Freeman v. Crays
Freeman v. Crays
Opinion
¶ 1 This appeal arises out of a wrongful-death action brought by plaintiff, Lawanda Freeman, as special administrator of the estate of her deceased husband, Terrance Freeman, against defendant, Gayle R. Crays, M.D. Plaintiff alleged that defendant's negligent treatment of Terrance's cardiovascular disease was the proximate cause of Terrance's death. Just before the trial was set to begin, the trial court ruled that plaintiff's only medical expert witness was unqualified to offer any opinions on the issue of causation, thus creating an evidentiary gap in plaintiff's case. In response to the trial court's ruling, plaintiff moved to voluntarily dismiss her complaint. The trial court granted the voluntary dismissal in case No. 12-L-348 without prejudice. Shortly thereafter, plaintiff refiled her complaint in case No. 16-L-116. Upon learning that plaintiff intended to disclose an additional medical expert witness to offer opinions on the issue of causation, defendant moved to adopt the rulings from case No. 12-L-348 and to bar any testimony from plaintiff's newly disclosed expert witness pursuant to Illinois Supreme Court Rule 219(e) (eff. July 1, 2002). After the trial court granted defendant's motion, defendant moved for summary judgment based on plaintiff's inability to satisfy the element of causation. The trial court granted defendant's motion for summary judgment and plaintiff now appeals. Plaintiff contends that (1) the trial court abused its discretion by barring her original medical expert witness from offering any opinions on the issue of causation and (2) the trial court improperly applied Rule 219(e) in case No. 16-L-116. We affirm in part, reverse in part, and remand the cause with directions for further proceedings.
¶ 2 I. BACKGROUND
¶ 3 We note that the record from case No. 12-L-348 is not included in the record on appeal. Our recitation of the facts from that case is therefore derived from the orders and reports of proceedings that are attached to the pleadings in case No. 16-L-116. 1
¶ 4 The record reflects that Terrance suffered a cardiac arrest and died suddenly on November 23, 2009, at the age of 37. According to plaintiff's complaint, defendant was practicing in the field of family *576 medicine when she provided Terrance with medical care and prescribed him medication for the treatment of hypertension. Plaintiff generally alleged that defendant had breached the standard of care applicable to family practitioners by failing to diagnose Terrance's enlarged heart or his severe coronary artery disease and by failing to refer him to a cardiologist. These allegations were supported by the opinion letter of Finley W. Brown Jr., M.D., a board certified family practitioner.
¶ 5 A. No. 12-L-348
¶ 6 As the case proceeded toward trial, plaintiff determined that Dr. Brown would be her only medical expert witness. During the final pretrial conference, conducted on March 9, 2016, the trial court ruled on numerous motions in limine filed by both parties. Two of these rulings are relevant here. First, the trial court granted plaintiff's motion in limine No. 14, which sought to bar testimony from any undisclosed witnesses. Second, defendant's motion in limine No. 16 sought to bar Dr. Brown from offering any opinions as to the standard of care for a cardiologist or as to any treatment modalities that a cardiologist would have recommended. When plaintiff's counsel made no objection to the motion, the following colloquy took place:
"THE COURT: * * * 16, bar Plaintiff's expert Dr. Brown from offering opinions to what a reasonably careful cardiologist would have done. You have no objection to that?
MR. GUNZBURG [ (PLAINTIFF'S COUNSEL) ]: Right, because [Dr. Brown] is not a cardiologist, so-
THE COURT: So tell me again what he's going to say on proximate cause? He can't say what a reasonably careful cardiologist would do. What's he going to say?
MR. GUNZBURG: Well, he's going to say that, you know, had the blood pressure medications-the blood pressure medications should have been tweaked, he should have been treated with cholesterol reducing medications, he should have been referred to a cardiologist, he should have-
THE COURT: And had all of those things been done, he would still be alive today?
MR. GUNZBURG: Yes.
THE COURT: Without going into what the cardiologist would have done?
MR. GUNZBURG: That's right. I mean, that-what he's saying is you could have ordered an echo, you could have ordered an EKG, or you could have just avoided that and sent him straight to a cardiologist. Now, Dr.-you know, Dr. Sorrentino [ (the defense's cardiology expert) ] is going to testify to-
THE COURT: Right, what a cardiologist would or wouldn't have done.
MR. GUNZBURG: Right.
THE COURT: But you don't have a cardiologist to do that?
MR. GUNZBURG: That's right.
THE COURT: Okay.
MR. GUSTAFSON [ (DEFENSE COUNSEL) ]: If I can weigh in just for a moment, the comment that meds should have been tweaked is not a disclosed opinion from Dr. Brown. I guess we can fight that at another time. Maybe the elephant in the room here is that all of the opinions that Dr. Brown has given point to [a] cardiologist, and they don't have a cardiologist, so I'm-
THE COURT: I haven't seen any motions for summary judgment filed based on defendant's-the plaintiff's inability to prove up a case. You know, that would have possibly been something to raise at the motion in limine level, too. I'm just saying-that's why I'm asking these questions.
*577 MR. GUSTAFSON: No, I understand.
THE COURT: Because I-you know, you've got a cardiologist and he doesn't.
MR. GUSTAFSON: Yes.
THE COURT: So-
MR. GUSTAFSON: Judge, can I ask: Are we granted leave to file that kind of motion this late?
THE COURT: Well, probably not. I mean, it is, you know, the Wednesday before trial, but your motion in limine to bar Dr. Brown from commenting on what a reasonably careful cardiologist would have done had [Terrance] been referred is granted, so he's not going to testify as to cardiology standard of care opinions.
MR. GUSTAFSON: Or treatment modalities?
THE COURT: Or treatment modalities that the cardiologist would have done."
¶ 7 Dr. Brown's evidence deposition was conducted on March 11, 2016, just two days after the final pretrial conference. Dr. Brown testified that he had a duty to refer patients to specialists for problems that were outside of his "skill set" as a family practitioner. He explained, "for instance, if they have cardiovascular issues, I can do the work-up, I can try to make a diagnosis. But 100 percent of the time, I need to call in a cardiologist to complete the evaluation of the patient and-and often, to complete the treatment of the patient." After reviewing Terrance's autopsy report, Dr. Brown testified that Terrance had suffered from cardiomegaly, or an enlarged heart, and severe coronary artery disease. This meant that Terrance had an increased risk of sudden cardiac death. Despite the trial court's ruling on defendant's motion in limine No. 16, plaintiff's counsel asked Dr. Brown whether defendant's failure to refer Terrance to a cardiologist deprived him of a chance to survive. Dr. Brown answered that it did, explaining that a cardiologist would have taken steps to improve Terrance's cardiac circulation. Dr. Brown admitted that he was not certain how a cardiologist would have treated Terrance. However, he stated that he had worked closely with cardiologists and was familiar with the different treatments that might have been administered. These included bypass surgery, angioplasty, stent placement, or medications for lowering blood fats. Dr. Brown added that he had taken a special interest in the field of advanced lipidology. He had attended several lectures and completed a two-day course. These experiences made him "quite skilled" at evaluating and treating patients with high blood fats. Dr. Brown acknowledged, however, that it was still necessary for a cardiologist to determine whether it was safe to administer lipid-lowering drugs.
¶ 8 During the course of Dr. Brown's evidence deposition, defendant objected several times on the basis that plaintiff's questions violated the restrictions set forth in defendant's motion in limine No. 16. Many of these objections were sustained when the parties appeared in court on March 14, 2016. As a result, Dr. Brown was barred from opining that a cardiologist would have prevented Terrance's sudden death, through the use of lipid-lowering medications or otherwise. In so ruling, the trial court noted Dr. Brown's opinion at one point during the deposition that a cardiologist would have initiated lipid-lowering therapy to improve Terrance's circulation, thereby preventing his sudden death. However, Dr. Brown repeatedly admitted elsewhere during the deposition that he could not say precisely what a cardiologist would have done. The trial court commented in relevant part:
"I've read and reread these pages over and over again, and I've come to *578 the conclusion that, as the defendants already stated and argued, all roads in this case lead to a cardiologist. There is simply no way for [Dr. Brown], a family doctor, to testify as to causation without the qualified testimony of a cardiologist because every single thing that he testifies is a deviation of the standard of care for [defendant] results in a referral to a cardiologist. Every single one. Even the-you know, the treatment with lipid lowering drugs would result in a referral to a cardiologist."
¶ 9 The next day, on March 15, 2016, plaintiff moved to voluntarily dismiss her complaint without prejudice. As averred in defendant's brief, plaintiff's motion was made after the jury was selected, but before it was sworn. The trial court granted plaintiff's motion to voluntarily dismiss her complaint, without prejudice, and "with the parties to bear their own costs." Defendant neither objected to the voluntary dismissal nor requested that plaintiff be sanctioned pursuant to Rule 219(e).
¶ 10 B. No. 16-L-116
¶ 11 Plaintiff refiled her complaint on March 22, 2016. When it was revealed that plaintiff intended to disclose an expert witness in the field of cardiology, defendant responded by filing a motion to adopt the discovery orders and
in limine
rulings from case No. 12-L-348. This included a request that the trial court bar additional expert witness disclosures pursuant to Rule 219(e). Defendant argued that plaintiff, "in refiling and in clear violation of Rule 219(e), is attempting to cure her unreasonable noncompliance with discovery rules (untimely opinions and disregard for the motion
in limine
ruling) and avoid the Court's barring of causation opinions by attempting to disclose a new expert witness, a cardiologist." In that regard, defendant argued that the issue was controlled by
Jones v. Chicago Cycle Center
,
¶ 12 On September 12, 2016, after hearing arguments, the trial court granted defendant's motion to adopt the discovery orders and in limine rulings from case No. 12-L-348. These included the ruling on plaintiff's motion in limine No. 14, which effectively barred any testimony from plaintiff's newly disclosed cardiologist. In announcing its ruling, the trial court stated that plaintiff had an "absolute right" to voluntarily dismiss and refile her case. The trial court also agreed with plaintiff that there had been no discovery sanctions in case No. 12-L-348. However, the trial court agreed with defendant that this case was similar to Jones , stating, "[i]t is exactly what we have here." After commenting that plaintiff was clearly attempting to cure the evidentiary gap created by its adverse rulings with regard to Dr. Brown, the trial court concluded:
"When I consider Supreme Court Rule 219(e), I believe this is exactly the type of refiling that should be barred under Supreme Court Rule 219(e). All the rulings were made, the cards were on the table, the plaintiff was facing a very likely motion for directed verdict, and they voluntarily dismissed to avoid that. They voluntarily dismissed the case to avoid the consequences of the Court's rulings on the proximate cause issue."
Although the trial court ruled that plaintiff was barred from presenting an expert witness *579 in the field of cardiology, it noted that plaintiff was free to seek a reconsideration of the rulings with regard to the scope of Dr. Brown's testimony.
¶ 13 Defendant later moved for summary judgment, arguing that the lack of proximate causation testimony rendered plaintiff unable to prove an essential element of her case. In turn, plaintiff filed a motion to reconsider the trial court's rulings that barred Dr. Brown from offering causation opinions.
¶ 14 On January 30, 2017, following arguments, the trial court denied plaintiff's motion to reconsider, granted defendant's motion for summary judgment, and dismissed plaintiff's complaint with prejudice. Plaintiff filed a timely notice of appeal identifying the orders entered on September 12, 2016, and January 30, 2017.
¶ 15 II. ANALYSIS
¶ 16 Plaintiff raises two issues on appeal. First, she contends that the trial court abused its discretion by barring Dr. Brown from offering any opinions regarding the proximate cause of Terrance's death. Second, she contends that the trial court "misconstrued and misapplied" Rule 219(e) by barring her from disclosing an expert witness in the field of cardiology in case No. 16-L-116. We will address these issues in turn.
¶ 17 A. Dr. Brown
¶ 18 We begin with the trial court's ruling that Dr. Brown was unqualified to opine that defendant's alleged negligence proximately caused Terrance's death. "An expert's opinion is only as valid as the bases and reasons for the opinion."
Soto v. Gaytan
,
¶ 19 It is well settled that the decision whether to admit expert testimony is within the sound discretion of the trial court.
Thompson
,
¶ 20 Here, plaintiff first notes that she was proceeding under the "lost chance" theory of recovery. On that basis, she argues that the trial court applied an erroneously high threshold to the admission of Dr. Brown's causation opinions. We disagree with plaintiff.
¶ 21 A plaintiff in a medical malpractice case must prove (1) the standard of care against which the medical professional's
*580
conduct must be measured, (2) that the defendant was negligent by failing to comply with that standard, and (3) that the defendant's negligence proximately caused the injuries for which the plaintiff seeks redress.
Walton v. Dirkes
,
¶ 22 In Illinois, a plaintiff in a medical malpractice action may proceed under the lost-chance theory of recovery to satisfy the proximate cause element.
Perkey v. Portes-Jarol
,
¶ 23 Plaintiff argues that, because she was proceeding under the lost-chance theory of recovery, Dr. Brown was not required to have sufficient knowledge of the precise treatment that a cardiologist would have employed to obtain a better outcome for Terrance. According to plaintiff, the trial court incorrectly required Dr. Brown to establish what a cardiologist
would
have done for Terrance and how that treatment
would
have affected Terrance. Plaintiff's reasoning is taken from
Hemminger
, where the appellate court held that the plaintiff (who was proceeding under the lost-chance theory of recovery) "only needed to show that [the defendant doctor's] negligence deprived [the patient] of the opportunity to undergo treatment that
could
have been more effective if given earlier, not that such treatment
would
have been effective." (Emphases in original.)
Hemminger
,
¶ 24 Here, plaintiff attempts a distorted application of the reasoning in
Hemminger
. Plaintiff insinuates that, because she did not have to prove that Terrance
would
have enjoyed a greater than 50% chance of survival absent defendant's alleged negligence, the bar was lowered for the foundational requirements underlying Dr. Brown's causation opinions. However, our supreme court has held that the lost-chance theory of recovery "does not relax or lower a plaintiff's burden of proving causation."
Holton
,
¶ 25 In Hemminger , the plaintiff's medical expert opined to a reasonable degree of medical certainty as to the patient's lost chance of recovery from cervical cancer.
*581
Specifically, the expert testified that the patient's five-year survival rate had dropped to 32%-a reduction between 26% and 58%-by the time she was diagnosed with stage 3B cervical cancer.
Hemminger
,
¶ 26 Contrary to plaintiff's argument in this case,
Hemminger
did not signal that a medical expert's testimony under a lost-chance theory of recovery is subject to a lower threshold for admissibility. The door is not opened for speculation as to whether a defendant doctor's negligence deprived the patient of the opportunity to undergo treatment that could have been effective if given earlier. See
id.
¶ 23. Rather, such testimony must still be offered to a reasonable degree of medical certainty.
Holton
,
¶ 27 Moving on, despite the acknowledgment by plaintiff's counsel that Dr. Brown was unqualified to testify to the standard of care for a cardiologist, plaintiff now attempts to argue otherwise. She repeatedly emphasizes Dr. Brown's testimony that he worked closely with cardiologists in his own practice and that he was familiar the methods, procedures, and treatments that a cardiologist might have recommended for Terrance. Plaintiff notes that "[w]hether the expert is qualified to testify is not dependent on whether he is a member of the same specialty or subspecialty as the defendant but, rather, whether the allegations of negligence concern matters within his knowledge and observation."
Jones v. O'Young
,
¶ 28 In
Gill v. Foster
,
¶ 29 In
Silverstein v. Brander
,
¶ 30 Finally, in
Ayala v. Murad
,
¶ 31 We agree with defendant that these cases are distinguishable from the case at bar. Of course, the first point of distinction is plaintiff's initial acknowledgment that Dr. Brown was unqualified to testify to a cardiologist's standard of care. But aside from that, unlike Dr. Brown, the experts in the cases discussed above provided adequate foundations establishing the reliability of the information on which their opinions were based. See
Caldwell
,
¶ 32 For instance, the general surgeon in
Gill
testified that he had training and experience in interpreting X-rays, that he had instructed medical students on the subject of radiology, and that he was familiar with the standard of care for a reasonably qualified radiologist.
Gill
,
¶ 33 Here, Dr. Brown testified that he referred 100% of his patients with cardiovascular issues to a cardiologist. He explained, "I don't have the skill, or the training, or the knowledge to complete a detailed and comprehensive cardiac work-up." Although Dr. Brown testified that he was generally aware of the treatments a cardiologist might have recommended for Terrance-such as bypass surgery, angioplasty, stent placement, or lipid-lowering *583 medications-he made it clear that the choice of which procedure to implement is always left to a cardiologist. Dr. Brown admitted that he would need to consult with a cardiologist even to determine whether it was safe for him to administer lipid-lowering drugs. Thus, although Dr. Brown might have had some degree of familiarity with the standard of care for a cardiologist, he was still unable to testify to a reasonable degree of medical certainty as to how a cardiologist would have effectively treated Terrance. In this regard, Dr. Brown's testimony was similar to that of the medical experts in the cases cited by defendant, where the evidence was insufficient to establish that a doctor's negligence was the proximate cause of a patient's injury.
¶ 34 In
Aguilera v. Mount Sinai Hospital Medical Center
,
¶ 35 In
Wiedenbeck v. Searle
,
¶ 36 We agree with defendant that the facts in this case warrant an outcome similar to those reached in
Aguilera
and
Wiedenbeck
. "Proximate cause in a medical malpractice case must be established by expert testimony to a reasonable degree of medical certainty, and the causal connection must not be contingent, speculative, or merely possible."
Ayala
,
¶ 37 B. Rule 219(e)
¶ 38 We now turn to the trial court's decision to bar plaintiff from disclosing an expert witness in the field of cardiology in case No. 16-L-116. The trial court's ruling was based on its application of Rule 219(e), which prevents discovery abuses by encouraging compliance with the entire discovery process.
Jones
,
¶ 39 As with other pretrial discovery rulings, we review a trial court's decision to bar evidence in a refiled action for an abuse of discretion.
Hayward v. C.H. Robinson Co.
,
¶ 40 Rule 219 is titled "Consequences of Refusal to Comply with Rules or Order Relating to Discovery or Pretrial Conferences." Ill. S. Ct. R. 219 (eff. July 1, 2002). Rule 219(e) is titled "Voluntary Dismissals and Prior Litigation." Rule 219(e) provides as follows:
"A party shall not be permitted to avoid compliance with discovery deadlines, orders or applicable rules by voluntarily dismissing a lawsuit. In establishing discovery deadlines and ruling on permissible discovery and testimony, the court shall consider discovery undertaken (or the absence of same), any misconduct, and orders entered in prior litigation involving a party. The court may, in addition to the assessment of costs, require the party voluntarily dismissing a claim to pay an opposing party or parties reasonable expenses incurred in defending the action including but not limited to discovery expenses, expert witness fees, reproduction costs, travel expenses, postage, and phone charges." Ill. S. Ct. R. 219(e) (eff. July 1, 2002).
The relevant committee comment provides:
"Paragraph (e) addresses the use of voluntary dismissals to avoid compliance with discovery rules or deadlines, or to avoid the consequences of discovery failures, or orders barring witnesses or evidence. This paragraph does not change existing law regarding the right of a *585 party to seek or obtain a voluntary dismissal. However, this paragraph does clearly dictate that when a case is refiled, the court shall consider the prior litigation in determining what discovery will be permitted, and what witnesses and evidence may be barred. The consequences of noncompliance with discovery deadlines, rules or orders cannot be eliminated by taking a voluntary dismissal. Paragraph (e) further authorizes the court to require the party taking the dismissal to pay the out-of-pocket expenses actually incurred by the adverse party or parties. * * * Paragraph (e) does not provide for the payment of attorney fees when an action is voluntarily dismissed." Ill. S. Ct. R. 219(e), Committee Comments (adopted June 1, 1995).
¶ 41 Here, plaintiff first argues that defendant's motion to adopt the discovery orders and
in limine
rulings from case No. 12-L-348 constituted an untimely attack on the propriety of the trial court's order granting her motion to voluntarily dismiss her complaint. She notes that defendant never requested any Rule 219(e) sanctions when she moved for a voluntary dismissal. Furthermore, once her motion was granted, the voluntary dismissal was final and appealable by defendant. See
Kahle v. John Deere Co.
,
¶ 42 In
Morrison v. Wagner
,
¶ 43 Here, the trial court was not reviewing the propriety of the voluntary dismissal in case No. 12-L-348 when it considered defendant's motion to adopt the prior discovery orders and
in limine
rulings. Regardless of whether defendant filed any such motion, Rule 219(e) required the trial court to consider the prior litigation in determining what discovery would be permitted and whether any witnesses or evidence would be barred in case No. 16-L-116.
¶ 44 On the merits, the parties dispute the application of Jones , which the trial court cited in support of its ruling. Plaintiff argues that the holding in Jones should not apply here, picking up on the statement in Jones that, "[i]n order for Rule 219(e) to apply, there must be some misconduct on the plaintiff's part."
*586
Jones
,
¶ 45 In
Scattered Corp.
, the appellate court looked to the plain language of Rule 219(e) and the committee comment in determining that a trial court is required to make a preliminary finding of misconduct before imposing expenses pursuant to Rule 219(e).
Scattered Corp.
,
¶ 46 Here, we disagree with
Jones
to the extent that it would require finding misconduct before applying Rule 219(e) in a refiled action. Our holding in this regard is supported by
P.A.C.E.
,
¶ 47 The plaintiff in
P.A.C.E.
filed a negligence action relating to a car accident. Thereafter, he failed to provide adequate responses to several of the defendant's interrogatories. He similarly failed to comply with the trial court's order that he provide the defendant's requested documents. As a result, the trial court barred the plaintiff from introducing any evidence at trial in support of his claims for lost time, lost income, lost profits, and lost business. The trial court later barred the plaintiff from calling any witnesses at trial. This prompted the plaintiff to file a motion to voluntarily dismiss the action. The trial court granted the motion and dismissed the action without prejudice. When the plaintiff refiled his complaint, the trial court granted the defendant's motion to adopt both of the orders from the original action. In turn, the trial court granted summary judgment in favor of the defendant.
Id.
at 1069-72,
¶ 48 On appeal, the
P.A.C.E.
court rejected the plaintiff's argument that the sanction orders entered in the original action were reviewable because they constituted a procedural step leading to the entry of summary judgment in the defendant's favor. After noting that the refiled action was a " 'separate cause of action' " (
id.
at 1074,
" Supreme Court Rule 219(e) [citation] does mandate that when the trial court rules upon permissible discovery and testimony in a refiled action it 'shall consider' a party's misconduct in the original action and any orders entered therein. The rule does not, however, require the court to reimpose the sanctions that were entered against the party in the earlier case. Rather, the *587 misconduct of a party in the original action and any sanctions entered against him therein are merely facts to be considered by the court in the refiled action when it determines what witnesses and evidence will be permitted."Id.
¶ 49 We will return to
P.A.C.E.
in a moment. For now, we briefly state our agreement with
P.A.C.E.
that the misconduct of a party in the original action is merely a factor to be considered by the trial court in the refiled action when it determines what witnesses and evidence will be permitted. The plain language of Rule 219(e) states: "[i]n establishing discovery deadlines and ruling on permissible discovery and testimony, the court shall consider discovery undertaken (or the absence of same), any misconduct, and orders entered in prior litigation involving a party." Ill. S. Ct. R. 219(e) (eff. July 1, 2002). As noted, our supreme court has characterized this as the second mechanism provided in Rule 219(e) for preventing the abuse of voluntary dismissals. "When a case is refiled, the rule requires the court to consider the prior litigation in determining what discovery will be permitted, and what witnesses and evidence may be barred."
Morrison
,
¶ 50 For these reasons, we reject plaintiff's argument that the trial court was precluded from applying Rule 219(e) in her refiled action by the lack of any sanctions or findings of misconduct. Having resolved that issue, we must now consider what standards should be applied in addressing the propriety of a trial court's decision to bar witnesses or evidence in a refiled action. For guidance, we return to P.A.C.E.
¶ 51 As we discussed,
P.A.C.E.
involved the imposition of two sanctions in a refiled action. The first sanction barred the plaintiff from introducing any evidence at trial in support of his claims for lost time, lost income, lost profits, and lost business. The
P.A.C.E.
court applied traditional standards to determine whether this was an abuse of discretion. "In fashioning a sanction, the court must weigh the competing interests of the offending party's right to maintain a lawsuit against the need to accomplish the objectives of discovery and promote the unimpeded flow of litigation. [Citation.] In considering whether a particular sanction is appropriate, a court must consider the conduct of the offending party and the effect of that conduct upon the adverse party. [Citation.] That is to say, the sanction imposed should bear some reasonable relationship to the information withheld in defiance of the discovery request."
P.A.C.E.
,
¶ 52 However, the result was different with regard to the second sanction imposed in
P.A.C.E.
Relevant here, in considering the application of Rule 219(e) to bar witnesses in a refiled action, the
P.A.C.E.
court looked to the same factors that are used to determine whether the exclusion of a witness is an appropriate sanction in an original action.
*588
¶ 53 Without expressing any opinion as to the propriety of the outcome in
P.A.C.E.
, we believe that
P.A.C.E.
applied the proper framework for analyzing the application of Rule 219(e) to bar evidence and witnesses in a refiled action. This includes a consideration of "the misconduct of a party in the original action and any sanctions entered against him therein."
Id.
at 1074,
¶ 54 With these principles in mind, we now consider whether the trial court's decision in this case was in conformity with the framework applied in P.A.C.E. After hearing arguments, the trial court agreed with defendant that the holding in Jones applied to bar plaintiff from disclosing additional expert witnesses.
¶ 55 In
Jones
, just before the trial was set to begin, the plaintiffs disclosed that the injured victim's condition had deteriorated over the past two months and that one of their medical experts was in the process of examining recent test results to determine what additional treatments and expenses the plaintiffs might incur.
Jones
,
¶ 56 Here, the trial court held in pertinent part:
"When I consider Supreme Court Rule 219(e), I believe this is exactly the type of re-filing that should be barred under Supreme Court Rule 219(e). All the rulings were made, the cards were on the table, the plaintiff was facing a very likely motion for directed verdict, and they voluntarily dismissed to avoid that. They voluntarily dismissed the case to avoid the consequences of the Court's rulings on the proximate cause issue.
*589 To me, this case is actually stronger for the purposes of [ Rule] 219 than the Jones case that is cited and relied upon by the defense in their motion * * *. * * *
* * *
It is exactly what we have here. In this particular case, the Court had made significant rulings that were going to lead to, most likely, a motion for directed verdict and, arguably, a granting of that. I never got to that point, but that was the road we were heading on. And plaintiff's motion for voluntary dismissal was clearly done in an effort to avoid the consequences of the Court's order, clearly.
* * *
And in this case, the Court does find that the plaintiff's conduct in using their right to voluntarily dismiss the action to avoid the consequences of the Court's orders is well within the ambit of Supreme Court Rule 219(e), and I am not going to allow it. So for that reason, the motion to adopt the Court's discovery orders and motions in limine rulings in the previously filed case,12 L 348 , is heard and granted."
¶ 57 Contrary to the trial court's ruling, the facts in Jones are not "exactly what we have here." To begin, as we discussed above, the cases are different because Jones considered the imposition of expenses associated with a voluntary dismissal rather than the application of Rule 219(e) in a refiled case. Beyond that, plaintiff asserts that the cases are different because she was "essentially a compliant litigant" who failed to anticipate the trial court's ruling in the original action that Dr. Brown lacked the foundational experience and knowledge to render opinions on the issue of proximate causation. We agree with plaintiff.
¶ 58 The plaintiffs in
Jones
were aware of the victim's deteriorated physical condition for two months before the trial, yet they waited until the trial was set to begin before they disclosed the need for additional expert opinions. The plaintiffs then moved for a voluntary dismissal to avoid the consequences of the trial court's ruling that it was too late to disclose additional opinion testimony.
Id.
at 104,
¶ 59 Defendant argued extensively during oral argument, as she does in her brief, that the trial court's ruling was justified because plaintiff failed to comply with discovery deadlines in case No. 12-L-348. Defendant asserts that plaintiff made untimely disclosures of Dr. Brown's opinions throughout the discovery process in the original action. Despite the trial court's recognition that it never entered any discovery-related sanctions against plaintiff, defendant nonetheless argues that plaintiff's untimely disclosures constituted misconduct similar to that of the plaintiffs in Jones and that we should affirm the trial court's ruling on that basis. However, defendant acknowledges that the trial court allowed each of plaintiff's purportedly untimely disclosures and, in one instance, granted plaintiff additional time to supplement her disclosures. We therefore reject defendant's argument that plaintiff was unreasonably noncompliant with discovery *590 orders in case No. 12-L-348, as the trial court implicitly ruled otherwise.
¶ 60 For all of these reasons, we agree with plaintiff that the trial court misapplied Rule 219(e). As we have discussed, Rule 219(e) prevents the abuse of a party's right to a voluntary dismissal through two entirely separate mechanisms.
Morrison
,
¶ 62 III. CONCLUSION
¶ 63 The judgment of the circuit court of Winnebago County is affirmed in part and reversed in part, and the cause is remanded with directions for further proceedings.
¶ 64 Affirmed in part and reversed in part.
¶ 65 Cause remanded with directions.
Justices Schostok and Birkett concurred in the judgment and opinion.
We note that the record on appeal contains a letter from plaintiff's appellate counsel to the clerk of the circuit court of Winnebago County. The letter contains a request that the record on appeal include all filings from both cases. When asked about this discrepancy at oral argument, plaintiff's appellate counsel implied that he never received the record from case No. 12-L-348. It was the responsibility of appellate counsel to follow up and secure said record if he wanted this court to take it into consideration in our ruling.
Plaintiff acknowledges in her reply brief that Dr. Brown was also the plaintiff's medical expert in Wiedenbeck.
Reference
- Full Case Name
- Lawanda FREEMAN, as Special Administrator of the Estate of Terrance Freeman, Deceased, Plaintiff-Appellant, v. Gayle R. CRAYS, M.D., Defendant-Appellee.
- Cited By
- 12 cases
- Status
- Unpublished