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You are here: BAILII >> Databases >> United Kingdom Employment Appeal Tribunal >> Ministry of Defence HQ Defence Dental Service v Kettle [2007] UKEAT 0308_06_3101 (31 January 2007) URL: http://www.bailii.org/uk/cases/UKEAT/2007/0308_06_3101.html Cite as: [2007] UKEAT 308_6_3101, [2007] UKEAT 0308_06_3101 |
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At the Tribunal | |
On 13 October 2006 | |
Before
HIS HONOUR JUDGE RICHARDSON
(SITTING ALONE)
APPELLANT | |
RESPONDENT |
Transcript of Proceedings
JUDGMENT
For the Appellant | Mr P Savill (of Counsel) Instructed by: The Treasury Solicitor Employment Law Team One Kemble Street London WC2B 4TS |
For the Respondent | Ms S Bothroyd (of Counsel) Instructed by: Messrs RHW Solicitors Ranger House Walnut Tree Close Guildford GU1 4UL |
SUMMARY
Contract of Employment Definition of employee
Sex Discrimination
Whether specialist orthodontist consultant an employee job advertisement for salaried part-time employment in a clinic contract documentation produced to successful candidate suitable for an independent contractor with own organisation using sub-contractors whether Tribunal restricted to contract documentation or entitled to take account of job advertisement and subsequent conduct of the parties.
HIS HONOUR JUDGE RICHARDSON
The facts
"PART TIME CIVILIAN ORTHODONTIC SPECIALIST PRACTIONER required for up to six sessions per week to join the current Armed Forces Orthodontist in providing a comprehensive and high quality orthodontic treatment service to the patients of the Royal Navy, Army and Royal Air Force. The post is based in the Army Dental Clinic in Aldershot. This is a salaried position in a large, well run, friendly clinic which has a fully equipped orthodontic surgery with trained orthodontic nursing, clerical and reception staff. The successful applicant will have full clinical freedom and will work alongside the existing specialist... This post would ideally suit a practitioner with a few sessions per week of spare capacity. A job share would be considered... There is an attractive remuneration package on an hourly or sessional salary basis. Required to start as soon as possible, for 6 months in the first instance The MOD is an equal opportunities employer "
"1. There is a requirement for a Consultant Orthodontist to provide Orthodontic services at the Clinical Wing, Dental Centre, Aldershot, and on occasions at RH Haslar.
2. The consultant may also be required to participate in joint clinics with the consultants in Maxillo-Facial and other dental disciplines.
3. The Consultant will be responsible for the provision of Orthodontic care for Service personnel in the south and south east of England who are referred to her. She is to treat those patients and/or advise on their future management.
6. It is anticipated that their will be up to 6 x 3.5 hour sessions per week.
9. The Defence Dental Agency will pay for the contractor's attendance at the British Orthodontic Conference (or equivalent)."
"SUB CONTRACTING
5.1 Where sub-contractors are used by the Contractor, the standards set down in the Contract will apply equally to the former and the Contractor will be responsible for ensuring compliance with the same.
DUTY OF CARE
6.1 The Contractor shall be responsible for ensuring that reasonable skill, care and diligence are exercised in carrying out the service, specified in the Statement of Requirement properly and efficiently in accordance with the Contract.
CONTRACTOR'S ORGANISATION
7.1 The Contractor shall provide and maintain an organization having the necessary facilities and employees of appropriate qualifications and experience to undertake the service specified in Schedule 2.
TERMINATION
8.1 The Authority shall have the right to terminate the contract, or to terminate the provision of any part of the services, at any time by giving 1 months written notice to the contractor. The Authority may extend the period of notice at any time before it expires, subject to agreement on the level of Services to be provided by the Contractor during the period of extension.
INDEMNITY AND INSURANCE
9.1 The Contractor shall indemnify the Authority, the Crown, its servants or agents against all actions, claims, demands, costs and expenses incurred by or made against the Authority, the Crown, its servants or agents in respect of any loss or damage or personal injury (including death) which arises out of or in connection with this Contract caused by the negligence of the Contractor, his Agents or Sub-contractors."
The Tribunal's reasons
He said
"The label put by the parties on the arrangement is not necessarily conclusive. I have to look at all the matters in the round. Even a contract document itself is not necessarily conclusive because it depends on how the contract has been operated in practice.
The Claimant's counsel has suggested that I apply the control test, but I must take into account all factors, the so-called "multiple" or "mixed" test. No one factor is decisive."
"I am satisfied that in practice there was mutuality of obligation, in spite of the contract stating "up to" six sessions per week. In practice these amounted to regular sessions every week".
"It is true that, throughout the documents, there is reference to "contractor" and, in some cases, "independent contractor", but equally the advertisement, which first of all attracted her to this post is couched completely in employment terms. It mentions salary, a well run clinic, attractive remuneration, job-share and an Equal Opportunities employer. It is difficult for the Respondent to suggest that this advertisement was in some way unofficial."
"She did see the clause about sub-contracting and mentioned to Mr Ogilvie that she could never provide a substitute or a locum orthodontist; she never did in practice and would have been unable to do so. Whenever she was away, on holiday, then cover was provided by the Ministry of Defence."
"I am therefore satisfied, looking at all those factors in the round (the advertisement, the contract, the surrounding circumstances, the fact that the Claimant worked personally, there was mutuality of obligation, there was control over what she did, there was no risk, no financial risk so far as she was concerned, and the manner in which she had worked for some five years) that she was an employee"
Submissions
" for acts or documents to be a "sham", with whatever legal consequences follow from this, all the parties thereto must have a common intention that the acts or documents are not to create the legal rights and obligations which they give the appearance of creating. "
Ascertaining the terms of the contract
"29 I think that the Court of Appeal pushed the rule about the construction of documents too far. It applies in cases in which the parties intend all the terms of their contract (apart from any implied by law) to be contained in a document or documents. On the other hand, it does not apply when the intention of the parties, objectively ascertained, has to be gathered partly from documents but also from oral exchanges and conduct. In the latter case, the terms of the contract are a question of fact. And of course the question of whether the parties intended a document or documents to be the exclusive record of the terms of their agreement is also a question of fact."
Later he said
"33 Putting the matter at its lowest, I think that it was open to the industrial tribunal to find, as a fact, that the parties did not intend the letters to be the sole record of their agreement but intended that it should be contained partly in the letters, partly in oral exchanges at the interviews or elsewhere, and partly left to evolve by conduct as time went on. This would not be untypical of agreements by which people are engaged to do work, whether as employees or otherwise. Although the Tribunal did not expressly state this to be their finding, their whole approach to the evidence was consistent only with their having come to such a conclusion. In my view they were entitled to do so."
To similar effect, Lord Irvine of Lairg LC said
"19. In my judgment it would only be appropriate to determine the issue in these cases solely by reference to the documents in March 1989 if it appeared from their own terms and/or from what the parties said or did then, or subsequently, that they intended them to constitute an exclusive memorial of their relationship. The industrial tribunal must be taken to have decided that they were not so intended but constituted one, albeit important, relevant source of material from which they were entitled to infer the parties' true intention, along with the other objective inferences which could reasonably be drawn from what the parties said and did in March 1989 and subsequently"
"In considering whether the decisions of the ET and the EAT can be sustained, we bear in mind that whether there is a contract and, if so, what its terms are, are questions of fact or mixed questions of law and fact. Appeals from the ET lie only on questions of law and so their findings of fact can only be challenged for perversity. Moreover, in this field the search for an agreement or its terms should not be confined to a consideration or construction of the documents unless it is clear that the parties intended them to be the exclusive source of their agreement, if any. The parties' intention may be inferred from other sources, including subsequent conduct. We think this point is self-evident, but it is made clearly in the opinions of Lords Irvine and Hoffman in Carmichael v National Power (2000) IRLR 43" [paragraph 9]
"The critical question is what is the relevant contractual term? Where there is no clear express term in writing then it may be necessary to look at the overall factual matrix in order to discern that term see Carmichael v National Power plc (2000) IRLR 43. However, where the term is clear from the contractual document that course is unnecessary, subject to variation of the term or where it can be said to be a sham, to use Peter Gibson LJ's expression in Tanton"
"It is now clear that the question for the Tribunal is not how the contract operated in practice, but what was the intention of the parties. In order to establish what the intention was, it may sometimes be permissible to look at the overall factual matrix, as the House of Lords made clear in the case of Carmichael. However, how the contract operates in practice is no basis for simply displacing an express term in the written agreement."
Application