The below article of mine was recently
published in the October 15, 2013 Pennsylvania
Law Weekly and is republished here with the permission of American Law
Media. All rights reserved.
The Parameters of Independent Psychological and Vocational Exams
Pennsylvania Law Weekly
October 15, 2013
By
Daniel E. Cummins
|
Daniel E. Cummins |
A recent recurring issue in Pennsylvania civil litigation matters has
involved the parameters of an independent neuropsychological or psychological
examination with respect to vocational testing arranged by the defense of an
injured plaintiff.
As noted below, in the absence of any appellate guidance on this issue, the
trial courts of
Pennsylvania
have struggled to craft appropriate remedies when disagreements in this regard
arise between the litigating parties. The differing remedies allowed by the
courts leave the issue in a somewhat erratic state in need of a sedative to
calm the dispute.
Applicable Pennsylvania
Rules
Under Pennsylvania Rule of Civil Procedure 4010(a)(2), "when the mental
or physical condition of a party, or of a person in the custody or under the
legal control of a party, is in controversy, the court in which the action is
pending may order the party to submit to a physical or mental examination by an
examiner or to produce for examination the person in the party's custody or
legal control."
Rule 4010(a)(4)(i) expressly provides that "the person to be examined
shall have the right to have counsel or other representative present during the
examination." Also under Rule 4010(a)(5)(i), an audio recording of the examination
is allowed. There is no provision for any video recording of any examinations
in the rule.
Under Rule 4010.1, pertaining to "Evaluation of Earning Capacity"
by vocational experts, it is provided, under Subsection (b) that "the
evaluation shall be subject to the provisions of Rule 4010(a)(3) through (b)(3)
inclusive." In other words, the above-quoted rules also apply to
interviews and testing that may be requested by vocational experts in their
assessment of a plaintiff.
Trial Courts Differ
In an older Pennsylvania trial court opinion, former Luzerne County Court of
Common Pleas Judge Michael T. Conahan (ahem) issued an order without any
opinion in the case of
Monahan v. Manitowoc, No. 465 - Civil - 2005
(C.P. Luz.
Co. 2007), addressing the issue of
how far a plaintiff should have to travel to attend a multi-day
neuropsychological independent medical exam arranged by the defense.
The order offered two alternatives: (1) that the plaintiff travel down to
the Bryn Mawr, Pa., office of the expert by the plaintiff's own means or by
means paid for by the defendants, or (2) that the plaintiff attend one portion
of the multi-day IME with the expert at the local office of the defense
counsel, followed by attendance at a second day of testing at the expert's office
in Bryn Mawr, either by the plaintiff's own means or by means paid for by the
defense.
More recently,
Pennsylvania's
discovery guru, Allegheny County Court of Common Pleas Judge R. Stanton Wettick
Jr., held in the case of
Rotunda v. Petruska, No. GD08-018798 (C.P.
Alleg.
Co. 2010, Wettick, J.), that a
neuropsychological IME could not be performed in the absence of plaintiffs
counsel if an objection to that was lodged by the plaintiff.
Defense counsel had objected that the presence of another person at the
psychological testing could alter the results and influence the test scores.
Wettick held that the wording of Rule 4010 "is clear" in allowing
a party the right to have counsel or a representative present during the
examination. Wettick also allowed the plaintiff to audio-record the proceeding,
as allowed by the rules.
Earlier this year, in the case of
Marion v. Lukaitis, No.
11-CV-7451 (C.P. Lacka.
Co. Aug. 15, 2013
Minora, J.), Lackawanna County Court of Common Pleas Judge Carmen D. Minora
held that a plaintiff was allowed to have counsel present during the first two
components of a neuropsychological examination. However, the court ruled that
once standardized testing began, a plaintiff was precluded from having a third
party present.
In taking the middle-of-the-road approach, Minora relied upon Rule 4010,
cited Wettick's opinion in
Rotunda, and stated that, "although
there appears to be no appellate guidance on this specific matter, other
Pennsylvania common pleas courts have concluded the words of Pa. R.C.P. 4010
are clear, and a party being examined has the right to have counsel present
during a mental examination."
The defense in
Marion
also pointed to Rule 4012, which allowed a party to request from the court, for
good cause shown, any order with justice required to protect a party or person
from unreasonable annoyance, embarrassment, oppression, burden or expense.
In order to accommodate both Rules 4010 and 4012, Minora chose to allow the
plaintiff's counsel, or a designated representative of the plaintiff, to be
present during the first two components of the neuropsychological examination
involving a review of the plaintiff's records, medical history and background
information. However, once standardized testing began, the plaintiff was
precluded from having a third party present.
The court additionally held that audio or video recording of the
standardized testing portion of the examination would be prohibited as well.
Another recent decision along these lines was recently handed down in the
Dauphin County Court of Common Pleas by Judge Bernard L. Coates Jr. in the case
of
Sanderson v. Geiger, 2011-CV-8539 (C.P. Dauphin Co. Aug. 22, 2013
Coates, J.). As noted below, Coates allowed for wider parameters for the
defense-arranged examinations of the plaintiff than that allowed by Minora in
the
Lackawanna County case.
By order only, Coates ruled in
Sanderson that the "plaintiff's
attorney or representative shall be permitted to be present during all aspects
of the examinations, without exception," in reference to the
neuropsychological exam, the independent medical exam and the vocational
interview and testing set up by the defense.
Coates also ruled that the "plaintiff, at her expense, shall be
permitted to audio-record the entire IME, including the objective testing
portion." The prevailing plaintiffs attorney in this matter, Robert F.
Claraval of Harrisburg, Pa.-based Claraval & Claraval, advised that this
portion of the order applied to all of the exams set up by the defense.
The court in
Sanderson additionally ruled that the defense had to
pay for the expenses for a hotel room for the plaintiff to stay in the night
before her examinations to which she had to travel a distance. Plaintiffs
counsel sought out this relief so as to allow the plaintiff to walk into the
testing "fresh" and to prevent the plaintiff from having to undergo
such examinations after a long drive, which could arguably impact the
plaintiff's ability to test and alter the results.
In his order, Coates additionally required the plaintiff's experts and the
defense experts to engage in a simultaneous exchange of all raw data, testing
documents, expert reports and any other documents generated by the experts so
as to prevent one side's experts from having information before the other
side's experts obtained the same information.
As can be seen from the above, different state trial court judges have
crafted different remedies in the absence of any appellate guidance to date.
The Issue in Federal Court
Over in the federal courts, Federal Rule of Civil Procedure 35(a)(1)
provides that "the court where the action is pending may order a party
whose mental or physical condition ... is in controversy to submit to a
physical or mental examination by a suitably licensed or certified examiner."
Unlike its state rule counterpart, there is no express provision in the
federal rule allowing a third-party representative to attend an examination
with the plaintiff.
In the U.S. District Court for the Middle District of Pennsylvania case
Chisarick
v. Economic Development Council of NEPA, Civil Action No. 3:CV 06 0519
(M.D.Pa. April 17, 2009), Judge Thomas I. Vanaskie (now a member of the U.S.
Court of Appeals for the Third Circuit) issued an order without any opinion
holding that the plaintiff was precluded from being accompanied by his attorney
or any other observer at an independent psychiatric evaluation.
The defense brief in that case relied upon Federal Rule 35 and argued that a
majority of federal decisions on the issue have ruled that the presence of
counsel at an independent psychiatric evaluation would taint or obstruct the
evaluation by causing a distraction, impeding communications and creating an
overall adversarial atmosphere, as in
Shirsat v. Mutual Pharmaceutical,
169 F.R.D. 68 (E.D.Pa. 1996), and
Neumerski v. Califano, 513 F.Supp.
1011 (E.D.Pa. 1981). In
Showell v. Trump Taj Mahal Casino, No. CIV. A.
98-2141 (E.D.Pa. 2000), plaintiffs counsel was allowed to attend independent
psychiatric examination, but only if he did not interrupt and sat silently
behind his client.
As noted, Vanaskie chose to follow what the defense termed was the majority
rule in the federal courts by precluding the attorney or any representative
from attending the independent psychological examination with the plaintiff.
In the more recent Middle District case
M.S. v. Cedar Bridge Military
Academy, No. 1:08-CV-2271, PICS Case No. 11-0912 (M.D.Pa. May 13, 2011
Carlson, M.J.), Chief Magistrate Judge Martin C. Carlson also ruled that under
Federal Rule 35, the plaintiffs attorney is not permitted to be present at a
psychiatric examination of a minor party in a negligence action filed by
parents on behalf of a minor plaintiff.
Need for Guidance
Until a remedy is provided by way of appellate guidance, it appears that litigants
and the trial courts of
Pennsylvania
will have to continue to struggle in an unsettled fashion over the proper
parameters for these types of examinations.
Daniel E. Cummins is a partner and civil
litigator with the Scranton
law firm of Foley Comerford & Cummins. His civil litigation blog, Tort
Talk, may be viewed at www.torttalk.com.