SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-4152-99T1
RONALD J. BRAMBLEY,
Plaintiff-Appellant,
v.
LYNN B. McGRATH, M.D.,
Defendant-Respondent,
and
PANAMBUR MANOHAR KINI, M.D.,
THEODORE JOHN SOUTHGATE, M.D.,
JOHN C. INCARVITO, M.D.,
F/N/U ERFE, M.D., JOSEPH
COSTIC, M.D., STEPHANIE
FLICKER, M.D., RIDO CHA, M.D.,
SING SAN YANG, M.D., ROBERTO
CARVAJAL, M.D., F/N/U ROYALTY,
M.D., DEBORAH HEART & LUNG
CENTER, and ST. JUDE MEDICAL, INC.,
Defendants.
_______________________________________________________
Submitted October 30, 2001 - Decided January 22, 2002
Before Judges Pressler, Wefing and Lesemann.
On appeal from Superior Court of New Jersey,
Law Division, Ocean County, BUR-L-2677-99T1.
Beasley Casey & Erbstein, attorneys for
appellant (Michael A. Smerconish, of counsel;
James J. McHugh, on the brief).
Parker, McCay & Criscuolo, attorneys for
respondent (Thomas M. Barron, on the brief).
The opinion of the court was delivered by
LESEMANN, J.A.D.
In this medical malpractice case, the jury found no cause of
action against the cardiothoracic surgeon who implanted an
artificial mitral valve in plaintiff's heart. Plaintiff claims he
was prejudiced by the trial court's refusal to let his expert
witness refer to a pamphlet provided by the manufacturer of the
valve, outlining the proper method for its installation. That
ruling, plaintiff argues, which followed questioning by defense
counsel designed to indicate that there was no professional
literature which supported the expert's position, left the jury
with the impression that plaintiff's expert was a "lone wolf" with
respect to his position and that there was no professional support
for his thesis. Plaintiff contends his expert should have been
permitted to refer to the pamphlet under the Learned Treatise
provision of the Rules of Evidence, N.J.R.E. 803(c)(18),
particularly after defendant had raised the issue. We agree, and
accordingly we reverse and remand the matter for a new trial.
In October 1991, plaintiff underwent surgery for implantation
of a prosthetic mitral valve, which regulates the flow of blood in
the heart between the left atrium and the left ventricle. The
surgery was performed by defendant, Dr. Lynn McGrath, and the
replacement valve was manufactured by St. Jude Medical, Inc.
During the years following the surgery, plaintiff continued to
have cardiac problems related to the mitral valve. In August 1996,
he underwent corrective surgery and in January 1999, he had still
more surgery. According to plaintiff, he nevertheless remains
disabled. His contention is that all the problems following the
initial surgery stemmed from defendant's faulty surgical technique,
which improperly anchored the valve into his heart.
Plaintiff's expert trial witness was Dr. James Finnegan. He
testified that proper implantation technique is to sew the
replacement mitral valve to the annulus, a fibrous portion of the
heart which lies at the base of the mitral valve and is the seating
mechanism which holds the valve in place. Defendant, however, did
not attach the mitral valve to the annulus, but rather stitched it
to adjoining parts of the heart known as leaflets. According to
Dr. Finnegan, the annulus "is a little thicker, a little fibrous,"
whereas the leaflets
are quite thin and very floppy and pliable, if
you will, normally. They're meant to do
almost like sort of a parachute effect, so
they have to be soft and moveable, okay? The
annulus is part of what anatomists would call
the fibrous skeleton of the heart. In other
words, it's the base anchor tissue in _ _
built inside the heart to hold everything in
place. So, the annulus generally has some
firmness and structure to it, whereas the
leaflets tend to be soft and mobile.
As Dr. Finnegan described attaching the mitral valve to the
annulus, the stitches are "put in place all around that ring, all
around that annulus," and when the surgeon is finished, "you now
have this valve sitting, sewn snugly into that annulus."
Dr. Finnegan was next asked if there were "circumstances where
sewing the valve not to the annulus but solely to the leaflets is
appropriate." He responded that such a procedure would be
appropriate in only "very rare circumstances" where the annulus was
"filled with calcium." In plaintiff's case, however, that did not
exist and thus there was no reason not to attach the valve to the
annulus.
After that testimony, Dr. Finnegan was asked whether he had an
opinion "within a reasonable degree of medical certainty, as to
what the standard of care required with regard to implantation of
mitral heart valve in October 1991"? He answered that he did have
such an opinion, and when he was then asked what that opinion was,
he began to respond by saying, "I think, if you _ _ my opinion is
that the valve should be sewed to the annulus. And, the reason I
say that is, if you look at any textbook _ _ ."
At that point, defense counsel objected. He said that during
pre-trial depositions Dr. Finnegan had been asked whether his
opinion depended on any particular textbook or treatise in the
field. His response had been equivocal, and he had said, "I
certainly could do that if asked," but he continued by saying that
his conclusion was "general knowledge" in the field. When he had
then been asked essentially the same question a second time, he had
responded that, "I don't recall . . . that I have specifically
referred to specific literature in my report."
In view of that pre-trial testimony, defense counsel's
objection at trial when Dr. Finnegan began to say, "If you look at
any textbook . . .," was understandable. He argued that Dr.
Finnegan should not be permitted to volunteer the name of a
textbook or treatise that supported his opinion, when during
deposition he had not provided the title of any such work. After
some colloquy between court and counsel, the court sustained the
objection.
Had the matter ended there, plaintiff would have had no basis
to complain. However, the matter did not end there. Instead,
defense counsel set out to demonstrate that Dr. Finnegan's opinion
was not supported by any authority except his own subjective notion
of the best way to proceed. He asked the witness about standards
that may have been promulgated by two thoracic surgical societies.
Dr. Finnegan responded that those standards supported his position,
but he acknowledged that he did not have copies of the standards
with him. Defense counsel then asked the following:
There is no place, is there, Doctor, that Dr.
McGrath (the defendant) can go or the jury can
go and say, ah-ha, here's the American College
of Cardio Thoracic Surgeons and here's the
standard they put forth, and you've got to sew
to the annulus? There is no place that that
exists; isn't that true?
To that, Dr. Finnegan replied, "Oh, yes, it does. And I have a
document which I provided." Dr. Finnegan then said he was
referring to the Technical Guide for Prosthetic Mitral Heart Valves
published by St. Jude's, the manufacturer of the device used by the
defendant, which specified that the valve should be sewn to the
annulus rather than the leaflets. Defense counsel objected to any
reference to the St. Jude's publication. When the court indicated
an inclination to sustain the objection, plaintiff's counsel argued
that the question from his adversary had suggested there were no
published standards respecting installation of the mitral valve.
He then said this:
The implication has been made now that
he's [Dr. Finnegan's] a lone wolf out there,
that there's nowhere that one can go and see
in print what he is advocating. And the facts
are that St. Jude's themselves offers a guide
that physicians and the (inaudible) itself
says, you can suture to the annulus. There's
actually a section of the guide that shows the
suturing placement of the mitral valve in the
annulus. So in response to Mr. Veenstra's
[defense counsel's] questions about where is
his opinion backed up with literature, this is
the answer.
Plaintiff's counsel then noted that he had provided the St. Jude's
Guide to his adversary some time ago. He continued:
It's probably the most relevant information
this jury could receive. And, given that he's
[defense counsel's] opened up the door to the
whole subject of "what does the literature
say," I think this jury would be prejudiced if
they didn't know that St. Jude's themselves
have published a guide for how you do the
surgery.
The court, however, did not accept the argument. It responded:
I disagree. Counsel [that is, defense
counsel] did not open the door to what
literature is out there or what literature
exists. The only piece of literature that was
referenced on direct examination _ _ the only
documentation put forth was the American
College of Cardio Thoracic Surgeons. He has a
right to ask whether he has that report
but . . . .
And, the court continued, "The only thing he's [defense counsel's]
asked about is the American College of Cardio Thoracic Surgeons,
which he mentioned on his direct."
The argument continued in that vein, with no change in the
court's ruling. Plaintiff's counsel pointed out that the St.
Jude's document had been available to defense counsel just as it
had been available to plaintiff's counsel. He added that the
document "speaks directly to the issue before this jury of the
standard of care. I am holding in my hands a guide put out by the
manufacturer of the device on which the manufacturer says, this is
how you go about anchoring it, namely to the annulus." Defense
counsel responded that he was "very careful with saying that
American Society of Cardio Thoracic Surgeons" in his question, and
he insisted that plaintiff's answer be limited to printed material
from that source and no other. Plaintiff's counsel responded that,
in that event, and to avoid the distorted picture he had referred
to earlier _ he wanted to have Dr. Finnegan discuss the St. Jude's
instruction manual on re-direct examination. The court rejected
that request, and Dr. Finnegan's cross-examination ended with the
following question and answer:
The question was, do you have any
standards from your American College of Cardio
Thoracic Surgeons which would suggest to the
jury that the basis of your opinion is based
on that, that says you have to sew it to the
annulus and not to the leaflet? Do you have
it with you?
A. I do not.
The prior rulings, of course, precluded Dr. Finnegan from
supplementing that answer to provide a more realistic picture, by
referring to the St. Jude's brochure.
We agree with plaintiff that the court's ruling may well have
left the jury with the incorrect impression that there were no
objective standards pertaining to installation of a prosthetic
mitral valve, and that Dr. Finnegan's opinion rested on nothing but
his own subjective impression. While defense counsel, for obvious
tactical reasons, phrased his question very narrowly and
specifically _ limiting it to the thoracic societies and excluding
the manufacturer of the valve _ there was no reason why Dr.
Finnegan should not have been able to expand his answer, at least
on re-direct examination, to provide a more accurate, fully rounded
picture, than was presented by the limited question and limited
answer pertaining to the thoracic societies. The court provided no
such reason, nor do we see any reasonable basis for the ruling.
N.J.R.E. 803(c)(18) deals with the admissibility of statements
contained in "Learned Treatises." While the rule is captioned,
"Learned Treatises," it actually covers publications beyond what
one might normally think of as a "treatise." It refers to
"statements contained in published treatises, periodicals or
pamphlets on a subject of . . . medicine . . . established as a
reliable authority by testimony or by judicial notice." Certainly
the pamphlet here, composed and provided by the manufacturer of St.
Jude's prosthetic mitral valve, instructing as to the means of
installation and the anchoring of that valve, falls squarely within
the rule provision. Its status as a "reliable authority" seems so
self-evident as to be properly the subject of judicial notice, or,
alternatively, there is no doubt that Dr. Finnegan would have
testified to that effect. See Morlino v. Med. Ctr. of Ocean Cty.,
152 N.J. 563, 578-82 (1998), holding that package inserts provided
by pharmaceutical manufacturers and references in the Physician's
Desk Reference were admissible in medical malpractice cases, in
conjunction with expert testimony explaining the significance of
the material.See footnote 11
Defendant's argument against use of the St. Jude's manual
rests on three claims, none of which we find persuasive. First,
defendant notes that during his pre-trial deposition, Dr. Finnegan
did not say he had "relied on" the St. Jude's material in reaching
his expert opinion. That is true. However, it is also true that
Dr. Finnegan indicated there were written standards which supported
his position, and he offered to provide them if requested. And
again, we note the limited proposed use of the printed material at
trial. Neither plaintiff's counsel nor Dr. Finnegan referred to
the printed material during Dr. Finnegan's direct testimony.
Neither claimed that the doctor relied on that material in
formulating his opinion. Rather, the subject arose, and reference
to the material became critical, only after defense counsel had
argued that there were no such standards which provided any support
for Dr. Finnegan's opinion.
Second, defendant argues that the court properly barred
plaintiff's attempt to discuss the St. Jude's material on re-direct
examination because it had not been mentioned on direct
examination. That argument, however, is circular: it ignores the
fact that a basic purpose of re-direct examination is to respond to
new material elicited during cross-examination of a witness. See
State v. Marshall,
148 N.J. 89, 168-69 (1997). That is precisely
what plaintiff was attempting to do here and, even assuming the
propriety of precluding Dr. Finnegan from mentioning the St. Jude's
material during his cross-examination, we can see no conceivable
reason why he should not have been permitted to do so on re-direct
examination in order to correct an otherwise inaccurate impression
which may have been given to the jury.
Defendant's third argument against use of the St. Jude's
printed material cites the language of N.J.R.E. 803(c)(18), which
refers to using such material "[t]o the extent called to the
attention of an expert witness upon cross-examination or relied
upon by the expert in direct examination." Defendant argues that
neither basis for admission existed here: that the material was
not "called to the attention of [Dr. Finnegan] upon cross-
examination"; nor was it "relied upon by [him] in direct
examination." We are satisfied, however, that a realistic and
common sense reading of the rule does not require the artificially
narrow construction which defendant would give to it.
We have already noted that, notwithstanding defense counsel's
carefully chosen language during cross-examination, the intent and
effect of that language was to bring "to the attention of [the]
expert witness" the subject of printed material, and convey the
impression that there was no such material that supported Dr.
Finnegan's position. Unfortunately, when the court insisted that
Dr. Finnegan answer defense counsel's question in the same
restrictive language that counsel used in framing the question, the
effect was to create a seemingly accurate answer, which in fact
provided a very inaccurate picture. For the reasons already
discussed, a fair, realistic and truly accurate response to the
question would have permitted Dr. Finnegan to include in his answer
a reference to the St. Jude's pamphlet.
Finally, we note defendant's claim that the St. Jude's
material was submitted to him too late to comply with discovery
obligations, and therefore it should not have been admitted at
trial. That argument, however, has no merit.
As far back as November 1997 _ over two years before trial _
plaintiff had provided defense counsel with the twenty-three page
booklet entitled, "Physician's Manual, St. Jude Medical Mechanical
Heart Valve," which contained the material described above relating
to St. Jude's "mechanical heart valve [which] is intended for use
as a replacement valve in patients with a diseased, damaged or
malfunctioning aortic or mitral heart valve." However, as the
trial date approached, plaintiff's counsel realized that the manual
he had provided bore a 1995 copyright date, which post-dated the
1991 surgery. He then set out to locate the counterpart of the
1995 brochure which had been in effect at the time of the 1991
surgery. As a result, he located and transmitted to his adversary
the earlier version of that manual _ a forty-three page manual
entitled, "Physician's Manual, St. Jude Medical Mechanical Heart
Valve," as well as additional related material. That material bore
a 1988 copyright date and was in effect at the time of plaintiff's
surgery in 1991. It was delivered approximately two weeks before
trial. In substance, it was virtually indistinguishable from the
1995 version which had been provided to defense counsel two years
earlier. Thus, the alleged late delivery was more apparent than
real. It was non-prejudicial and there is no suggestion or
argument that the updating of the material caused any prejudice of
any kind to defendant.
For all these reasons, we are satisfied that substantial
justice required that plaintiff be permitted to present testimony
concerning the St. Jude's written material, to offset and avoid
what would otherwise be an inaccurate and prejudicial
misapprehension with which the jury might be left: that there was
no respectable published material, from an objective, impartial
source, which supported Dr. Finnegan's opinion. The exclusion of
that material rested on what we conceive to be an unrealistically
narrow reading of N.J.R.E. 803(c)(18), and also an unrealistically
narrow interpretation of the critical question which defense
counsel put to Dr. Finnegan as part of his suggestion that there
was "no place that . . . [the defendant doctor] or the jury can go"
to find the standard to which Dr. Finnegan referred. In fact,
there was such a place and there was such material, and it should
have been presented to the jury. Its exclusion affected a critical
part of this case, and there is no basis on which we could conclude
that the error was harmless.
Accordingly we reverse and remand for a new trial.
Footnote: 1 1 N.J.R.E. 803(c)(18) provides that printed statements meeting the criteria of the rule are not to be "received as exhibits" but may be "read into evidence." Here, that would certainly have satisfied plaintiff's purpose, of rebutting defendant's claim that there were no written professional standards concerning implantation of the artificial mitral valve.