BAILII is celebrating 24 years of free online access to the law! Would you consider making a contribution?
No donation is too small. If every visitor before 31 December gives just Β£1, it will have a significant impact on BAILII's ability to continue providing free access to the law.
Thank you very much for your support!
[Home] [Databases] [World Law] [Multidatabase Search] [Help] [Feedback] | ||
United Kingdom Employment Appeal Tribunal |
||
You are here: BAILII >> Databases >> United Kingdom Employment Appeal Tribunal >> Unison & Anor v National Probation Service South Yorkshire & Anor [2010] UKEAT 0339_09_0402 (4 February 2010) URL: http://www.bailii.org/uk/cases/UKEAT/2010/0339_09_0402.html Cite as: [2010] UKEAT 339_9_402, [2010] IRLR 930, [2010] UKEAT 0339_09_0402 |
[New search] [Printable RTF version] [Help]
At the Tribunal | |
On 4 February 2010 |
Before
HIS HONOUR JUDGE RICHARDSON
(SITTING ALONE)
(1) UNISON
(2) MISS A FENTON |
APPELLANT |
(2) ADDACTION |
RESPONDENT |
Transcript of Proceedings
JUDGMENT
For the Appellants | MISS KERRY SMITH (of Counsel) Instructed by: Messrs Thompsons Solicitors Arundel House 1 Furnival Square Sheffield South Yorkshire S1 4QL |
For the First Respondent For the Second Respondent |
MR NICHOLAS SIDDALL (of Counsel) Instructed by: Messrs Watson Esam Solicitors 18 Paradise Square Sheffield South Yorkshire S1 1TY MR ANDREW SUGARMAN (of Counsel) Instructed by: SGH Solicitors LLP One America Square Crosswall London EC3N 2SG |
SUMMARY
PRACTICE & PROCEDURE
APPLICATION/CLAIM
ET1 submitted with a fully pleaded case identifying two Claimants however ET1a omitted. Employment Judge held that no valid claim presented by second Claimant appeal allowed principles in Hamling v Coxlease School applied; observations on procedure to be followed where Tribunal staff do not appreciate that a claim has been made review application not necessary.
HIS HONOUR JUDGE RICHARDSON
"It is well known that certain aspect of the 2004 Rules have created considerable difficulties for tribunals and parties to tribunal proceedings. Chairmen have been confronted by a number of situations in which one party or the other appears, pursuant to the Rules, because of some failure or supposed failure to comply strictly with the provisions of the Rules, to be in a position in which he or she is unable to pursue a claim or to defend a claim on the merits. As a result, a number of decisions have been made by the Employment Appeal Tribunal which throw light on the manner in which some, at least, of the difficulties which have arisen can and should be resolved"
The Factual Background
"Unison reg 13 of TUPE claim. See attached details of claim".
The Rules of Procedure
"3. Overriding objective
(1) The overriding objective of these Regulations and the rules in Schedules 1, 2, 3, 4, 5 and 6 is to enable tribunals and [Employment Judges] to deal with cases justly.
(2) Dealing with a case justly includes, so far as practicable:-
(a) ensuring that the parties are on an equal footing;
(b) dealing with the case in ways which are proportionate to the complexity or importance of the issues;
(c) ensuring that it is dealt with expeditiously and fairly; and
(d) saving expense
(3) A tribunal or [Employment Judge] shall seek to give effect to the overriding objective when it or he:
(a) exercises any power given to it or him by these Regulations or the rules in Schedules 1, 2, 3, 4, 5 and 6; or
(b) interprets these Regulations or any rule in Schedules 1, 2, 3, 4, 5 and 6]
(4) The parties shall assist the tribunal or the [Employment Judge] to further the overriding objective."
"(1) On receiving the claim the Secretary shall consider whether the claim or part of it should be accepted in accordance with rule 3. If a claim or part of one is not accepted the tribunal shall not proceed to deal with any part which has not been accepted (unless it is accepted at a later date). If no part of a claim is accepted the claim shall not be copied to the respondent."
"(1) When a claim is required by rule 1(3) to be presented using a prescribed form, but the prescribed form has not been used, the Secretary shall not accept the claim and shall return it to the claimant with an explanation of why the claim has been rejected and provide a prescribed claim form.
(2) The Secretary shall not accept the claim (or a relevant part of one) if it is clear to him that one or more the following circumstances applies-
(a) the claim does not include all the relevant required information; [or]
(b) the tribunal does not have power to consider the claim (or that relevant part of it)
(c) ..
(3) If the Secretary decides not to accept a claim or part of one for any of the reasons in paragraph (2), he shall refer the claim together with a statement of his reasons for not accepting it to [an Employment Judge]. The [Employment Judge] shall decide in accordance with the criteria in paragraph (2) whether the claim or part of it should be accepted and allowed to proceed.
(4) If the [Employment Judge] decides that the claim or part of one should be accepted he shall inform the Secretary in writing and the Secretary shall accept the relevant part of the claim and then proceed to deal with it in accordance with rule 2(2).
(5) If the [Employment Judge] decides that the claim or part of it should not be accepted he shall record his decision together with the reasons for it in writing in a document signed by him. The Secretary shall as soon as I reasonably practicable inform the claimant of that decision and the reasons for it in writing together with information on how that decision may be reviewed or appealed.
(6)
(7) Except for the purposes of paragraph (8) or any appeal to the Employment Appeal Tribunal, where [an Employment Judge] has decided that a claim or part of one should not be accepted such a claim (or the relevant part of it) is to be treated as if it had not been received by the Secretary on that occasion.
(8) Any decision by [an Employment Judge] not to accept a claim or part of one may be reviewed in accordance with rules 34 to 36. If the result of such a review is that any parts of the claim should have been accepted, then paragraph (7) shall not apply to the relevant parts of that claim and the Secretary shall then accept such parts and proceed to deal with it as described in rule 2(2).
(9) A decision to accept or not to accept a claim or part of one shall not bind any future tribunal or [Employment Judge] where any of the issues listed in paragraph (2) fall to be determined later in the proceedings.
(10) Except in rule 34 (review of other judgments and decisions), all references to a claim in the remainder of these rules are to be read as references to only part of the claim which has been accepted."
Those are the rules most closely engaged by this appeal.
"(1) Parties may apply to have certain judgments and decisions made by a tribunal or [an Employment Judge] reviewed under rules 34 to 36. Those judgments and decisions are-
(a) a decision not to accept a claim, response or counterclaim "
The Employment Judge's reasons
"43. Is there a competent claim before the Tribunal? I say not. Whilst conscious of the judgment in Hamling v Coxlease and in Richardson v U Mole Limited [2005] IRLR 668 it seems to me that the administrative staff had no reason to believe that UNISON was making a claim. There was no acceptance of any such claim and that would have been, I suggest, apparent to Thompsons even if at that stage they may have thought that they had sent details relating to UNISON on the claim form. They were never received by the Tribunal, not that is until they accompanied a later letter in August from those solicitors. I take the view that that should have triggered a review application, which has never been made.
In my judgment therefore the Tribunal has no claim before it from UNISON because quite simply the required information is not contained within it. No such claim was ever accepted and no review application has ever been made in respect of it. As is pointed out by Counsel for the Respondents the review procedures set out what has to be done. Grounds for review have to be set out and UNISON's solicitors have simply not done this.
44. There is therefore no competent claim before the Tribunal .."
" In so far as the application to amend is concerned I am not prepared to allow that, it is out of time and I can see no excuse for it being out of time and to allow it in now would, I believe, be more prejudicial to the Respondents who, as Mr Sugarman rightly said, might well have to bear consequences because the Section 15 (TUPE) claim would relate to several employees. Further, the Union's claim is different, quite different to the ones by Miss Fenton which Miss Smith seeks to amend."
Submissions
Conclusions
"35. On a true construction of the Rules, I am not satisfied that the exercise of consideration by a chairman, on a referral of a claim form by the secretary, is confined to the mechanistic exercise of checking-off the list of required information in rule 1(4) against the content of the form. The rules envisage both an administrative scrutiny (by the Secretary) and a judicial scrutiny (by the chairman). Obviously, the chairman's role under rule 3(3) envisages (in part) a double-check as to whether there has been any omission at all but it goes further than that. It is a truly judicial function. As HHJ Prophet has said in Grimmer v KLM Cityhopper UK [2005] IRLR 595 (at [8]):
'The chairman, unlike the secretary, whose functions are administrative has, as an independent judicial person, to do more than merely run down a checklist. He or she must have in mind the overall interests of justice. It is a very serious step to deny a claimant or for that matter a respondent the opportunity of having an employment rights issue resolved by an independent judicial body i.e. an employment tribunal. Most chairmen would not wish to feel forced to do so without there being a very good reason.'
..
40. In the instant case, therefore, the chairman ought to have asked himself both whether the omission of the claimant's address from the present claim form was (1) a 'relevant' omission and (2) a 'material' or overriding omission. In asking and answering both questions, the chairman was required to have regard to the overriding objective in reg. 3. That emerges plainly again from HHJ Prophet's judgment in Grimmer (at paragraph [11]) itself adopted and applied HHJ Burke QC in Butlins Skyline. It also echoes what was said by Lord Woolf MR in Secretary of State v Ravichandran [2000] 1 WLR at 359:
'Because of what can be the very undesirable consequences of a procedural requirement which is made so fundamental that any departure from the requirement makes everything that happens thereafter irreversibly a nullity it is to be hoped that provisions intended to have this effect will be few and far between. In the majority of cases, whether the requirement is categorised as directory or mandatory, the tribunal before whom the defect is properly raised has the task of determining what are to be the consequences of failing to comply with the requirement in the context of all the facts and circumstances of the case in which the issues arises. In such a situation that tribunal's task will be to seek to do what is just in all the circumstances: see Brayhead (Ascot) Ltd v Berkshire County Council [1964] 1 QB 303, applied by the House of Lords in London & Clydesdale Estates Ltd v Aberdeen District Council [1980] 1 WLR 182.'"
Postscript