At the Tribunal | |
On 19 November 2003 Judgment handed down | |
Before
THE HONOURABLE MR JUSTICE BURTON (PRESIDENT)
SIR ALISTAIR GRAHAM
DR SUSAN CORBY
APPELLANT | |
RESPONDENT |
Transcript of Proceedings
JUDGMENT
JUDGMENT
For the Appellant | John Hendy QC instructed by Messrs Slater Ellison, 22-24 Broad Street, Bury, BL9 0DA |
For the Respondent | Ms Jane McNeill QC instructed by Messrs Wragge & Co, 55 Colmore Row, Birmingham B3 2AS. |
THE HONOURABLE MR JUSTICE BURTON (PRESIDENT):
Appeal A
"It is common ground that this system operated to disadvantage the access of ethnic minority workers to the more desirable jobs, both because they were under-represented on the south estate as compared with the north estate and because they were particularly under-represented in general services on the south estate, where the better jobs predominated."
"(1) A person discriminates against another in any circumstances relevant for the purposes of any provision of this Act if –
(b) he applies to that other a requirement or condition which he applies or would apply equally to persons not of the same racial group of that other but –
(i) which is such that the proportion of persons of the same racial group as that other who can comply with it is considerably smaller than the proportion of persons not of that racial group who can comply with it;
(ii) which he cannot show to be justifiable irrespective of the colour, race, nationality or ethnic or national origins of the persons to whom it is applied;
(iii) which is to the detriment of that other because he cannot comply with it."
(i) A requirement or condition. At paragraph 9C(i)(a) the Tribunal recorded that "it is agreed that the Respondent applied a requirement or condition through the redeployment period" [being the material period the subject matter of the complaint, as discussed in paragraph 3 above], namely by virtue of the Progression Agreement.
(ii) The Tribunal summarised the effect of s1(1)(b)(i) as "disparate adverse impact" and recorded at paragraph 9C(i)(b) that "it is agreed that this requirement or condition was one with which a considerably smaller proportion of ethnic minority than white employees could comply, the difference being about 9% in the period February 2001 to February 2002".
(iii) As to subsection (1)(b)(ii) of the Act, which the Tribunal characterised as "justifiability", the Tribunal concluded that, if the Applicant was otherwise entitled to complain in relation to the Progression Agreement, it did not accept the justifications put forward by the Respondent (paragraph 9C(i)(d)).
(iv) The issue in respect of which the Applicant failed, and which is the subject matter of this appeal, is in relation to the ingredient that the requirement or condition must be to his detriment because he cannot comply with it. The Tribunal found (paragraph 9C(i)(c)) that he could not comply with the requirement or condition (for eligibility for jobs in the south estate) during the redeployment period, because he was working on the north estate. However they were not satisfied that he suffered detriment because of his non-compliance with the requirement or condition.
The Law
(i) Lord Johnston noted, what is plainly clear from the terms of the subsection, that it is not enough, as was being contended for by Counsel for the Applicant in that case, that (paragraph 41) "the detriment in question arose simply by reason of the factual failure to be able to comply with it". At paragraph 44 Lord Johnston said "We are quite unable to accept the proposition of construction advanced by [Counsel for the Applicant] in respect of the subsection. To do so would render it otiose by reason of the fact that if discrimination is established by reason of the failure to comply with the requirement, there would be no need to put in the subsection mentioning detriment". It is quite plain that there is an additional element that requires to be proved, namely that detriment/disadvantage was suffered by the applicant because of his inability to comply with the condition, i.e. the existence of the condition, which is in this case admitted to have impacted adversely on all those ethnic minority workers who were at the material time in the north estate, is not sufficient of itself.
(ii) The disadvantage/detriment must be "material and substantial". Lord Johnston explained this at paragraph 44 of Coker:
"We construe the phrase 'because of' in the subsection as meaning 'as a result of' and we are reinforced in this view by the fact that there are authorities that would suggest that, even if there is a physical detriment, if it is sufficiently trivial not to be material it does not apply."
The fact that it must be shown that the "detriment must be material and substantial … a trivial disadvantage would not suffice" was approved in Jiad per Peter Gibson LJ at paragraph 41.
(i) The Decision is very fact-specific, as will become clear. This is of course important, because appeals to the Employment Appeal Tribunal are only allowed on a point of law, and the findings of fact which the Tribunal made (absent the extremely narrow concept of perversity, which is not suggested to be available here) must be accepted.
(ii) This Tribunal is not entitled to interfere in relation to arguments of law, a fortiori arguments of law which require evidence to support them (or a remission to the Employment Tribunal to explore such evidence) which were not run below. The Decision in Kumchyk v Derby County Council [1978] ICR 1116 has been repeatedly approved, and repeatedly relied upon by this Appeal Tribunal. It is important (particularly in a case such as this where the Tribunal hearing stretched over so many days) that all relevant matters should be investigated first time round, and afterthoughts should not be permitted (save of course in a rare case where material fresh evidence becomes available). Arnold J said as follows, in a passage which has become wholly familiar, at 1123B – 1124A:
"Our conclusion upon the matter is this, that there is nothing in the language of the statute to exclude the consideration of a new point of law but that it would in almost every conceivable case, as the National Industrial Relations Court said in GKN (Cwmbran) Ltd v Lloyd [1972] ICR 214, be unjust to do so. The case which one can conceive as a case in which it would not be unjust to do so would be a case in which there has been some deception on the part of the respondent to the appeal which entitles the appellant to say, "This really is a case in which we were headed off from running the point which we are now seeking to run before the appellate court by conduct which cannot possibly be condoned in justice by the appellate court." There may conceivably be other matters of that sort which would negative the unjustness which the National Industrial Relations Court mentioned, but it would have to be, we think, some matter of that sort. It certainly is not enough, in our judgment, that the point was not taken owing to a wrong, or what turns out in the light of after events to have been a wrong, tactical decision by the appellant or his advocate. It would certainly not be enough that the omission was due to the lack of skill or experience on the part of the advocate. It would certainly not, we think, be enough that the omission could have been made good had the industrial tribunal chosen to suggest the point for consideration to the appellant or his advocate. It is well established in these tribunals, and we hope in this appeal tribunal, that where the representation is a non-professional representation, or possibly even where it is an inexperienced professional representation (if such a thing can be conceived), in listening to an argument put forward by an advocate or evaluating a point of law put forward by an advocate, the tribunal will be as helpful as possible, suggesting to the advocate that the argument might be put in a different or more favourable fashion, something of that sort. But we think that it is very far from the duty or indeed the practice of the chairman of industrial tribunals that they should be expected to introduce into the case issues which do not figure in the presentation on the one side or the other, at any rate in normal circumstances; and we cannot see that if this matter remained upon the basis which was dealt with by the National Industrial Relations Court in GKN (Cwmbran) Ltd v Lloyd [1972] ICR 214, namely, a basis in which all that was required was a consideration on any basis of established facts of a new point of law, there would be any reason to depart from the line of decision in that case that it would be unjust to allow the matter to be ventilated. But we think that the matter does not rest there because, as we have indicated, this is plainly a case in which new factual investigations would be necessary, so that even on the narrower rule stated in Central Scotland Water Development Board v Johnstone 6 ITR 86, and in Hereford and Worcester County Council v Tolley [1976] ICR 450 this is a case in which the facts have simply not been investigated and it would be, even if that narrow rule were the rule that ought to be applied, quite plainly a case in which the new point would not be allowed to be raised, and for those reasons, we dismiss the appeal."
"We will be asking the Tribunal whether, not in theory, but in [practice] our client had a realistic chance of being able prior to closure of the North Estate to secure work in the South Estate, but more particularly in KD Plant and General Services."
and a Schedule of Loss was produced and relied upon accordingly.
(i) Paragraph 5: "The Tribunal inadvertently came across and read a list of jobs that had been advertised in the south estate during the period November 2001 to November 2002 when trying to trace an earlier document to which reference had been made. We told the parties about this, but heard no further evidence relevant to it".
(ii) Paragraph 6(xx): "As a matter of fact the Applicant has not identified any job which was vacant and/or advertised only on the south estate and which he would have wanted or obtained, absent the progression arrangement during the redeployment period (or indeed any other period). There was some relevant information in the bundle, namely the content of the document which the Tribunal read inadvertently, which the Applicant and his representatives did not address, either by the Applicant's evidence or by cross-examination of the Respondent's witnesses. In consequence we make no findings of fact about desirable jobs which he would have wanted and could have done".
(iii) Paragraph 7.3(vi): "In order to do its best, the Respondent had made a guess at what might be relevant information and had provided that which was in the bundle concerning jobs advertised in general services on the south estate in the three or four months, November 2001 to February 2002. This period was consistent with evidence from the Respondent's witnesses and that of the Applicant, to the effect that union representatives tended to stay in post as long as possible during a redeployment process. The Applicant had confirmed that he would have wanted to do that, unless a gold-plated job had come up. So the last few months of the redeployment year was a proper period to be regarded in order to ascertain whether the Applicant had, in fact, suffered any detriment from the application of the progression arrangement. This information had been ignored by the Applicant and his representatives during the course of the hearing. There had been no suggestion at any stage that the Applicant would have wanted or been interested in any of the jobs there identified. The Applicant had given no evidence about them and none of the Respondent's witnesses (or indeed the Applicant's witnesses) had been questioned about them. In circumstances where the Applicant had effectively chosen before and during the hearing not to pursue a particular course, it was not proper for the Tribunal to adopt a line that would prejudice the completion of the hearing in order to encourage the Applicant to take a course that he had apparently deliberately not pursued."
"We have contemplated whether it might be a detriment to work in circumstances where redeployment is imminent knowing that one cannot apply for desirable jobs on the south estate generally, because of the progression arrangement, even if no jobs (or no jobs which one wants) become vacant. We have determined that it would not be proper for us to form conclusions on this issue because:
- it was not the detriment contended for by the Applicant (see for example his schedule of loss);
- in consequence or anyway no witnesses, not even the Applicant, were asked about it or gave evidence about it;
- no submissions were made on the issue;
- we had not canvassed it with the representatives of the parties.
We are satisfied that it is not for us to invent and determine a detriment which the Applicant has neither suggested nor pursued.
(i) On the case put before the Tribunal, the Applicant needed to show, and did not show, that he had suffered some material and substantial disadvantage personally as a result of the Progression Agreement. The Progression Agreement meant that none of the workers in the north estate (including its higher percentage of ethnic minority workers) would necessarily get to know of a vacancy in the south estate. But he would have to show that he suffered material and substantial detriment as a result. Ms McNeill QC used the example of a female part time worker who does not wish to be a member of her company pension scheme, and cannot thus complain if she is excluded by reason that she is a part-timer. The Applicant did not establish that there was any job during the redeployment period which he would have wished to apply for, and he did not seek to establish that any of the jobs which were available during the period of November 2001 to February 2002 were gold-plated, i.e. were such as to interest him in applying for them. Of course the Applicant would not need to show that he would have obtained such a position, the loss of opportunity to apply for them would be sufficient of a detriment if he would have been interested in applying for them. The Applicant gave no such evidence and the Tribunal made no such finding.
(ii) Mr Hendy QC would need to argue from inference, upon the basis that there must have been jobs, of which, as a result of the Progression Agreement the Applicant, like his fellow workers, would have been ignorant: there will have been some loss of job opportunity, and the question of any such loss is a matter for remedy. However such argument from inference is inapt in the light of the particular factual context here of the finding by the Tribunal as to the Applicant's position in relation to his need for a gold-plated job referred to in paragraph 18(iii) above. Although the question is loss of opportunity, not the certain loss of a job, the opportunity must be real, not fanciful or insubstantial. Not only was there no evidence that there was any gold-plated job available, but insofar as the jobs that were listed as available in a substantial part of the relevant period are concerned, the Applicant made no such suggestion in relation to any of them.
(iii) The conclusion that the Applicant suffered no detriment is one which the Tribunal was entitled to come to on the evidence as canvassed before it, and on the basis of the case put before it. It had no need to make explorations which were not canvassed before it, and the passage which it sets out in paragraph 9C(i)(c) (set out at paragraph 18 above) is unexceptionable and entirely in accordance with Kumchyk.
Appeal B
(i) the 24-year claim was pleaded: not, it seems from paragraph 2.2(i) of the Tribunal's Decision, by virtue of its original incorporation in the Originating Application, but by virtue of an interlocutory order of a Chairman of 11 October 2002.
(ii) that in the alternative an application to amend so as to plead it should be allowed.
The Tribunal deals with this application in paragraph 2 of its Decision, setting out the issue at paragraph 2.1, the submissions on behalf of the Applicant at 2.2, those on behalf of the Respondent at 2.3 and the decision of the Tribunal at 2.4. We do not propose to set out the whole of this part of the Tribunal's Decision at length. The Tribunal had no difficulty in concluding that the first of Mr Slater's submissions was incorrect. It is plain, as indeed it appears Mr Slater conceded, that the 24-year claim is not included in the Originating Application. The date given in Box 9 in that document is 22 February 2002, and although there is reference to "a Progression Agreement that had been in practice for a number of years", it is plain that it is to the redeployment period that the complaint is being directed, and there is no sign of a case that a 24-year period of discrimination is being complained of. That is plainly the understanding of the Chairman, Mr Milmo QC, who made the interlocutory order referred to above by letter dated 22 October 2002 directing the Applicant to give further and better particulars pursuant to the Appellant's request, in that the Chairman describes the allegation, namely that "the Progression Agreement applied in the redeployment of the Applicant was racially discriminatory". Although in the further and better particulars supplied, those given in relation to this particular claim begin with the words "The situation which persists at Ford Dagenham throughout living memory", and there is a reference to the fact that the Applicant worked in the north estate for 23 years, further and better particulars, particularly pursuant to an order of a Chairman who described the claim in the way that he did, cannot be relied upon as expanding an original claim. It is well established (see for example Chapman v Simon [1994] IRLR 124) that the Employment Tribunal is limited to considering racial discrimination which is the subject of complaint in the Originating Application. When the Applicant's solicitor contended, by letter dated 3 March 2003, that the claim extended over 23 years, objection was immediately raised by the Appellant's solicitor's response dated 4 March 2003, and it was that dispute which was resolved on the first day of the hearing. We agree with the conclusion of the Tribunal in this regard and can see no error of law.