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England and Wales Court of Appeal (Civil Division) Decisions |
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You are here: BAILII >> Databases >> England and Wales Court of Appeal (Civil Division) Decisions >> Lipscombe v The Forestry Commission [2007] EWCA Civ 428 (09 May 2007) URL: http://www.bailii.org/ew/cases/EWCA/Civ/2007/428.html Cite as: [2007] EWCA Civ 428 |
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COURT OF APPEAL (CIVIL DIVISION)
ON APPEAL FROM The Employment Appeal Tribunal (3 judges)
UKEAT019106DA
Strand, London, WC2A 2LL |
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B e f o r e :
Vice President of the Court of Appeal, Civil Division
LORD JUSTICE BUXTON
and
LORD JUSTICE LLOYD
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Lipscombe |
Respondent |
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- and - |
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The Forestry Commission |
Appellant |
____________________
WordWave International Ltd
A Merrill Communications Company
190 Fleet Street, London EC4A 2AG
Tel No: 020 7421 4040 Fax No: 020 7831 8838
Official Shorthand Writers to the Court)
Mr Napier (instructed by Messrs Halliwells LLP) for the Appellant
Hearing date : 23rd April 2007
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Crown Copyright ©
Lord Justice Waller :
The legislation
"An employee shall not present a complaint to an employment tribunal under a jurisdiction to which the section applies if –
(a) it concerns a matter in relation to which the requirement in paragraph 6 or paragraph 9 of Schedule 2 applies; and
(b) the requirement has not been complied with."
"An employment tribunal shall be prevented from considering a complaint presented in breach of subsection (2) to (4) but only if –
(a) the breach is apparent to the tribunal from the information supplied to it by the employee in connection with the bringing of proceedings, or
(b) the tribunal is satisfied of the breach as a result of his employer raising the issue of compliance with those provisions in accordance with regulations under Section 7 of the Employment Tribunals Act 1996."
"(a) the party has reasonable grounds to believe that commencing the procedure or complying with the subsequent requirement would result in a significant threat to himself, his property, or any other person or the property of any other person;
(b) the party has been subjected to harassment and has reasonable grounds to believe that commencing the procedure or complying with the subsequent requirement would result in his being subjected to harassment; or
(c) it is not practicable for the party to commence the procedure or comply with the subsequent requirement within a reasonable period."
The facts
"In the short term you have to consider whether you want to take your case through the grievance procedure, with specific reference to harassment and bullying."
"I previously felt that this gentleman had relatively mild psychological symptoms. It is now my opinion that his symptoms are more substantial and that he has a moderately severe depressive illness."
"Whilst there is no obligation upon us to do so, nonetheless we feel an obligation to draw your attention to paragraph 6 of the Employment Act 2002 (Dispute of Regulations) 2004. In particular paragraph 6 states that any grievance about any action of an employer that could form the basis of a complaint by an employee to an Employment Tribunal should first be the subject of a grievance process within The Forestry Commission. This requires the employee to indicate that they wish a grievance hearing and they are required to do this in writing."
"A most noble gesture indeed. I suggest the management investigation not only met but far exceeded the requirement of the said Employment Act (pity the FC only permitted less than 25 per cent completion.)"
The Proceedings
Background to decision of the EAT
Mr Napier's submissions
"These authorities show that although the Employment Appeal Tribunal has a discretion to allow a new point of law to be raised (or a conceded point to be reopened) the discretion should be exercised only in exceptional circumstances, especially if the result would be to open up fresh issues of fact which (because the point was not in issue) were not sufficiently investigated before the industrial Tribunal. In Kumchyk the Employment Appeal Tribunal (presided over by Arnold J) expressed the clear view that lack of skill or experience on the part of the appellant or his advocate would not be sufficient reason. In Newcastle the Employment Appeal Tribunal (presided over by Talbot J) said that it was wrong in principle to allow new points to be raised, or conceded points to be reopened, if further factual matters would have to be investigated. In Hellyer this court (in a judgment of the court delivered by Slade LJ which fully reviews the authorities) was inclined to the view that the test in the Employment Appeal Tribunal should not be more stringent that it is when a comparable point arises on an ordinary appeal to the Court of Appeal. In particular it was inclined to the view of Widgery LJ in Wilson v Liverpool Corporation [1971] 1 WLR 302. 307, that is to follow:
"the well-known rule of practice that if a point is not taken in the court of trial, it cannot be taken in the appeal court unless that court is in possession of all the material necessary to enable it to dispose of the matter fairly, without injustice to the other party, and without recourse to a further hearing below."
"However the search for justice requires some difficult reconciliations of conflicting principles, and there is a strong public interest in finality in litigation. The rule or practice embodied in the authorities mentioned earlier in this judgment is not regarded as a matter of technicality, but of justice to a respondent who may be plunged into yet more litigation : see for instance Sir John Donaldson in GKN (Cwmbran) at page 219 and Arnold J in Kumchyk at page 1123. Sometimes the rule does result in a case being decided on a basis of law that is not merely arguably, but demonstrably wrong by the time it reaches the appellate court : Wilson v Liverpool Corporation is itself a striking example."
"It is well established in the authorities binding on this court that the Appeal Tribunal is entitled, in the exercise of its discretion, to refuse to allow a represented party to take for the first time on appeal a new point of law which goes to jurisdiction and has been decided by the employment tribunal on the basis of evidence given to it: see Glennie v Independent Magazines (UK) Ltd [1999] IRLR 719; Kumchyk v Derby City Council [1978] ICR 116. The Appeal Tribunal should not allow a new point to be taken unless there are exceptional circumstances: Jones v Governing Body of Burdett Coutts School [1999] ICR 38 at 47. In this case there were no exceptional circumstances. Indeed, the list of race discrimination issues agreed at the third directions hearing made it clear that Mrs Khan was not then making any discrimination or victimisation claim in respect of the internal appeals."
"14. However we have come to the conclusion that this is an exceptional case. The Claimant was a litigant in person. He is articulate in his approach. He is, however, suffering from a mildly severe stress disorder and an allowance should be made for that. When we said above that the Claimant may have lost sight of exactly what he had to show, we mean to say that his focus on early matters may have distracted him from the simple solution which was that his resignation letter itself complied. Indeed, his resignation letter drew attention to the 2003 matters and in response to the Respondent's very fair suggestion that he consider the statutory regime (see paragraph 34 of the Tribunal's reasons) he again asserted that what he was doing had already exceeded the requirements of the statutory regime. With those materials in mind, the Tribunal ought in our judgment to have held that there was compliance with the statutory regime.
15. The Tribunal cannot be criticised for not understanding the position more carefully. It must be borne in mind that there had been little, if any, guidance from the EAT in relation to the statutory regime, the major authority Shergold v Fieldway Medical Centre [2006] IRLR 76 only being published on 5 December 2005. That was a judgment of Burton J (P), sitting with Mr Worthington, who sits with us today, and with Mr Harris. It is fair to say that the principles set out in that judgment represent a more flexible approach to the statute and we accept the submissions made by Mr Paterson in his skeleton argument as to the impact of these matters, but we need not rehearse them. The Claimant was a litigant in person, was suffering from the stress disorder, drew attention to his earlier 2003 matters and linked them in his three letters which were before the Tribunal. Although the Claimant did at one stage tick the box saying he had not carried out the procedures, and did so on legal advice, when he went into the Employment Tribunal he was likely to be confused as to the meaning of a formal grievance. In our judgment, the Tribunal erred in failing to recognise that that was his case.
16. If we are wrong about that and the Tribunal was correct to hold that he had conceded the point, we consider it is in exceptional circumstances that we will allow this matter to be opened. Our path to do so has been made easier by Mr Paterson's concession that the written material would constitute a grievance if that point were put."
Mr Lipscombe's response and consideration of the criticisms
"We therefore accept that the normal retiring age is a matter which goes to jurisdiction. However the position facing the employers when the preliminary point as to jurisdiction came to be heard by the industrial tribunal was that it had all the relevant information about its own employees, their terms of employment and the practice of the employers concerning retirement. There were no doubt in principle several, or at least two, ways in which they might persuade the industrial tribunal that the employee was outside the pale erected by section 64(1)(b). They chose to try to persuade the industrial tribunal that this was because the normal retiring age was 64. This was no mere oversight by a litigant in person but an assertion made in particulars given by a litigant in response to a formal request who had the benefit of very experienced and skilled solicitors and counsel. In fact the attempt thus to persuade the industrial tribunal was successful but for reasons given earlier we are of the view that it should not have succeeded. We are unpersuaded that it would be just for the employers to have a second bite at the cherry of trying to persuade the industrial tribunal that the employee is disqualified by section 64(1)(b) of the Act by advancing evidence which was always available but was not used for what no doubt at the time seemed to be excellent reasons. We are far from satisfied that it is quite plain that the industrial tribunal has no jurisdiction. On the evidence before it we consider the opposite to have been established. We do not consider that it would be right at this stage to allow the employers to pursue the possibility (and it is no more than that) of establishing the contrary."
"Knox J was wise to leave open the possibility that, in the case of an unrepresented party, justice might demand the Employment Appeal Tribunal to put right what appeared to be a glaring injustice, even though, strictly, the evidence on which the unrepresented party sought to rely would have been available before the Tribunal. However, I do not understand him to be envisaging the possibility that, when a represented party has fought and lost a jurisdictional issue on agreed facts before the Tribunal, it should then be allowed to resile from its agreement and seek a new Tribunal hearing in order to adduce evidence which would then be challenged, and invite the Tribunal to decide the question of jurisdiction all over again on new facts. The general rules laid down by Arnold J in Kumchyk about a party not being allowed to resile from what his representative has decided to do, are surely of equal applicability here."
"The Employment Appeal Tribunal possesses a discretion, which must be exercised in accordance with established principles, to allow a new point to be raised before it for the first time. It is a general principle of the law that it is a party's duty to bring forward the whole of his case at the proper time. The reasoning of Robert Walker LJ in Jones v Governing Body of Burdett Coutts School [1999] ICR 388 is, with great deference, consonant with this. A new point ought only to be permitted to be raised in exceptional circumstances, as Robert Walker LJ held at page 44B. If the new issue goes to the jurisdiction of the Employment Appeal Tribunal below, that may be an exceptional circumstance, but only, in my judgment, if the issue raised is a discrete one of pure or hard edged law requiring no or no further factual inquiry. There is a public interest, beyond the interests of individual parties, that statutory tribunals exercise the whole of but exceed none of the jurisdiction which Parliament has given them upon such facts as are proved or admitted before them. I do not consider that this case falls within that category . . ."
Conclusion
Lord Justice Buxton : I agree
Lord Justice Lloyd : I also agree