QUEEN'S BENCH DIVISION
Strand, London, WC2A 2LL |
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B e f o r e :
sitting as a Deputy Judge of the High Court
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JAMES DULSON |
Claimant |
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- and |
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SVITLANA POPOVYCH |
Defendant |
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Victoria Heyworth (instructed by Hill Dickinson LLP) for the Defendant
Hearing dates: 19th and 26th May 2021
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Crown Copyright ©
Covid-19 Protocol: This judgment was handed down remotely by circulation to the parties' representatives by email and release to BAILII. The date and time for hand-down is deemed to be Tuesday 8th June 2021 at 10am.
HHJ Nigel Lickley QC sitting as a Deputy Judge of the High Court:
The Background
"Head and neck cancers
Laryngeal cancer
1.8.1 Consider a suspected cancer pathway referral (for an appointment within 2 weeks) for laryngeal cancer in people aged 45 and over with:
persistent unexplained hoarseness or
an unexplained lump in the neck.
Oral cancer
1.8.2 Consider a suspected cancer pathway referral (for an appointment within 2 weeks) for oral cancer in people with either:
unexplained ulceration in the oral cavity lasting for more than 3 weeks or
a persistent and unexplained lump in the neck."
Procedural history
The Application and the evidence relied upon
"Prior to drafting of the Defence, the Defendant obtained expert evidence from a nursing expert, Nurse Wiltshire. A copy of her report is attached as Exhibit AO2. It can be seen from that document that Nurse Wiltshire advised that the Defendant was in breach of duty for failing to refer the Claimant urgently on 20th July 2015 in accordance with the NICE Guidelines. It can also be seen that Nurse Wiltshire makes no reference to any local guidance surrounding referral of neck lumps."
And
"Given the consequences of an admission in the Defence, great care was taken by me, before the Defence was finalised to ensure the admission being made was correct. I attach as Exhibit AO3 a copy of an email I sent to Nurse Wiltshire to fully clarify the position with respect to this admission before it was made and her response confirming there was a breach of duty for failing to follow the NICE guidance on this date. In light of the information received from Nurse Wiltshire, an admission with respect to a failure to refer under the two week wait pathway was made in the Defence at paragraph 18. No other admissions were made as to breach of duty and the Claimant did not seek to press for admissions or otherwise with respect to the other allegations"
Nurse Wiltshire's report of February 2020
(i) That there was sub-standard care in failing to adequately consider an explanation other than a blocked salivary gland (those other explanations include cancer).
(ii) That the Defendant, by failing to be aware of the NICE guidelines and act in accordance with them, provided sub-standard care.
(iii) Given that the Claimant met the criteria for referral under the 2-week wait, failure to refer fell below the standard of care expected of a competent NP.
(iv) That there was a failure to note the site of the lump, if it was fixed or mobile and whether there were abnormalities on the neck.
(v) That there was a failure to assess the neck lump to determine if it was fixed, hard or tender and to document the findings and this represented sub-standard care.
(vi) The Defendant was incorrect to diagnose Sialolithiasis given the symptoms and history.
(vii) The Claimant should have been referred to specialist care sooner than he was.
Other criticisms concern other sub-standard care and failures to refer on other occasions.
(i) Paragraph 3.01: He agreed with the Particulars of Claim that the Claimant's history and symptoms were not consistent with Sialolithiasis.
(ii) Paragraph 3.03: Having referred to the NICE guidelines he said that the local guidelines at the time suggest that an unexplained neck lump present for three weeks should be referred on the suspected Head and Neck Cancer Pathway. I note his use of the word 'suggest'.
(iii) Paragraph 3.05: That UK guidelines at the time for cancer treatment were that a patient should be seen by a specialist within two weeks of a referral by a GP with suspected cancer.
(iv) Paragraph 4.01 and 02: He concluded given the local guidance that it was reasonable not to make a referral on the 20th July 2015 as the conflict concerning the duration of the lump (11 or 3 days) 'makes no difference'. He added in his opinion 'it is not reasonable that the Defendant did not make the referral on the 17th August 2015 because the lump had been present for over three weeks' and if referred then 'the Claimant would have been operated on 15th October 2015'.
(v) Paragraph 6.02: The Claimant presented (according to the note) with a three day swelling and pain in the neck. Local guidelines did not require the Claimant to make an urgent suspected head and neck referral at that time. Given that the signs and symptoms persisted on the 17th August 2015 an urgent referral was warranted.
(vi) Paragraph 4.03: He said that if the referral had taken place on the 20th July 2015 surgery would have been on the 3rd September 2015. A neck dissection would still have been undertaken however it would not have been so complicated and damage to the accessory nerve, the marginal mandibular nerve and sympathetic chain would probably not have occurred. There would still have been the need for radiotherapy and chemotherapy with resultant difficulties in swallowing.
(vii) Paragraph 4.04: A referral on the 17th August 2015 would have meant a less extensive neck dissection than was eventually necessary but would have meant sacrifice of the accessory nerve and sternocleidomastoid muscle. The Claimant would not however have suffered from Horner's syndrome.
The application
"Amendments to statements of case
17.1
(1) A party may amend his statement of case at any time before it has been served on any other party.
(2) If his statement of case has been served, a party may amend it only
(a) with the written consent of all the other parties; or
(b) with the permission of the court.
(3) If a statement of case has been served, an application to amend it by removing, adding or substituting a party must be made in accordance with rule 19.4.
(Part 22 requires amendments to a statement of case to be verified by a statement of truth unless the court orders otherwise)"
"Withdrawing an admission
7.1 An admission made under Part 14 may be withdrawn with the court's permission.
7.2 In deciding whether to give permission for an admission to be withdrawn, the court will have regard to all the circumstances of the case, including
(a) the grounds upon which the applicant seeks to withdraw the admission including whether or not new evidence has come to light which was not available at the time the admission was made;
(b) the conduct of the parties, including any conduct which led the party making the admission to do so;
(c) the prejudice that may be caused to any person if the admission is withdrawn;
(d) the prejudice that may be caused to any person if the application is refused;
(e) the stage in the proceedings at which the application to withdraw is made, in particular in relation to the date or period fixed for trial;
(f) the prospects of success (if the admission is withdrawn) of the claim or part of the claim in relation to which the admission was made; and
(g) the interests of the administration of justice."
(a) the grounds upon which the applicant seeks to withdraw the admission including whether or not new evidence has come to light which was not available at the time the admission was made;
The Defendant says the new evidence in the form of the local guidance came to light when Mr Reece referred to it. Prior to that it was not available. At no point was it brought to the attention of the solicitors by Nurse Wiltshire or the Defendant. Now that it is available it is important and shows that a body of Nurse practitioners would not have referred the Claimant on the 20th July 2015 as the guidance required a neck lump to be present for three weeks before referral. Accordingly it is argued that even though the Defendant was unaware of the guidance it matters not because a referral would not be required in short the result is the same because a reasonably competent Nurse in the Defendant's position and given the circumstances would not have referred the Claimant to a specialist. It is said this is genuinely new evidence.
The Claimant says the evidence was there to be found if the Defendant had looked for it. The conclusion they suggest is that because the Defendant made no mention of local guidance because it played no part in her reasoning it was not sought. In addition, Nurse Wiltshire did refer to local guidance in her report as something to be followed and adopted by the Defendant. It amounts to an admission made after inadequate investigation it is said.
(b) the conduct of the parties, including any conduct which led the party making the admission to do so;
The Defendant says that once the new material was brought to their attention matters progressed quickly. In fact it took from July to December 2020 for an application to be made. It is said the Claimant waited until near to the end of the limitation period to issue his letter of claim and then waited for nearly a year to issue proceedings. Finally, the Defendant says the issue was progressed promptly once clarified.
The Claimant says the Defendant did not comply with the pre-action protocol, no material was supplied to the Claimant from July 2018 to enable the claim to be investigated, the admission was made in the defence of March 2020 and it is said the conduct of the Defendant is delaying resolution of the matter. There is no suggestion the Claimant has acted in any way to have caused the admission to be made.
(c) the prejudice that may be caused to any person if the admission is withdrawn;
The Defendant says there were ten months to trial when the application was made and that there is little or no prejudice to the Claimant if the admission is withdrawn. Although the Claimant will have to provide a witness statement (as will his wife) as to the facts and go back to July 2015 to do so, a witness statement as to the facts must have been taken before proceedings were commenced and that can be used now. It is said the Claimant can give evidence about the consultation on the 20th July 2015 and what he said about the duration of the neck lump. Further the Claimant would have obtained expert evidence on breach of duty prior to issue of the claim given the principles expressed in Pantelli Associates Limited v Corporate City Developments [2010] EWHC 3189 (TCC)and therefore an expert is available to give the necessary evidence. Therefore the issues can be resolved in court. The trial need not be vacated it is said and a strict timetable will permit the case to go ahead in October 2021.
The Claimant says to withdraw the admission on the key issue of liability now will cause prejudice. It will cause stress and uncertainty in terms of recovery of compensation, the trial will have to be vacated and the Claimant will have to revisit the events of nearly six years ago in the context of his treatment for cancer.
(d) the prejudice that may be caused to any person if the application is refused;
It is said that if the Defendant is not allowed to amend and withdraw the admission she is deprived of a good breach of duty Defence for the consultation of 20th July 2015. The evidence now supports an argument that a reasonable body of Nurse Practitioners would not have referred on that day and that makes a considerable difference to the claim. It is said that given that the issues relate to delay in identification and treatment of cancer it is plain that the earlier consultation dates are the key dates to consider with respect to the causation position. It is said to be central to the case that the consultation date of 20th July 2015 is the only date by which the Claimant has any argument that referral and treatment may have occurred before mid-September. If in fact the failure to refer then was not negligent treatment surgery would have been delayed as a consequence with the Claimant still suffering unavoidable surgical damage as a result. It is said the determination of this important issue may affect the quantum of damages awarded and the Defendant should not be deprived of a legitimate argument. Finally, it is said the claim has grown from £59,000 at the time the admission was made to now nearly £627,000 and the Defendant should be able to meet the enlarged claim by allowing the application.
The Claimant says in essence this issue is bound up with the prospects of success if the admission is withdrawn and the issue is litigated. The Claimant says even if the issue is litigated the Claimant will succeed because of the Defendant's negligence in August 2015 and the defence will ultimately fail. It is said all that will happen is that the Claimant will suffer further delay to the recovery of damages.
(e) the stage in the proceedings at which the application to withdraw is made, in particular in relation to the date or period fixed for trial;
The trial of this matter is to commence on the 4th October 2021. That is just short of two years after the Particulars of Claim were deemed served on 23rd December 2019 with the Defence filed on 1st April 2020. Directions were provided at CCMC on 23rd July 2020. It is said by the Defendant that disclosure has taken place and would not have altered, breach of duty evidence and joint statements along with updated witness evidence can be provided without disrupting the Court time table.
The Claimant says the case will change and be a fully disputed breach, causation and quantum case from what was expected to be essentially a quantum only case. In effect a totally different case to the one anticipated. In order to respond to any amended defence further investigation will be necessary, a new particulars of claim will be needed, additional witness statements and expert opinion. All of that would have to be timetabled meaning the trial will have to be vacated. A trial might be longer with more witnesses and experts.
(f) the prospects of success (if the admission is withdrawn) of the claim or part of the claim in relation to which the admission was made;
The Defendant says the evidence as it now stands remains uncontradicted by the Claimant and establishes an arguable case that a reasonable body of Nurse Practitioners would not have referred the Claimant on 20th July 2020. It is submitted the prospects of success on the point, and on causation flowing from it are good. For completeness whilst other admissions have been made in the amended Defence, no causation flows from these and as such the prospects of success regarding the claim as a whole remain good.
Miss Heyworth argues that it is irrelevant that the Defendant did not know of the local guidance (or the NICE guidance) and does not seek to justify her decisions by relying upon it. She also submits that it matters not that the Health Centre did not adopt the guidance. Her essential point is that when looking at a reasonably competent person in the Defendant's position according to two experts no referral was required on the 20th July 2015. Therefore it is said there is no breach of duty whatever the motivation or decision making processes of the Defendant at the time. Miss Heyworth submits that when looking at the timelines for assessment and surgery on the available evidence, at best, the Claimant fails to meet the deadline for surgery in early August.
Mr Williamson for the Claimant says it is important that the Defendant did not follow the guidance as Nurse Wiltshire has stated that guidance should be followed. In addition Nurse Wiltshire stated that any breach is conditional upon the Health Centre following the guidelines. Accordingly it is said there is no evidence the guidelines were in place at the Health Centre or in fact anywhere else in the UK at the time. Further it is said the two forms are contradictory given that the flow chart refers to an 'unexplained neck lump recently appeared or changed over 3-6 weeks' it being suggested the lump in question had recently appeared. If that reading is correct that is, it is said, consistent with the NICE guidelines.
Mr Williamson says the evidence of Nurse Wiltshire is also flawed in that in her recent statement where she says that there were no other symptoms meriting a referral in fact other symptoms were reported as being present being the submandibular swelling and the conclusion that the salivary gland was blocked when the Parotid gland is a salivary gland. In addition he submits that no assessment has been made of the other failures of care noted by Nurse Wiltshire in summary being a failure to examine, a negligent diagnosis of Sialolithiasis and a failure to consider cancer as a cause of the lump. In short he says no answer has been given to the following questions - but for the negligence in failing to accurately assess the Claimant's condition what would the Defendant have determined or advised? But for the negligence in failing to consider cancer as a possible cause what would the Defendant have attributed the presentation to? And but for the negligent diagnosis of Sialolithiasis what would the Defendant have considered? In essence he says there is more to it than a failure to refer. He says a reasonably competent nurse in the Defendant's position would not have made so many errors and would have followed a different route in terms of reasoning a route that takes you to cancer and different action. He says there is no reasonable prospect of success in the new argument advanced.
(g) the interests of the administration of justice.
The Defendant says the issue is live and needs to be resolved. The interests of justice favour the withdrawal of the admission and the amendment of the Defence in line with the attached draft.
The Claimant says the Defendant's conduct throughout undermines the administration of justice. The admission was made after careful consideration and clarification of the evidence and after taking expert advice. The admission was based upon the Defendant's own knowledge. It is said the overall conduct of the Defendant is contrary to good practice, was made after delay and is late. The trial date is in jeopardy with the court's resources allocated in October 2021 put at risk.
Decision
(i) The local guidance as provided was available in a strict sense at the time the case commenced. It was not known about and not sought. It took the Defendant from July 2020, when the issue was first raised by Mr Reece, until December 2020 to make the application. Nurse Wiltshire did not conclude her comments until October 2020. The failure to comply with the pre-action protocol cannot be overlooked. Quite why the issue of local guidance was not considered at an earlier stage is difficult to understand. Experienced solicitors in this field would, I assume, have been aware of the existence of local guidance albeit in general and Nurse Wiltshire referred to such guidance in her report. Quite why she did not know of the guidance as an expert or put the Defendant on notice to investigate the issue is equally difficult to fathom. Accordingly there has been inadequate investigation and considerable delay in bringing the application from July to December 2020.
(ii) The greater prejudice in my judgement would fall upon the Claimant if I were to allow the application. On any assessment of the work needed to bring the issue to trial I am forced to conclude that the trial date will have to be vacated. That means more delay and uncertainty for the Claimant who hitherto had assumed his case would proceed on the basis that liability was not in dispute. He has been of that mind for over a year. The case he would have to now prepare for would be markedly different to the one he has anticipated. That will bring undoubted stress through no fault of his own. I appreciate that the Defendant will not be able to run the new causation argument, however the greater prejudice falls firmly against amendment.
(iii) Prospects of success. In my judgement the point raised lacks any real prospect of success. I come to this conclusion for the following reasons:
(a) The Defendant, according to Nurse Wiltshire, provided sub-standard care in a number of ways on the 20th July 2015 and thereafter. The Defendant was negligent in failing to refer in August 2015 in any event. The Defendant therefore cannot completely escape liability by the amendment sought. The amendment goes to limiting the claim.
(b) The evidence adduced, on my assessment, falls short of dealing with the overall picture, focusses only on the narrow referral issue and is accordingly unsatisfactory and lacking. The issue of breach of duty is more nuanced and complex than is suggested. While it is said the evidence shows that a body of nurses would not have referred in the Claimant's case because of the local guidance the evidence falls short of informing what a reasonably competent nurse would in fact have done given the Claimant's presentation. I cannot determine what a reasonably competent nurse in the Defendant's position would have done had she not been negligent in the other ways suggested other than to conclude that a cancer diagnosis would have been considered as it is suggested it should have been, Sialolithiasis would not have been diagnosed, the neck lump would have been examined and noted properly, the NICE guidance and any other local guidance would have been considered and a decision made. Nurse Wiltshire has not dealt with these important issues. These issues are not, as was said in submissions, 'cross-examination points'. They go to the validity of the opinion evidence relied upon and strength of the argument.
(c) There is no evidence the guidance was in force, adopted by the Health Centre and therefore applicable at the time. On the face of the documents supplied there is an apparent contradiction and the material is not complete. It is not suggested the Defendant was aware of the local guidance and acted in reliance upon it therefore how does Nurse Wiltshire square that with her point that competent Nurse Practitioners would follow such guidance?
(d) Finally, the recent letter from Nurse Wiltshire appears to have been written without proper consideration of the medical note made at the time and fails to consider accordingly if a referral was merited on other grounds in any event.
(e) Finally, even if I were wrong about the prospects of success, the delay and additional work necessary to litigate the issue is not justified and I would refuse the application for the other reasons stated.
(iv) Administration of Justice. The court service is under significant stress and pressure at the current time and resources have been set aside for this case to proceed to trial this year. There is also a wider public interest in the efficient discharge of court business with the avoidance of delays. Litigation should be conducted in a manner that incorporates that aim. The lateness of an important issue arising in this case, the time taken to make the application coupled with the other delays set out above will mean the trial will have to be vacated.