The appellant chartered accountant had been convicted in Jersey after removing documents from his offices relating to a disputed trust and in breach of an order from his professional institute. The court now considered the relevance and application of the principles of autrefois acquit, res judicata and abuse of process after the Institute began a first and now a second set of disciplinary proceedings, the appellant saying that the issues arose from the same matters. The Institute said that the two complaints were under different regulations. The first complaint had failed through their error.
Held: The institiute’s appeal failed. The first decision of the disciplinary panel was both final and as to the merits, the conviction having no indictable parallel within England and Wales. The principles of res judicata and autrefois convict do apply to professional disciplinary proceedings. All the constituent elements of cause of action estoppel were established on the facts. Whether a public interest exception could be created to established law was properly for Parliament and not the courts.
Lord Phillips, President, Lord Rodger, Lord Collins, Lord Clarke, Lord Dyson
[2011] UKSC 2, UKSC 2009/0175, [2011] ICR 224, [2011] 2 All ER 1, [2011] 2 AC 146, [2011] 2 WLR 103
Bailii, Bailii Summary, SC Summary, SC
England and Wales
Citing:
Cited – Thoday v Thoday CA 1964
The court discussed the difference between issue estoppel, and action estoppel: ‘The particular type of estoppel relied upon by the husband is estoppel per rem judicatam. This is a generic term which in modern law includes two species. The first . .
Cited – Andreou v Institute of Chartered Accountants In England and Wales CA 25-Jul-1997
The appeallant having been found guilty in professional disciplinary proceedings sought to appeal, but was refused by the defendant saying that it had no discretion to extend the time for an appeal.
Held: The Institute exercised its . .
Cited – Connelly v Director of Public Prosecutions HL 1964
Plea of Autrefois Acquit is Narrow in Scope
The defendant had been tried for and acquitted of murder. The prosecution then sought to have him tried for robbery out of the same alleged facts. The House considered his plea of autrefois convict.
Held: The majority identified a narrow . .
Cited – Thrasyvoulou v Secretary of State for the Environment HL 1990
A building owner appealed against enforcement notices which alleged that there had been a material change of use of his buildings in 1982. This notice was issued by a planning authority. As a result of the appeal an inspector determined that the . .
Cited – Meyers v Casey 13-Oct-1913
(High Court of Australia) The Court considered a decision of the committee of the Victoria Racing Club. Isaac J said of objections considered by the committee: ‘They are, by reason of the committee’s decision, res judicatae, as much as if instead of . .
Cited – Harry Lee Wee v The Law Society of Singapore PC 3-Dec-1984
(Singapore) The principles of autrefois acquit applied to professional disciplinary proceedings. Lord Bridge said: ‘No one would dispute that the doctrine of autrefois convict and acquit is applicable to disciplinary proceedings under a statutory . .
Cited – Trade Indemnity Co Ltd v Workington Harbour and Dock Board (No 2) HL 1938
The plaintiffs’ action was derived from a bond given by the defendants guaranteeing a contractor’s performance in building a dock for the plaintiffs. The bond provided that a certificate which complied with certain criteria would prove the amount . .
Cited – Arnold v National Westminster Bank Plc HL 1991
Tenants invited the court to construe the terms of a rent review provision in the sub-underlease under which they held premises. The provision had been construed in a sense adverse to them in earlier proceedings before Walton J, but they had been . .
Cited – Dunn v Murray 8-Jul-1829
Declaration stated, that in consideration that the plaintiff, at the request of the defendant, would enter into the employ of the defendant in a certain capacity for a year, at the rate of five guineas per week throughout the year, defendant . .
Cited – Bolton v The Law Society CA 8-Dec-1993
The solicitor who had been admitted to the Roll for two years had disbursed clients money to relatives, as part of the conveyance of property without adequate security but in the expectation that the money would be repaid. The Tribunal found that . .
Cited – Fidelitas Shipping Co Ltd v V/O Exportchleb CA 1965
Where there is an award that is on its face an interim award, then the arbitrator is only functus officio with respect to the issues dealt with in that interim award and retains the authority to deal with the remaining matters. Issue estoppel . .
Cited – Regina v Secretary of State for Trade and Industry, Ex Parte Eastaway HL 8-Nov-2000
Where the Court of Appeal had refused permission to apply for judicial review after a similar refusal by a judge, that decision was also, by implication, a refusal to grant permission to appeal against the judge’s decision, and there was no scope . .
Cited – Dunn v Murray 8-Jul-1829
Declaration stated, that in consideration that the plaintiff, at the request of the defendant, would enter into the employ of the defendant in a certain capacity for a year, at the rate of five guineas per week throughout the year, defendant . .
Cited by:
Cited – Christou and Another v London Borough of Haringey EAT 21-Feb-2012
EAT UNFAIR DISMISSAL – Reasonableness of dismissal
The Appellants, the social worker responsible for the care of Baby P and her team manager, were held not to have been unfairly dismissed by Haringey for . .
Lists of cited by and citing cases may be incomplete.
Natural Justice, Estoppel
Leading Case
Updated: 01 November 2021; Ref: scu.428045