At the Tribunal | |
Before
THE HONOURABLE MR JUSTICE LINDSAY (PRESIDENT)
(AS IN CHAMBERS)
APPELLANT | |
RESPONDENT |
Transcript of Proceedings
JUDGMENT
APPEAL FROM REGISTRARS ORDER
For the Appellant | MR NIRAN DE SILVA (of Counsel) Messrs Ashok Patel & Co Solicitors 257 Balham High Road London SW17 7BD |
For the Respondent | MR DAMIAN MCCARTHY (of Counsel) Legal Services Division London Borough of Newham Barking Road East Ham London E6 2RP |
THE HONOURABLE MR JUSTICE LINDSAY (PRESIDENT)
"I can confirm that I found it substantiated that you are not sufficiently capable of performing your duties due to sustained sickness absence and that you be dismissed from the Council's service, your last day of service being Monday 26th October 1998. This dismissal will be suspended until advice is sought from the Occupational Health Department with regards to the report received from your consultant Psychiatrist."
Awareness of that suspension lay in the future; on 26 October 1998 Ms McCullum thought she had been dismissed.
"3 Notice of that direction [that is to say the direction for the hearing on 16 March] was sent to the parties by letter dated 24 February 1999 and the notice of hearing was sent on 26 February 1999. Those were sent to the solicitors then on record as acting for Ms McCullum.
4 When the matter came on to be heard on 16 March 1999, there was no attendance by Ms McCullum nor was she represented. In the absence of any evidence from the Applicant, the Tribunal concluded that it did not have jurisdiction. That decision was promulgated on 19 March 1999. In the reasons for the decision, it was observed that the Originating Application had been provided without any particulars and the view was expressed that it was invalid because it did not comply with Rule 1 of the Employment Tribunal Rules of Procedure 1993. That view took no account of the decision of the Employment Appeal Tribunal in Burns International Security Services (UK) Ltd v Butt [1983] ICR 547 and it was not an accurate statement of law.
On 16 March 1999 there had been a one day hearing at Stratford and, as we have just noted, no one then attended for the Applicant. On 19 March the Summary Reasons were sent to the parties. It was held that the IT1 was one day out of time. In the absence of the Applicant the Employment Tribunal had felt that it had no alternative other than to refuse to extend time; the only details that it had suggested that the IT1 was indeed one day late and there was no one to explain why that was so or that the dates given were wrong.
"By letter dated 19 May, a letter received by Ms McCullum on 20 May, the Regional Secretary sent to Ms McCullum a copy of the decision of 16 March and a document entitled "Notes on Tribunal Decisions". The letter concluded:
"You can seek a review if you set out reasons why neither yourself nor your representative were at the hearing."
Paragraph 1 of the notes on Tribunal decisions is set out below:
"Please read these notes carefully. There are time limits for seeking a review of a decision or appealing against it; these limits are described in paragraphs 14 and 19 below."
Paragraph 14 indicated that the time limit for seeking a review was 14 days and, in paragraph 11, it was pointed out that an Employment Tribunal could, in exceptional circumstances, consider an extension of time."
That letter of 19 May was received by Ms McCullum on 20 May.
"The unanimous decision of the Tribunal is that the application of Ms McCullum for a review of the decision sent to the parties on 19 March 1999 is refused."
"We accept Ms McCullum's evidence that, throughout the first period she was in complete ignorance of the fact that a hearing had taken place on the jurisdiction issue and that a conclusion adverse to her had been reached. The reason for that ignorance was that her solicitors had kept that information from her. There is no arguable basis upon which it could be concluded that the solicitors were themselves in ignorance."
They also said:
"We consider it to be probable that had Ms McCullum's case been presented at the hearing on 16 March 1999, the Tribunal would have concluded that it had jurisdiction to consider her complaint of unfair dismissal. That is because the dismissal decision contained in the letter of 26 October 1998 was expressed to be conditional. The dismissal was not to take effect but was suspended pending consideration of medical retirement. We think it probable that we would have concluded that the dismissal did not take effect on 26 October and that the Originating Application was presented in time. We consider that as a factor to which we should attach some weight."
So, that first period down to 18 May 1999 is a period of delay which the Employment Tribunal was not willing to regard as culpable on Ms McCullum's part.
"We consider that it was reasonable to take advice from the union and we do not consider that it represented unreasonable conduct to have waited a month for a reply."
So, again, no material culpability on Ms McCullum's part.
"By 20 May 1999, Ms McCullum knew what had gone wrong and she knew what was required to remedy the situation. There was a further period of delay of some three months."
A little later they say:
"The delay from 20 May 1999 is simply too long and for which there exists no adequate excuse to allow it to be said that this review should be permitted to proceed."
Accordingly, the review was refused. As we have noted, that decision was sent to the parties on 10 December 1999. Thus the 42 period began on 10 December (the 42 day period during which an appeal needs to be lodged at the Employment Appeal Tribunal) and it expired on 20 January 2000.
"The application is substantially time barred and will cause severe prejudice to the Respondent. If this case is re-opened and it is remitted to an ET for determination, the Respondents will find it virtually impossible to deal with allegations relating back to 1998. Key witnesses have long left the Council's employ and memories have faded."
"The Appellant's dismissal was suspended on 26th October 1998 and was then apparently backdated to this date by letter of 30th November 1998. The grounds upon which the Respondent (apparently genuinely) claims that it would find it "virtually impossible" to deal with allegations 20 months old was so briefly stated that they cannot be either sensibly considered or countermanded. The Employment Tribunals (whether by way of adjourned first hearing or remission from the EAT) and the civil courts can and do regularly resolve factual disputes of much greater antiquity than those contained in this present case."
"AND UPON DUE CONSIDERATION of the Judgment given in UNITED ARAB EMIRATES AND (1) MR ABDELGHAFAR (2) DR A K ABBAS there has been shown no exceptional reasons why an appeal could not have been presented within the time limit laid down in paragraph 3(2) of the Employment Appeal Tribunal Rules 1993.
IT IS ORDERED that the application for an extension of time in which to present the Notice of Appeal is refused."
There is a period of 5 days allowed for appeal against such orders as that made by the Registrar. Ms McCullum's solicitors received the Order on 14 July. There is no explanation given for why more than 5 days was taken but it was not until 31 July that Ms McCullum appealed the Registrar's decision.
"I examined you on the following dates .. 12/12/00
and advised that you should refrain from work from . "
The certificate had plainly been overwritten in the sense that the 'from' was followed by '11.2.99' in heavier hand than the rest of the certificate and that needed some explanation. It looked as if it had been overwritten and changed, and, of course, Newham had had no opportunity to look into it because it was produced at the last minute. The Order that I made on that day, 20 February 2001, included this:
"AND UPON the application of the Appellant to adduce fresh evidence in the form of a Medical Certificate
IT IS ORDERED that the Appeal be adjourned generally for the following explanations to be given by way of affidavit(s):
1. The Doctor is to indicate whether it is his certificate and in what form it left him
2. If the Doctor's evidence suggests that it did not say as it appears now to say an explanation is required of what alterations have been made, when and by whom and for what purpose
3. Ms McCullum is to explain what, if any, role she has had in relation to the certificate
4. Ms McCullum's instructing solicitors to explain when they first saw the certificate and what steps were taken in relation to it."
Amongst other provisions liberty was given for the Appellant to substantiate her case further by affidavit to be served by 20 March 2001. That is sufficient of the background. I have also had, of course, oral arguments and 2 good comprehensive skeletons from both sides.
"Ms McCullum has given evidence in support of her application and that evidence has not been challenged. We consider that Ms McCullum has given her evidence carefully and accurately and we have no hesitation in accepting the truth of what she says."
The Appellant since then has criticised that decision to some extent by saying in a passage that appears in her present Notice of Appeal that she had given evidence at the Tribunal that during the period 30 June to 20 August the Appellant sought the advice of her children. She further sets out matters which she said that she had given in evidence.
"I am informed by the Appellant's legal advisers that the court is most interested in the period December 1999 to April 2000. In relation to her appointments between those two dates, I set out the primary complaints dealt with below: [one notices that these are the 'primary' complaints]
15/12/99: coughing
22/12/99, 13/1/00, 25/1/00, 27/1/00, 9/2/00, 29/3/00: skin irritation (dry skin/rash)"
He continues:
"Both of these conditions were in my judgment brought on by the Appellant's depressed and anxious condition. I should say that although the skin irritation was the problem at that time most in need of medical treatment (in relation to which the Appellant attended the skin clinic and hospital at this time) the Appellant exhibited a number of related conditions. She also suffered at this time from headaches, insomnia, stomach acidity, tiredness and aching in the body. The condition taken as a whole had a considerable mental impact upon the Appellant who suffered from an inability to make decisions, forgetfulness and clouded judgment."
He then dealt with the medical certificate about which doubts had been quite properly raised. He produced a copy of the medical certificate. He says that he filled it out for the Appellant during her appointment at the surgery on 12 December 2000. He says:
"I confirm that all the handwriting on the document is my own. In particular, I confirm that the correction of the dates during which the Appellant should refrain from work was also done by me and that those dates are intended to be read as 1st December 1999 to 30th April 2000. These dates were inserted by me on the request of the Appellant. Having knowledge of the Appellant's medical history and access to her medical records, I decided that I was prepared to make the certificate in the terms suggested; I do not here repeat the grounds upon which I base my conclusion that the Appellant was suffering from anxiety and depression and that this affected her to the degree required.
I failed to date the certificate itself. This was an oversight and I regret any inconvenience that this has caused"
It is notable that the Doctor, on an appointment on 12 December 2000, was prepared to make a certificate that covered the period that had begun more than a year earlier, namely, the period beginning 1 December 1999 to 30 April 2000. It is notable also that the dates had been requested by the Appellant herself. Those are, of course, highly material dates. The very fact that the Appellant was able to propose those dates suggests that she was well able to determine what was material and what was not as at 12 December 2000.
"The grounds upon which the Appellant seeks an extension of time are as follows: -"
Miss McCullum sets out a number of things that happened in the material period from December 1999 to April 2000 which, says Mr McCarthy, are inconsistent with a woman who was unable sufficiently to attend to matters to lodge a Notice of Appeal or give instructions that one should be prepared for her and then lodged. In paragraph 6(a) it says:
"The Appellant received the decision of the Employment Tribunal through her then solicitor Messrs Webster Dixon. The Appellant reviewed the decision dated 10th December 1999 and felt that the Tribunal had incorrectly stated that the further period of delay between 30th June 20th August was the Appellant's fault."
He draws attention to the fact that she was able herself to review the decision and to come to a conclusion - as indicated by the words 'and felt' - that it was incorrect. Paragraph 6(a) sets out a number of further dealings with Mr Webster, of that firm of solicitors.
" he could seek redress against P.C.D. York & Co for professional negligence and subsequently wrote a letter before action on the 20th January 2000."
Mr McCarthy says that it is unthinkable that instructions would not have been taken before the writing of a letter before action and that it is therefore inherent in that that Ms McCullum was able to give instructions of that nature.
"The Applicant instructed Messrs Webster Dixon to withdraw the IT1."
(That is a different IT1, but again it shows an ability to give instructions to solicitors.)
"The Appellant had instructed Messrs Webster Dixon to make representations to her insurance company Eagle Star - that she had a potential claim for negligence and/or breach of contract against P.C.D. York & Co."
No date is given for that but on the assumption that the grounds are set out chronologically it would seem to be shortly after February 2000 or thereabouts and therefore falling within the material period needing to be considered and showing her giving instructions to solicitors. Paragraph 6(f) shows that during March 2000 she left continuous 'phone messages for Mr Webster which were not returned, but she is plainly able to turn her mind to contact with her solicitors.
Sir, I would just like to seek permission to appeal to the Court of Appeal on this.
Would you like to give me some reason?
Sir, essentially this is a ..?? [inaudible] more unusual case given that the merits of the claim have not been determined and therefore in those circumstances there are special features of this claim ..?? [inaudible]
No, I refuse leave.
Application for Costs by London Borough of Newham
Sir, sorry, I would just make one application, and that is that this case was bound to fail from the very beginning and I now seek costs for today's application. To be very brief, there are only two facts that I would like to mention to you very quickly, and those are the ones I have already outlined. Firstly, the facts as mentioned in paragraph 6 of the Notice of Appeal are destructive of the Appellant's case, they show quite clearly that the argument put forward to you today of her inability to give instruction and take advice on the case is just inconsistent with paragraph 6. The second is that medical notes have not been produced or a full explanation by the Doctor, so even before we got here today, I say this case was doomed to fail because no proper explanation or no valid or no full explanation has been provided by the Appellant to show why she has been unable to produce a Notice of Appeal at the relevant time. Sir, as I say, no medical notes were produced, no proper explanation given by the Doctor and accordingly this case, as I say, was doomed to fail for those two reasons. I say Sir, that that is clear and facts are already before you on the Appellant's evidence - we have not produced any evidence on the Appellant's evidence this case could never have succeeded from the very beginning and that is clear from the evidence that has been produced on the second occasion, the second occasion and the lack of medical notes, the lack of a proper explanation given by the Doctor, and I go fully and wholly to say the lack of honesty by the Appellant in this case as well.
Sir, may I first say that this is the first notice we have had of an application for costs .[inaudible] To the application, I might say this, it has already been recognised that there were inconsistencies between what was stated at paragraph 6 and what was stated in the medical evidence. My submission is that there can't be doubt at this stage that the Applicant does suffer from a medical condition of a mental nature, the Respondent knows it, they dismissed her for it, and gave her early retirement on the basis of it. Even if [inaudible] your finding Sir, the fact is that matters of stress, anxiety, depression, do affect people's judgment, I recognise in a way here that can give rise to the success of the appeal but it clearly was something that was arguable in this case and actually what one has over this period is who suffers from a condition and is yet to take [inaudible]. Sir, what we have had is evidence from the Applicant and evidence from her physician as well and in my submission Sir, it can't be said at this stage that that evidence was dishonest evidence in some way. I recognise that full particulars were not given but the fact remains there was a genuine view held by the Doctor, and held by the Doctor over the relevant period and therefor in those circumstances what we ask you to do, and which you did, is to determine that that inconsistency between what was said in the appeal notice and what was in the evidence, and that the Tribunal as a Court to do that and the whole [inaudible] bound to fail.
Mr Justice Lindsay
Mr McCarthy applies for costs. He seeks to invoke Rule 34 of the Employment Appeal Tribunal Rules which says:
"Where it appears to the Appeal Tribunal that any proceedings were unnecessary, improper or vexatious or that there has been unreasonable delay or other unreasonable conduct in bringing or conducting the proceedings the Tribunal may order the party at fault to pay any other party the whole or such part as it thinks fit of the costs or expenses incurred by that other party in connection with the proceedings."
The proceedings were plainly not unnecessary in the sense that they were the only way in which Ms McCullum could have sought to take matters further. It can not be said that they are improper or vexatious, as it seems to me. I bear in mind, too, the argument that I mentioned, that there was here something to be said in her favour on the underlying merits of the substantive appeal. That was a factor in her favour, and also another factor in her favour was that there had been no true hearing on the merits. I do not feel able to 'shoehorn' her case into any of the descriptions that are given in Rule 34 and accordingly I do not think I have jurisdiction to order costs, but, even if I had, in my discretion I would not make an order for costs.