At the Tribunal | |
Before
THE HONOURABLE MR JUSTICE LINDSAY (PRESIDENT)
MR G H WRIGHT MBE
MR K M YOUNG CBE
APPELLANT | |
RESPONDENT |
Transcript of Proceedings
JUDGMENT
Revised
For the Appellants | MR W HOSKINS (of Counsel) Instructed By: Mr A Turek The Treasury Solicitor Queen Anne's Chambers 28 Broadway London SW1H 9JS |
For the Respondent | MR R WYNNE-GRIFFITHS (of Counsel) |
MR JUSTICE LINDSAY (PRESIDENT): We have before us, by way of the full hearing of the appeal, the appeal of Her Majesty's Prison Service and Others in the matter Miss S.B. Davis against the Prison Service and Others. This is the second time the matter has come to the Employment Appeal Tribunal for a full hearing. The principal point now before the Employment Appeal Tribunal is a limited one but, even so, some explanation of the background is necessary.
"(i) Unlawful Discrimination under the Sex Discrimination Act 1975 is established against:
(a) HM Cardiff Prison
(b) Mr Y [and he has since publicly become identified as Mr Randall]
(c) Mr Lockley
(d) Mr Davies
(ii) The prison is vicariously liable for the discriminatory acts of its employees."
[and Mr Randall, Mr Lockley and Mr Davies were employees of the Prison Service].
There are other findings there but that is all we need for immediate purposes. It may be as well to remind ourselves of the Sex Discrimination Act 1975, section 41 (1):
"(1) Anything done by a person in the course of his employment shall be treated for the purposes of this Act as done by his employer as well as by him, whether or not it was done with the employer's knowledge or approval."
And so one is going to find us concentrating on the expression "In the course of his employment".
"Having considered these rival submissions we are unable to accept either in full. In our judgment the tribunal did not ask itself the correct question, that is, was Mr Randall acting in the course of his employment when he visited Miss Davies (sic) at her flat on 26th June 1995 and made unwanted sexual advances towards her? We decline to equate that question with the wrong question actually asked by the Industrial Tribunal, namely, was his conduct "in relation to employment'."
A little later, still on the same point, they said:
"Since the question, on a proper direction in law, is essentially one of fact for the Industrial Tribunal, we shall leave it to an Industrial Tribunal to decide, rather than reach a conclusion ourselves."
A little later (and this trespasses on a rather different point, but as we are quoting from the first decision we may as well get it behind us, so to speak) they also said this:
"It follows that this appeal must be allowed and the case remitted, at the request of all parties, to the same tribunal for:
(1) determination of the question as to whether Mr Randall was acting in the course of his employment with the Prison Service when he behaved as the tribunal find he did towards Miss Davies (sic) at her flat on 26th June 1995.
…
Finally, we remit the case on the assumption that no further evidence will be necessary; the remitted hearing will proceed on the basis of submission only.
However, it may be that one or other of the parties, or the Industrial Tribunal of its own motion, may wish further evidence to be adduced. In that event it will be for the Industrial Tribunal to give directions prior to the remitted hearing as to what further evidence is to be admitted."
"The unanimous decision of the tribunal is that the act of Mr Y [Mr Randall] of which Miss X [Miss Davis] complained on 26 June 1996 [sic] took place in the course of his employment."
It transpires that no new evidence had been adduced. In their paragraph 3 the Tribunal says:
"In complying with this requirement we have had regard only to the evidence that was before us at the hearing [meaning at the first hearing]."
Then, on 17 August 1998 the Prison Service appealed, of course, for the second time. But before we go into the Tribunal's reasons and so on and the attack on them, we need to say something a little more fully about the incident itself in June 1995.
"At 10.00 pm on Saturday 24 June 1995 [that reference to the 24th might be confusing, it may be the 26th] Sonia was at home when her intercom rang. She answered it and it was Officer Randall, a Prison Officer from Cardiff who asked what she was doing in on a Saturday night. He stated that he was with another Officer from the OCA Department and asked if they could come in for a few minutes. Sonia agreed and when he came up to the flat, she asked where the other Officer was as he was not present. Officer Randall appeared to be a bit drunk as he was staggering and slurring slightly. He sat down and Sonia asked what he wanted. He then informed her that he was having marital problems. Sonia asked him if he wanted to talk about it and he said only if they went to the pub over the road. Sonia agreed as he had been kind to her in the past and when she had lived in Grangetown he would sometimes give her a lift to work or back but this had not happened since she had been living in Penarth. They went to the pub and had a drink. Officer Randall asked if he could stay at her flat because he did not want to go home and Sonia refused his request saying that she did not want to be put in a compromising situation and would not allow it to happen. He tried to kiss her in the beer garden but Sonia told him to stop and again refused to let him stay.
They then went back to the flat for a coffee and so he was able to pick up his jacket and decide where he was going to go. When in the flat Officer Randall asked if he could sit next to her on the settee and she agreed so long as he did not try anything. He then asked if he could have a closer look at her glasses which Sonia handed him. He handed them back and then pushed her back on the settee and began to grope her. She pushed him off and he stopped saying sorry. He then tried again, pushing her back on the settee and groping her and Sonia shoved him off her and started to scream "Get Out" continuously. Officer Randall went to the toilet and Sonia had the front door open for him to leave. He started to say he was sorry and then groped her backside. Sonia was screaming and shouting, telling him to leave and to get off her. Another female in the block of flats witnessed this and asked her if she was alright."
A little later, she said:
"A few hours later (early hours Sunday 25 June 1995) the intercom buzzer rang again. Jackie went to see who it was and it was Officer Randall and she gave the belongings he had left in the flat to him. He told Jackie that he had come to apologise and said that maybe he had come on too strong."
And then, again:
"On Monday 26 June 1995, around 8.00 am, Sonia was leaving to go to the shop, she opened the front door and Officer Randall was standing there. He tried to grab Sonia, she shrugged him off and ran back into the flat. She then rang the prison and spoke to PO O'Brian (Sonia's Principal Officer) and he said that they would go around to her flat. Prison Officers' Lockley and O'Brian went to her flat and then Jackie called around. Sonia told them what had happened, and she [was] still sobbing and crying and they rang the Police for her."
That, of course, is allegation and was not necessarily accepted but it gives the flavour of the sort of case that was in front of the Tribunal.
"I write to request leave to amend the Grounds of Resistance. I request that the Grounds be amended to include the following paragraph:
14a Further, and in any event, it is submitted that in respect of the allegations made by the Applicant concerning Mr Randall, the allegations which are denied, concern matters which arose outside the course of Mr Randall's employment. It is therefore submitted that the First Respondent, HM Prison Service, is not vicariously liable for the actions of the Second Respondent, Mr Randall, and further that Mr Randall has no liability under the Sex Discrimination Act 1975 in this respect.
And, it is fair to say, because we have read out in some length Miss Davis' version, that the Respondent's version of events was that that series of allegations was greatly exaggerated. What the Treasury Solicitor on behalf of the Prison Service said, was as follows:
"The Report of the investigation into the allegations against Mr Randall concluded that some amatory activity took place and that the Applicant was violently upset by it. The Report did not conclude that any form of sexual harassment had taken place. The Report concluded that there may be a case to answer of Offensive Personal Behaviour. The Report recommended that Mr Randall be dealt with under paragraph 4.1 of the Code of Conduct and Discipline and that he be given formal guidance and advice as to his future conduct."
"On 26 June Miss X telephoned the prison from her flat saying she had been subjected to a sexual attack by Mr Y with whom she had previously been on good terms and who had called round to discuss his domestic difficulties. She told the tribunal he had forced himself upon her and had pushed his tongue so far down her throat that she felt she was suffocating. Mr Y denied a sexual attack but accepted that he had attempted to kiss Miss X and that she had been very distressed. He saw her distress as an over-reaction.
Mr Lockley and a colleague attended Miss X's flat on 26 June in response to her call and found her 'absolutely distraught and in a state of abject misery' and in 'a state of hysteria'. Under the prison's code of conduct and discipline officers 'must not' bring discredit to the Prison Service by their off-duty conduct. Mr Lockley reported the matter to the police and Miss X was put in touch with prison 'carers'. Under prison policy an internal investigation was shelved pending completion of police investigations. The prison was not in a position to suspend Mr Y or Miss X in the meantime due to inadequate staffing but it was ascertained that although they worked in the same wing they worked different shifts and were unlikely to meet."
A little later the Tribunal say, in their paragraph 37:
"On 8 September 1995 Miss X was informed in writing by the Crown Prosecution Service that they did not intend to prosecute Mr Y. The gist of their explanation was that there was insufficient evidence to support her word against his."
And a little later, in paragraph 39:
"An independent enquiry began on 23 October. My Y put in a written statement. Miss X was questioned at length as were Mr Lockley, Mr Davies and various other individuals. The interviews were taped and transcripts are before the tribunal. The transcripts show that the questioning was conducted courteously and thoroughly taking all relevant factors into account. In Mr Y's written statement however, there was no reference to how he had obtained the address, and there was no evidence to show that he had been required to give an explanation."
"It was submitted that Mr Y discriminated against Miss X in subjecting her to the alleged sex attack.
This is accepted. Mr Y did not deny that he had imposed his unwanted attentions on Miss X or that he had frightened her. The only disparity was as to the extent of his attentions. We make no finding as to the extent, but are satisfied on Mr Y's evidence and his statement to the investigators that he did impose his unwanted sexual attentions on Miss X with sufficient zeal to frighten her. He therefore subjected her to a 'detriment'. There was no suggestion that he would have imposed similar unwanted attentions on a male. We therefore find that he treated her 'less favourably' than he would have treated a man. In view of the requirement in the Prison's Disciplinary Code that officers, 'must not' allow their off-duty conduct to bring discredit on the Prison Service, we find that Mr Y's conduct was 'in relation to employment'. It therefore constituted unlawful discrimination within the meaning of sections 1 and 6 of the 1975 Act and 'a contravention of this Act' within the meaning of section 4."
"We find also that the prison authorities subjected Miss X to a detriment in that the investigation of the Y incident which occurred in June did not take place until four months later and we are satisfied that they subjected her to that detriment as a result of discrimination on grounds of sex."
In paragraph 69, they say:
"It is hardly surprising that the police felt unable to prosecute Mr Y in the face of the presumption of innocence and the absence of witnesses. But the investigations required of an employer are far less stringent. An employer is merely required to act reasonably and to establish whether or not it has reasonable grounds for believing one version or the other and to take reasonable action accordingly. As it was the matter was allowed to drift for months, giving ample time for fermentation of gossip and rumour and for sides to be taken among inmates and officers."
In paragraph 71, they say:
"We find that in delaying the investigation the prison treated Miss X less favourably than a male, namely Mr Y, and subjected her to a detriment, and in the absence of satisfactory or adequate explanation the inference to be drawn is that it did so on grounds of sex and on the ground that she had made allegations against him."
In paragraph 77, which collects a lot of other findings, they say at 77 (i):
"Mr Y discriminated unlawfully against Miss X on grounds of sex in contravention of sections 1 and 6 of the 1975 Act in that in breach of the disciplinary code as to off-duty conduct he imposed his unwanted sexual attentions upon her causing her fear and distress, thus treating her 'less favourably' than he would have treated a man and subjecting her to a 'detriment'."
And then, at paragraph 77 (v):
"The prison discriminated against Miss X under sections 4 and 6 in that without adequate or satisfactory reason it delayed investigation into the 'Y' incident until four months after it had occurred thus treating her 'less favourably' than Mr Y and subjecting her to a 'detriment'.
And, finally of the quotations, paragraph 77 (vii):
"the prison is liable under section 41 of the 1975 Act for the discriminatory acts of its employees in that it failed to take reasonably practicable steps to prevent their discriminatory conduct."
Mr Hoskins' Notice of Appeal says, in respect of this first point:
"It is submitted that if one obtains unauthorised information as to a fellow-employee's address from work records that can have no effect on whether acts performed at that address are done in the course of one's employment."
"The second factor is that Mr Y was subject to a contract of employment which governed his conduct 24 hours a day, while on-duty and off-duty. The Disciplinary Code demanded that the conduct of members of the pension service 'on and off duty' must not bring discredit on the Prison Service. It provided for disciplinary action to be taken when an alleged criminal offence was committed 'away from the workplace'. It stated that any failure to meet the required standards of conduct 'undermines the work of the Service'."
"This merely demonstrates that the Respondents behaved responsibly after the incident. Such responsible behaviour cannot retrospectively change the status of the acts of the Second Respondent."
And that, it seems to us, is a sufficient answer to the point and no weight in our judgment can be given to this third ground.
"The fourth factor is that after the complaint was made by Miss X the respondents reacted in such a way as to imply acceptance of responsibility for dealing with the situation. Upon being notified of the alleged sex assault they took immediate action. They visited Miss X in her home, provided her with the company of a nurse/counsellor, put her in touch with prison 'carers', reported the matter to the police, arranged work shifts to avoid contact and, in due course, investigated the matter and disciplined Mr Y in accordance with the disciplinary code to the extent that they gave 'guidance and advice as to his future conduct'."
"As submitted above, the First Respondents did display concern over an incident distressing to their employee. This cannot retrospectively affect whether that incident was within the course of employment. Nor does it indicate that they regarded the incident as bound up with the duties of employment. Such disciplinary action as was taken was not dependent upon the victim of the act having been a member of staff."
This fourth ground seems to us to be devoid of any weight.
"The fifth factor is that the case appeared to be argued by the respondents on the basis that Mr Y was acting in the course of his employment, in that they did not raise the issue at the hearing and made no suggestion to the contrary."
We have earlier drawn attention to the point having been raised by the Prison Service and the Notice of Appeal says, at paragraph 6 (v):
"The Tribunal erroneously states that this issue was not raised in the original hearing by the Respondents. It was in fact raised in the Amended Notice of Appearance. In any event, when considering an issue remitted by an appellate body it is wholly irrelevant whether that issue was raised at first instance."
The tribunals are free, and are indeed bound, to interpret the ordinary, and readily understandable, words 'in the course of employment' in the sense in which every layman would understand them. This is not to say that when it comes to applying them to the infinite variety of circumstance which is liable to occur in particular instances - within or without the workplace, in or out of uniform, in or out of rest-breaks - all laymen would necessarily agree as to the result. That is what makes their application so well suited to decision by an industrial jury. The application of the phrase will be a question of fact for each industrial tribunal to resolve, in the light of the circumstances presented to it, with a mind unclouded by any parallels sought to be drawn from the law of vicarious liability in tort."
And then, a little later, in Waters v Commissioner of Police of the Metropolis [1997] IRLR 589, 597 at paragraph 82, dealing with the case there in front of him, Waite LJ said:
"T and the applicant were off duty at the time of the alleged offence. He lived elsewhere, and was a visitor to her room in the section house at a time and in circumstances which placed him and her in no different position from that which would have applied if they had been social acquaintances only, with no working connection at all. In those circumstances it is inconceivable, in my view, that any tribunal applying the Tower Boot test could find that the alleged assault was committed in the course of T's employment. This ground of appeal therefore fails."
"The prison discriminated against Miss X under sections 4 and 6 in that without adequate or satisfactory reason it delayed investigation into the 'Y' incident until four months after it had occurred thus treating her 'less favourably' than Mr Y and subjecting her to a 'detriment'."
The first Employment Appeal Tribunal had considerable difficulty with that. What they said was this:
"Having heard Mr Wynne-Griffiths in reply on this part of the appeal we are quite satisfied that the tribunal's reasoning leading to the conclusion in paragraph 77 (v) is so opaque as to require remission for a proper explanation of that finding to be given."
"It follows that this appeal must be allowed and the case remitted, at the request of all parties, to the same tribunal for:
(2) reasons to be given for their finding at paragraph 77 (v) which identify:
(a) the less favourable treatment, and
(b) the comparison made between Miss Davis and Mr Randall.
(c) why the explanation for such less favourable treatment given by the Prison Service was unsatisfactory such as to give rise to an inference of direct discrimination on the grounds of sex.
(d) [and this is not entirely easy to read] the causal link between what protected act and the less favourable treatment for the purposes of s.4, bearing in mind that the protected act must relate to a complaint of unlawful discrimination under the Act."
"The reasons have all been given in the tribunal's decision. They are so full and explanatory that we see little purpose in repeating them. We therefore merely refer to the relevant paragraphs in the same order (a) to (d) as the EAT sets out its requirements:
(a) Paragraphs 67 to 71 (delay causing 'fermentation of gossip', sides taken, public opinion in Y's favour, X subjected to daily insults and humiliation, her life became 'hell', complaint against female (Miss X) to be investigated 'with all speed', complaint against male (Mr Y) delayed.
(b) as in (a)
(c) Paragraphs 69 to 70.
(d) 'protected act' – paragraph 55 final sentence; 'less favourable treatment' – as in (a); 'causal link' – paragraph 71 (inference drawn from absence of satisfactory or adequate explanation)."
"Mr Hoskins contends that the policy of delay pending police investigation would have applied equally had a male complained against a female attacker."
"That may be so but the probability is that then the delay would still have favoured the male. In view of the huge predominance of male officers as opposed to the six females [see paragraph 3], the probability is that sides taken throughout the delay period would still have built up in favour of the male and that the female's life would still have been made 'hell'. Also it is improbable that a male would feel as physically intimidated as a female by the prolonged daily proximity of the attacker. In our view delay in the circumstances of an alleged sex attack is discriminatory as stated in our decision."
"In our view the explanation as to a prison policy of shelving investigation until police enquiries are complete is not satisfactory in an incident of this nature where the victim of an alleged attack is obliged to continue working in the same premises with the alleged attackers, though on different shifts. In our view speedy action is essential in the circumstances of an alleged sex attack, particularly where, as was the case here, the parties are required to continue working because of lack of manpower and where there is a risk of their meeting."
"The prison discriminated against Miss X under sections 4 and 6 in that without adequate or satisfactory reason it delayed investigation into the 'Y' incident from 9 September 1995 to 20 October 1995, [crossing out the words "until four months after it had occurred thus treating her 'less favourably' than Mr Y"], [but then adding at the end] 'thereby subjecting her to a 'detriment'."