligence – an enquiry
as to whether a party’s conduct was reasonable
or not in the
circumstances.
77.
The experts go on to comment that they
“
estimated that there was a period
of…inadequate oxygenation”
which
lasted “
approxiamately 5 minutes”.
When this is read in the context of the earlier remark regarding a
failure to restore oxygenation in time, it appears to me that
the
minute is to be interpreted as saying that both experts were critical
of Dr Ramklass’ response time in dealing with the
emergency.
78.
Given the approach advocated by Wallis JA
in para 220 of
HAL
,
the Court
a quo
was not bound by the opinions expressed in the minute and was still
required to assess whether they “
were
based on facts and underpinned by proper reasoning.”
Similarly,
in conducting that exercise the Court
a
quo
, was entitled to receive oral
evidence from the experts to explain the medical facts and the basis
for their opinions to the court.
79.
The defendant contended in the Court
a
quo
and on appeal that the minute
reflected a joint view that Dr Ramklass’ treatment of the
patient was within acceptable parameters
and, importantly, did not
constitute negligence. That contention is at odds with the
dicta
in
AM
and
Michael
-
it is for the court to consider the evidence of the experts and to
decide whether negligence (which includes the element of causation)
has been established or not. This is not the prerogative of the
medical experts.
80.
In any event, and as I have suggested, on
the face of it the joint minute does not suggest agreement on the
fact that Dr Ramklass’
treatment of the laryngospasm fell
within reasonable parameters; on the contrary, the minute rather
suggests the opposite. No doubt
sensing the problems inherent in a
literal reading of the minute, counsel for the defendant
cross-examined Prof. Lundgren in an
endeavour to demonstrate that the
substance of the minute was in fact to reflect agreement on the
reasonableness of Dr Ramklass’
treatment of the laryngospasm,
and it is to that part of the case to which I now turn.
THE CROSS-EXAMINATION
OF PROF LUNDGREN
81.
The extracts from the pleadings,
medico-legal report and expert summary which I have recited above
clearly articulate the plaintiff’s
case: Dr Ramklass was
dealing with a medical emergency and she failed to respond thereto
with sufficient celerity, thereby delaying
the restoration of the
patient’s oxygenation. The defendant acknowledged in its plea
that the anaesthetist was dealing with
a medical emergency and
claimed that she had “
timeously
and adequately
diagnosed
”
the laryngospasm.
82.
The word “diagnosed” is
emphasized because there is no positive assertion by the defendant in
its plea that Dr Ramklass
had treated the diagnosis in time. That
much must rather be concluded from the general denial made in
relation to the remaining
allegations made by the plaintiff in para
13 of the particulars of claim. At the end of it all, the crux of the
case is whether
the appropriate steps were taken by Dr Ramklass in
time to avoid hypoxic brain damage to the patient.
83.
The cross-examination of Prof. Lundgren was
lengthy and wide-ranging, lasting more than 2 days. For the purposes
of this appeal,
it is necessary to focus on the cross-examination in
relation to the joint minute. That aspect was dealt with by counsel
for the
defendant towards the end of the witness’s
cross-examination, but before traversing that it is best to deal with
certain
preliminary aspects of the cross-examination.
84.
It was suggested to the professor that, as
an experienced expert witness in matters of this kind, she –
“
would
surely know that the role of an expert witness is not to apply an
armchair approach and evaluate or assess treatment with
hindsight.
You’ve got to evaluate the treatment on the basis of what was
reasonable at that time, in that moment. Correct?”
To this Prof. Lundgren
answered as follows –
“
M
‘Lord, I teach anaesthesia. I still teach anaesthesia to all
levels of anaesthetists, and one of the pass/fail scenarios
in the
Diploma of Anaesthesia, even with our fifth-year medical students who
do anaesthesia, is management of a laryngospasm. So,
I’m not
sure what the armchair anaesthesia is about, but treatment of a
laryngospasm is a pass/fail for an undergraduate
medical student and
for the diploma.”
85.
It was put to Prof. Lundgren that in
evaluating Dr. Ramklass’ treatment of the laryngospasm –
“
we
must consider whether her treatment was reasonable at that time, in
those circumstances, and not now, with the benefit of hindsight.
Correct?”
Her reply was –
“
M
‘Lord, none of us were there, and until Dr. Ramklass testifies,
we will not know exactly what the circumstances was (sic)
and what
she was thinking at the time…
I have given a report
based on the interpretation of the records, and the records that were
written up afterwards, I have said,
are not good records. And so it’s
very difficult to know what exactly happened. So we would need Dr.
Ramklass to testify.
All I had, was the transcript – an
anaesthetic record up until 13:05, and the transcript of notes
written on a recovery room
record.”
86.
Prof. Lundgren confirmed that her
conclusion that Dr Ramklass was negligent in her treatment of the
patient’s laryngospasm
was based on the notes contained in the
document headed “
Recovery Room
Record
” and written up by Dr
Ramklass after the event. She said she based her opinion of
sub-standard care on the fact that Dr Ramklass
“
took
a long time”
to oxygenate the
patient and stressed that it was necessary for Dr Ramklass to give
her version of events before she could come
to a final conclusion.
87.
I should mention in that regard that
counsel for the defendant was initially not particularly forthcoming
in putting Dr Ramklass’
version to Prof Lundgren, all the while
promising to do so in due course, while at the same time taking the
witness to task for
entering the realms of speculation. But, it is
very clear from a general reading of the cross-examination that Prof
Lundgren considered
that there was an undue delay in oxygenating the
patient and that this was the cause of the hypoxia resulting in the
brain injury.
88.
When asked by counsel for the defendant to
explain how she reached the conclusion that the patient suffered
hypoxia, Prof Lundgren
replied as follows.
“
M
‘Lord I reached the conclusion because I read the records; I
had a telephone discussion with the expert for the defendant,
and we
both agreed the patient was without adequate oxygenation for five
minutes. That is what my report was based on, and I did
say that
yesterday as well.”
89.
This allegation of an agreement with Dr
Reed regarding inadequate oxygenation for five minutes was not
challenged there and then
by counsel for the defendant. But this is
hardly surprising for that is what the experts recorded in para 2.3
of the joint minute.
What counsel rather sought to do through
cross-examination was to undermine the integrity of this agreement in
the joint minute
by referring to anterior discussions between the
parties which preceded the conclusion of the minute.
90.
In a sequence of emails commencing on 15
February 2017, the experts agreed to discuss the matter
telephonically at 10h00 on Monday
20 February 2017. They exchanged
reports in advance of that meeting and Prof. Lundgren undertook to
draft the minute and circulate
it for comment thereafter. This she
did by way of email at about 11h30 on 20
February 2017.
91.
On 25 February 2017 Dr Reed responded with
his first comments on the draft minute to which Prof Lundgren
responded. The experts
then discussed the matter back and forth and
made use of tracked changes on the professor’s draft, with Dr
Reed inserting
his comments in the body of the document and Prof
Lundgren utilizing a series of numbered blocks on the right of the
page under
the rubric “
[WUS
1]”
and following. The copies of these exchanges in the record are not
all clear and counsel for the defendant provided this Court
with
improved copies with her heads of argument.
92.
When counsel for the defendant commenced
pressing Prof. Lundgren on the contents of her discussions with Dr
Reed by examining their
email correspondence, the witness expressed
some disquiet with the approach, a concern which counsel seemed to
glibly rebuff.
“
Ms.
Lundgren:
…M ‘Lord, I must
say, I’ve never, ever had (sic) seen that the e-mail
correspondence between the experts prior
to the final minute being
discovered in a court case before (sic)…. That is usually
professional communication, and I was
astounded to see this being
discovered, the actual e-mail correspondence.
Ms.
Witten
: Well, just like in medicine
anything is possible, in law anything is possible…”
93.
It was never suggested to the witness that
para 2.3 was either equivocal or that it did not record what she and
Dr Reed had agreed.
Nor was it put to Prof Lundgren that in
criticising Dr Ramklass’ failure to re-establish oxygenation in
time, she had “
repudiated”
the agreement reached with Dr Reed in the joint minute, or, most
importantly, that she and Dr Reed were in agreement that Dr Ramklass
had restored oxygenation to the patient quickly enough to avoid any
hypoxia.
94.
Rather, towards the end of the
cross-examination counsel for the defendant sought to suggest to
Prof. Lundgren that the joint minute
was only capable of being
understood if one had regard to the exchange of emails between the
experts which had preceded its conclusion.
“
MS
WITTEN:
And so you would agree with me
when I say that in order to understand the context of the joint
minute, you actually have to read
the document at pages 8 and 9 of
section 11 in order to understand exactly what is meant in arriving
at the contents of the final
joint minute. Correct?
MS
LUNDGREN
: That’s open to
interpretation, M ‘Lord, but this is what happened”
Prof. Lundgren’s
continued scepticism with the line of cross-examination is thus
manifest.
95.
Counsel’s suggestion to Prof Lundgren
that it was necessary to have regard to the discussions which
preceded the finalization
of the minute was manifestly not predicated
on an allegation that the document was incapable of being understood.
Nor was it said
that the document did not record what the parties had
agreed upon. In my view then, it was not only unnecessary to go
behind the
joint minute, it was impermissible to do so given the
clarity with which the experts had expressed themselves in para 2.3.
96.
In
this regard, I express just one ground of reservation and that is the
question of credibility. If it was being suggested that
Prof.
Lundgren had changed her stance, then in those circumstances the
defendant might have been entitled to interrogate her as
to what she
had said earlier in other situations or documents. But that is not
the case here – Prof. Lundgren’s credibility
was never
impugned as would have been required of the defendant in accordance
with the approach mandated in
SARFU
[20]
.
For that reason the question of credibility need not be considered
further at this stage.
97.
In the result, whatever Prof. Lundgren may
have felt about the probity of reviewing the discussions which she
and Dr Reed had conducted,
no useful purpose would be served by
reviewing the substance thereof because it is not relevant. The final
joint minute is clear
and unequivocal – para 2.3 records that
the experts were in agreement that “
Dr
Ramklass did not restore oxygen timeously, and [they] estimated that
there was a period of approxiamately 5 minutes of inadequate
oxygenation” –
and their
consensus view did thus not require any elucidation with reference to
collateral sources.
98.
On
this score, it is important to bear in mind, as Wallis JA pointed out
in
HAL
[21]
,
that the joint minute did not constitute a contract concluded by the
parties’ agents and so any attempt at referral to context
and
background circumstances as our courts have countenanced in matters
involving the interpretation of written instruments (and
as one finds
in cases such as
Endumeni
[22]
and those which follow it) is misplaced. The experts here were not
involved in a bargaining process intended to arrive at a negotiated
position. Rather, they were expressing their professionally informed
views about the reasonableness of the conduct of a colleague
in a
similar discipline and considering whether they thought that she had
negligently caused the patient to suffer a brain injury
through a
state of hypoxia resulting from insufficient oxygenation
post-operatively.
99.
In
any event, and even if one has regard thereto, the transcript
reflects that in the interchanges between defendant’s counsel
and Prof. Lundgren the speakers frequently interrupted one another
and so the professor’s line of reasoning is not always
clear.
For example, in cross-examining Prof Lundgren, counsel for the
defendant seized upon a cryptic remark made by the witness
in comment
box “
[WUSU6]”
in reply to a lengthy comment made by Dr Reed in relation to para 7.4
of the professor’s expert summary filed under Rule
36(9)(b)
[23]
. Prof. Lundgren’s
comment was “
Anthony,
we have agreed that she acted appropriately and timeously. However,
the outcome what (sic, was?) not what it should have
been? The fact
that she was a medical officer, etc. is not relevant?
”
[24]
100.
Having drawn the witness’s attention
to the contents of that comment box, counsel for the defendant then
remarked as follows.
“
MS
WITTEN
: So you didn’t think the
fact that she was a medical officer had anything to do with it,
because you’d already agreed
that she acted appropriately and
timeously. Correct?
MS
LUNDGREN
: M ‘Lord, I’ve
already stated that the conduct of a medical officer… It
doesn’t make a difference what
one’s status is: if one
undertakes to administer anaesthesia, one needs to administer
anaesthesia appropriately and safely.
MS
WITTEN
: Which is what you said she did.
She took the appropriate steps, and she did so timeously.
MS
LUNDGREN
: It’s in the final
minute… [intervenes]
MS
WITTEN
: Correct? Correct, so you –
I’m correct?
MS
LUNDGREN
: Yes, yes.
MS
WITTEN
:
Thank you. No, it’s not in the final minute. This paragraph is
not in the final minute. So, based on your agreement with
Dr. Reed in
terms of your comment, WUSU6, he was satisfied that you both agreed
that Dr. Ramklass had acted timeously and appropriately,
and so he
was happy that it wasn’t necessary for that to go in. And so
when we look at the final minute on page 1
[25]
,
it’s not there, because Dr. Reed was satisfied that you had
already agreed that Dr. Ramklass had acted appropriately and
timeously in her management of [the patient]. Correct?
MS
LUNDGREN
: Yes.”
101.
The suggestion to the witness by counsel
for the defendant was thus that she and Dr Reed had already agreed in
their exchange of
emails (and the tracked changes to the proposed
minute) that Dr Ramklass “
had
acted timeously and appropriately
”
in her treatment of the patient. For that reason, it was suggested by
counsel to Prof. Lundgren, the joint minute did not
need to reflect
what they had agreed, because they had already agreed that point
inter se
in their prior discussions
.
102.
With respect, the proposition put to the
witness by counsel did not make
sense in the circumstamces. Firstly,
the purpose of the minute was to present to the parties’ legal
representatives (and ultimately
the Court) the areas on which the
experts were in agreement as to the appropriateness or short-comings
in the anaesthetist’s
treatment of the laryngospasm. In that
regard, the minute expressly recorded in para 2.3 that the experts
were agreed that Dr Ramklass
“
did
not restore oxygenation timeously
”
and that there was “
5 minutes of
inadequate oxygenation
.”
103.
Furthermore, nowhere in the pre-trail
procedures did the defendant suggest that the minute was wrong and,
importantly, that the
parties had agreed on the absence of negligence
(as they preferred to call it) on the part of Dr Ramklass. After all
that was what
the case was about and the rules of engagement required
that it be done to avoid the plaintiff being taken by surprise during
the
trial and to avoid unnecessary evidence being presented.
104.
Importantly, the view held throughout by
Prof. Lundgren (i.e. in her expert report to the patient’s
attorneys, her expert
summary and her
viva
voce
evidence) was that Dr Ramklass had
not restored the patient’s oxygen supply in time so as to avoid
the onset of hypoxia. She
never deviated from that view. Yet, the
defendant would have it that Prof. Lundgren readily digressed from
that view in an off-the-record
exchange with her colleague? And,
further, the defendant’s suggestion is that that was a view
which the experts kept to themselves
and did not record in the very
document which was expressly intended to reflect their areas of
agreement. What purpose, it might
be asked, was then served by
recording a contrary view in the minute? The proposition has only to
be stated for its perversity
to manifest.
105.
In any event, given the complexity of the
statement put to her by counsel in the exchange referred to above,
and given the number
of issues which required to be addressed in the
answer thereto, it is not clear just what was regarded by Prof
Lundgren as “correct”.
Trial experience informs one that
witnesses often offer an answer to a question that is not necessarily
the pertinent one.
106.
So, in the circumstances here, one would
have expected, at the very least, that the cross-examiner would have
clarified the answer
with reference to the agreed minute and in
particular with the apparent digression from the agreement expressly
recorded therein.
Then it might have been put to the witness that she
was in fact “
repudiating
”
the terms of the minute (as the defendant would have it), thereby
giving her and the plaintiff’s legal team an opportunity
to
appreciate the import of the point, there and then, rather than
having to deal with it in argument, where the point appears
to have
been opportunistically seized upon.
107.
In the result, I am driven to conclude that
the view held by Prof Lundgren that Dr Ramklass did not treat the
laryngospasm quickly
enough was not disturbed in cross-examination.
THE RE-EXAMINATION OF
PROF. LUNDGREN
108.
At the commencement of re-examination Prof.
Lundgren was asked about the level of competence reasonably expected
from a holder of
a Diploma in Anaesthetics in managing a
laryngospasm. The question was posed in the context of whether it
might be expected (as
suggested by Dr Reed in his off-the-record
discussions with the professor) that the treatment might have been
expected to have
been otherwise if Dr Ramklass held a Fellowship at
the time. Her reply was as follows.
“
M,
Lord, anyone who is administering anaesthesia at any level, should be
able to diagnose – make the diagnosis of a laryngospasm,
and
then to treat it appropriately. And the most important aspect is to
be able to oxygenate the patient. So in other words to
ensure that
oxygen gets into the lungs. Be that by bag mask, ventilation and
drugs.”
In other words, Prof.
Lundgren considered this to be an emergency that might be expected to
confront any qualified anaesthetist,
regardless of the level of
qualification, and the treatment thereof was well-known to any such
anaesthetist. Incidentally, the
suggestion by Dr Reed in his
off-the-record discussions with Prof Lundgren that a less stringent
test might apply to the holder
of a Diploma in Anaesthetics,
implicitly suggests that Dr Reed regarded the treatment by Dr
Ramklass as sub-standard.
109.
During the course of her re-examination
Prof. Lundgren was further asked to comment on certain of the
propositions put to her under
cross-examination regarding the version
allegedly to be deposed to by Dr Ramklass. Her answers to these
questions only served to
re-inforce her views of sub-standard
treatment of the larygospasm by the anaesthetist.
110.
Firstly, she said that if it had been found
that the patient’s vocal chords were closed, intubation would
not have been possible.
Hence, she considered the comment on the
Recovery Room Record that the patient was “
Intubated,
but chords closed
” did not make
sense in the circumstances.
“
Intubation
per se
is
defined as introducing the tube through the vocal chords. So if the
vocal chords are closed, one cannot intubate the patient…
“
[And]…if
the tube was truly through the vocal chords, then the – and one
is bagging and has the attachment attached
to the endotracheal tube,
then one would expect the lungs to inflate and not the stomach to
distend”
111.
When asked to assume the correctness of Dr
Ramklass’ contention put in cross-examination that she had
indeed managed to force
the endotracheal tube through the vocal
chords and ventilated the lungs, Prof. Lundgren queried the necessity
for the subsequent
administration of medication.
“
M
‘Lord, that was the query I had yesterday [during
cross-examination] and I did state so that if in fact the patient had
been intubated and the tube had gone through the vocal chords, I
didn’t understand why suxamethonium would be necessary because
the total obstruction at the level of the vocal chords would have
been relieved, but it wasn’t.”
In other words, the
administration of the suxamethonium is a clear indication that the
attempt to intubate the patient had been
unsuccessful.
112.
When Prof. Lundgren was then asked to
comment on the length of time taken to administer medication, she
said the following.
“
M
‘Lord, that is a long time to be inadequately oxygenating any
patient and medication should have been administered after
two or
three compressions of the bag when it was evident that the chest was
not filling with oxygen. So in other words two to three
compressions
not getting oxygen into the lungs, therefore medication must be
given.”
The witness explained
that two to three pumps would take at most a minute whereafter
medication should immediately have been administered.
113.
Prof. Lundgren further expressed serious
misgivings in re-examination about the suggestion put to her by
defendant’s counsel
in cross-examination that the whole process
of managing the laryngospasm did not take more than a minute. She
said that this was
manifestly not borne out by the available notes
which suggested that the bagging of the patient alone took at least
five minutes.
Of course, the joint minute records that Dr Reed was in
agreement that Dr Ramklass took five minutes to oxygenate the
patient.
114.
Finally, counsel for the plaintiff
traversed the compilation of the joint minute in re-examination. Prof
Lundgren explained the
process as follows.
“
M
‘Lord, a discussion between two experts is exactly that, it’s
a discussion. We each have our own opinions based on
the facts before
the Court in the documentation, as well as our individual reports and
we – it was a collegial discussion
between two colleagues, both
on the phone once and then via email.
And ultimately the signed
minute is what we agreed on, except for point 3 where Dr Reed was not
aware that [the patient] had any
dysfunction after – cognitive
dysfunction after the anaesthetic.”
115.
When asked to explain how the minute was to
be understood in relation to her agreement with Dr Reed that the
steps taken by Dr Ramklass
did not work soon enough, Prof. Lundgren
explained as follows.
“
M
‘Lord, it meant that we both agreed that there was a period of
approxiamately five minutes of inadequate oxygenation and
therefore
despite the fact that she took the steps, the oxygenation to [the
patient] should have been restored sooner. And we both
agreed on
that.”
116.
As Wallis JA explained in
HAL
,
the purpose of presenting the evidence of an expert in circumstances
where there is an agreed joint minute is to enable her to
explain
what the terms of agreement are intended to convey. This is contrary
to the ordinary rule that a witness may not be asked
to explain what
the parties to a contract intended their words to mean, and it is for
that reason that joint minutes are not to
be treated contractually
and to speak of a witness “
repudiating
”
the terms thereof.
117.
As I have said, there may be questions
raised in cross-examination in regard to a witness’s
credibility – did she say
ABC to Dr Reed and then commit
herself to XYZ in the minute – but that is not the case here,
since Prof. Lundgren’s
credibility was not impugned during the
cross-examination. In any event, an issue of credibility is usually
only capable of determination
at the end of the case when all the
evidence is in.
WAS A PRIMA FACIE CASE
ESTABLISHED BY THE PLAINTIFF?
118.
It follows from what has been set out above
that I am satisfied that the plaintiff presented the Court
a
quo
with sufficient evidence to meet
the low threshold that is set in the test for absolution at the close
of a plaintiff’s case.
The approach which the Court
a
quo
was required to apply was, in the
words of Beadle CJ in
Supreme Service
Station
, “
what
might a reasonable court do
”,
particularly in circumstances where the “
defence
[version] is particularly within the knowledge of the defendant”
.
119.
Prof Lundgren delivered her expert opinion
based on her extensive experience in the field of anaesthetics and
explained to the Court
a quo
what the recommended treatment regime embraced. The professor
remained of the view throughout that the treatment administered by
Dr
Ramklass in response the patient’s sudden laryngospasm was not
delivered timeously. She considered that the records available
to her
established that Dr Ramklass bagged the patient for a protracted
period of time (more than 5 minutes) when she should have
taken no
longer than a minute at the most before administering the drugs which
she ultimately did. When those drugs were administered,
she
considered the dose of suxamethonium was excessive while the other
drugs (naloxone, neostigmine and glycopyrrolate) were not
considered
an “
ideal”
response in the circumstances.
120.
Importantly, Prof Lundgren and Dr Reed were
in agreement that Dr Ramklass did not restore the patient’s
oxygen supply in time
and they agreed that there was a period of
about 5 minutes when he was inadequately oxygenated.
121.
On a number of occasions Prof. Lundgren was
heard to remark that, notwithstanding her view that the care of the
patient was sub-standard,
Dr Ramklass was the only person who could
explain what had happened. She appeared to accept that once she had
heard that explanation
she might reconsider her view of sub-standard
treatment. But until that happened, Prof. Lundgren’s views
carried the day
and a prima facie case was established. In the
circumstances, I consider that the further remark by Beadle CJ that
“
(a) defendant who might be afraid
to go into the witness box should not be permitted to shelter behind
the procedure of absolution
from the instance
”
is apposite in these circumstances.
CAUSATION
122.
The defendant placed the question of
causation in issue in the pleadings. It appears further from the
cross-examination of Prof
Lundgren that the defendant held the view
that
there
may have been brain damage already present at the time of the
laryngospasm, possibly as a consequence of an earlier anaesthetic
given to the patient for a different operation. In addition, para 3
of the jiont minute reflects that Dr Reed was not convinced,
one way
or the other, that the patient’s hypoxia resulted in anoxic
brain damage.
123.
To meet this issue, the plaintiff adduced
the evidence of Dr Edeling, a neurosurgeon, and Ms. Coetzee, a
neuropsychologist. This
evidence was not traversed in the judgment of
the Court
a quo
and it does not appear to have been an issue in the application for
absolution. It is thus not necessary to address that evidence
further
at this stage other than to say that I am satisfied that such
evidence similarly passes the low bar set for the absolution
test at
the conclusion of the plaintiff’s case. There is thus nothing
which stands in the way of the matter being referred
back to the
Court
a quo
for
the further conduct of the trial.
CONCLUSION
124.
For the reasons already advanced, I
respectfully consider that the Court
a
quo
erred in finding in paragraphs 20
and 22 of the judgment that Prof Lundgren and Dr Reed agreed that, in
treating the laryngospasm,
Dr Ramklass acted appropriately and
timeously. The Court
a quo
ought
to have found that the plaintiff had made out a
prima
facie
case of negligence in that Dr
Ramklass did not treat the laryngospasm in time and should have
refused the application for absolution
from the instance with an
appropriate costs order.
125.
The order of the Court
a
quo
accordingly falls to be set aside,
the appeal must be upheld with costs and the matter remitted back to
the Court
a quo
for further hearing before Nuku J.
ACCORDINGLY,
THE FOLLOWING ORDER IS MADE
:
A.
The appeal succeeds with costs, such
costs to include the costs of the application for leave to appeal
before the Court
a quo
and the Supreme Court of Appeal.
B.
The order of the Court
a
quo
is set aside and replaced with the
following order – “
The
application for absolution from the instance is refused with costs
.”
C.
The matter is remitted back to the Court
a
quo
for further hearing.
GAMBLE,
J
I
AGREE
:
PAPIER,
J
I
AGREE
:
LEKHULENI,
J
APPEARANCES;
Appellant
:
Mr
P.A. Corbett,
Instructed
by Malcolm Lyons and Brivik Inc,
Cape
Town.
Respondent
:
Ms S.
Witten,
Instructed
by the State Attorney,
Cape
Town.
[1]
Morgan
& Mikhail
,
Clinical Anaesthesiology, describe a larygospasm as “
a
forceful, involuntary spasm of the laryngeal musculature caused by
stimulation of the superior laryngeal nerve.
”
The laryngeal musculature is commonly referred to as the vocal
chords.
[2]
De
Klerk v Absa Bank Ltd and others
2003
(4) SA 315 (SCA)
[3]
Claude
Neon Lights (S.A.) Ltd v Daniel
1976
(4) SA 403
(A) at 409G-H. See too
Levco
Investments (Pty) Ltd v Standard Bank of SA Ltd
1983 (4) SA 921
(A) at 928C.
[4]
Supreme
Service Station (1969) (Pvt.) Ltd v Fox and Goodridge (Pvt.) Ltd
1971
(4) SA 90
(R,AD)
[5]
At
93D
et
seq
[6]
Given
the patient’s gender, this judgment will refer to the
masculine where necessary.
[7]
Given
the gender of the anaesthetist in this matter, Dr. Ramklass, the
feminine will be used where appropriate.
[8]
See
footnote 1 above
[9]
T
Visvanathan, MT Kluger, RK Webb & RN Westhorpe
Crisis Management During Anaesthesia: Laryngospasm. The authors were
anaesthetic specialists in Australia and New Zealand and
the study
was based on some 4000 anaesthetic incident reports submitted for
evaluation.
[10]
Continuous
positive airway pressure
[11]
Intermittent
positive pressure ventilation
[12]
The
patient was not yet in the recovery room when the laryngospasm
occurred and the document thus does not purport to be a record
of
events there. Rather, it appears to have been a form that was
handily available and conveniently used by Dr Ramklass.
[13]
Prof.
Lundgren noted that the drug which had been used was
Succinylcholine, “
which
is the same as
suxamethonium
”,
which she termed the “
gold
standard
”
drug of choice in the circumstances.
[14]
AM
and another v MEC for Health, Western Cape
2021
(3) SA 337 (SCA)
[15]
Michael
and another v Linksfield Park Clinic (Pty) Ltd and another
2001
(3) SA 1188 (SCA)
[16]
Maqubela
v S
2017
(2) SA SACR 690 (SCA) at [5]
[17]
Bee
v RAF
2018
(4) SA 366 (SCA)
[18]
HAL
obo MML v MEC for Health, Free State
[2022]
1 All SA 28
(SCA). The matter was a delictual claim for hypoxic
brain damage suffered by the plaintiff’s child, alleged due to
the
negligence of hospital staff during the plaintiff’s
confinement and the delivery of the child.
[19]
The
Concise Oxford English Dictionary
defines
“timeously” as “in good time; sufficiently early”.
[20]
President
of the Republic of South Africa and others v South African Rugby
Football Union and others
2000
(1) SA 1
(CC) at [61] – [65]
[21]
At
[219]
et
seq
[22]
Natal
Joint Municipal Pension Fund v Endumeni Municipality
2012 (4) SA 593
(SCA)
[23]
See
para 52 above:
“
(i)n
her opinion the treating staff…failed to treat the [patient]
with the degree of skill and care expected of them…in
the
following respects:
…
7.4
in the presence of a well-known complication of general anaesthesia
in the form of post-operative laryngospasm, they failed
to act
appropriately and timeously
.”
[24]
The
oblique reference to a “medical officer” was in relation
to Dr Reed’s expressed view that, as the holder
then of only a
Diploma in Anaesthetics, Dr Ramklass’ duty of care towards the
patient was not elevated to the level expected
of the holder of a
Fellowship in Anaesthetics.
[25]
This
is a reference to the signed joint minute referred to in [61] above
sino noindex
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