Case Law[2022] ZACC 11South Africa
NVM obo VKM v Tembisa Hospital and Another (CCT 202/20) [2022] ZACC 11; 2022 (6) BCLR 707 (CC) (25 March 2022)
Constitutional Court of South Africa
25 March 2022
Headnotes
Summary: Jurisdiction — section 167(3)(b) of Constitution — sole issue one of factual causation — constitutional considerations not affecting resolution of issue — case not raising point of law — Court’s jurisdiction not engaged
Judgment
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## NVM obo VKM v Tembisa Hospital and Another (CCT 202/20) [2022] ZACC 11; 2022 (6) BCLR 707 (CC) (25 March 2022)
NVM obo VKM v Tembisa Hospital and Another (CCT 202/20) [2022] ZACC 11; 2022 (6) BCLR 707 (CC) (25 March 2022)
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sino date 25 March 2022
CONSTITUTIONAL
COURT OF SOUTH AFRICA
Case
CCT 202/20
In
the matter between:
NVM
obo
VKM
Applicant
and
TEMBISA
HOSPITAL
First Respondent
MEC
FOR HEALTH AND SOCIAL DEVELOPMENT
GAUTENG
PROVINCE
Second Respondent
Neutral citation:
NVM obo VKM v Tembisa Hospital and Another
[2022] ZACC 11
Coram:
Zondo
ACJ, Madlanga J, Madondo AJ, Majiedt J, Mhlantla J,
Pillay AJ, Rogers AJ, Theron J, Tlaletsi AJ and Tshiqi J
Judgments:
Majiedt J (minority): [1] to [87]
Rogers AJ (majority):
[88] to [114]
Zondo ACJ (concurring):
[115] to [117]
Heard
on:
17 August 2021
Decided
on:
25 March 2022
Summary:
Jurisdiction
— section 167(3)(b) of Constitution — sole issue one of
factual causation — constitutional considerations
not affecting
resolution of issue — case not raising point of law —
Court’s jurisdiction not engaged
ORDER
On
appeal from the Supreme Court of Appeal (hearing an appeal from the
High Court of South Africa, Gauteng Local Division,
Johannesburg):
1.
Leave to appeal is refused.
JUDGMENT
MAJIEDT
J (Madondo AJ, Pillay AJ and Tlaletsi AJ concurring):
Introduction
[1]
This case concerns the birth of a child, VKM (V) who, as a
result of severe oxygen deprivation for a sustained period shortly
before
delivery, suffered a serious brain injury that manifested in a
form of cerebral palsy. A claim for damages on his behalf by
his mother, Ms NM, was successful in the High Court of South Africa,
Gauteng Local Division, Johannesburg (High Court), but was
reversed
on appeal to the Full Court of that Division (leave to appeal
having been granted by the Supreme Court of Appeal).
[2]
In this Court, the sole issue on the merits is the question of
factual causation. As will appear presently, negligence was
conceded in the High Court and the startling attempt by the
respondents to withdraw that concession in this Court is untenable.
Background
[3]
In
the High Court, Ms NM and several medical experts on her behalf
testified in her case. The respondents adduced no evidence
at
the trial. There were, however, several agreed joint minutes
prepared by the parties’ various experts. This
considerably narrowed down the issue of factual causation. On
the common cause facts, Ms NM was admitted to Tembisa Hospital,
the first respondent, on 3 April 2009. V is her first child.
The hospital records indicate that on that day she was
first
examined at 15h30, and again at 18h00 by a doctor. By 21h30 she
was 2 cm dilated and the foetal heart rate was 144 bpm
and at
23h10, the foetal heart rate was 132 bpm. At that
juncture, she was transferred to the labour ward. There,
the
nursing staff compiled a partogram
[1]
to track the progress of Ms NM’s labour as well as of the
foetal heart rate.
[2]
The
partogram reflects three entries for the foetal heart rate on 4 April
2009:
(a)
At 01h15: 120 bpm;
(b)
At 02h15: 115 bpm; and
(c)
At 03h15: 128 bpm, when the amniotic fluid was clear, a sign of
foetal well-being.
[4]
No further foetal heart rate monitoring occurred after 03h15.
The failure to monitor was conceded in the High Court to have
constituted a negligent omission on the part of the nursing staff.
That concession appears to have been based on the obstetrics
experts for both sides having agreed that the lack of monitoring was
sub standard. At 04h45, Ms NM was examined by either
a
doctor or a midwife. It is recorded in the hospital notes that
she was fully dilated and they reflect a diagnosis of cephalic-pelvic
disproportion (CPD), which means that the baby’s head was too
big for the mother’s pelvis. The notes show that,
at that
time, Ms NM was booked for a caesarean section. Ultimately, the
caesarean section did not take place. V was
delivered naturally
in the ward at 05h10.
[5]
V
was born with very low Apgar scores.
[3]
The readings were three at one minute after birth, three at
five minutes after birth, and five at 10 minutes after birth.
On
the uncontested medical evidence, the low score of three at one
minute after birth was indicative of severe respiratory
and heart
function challenges, since it ought to be between eight and nine in a
healthy new-born baby.
[4]
The
score of five at 10 minutes after birth was indicative of
intrapartum hypoxia.
[5]
It
is undisputed that V suffered an acute profound hypoxic ischemic
injury to his brain in the latter stages of labour, known
as hypoxic
ischaemic encephalopathy (HIE).
[6]
This was confirmed by a cranial ultrasound performed on V on 8
April 2009 and by magnetic resonance imaging (MRI) taken when
V was
seven years and four months of age. In V’s case, the HIE
developed into cerebral palsy. A follow-up examination
on V at
age three indicated that V had cerebral palsy, epilepsy and
breakthrough seizures.
[6]
Ms NM sued on behalf of V and also on her own behalf for
damages. The claims emanated from the aforementioned injuries
sustained
by V, and that sustained by Ms NM which was caused by
the alleged unlawful conduct of a nurse who applied extreme pressure
to Ms NM’s abdomen, forcing her to give birth to V naturally.
It was conceded that this was not a standard medical
procedure.
As stated, her claims were successful, but they were overturned
on appeal to the Full Court.
Litigation
history
High
Court
[7]
The
trial in the High Court proceeded on the question of liability
only.
[7]
Pursuant to the
concession on negligence, the only issue in the High Court was
causation. That Court noted that there
was very little in
dispute between the experts on the basis of their joint minute. It
also noted that very little was placed
in issue during the
cross- examination of the experts who testified for Ms NM. The
High Court recorded the facts agreed
upon between the parties’
paediatric neurologists, obstetric experts and specialist nursing
experts.
[8]
The High Court had particular regard to the unchallenged
expert evidence of Dr Pistorius (an obstetrician and maternal
foetal
medicine specialist) and Prof Kirsten (a neonatologist)
on behalf of Ms NM that:
(a)
V suffered an acute profound hypoxic insult;
(b)
In babies, it is difficult to pinpoint when the hypoxia started in
the
absence of a known traumatic event, or as is often referred to,
the sentinel event (like a prolapsed cord or a ruptured uterus).
This is why the monitoring of the foetal heart rate during
labour is important, as it can give an indication of when the
hypoxia
commenced;
(c)
During the
active phase of labour, the midwife must assess the foetal heart rate
and response to contractions every 30 minutes.
This will allow
for changes to be identified. The slowing of the heart rate is
a sign of hypoxia. Before the
onset of the slowing of the heart
rate, there will be changes in the pattern on the cardiotocograph
(CTG).
[8]
In other words,
there will be warning signs, which may include meconium in the
amniotic fluid;
(d)
Towards the end of the hypoxic episode, the foetus will have a very
slow
heart rate and delivery needs to be done quickly. If
delivery is done quickly enough, it may be possible to avoid a
hypoxic
ischemic episode and the consequent brain abnormalities;
(e)
Once warning signs are detected, midwives should put in place
emergency
measures to “buy time” for the foetus while
preparations are made for urgent delivery. This includes moving
the
mother onto her left side and administering oxygen to her.
The midwife should also call the doctor to consider whether
medication
should be administered to suppress the mother’s
contractions, which affect the flow of oxygen to the foetus;
(f)
If these measures are introduced, the foetal heart rate can be
improved before an
emergency caesarean section is performed.
[9]
That Court was satisfied that, according to the experts, the
only possible cause of the brain injury on the facts was the acute
profound hypoxic injury that V sustained intrapartum. It was
also accepted by the parties’ respective obstetric experts,
Dr Pistorius and Dr Koll, that this occurred during the one
and a half-hour period “from 03h15 until 04h45 (4 April
2009) where there [was] no recording of foetal monitoring during
active labour”.
[10]
The High Court had regard to the joint minute by both
obstetric experts. That minute plays an important role in
determining
factual causation, so it is prudent to quote its relevant
parts in full:
“
4.
At 03h15, there was still evidence of foetal well-being (clear
amniotic fluid and normal
foetal heart rate), which makes a sentinel
event severe enough to cause an acute profound hypoxic event during
the active phase
of labour until that time unlikely;
5.
It is therefore likely that an acute profound hypoxic event occurred
in the time
from 03h15 until 04h45 where there is no recording of
foetal monitoring during active labour;
. . .
7.
It is doubtful whether it would be possible to perform a caesarean
section quickly enough to prevent the neurological sequelae of
an
acute profound hypoxic event in this time interval.
”
(Emphasis added.)
[11]
The High Court understood paragraph 7 of the joint minute to
mean that, when read in the context of Dr Pistorius’s evidence
as a whole, since there was no monitoring during the critical period,
there would not have been time, once monitoring resumed,
to take
measures to avoid the brain injury to V.
[12]
The High Court found that it was also clear from the
uncontested evidence of Prof Kirsten and Dr Pistorius that
foetal monitoring
every 30 minutes is critical to detect warning
signs of a possible hypoxic episode. This was not done and,
consequently,
the nursing staff was unable to notice the warning
signs that would probably have been evident had monitoring of the
foetal heart
rate been done as required. The High Court
took the view that this omission resulted in Ms NM being denied the
correct
treatment that would have bought time for V while urgent
steps were taken to speed up the delivery in order to prevent the
injury
to V’s brain. Thus, with proper monitoring the
warning signs would have been detected, and with the proper emergency
measures V’s brain injury would probably not have occurred.
[13]
On this basis, the High Court concluded that Ms NM had
established causation and her representative claim succeeded. The
High
Court also upheld the claim in Ms NM’s personal
capacity.
Full
Court
[14]
With
leave of the Supreme Court of Appeal, the matter went on appeal to
the Full Court which, in a unanimous judgment, upheld
the
appeal.
[9]
The Full Court
reasoned that on the common cause facts, more particularly the
obstetric experts’ joint minute,
it was unlikely that there had
been an event of sufficient severity to cause an acute profound
hypoxic event before 03h15, given
the fact that there was foetal
well being until 03h15 on 4 April 2009. They agreed that
the acute profound hypoxic event
must have occurred between 03h15 and
04h45 (the critical period).
[15]
The Full Court formulated the central question thus:
“
[T]he
question becomes whether, had there been adequate monitoring, warning
signs would have been picked up and that there was then
enough time
to engage proper emergency measures which would have avoided the
brain injury.”
It observed that this
very question had presented “in many of these cases, including
AN
”.
[10]
[16]
The
Full Court took the view that the High Court had failed to apply the
“but for” test for factual causation.
It
suggested that the Court had erred in adopting, instead, the approach
set out by this Court in
Lee
.
[11]
[17]
The Full Court rejected the High Court’s reasoning in
respect of the emergency measures. This was because, from the
point that the foetal distress was discovered at 04h45, there was not
enough time to carry out an emergency caesarean section. Therefore,
the emergency measures would not have prevented the harm to V. It
argued thus:
“
The
possibility of successfully carrying out a caesarean section, and
whether it would have yielded positive results, after a CPD
was
diagnosed at 04h45, was not seriously explored by the court a quo.
Such a possibility is what the ‘but for’
test is
all about. That possibility was canvassed with Dr Pistorius,
when he testified in chief. His evidence is that
from 04h45,
which is the time when a diagnosis for caesarean section would have
been made, a number of standard protocols would
have been expected to
be undertaken to prepare for the procedure. The list is lengthy
and would have included: obtaining
informed consent, preparing the
patient for theatre, including applying intravenous infusion,
preparing the theatre to receive
the patient and to carry out the
procedure, and securing the attendance of an anaesthetist, a doctor
and an assistant. Where
there is a suspicion or conclusion, so
he testified, of a form of foetal distress, intra-uterine
resuscitation would be performed.
Dr Pistorius
was of the view that in terms of international standards, the
hospital staff had 30 minutes, from the time the
decision to refer
the patient for caesarean section which in this case was 04h45, to
perform an emergency caesarean section. Given
that the baby was
delivered vaginally at 05h10, the 25-minutes window of opportunity
would have been insufficient to perform the
emergency procedure.
Hence the conclusion that: ‘it is doubtful whether it
would be possible to perform a caesarean
section quickly enough to
prevent the neurological sequelae of an acute profound hypoxic event
in this time interval’.”
[12]
[18]
This finding led the Full Court to conclude:
“
It
is undisputed that the defendant was negligent. It is also
accepted that an acute profound hypoxic event took place between
03h15 and 04h45. When a determination was made at 04h45 to
perform a caesarean section, on the evidence, there was insufficient
time to carry it out. By parity of reasoning, the plaintiff in
our view has failed to show that the negligent conduct, which
has
been isolated as lack of sufficient monitoring, had a causal effect
on the neurological sequelae.”
[13]
[19]
Ultimately,
in upholding the appeal, the Full Court concluded that “the
plaintiff has not shown that the negligence caused
the child’s
condition: the circumstances that caused the cerebral palsy occurred
too late to have taken steps that would
as a matter of probability
have prevented the cerebral palsy”.
[14]
This
Court
Applicant’s
main submissions
[20]
The applicant supports the findings and underlying reasoning
of the High Court. In respect of the test for factual
causation,
it is contended that the High Court in fact applied
the “but for” test and did so correctly, whereas it
is
the Full Court that obfuscated the test in its approach.
[21]
The
approach of the Full Court is subjected to trenchant criticism,
particularly its alleged impermissible reliance on the factual
findings in
AN
and
M v
MEC.
[15]
The contention is that, having outlined the “similar
facts” in
M
v MEC
,
the Full Court applied “parity of reasoning” and
concluded that the applicant, qua plaintiff, had failed to prove
that
the negligent omission was causally linked to the neurological
sequelae. In this regard, it erred by not following the
legal
precedent of a higher court, but in effect its factual precedent.
[22]
The applicant submits that the respondents’ case has
transmogrified in this Court. It is contended that, instead of
attempting to defend the Full Court’s judgment, the respondents
advance new propositions. The respondents now seek to
make out
a case of a sudden, unexpected sentinel event having occurred at
approximately 04h40 and of the damage to V’s brain
having
ensued within 10 to 30 minutes thereafter. The applicant
submits that this new theory postulated by the respondents
is not
only contrary to the facts, which are mostly common cause or not
seriously disputed, but also misconstrues the experts’
evidence.
[23]
Thus, the applicant contends that the High Court’s
reasoning is sound and asks this Court to endorse that reasoning and
the
resultant outcome.
Respondents’
main submissions
[24]
The
respondents submit that the failure to monitor the foetal heart rate
at 03h45 and 04h15 on the morning of 4 April 2009 was not
the cause
of the acute profound insult.
[16]
They refer to Prof Kirsten’s evidence that the cause of
the insult was a sudden, unpredictable, unidentified sentinel
event.
The central question, according to the respondents, is whether,
even if the foetal heart rate was monitored at 03h45
and 04h15, the
hospital staff could have taken measures that would have prevented or
minimised V’s brain injury.
[25]
According to the respondents, Prof Kirsten’s evidence
shows that it takes 10 to 30 minutes before delivery for brain injury
to occur. That means that in the present instance, the insult
is likely to have occurred around 04h35 to 04h40. And
the
obstetricians agree that the insult happened between 03h15 and 04h45.
That, postulate the respondents, is consistent
with the insult
occurring around 04h35 to 04h40.
[26]
The respondents advance the following sequence of events
during the critical period on Prof Kirsten’s evidence: the
insult
occurred and then continued until delivery. Brain damage
set in 10 to 30 minutes after the insult occurred. That means
that the insult must have happened between 10 to 30 minutes before
delivery. It is unlikely that the insult happened before
then.
If it did, V would not have survived. As it turned out, V
did survive, but only just. V’s severe
depressed state
after birth, recorded in the clinical observations, confirms Prof
Kirsten’s conclusion, namely that delivery
happened just before
the baby would have died if he were not delivered. That
confirms that the insult is likely to have occurred
10 to 30 minutes
before delivery.
[27]
According to the respondents, the time interval referred to in
paragraph 7 of the obstetricians’ joint minute, is not the
period between 03h15 and 04h45. It is in fact the time period
it takes to inflict damage to the foetal brain from the time
of the
acute profound insult. They contend that the significance of
the agreement by the obstetricians is that, if (as suggested
by Prof
Kirsten) brain damage takes 10 to 30 minutes from the time of the
insult, there was no time to prevent or minimise brain
damage by
carrying out a caesarean section.
[28]
The respondents seek to withdraw the concession on negligence
made at the trial. They contend that the concession was wrong
since a conclusion, rather than a fact, was conceded. That
conclusion, they submit, is not consistent with the law. According
to them, negligence “in the air” does not result in
delictual liability. Insofar as it was conceded that hospital
staff did not monitor the foetal heart rate at 03h45 and 04h15, they
contend that negligence does not follow. Consequently,
according to them, the concession should not stand.
[29]
The
respondents contend that, in applying the test for causation endorsed
by this Court in
De
Klerk
[17]
and
Mashongwa
,
[18]
the failure to monitor the foetal heart rate at 03h45 and 04h15 was
not the reason that a caesarean section (the only measure reasonably
available to hospital staff) was not performed timeously, so as to
prevent brain damage. Even if the insult was detected
as it
happened or within a short while after it happened, and a caesarean
section ordered immediately or reasonably soon after
detection, that
would not have prevented brain the damage.
[30]
In sum, the respondents submit that a proper application of
the test for factual causation to the facts ought to lead to the
conclusion
that the hospital (first respondent) could not have
prevented or minimised brain damage, even if the foetal heart rate
had been
monitored at 03h45 and 04h15.
Jurisdiction
and leave to appeal
[31]
In
order for this Court to grant leave to appeal, two requirements must
be met. First, the matter must fall within the jurisdiction
of
this Court, in that it raises a constitutional issue or an arguable
point of law of general public importance.
[19]
And second, the interests of justice must warrant the granting
of leave to appeal.
[20]
[32]
There are a number of possible bases of jurisdiction.
First of all, the Full Court impermissibly imported the facts in
cases of the Supreme Court of Appeal and applied them in this case to
make findings on factual causation. In doing so, to
the extent
that the Full Court adjudicated the present case by measuring it
against the factual circumstances, rather than
legal principles, of
precedent, requires this Court to consider its approach. It
raises the question whether a court is permitted
to elevate the
findings of another court – even one of higher jurisdiction –
on the facts of a separate and unrelated
matter into law. That
implicates the section 34 right to a fair hearing.
[33]
It
is true that some of the questions in this matter are factual, and
factual issues do not usually engage this Court’s
jurisdiction.
However, in
Metrorail
,
[21]
this Court held:
“
[W]here,
however, a separate constitutional issue is raised in respect of
which there are disputes of fact, those disputes of fact
will
constitute ‘issues connected with decisions on constitutional
matters’ as contemplated by section 167(3)(b) of
the
Constitution. On many occasions, therefore, this Court has had
to determine on appeal the facts of a matter in order
to determine
the constitutional claim before it. Were it to be otherwise,
this Court's ability to fulfil its constitutional
task of determining
constitutional matters would be frustrated.”
[22]
[34]
The present provision on constitutional jurisdiction in
section 167(3)(b) of the Constitution no longer has the phrase
“issues
connected with decisions on constitutional matters”.
However, the excision of this phrase from the section cannot mean
that this Court has since been divested of the power to decide
factual issues connected to issues that it has jurisdiction to
determine. In that case, this Court would be hamstrung in the
conduct of its function. I therefore conclude that the
approach
remains the same.
[35]
The
question is whether the constitutional issue is a separate issue
which incidentally involves factual disputes, in which case
it may
engage jurisdiction. Where a factual finding is what directly
implicates constitutional rights, that will be sufficient
to ground
jurisdiction. In
Metrorail
,
this Court identified that there was “a welter of factual
disputes on the papers”,
[23]
but was nevertheless satisfied that jurisdiction was engaged on the
basis that the question it was seized with was whether the
conduct of
Metrorail was “reasonable” and:
“
Unlike
the question of whether a particular issue has been established
beyond a reasonable doubt, which turns only on an evaluation
of
evidence and its cogency, the question of whether conduct is
reasonable in the context of a legal duty, requires the application
of legal principles to a set of established facts.”
[24]
Accordingly,
the factual issues were not dispositive of the matter.
[36]
The
factual disputes in this case are not material and do not negate the
jurisdiction of this Court, as they mostly relate to differences
in
the parties’ interpretation of the expert evidence, which this
Court is privy to. The very nature of the main issue,
being the
interpretation and application of the test for factual causation,
means that this Court must engage with the facts and
evidence in the
record to some degree. As stated in
Metrorail
,
therefore, these “disputes of fact will constitute ‘issues
connected with decisions on constitutional matters’”.
[25]
[37]
Additionally, in
Mashongwa,
this Court held that where
a delictual claim is underpinned by constitutional rights and the
state’s duty to take reasonable
measures to respect, protect,
promote and fulfil these rights, this Court’s jurisdiction will
be engaged:
“
[A]lthough
it may not look like the outcome turns on the meaning or vindication
of any constitutional provision or right, sections
7(2) and 12(1)(c)
of the Constitution are the pillars on which the superstructure of
this case rests. Mr Mashongwa’s
claim owes its origin
largely to the obligations imposed on PRASA, an organ of state, by
these provisions. In addition, an
enquiry into wrongfulness
‘focuses on the conduct and goes to whether the policy and
legal convictions of the community,
constitutionally understood,
regard it as acceptable’. On these bases this Court does
have jurisdiction in terms of
section 167(3)(b)(i) of the
Constitution.
This
Court also derives jurisdiction from the realisation that this matter
raises an arguable point of law of general public importance,
which
deserves the attention of this Court. In this country, trains
are generally used by the overwhelming majority of people
who fall
within the low income bracket. These are the proverbially
voiceless and in reality vulnerable members of our society.
Furthermore, incidents of crime on trains and related issues have in
the past been sufficiently raised before our courts to warrant
a
pronouncement by this Court. The safety and security of the
poor people who rely on our train network to go to work or
move from
one place to another does raise an arguable point of law of general
public importance.”
[26]
[38]
Importantly, in that case this Court accepted that its
jurisdiction was engaged in terms of sections 167(3)(b)(i) and
167(3)(b)(ii).
It held that, although at first blush the matter did
not appear to turn on constitutional issues, it in fact did.
The constitutional
issues in that matter were central to its
determination, while the factual issues were ancillary. That
was held to be sufficient
to engage the jurisdiction of this Court.
[39]
Regarding
this Court’s extended jurisdiction, it emphasised the general
importance of public safety as it relates to
issues of negligence on
the part of organs of state. This Court went as far as to say
that although the point of law was
not novel, having been dealt with
in
Van
Duivenboden
[27]
and
Van
Eeden
,
[28]
it was still necessary to address it because it raises an arguable
point of law of general public importance. And, it continued,
the public “needs a pronouncement by this Court on whether
PRASA can be held delictually liable for its failure to provide
safety and security measures”. These findings are
apposite, as here the factual issues are framed by the right of
access to healthcare services. Cerebral palsy cases which raise
the question of medical negligence are, unfortunately, seen
quite
frequently in our courts. Similarly, these matters are of great
public importance, and the question of the delictual
liability of
medical professionals in this context also requires a pronouncement
by this Court.
[40]
As
in
Mashongwa
,
on the face of it, the issues in the present matter appear to entail
purely factual disputes. However, the delictual claim
here is
also underpinned by constitutional rights, such as the right of
access to healthcare services
[29]
and the state’s duty under section 7(2) of the Constitution to
“respect, protect, promote and fulfil the rights in
the Bill of
Rights”. On that basis, analogous to
Mashongwa
,
this Court’s jurisdiction is engaged.
[41]
While
Mashongwa
was decided on wrongfulness and jurisdiction was partly established
on the basis of wrongfulness,
[30]
this Court explicitly held further that a delictual matter that
appears factual in nature may still engage this Court’s
jurisdiction where constitutional rights “are the pillars on
which the superstructure of th[e] case rests”, and particularly
where state obligations are involved.
[31]
It follows, therefore, that this Court’s jurisdiction is
usually engaged where there is a delictual claim against
the state –
as long as it is undergirded by constitutional rights. It is
notable that in
Mashongwa
,
the point that a consideration of wrongfulness establishes
jurisdiction is prefaced by the words “in addition”.
[32]
The plain meaning is that the point on wrongfulness is an additional,
separate basis for jurisdiction, and that what was
described directly
beforehand is the first basis for jurisdiction. What appears
before the point on wrongfulness is the point
that the Court’s
jurisdiction is engaged where a delictual claim against the state is
underpinned by constitutional principles.
[42]
In
Alexkor
,
[33]
this Court held that it had jurisdiction to determine anterior issues
relating to land rights, dispossession and restitution –
including the nature and the content of the land rights that the
Richtersveld Community held in the subject land prior to annexation
and whether such rights survived annexation – notwithstanding
that such issues were factual in nature.
[34]
And it subsequently amended portions of the Supreme Court of
Appeal’s order.
[43]
The
cases adumbrated demonstrate a more nuanced view of this Court’s
jurisdiction with respect to factual issues.
First, where a
matter does not only involve constitutional issues, but is framed by
constitutional issues, this may be enough to
establish jurisdiction
and address related factual issues. Secondly, while it is
generally accepted that this Court’s
jurisdiction will not be
engaged on factual disputes,
[35]
where there are disputes of fact that are ancillary to constitutional
issues, this Court may deal with them, as they are “issues
connected with decisions on constitutional matters”.
The Court has to grapple with such factual issues if they
are
inextricably connected to constitutional issues, so that it would be
impossible to resolve these constitutional issues without
also
resolving the factual issues. Finally, the limits to the
jurisdiction of this Court are not inflexible, and this is
important
given the necessity for this Court to meet the evolving needs of
context in the interests of justice.
[44]
In this matter, the legal question goes beyond the ordinary
application of factual causation, since what must be considered is
the
flexibility of the test for factual causation, and how it may be
used to accommodate a set of facts that is inherently subject to
uncertainty. Cases of medical negligence involve such facts,
given the great uncertainty that exists in any – or at
least
many – medical treatment cases.
[45]
This
legal question – concerning the flexibility of the test for
factual causation – is closely connected to the right
of access
to healthcare services in this case. It is a centrally
important constitutional entitlement, and it bears noting
that there
is a dearth of jurisprudence on the content of the right to access to
healthcare services,
[36]
besides instances where the state had refused to act in particular
cases.
[37]
There have
not been cases regarding the standard of care required under section
27(1). However, Ngwenya convincingly
argues that inasmuch as
section 27 does not define the quantity or quality of health care
services to be accessed, it is open to
courts to develop principles
to ensure that the state diligently adheres to the spirit and intent
of the Constitution.
[38]
[46]
Furthermore, in this case, I would add, specifically the
protection of the best interests of the child is of paramount
importance.
This points to the important role of the courts in giving
meaning to section 27, and fortifies this particular ground of
jurisdiction.
Questions of accountability
and responsiveness in a healthcare system that is able to meet
constitutional standards, must surely
raise constitutional issues.
As a result, questions of medical negligence in state-operated
hospitals that implicate the
rights of women and children to
healthcare and the rights of new-born babies to have their best
interests protected, certainly
engage this Court’s
jurisdiction.
[47]
Lastly,
there is a legal point of general public importance that requires
this Court’s attention. As stated, judging
from reported
cases, many cerebral palsy cases appear to be brought before the
courts.
[39]
This case,
one of many, concerns the test for factual causation in relation to
negligent omissions by public healthcare workers,
when they care for
mothers in labour. Having admitted negligence, the question
arises whether, as a matter of public policy,
the state as provider
of healthcare services ought to be allowed to escape liability for
its omissions. The Full Court plainly
misapplied the test for
factual causation expounded in
Lee
.
Although this Court has emphatically in
Mashongwa
and
De
Klerk
clarified the misconceptions that inexplicably followed its judgment
in
Lee
,
some confusion still abounds. The question of whether and how
the flexible test for factual causation should be applied
still does
not yield answers that are clear and consistent. The differing
approaches in
M
v MEC
and
in
AN
attest to that. It is in the interests of justice that this
confusion be laid to rest by this Court, and this forms an additional
ground of jurisdiction.
[48]
I
have read the judgment by my Brother Rogers AJ and I disagree with
his reliance on
Booysen
,
[40]
as this matter is distinguishable. In
Booysen
the
issue was far narrower. This matter goes beyond mere factual
findings or an incorrect application of the law. The
factual
questions are framed by the constitutional right of access to courts
and the right of access to healthcare services. Additionally,
this matter is not a mere application of an established legal test
for factual causation, but is a consideration of how the test
should
be applied within the broader scheme of rights violations in
healthcare.
[49]
To conclude on jurisdiction – it is clear that the
factual disputes in this matter are both underpinned by the right of
access
to healthcare, and are also ancillary to this constitutional
issue. The question of delictual liability for medical
negligence
is squarely located amongst the tools of citizens seeking
to uphold their section 27 rights. More specifically, the
test that is used for factual causation in medical negligence cases
will likely determine whether it is at all possible for delictual
liability to follow, given the uncertainty which is all but endemic
in this context. Therefore, the question of how to apply
the
test in medical negligence cases is an arguable point of law with
constitutional implications. There are factual issues
to
consider, but these are ancillary to the broader constitutional
issues, so that this Court is empowered to consider them.
If
this Court were to draw a hard line in this regard – which it
has not in the past – this would severely limit its
powers to
determine important constitutional and broader legal questions, which
would otherwise engage its jurisdiction.
It would also likely
limit the adaptive potential of this Court, as it must constantly
turn its attention to evolving legal questions
which map social
developments, and were likely not considered by lawmakers. That
is why this Court is clearly empowered to
determine its own
jurisdiction, and why there is not – and can never be – a
closed list of what is a constitutional
issue.
[50]
For the reasons expounded, this Court has jurisdiction in this
matter. The approach of the majority is of some concern –
it is hard to discern how a case of this nature and on these type of
facts would ever engage this Court’s jurisdiction. Law
would not serve the cause of justice on that approach.
Merits
The
law: general requirements of delict
[51]
The requirements for a successful claim in delict are
well-established. A plaintiff must prove positive conduct or an
omission,
causation, wrongfulness, fault and harm. As stated,
the only issue in the High Court was causation, more particularly
factual
causation. The hospital staff’s failure to
conduct adequate monitoring of the foetal heart rate between 03h15
and 04h45
during the day of V’s delivery was conceded in the
High Court to have been a negligent, wrongful omission.
[52]
The startling attempt by the respondents in this Court to
withdraw that concession is based on fallacious grounds. The
respondents’
contentions are that “a conclusion (rather
than a fact) was conceded. That conclusion is inconsistent with
the law.”
They submit that “negligence ‘in
the air’ does not result in liability in delict”. They
contend
that the hospital staff’s failure to monitor the foetal
heart rate at 03h45 and 04h15, contrary to the Maternal Guidelines,
does not constitute negligence. Consequently, they say that the
concession should not stand.
[53]
The concession was clearly a conclusion on the facts, drawn
after having regard to the respondents’ own expert reports and
the largely unchallenged evidence of the applicant’s experts,
more particularly Prof Kirsten and Dr Pistorius. In its
judgment, the High Court recorded the concession in these terms:
“
The
defendants initially defended the action on two material bases: it
denied that there was negligence on the part of the relevant
hospital
staff, and it pleaded that there was no causal connection between any
negligence established at trial, and V’s cerebral
palsy.
However, in the defendants’ heads of argument they
conceded the following:
‘
The
obstetric experts agree that the inadequate monitoring was
sub standard, more especially because the midwives did not
record any monitoring (of the foetal heart) after 03:15, leading to
the conclusion that there was no monitoring. Their negligent
conduct accordingly consists of an omission.’”
[41]
[54]
The High Court recorded further:
“
In
the circumstances, the issue of negligence is no longer in dispute
between the parties. The defendants have accepted that
the
failure to monitor the foetus from 3h15 constituted negligence.
As the defendants point out in their heads of argument,
the question
is whether this negligent conduct caused V’s cerebral palsy.
In other words, the sole issue is that of
causation.”
[42]
The
concession cannot be more unequivocal than this. That remained
unchanged in the Full Court, where it was recorded
that “[t]he
court a quo found, correctly in our view, that negligence had been
conceded before it and that the only issue
to consider was
causality”.
[43]
Self-evidently, negligence is but one of the requirements for
delict. On its own, it does not establish liability.
It
is trite that a plaintiff must prove further that the proved
negligence, be it positive conduct or an omission, is causally
linked
to the harm. If that is what the respondents meant by
“negligence in the air”, there can of course be
no
quarrel with it. But to seek to withdraw an informed,
unequivocal concession now on the basis postulated is an altogether
different matter. It is deeply flawed and must be rejected.
[55]
What was conceded was not, as the respondents seek to persuade
us, “negligence in the air”, but negligence through a
pertinent and plain omission – a clear failure to perform the
monitoring that reasonable nursing staff would have performed
in a
maternity ward in respect of a mother in active labour. The
concession cannot just be jettisoned willy nilly, without
any
adequate, satisfactory explanation for it. That brings me to
factual causation.
Factual
causation
[56]
It
is trite that the enquiry into factual causation asks the question
whether the wrongful conduct or omission was a factual cause
of the
loss. After citing
Siman
,
[44]
this Court in
Lee
described that enquiry as follows:
“
The
enquiry as to factual causation generally results in the application
of the so-called ‘but for’ test, which is designed
to
determine whether a postulated cause can be identified as a
causa
sine qua non
of the loss in question. This test is applied by asking whether
but for the wrongful act or omission of the defendant the
event
giving rise to the loss sustained by the plaintiff would have
occurred.”
[45]
And
in the Appellate Division, in
Bentley
, Corbett CJ enunciated
that enquiry thus:
“
The
enquiry as to factual causation is generally conducted by applying
the so-called ‘but for’ test, which is designed
to
determine whether a postulated cause can be identified as a
causa
sine qua non
of
the loss in question. In order to apply this test one must make
a hypothetical enquiry as to what probably would have happened
but
for the wrongful conduct of the defendant. This enquiry may
involve the mental elimination of the wrongful conduct and
the
substitution of a hypothetical course of lawful conduct and the
posing of the question as to whether upon such a hypothesis
the
plaintiff’s loss would have ensued or not. If it would in
any event have ensued, then the wrongful conduct was
not a cause of
the loss;
aliter
,
if it would not have ensued.”
[46]
[57]
In applying this test, no mathematical or scientific
exactitude is required. As this Court said in
Lee
:
“
Application
of the ‘but for’ test is not based on mathematics, pure
science or philosophy. It is a matter of common
sense, based on
the practical way in which the ordinary person’s mind works
against the background of everyday-life experiences.”
[47]
[58]
In
Lee
,
this Court emphasised that the test is not inflexible and had to make
provision for situations where “the use of the substitution
of
notional, hypothetical lawful conduct for unlawful conduct in the
application of the “but for” test for factual
causation”
may lead to an injustice.
[48]
This Court held that in some circumstances factual causation would be
established where the plaintiff has proved that, but
for the
negligent conduct, the risk of harm would have been reduced.
[49]
[59]
In
Mashongwa
,
this Court explained that
Lee
never
sought to replace the pre existing common law “but for”
approach to factual causation, but rather to recognise
the
flexibility in the “but for” test.
[50]
It held that where the traditional “but for” test
was adequate to establish causation, it may be unnecessary
to resort
to the
Lee
test.
[51]
That has been confirmed in
De
Klerk
.
[52]
[60]
Where
Mashongwa
states that the
Lee
test
can be used where the ordinary “but for” test is not
suitable, this should not be read to suggest that a litigant
can try
both tests in turn. The appropriateness of the
Lee
test
must be determined independently of whether the test succeeds.
In this context, the ultimate consideration is the interests
of
justice. By this, I do not mean that the interests of justice
test should not be applied if the traditional “but
for”
test fails, and there are no other factors to consider. Rather,
there are categories of harm which are better
suited to the
Lee
test,
and these categories may be determined in an abstract fashion, and
based on the interests of justice. An example would
be systemic
state failures, as seen in the
Lee
case
itself,
[53]
where the harm was
caused by dispersed, overlapping and polycentric institutional
omissions. The nature of these factors
was such that one cause
of harm could not be identified, but the interests of justice
nevertheless demanded that the state be held
liable for the harm
suffered by Mr Lee. Another example may be environmental harms,
which exist within ecological systems,
those complex webs of
interacting natural and social components. For example and
purely hypothetically, there may be no single
cause of the abysmal
air quality in large parts of the Highveld,
[54]
but coal-fired power stations certainly contribute to the problem,
and circumstances may exist in which they should be held accountable
for this. In this way, the flexibility identified in
Lee
allows
the “but for” test to be expanded to meet the reality of
certain categories of social harm which may not have
been envisioned
when the test was first developed.
[61]
If
used consciously, it may be that the
Lee
test
can add to the transformative potential of delict – and might
even allow us to reconsider the nature of harm. Matsuda
has
written about the many factors that commonly contribute to social
harms, but are not recognised in either our social or legal
systems.
[55]
For
example, mass shootings in the United States of America are generally
attributed to the individual shooter, while enabling
legal systems
around gun use, media portrayals of violence and school culture are
not considered. Whether and how the law
should intervene in
broader social systems is a question that must be answered
contextually, but for the moment it might be said
that a flexible
causation test may allow for systems of harm to be seen more
completely.
[62]
I
refer to
Lee
and the support it found in both
Mashongwa
and
De Klerk
,
to emphasise the flexibility of the test for causation.
[56]
As this case demonstrates, there is an apparent continuing confusion
about the impact of
Lee,
an
aspect which not only engages this Court’s jurisdiction as I
have said, but also requires discussion on how that flexible
test
ought to be applied. Thus, although in the present matter the
High Court, despite the Full Court’s misconceived
criticism, correctly applied the traditional “but for”
test, the application of the more flexible
Lee
test would lead to the same result. The question is whether
factual causation is established where probable cause is shown,
or
whether it is enough to show that there is an increase in risk. As
stated,
Lee
suggests that it is enough to prove contribution to risk to establish
factual causation.
[57]
As far as systemic failures are concerned, and these failures
contribute to or increase risk, factual causation can be established.
In this context, probable causation and risk reduction are
closely linked – an increase in risk is the probable cause
of
the harm, but there are too many factors in the system to identify
one cause of the harm. That would provide a further
basis,
beyond the “but for” test, correctly applied by the High
Court, to find factual causation here. In this
way, this case
demonstrates that medical negligence is one of the categories of harm
that may be better covered by the more flexible
test for factual
causation, as described above.
Was
factual causation proved?
[63]
In applying the law to the proved facts, it is convenient to
commence with the approach adopted by the Full Court. As stated
above, its approach elicited trenchant criticism from the applicant’s
counsel. And rightly so. The nub of its
impugned
reasoning follows after the Full Court’s evaluation of the
issues, the judgment of the High Court and the evidence.
It
is necessary to record the reasoning in some detail.
[64]
The Full Court’s reasoning has already been alluded to
in respect of what it saw as the central question relating to factual
causation. And the rest of its reasoning and conclusion has
also been outlined. A disturbing feature is that the Full
Court
appears to have placed significant reliance on the two judgments of
the Supreme Court of Appeal referred to earlier, the
majority
judgment in
M v MEC
and the unanimous judgment in
AN
.
That reliance did not concern the legal principles that emanate
from those dicta, but on what the Full Court regarded as
“comparable
facts”.
[65]
Self-evidently, every case must be decided on its own facts –
that principle is so well established that no authority
need be
cited for it. The perils of ignoring that trite principle
emerge starkly here. Firstly, as the applicant’s
counsel
correctly submitted, in
AN
, the sentinel event was a
compressed umbilical cord. The Supreme Court of Appeal
said that:
“
[A]
sudden, sustained, total interruption to the blood supply caused by
cord compression occurred in this matter. For the
sake of
convenience, I shall refer to this as the sentinel event. This
caused the damage.”
[58]
And
that Court importantly pointed out:
“
Unlike
the other sentinel events listed above, a cord compression cannot be
detected after the fact. This is because the cord
does not
remain compressed when the pressure on it is alleviated. It
leaves no indication that it was compressed. Any
pressure on
the cord ceases once a baby has been born.”
[59]
[66]
The
“other sentinel events”, alluded to by the Supreme Court
of Appeal in the passage cited, include placental abruption,
uterine
rupture, umbilical cord prolapse, shoulder dystocia or maternal
collapse. That Court explained that, on the evidence
before it,
each of these sentinel events are capable of subsequent verification,
since they leave some trace, what was termed “a
footprint”.
[60]
Thus, the common cause sentinel event in that case was
determinable – the sudden, complete and ongoing interruption
of
blood supply to the foetus’ brain, caused by the occlusion by
the compressed umbilical cord. That common cause fact
was
agreed upon by the experts in that case, notwithstanding the absence
of evidence afterwards of that cord compression, or a
“footprint”.
And there the time of the sentinel event could not be
determined. Not so here. The evidence
cannot establish a
known traumatic event and the experts were unable to suggest one.
What they could unequivocally agree
on, however, was that “an
acute profound hypoxic event occurred”, and that this must have
been during the critical
period.
[67]
There is a second – even more telling –
distinction between the facts of this case and
AN
. In
the latter, there was no clear, acceptable evidence that there would
have been prior warning signs of the total interruption
to the blood
supply. The Supreme Court of Appeal was unable to make
that finding on the evidence and on authoritative,
peer-reviewed
literature referred to by both parties. In fact, that
literature pointed in the opposite direction. In
the present
instance, the experts are agreed that a slowing foetal heart rate is
a sign of the onset of hypoxia. The unchallenged
evidence of
Prof Kirsten and Dr Pistorius confirmed that fact.
[68]
A related distinction is whether adequate monitoring would
have detected the warnings. Here the uncontested evidence is
that
there would be warning signs before the hypoxia, and if
emergency measures were put in place to “buy time” for
the
foetus and the delivery was done quickly enough, it might be
possible to avoid a hypoxic ischemic episode and the consequent brain
damage. In
AN
, that Court asked, whether there were in
all probability no prior warning signs (unlike here)—
“
the
issue [was] whether, when the sentinel event occurred, there would
have been sufficient time to avoid the damage by expediting
the
delivery. The obvious first factor in this enquiry is that
counsel
for the appellant candidly admitted that it could not be proved when
the sentinel event occurred. Without being able
to do so, it
could not be said at what time monitoring would have alerted the
staff to this event.”
[61]
As
a consequence, that Court found that
it was not proved that there would have been sufficient time in which
to deliver the baby so as to avoid damage, and causation
could not be
determined.
[62]
[69]
There
is also one crucial difference between the facts of this case and
those in
M v
MEC
.
It is this. In the latter instance, the majority found on
the evidence that the baby suffered an HIE “immediately
before
delivery”.
[63]
In
the matter before us, the HIE occurred during the critical period,
thus well before V’s delivery at 05h10.
[70]
In
sum, the differences between the factual scenarios in this case and
in
AN
,
and those in
M
v MEC
,
are not only striking, but they are also material when it comes to
factual causation. This Court reminded us in
Lee
that “there is no magic formula by which one can generally
establish a causal nexus. The existence of the nexus will
be
dependent on the facts of a particular case.”
[64]
But the Full Court erred even further when it sought to
overturn the High Court on this aspect insofar as the application
of
the correct test is concerned. The Full Court held that the
High Court had erroneously adopted the reasoning of the minority
in
M
v MEC
in applying the test enunciated in
Lee
,
instead of the conventional “but for” test. The
Full Court adumbrated the majority and minority judgments
and “by
parity of reasoning” on the facts in
M v MEC
,
which it thought “are to an extent the same as those in casu”,
adopted the majority reasoning expounded in that case.
[65]
[71]
There are two difficulties with this approach. First,
the High Court unequivocally adopted the “but for”
test in its reasoning. At the outset it correctly identified
the only remaining issue as factual causation, after the respondents’
concession on negligent omission (inadequate monitoring) and
wrongfulness. In respect of that remaining issue, the High
Court correctly eliminated in its mind the common cause negligent
omission, substituted in its place lawful conduct and asked the
question whether the harm to V would still have ensued. Based
on the undisputed expert evidence, particularly that of Prof
Kirsten
and Dr Pistorius, the High Court answered that question in the
negative. It held that, if Ms NM had been properly
monitored,
the warning signs of foetal distress would have been detected and
appropriate action would have been taken. This
included
emergency measures to “buy time” for the foetus and for a
caesarean section to be done. Had proper monitoring
occurred,
there would, on the probabilities, have been enough time to take the
emergency measures and the harm to V would probably
have been
averted.
[72]
The reasoning of the High Court is quintessentially a
“but for” approach: the mental elimination of the
failure
to conduct adequate monitoring and its replacement with the
hypothetical correct conduct (proper monitoring) to ask whether the
harm would on the probabilities still have ensued. It found on
the facts that the answer was “no”. Had
there been
adequate monitoring, the foetus’ slowing heart rate would have
been detected, symptomatic of the onset of hypoxia,
and emergency
measures could have been taken to “buy time” for the
foetus while preparations were made for a caesarean
section to be
performed. There is no suggestion of flexibility in the test,
no consideration of a probable cause. The
Full Court was
wrong in associating the approach of the High Court in this matter
with the one set out by this Court in
Lee
. The
High Court’s reasoning was classical “but for”
stuff as it has conventionally evolved over time.
[73]
The
second difficulty is that the doctrine of
stare
decisis
in our law, that courts must follow the precedent of higher courts,
is based on findings of law, not findings of fact. In
Walters
,
[66]
this Court cited the following passage in Hahlo and Khan to explain
the doctrine:
“
In
the legal system the calls of justice are paramount. The
maintenance of the certainty of the law and of equality before
it,
the satisfaction of legitimate expectations, entail a general duty of
Judges to follow
the
legal rulings in previous judicial decisions
.
The individual litigant would feel [themselves] unjustly
treated if a past ruling applicable to [their] case were not followed
where the material facts were the same. This authority given to
past judgments is called the doctrine of precedent.”
[67]
(Emphasis added.)
[74]
While this Court in
Walters
does not explicitly make
the point that
stare decisis
applies to legal findings
and not factual findings, there is never any question of factual
findings being followed by lower courts.
Instead, this Court
discussed “legal interpretations”, stating for example:
“
High
Courts are obliged to follow legal interpretations of the Supreme
Court of Appeal, whether they relate to constitutional issues
or to
other issues, and remain so obliged unless and until the Supreme
Court of Appeal itself decides otherwise or this Court does
so in
respect of a constitutional issue.”
[68]
[75]
To
bolster the point, this Court in
Walters
also
referred to
Shabalala
,
[69]
where the Court made reference to
stare
decisis
in
the context of the interpretation of constitutional provisions
(referring to the interim Constitution):
“
I
appreciate that section 4(1) of the Constitution provides that
‘[t]his Constitution shall be the supreme law of the Republic
.
. .’ and that section 4(2) provides that ‘[t]his
Constitution shall bind all . . . judicial organs of state at all
levels of government’; but those provisions do not in my view
mean that the established principles of
stare decisis
no longer apply. Such an approach would justify a single Judge
departing from a decision of a Full Bench in the same Division
because he considered the interpretation given to the Constitution by
the Full Bench to be in conflict with the Constitution, with
resultant lack of uniformity and certainty until the Constitutional
Court, whose decisions in terms of section 98(4) bind,
inter
alia
,
‘all judicial organs of state’, had pronounced upon the
question.”
[70]
[76]
In
Turnbull-Jackson
,
this Court also explicitly held that the principle of
stare decisis
[71]
applies to the
ratio
decidendi
[72]
of a judgment, explicating that “
[t]he
doctrine of precedent decrees that only the
ratio
decidendi
of a judgment, and not
obiter dicta
,
[73]
have binding effect”.
[74]
It is true that this finding on the precedential value of
ratio
decidendi
was
contrasted with
obiter
dicta
,
rather than factual findings, but the same principle applies.
[77]
It
is trite that a decision on a legal principle made by a superior
court must be followed by all courts of lower or equal status
until
it is overruled or modified by a court of higher authority. The
doctrine is self-evidently intended to provide certainty
on
principles of law. But findings of fact stand on a different
footing. Those findings are unique to the facts adduced
before
a court in a particular case. They cannot be ferried wholesale
to another case, regardless of how closely the cases
may resemble
each other. On first principles, the obvious bears repetition:
each case must be decided on its particular facts.
And the
position is no different in respect of medical expert evidence.
Medical experts must base their opinions on the facts
in the
particular case.
[75]
[78]
The Full Court’s erroneous approach implicates the right
of access to courts entrenched in section 34 of the Constitution.
The reason is simple: the applicant did not have the
opportunity, through counsel, to test the opinions of the experts
indirectly
relied upon by the Full Court. Those experts
testified in
M v MEC
and in
AN
, not in this matter.
And yet, the Full Court placed reliance on it through “parity
of reasoning”, purely by reason
of the fact that the facts in
those cases were “to an extent similar” to those of the
present matter. Recently,
this Court in
Van der Walt
made these remarks where medical literature was relied on for an
accused’s conviction in circumstances where he did not have
an
opportunity to engage with that literature during the trial:
“
The
relevant question is whether the applicant had the opportunity to
challenge the textbook evidence. The applicant was plainly
denied that opportunity. Likewise, not knowing that such
evidence would be relied upon, he was denied the opportunity –
if so minded – to adduce controverting evidence. The
right to challenge evidence requires that the accused must know
what
evidence is properly before the court. In the applicant’s
case, the medical literature relied upon was never adduced
at all.
This goes to the heart of a fair trial.”
[76]
[79]
For the reasons that follow, I regard the High Court’s
approach to be sound and its findings on factual causation to be
unassailable.
The common cause and initially conceded facts,
the unchallenged expert evidence, particularly that of Prof Kirsten
and Dr Pistorius,
together with the joint minute of Drs
Pistorius and Koll, establish the following:
(a)
The foetus was evidently in a healthy condition at 03h15, judging by
the
clear amniotic fluid and the apparently normal foetal heart rate.
(b)
During the critical period, between 03h15 and 04h45, there was no
foetal
heart rate monitoring at all by the hospital staff.
Monitoring should have occurred at half hourly intervals, that
is, at
03h45 and again at 04h15, as Ms NM was in active labour
by that time.
(c)
V suffered an acute profound hypoxic injury intrapartum during the
critical
period.
(d)
There were no emergency measures adopted by the nursing staff –
none were recorded in the hospital records and none were mentioned at
the trial.
(e)
Absent any foetal heart rate monitoring during the critical period,
no
warning signs of a possible hypoxic event were capable of being
detected. This was very properly conceded at the trial to
constitute a negligent omission and the attempt to withdraw that
concession in this Court falls to be rejected.
(f)
Had the monitoring been done, on the probabilities the hospital staff
would have picked
up the warning signs (that probably would have been
present) to indicate foetal distress caused by hypoxia. In the
face of
these warning signs, the staff would on the probabilities
have taken urgent steps to “buy time” for V and to make
arrangements
for an urgent caesarean section so as to prevent the
injury to V’s brain. It is probable that with the proper
emergency
measures, V’s brain injury would not have occurred.
[80]
The argument by the respondents in this Court, that the
sentinel event must have occurred at between 04h40 and 04h45, is not
only
completely novel, but is also unsustainable on the evidence. At
its core, that argument is based on a misconception of the
sequence
of events as outlined in the evidence. The argument
misconstrues Prof Kirsten’s evidence. And it
attaches an erroneous interpretation to paragraph 7 of the joint
minute.
[81]
The exact time of the sentinel event is unclear and not
capable of more precise ascertainment, exactly because of the
inadequate
monitoring. The respondents’ argument appears
to confuse the various stages: there is first the sentinel event,
evident
from the foetal heart rate having dropped markedly and taking
too long to recover; then follows the damage to the brain; and
thirdly,
foetal bradycardia ensues, with the foetal heart rate
constantly below 110 bpm. Properly understood, Prof Kirsten’s
evidence bears this out. He first expounds the sentinel event
(citing examples), then the damage to the brain and finally
the
foetal bradycardia. The evidence is:
“
V
had [an] acute profound hypoxial insult and in babies . . . it is
very difficult to pinpoint exactly when the hypoxia actually
started. It is easy if there is cord prolapse. You know
when the cord prolapse[s] or if [there is a] ruptured uterus,
but
during labour it is not that easy and that is why foetal heart rate
monitoring and foetal frequent observations are so important
. . . .
And then the duration of the actual final bradycardia
[77]
varies and it depends on if there is total loss of oxygen provided to
the foetus. If there is an abruption
[78]
. . . a total complete abruption that lady will have signs of
[bradycardia] within 10 minutes . . . but in other situations where
the cause for the acute profound hypoxia is not clear cut . . . [t]he
foetal bradycardia can last for 30 minutes, but that is the
foetal
bradycardia. The slow heart rate. If there is hypoxia the
heart muscle requires oxygen. So the final sign
will be that
the foetus will have a very slow heart rate, but before the onset of
that slow foetal heart rate the foetus from the
CTG will have changes
in the pattern of the CTG.”
[82]
This evidence is to the effect that foetal bradycardia takes
10 to 30 minutes. Thus, counsel for the respondents is wrong in
the assertion that brain damage occurs 10 to 30 minutes
after the sentinel event. This is the mistaken basis on
which
an estimation is then made that there was only 10 to 30 minutes
available to “buy time” for the foetus and that,
based on
(a) the time of delivery at 05h10; and (b) the distressed state of V
after birth (as Prof Kirsten opines, “he was
delivered very
close to foetal death”), this is consistent with the insult
occurring around 04h35-04h40
.
And, ultimately then,
counsel’s contention is that “[i]f (as according to Prof
Kirsten) brain damage takes 10
to 30 minutes from the time of the
insult, there was no time to prevent or minimise brain damage by
carrying out a caesarean section
procedure”. Thus, so the
argument for the respondents goes, even with proper monitoring, the
harm would probably not
have been averted.
[83]
The entire construct of this reasoning, which culminates in
the respondents’ counsel’s ultimate contention, is thus
fatally flawed, proceeding as it does from a misconception. Read
in context and in full, Prof Kirsten’s report together
with his
oral evidence, firmly and finally dispels that misconception.
[84]
The reliance on paragraph 7 of the joint minute of Drs
Pistorius and Koll is likewise based on a false premise. The
two experts
stated: “[i]t is doubtful whether it would be
possible to perform a caesarean section quickly enough to prevent the
neurological
sequelae of an acute profound hypoxic event in this time
interval.” The reference to “this time interval”
is to the period from 04h45. That is the clear implication of
that entry when the joint minute (particularly point 5) is
read as a
whole and Dr Pistorius’ addendum report is considered. He
notes:
“
There
was clearly insufficient monitoring during the latent and active
phase of labour. No ‘sentinel event’ was
recorded,
but a sentinel event would easily have escaped notice, given the
insufficient monitoring. The available evidence
indicates that
there was suboptimal care during labour, resulting in foetal asphyxia
and subsequent hypoxic ischemic encephalopathy,
which would have been
avoided by appropriate monitoring and action.”
[85]
Moreover, Dr Pistorius’ evidence on this aspect was left
unchallenged and the reading of this entry on the basis now
postulated
by respondents’ counsel was never broached with him
in cross-examination. Both the High Court, when this point was
raised before it in the application for leave to appeal, and the Full
Court, saw the entry in the joint minute in the correct light
and not
on the misconceived basis now advanced in this Court on behalf of the
respondents. This is the scenario in which
the “buying of
time” for the distressed foetus starts running from the time
when the slow recovery of the foetal heart
rate is picked up by
adequate monitoring – it does not relate to 04h45 when CPD was
diagnosed and the caesarian section was
booked. When
Dr Pistorius’s evidence is viewed in its entirety, the
passage from the addendum report meant that
given that there was no
monitoring, there would not have been time once monitoring resumed,
to take measures to avoid the medical
consequences to V. In
this regard, therefore, counsel for the respondents’
contentions are devoid of merit.
[86]
A
plaintiff is not required to show a causal connection between the
conduct or omission and the eventual harm with certainty. All
that is required is “to establish that the wrongful conduct was
probably a cause of the loss, which calls for a sensible
retrospective analysis of what would probably have occurred, based
upon the evidence and what can be expected to occur in the ordinary
course of human affairs rather than an exercise in metaphysics”.
[79]
And cerebral palsy cases where the brain damage is caused by
HIE, like the present one, fall into a particularly challenging
field
of medicine, “where medical certainty is virtually
impossible”.
[80]
It is a form of harm that calls for a more flexible understanding of
factual causation.
[87]
In this matter, the applicant adduced sufficient evidence to
prove factual causation, in the context of a harm which is replete
with uncertainties. Absent any countervailing evidence from the
respondents, the unchallenged evidence of the applicant’s
medical experts, particularly that of Prof Kirsten and Dr Pistorius,
together with the admitted facts and the joint minute
of the
obstetricians, proved the applicant’s claim for damages. The
negligent failure by the hospital staff to conduct
adequate
monitoring of the foetal heart rate during the critical period,
denied them the opportunity to detect the warning signs
of the onset
of hypoxia. That, in turn, resulted in the failure to take
emergency measures to afford V more time until a
caesarean section
could be arranged. On the probabilities, the brain injury would
not have occurred had all of this been
done, or the risk of this
brain injury would have been significantly reduced. In the
premises, had I commanded the majority,
I would have upheld the
appeal with costs.
ROGERS
AJ (Madlanga J, Mhlantla J, Theron J and Tshiqi J concurring):
[88]
I have had the pleasure of reading the judgment by my
colleague Majiedt J (first judgment). I disagree that
this
case engages this Court’s jurisdiction. In order for
a case to be a “constitutional matter” within the meaning
of section 167(3)(b)(i), the resolution of a constitutional
issue must be reasonably necessary in order to determine the case’s
outcome. Similarly, a case only “raises an arguable point
of law” within the meaning of section 167(3)(b)(ii)
if the
answer to that question is reasonably necessary to determine the
case’s outcome. A peripheral constitutional
issue or
arguable point of law is not a justification for embarking on a
factual reappraisal of a case where the reappraisal is
not rendered
reasonably necessary by the answer to the constitutional issue or
arguable point of law.
[89]
This
Court has consistently held that it does not have jurisdiction to
decide purely factual matters, and this is so even where
a lower
court has gone badly wrong on the facts. The Court can
analyse evidence and make factual findings where the
determination of
such facts is reasonably necessary in order to answer or to give
practical effect to the Court’s decision
on the constitutional
matter or arguable point of law, but not otherwise. As this
Court said in
Mbatha
in
relation to its constitutional jurisdiction, it will only engage in
contested factual issues if they are “connected with
a
well grounded constitutional issue”.
[81]
Sections 27 and 7(2) of
the Constitution, accountability and responsiveness
[90]
The
first judgment holds that this case is a constitutional matter
because it implicates the health care rights guaranteed by section
27
and the State’s related duty under section 7(2) to
respect, protect, promote and fulfil the rights in the
Bill of Rights.
The first judgment posits that,
“
[q]uestions
of accountability and responsiveness in a healthcare system that is
able to meet constitutional standards, must surely raise
constitutional
issues”; and that questions of medical
negligence in public hospitals, implicating the “rights of
women and children”
and “the rights of new born
babies to have their best interests protected, certainly engage this
Court’s jurisdiction”.
[82]
These are far-reaching propositions with which I disagree.
[91]
It is not in dispute that the applicant had the right to have
access to health care services. She had access to them at
Tembisa
Hospital. It is not in dispute that Tembisa Hospital
had a private-law duty to provide her with a reasonably competent
level of care, the breach of which would be wrongful. It was
also common cause that the service provided to the applicant
fell
below a reasonably competent standard, in other words that the
Tembisa Hospital staff were negligent. The negligence
related
to the absence of FHR monitoring between 03h15 and 04h45. There
is no dispute that the required standard was half-hourly
FHR
monitoring. The issue is whether the wrongful and negligent
conduct caused the injury suffered by the applicant’s
baby, and
that is a purely factual question. Sections 7(2) and 27
of the Constitution, and considerations of accountability
and
responsiveness, shed no light on its answer.
[92]
To a
greater or lesser extent, the rights guaranteed in the Bill of Rights
cover the whole field of human existence. Almost
any case could
be framed as touching on one or other fundamental right. This
is not enough to make the case a constitutional
matter. This is
shown by
Boesak
.
[83]
A sentence of imprisonment, following upon a conviction that was not
justified by the evidence, might be said to implicate
the convicted
person’s right not to be deprived of freedom without just cause
(section 12(1)(a)) and his right to a
fair trial
(section 35(3)), yet a contention that the conviction was not
justified on the evidence is not a constitutional
matter but a
factual one.
[84]
If
section 27 were implicated in the present case, it would apply
to every medical negligence case, even though the
issues raised by
the case were purely factual. The same would be true,
analogously, of every defamation case, on the basis
that it
implicates the right to freedom of expression guaranteed by section
16.
[93]
The
first judgment calls in aid this Court’s decision in
Mashongwa
.
[85]
Paragraph 13 of the latter judgment should not be parsed as if
it were a statute; it must be understood in the context
of what was
in issue, namely the legal question whether a transport utility ought
to be held delictually liable for damages that
flow from a breach of
its public-law duty to provide safety and security measures for its
rail commuters.
[86]
In
other words, the key disputed issue was delictual wrongfulness.
It was in that context that the “pillars on
which the
superstructure” of the claimant’s case rested were
identified as sections 7(2) and 12(1)(c) of
the
Constitution. Additionally, the enquiry into wrongfulness, in
accordance with this Court’s case law, focused on
“whether
the policy and legal convictions of the community, constitutionally
understood” regarded the impugned conduct
as acceptable.
It was these considerations in combination which gave this Court
jurisdiction.
[94]
In
Mashongwa
,
sections 7(2) and 12(1)(c) were thus, along with the policy and legal
convictions of the community, constitutionally understood,
matters
which featured centrally in the Court’s assessment of
whether PRASA’s public-law duty should be matched
by a
private-law duty, as is apparent from the Court’s
reasoning.
[87]
It was in
that sense that those two sections of the Constitution were the
“pillars on which the superstructure”
of the claimant’s
case rested.
[95]
The present case is quite different. Here it has from
the outset been common cause that Tembisa Hospital owed the applicant
a private-law duty to provide reasonable care. And in the
respects relevant to this case, the standard of care (that is,
the
negligence aspect) is also common cause. Neither the High Court
nor the Full Court was called upon to examine sections
7(2) and
27 of the Constitution in order to decide whether they justify
imposing a private-law duty on Tembisa Hospital or to decide
where
the standard of reasonable care should be set. That remains the
position in this Court. The only question
is whether the
admitted breach of the required standard factually caused the baby’s
injury, a question which sections 7(2)
and 27 do not help
us to answer.
[96]
The point can be illustrated with reference to the type of
case with which
Mashongwa
dealt. Following the decision
in that case, it is settled law that PRASA owes a private-law duty to
safeguard passengers by
deploying security guards on trains and by
ensuring that trains do not travel between stations with coach doors
open. If
a claimant were now to sue PRASA on the basis that he
fell from a moving train because the coach door was open, and if the
only
contentious issue was whether, factually, the coach doors were
open or whether the commuter sustained his injuries by falling from
an open door, the case would not be a “constitutional matter”.
The “pillars” of the claimant’s
case would not be
sections 7(2) and 12(1)(c), given that the existence of the
private law duty was uncontentious. One
could say, in a
very general sense, that the constitutional considerations which gave
rise to the private-law duty still “frame”
the case, but
that would not bring the case within this Court’s
constitutional jurisdiction, any more than a person’s
right to
bodily integrity frames, in any meaningful jurisdictional way, his or
her right to claim damages for injuries suffered
in a road accident
or shopping mall fall.
[97]
If
it were otherwise, every delictual case would be a constitutional
matter, because wrongfulness is an element of every delictual
claim,
and wrongfulness depends on the policy and legal convictions of the
community, constitutionally understood.
Mashongwa
is
not authority for such a sweeping proposition. The claim
in
Mashongwa
was a
constitutional matter, because the very existence of the legal duty,
in other words wrongfulness, had to be decided.
Once the
constitutional matter was determined in the claimant’s favour,
the outcome in that particular case required the
law to be applied to
the facts, but that factual investigation standing on its own was not
a constitutional matter. The same
can be said of the earlier
decision of this Court in
Metrorail
.
[88]
[98]
This
point can be made with reference to
Metrorail
,
which the first judgment cites. This Court said that
the question whether a particular issue has been established
beyond
reasonable doubt (or, I may add, on a balance of probabilities) is a
factual one, turning on an “evaluation of evidence
and its
cogency”.
[89]
This
was contrasted with the question whether conduct was “reasonable
in the context of a legal duty”, the latter
involving the
application of legal principles to established facts. The
latter question is a legal (and normative) one.
As I have said,
here the legal and normative aspects are uncontentious. The
question is whether a particular issue (factual causation)
was
established on a balance of probabilities, a question turning on “an
evaluation of evidence and its cogency”.
[99]
This
Court’s decision in
Booysen
[90]
illustrates the point. That was a claim against the Minister of
Police, who was alleged to be vicariously liable for the
delictual
conduct of a police officer. The applicant (the claimant) did
not ask the Court to develop the test for vicarious
liability laid
down in its earlier decisions. This Court held that the
application of that test to the facts of the case
was not a
constitutional matter. The differing judgments in the High
Court and Supreme Court of Appeal were simply the result
of the
differing weight which the Judges in question accorded to the
normative considerations underpinning vicarious liability.
[91]
[100]
My
approach also finds support, I believe, in the majority judgments
in
Mbatha
.
In that case, the applicant was seeking to reverse the defeats he had
suffered in the Labour Court and Labour Appeal
Court. Although
he was relying on legislation which gave effect to the rights of
employees, and thus ultimately section 23
of the Constitution,
the contest between the parties in this Court was purely factual.
This was not affected by
obiter
observations
which the Labour Appeal Court had made about section 197 of the
Labour Relations Act.
[92]
In finding that this Court lacked jurisdiction, Cameron J for
the majority said:
“
No
constitutional point can be located in the fact that Mr Mbatha claims
he is an ‘employee’ of the university under
legislation
that protects employment. His dispute with the university
raises no issue of interpretation or disputed application
of the
statutory definitions, or any contested claim about the court’s
jurisdiction over employees and employment disputes.
It is a
simple factual dispute about who his employer was. If it were
otherwise, every dispute about an employee’s
true employer
could reach this Court. That cannot be.
Mr
Mbatha cannot gain constitutional access on the basis that his case
involves the interpretation or application of section 197
of the
Labour Relations Act. The Labour Appeal Court mentioned
this provision in its judgment, and expressed the opinion
that this
was a ‘classic case’ of its application. But its
reference was incidental, and immaterial to the basis
of its
decision. Though expressing its view, the Court did so only
after saying clearly that this is ‘not an issue
before us’
and that it was therefore ‘not necessary to deal with the issue
whether there was a transfer of a business’.
A court’s
expression of view on a matter immaterial to its reasoning cannot
confer jurisdiction on an appellate court.
The university
abandoned reliance on section 197 in argument before us.
In any event, even if section 197 were in play,
the sole issue,
again, is its application to the facts. The possible peripheral
relevance of the provision, where it has
not been given any weight by
the lower courts, cannot strengthen Mr Mbatha’s claim to
jurisdiction.”
[93]
[101]
Madlanga J, in whose judgment Cameron J concurred, put the
matter thus:
“
The
contest between the parties is on the facts, nothing more. And
that is what the decisions of the Labour Court and Labour
Appeal
Court turned on. There is no contest between the parties about
the interpretation of the provisions of the Basic Conditions
of
Employment Act. Whether or not an employer/employee
relationship existed between
Unizul
and the
applicant is a question of fact. An interpretation of the
provisions is not in issue. The application of the
provisions
is axiomatic, if the applicant was an employee of
Unizul
.
Thus the antecedent factual question is, was he?
It
is exactly contests of this nature that
Boesak
has decreed do not raise a constitutional issue. Writing
for a unanimous Court in
Boesak
,
Langa DP says that there is no constitutional issue if all there
is, is a challenge to a decision on the sole basis that
it is wrong
on the facts.”
[94]
[102]
Ultimately,
the character of a proposed appeal to this Court turns on the
findings of the lower court which the would-be appellant
seeks to
challenge. If the challenge is purely to factual findings, this
Court does not have jurisdiction.
[95]
When all is said and done, the applicant’s case here is that
the Full Court’s factual finding on causation was
wrong and the
trial court’s factual finding right. That this is the
crux of the matter is, I respectfully suggest,
borne out by the first
judgment. Ultimately, the conclusion which the first judgment
reaches in favour of the applicant depends
solely on the
first judgment’s evaluation of the evidence. Unlike
Alexkor
,
which the first judgment instances, this factual evaluation is
not a precursor to reaching and deciding a constitutional
issue.
The factual evaluation is the “only show in town”,
because it is the sole determinant of whether the appeal
fails or
succeeds.
The
Full Court’s invocation of M v MEC
[103]
As
an independent ground of constitutional jurisdiction, the
first judgment holds that the Full Court’s invocation
of a passage from
M
v MEC
[96]
violated section 34 of the Constitution by importing evidence
from another case into this case. For two reasons, I cannot
agree. The first is that the first judgment places on the
Full Court’s invocation of this passage a weight it
cannot
bear. The first judgment considers that the Full Court
imported into the present case expert evidence given in
M
v MEC
,
in circumstances where the applicant and her experts were not
confronted with the evidence. Since it is elementary law that
a
case must be decided on its own evidence, we should not readily
suppose that the three judges in the Full Court had any such
intention.
[104]
In my view, the Full Court’s purpose was more modest.
It is apparent from the passage immediately preceding its quotation
from
M v MEC
that the Full Court was treating 04h45
as the critical time for decision making, and its focus was
whether a decision
at that time to perform a caesarean section would
have resulted in delivery sooner than the vaginal delivery which
occurred 25
minutes later at 05h10. It was in this respect that
the Full Court regarded the facts in
M v MEC
to be “to
an extent the same” as those in this case. In this
limited respect, the facts in
M v MEC
were to an extent
similar, and the passage was quoted merely by analogy. The Full
Court was not saying anything about whether
warning signs would have
been detected before the unidentified sentinel event or whether the
harm could have been avoided if the
time for decision-making had been
earlier than 04h45.
[105]
This leads to my second reason for disagreeing with the first
judgment’s reliance on section 34. The Full Court,
in treating 04h45 as the critical time for decision-making, went awry
on the facts. It should have asked whether, with proper
FHR
monitoring, a critical time for decision-making would have occurred
at an earlier time, namely after 03h15 but before
04h45.
However, the Full Court’s factual error in treating 04h45
as the critical time for decision-making is simply
that – a
factual error, not a constitutional matter. Having adopted this
as its factual premise, the Full Court said
that a caesarean section
could not have been performed earlier than the vaginal delivery which
occurred 25 minutes after 04h45.
The invocation of
M v MEC
(where an “acceptable” period of 60 minutes
rather than 30 minutes for a caesarean section was adopted) is
neither
here nor there, because the applicant accepts that a decision
to perform a caesarean section at 04h45 would not have resulted
in delivery sooner than the vaginal delivery which occurred at
05h10. It is the applicant’s case that this is the
precise meaning of item 7 of the obstetricians’ joint
minute.
[106]
Whether
the invocation of
M
v MEC
was
a violation of section 34 is thus peripheral. An affirmative
answer would change nothing, because the point which the
Full Court
was making with reference to the analogous situation in
M
v MEC
is
in any event common cause on the evidence in the present case.
In order to reverse the decision of the Full Court,
it would
first be necessary to interfere with its finding that the critical
time for decision making was 04h45. The
invocation of
M
v MEC
is
irrelevant to that question. It is only by a factual
reappraisal, independent of any supposed constitutional issue, that
one can get out of the starting blocks to reverse the decision of the
Full Court.
[97]
[107]
I must nevertheless conclude on this issue by observing that
it is usually neither helpful nor prudent for a court to quote the
factual findings in another case, even if only by way of analogy.
In this instance the quotation added nothing to the cogency
of the
Full Court’s judgment, and it introduced confusion rather
than shedding light.
Lee
and the test for causation
[108]
The third ground of jurisdiction asserted in the first
judgment is the need to clarify
Lee.
In my view, there
is no such need. Neither the trial judge nor the Full Court
applied any innovation which
Lee
may have heralded. Both
courts saw themselves as applying the conventional but-for test for
factual causation. In this Court,
the first judgment
likewise reappraises the facts and comes down in favour of the
applicant by applying the conventional test.
This is in line
with the submissions made at the hearing.
[109]
The
first judgment states that the Full Court “plainly misapplied
the test for factual causation expounded in
Lee
”.
I cannot discern signs of this in the Full Court’s
judgment. The Full Court’s only reference
to
Lee
was to
say that in
M
v MEC
the
minority, “
[d]rawing
on the reasoning in
Lee
”,
made the statements from
M v MEC
which
the Full Court then quoted. That is accurate and
unobjectionable. As I have already said, the Full Court
went awry on the facts when it found the critical decision-making
time to be 04h45. After quoting from both the minority
and
majority judgments in
M v MEC
,
the Full Court said
[98]
that the trial court had “not seriously explored” the
possibility of performing a caesarean section after there was
a CPD
diagnosis at 04h45 or the question whether a caesarean section would
have yielded positive results. Such a possibility,
according to
the Full Court, “is what the ‘but for’ test is all
about”. This led to the findings
[99]
which I have already discussed at some length.
[110]
On the Full Court’s factual premise, namely that the
critical decision-making time was 04h45, it applied the conventional
factual causation test in an unobjectionable way and reached an
answer with which nobody could quibble. The Full Court
did
not, for example, say that a claimant had to prove her case with
certainty. Questions of “flexibility” did
not
arise, because on the Full Court’s factual premise, it was
clear that a decision at 04h45 to perform a caesarean section,
and
the undertaking of that operation within a reasonable period of time,
would not have led to the baby’s delivery sooner
than 05h10.
It followed that such a course of action could not have averted
the injury which the baby suffered. As
the first judgment
states, the inquiry into factual causation is “trite”,
and the Full Court applied the trite test,
albeit with reference to a
factually wrong premise.
[111]
There is, in my opinion, nothing in the judgment of the trial
court or the Full Court calling for clarification, and the first
judgment’s observations on
Lee
seem to me to be
obiter dicta
(non-binding observations made in passing).
They could be omitted without affecting the first judgment’s
reasoning and
ultimate conclusion. This shows that the supposed
need to clarify
Lee
does not make the present case a
constitutional matter or raise an arguable point of law which
this Court ought to hear.
I prefer to express no opinion
on the first judgment’s observations about the types of
situations in which application of
the
Lee
test might be more
appropriate than the conventional test, because we heard no argument
on the matter and it has no bearing on this
case.
[112]
The first judgment posits that the application of the test for
factual causation in medical negligence cases is an arguable point
of
law with constitutional implications. I do not consider this to
be a question of law. The applicant did not argue
for any
special test for factual causation in medical negligence.
Difficult or borderline cases of factual causation can
arise in any
kind of case for delictual or contractual damages. Conversely,
factual causation is quite often straightforward
in medical
negligence cases. The application of an established test to
particular facts is not a question of law. The
first judgment’s
analysis of factual causation bears out the proposition that each
case will depend on its own facts.
It is precisely on this
basis that the first judgment criticises the Full Court for
having regard to the factual findings
in
M v MEC
.
Conclusion
[113]
In view of the conclusion I have reached on jurisdiction, it
is unnecessary to discuss the merits. In my view, in this type
of case an order of costs would not be appropriate.
Order
[114]
In the result, leave to appeal is refused.
ZONDO ACJ:
[115]
I have had the benefit of reading the judgment prepared by my
Colleague, Majiedt J (first judgment) and the judgment prepared
by Rogers AJ (second judgment) in this matter.
[116]
Subject
to what I say below about the cases of
Mbatha
[100]
and
Booysen
[101]
to which the second judgment refers, for the reasons given in the
second judgment I agree with the second judgment that this Court
does
not have jurisdiction to entertain this matter.
[117]
The second judgment refers to the cases of
Mbatha
and
Booysen
. In regard to those judgments I confine myself
to what I have to say to the fact that I wrote the minority judgments
in those
matters in which I expressed my views but I accept that I am
bound by the majority decisions in both cases.
For the Applicant:
For the
Respondents:
S Budlender SC and
E Webber, instructed by Edeling Van Niekerk Incorporated
T Bruinders SC and
A Mofokeng, instructed by the State Attorney, Johannesburg
[1]
A partogram is a composite record taken during labour that provides
for the monitoring of the mother and foetus, including cervical
dilation, vital signs, and the pulse and heart rate.
[2]
The normal foetal heart rate (FHR) ranges between 120 and 160 bpm.
[3]
Apgar scores are a numerical expression of five signs present in a
new-born baby as guidelines for an objective assessment of
the
condition of that baby at birth.
[4]
These conclusions are drawn by Prof Kirsten, the neonatologist who
testified on behalf of Ms NM.
[5]
A sustained reduction in the supply of oxygen to the foetal brain in
the course of labour.
[6]
HIE is described as damage to the cells in the central nervous
system caused by inadequate oxygen supply for a period of time.
[7]
NVM
obo VKM v Tembisa Hospital
,
unreported judgment of the High Court of South Africa, Gauteng Local
Division, Case No 14/26684 (24 March 2017) (High Court
judgment).
[8]
A cardiotocograph monitors the foetal heartbeat and the contractions
of the uterus.
[9]
Tembisa
Hospital v MN obo VK
,
unreported judgment of the High Court of South Africa, Gauteng Local
Division, Johannesburg, Case No A5010/2018 (20 September
2019)
(Full
Court judgment).
[10]
Id at para 18. The reference is to
AN
v MEC for Health, Eastern Cape
[2019] ZASCA 102
;
[2019] 4 All SA 1
(SCA) (
AN
).
[11]
Full Court judgment above n 9 at paras 18-20, referring to
Lee
v Minister for Correctional Services
[2012] ZACC 30; 2013 (2) SA 144 (CC); 2013 (2) BCLR 129 (CC).
[12]
Full Court judgment above n 9 at paras 21-2.
[13]
Id at para 22.
[14]
Id at para 25.
[15]
M v MEC
for Health, Eastern Cape
[2018] ZASCA 141
(
M
v MEC
).
[16]
The times alluded to are on the premise that half-hourly monitoring
had to occur between 03h15 and 04h45, which was not done.
[17]
De
Klerk v Minister of Police
[2019] ZACC 32
;
2021 (4) SA 585
(CC);
2019 (12) BCLR 1425
(CC) (
De
Klerk
).
[18]
Mashongwa
v Passenger Rail Agency of South Africa
[2015]
ZACC 36
;
2016 (3) SA 528
(CC);
2016 (2) BCLR 204
(CC) (
Mashongwa
).
[19]
Section 167(3)(b) of the Constitution.
[20]
General
Council of the Bar of South Africa v Jiba
[2019] ZACC 23
; 2019 JDR 1194 (CC);
2019 (8) BCLR 919
(CC) at para
35 (
Jiba
).
[21]
Rail
Commuters Action Group v Transnet Limited t/a Metrorail
[2004]
ZACC 20
;
2005
(2) SA 359
(CC)
[2004] ZACC 20
; ;
2005
(4) BCLR 301
(CC) (
Metrorail
)
at para 52.
[22]
Id at para 52.
[23]
Id at para 54.
[24]
Id
at
para 60.
[25]
Id at para 52.
[26]
Mashongwa
above n 18 at paras 13-4.
[27]
Minister
of Safety and Security v
Van
Duivenboden
[2002]
ZASCA 79
;
[
2002]
3 All SA 741
(SCA) (
Van Duivenboden
).
[28]
Van
Eeden v Minister of Safety and Security
[2002]
ZASCA 132
;
2003
(1) SA 389
(SCA).
[29]
Section 27(1)(a) of the Constitution.
[30]
Mashongwa
above
n 18 at para 13.
[31]
Id
at paras 12-3.
[32]
Id
at para 13.
[33]
Alexkor
Ltd v Richtersveld Community
[2003] ZACC 18; 2004 (5) SA 460 (CC); 2003 (12) BCLR 1301 (CC).
[34]
Id at para 32.
[35]
Jiba
above n 20 at para 50.
[36]
Pillay “Tracking South Africa’s Progress on Health Care
Rights: Are We Any Closer to Achieving the Goal?” (2009)
Law,
Democracy and Development
55.
[37]
For example, the various
Treatment
Action Campaign
cases that came before this Court.
[38]
In Ngwenya “The Recognition of Access to Health Care as a
Human Right in South Africa: Is It Enough?” (2000) 5
Health
and Human Rights
26,
it was said that this is in line with the quasi legal
interpretation by the United Nations Committee on Economic, Social
and Cultural Rights (CESCR) of obligations imposed by the
International Covenant on Economic, Social and Cultural Rights.
[39]
I readily acknowledge that a flourishing fraudulent industry has
developed among certain law firms and their touts in these cases,
at
great cost to taxpayers. But the genuine, meritorious cases
deserve their day in court.
[40]
Booysen
v Minister of Safety and Security
[2018] ZACC 18
;
2018 (6) SA 1
(CC);
2018 (9) BCLR 1029
(CC)
(
Booysen
).
[41]
High Court judgment above n 7 at para 4.
[42]
Id at para 5.
[43]
Full Court judgment above n 9 at para 2.
[44]
Siman &
Co (Pty) Ltd v Barclays National Bank Ltd
1984
(2) SA 888
(A) at 951B–H.
[45]
Lee
above
n 11 at para 48.
[46]
International
Shipping Co (Pty) Ltd v Bentley
1990
(1) SA 680
(A) at 700E-701F.
[47]
Lee
above n 11 at para 47. This Court cited
Van
Duivenboden
above n 27 at para 25, where the Supreme Court of Appeal held:
“
A
plaintiff is not required to establish the causal link with
certainty, but only to establish that the wrongful conduct was
probably a cause of the loss, which calls for a sensible
retrospective analysis of what would probably have occurred, based
upon the evidence and what can be expected to occur in the ordinary
course of human affairs rather than metaphysics.”
[48]
Lee
above n 11 at para 50.
[49]
Id
at para 60.
[50]
Mashongwa
above
n 18 at para 65.
[51]
Id.
[52]
De
Klerk
above n 17 at paras 29-30.
[53]
Lee
above
n 11
at
paras 58-60.
[54]
Wright
et al “Air Quality and Human Health Among a Low Income
Community in the Highveld Priority Area” (2011) 20
Clean
Air Journal
12
at 14-6.
[55]
Matsuda
“On Causation”
(2010) 100
Columbia
Law Review
2195.
[56]
It
is true that the dicta in
Mashongwa
and
De
Klerk
in support of the
Lee
test are obiter, but this Court has pointed out the persuasive value
of obiter dicta (things said in passing). In
Turnbull-Jackson
v Hibiscus Coast Municipality
[2014]
ZACC 24;
2014 (6) SA 592
(CC);
2014
(11) BCLR 1310
(CC) (
Turnbull-Jackson
)
,
this Court
stated at para 56:
“
The
doctrine of precedent decrees that only the
ratio
decidendi
of a judgment, and not
obiter dicta, have binding effect. The fact that obiter dicta
are not binding does not make it open
to courts to free themselves
from the shackles of what they consider to be unwelcome authority by
artificially characterising
as obiter what is otherwise binding
precedent. Only that which is truly obiter may not be
followed. But, depending
on the source, even obiter dicta may
be of potent persuasive force and only departed from after due and
careful consideration.”
In
this regard, see also Du Plessis “Interpretation” in
Woolman and Bishop
Constitutional Law
of South Africa
Service 5 (2013)
at
32-95.
[57]
Lee
above
n 11
at
para 60, where this Court held:
“
Although
I accept that a reasonably adequate system may not have ‘altogether
eliminated the risk of contagion’, I
do not think that the
practical impossibility of total elimination is a reason for finding
that there was no duty at least to
reduce the risk of contagion. It
seems to me that if a non negligent system reduced the risk of
general contagion,
it follows – or at least there is nothing
inevitable in logic or common sense to prevent the further inference
being made
– that specific individual contagion within a
non-negligent system would be less likely than in a negligent
system.
It would be enough, I think, to satisfy probable
factual causation where the evidence establishes that the plaintiff
found himself
in the kind of situation where the risk of contagion
would have been reduced by proper systemic measures.
”
(Emphasis added.)
[58]
See
AN
above n 10 at para 17.
[59]
Id. The “cord” refers to the umbilical cord which
supplies oxygenated blood from the mother to the foetus’
brain.
[60]
Id at para 16.
[61]
AN
above n 10 at para 23.
[62]
Id at para 25.
[63]
M v MEC
above n 15 at para 64.
[64]
Lee
above n 11 at para 41.
[65]
Full Court judgment above n 9 at para 22.
[66]
Ex
Parte Minister of Safety and Security: In re S v Walters
[2002]
ZACC 6
;
2002
(4) SA 613
(CC);
[2002] ZACC 6
;
2002
(7) BCLR 663
(CC) (
Walters
).
[67]
Id at para 57, quoting Hahlo and Khan
The
South African Legal System and its Background
(Juta and Co Ltd, Cape Town 1968) at 214. See also
Camps
Bay Ratepayers’ and Residents’ Association v Harrison
[2010]
ZACC 19
;
2011
(4) SA 42
(CC);
2011
(2) BCLR 121
(CC) at para 28 and
Turnbull Jackson
above
n 56 at paras 54-6.
[68]
Walters
above
n 69
at
para 61.
[69]
Id at para 58, where this Court referred to
Shabalala
v Attorney-General, Transvaal; Gumede v Attorney General,
Transvaal
1995
(1) SA 608 (T).
[70]
Shabalala
i
d
at 618E-G. A similar statement was made in the context of the
final Constitution, in
Bookworks
(Pty) Ltd v Johannesburg Transitional Metropolitan Council
1999 (4) SA 799
(W) at 811B-D.
[71]
To
stand by things decided.
[72]
The
reason for the decision.
[73]
Reference in passing.
[74]
Turnbull-Jackson
n 56
at para 56.
[75]
Hoffmann and Zeffert
The
South African Law of Evidence
4
ed (Butterworths, Cape Town 1998) at 102-3 and Schwikkard and Skeen
et al
Principles
of Evidence
(Juta,
Cape Town 1997) at 87-91
.
[76]
S v Van
der Walt
[2020] ZACC 19
;
2020 (2) SACR 371
(CC);
2020 (11) BCLR 1337
(CC)
(
Van
der Walt
)
at para 33.
[77]
Bradycardia is an abnormally slow heart rate.
[78]
An abruption occurs when the placenta detaches from the uterus.
[79]
Van
Duivenboden
above n 27 at para 25.
[80]
Life
Healthcare Group (Pty) Ltd v Suliman
[2018] ZASCA 118
;
2019 (2) SA 185
(SCA) at para 15.
[81]
Mbatha
v University of Zululand
[2013] ZACC 43
; (2014) 35 ILJ 349 (CC);
2014 (2) BCLR 123
(CC) at
para 223 per Madlanga J. Cameron J, who wrote the
majority judgment, expressed agreement with Madlanga J’s
separate judgment: see at para 200.
[82]
See the first judgment at [46].
[83]
S v
Boesak
[2000] ZACC 25
;
2001 (1) SA 912
(CC);
2001 (1) BCLR 36
(CC)
(
Boesak
).
[84]
Id at para 15(a). See also
S
v
Ramabele
[2020] ZACC 22
;
2020 (2) SACR 604
(CC);
2020 (11) BCLR 1312
(CC) at
para 33.
[85]
Mashongwa
above
n 18.
[86]
Id at para 13.
[87]
Id at paras 23-9.
[88]
Metrorail
above n 21.
[89]
Id at para 60.
[90]
Booysen
above
n 40.
[91]
Id at paras 57-8.
[92]
66 of 1995.
[93]
Mbatha
above n 87 at paras 197-8.
[94]
Id at paras 216-7.
[95]
Cloete
v S
[2019] ZACC 6
;
2019 (4) SA 268
(CC);
2019 (5) BCLR 544
(CC) at
para 36;
S
v MT
[2018]
ZACC 27;
2018 (2) SACR 592
(CC);
2018 (11) BCLR 1397
(CC) at
para 31;
S
v
Molaudzi
[2014] ZACC 15;
2015 (2) SACR 341
(CC);
2014 (7) BCLR 785
(CC)
at para 9;
S
v Marais
[2010]
ZACC 16
;
2011 (1) SA 502
(CC);
2010 (12) BCLR 1223
(CC) at paras
10-5; and
Phoebus
Apollo Aviation CC v Minister of Safety and Security
[2002] ZACC 26
;
2003 (2) SA 34
(CC);
2003 (1) BCLR 14
(CC) at paras
9-10.
[96]
M v MEC
above n 15. The passage in question is at para 64 of
M
v MEC
,
which is quoted in the Full Court judgment above n 9 at para
22.
[97]
See, for example,
Tjiroze
v Appeal Board of the Financial Services Board
[2020] ZACC 18
;
2021 (1) BCLR 59
(CC), where this Court said the
following at para 16:
“
In
order to reach the question whether the applicant’s fair
hearing right has been infringed, the underlying factual question
whether Senyatsi AJ was conflicted must first be resolved. In
truth, therefore, this is a factual dispute dressed in
constitutional garb. That does not engage our constitutional
jurisdiction. That should be the end of the matter.”
[98]
Full Court judgment above n 9 at para 21.
[99]
Id at para 22.
[100]
Mbatha
above n 87.
[101]
Booysen
above
n 40.
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