At the Tribunal | |
On 18 December 2003 | |
Before
HIS HONOUR JUDGE D PUGSLEY
MR K EDMONDSON JP
MR I EZEKIEL
MR P PATHAK |
APPELLANT |
RESPONDENT | |
MR R CHAUDHARY |
APPELLANT |
RESPONDENT |
Transcript of Proceedings
JUDGMENT
Revised
UKEAT/0036/03
For the Appellant | MR G MAHMOOD (of Counsel) Instructed By: Messrs Birchfields Solicitors 142b Cheetham Hill Road Manchester M8 8PZ |
UKEAT/0939/03 For the Appellant UKEAT/0036/03 & UKEAT/0939/03 for the Respondents |
MR R CHAUDHARY THE APELLANT IN PERSON MR P MEAD (of Counsel) Instructed By: Messrs Carter Lemon Camerons Solicitors 11 Breams Buildings London EC4A 1DW |
HIS HONOUR JUDGE D PUGSLEY:
"Subsection (1) does not apply to a complaint under section 12(1) of an act in respect of which an appeal, or proceedings in the nature of an appeal, may be brought under any enactment."
"The second respondent is a company limited by guarantee established pursuant to the European Specialist Medical Qualifications Order under an EC directive about the recognition of medical qualifications in member states. The result of that legislation coupled with other legislation was that with effect from 31st December 1996 no one could be appointed to a consultant post in the National Health Service unless his or her name was included on the specialist register. The specialist register principally includes those with a certificate of Completion of Specialist Training (CCST) at the conclusion of specialist medical training or a qualification accepted as being equivalent under the EC directive. However, when these rules came into effect transitional arrangements were provided for a limited period to allow people to be entered on that specialist register even though they did not hold a CCST. The categories are in Article 12 of the 1995 Order and in November 1996 the applicant applied to the second respondent to be included on the register. It is clear that he could only qualify under the transitional category in Artcle 12(2)(c)(ii). At that time it read as follows:-
'A person falls within this paragraph if he has satisfied the STA (the second respondent) that he has qualifications awarded in the United Kingdom in such a speciality that are equivalent to a CCST in the speciality'.
7 It is clear from the judgment on a case dealing with this point R v Specialist Training Authority ex parte British Medical Association (1998) EWHC Admin 1047 that the second respondent realised that the criteria was too restrictive and it recommended the Secretary of State to seek modification of Article 12 in order to take the experience of an individual into account. As a result the regulations were amended in 1997 so that the relevant part of Article 12 now reads:-
'12.1 A person is entitled to have his name included in the specialist register if he applies to the Register of the GMC for the purpose before 1st December 1998 and satisfies him then or in the case of a person who falls within paragraph 2(c) before 1st December 2001 that he falls within paragraph 2.
(2) A person falls within this paragraph if he satisfied the STA that –
(ii) he has qualifications awarded in the United Kingdom in such a speciality which together with any experience which he has in the speciality in question and any further training which he has undertaken at the recommendation of the STA under paragraph (2B), give him a level of expertise equivalent to the level of expertise he might reasonably be expected to have attained if he has a CCST in that speciality.
(2A) The STA shall, before 1 November 1998, determine, in respect of each person who applied to it before 1 April 1998 for the purposes of sub-paragraph (c) of paragraph (2), whether or not it is satisfied as mentioned in that sub-paragraph.
(2B) Until 1 November 1998 the STA may be for the purposes of sub-paragraph (2) (c) (ii) recommend that a person undertake such further training in the medical speciality in question not exceeding twelve months in duration as the STA consider is required to give that person a level of expertise equivalent to the level of expertise he might reasonably be expected to have attained if he had a CCST in that speciality.
(2C) A person falls within this paragraph if the STA has made a recommendation under paragraph (2B) that he undertake further training for the purposes of sub-paragraph (2)(c)(ii).'
8 Because of the change to the legislation the applications were put on hold pending the changes which widen the number of people who would be able to go onto the register.
9 On 11 August 1998, the second respondent refused the applicant's application to go on the register. On 14 November 1998, the applicant applied for a review of that decision as set out in the regulations. Following that review, on 19 March 1999 the second respondent again refused the application. On 11 June 1999 the applicant gave notice of appeal under the regulations. Under the 1995 regulations the members of the second respondent comprised 19 individuals, 4 of whom are appointed by the Secretary of State and the rest from a list of the main professional medical bodies. Any appeal against the second respondent's decision is provided for in the 1995 Order and is to a panel of independent persons, which comprises a legally qualified chairman and two doctors, not from the applicant's own speciality. The appeal panel hearing was initially arranged for 10 October 2000, but was postponed and reconvened on 14 November 2000.
10 The applicant was represented by counsel at the appeal. His appeal was unsuccessful in that he was not permitted immediate entry to the specialist register, but the panel accepted his appeal to the extent that he would be permitted to be placed on the register provided that he did 12 months further training in trauma and passed the Inter-Collegiate Speciality examination. Because entry to the register under the transitional arrangements was to end on 1 December 2001 the applicant only had three or four days to arrange the training. With considerable effort by him and help from his colleagues at the Leicester General Hospital, where he worked, that was arranged and the applicant was able to satisfactorily complete that 12 months training within the time limit.
11 The applicant then had to set about taking the exam. He was initially told that he could not take the exam in February 2001 because the entry date had passed. He went to the solicitors who had represented him at the appeal panel, and they took up that issue on his behalf. As a result he was permitted to take the exam in February. Unfortunately, he did not pass all heads of the exam and therefore failed. The applicant took the exam again in May and in November, but each time failed some of the heads of the exam. The year from late November 2000 had been very busy for the applicant because he had to take up his new training in trauma, whilst still carrying out some of the functions under his old job. Moreover, he wanted to concentrate on the exams. ... He had two children doing GCSE's and A-levels. He did not consider whether he should bring an application to the Tribunal following the result of the appeal in November 2000 until after he failed the exam for the third time in November 2001. By that stage it was not possible for the applicant to take another examination before the deadline of 1 December 2001 under the transitional arrangements.
12 The applicant, however, did make application to sit the examination again in February 2002. That application was rejected by the third respondent by letter of 29 November 2001 on the basis that the examination regulations did not permit him to take the exam. The regulations include a number of preliminary requirements for candidates under regulation 3. The applicant did not qualify under 3(a) those undergoing training for the CCST or 3(b) those on an approved overseas training course. Regulation 3(c) permitted candidates under the transitional scheme to take the examination, but as that scheme ceased on 1 December 2001 so did the category 3(c). The position of the third respondent is that arrangements for the examination were expensive and there was no point in someone taking it where it can have no effect upon them. The applicant suggests that passing the exam would be of benefit to him in terms of his professional standing as a qualification recognised in other countries and for medico-legal work. He says that he is the only person who has not been permitted to take the exam.
13 We were shown statistics which indicate that a large proportion of the applicants under the transitional scheme were from the Indian subcontinent and that their applications were proportionately much more like to be unsuccessful than candidates with qualifications from other countries.
14 On behalf of the Secretary of State Mr Adamson pointed out that the Tribunal has only jurisdiction in confined areas and that the applicant's complaints could only be brought under section 12 of the Race Relations Act which related to the acts of bodies conferring a qualification. Only the second respondent was the body with authority to confer that qualification. The Secretary of State could not control it because he could only appoint 4 out of 19 members. The Secretary of State has the power of direction on administrative matters but cannot otherwise control the second respondent. He submitted that the applicant's case was misconceived if it was brought under section 32 of the Act alleging that the Secretary of State was somehow the principal and the second respondent an agent. The second respondent has a clear independence of action which is in conflict with any relationship of agency.
15 He also referred us to section 54 of the Act and the decision in Khan v General Medical Council [1994] IRLR 646, in which the Court of Appeal held that in a similar situation the Employment Tribunal was excluded from jurisdiction by that section, because there is a proceeding in the nature of an appeal. At that point Ms Chandran confirmed that she and Mr Stewart representing the second respondent, were involved in another case going to the Court of Appeal on the effect of section 54 in which arguments under the Human Rights Act will be raised. However, she accepted that as the law currently stands this Tribunal is bound by the decision in Khan, which shows that this Tribunal does not have jurisdiction to consider the complaint against the second respondent. Apparently other cases involving Ms Chandran and Mr Stewart have been stayed pending that decision. They both then suggested that we should not make a decision on that point, but stay it until the Court of Appeal decision. Mr Adamson submitted that we would continue to make a decision. He pointed out that, as at its highest the applicant's complaint against the Secretary of State was a derivative action from the complaint against the second respondent, as the complaint against the second respondent was bound to fail by reason of section 54, so would whatever complaint there could be against the Secretary of State.
16 Mr Stewart referred us to the 1995 Order and its amendment and in particular the case of R v Specialist Training Authority ex parte British Medical Association [1998] EWHC Admin 1047. He pointed out from that case that the second respondent was justified in imposing the requirement to pass the examination. Although the applicant pointed to delays by the second respondent, he himself had delayed firstly in asking for a review and then for the appeal having taken almost all of the three month period each time to do so. He submitted that the application was substantially out of time in respect of the second respondent. The applicant was legally represented at the time of the appeal decision and whilst he complains of severe pressure since then, he was able to carry on working and take other actions. The applicant must have known his chance of being on the specialist register would cease if he did not pass the exam before December 2001. The transitional route is now over and, therefore, the applicant can only get onto the register by the CCST route and he would have to undergo training to do so and then take the examination. He also made a number of submissions on the facts to suggest that the contentions of the applicant that the second respondent was deliberately delaying the application by the applicant and others of his background was an unsupportable allegation.
17 The third respondent is the body established by the Surgical Royal Colleges to conduct the examinations, which is to test the expertise of doctors entering consultant status. Once the 1 December 2001 deadline had passed, the third respondent acted lawfully in declining an application from the applicant, because by that date the examination had ceased by operation of the legislative deadline to be a qualification which facilitated engagement in a particular profession or trade.
18 Ms Chandran submitted that the 1995 Order does not give a deadline for the examination nor does it require the examination to be passed. The case of R v Specialist Training Authority ex parte British Medical Association [1998] EWHC Admin 1047 was an issue of unreasonable action not a race discrimination issue. She suggested there was no power to prohibit a doctor from taking the exam and that doctors in other specialities are able to take the equivalent exam. The exam would provide benefits to the applicant and would improve his vocational training and his qualifications for a medico legal career. Any issue of the late time of the application did not apply against the third respondent, because the application was clearly within three months of the refusal of the application to take the exam in February 2002. The Secretary of State is vicariously liable for actions of the second respondent, although she accepted not the third respondent. Other than that she was not able to suggest why the Secretary of State should be liable.
19 This tribunal only has power to deal with cases allocated to it by legislation. The applicant's complaints are brought under the Race Relations Act 1976. The applicant was not an employee of any of the respondents and it is clear that his complaint can only be brought under section 12 of that Act and any sections which are ancillary to it. Section 12 reads:-
'(1) It is unlawful for an authority or body which can confer an authorisation or qualification which is needed for, or facilitates, engagement in a particular profession or trade to discriminate against a person –
(a) in the terms on which is it prepared to confer on him that authorisation or qualification; or
(b) by refusing, or deliberately omitting to grant, his application for it; or
(c) by withdrawing it from him or varying the terms on which he holds it.
(2) In this section –
(a) 'authorisation or qualification' includes recognition, registration, enrolment, approval and certification;
(b) 'confer' includes renew or extend.'
20 The liability of employers or principals is set out in section 32. We do not consider it is necessary to set out that section nor section 54 as all parties agree that the law as it currently stands under the decision in Khan v General Medical Council is such that we do not have jurisdiction to consider the applicant's complaint against the second respondent, because there is an appeal process within the legislation.
21 Although the applicant and the solicitor for the second and third respondent suggested that we should stay any decision on jurisdiction in relation to section 54, because of a further appeal to the Court of Appeal during February 2003, on consideration we have decided to make a decision on that point. We accept that if the Court of Appeal overturns the earlier decision our decision would have to be reconsidered either by way of appeal or in a review application to this Tribunal. However, any appeal by the applicant on this point would be unlikely to be heard before the Court of Appeal decision and we consider it is better that we make decisions on the various points that have been put before us as there are other provisions apart from those under section 54, which determine the case. Under the authority, as it now stands, we accept that we do not have jurisdiction to consider the applicant's complaint against the second respondent because of the right of appeal within the process. That means that the applicant's complaint against the first respondent must inevitably fail as that complaint derives from the complaint against the second respondent.
22 In relation to the complaints against the first respondent, the Secretary of State, they are in any event wholly misconceived. Given that ministers are responsible for appointing many members of public bodies, that does not of itself make the minister liable for the actions of that public body. We cannot see any basis on which it can be suggested that the second respondent was the agent of the Secretary of State in order to find liability under section 32 of the Act. The second respondent is set up by legislation and that legislation does not give the Secretary of State power to direct the second respondent in the way that deals with people in the applicant's position. Accordingly, apart from any arguments under section 54, we dismiss all complaints against the first respondent as being misconceived.
23 The second respondent is the body which confers authorisation to enter the specialist register, which is needed for engagement in a particular profession. It is, therefore, a qualifying body under section 12. On that basis we accept that if the applicant's evidence substantiates the complaint he makes against the second respondent, there is a valid complaint under the Act. However, we must then consider whether that complaint is in time. Section 68(1) of the Act sets out the period within which proceedings shall be brought:-
'(1) An employment tribunal shall not consider a complaint under section 54 unless it is presented to the tribunal before the end of –
(a) the period of three months beginning when the act complained of was done. ...
(6) A court or tribunal may nevertheless consider any such complaint, claim or application which is out of time if, in all the circumstances of the case, it considers that it is just and equitable to do so.'
24 The complaint by the applicant against the second respondent, on the authority of Khan v General Medical Council, is the refusal of the application to the second respondent, not the decision on the appeal. That refusal, after review, was given on 19 March 1999 and the applicant's application to this Tribunal was not received until 11 February 2002. Of course, in between the applicant appealed the decision and that appeal was not heard until 14 November 2000. The applicant was not responsible for anything other than a fraction of the delay between the original decision and the appeal. Nevertheless, it is right that we should take into account that period in considering the further delay after the appeal decision was given to the applicant in late November 2000, which is the latest date he can have a cause of action against the second respondent. The applicant did not take action at that time. The applicant accepts that he was concentrating on undergoing his years training and taking his exams. He was not at that stage contemplating proceedings to the Tribunal although he always knew of the transitional deadline of 1 December 2001. Those proceedings only came into his mind, when having failed the exams for the third time, his limit for entry onto the register expired, because of the statutory provisions. Although the applicant was clearly very busy during that year, he had solicitors available to him, who did successfully take up on his behalf the issue of taking the exam in February. Had he wanted to bring proceedings at that time, he could easily have instructed those solicitors or approached the BMA, as he did later, for assistance. The applicant was aware of the time limit of three months, which is the same time limit that had applied in his internal applications to the second respondent. We consider it would have been reasonable for the applicant to have brought a complaint against the second respondent within at the latest a month of his first exam failure in February 2001. His application was not made until a year later. We consider it would not be just and equitable to extend the time to permit the application so long after the event.
25 The complaint against the third respondent is that it refused to allow the applicant to take the exam in February 2002. It is clear that refusal was made at the end of November 2001 and the applicant's application on 11 February 2002 was within three months and, therefore, in time, whether or not he should have foreseen that. It seems to us that for the purposes of section 12 of the Act the third respondent, although it operates in conjunction with the second respondent, is itself an authority which confers a qualification, which is needed for or facilitates engagement in a particular profession. The examination is a required part of qualification for any doctor undergoing a normal training course, unless there is a qualification recognised from another EC country. Although that exam is not set out in the 1995 Order, in practice the second respondent did also require the exam to have been passed by transitional applicants before entry onto the register. The exam is, therefore, a qualification which at least facilitates engagement in the medical profession at a specialist level. Accordingly, if the applicant is able to show that that the third respondent has discriminated against him in refusing to allow him to take the exam, then the applicant has an arguable case.
26 The applicant's case against the third respondent is that the discrimination is indirect and, therefore, is under section 1(1)(b) of the Race Relations Act:-
'1(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 as 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; and
(ii) which he cannot show to be justifiable irrespective of the colour, race, nationality or ethnic or national origins of the person to whom it is applied; and
(iii) which is to the detriment of that other because he cannot comply with it.'
27 The applicant has not specified what requirement he relies on, with which he could not comply. The only one we can deduce that he could allege against the third respondent is the requirement to be on a recognised training course, because after 1 December 2001 the transitional scheme was finished and the applicant having been on it could comply. However, the applicant has not in his application or argument put to us given any consideration to the pool in that way. The applicant is looking at the pool of people who have undergone the transitional procedure, but they are not the people who have been denied entry into the exam. The applicant has not put his mind to the correct pool and raises no allegation that the proportion of persons in the applicant's racial group who are on the normal training course is considerably smaller than the proportion of persons not of that racial group who are on the training course. Nor is he prevented from undergoing such training.
28 Moreover, the respondent's reason for not permitting the applicant to take the exam is that there would be no point, because, as the applicant is beyond the cut off period, passing the exam would have no effect on his ability to enter the specialist register, which is the purpose of the exam. That is such an obvious justification that the applicant has no reasonable prospect of success in the face of that non racial justification. It is particularly so as the applicant, of course, also alleges that he is the only person who has been denied access to the exam. We are satisfied, therefore, that the complaint against the third respondent is also misconceived and should be dismissed.
29 In view of our decision we have not found it necessary to consider the pre-hearing review aspects of the complaint before us and make no decision on that point."
1) As the Respondents had not raised a jurisdictional defence and as this hearing had not been convened for that purpose the Tribunal should not have deliberated and then determined this matter.
The Section 54(2) issue.
"On a purposive approach the "act" in Section 54(2) of which complaint is made under Section 12 is, in this case, that of the STA in refusing Mr Chaudhary's application for registration: it is not the act of the appeal tribunal in rejecting the appeal against which there is no appeal. As Hoffmann LJ said in Khan (at paragraph 35):
'Section 54(2) distinguishes between an act under s 12(1) in respect of which complaint is made, and an appeal in respect of that act. In my judgement, it follows that for these purposes the appeal cannot itself be the act in respect of which complain is made'."
Dr Pathak's argument on Human Rights.
The Human Rights Act
"a) The applicant would be deprived of the right of access to an impartial and independent Tribunal capable of giving an effective remedy to a victim of race discrimination.
b) Judicial review is an inadequate remedy in the context of claims of discrimination generally and in particular in the subjective circumstances of the present case.
c) The Appeal Panel was not 'established by law' as its basic jurisdiction and the formal framework were not laid down by primary legislation.
d) The Appeal Panel is not 'independent' by reason of the basis upon which the Chairman and members of the panel are appointed, remunerated and contractually committed.
e) There is no legitimate aim or proportionately based justification for excluding the applicant's rights of access to an Employment Tribunal, particularly in a situation where the Appeal Panel showed itself reluctant to investigate and determine an allegation of race discrimination.
f) The applicant would be denied proper procedural avenues which would otherwise be open to him (including for example the questionnaire procedure) was required to pay a high fee for determination of his appeal and would not have available to him the extensive remedies within the power of the Employment Tribunal if he was successful."
Conclusions:
Ground 3 in Dr Pathak's case:
"An act occurs when it was done, not when you acquire knowledge of the means of proving that the act was done was discriminatory. Knowledge is a factor relevant to the discretion to extend time. It is not a precondition of the commission of an act which is relied upon as an act of discrimination."
"Cases such as Rovenska and the instant case, in which applications are made for registration by regulatory authorities and are rejected, are distinguishable from the cases in which an employer continuously applies a requirement or condition in the form of a policy, scheme or practice operated by him in respect of his employees throughout their employment : see Barclays Bank PLC v Kapur 1991 ICR 208: Cast v Croydon College 1998 ICR 500; Owusu v London Fire and Civil Defence Authority 1995 IRLR 574."
Ground 4 in Dr Pathak's case
Summary