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You are here: BAILII >> Databases >> United Kingdom Employment Appeal Tribunal >> Riley v The Crown Prosecution Service (Practice and Procedure : Striking-out or dismissal) [2012] UKEAT 0043_12_1306 (13 June 2012) URL: http://www.bailii.org/uk/cases/UKEAT/2012/0043_12_1306.html Cite as: [2012] UKEAT 43_12_1306, [2012] UKEAT 0043_12_1306 |
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EMPLOYMENT APPEAL TRIBUNAL
FLEETBANK HOUSE, 2-6 SALISBURY SQUARE, LONDON, EC4Y 8JX
At the Tribunal
On 25 May 2012
Judgment handed down on 13 June 2012
Before
THE HONOURABLE MR JUSTICE WILKIE
(SITTING ALONE)
THE CROWN PROSECUTION SERVICE RESPONDENT
Transcript of Proceedings
JUDGMENT
APPEARANCES
(of Counsel) Instructed by: Leigh Day & Co Solicitors Priory House 25 St John’s Lane London EC1M 4LB
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(of Counsel) Instructed by: Messrs Simons Muirhead & Burton Solicitors 8-9 Frith Street London W1D 3JB
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SUMMARY
PRACTICE AND PROCEDURE – Striking-out/dismissal
The Employment Judge did not err, whether as a matter of law or as a matter of the exercise of his case management powers, in the circumstances and on the medical evidence, in striking out this claim, pursuant to Rule 18(7)(f) of the ET Rules 2004, on the ground that it was no longer possible to have a fair trial in these proceedings.
THE HONOURABLE MR JUSTICE WILKIE
Introduction
Chronology
3. In November 2007 she was transferred to the Lewisham team.
12. On 16 October 2009 an ET3 was served in relation to the first ET proceedings.
22. On 15 March 2011 there was a case management discussion in respect of the three ET claims.
23. On 12 April 2011 an internal appeal against the Claimant’s dismissal was rejected.
The Medical Evidence
“Is Miss Riley now well enough to conduct a trial starting on or after the 12th May 2011, if not why not?
71. In respect of question 4, she is not well enough to conduct the trial starting on or after the 12th May 2011 by reason of her severe depression without psychotic symptoms.
You are referred to the following paragraph in Dr Naguib’s … report of 27th April 2011...
“It remains my opinion that Miss Riley’s current clinical depression is secondary to the alleged harassment and discrimination at work. Miss Riley’s depression is disabling her from moving on with her plan and she feels stuck until justice happens.’
The CPS considers that even if this trial is postponed there is a real prospect that Miss Riley will find herself in exactly the same situation of incapacity on the next occasion because her depression is reactive to a situation which cannot be resolved until she participates in her trial.
a. Do you agree with the quotation from Dr Naguib’s report and the CPS’s view expressed as above?
b. Are you able to provide any firm prognosis for the Claimant so as to be able to identify a date upon which she is likely to be ready to commence a trial, or is it your view that she is unlikely to recover her capacity to recover until after such a trial?
72. In respect of 5a, I can agree that Miss Riley’s depression is disabling her from moving on with her plans and that she feels stuck until justice happens.
73. In respect of 5b, I can provide a further prognosis in so far as there is good research data using normal clinical patients where the STAR* D protocol was followed.
74. In this protocol about 70% of patients had a remission of their illness by the time the fourth tier of the protocol was completed. In the NHS setting I would expect it to take about 6 months to move between tiers on the protocol although this could be reduced to as little as 3 months in an assertively managed service or in a private setting. It would thus take between 12 – 24 months to reach the fourth tier.
75. While Ms Riley has had weekly psychotherapy for a prolonged period I am uncertain of the modality and it is quite clear from a variety of studies with her level of depression, psychotherapy is an inappropriate intervention in terms of recovery.
76. The primary steps would be to try a separate anti-depressant and then augment that with further treatment, namely other anti-depressants. She may well require the intervention of community psychiatric nurses and visits at home with a rehabilitation programme. There is about a 37% probability of remission by the end of the first tier rising to about 70% by the end of the fourth tier with a smaller proportion of patients improving after each tier.
77. However, the presence of PTSD in the past and the presence of ongoing psychosocial stressors namely financially issues and the on going litigation would suggest that the probabilities are less than those stated above.
78. As litigation is a major stressor it may well be the case that recovery is unlikely until after there is a solution in one manner or another.”
“Upper part of range, it’s the balance of probabilities most of the range is below”
34. Dr Naguib in oral evidence about the two year point said as follows:
“percentage probability at that point question depends on how she is going to respond. Approach was more and more assertive. The significant probability is very difficult to give a percentage. Not in disagreement with his (Dr Wise) opinion. Bases his figures on researches and trials would not elevate room for improvement into probability”
The Employment Judge’s decision
“Both experts agreed that litigation was a significant stress and that the determination of the litigation would be a step in the possible recovery of the claimant. The difficulty I am faced with, what Mr Cohen described as the chicken and an egg situation, is that the Claimant is not fit to attend the hearing to achieve determination of finality of the litigation and accordingly she will continue to be affected by the stress or worry associated with litigation which, until it is resolved one way or another, will not form part of the process towards her recovery. Dr Wise’s view, that the Claimants probability of entering remission is less than the 70% probability of achieving remission, when looking at clinical population was not essentially challenged.”
36. His conclusions on the issues of fact was expressed in paragraph 25 in the following terms:
“In my judgment, on the basis of the totality of the medical evidence the Claimant will not be fit enough to attend the hearing in 12 months, and on the balance of probabilities, not before the expiry of 2 years, having regard to the severity of her condition and Dr Wise’s opinion that she falls outside the statistical bases of a conclusion 70% of the public would achieve recovery by the end of the fourth tier of the STAR*D protocol.”
(a) The mounting costs,
(b) The dimming of recollections of the Respondent’s witnesses, which the Employment Judge thought had some substance,
(c) The worry and stresses of the Respondent’s witnesses, which, to some extent, the Employment Judge thought had merit.
(d) The fact that some witnesses had left the Respondent’s employment, which the Employment Judge did not regard as presenting an insuperable difficulty.
41. In paragraph 30 the Employment Judge described “the remaining matter as”:
“the absence of any definite prognosis in relation to the Claimant which I have already dealt with, and in my judgment the Claimant on the balance of probabilities will not be fit enough to attend a Tribunal hearing in the foreseeable future which in my judgment would involve of no more than 18 months at the outside.”
42. The Employment Judge then referred to the Court of Appeal’s guidance in respect of the issues of postponements in Andreou v The Lord Chancellors Department [2002] IRLR 128.
43. The Employment Judge reached his conclusions in the following paragraphs:
“34. I accept the submission of Miss Chute that in exercising its balancing exercise the ET has a very wide discretion. However, in my judgment, having taken all the matters into consideration, particularly the medical evidence, the Respondent will suffer further prejudice if this case is further delayed for a significant period. I have taken into account the prejudice to the claimant if the case is struck out and not having her case heard but sadly this is one of those cases where the weight of the medical evidence on the balance of probabilities does not provide an optimistic prognosis of when, if ever, the Claimant will be in a position to be well enough to take part in the proceedings.
35. Having taken into account all the factors and balanced the prejudice to the claimant and the prejudice to the respondent, in my judgment, on the basis of the medical evidence, a fair trial is regrettably not possible in the foreseeable future.”
44. In those circumstances he struck the case out.
An issue of law
45. Both Claimant and Respondent are agreed that an issue of law may arise in this case namely; the appropriate approach of the EAT when asked to adjudicate upon the correctness of a case management decision, to strike out a claim, or to refuse a postponement, where the necessary consequence of such a refusal is to bring the claim to an end.
46. The parties are agreed that there are two approaches which appear to have found favour with the Court of Appeal in different decisions in different contexts. One is that that such a case management decision is a matter for the ET’s discretion from which the Appellate Tribunal may only intervene on grounds of “Wednesbury unreasonableness” or perversity. The other is that where such a decision is made it concerns the fairness of the proceedings and, as such, requires the appellate body to decide whether the ET’s decision was the right one, an issue of law.
47. The former approach appears to have been adopted by the Court of Appeal in Teinaz v London Borough Wandsworth [2002] IRLR 721 [2002] EWCA Civ 1040, at paragraph 20 and 21. However, in that case, it was said that a request for an adjournment by a litigant, whose presence was needed for a fair trial but who was unable to attend through no fault of his, would usually have to be granted. A failure to do so would fall to be quashed on grounds that the ET had failed to have regard to a relevant matter, namely, the right to a fair trial under Article 6 of the ECHR.
48. A similar approach was identified in Andreou v Lord Chancellor’s Department [2002] IRLR 728, where Lord Justice Peter Gibson said that, in relation to an appellate court intervening with a decision of an ET to refuse an adjournment, the approach was to see whether the Tribunal was perverse or otherwise plainly wrong in refusing it (para 46).
49. The second approach is said to be that, where such a decision directly affects the “fairness” or otherwise of a hearing, the matter is not one for the discretion of the ET, subject to being overturned only on Wednesbury grounds, but requires the ET to reach the right conclusion, as a matter of law, on fairness, the ET having found the facts within the framework of which its decision on fairness has to be taken.
50. This line of authorities starts with Gillies v Secretary of State for Work and Pensions [2006] UKHL 2 [2006] 1 AER 731) at paragraph 6 and 7 of Lord Hope’s speech. That case concerned an allegation of apparent bias in the make up of the tribunal in question. The question whether a tribunal was properly constituted or was acting in breach of the principles of natural justice was a question of law to which there could only be one correct answer.
51. This approach appears to have been followed in Terluk v Berezovsky [2010] EWCA Civ 1345. The issue in that case was whether the litigation should be tried by a Judge alone or Judge and jury. In that case the question of “fairness” was, by reference to Gillies, said to be one that required a correct application of the legal test to the decided facts. Lord Justice Sedley, in paragraph 19, said “What the appellate court is concerned with is what was fair in the circumstances identified and evaluated by the judge.” In paragraph 20, however, he seemed to suggest that there may be more than one “fair” decision.
52. In Osborn & Booth v The Parole Board [2010] EWCA Civ 1409, which concerned the refusal by the Parole Board to grant oral hearings, Lord Justice Carnwath, at paragraphs 39-42, adopted a view which made a distinction between the decision maker’s consideration of the “general situation,” reviewable only on “Wednesbury” grounds, and the judgment of the Court, on the basis of that assessment, on what fairness requires, which would require the Court’s decision to be correct was a matter of law and would, accordingly, require the appellate court to decide the correctness of that decision and form its own view of what was fair. The other members of the Court of Appeal were Lord Justice Moses and Lord Justice Sedley. Lord Justice Moses concluded that the approach of the Court to the issues of fairness in the procedure of a lower Tribunal is not a “Wednesbury” test but is a matter of primary judgment (para 53) and Lord Justice Sedley, reminding himself of what he had said in Terluk v Berezovsky, said as follows:
“58. Thus, the recognition that fairness is a question of law has two implications which may be in tension with one and other. It means first and foremost that whether a step or decision was unfair is an appellate question, nor a review question, and so is not to be approached by simply asking whether it went outside a broad band of discretion. In fact I question whether discretion is the correct word for most such decisions. They are or ought to be exercises of judgment.
59. Secondly, however many such decisions turn on facts which it was for the Tribunal to ascertain and to evaluate. If and insofar as such findings are recorded by the lower tribunal they will be the basis on which the appellate court gauges the fairness of what the Tribunal decided to do…”
53. Those appellate authorities tend to suggest that where “fairness” directly engages a potential denial of an Article 6 right to a fair trial, the approach of an appellate court should be to regard the question of fairness as a question of law and not a question of discretion for the lower Tribunal, though the findings of fact on the basis of which both the lower court and, in turn, the appellate body have to decide upon fairness is, ultimately, a matter for the lower Court.
54. In a series of EAT decisions decided this year, different panels of the EAT have identified this potential, apparent, disconnect between two lines of appellate authority. In O’Cathail v Transport for London UKEAT/0247/11 the EAT, presided over by His Honour Judge David Richardson reflects this uncertainty. He appears to conclude that the starting point must be that the law requires a fair hearing and the question whether a Tribunal has met that fundamental requirement is a question of law. He appears to conclude that where a decision to grant or refuse an adjournment imperils the fairness of the proceedings, as a whole, the Appeal Tribunal must look for itself to see whether the effect of the decision has been to deny a fair hearing. However, at paragraph 37, he also refers to the fact that Lord Justice Sedley in Terluk had said there may be more than one fair solution to a difficulty. The question is whether the decision is a fair solution, not whether it is the fair solution.
55. In Pye v Queen Mary University of London UKEAT/0374/11, and in Osonnaya v South West Essex PCT UKEAT/0629/11/SM, the President of the EAT, Mr Justice Langstaff, also grappled with this apparent confusion in authority. Although it may not have been necessary in either case for the President to identify which approach he was adopting, he seems to be more prepared to adopt the approach that the question whether, in taking a decision to strike a case out or refuse a postponement with the consequence that the case would end, a Tribunal had met the fundamental minimum requirement of fairness, was a question of law which the appellate Tribunal had to decide.
56. In my judgment the decision of this Employment Judge, to strike out the claim and, as a consequence, to refuse the application for a postponement, directly affected the fairness of the proceedings so as to bring Article 6 into play. This is not a case where a single case management decision did not on its own directly affect a fair hearing, but might only do so having regard to the way the hearing had been conducted as a whole. On the contrary, the direct effect of this decision was to prevent the claim continuing and had the effect of denying the Claimant any hearing of her important claims. Accordingly I approach this matter on the basis that, if it were decisive I would follow the line of authority which requires the appellate body to decide whether the decision was the fair one rather than focussing on whether there is a “Wednesbury” reason to intervene.
57. However, as appears below, in my judgment, it does not matter which is the correct approach because in either event the outcome is the same.
Submissions and conclusions
58. Mr Galbraith-Marten has made two points. The first is that the Employment Judge erred in law and/or had regard to an irrelevant matter by artificially identifying, without any reasoning to support it, a period of eighteen months from the date of the hearing as constituting the “foreseeable future,” within which the Claimant would, on the balance of probabilities, have to be fit to attend the hearing. Accordingly it is said, that, in paragraph 35, when he came to the judgment that, on the basis of the medical evidence a fair trial was not possible in the foreseeable future, he was referring to the foreseeable future as limited to a period of no more than 18 months.
59. Mr Galbraith-Marten says that there is no reasoning in the Tribunal decision to demonstrate why a period of 18 months should be taken as the limit of the “foreseeable future” and that, by anchoring his reasoning to that unsupported assertion, the Employment Judge had regard to an irrelevant matter and/or failed, as a matter of law, properly to identify whether or not a fair hearing was no longer possible.
60. Mr Cohen has not sought to defend this apparent approach of the EJ. He argues, however, that the EJ was not in error in approaching the question of strike out by reference to whether the Claimant would, on the balance of probabilities, be able to attend and participate in the hearing of her claims within the foreseeable future, and that if she were not the fair decision, in the factual context, would be to strike her claim out under rule 18(7)(f). He says that the fixing of a period of eighteen months is not central to that exercise because, on the EJ’s findings about the medical evidence, she was not, on the balance of probabilities going to be fit enough to participate in the hearing of her claims within the foreseeable future. On that basis, he says, the fair decision was to strike the claims out.
61. In my judgment there is a degree of force in the narrow argument of Mr Galbraith-Marten. Indeed Mr Cohen, by implication, has conceded as much. The Employment Judge identified eighteen months as the limit of the “foreseeable future” without any explicit reasoning to support it. Accordingly, on that basis, and regardless of the approach I should adopt as required by the conflicting decisions of the Court of Appeal and above, I would regard that as constituting an error of law on the part of the Employment Judge. This is not so much because eighteen months might not be an appropriate measure of what was the foreseeable future in the circumstances of the case, but because his conclusion that it was is unsupported by any reasoning.
62. In my judgment, however, the EJ did not err in approaching the question of strike out by considering what the medical evidence demonstrated, on the balance of probabilities, was the prospect of the Claimant being well enough to participate in the hearing of her claims within the foreseeable future.
63. Mr Galbraith-Marten contends that the medical evidence does not support the conclusion that as of the 11 May 2011 it was no longer possible on that basis to have a fair hearing. He says that the Employment Judge over stated the effect of the medical evidence when he concluded at paragraph 25 that “on the balance of probabilities the Claimant will not be fit enough to attend a hearing before the expiry of 2 years”
64. Mr Cohen, on the other hand, says that the Employment Judge did not overstate the effect of the medical evidence and was entitled to conclude as he did at paragraph 34, having taken all the matters into consideration particularly the medical evidence, when he concluded that “this is one of those cases where the weight of the medical evidence on the balance of probabilities does not provide an optimistic prognosis of when, if ever, the Claimant will be in a position to be well enough to take part in the proceedings” and, in paragraph 35, where he said:
“In my judgment on the basis of medical evidence a fair trial is regrettably not possible in the foreseeable future.”
65. In my judgment, it is important to have regard to the chronology. The Claimant had been off sick from work since August 2008. This absence from work was linked to her grievances as early as December 2008. By August 2009 the Occupational Health report was recording that the then disciplinary investigation and the appeal process may be a significant and contributing stressor to the Claimant whose removal would significantly improve her ill health. Dr Naguib’s first psychiatric report in July 2010, in terms of commenting on progress, said that her problems were a direct result of her ongoing legal battle.
66. In that context Dr Wise’s report and in particular paragraphs 72, 76, 77 and 78 are highly significant. The conclusion of Dr Wise as to whether he was able to provide any firm prognosis as to when the Claimant was likely to be ready to commence a trial or whether she was unlikely ever to recover her capacity until after such a trial, was recorded, in paragraph 78, when he said, “Litigation is a major stressor. It may well be the case that recovery is unlikely until after there is a resolution in one manner or another”.
67. In my judgment, as the EJ concluded, that did give rise to a “chicken and egg” situation in which, on the balance of probabilities, the stress and depression which made the Claimant unfit to attend the hearing was caused to a significant degree by the conflicts at work and the claims she was making in the Employment Tribunal so that it was unlikely that she ever would be fit enough to conduct a Tribunal proceedings or give instructions to enable them to be conducted, as that litigation itself was a significant cause of that disabling illness.
68. In those circumstances, in my judgment, regardless of the unfortunate fixing of the “foreseeable future” by reference to a period of eighteen months, by the 11 May 2011, and in the context of the longevity and intensity of the depressive illness and its causes, the fair decision for all concerned, including the Respondent, was to conclude that a fair hearing was no longer possible. That was the decision to which the EJ came and is the decision to which I have come on the basis of the EJ’s findings as to the circumstances, including the import of the medical evidence
69. It follows, therefore, that, in my judgment, the decisions of the Employment Judge to strike out the claim and to refuse the postponement of its hearing were not wrong in law, whether as a matter of the exercise of his case management discretion, or as a question of law, in the factual circumstances and in the light of the medical evidence upon which the Employment Judge had to act.
70. Accordingly, this appeal is dismissed.