(In this YAWS version a few editorial alterations have been made to the description of the CPR and Practice Directions, eg references to Part 3.8 have been changed to Rule 3.8, to ensure consistency with the remainder of the site.)
| This Report is referred to in: Reid Minty v Taylor [21], [21]. |
IN THE COURT OF APPEAL (CIVIL DIVISION)
ON APPEAL FROM THE LUTON COUNTY COURT
(HIS HONOUR JUDGE HAMILTON)
Royal Courts of Justice Strand London WC2
Tuesday 27 July 1999
Before:
LORD JUSTICE BROOKE
LORD JUSTICE ROBERT WALKER
DAVID JOHN BARON
Claimant/Respondent
- v -
BRIAN LOVELL
Defendant/Appellant
(Computer Aided Transcript of the Palantype Notes of
Smith Bernal Reporting Limited, 180 Fleet Street,
London EC4 A 2HD
Tel: 0171 421 4040
Official Shorthand Writers to the Court)
MR C JAMES (Instructed by Messrs Badhams Thompson, Chelmsford, CM1 IT2) appeared on behalf of the Appellant
MR C APTHORP (Instructed by Messrs Ottaways, Herts, AL1 3DJ) appeared on behalf of the Respondent
JUDGMENT
(As approved by the Court)
©Crown Copyright Tuesday 27 July 1999
JUDGMENT
| 1. | LORD WOOLF, MR: I will ask Lord Justice Brooke to give the first judgment in this case. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 2. | LORD JUSTICE BROOKE: This is an appeal by the defendant, Brian Lovell, against an order made by Judge Hamilton at the Luton County Court on 16 June 1999, which had the effect of providing that the defendant was not permitted to call his medical expert, Mr Martin Wetherill FRCS, at the trial of the action which was fixed for 31 August 1999 with a time estimate of one day. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 3. | Mr Wetherill had been instructed on 22 August 1998 by the defendant's solicitors to examine Mr Baron, the claimant, in connection with these proceedings. He examined him on 6 January 1999 and wrote his short report on 27 February 1999. He sent it to the defendant's solicitors on 18 February and they received it on 24 February. They did not then disclose it to the claimant's solicitors who saw it for the first time on 16 June 1999, the day the judge made his order under appeal. His judgment was not recorded (as it should have been: see CPR Part 39 Practice Direction, paragraph 6.1), but an approved note of his judgment reads: | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 4. | "There is a large measure of agreement between Mr Marchon [the claimant's medical expert] and Mr Wetherill, both saying that the Claimant was likely to have symptoms for 5 years. Mr Wetherill's statement that the Claimant's employment would not be prejudiced was nonsense. If the Claimant had symptoms for 2-3 years and lost his job in that time he would be at a disadvantage on the open labour market if he still had sequelae. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 5. | A delay would ensue if the evidence of Mr Wetherill was allowed in, there being a meeting of experts, the need for a joint statement and inevitably a delay before the two experts were available. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 6. | In the spirit of Woolf this was a case in which there should not be further delay." | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 7. | The claimant was a groundsman. He was born in September 1954. On 13 September 1995 the tractor he was driving was hit from behind by the defendant's car. The tractor went off the road, out of control, and turned over. The defendant was subsequently convicted of driving without due care and attention. The only real issue between the parties related to the appropriate amount of compensation. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 8. | The summons in these proceedings was issued on 3 August 1998. The particulars of claim referred, for particulars of injuries, to two reports of Mr A V Marchon FRCSI, FRCS which were annexed to the particulars of claim. These were dated 27 May 1996 and 12 September 1997. In a schedule of special damage served with that pleading there was a claim for net weekly overtime loss for seven weeks between 13 September and 5 November 1995, and a similar claim for six weeks from 8 July to 2 August 1996 and from 7 October to 21 October 1996. This claim was said to be continuing. There was also an averment that Mr Baron was handicapped on the labour market. | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 9. | A one-sentence defence was delivered on 26 August 1998. It reads: | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| 10. |
11. | Automatic directions applied in this action. Mr
James has sought to argue on the authority of | 12. | The defendant's solicitors did not mention the 10
week deadline to Mr Wetherill when they instructed him on 26 August
1998, the day they delivered their defence. The relevant part of their
letter of instructions reads:
| 13. |
|
14. |
|
15. | Mr Wetherill was invited to arrange an appointment
to see Mr Baron for the purposes of preparing a report on the injuries
sustained in the accident, the current symptoms and the prognosis for
the future. On the same day the defendant's solicitors sought from Mr
Baron's solicitors a signed authority for the release of his medical
notes and records. These were forthcoming, together with photocopies of
the thirteen pre-accident weekly pay-slips, on 5 October. In the
meantime Mr Wetherill fixed an appointment to see Mr Baron on 6 January
1999, nearly seven weeks after his report should have been served
pursuant to the automatic directions timetable.
| 16. | Mr Baron's solicitors clearly acquiesced in this
delay, but as soon as they knew their client had seen Mr Wetherill,
they started putting pressure on the defendant's solicitors by letters
dated 8 and 21 January 1999, neither of which elicited the courtesy of
a prompt reply. It is clear from those letters that Mr Baron's
solicitors were anxious to press on to an early hearing date if the
claim could not be resolved by agreement.
| 17. | On 16 February 1999 the defendant's solicitors
responded for the first time. They said that they had been advised by
Mr Wetherill that they should be in receipt of his report by the end of
the following week (ie by 26 February), and thereafter they would
arrange to disclose a copy of it if they intended to rely on it. The
defendant's solicitors received Mr Wetherill's report on 24 February.
On 5 March the claimant's solicitors expressed surprise that they had
not yet received a copy and they said they assumed that the defendant's
solicitors did not intend to rely on it. They received a letter by
return which said:
| 18. |
|
19. | The exchange of ordinary witness statements had
been deferred by the parties, and in this letter the defendant's
solicitors said they had no witness evidence to exchange. They were
therefore content that Mr Baron's statement should be served on a
unilateral basis. Mr Baron's solicitors waited until 31 March. They
then served a copy of their client's witness statement on a unilateral
basis, together with a revised schedule of special damages and
supporting documentation. They said that their client would be relying
on Mr Marchon's two reports, which had both been disclosed, and they
were arranging for the case to be set down as soon as possible. Mr
Baron's statement, signed on 6 March 1999, did not suggest that he was
continuing to have any serious difficulties with his bank.
| 20. | On 19 May the Luton County Court Trial Centre
appointed 16 June as the day fixed for pre-listing hearing. The notice
from the court required advocates and their clients to attend the
hearing, and stipulated that advocates attending the hearing must have
authority to make decisions concerning the case. The defendant's
solicitor works in an office at Chelmsford. She did not attend the
hearing herself or instruct counsel to attend. Instead, she appointed a
local solicitor/agent to attend. She was not, therefore, in any
position to tell the judge directly why she had not disclosed Mr
Wetherill's report. Mr Baron's solicitor, for his part, instructed
counsel to attend the pre-trial review on his client's behalf, and Mr
Baron also attended.
| 21. | The defendant's solicitor told this court in a
witness statement that her insurance client gave her authority to
disclose Mr Wetherill's report and that she is at a loss to explain why
she did not disclose it in April, May or the first part of June. She
says she intended to disclose it at the same time as she made a payment
into court on 26 April, and she thought she had served it then. She
certainly obtained from Mr Wetherill a list of "dates to avoid" which
she prepared for the hearing on 16 June. She was sorry about her
oversight.
| 22. | The effective part of the judge's order is in these
terms:
| 23. |
|
24. | Mr Baron's supplemental statement was duly served.
It was dated 23 June 1999. In it Mr Baron explained that in March 1999
his former employers had lost the contract under which he had been
employed as a groundsman and his employment had been transferred to the
company which had won the contract. He had not lost any loss of wages,
but he still had to wear a corset most times when driving a tractor. He
was only allowed 15 days sick pay each year. This meant that if he
suffered recurring discomfort in his lower back which forced him to
take sick leave beyond his permitted 15 days, he would have to take
unofficial unpaid leave. He feared that otherwise he would lose his
job. He also said that, although he was able to drive the tractor, if
the company required him to do a different job, like hedge cutting, he
was concerned that he would not be able to do it without suffering
lower backache as a result of the lifting and stretching that this
would involve. He added that he experienced severe backache at home if
he tried to mow the lawn, cut the hedge or even drive the family car.
His wife tended to drive the car. She also did the decorating which
avoided him having to lift and stretch.
| 25. | I now turn from Mr Baron's description of his
continuing problems to the reports of the consultant orthopaedic
surgeons that were before the judge. In his first report, dated 27 May
1996, Mr Marchon recorded that Mr Baron was assessed by his GP on the
day after his accident. He was treated for soft tissue injuries to his
neck, soft tissue injuries to his sacral back area, and bruising to the
left side of his lower ribs. He was followed up by his GP on regular
assessments until November 1995. Mr Marchon saw him for the purposes of
his report on 23 May 1996. He expressed the opinion that the soft
tissue injury to the neck was as a result of a rear collision. An
acceleration type of kinetic energy had resulted in his neck being
hyperextended and hyperflexed. Mr Marchon said that the symptoms of
such an injury often get worse within 24 to 48 hours and the acute
symptoms can persist for a period of four to six weeks. In those
circumstances he felt that Mr Baron's complaint of quite severe pain in
his neck for two to three weeks was genuine. His neck problems have now
long since subsided and no issue arises on this aspect of his injuries.
Nor is there any continuing difficulty over the soft tissue bruising
and contusion over the left side of Mr Baron's chest wall and ribs,
from which he had made a full recovery by the time he saw Mr Marchon in
May 1996.
| 26. | So far as his back troubles are concerned, Mr
Marchon described in his first report how the sprain to Mr Baron's back
could have resulted from the rear impact and from twisting his back
when the tractor flipped over. He had had quite severe symptoms for a
period of six to eight weeks, following which he progressively
improved, but he was still plagued in May 1996 with intermittent
backache, although this had improved. Mr Marchon could not find any
major physical signs in his lumbar spine and no evidence of a prolapsed
intervertebral disc. He recommended that Mr Baron should have a course
of physiotherapy and expressed the opinion that this backache would
settle over a period of two years.
| 27. | Mr Marchon saw Mr Baron again sixteen months later,
on 12 September 1997, for the purposes of his second report. It was now
two years after the accident. The only continuing problem related to
his back pain.
| 28. | He had remained under the care of his GP. In July
1996 he reported severe back pain and was given a course of
physiotherapy. His back pain improved as a result, but when he returned
to work he had a recurrence of the pain and underwent a further course
of physiotherapy. Because his symptoms were recurring, he was referred
to a consultant orthopaedic surgeon in October 1996 for assessment.
| 29. | He eventually saw the consultant in April 1997 who
prescribed treatment for ligamentous strain with a corset and
physiotherapy. When Mr Baron saw Mr Marchon in September 1997 he told
him that his symptoms had improved slightly over the last month or so,
although he had to wear the corset and still had to take analgesia to
alleviate his symptoms.
| 30. | Mr Marchon said he would have envisaged that Mr
Baron would have made a substantial improvement over the two years
since the accident, but this had not been the case. He considered that
the type of work Mr Baron was doing as a groundsman was aggravating his
symptoms.
| 31. | Mr Marchon expressed the view that Mr Baron would
continue to have pain and discomfort in his back for a period of at
least five years, with episodes of exacerbation. He said that if his
symptoms did not settle within a period of five years, he was afraid
that Mr Baron would continue to be plagued with backache for the rest
of his life.
| 32. | Mr Baron saw Mr Wetherill, the defendant's
consultant, sixteen months later, on 6 January 1999, nearly three years
and four months after the accident. He had been discharged from
follow-up at the hospital in October 1997, a month after he saw Mr
Marchon. At that time it was noted that he was functioning quite
satisfactorily as far as his back was concerned, and was wearing a
corset as necessary. He had no further follow up or treatment. He told
Mr Wetherill his back had improved considerably, but that he continued
with occasional discomfort.
| 33. | Mr Wetherill said that his back had improved
significantly but that he continued with some residual symptoms. Mr
Wetherill adopted exactly the same approach as Mr Marchon. He said that
in the absence of any major anatomical problem it would be expected
that this type of injury would settle within two to three years. He
accepted that Mr Baron continued with some discomfort in his back, but
he was hopeful that this would continue to settle, perhaps taking a
maximum of two years more. Mr Baron had returned to his work and,
although he had some discomfort doing activities required of him, he
was able to do his job. Mr Wetherill therefore would not expect his
future employability to be prejudiced as a result of this accident.
| 34. | In the circumstances Mr Wetherill said that overall
Mr Baron appeared to have made a good recovery from his injuries. The
expectation was that he would have no long term sequelae. He thought Mr
Baron's residual back symptoms had a very reasonable chance of settling
within the next two years or so.
| 35. | Anyone who has any experience of the history of
back problems of this type, whether as orthopaedic surgeon, personal
injuries lawyer or judge, would be very familiar with the story told by
these two consultants. If there are no obvious physical injuries or
disc damage, the hope is that back problems like these will clear up
reasonably quickly. In some cases symptoms continue for about two
years. In a minority of cases they continue to cause trouble for about
five years. If one is extremely unlucky, they go on causing significant
pain and other difficulties on a lifelong basis.
| 36. | In Mr Marchon's first report, he expressed the hope
that the backache would settle over a period of two years.
Unfortunately events did not take this course. In his second report he
expressed the hope that the pain and discomfort, with periods of
exacerbation, would not last more than five years. He then expressed
the warning that if the symptoms did not settle within five years, Mr
Baron would continue to be plagued with backache for the rest of his
life.
| 37. | Happily, by the time the case reached Judge
Hamilton for the pre-trial review, it was clear that Mr Marchon's hopes
in his second report were being realised. Mr Wetherill expressed the
hope that the discomfort would continue to settle, and placed a date of
February 2001, just over five years after the accident, for the end of
this process. Mr Baron did not mention any continuing serious problems
in his March 1999 witness statement. He was present at the pre-trial
review, and the short supplementary statement the judge allowed him to
lodge gave no indication that he was in the worst category of cases.
The judge then had to decide how best to exercise his case management
powers so as to comply with the overriding objective in CPR Part 1.
| 38. | The judge would have appreciated that this was a
fairly small claim, comparatively speaking. He had to deal with it in a
way which was proportionate to the amount of money involved. The issues
were not complex and the case was not important, except to Mr Baron. He
had to ensure that it was dealt with expeditiously and fairly. He would
have been anxious to allot to it no more than one day as being an
appropriate share of the court's resources for such a case.
| 39. | The judge was handicapped at the pre-trial review
because in these early CPR days the defendant's solicitor had
overlooked CPR 29.3(2) which reads:
| 40. |
|
|
|
41. | She also appears to have overlooked the court's
power under CPR 3.1(2)(c) to require a party or a party's legal
representative to attend the court. The notice fixing the pre-listing
hearing told her:
| 42. |
|
43. | If ever there was a case which ought to have
settled at the pre-trial review, if the experts' reports and updated
witness statements had been served in good time before the review, it
was this one. If it had, there would have been a saving of six sets of
professional fees (orthopaedic surgeon, advocate and solicitor on both
sides) for a full day's hearing at the trial, as compared with what
used to happen under the pre-CPR regime. Mr Baron would have been
relieved of the continuing anxiety of these proceedings. This is the
reason why a court may make it obligatory, as it did in this case, for
the client to attend such a hearing, accompanied by an advocate who has
authority to make decisions concerning the case.
| 44. | If a defendant's lawyers choose not to send a
representative with appropriate authority to attend a pre-trial review
and choose not to ensure that the client (who in this case should be
equated with the defendant's insurer) attends the review, the judge,
who is likely to be the trial judge, is likely to note their absence.
If he considers that that party has acted unreasonably in this way in
connection with the litigation in breach of a direction of the court,
there may come a time when he decides that it is appropriate to make an
order for indemnity costs against that party, or to exercise his power
to award interest on damages at a much higher rate than what is usual,
if those powers are available to him. The whole thrust of the CPR
regime is to require the parties to behave reasonably towards each
other in the conduct of the litigation. The old antagonistic point
scoring, which used to drag personal injuries cases out and run up the
costs, should now be at an end.
|
45. | The defendant's notice of appeal, and an
accompanying witness statement signed by the defendant's solicitor,
reveal a number of misunderstandings and misconceptions about the rules
of procedure which are still fairly widespread.
| 46. |
|
47. |
|
48. | In my judgment, this complaint reveals a
fundamental misconception which has plagued the conduct of this class
of litigation for far too long. Pre-trial disclosure obliges the
parties to disclose to each other the substance of the evidence on
which they intend to rely at the trial. If a claimant's symptoms are
continuing, this must be made clear in the witness statements served on
his side. It is not legitimate to serve out of date statements and then
hope to be allowed to update them in a radical way just before the
trial. The reason for this is that each party is afforded by the rules
the opportunity to make a well informed valuation of the claim, and to
make a well informed Part 36 offer, or payment into court in the case
of a defendant, well before the trial takes place. This regime simply
will not work effectively if the former laxities in serving late
statements (or updated statements with no warning that a significant
change is likely) are allowed to persist.
| 49. | The claimant's solicitors had made it clear that
they were content to rely on Mr Marchon's 1996 and 1997 reports for
their expert evidence and to go to trial on them. Consultant
orthopaedic surgeons are busy people and it is quite wrong for trials
to be delayed, and for the possibility of making an effective Part 36
offer to be rendered nugatory, because of the late service of an
expert's statement, followed by the even later "updated" meeting
between experts that the defendant's solicitor thought would be
appropriate.
| 50. |
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51. |
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52. |
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53. |
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54. |
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55. |
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56. | I have set out the full note of the judge's
judgment. The court can only interfere with his order if he was plainly
wrong or if he misdirected himself as a matter of law. In his careful
submissions to the court, Mr James has suggested that the judge might
have decided in the exercise of his discretion to admit Mr Wetherill's
report to be admitted in writing at the trial. When we asked him
whether this suggestion was made to the judge at the pre-trial judge,
he was unable to give any clear answer.
| 57. | In my judgment the judge was plainly right in the
course he took. He took into account the narrow difference of opinion,
if any, between the experts. In so far as Mr Wetherill expressed a view
on Mr Baron's employability, the judge considered he had all the
evidence he needed to decide that issue justly. He was understandably
concerned about the danger of further delay in this case if he
permitted Mr Wetherill's to give evidence. He considered that there
should not be any further delay, and that the trial could be conducted
justly on the basis of Mr Baron's oral evidence and Mr Marchon's two
written reports. This was an order he was, in my judgment, quite
entitled to make in the circumstances.
| 58. | I would dismiss this appeal.
| 59. | LORD JUSTICE ROBERT WALKER: I agree.
| 60. | LORD WOOLF, MR: I also agree.
| 61. | Order: Appeal dismissed with costs assessed at
£1,500.
| |