At the Tribunal | |
Before
HIS HONOUR JUDGE J McMULLEN Q.C.
MR M R SIBBALD
MR R P THOMSON
APPELLANT | |
(2) HCI (SCOTLAND) LTD |
RESPONDENTS |
Transcript of Proceedings
JUDGMENT
For the Appellant | Dr A Ahari, In Person Flat 1/R 20 Dixon Avenue GLASGOW G42 8ED |
For the 1st Respondent For the 2nd Respondent |
Mr E McHugh, Solicitor Of- Messrs Dundas & Wilson Solicitors 191 West George Streeet GLASGOW G2 2LD Mr R Mackay, Solicitor Of- Messrs Burness Solicitors 242 West George Street GLASGOW G2 4QY |
Postponement or stay
Absence of party
(1) Claimant failed to comply with ET's direction that it required medical evidence before it would consider a postponement and the ET did not err in refusing his application.
(2) In then dismissing the case (4 days into the hearing) ET acted within its discretion: Roberts v Skelmersdale College [2004] IRLR 69 applied
HIS HONOUR JUDGE McMULLEN QC:
Introduction
The issues
The appeal
The legislation
"(5) If a party fails to attend or to be represented (for the purpose of conducting the party's case at the Hearing) at the time and place fixed for the Hearing, the tribunal may dismiss or dispose of the proceedings in the absence of that party or may adjourn the Hearing to a later date.
(6) If the tribunal wishes to dismiss or dispose of proceedings in the circumstances described in paragraph (5), it shall first consider any information in its possession which has been made available to it by the parties."
Rule 34 provides five gateways for a review, which we explore in para 12 below. Rule 36 deals with the powers on a review and consists of the following:-
"36. - (1) When a party has applied for a review and the application has not been refused after the preliminary consideration above, the decision shall be reviewed by the chairman or tribunal who made the original decision. If that is not practicable a different chairman or tribunal (as the case may be) shall be appointed by a Regional Chairman, the Vice President or the President.
(2) ….
(3) A tribunal or chairman who reviews a decision under paragraph (1) or (2) may confirm, vary or revoke the decision. If the decision is revoked, the tribunal or chairman must order the decision to be taken again. When an order is made that the original decision be taken again, if the original decision was taken by a chairman without a hearing, the new decision may be taken without hearing the parties and if the original decision was taken at a hearing, a new hearing must be held"
The facts
"The Applicant is of Azerbaijani Iranian origin and is a qualified anaesthetist with British postgraduate qualifications. On 3 February 2000, he was interviewcd for the post of Clinical Research Fellow in Anaesthesia at Glasgow University by Professor G N C Kenny. However, at this interview, Professor Kenny asked the Applicant why he had resigned from his previous employment as a Specialist Registrar in London. When advised that it was because he had been the victim of racial discrimination, Professor Kenny indicated to the Applicant that he would wish to investigate the matter further. Subsequently, however, Professor Kenny did offer the post of Clinical Research Fellow, in a letter dated 5 April 2000, subject to a 3-month probationary period. The contract was altered at a later stage by the issue of a second document changing the title to Clinical Lecturer in Anaesthesia.
From June 2000 onwards, the Applicant began experiencing harassment at work at the hands of Professor Kenny, Dr Dominic Ray, Dr N B Scott, Dr Lal and Dr Sutcliffe. In summary, the major difficulty being experienced was that the Applicant was prevented from fulfilling the main objectives of his contract with Glasgow University. He was required to undertake an excessive burden of clinical work and was not permitted to fulfil the research aspects of his contract which were important to him. In addition, the distribution of clinical work was inequitable, the Applicant being given an unfair burden.
When he attempted to make representations concerning the failure to advance research opportunities and the inequitable and excessive clinical workload he was being expected to undertake, the response received was hostile and abusive in nature. On one occasion in June 2000, when the Applicant wished to go to Glasgow University to obtain information to further his research, Dr Ray told him that he had to stay at HCI, saying "We pay you to work here. If you go, don't come back. We will send you back to where you come from.". On another occasion, Dr Lal tapped him on the shoulder and referred to him as the "Sultan of Iran". On 2 other occasions in the same month, Dr Lal had called him "the Sheikh from Iran".
A number of other complaints was made but that contains the gist of it. The Claimant was eventually dismissed in 2001 and so the career of the Claimant was short. The events are said by the Claimant to begin in June 2000 but effectively owe their origins to his appointment in February 2000, some five years before the dismissal of the Claimant's case by the Employment Tribunal in January 2005.
"1. By unanimous decision of the Employment Tribunal dated 21 January 2005, the claim was dismissed. The Tribunal's written reasons for the decision to dismiss the claim are contained in a judgment dated 26 January 2005. The claim was dismissed on the joint application of the respondents after the claimant failed to attend a Hearing on 21 January 2005. The claimant had requested that the Hearing be postponed due to his ill health. The request was made on 20 January 2005 in a fax to the Tribunal. In response to his request the claimant was informed in a fax from the Tribunal that the Chairman required him to provide a soul and conscience certificate confirming inter alia that his medical condition prevented him from attending the Hearing on 21 January 2005. The fax was sent by the Tribunal to the claimant at around 14.40 hours on 20 January 2005. The claimant failed to provide the Tribunal with a soul and conscience certificate before the Hearing on 21 January 2005. The claimant failed to provide the Tribunal with an explanation as to why he was unable to obtain a soul and conscience certificate before the Hearing on 21 January 2005. When the cased called on 21 January 2005 there was no appearance or representation on behalf of the claimant. The claimant's application for a postponement of the Hearing was refused. On joint application, the respondents sought dismissal of the proceedings. The application for dismissal was granted.
2. By letter dated 21 January 2005, the claimant was informed of the Tribunal's decision to dismiss the claim. His attention was drawn to the terms of Rule 34 of the Rules of Procedure 2004 detailing the circumstances in which a party may apply for a decision to be reviewed. By letter dated 21 January 2005, the claimant wrote to the Tribunal as follows;
"I acknowledge receipt of a fax and a telephone message on my answering machine at 21:30, today. I shall write to you in fuller detail.".
By letter dated 23 January 2005, the claimant wrote to the Tribunal requesting that it review its decision to dismiss the proceedings. The claimant stated he was devastated to know that his case had been dismissed in his absence. He stated;
"I would like to bring to your attention that due to illness I was unable to attend the hearing, to give evidence, and to represent myself on 20 and 21 January 2005. I shall outline the nature of the illness below. At the time my main concern was the disabling condition that was troubling me. Following your fax, I am now aware of the instructions of the Chairman regarding her requirements. Therefore, I will contact my Doctor on the first working day this week, and meet with him at the earliest opportunity to fulfil the Chairman's requirements, as indicated in your recent letter."
3. The claimant described his medical condition on 20 and 21 January 2005 as "two episodes of sudden dizziness progressing to vertigo, nausea and vomiting, loss of balance and inability to walk, feeling of becoming incontinent, and loud tinnitus in my left ear". He described the symptoms as being most severe for a period of approximately one hour but continuing for a number of hours causing severe tiredness as a result of which he fell into a deep sleep for several hours. The claimant stated that when the symptoms were at their most severe he had to remain still and could not physically go and meet with his doctor to obtain a soul and conscience certificate. He undertook to obtain a certificate at the first possible opportunity. He apologised for the inconvenience caused by his medical condition but questioned whether there was anything he could have done to alleviate or prevent it. He stated that his illness came without warning and that the only thing that he could do was to ask his wife to contact the Tribunal to confirm his condition. The claimant stated that although his present condition was the most serious he had ever experienced he remained as determined as ever to continue with his case on the dates previously fixed by the Tribunal.
4. By letter dated 24 January 2005, the claimant provided the Tribunal with a soul and conscience certificate dated 24 January 2005 from his General Practitioner, Dr Daniel McGhee of Townshead Health Centre. The certificate is in the following terms;
"I write to certify that Dr Abdolreza Ahari was UNFIT to attend an Employment Tribunal on 20th and 21st January because of the severity and intensity of an episode of Tinnitus and Dizziness which he has experienced from time to time, lasting from a few hours to a few days. This has now cleared and he is now fit to resume attendance"."
"11. Having refused the application for a postponement of the Hearing, the Tribunal considered the respondents' joint application for dismissal of the proceedings. The Tribunal had regard to the overriding objective of the Rules of Procedure to deal with cases justly. This includes, so far as practicable, to deal with cases expeditiously and fairly.
12. The inevitable prejudice to the claimant of dismissing the claim has to be balanced against the prejudice to the respondents of adjourning the Hearing to a later date. The case is already more than three and a half years old having been presented in May 2001. On the last occasion when the claimant obtained a Postponement of a Hearing, it was a number of months before he next contacted the Tribunal to confirm that he was in a position to proceed. The claimant has made serious allegations against the respondents. A number of the allegations concern the professional integrity of the respondents' employees. The respondents are entitled to have the complaints against them dealt with within a reasonable period of time. A number of the respondents' witnesses are medical consultants. They are required to make arrangements, at some considerable expense, for locum cover to allow them to attend the Tribunal to give evidence. The cost and inconvenience caused to the respondents by the claimant failing to attend a Hearing and failing to provide any clear indication as to when he will be able to proceed with his case is considerable.
13. The Tribunal took into account that the claimant has sought a postponement on grounds of his ill health. He has failed however to provide information in the form of a soul and conscience certificate to justify his inability to attend the Hearing to conclude his evidence. From the information before it, the Tribunal was not satisfied that the claimant had provided an adequate explanation for his failure to attend the Hearing or that a further adjournment of the proceedings was justifiable. There was nothing in the claimant's letter of 21 January 2005 to suggest that he was making any attempt to obtain a soul and conscience certificate. The claimant cannot expect to be allowed to have Hearings postponed and the case adjourned without providing the Tribunal with sufficient evidence as to why he is unable to attend and when he will be able to proceed with the case.
14. In the above circumstances, and having had regard to the information in its possession which was made available to it by parties, the Tribunal decided that it was appropriate to dismiss the proceedings in terms of Rule 27(5) of the Rules of Procedure."
That was amplified in the review judgment where the Tribunal said this:-
"As referred to in the judgment dismissing the case, the claimant has made serious allegations against the respondents. These have been outstanding for a period of years. The respondents are entitled to have the complaints made against them dealt with in a reasonable period of time. They are entitled to say that the claimant has been given ample opportunity to present his case and that by failing to attend a Hearing and comply with the requirements of the Tribunal he should not be allowed to prolong the case any further. There will be significant prejudice caused to the respondents by allowing the case to be reinstated. This is not the first occasion on which they have made arrangements at some considerable expense to attend the Tribunal only to find that the Hearing has not taken place due to the claimant's failure to attend. A Hearing scheduled to start in December 2003 had to be postponed in very similar circumstances to those in January 2005 when the claimant failed to attend on the basis that he was too unwell. If the case is reinstated it will be number of months before it can next come to a Hearing. Further delays cause inevitable prejudice to a party seeking to defend claims about events which took place a number of years ago. The Tribunal appreciates that the issues raised in the case are of considerable concern to the claimant. By refusing to reinstate the case, the Tribunal recognises that he will be prejudiced by losing the opportunity to conclude his claim. The Tribunal also recognises that their decision to grant the respondents' application to dismiss the case may well be viewed as a harsh one. It was a difficult decision but the Tribunal must have regard to the principle that the interest of justice applies to both sides of a case. The Tribunal having considered the circumstances of this case and the parties' submissions was not satisfied that it is in the interests of justice to revoke its earlier decision to dismiss the claim."
The Claimant's case
The Respondents' case
The legal principles
"The law is clear that where it cannot be shown that the tribunal of original jurisdiction has either misdirected itself in law, entertained the wrong issue, or proceeded upon a misapprehension or misconstruction of the evidence, or taken into account matters which were irrelevant to its decision, or has reached a decision so extravagant that no reasonable tribunal properly directing itself on the law could have arrived at, then its decision is not open to successful attack. It is of no consequence that the appellate tribunal or court would itself have reached a different conclusion on the evidence. If there is evidence to support the decision of the tribunal of first instance then in the absence of misdirection in law--which includes the tribunal's selection of the wrong question to answer--that is an end of the matter."
"14. A number of points may be observed about rule 9(3). First, it confers on employment tribunals a very wide discretion to deal with cases (which are not uncommon) of when a party fails to attend or to be represented at the time and place which has been fixed. Secondly, if the absent party is the applicant, as was the case here, the tribunal may, in its discretion, do one of a number of things: (i) it may adjourn the hearing to a later date; (ii) it may dismiss the application; or (iii) it may dispose of the application in some other way than adjourning it or dismissing it.
15. Thirdly, the rule does not impose on employment tribunals a duty of their own motion to investigate the case that is before them, nor does it impose a duty on them to be satisfied that, on the merits, the respondent to a case has established a good defence to the claim of the absent applicant. For example, in an unfair dismissal case where, as here, it is common ground that there has been dismissal, the burden of establishing the reason for the dismissal is on the respondent/employer. But rule 9(3) does not require the employment tribunal to hear evidence from the respondent in order to determine for itself substantively the reason for the dismissal, or to satisfy itself as to whether, if the dismissal was for a potentially fair reason, it was fair and reasonable to dismiss the applicant/employee for that reason.
16. In the exercise of its discretion, the tribunal would be entitled to require the respondent to produce evidence, but the rule does not impose any duty on the tribunal to follow that course. The rule requires that, before exercising its discretion whether to adjourn the matter to a later date, to dismiss the application or to dispose of it in the absence of a party, the tribunal must first consider a number of matters. Those matters all refer to documents that would be before the tribunal, such as the originating application of the applicant, the notice of appearance of the respondent, any written representations which have been made to the tribunal by the applicant, or any written answer furnished to the tribunal under rule 4(3)."
Conclusions