ON APPEAL FROM THE NOTTINGHAM COUNTY COURT
HHJ GODSMARK QC
NG14-028A
Strand, London, WC2A 2LL |
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B e f o r e :
LORD JUSTICE FLOYD
and
MR JUSTICE MOYLAN
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MARK BARTON |
Appellant |
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- and - |
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WRIGHT HASSALL LLP |
Respondent |
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Henry Bankes-Jones (instructed by Berrymans Lace Mawer) for the Respondent
Hearing date: 8 March 2016
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Crown Copyright ©
Lord Justice Floyd:
The relevant parts of the CPR
"(1) Where it appears to the court that there is a good reason to authorise service by a method or at a place not otherwise permitted by this Part, the court may make an order permitting service by an alternative method or at an alternative place.
(2) On an application under this rule, the court may order that steps already taken to bring the claim form to the attention of the defendant by an alternative method or at an alternative place is good service."
"Service by fax or other electronic means
4.1 Subject to the provisions of rule 6.23(5) and (6), where a document is to be served by fax or other electronic means –
(1) the party who is to be served or the solicitor acting for that party must previously have indicated in writing to the party serving –
(a) that the party to be served or the solicitor is willing to accept service by fax or other electronic means; and
(b) the fax number, e-mail address or other electronic identification to which it must be sent; and
(2) the following are to be taken as sufficient written indications for the purposes of paragraph 4.1(1) –
(a) a fax number set out on the writing paper of the solicitor acting for the party to be served;
(b) an e-mail address set out on the writing paper of the solicitor acting for the party to be served but only where it is stated that the e-mail address may be used for service; or
(c) a fax number, e-mail address or electronic identification set out on a statement of case or a response to a claim filed with the court.
4.2 Where a party intends to serve a document by electronic means (other than by fax) that party must first ask the party who is to be served whether there are any limitations to the recipient's agreement to accept service by such means (for example, the format in which documents are to be sent and the maximum size of attachments that may be received).
4.3 Where a document is served by electronic means, the party serving the document need not in addition send or deliver a hard copy."
The law
"23. Orders under rule 6.15(1) and, by implication, also rule 6.15(2) can be made only if there is a "good reason" to do so. The question, therefore, is whether there was a good reason to order that the steps taken on 22 October 2009 in Beirut to bring the claim form to the attention of the respondent constituted good service of the claim form upon him. The judge held that there was. In doing so, he was not exercising a discretion but was reaching a value judgment based on the evaluation of a number of different factors. In such a case, the readiness of an appellate court to interfere with the evaluation of the judge will depend upon all the circumstances of the case. The greater the number of factors to be taken into account, the more reluctant an appellate court should be to interfere with the decision of the judge. As I see it, in such circumstances an appellate court should only interfere with that decision if satisfied that the judge erred in principle or was wrong in reaching the conclusion which he did."
"… in a case of this kind the court should simply ask itself whether, in all the circumstances of the particular case, there is a good reason to make the order sought. It should not be necessary for the court to spend undue time analysing decisions of judges in previous cases which have depended upon their own facts."
"36.The mere fact that the defendant learned of the existence and content of the claim form cannot, without more, constitute a good reason to make an order under rule 6.15(2). On the other hand, the wording of the rule shows that it is a critical factor. As the editors of the 2013 edition of the White Book note (vol 1, para 6.15.5), rule 6.15(2) was designed to remedy what were thought to be defects as matters stood before 1 October 2008. The Court of Appeal had held in Elmes v Hygrade Food Products plc [2001] EWCA Civ 121 that the court had no jurisdiction to order retrospectively that an erroneous method of service already adopted should be allowed to stand as service by an alternative method permitted by the court. The editors of the White Book add that the particular significance of rule 6.15(2) is that it may enable a claimant to escape the serious consequences that would normally ensue where there has been mis-service and, not only has the period for service of the claim form fixed by CPR 7.5 run, but also the relevant limitation period has expired."
"37. Service has a number of purposes but the most important is to my mind to ensure that the contents of the document served, here the claim form, is communicated to the defendant. In Olafsson v Gissurarson (No 2) [2008] EWCA Civ 152, [2008] 1 WLR 2016, para 55 I said, in a not dissimilar context, that
"… the whole purpose of service is to inform the defendant of the contents of the claim form and the nature of the claimant's case: see eg Barclays Bank of Swaziland Ltd v Hahn [1989] 1 WLR 506, 509 per Lord Brightman, and the definition of 'service' in the glossary to the CPR, which describes it as 'steps required to bring documents used in court proceedings to a person's attention...'"
I adhere to that view."
"The purpose of service of proceedings, quite obviously, is to bring proceedings to the notice of a defendant. It is not about playing technical games. There is no doubt on the evidence that the defendant is fully aware of the proceedings which are sought to be brought against him, of the nature of the claims made against him and of the seriousness of the allegations."
"The relevant focus is on the reason why the claim form cannot or could not be served within the period of its validity."
"As the judge explained, there were difficulties in serving the claim form, the appellants cannot be blamed for failing to ascertain his address, especially in circumstances in which the respondent instructed his lawyers to refuse to tell the appellants what it was. Moreover, the claim form was delivered to Mr Azoury's office within the period of its validity, with the result that it came to the attention of the respondent. In all these circumstances he held that there was a good reason to grant the declaration. In my opinion there is no legitimate basis on which to interfere with that decision."
"The relevant focus is upon why the Claim Form could not have been served in the ordinary way during the period of its validity for service and, whether the steps already taken to bring the Claim Form to the attention of the respondents constituted good service."
"39. The criticisms that can be made of the Claimant's solicitors Mellor Hargreaves as to their conduct between sending the draft Claim Form to Salford and 27 March 2013 are, in my view, muted. The judge accepted at paragraph 15 of his judgment that Mellor Hargreaves only became aware of their error (or more accurately of the court's errors) at the end of March or early April 2013 and that they thereafter acted in a manner which "might just possibly be said to be promptly". The Defendants knew everything they needed to know about the Claimant's claim and knew that he intended to pursue it by action and that he had at the very least attempted to serve proceedings upon them, through the medium of the court. The correspondence and discussions between the solicitors, objectively viewed, can only have given the impression that the claim was acknowledged to be live, which in the context was consistent with service having been effected within the period of validity of the Claim Form. In my view there is in this case an overwhelmingly good reason to order under CPR 6.15(2) that the steps already taken to bring the Claim Form to the attention of the Defendants constituted good service."
"33.The judge who has to decide whether to make an order under Part 6.15 will, of course, have to consider all factors that are relevant to the circumstances of the particular case in front of him. It is not sensible to try and identify all those factors in case that list is treated by others as a gloss on the wordings of Part 6.15(1) and (2). However, I readily accept that, as Lord Clarke stated at [48] of Abela, there will inevitably be a focus on the reason why the claim form cannot or could not be served within the period of its validity. Therefore, the conduct of the claimant and his advisors in this regard and the timing of the application are likely to be relevant factors for the judge to consider. So, too, will the conduct of the defendant and his advisors."
"44. At the time when the decisions which they now seek to challenge were made Mr. Benisi and Mr. Robinson were both acting in person. It is therefore convenient to consider whether the court should adopt a different approach in relation to litigants in person. The fact that a party is unrepresented is of no significance at the first stage of the enquiry when the court is assessing the seriousness and significance of the failure to comply with the rules. The more important question is whether it amounts to a good reason for the failure that has occurred. Whether there is a good reason for the failure will depend on the particular circumstances of the case, but I do not think that the court can or should accept that the mere fact of being unrepresented provides a good reason for not adhering to the rules. That was the view expressed by the majority in Denton at paragraph 40 and, with respect, I entirely agree with it. Litigation is inevitably a complex process and it is understandable that those who have no previous experience of it should have difficulty in finding and understanding the rules by which it is governed. The problems facing ordinary litigants are substantial and have been exacerbated by reductions in legal aid. Nonetheless, if proceedings are not to become a free-for-all, the court must insist on litigants of all kinds following the rules. In my view, therefore, being a litigant in person with no previous experience of legal proceedings is not a good reason for failing to comply with the rules.
45. The Civil Procedure Rules are available free on line on the web site of the Ministry of Justice and to that extent are widely available. What the ordinary person requires, however, is more help in discovering and understanding the rules and some basic guidance about the way in which proceedings should be conducted. If, as seems inevitable, the courts can expect to see an increasing number of litigants in person, assistance of that kind will become essential if the administration of justice is not to be undermined."
"53. I make it clear at the outset that, in my view, the fact that a party (whether an individual or a corporate body) is not professionally represented is not of itself a reason for the disapplication of rules, orders and directions, or for the disapplication of that part of the overriding objective which now places great value on the requirement that they be obeyed by litigants. In short, the CPR do not, at least at present, make specific or separate provision for litigants in person. There may be cases in which the fact that a party is a litigant in person has some consequence in the determination of applications for relief from sanctions, but this is likely to operate at the margins."
i) In deciding whether steps should be validated under the rule the court should simply ask itself whether there is "good reason" to do so: (Abela [35]).ii) A critical factor in deciding whether to validate service under the rule is that the document has come to the attention of the party intended to be served: (Abela [36]). That is the whole purpose of service: (Abela [37], [38]).
iii) However it is not by itself sufficient that the document was brought to the attention of the opposite party: something more must be present before there is a "good reason": (Abela [36]).
iv) In deciding whether there is a "good reason", there will inevitably be a focus on the reason why the claim form cannot or could not be served within the period of its validity, although this is by no means the only area of inquiry: (Abela [48], Kaki [33]).
v) The conduct of the claimant and of the defendant is relevant: (Kaki [33]). It is not necessary, however, for the claimant to show that he has taken all the steps he could have reasonably taken to effect service by the proper method: (Power [39]).
vi) The mere fact that one party is a litigant in person cannot on its own amount to a good reason, although it may have some relevance at the margins: (Hysaj [44]-[45]; Nata Lee [53]).
vii) If one party or the other is playing technical games, this will count against him: (Abela [38]).
viii) An appellate court will only interfere with the judge's evaluation of the various factors in the assessment of whether there is a good reason if he has erred in principle or was wrong in reaching the conclusion which he did: (Abela [23]).
The facts
"I will await service of the Claim Form and Particulars of Claim".
"Please find attached by means of service upon you
1. Claim Form and Response Pack
2. Particulars of Claim
3. Duplicated first and last pages of the Particulars of Claim showing the court seal and signature on the statement of truth.
The Particulars of Claim were filed into Chesterfield County Court this morning.
I would appreciate if you could acknowledge receipt of this email by return."
The decision of the district judge
"However that discretion is not unlimited. It must only be exercised where there is "good reason" to exercise the discretion. In my view the correct approach to an application under CPR rule 6.15 is a twofold approach. Firstly the court must decide whether there is good reason shown sufficient to engage the rule at all, and if so, the court must then decide whether the judicial discretion which then arises should be exercised in favour of granting the application. It is clear that there is no need to show "exceptional circumstances"…."
"The "good reason" advanced on behalf the claimant seems to be little more than the claimant did not understand or know what the rules as to service were. The reality is that the claimant has six years to bring his claim, he then had four months to serve, he has been involved in litigation in the past and knows that there are rules to be followed, that this is not a case where there are "circumstances outside the control of the party in default", it is not the case that the claimant was in any way incapacitated or prevented from complying with the rules. The simple fact is that the claimant failed to comply with the rules as to service. Such a default is self-inflicted. The apparent absence of prejudice to the defendants (in that they did receive the documentation) does not amount to a sufficient reason to make an order under CPR 6.15."
The first appeal
"The questions that need to be posed in the light of the authorities of Abela and Power, in my judgment, are two. Firstly, why was it that the claim form could not have been served in the ordinary way during the period of its validity? If a good answer to that question was provided then the next question becomes: is there a good reason to make the order sought, in other words an order that service do stand by alternative means, perhaps even retrospectively? The critical consideration in that latter question is whether or not the claim form and its contents and actually come to the attention of the proposed recipient."
"The whole focus of the appeal before me has thus very much boiled down to the first question, whether there was any reason for Mr Barton not to be able validly to serve the claim form."
"The conclusion that I have come to is that CPR 6.15 is not there to protect litigants in person or those who do not know the rules. It is there to protect those who for some reason have been unable to effect service satisfactorily within the rules. The issue therefore really is whether ignorance of the rules for a litigant in person is a reason for not complying with the rules. It cannot be so. The rules are there for all. They need to be observed by all and unless and until the Rules Committee makes rules that have application for litigants in person alone they must apply to all. There is no reason why Mr Barton could not have properly served the claim form within time. There was nothing preventing him from doing it by post; there was nothing preventing him from doing it personally; there was nothing preventing him from doing it in accordance with the rules, had he been aware of them."
The arguments on appeal
Discussion
Mr Justice Moylan
Lady Justice Black