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Patten K, Workplace Stress and the Proactive Employer
URL: http://www.bailii.org/uk/other/journals/WebJCLI/2004/issue3/patten3.html
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Patten K, Workplace Stress and the Proactive Employer
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Workplace Stress and
the Proactive Employer
Keith Patten, LL.B Leeds,
Solicitor
Part-time Lecturer in Law
Newcastle Law School,
University of Newcastle
< keith@patten1020.fsnet.co.uk>
Copyright © Keith Patten, 2004
First published in Web Journal of Current Legal Issues.
Summary
The recent decision in
Barber v
Somerset County Council [2004] UKHL 13;
[2004] 1 WLR 1089 was the first opportunity the House of Lords
had to consider the law of compensation for psychiatric injury caused by occupational
stress. The area is a battleground between those seeking an expansionist approach
to tort-based compensation and those seeking to resist such developments. This
comment considers the outcome of the case, argues that the House of Lords has
made no fundamental changes in the law as it already applied but concludes that
the dicta in the speech of Lord Walker on behalf of the majority does represent
a subtle but significant change of emphasis in a pro claimant direction.
Contents
Introduction
Partisans of either a pro claimant or a pro defendant hue may have felt
some disappointment with the decision of the House of Lords in
Barber v
Somerset County Council [2004] UKHL 13. The opportunity to have a
root and branch review of the law relating to personal injury claims for work
related stress was largely missed because of the limited way in which the appeal
was argued and the consequentially limited judgment of their lordships. The
decision is not, however, without its importance. Despite its essential
preservation of the status quo the speech of Lord Walker, on behalf of the
majority, puts an important practical gloss on the Court of Appeal judgment in
Hatton v Sutherland [2002] EWCA Civ 76, albeit that his comments
are largely
obiter. The dissenting speech of Lord Scott, by contrast,
stakes out the battleground of policy which these cases demonstrate. The issues
go to the heart of personal injury compensation and its purposes.
The facts
Mr Barber was an overworked teacher. At first instance the judge found that
he worked far beyond his contracted hours. As such, he was far from unusual.
He began to feel the strain and consulted his doctor on a couple of occasions.
In the middle of the summer term in 1996 he reached the stage where he needed
to consult his doctor again and on this occasion was given a sick note for
three weeks for stress and depression. He returned to the same workload. Once
back at school he saw, separately, the head and her two deputies and at those
meetings indicated that he was not coping well with his workload. The response
of two of these senior managers was unsympathetic. The third did offer a sympathetic
ear but no practical solutions, other than to suggest to the claimant that
he should prioritise his work. The summer holidays then came along and the
claimant had the customary break. The start of the autumn term brought a renewal
of the same heavy workload and pressures. The claimant said nothing more to
his managers about how he was coping. After only a few weeks of that term
the claimant came off on the sick again with depression and this time never
returned.
The decisions below
The claimant sued his employer for personal injuries alleging that they had
breached their duty of care to him in exposing him to excessive levels of
stress, and that that breach of duty had caused his depressive illness. At first
instance His Honour Judge Roach found in favour of the claimant. The defendants
appealed and the appeal was heard together with three others, collectively known
as
Hatton v Sutherland [2002] EWCA Civ 76. The Court of Appeal
took the opportunity to review the law of occupational stress generally. It
allowed the defendant’s appeal and Hale LJ, giving the judgment of the
court, set out in detail her views of the guiding principles in such cases.
The first of these principles is that in relation to employer’s
liability claims, where claimants are effectively in the position of
‘primary victims’, there are no special control mechanisms in
operation. The ordinary rules of duty, breach and causation apply (
para
22). The question is, therefore, essentially one of foreseeability and, as
Hale LJ put it, the “threshold question is whether this kind of harm to
this particular employee was reasonably foreseeable” (
para 43). It
goes without saying that a claimant must also establish causation, and in
particular that the illness must be proved to have been caused by, or materially
contributed to by, the breach of duty. This means that it must be the failure of
the employer to take those steps which a reasonable employer should have taken
in the light of the risk of injury it could foresee which must have caused the
injury, not merely the stress at work (
para 35).
In summary, Hale
LJ set out sixteen propositions to assist courts to apply these tests in future
cases. It is the meaning of these guidelines which have been the battleground in
succeeding claims as disputes arise over nuance and emphasis in particular
factual situations. The tenor of the guidelines is that an employer can, in
general, assume that his employees are capable of doing the work they are
employed to do unless they have clear indications to the contrary, and can take
what an employee says to them about his ability to cope at face value (
para
43). In general an employer does not have to make searching inquiries of the
claimant or his doctors and a duty to act will arise only if “the
indications of impending harm to health arising from stress at work [are] plain
enough for any reasonable employer to realise that he should do something about
it” (
para 43). The overall emphasis of the Court of Appeal’s
judgment is to place the burden squarely on the shoulders of the employee to
establish, by word or deed, the requisite state of foreseeability in the mind of
the employer.
The decision in the House
of Lords
The House of Lords allowed the claimant’s appeal, overturning the
Court of Appeal judgment. The actual decision, however, rested on narrow
procedural grounds. The majority (Lord Scott dissenting) felt that the judge had
had before him sufficient evidence to justify his findings of breach of duty
even on the basis of the Court of Appeal’s guidelines, and that the Court
of Appeal ought not to have interfered with his decision. The interest, however,
lies not in that finding but in the
dicta in the speeches of those of
their lordships who gave a substantive view. These
dicta engaged with the
more significant issue of how the courts should deal with such cases and in
particular upon the interpretation of the Court of Appeal guidelines.
The claimant did not seek to overturn the basic approach of the Court of
Appeal to the law and Lord Walker affirmed the Court of Appeal’s analysis
as “a valuable contribution to the development of the
law”.
(1) The
dicta in his
speech were, therefore, largely directed towards what an employer needed to know
before foreseeability was established. He regarded breach of duty here as
“fairly close to the
borderline”
(2) but considered it
to be made out. His view is that employers have a more proactive obligation than
was apparent from the Court of Appeal. Faced with an experienced and
conscientious teacher who had been off work for three weeks in the middle of
term with depression the employers should have made inquiries to see what could
be done to help him
.(3) Such
steps might have required no more than sympathetic support and some small
reduction in his duties. They might, however, have required more drastic steps
such as the employment of a supply teacher, despite the resource implications
involved. Supply teachers cost money, but they cost less than the permanent loss
of a valued and experienced member of staff. Merely telling the employee to
prioritise his existing workload was not
sufficient.
(4) In failing to
take any of these proper steps the defendants were in breach of duty. That
breach began following the claimant’s meetings with the headmistress and
her two deputies after his return to work from his initial three week absence.
It continued until the employers took such steps as were reasonable and
appropriate in the circumstances, which in the context of this claim meant that
the breach was ongoing.
The dissent
Although only Lord Scott dissented as to result, Lord Rodger, who concurred
in holding that the Court of Appeal should not have interfered with the
judge’s decision, can be regarded as dissenting also in relation to the
dicta. Lord Scott strongly supported the tenor of Hale LJ’s
approach. He took the view that stress and pressure of work were endemic to
teachers and indeed many other professionals. An employer could not be expected
to act unless the indications that a particular employee was not coping were
clear.
(5) The claimant had made
no further complaint about his problems after his meetings with the head and her
deputies and to impose on the school an obligation to make inquiries was setting
them too high a standard of care.
(6)
Lord Rodger similarly felt that the approach of the majority would burden
employers with an excessive duty. He was concerned particularly with the
interrelation of tortious liability with the duties and rights under the
contract of employment.
Comment
The first question which needs to be asked is whether
Barber has
done anything at all to alter the statements of the law as set out by Hale LJ in
Hatton. The opposing camps were quick to stake out their positions in the
propaganda war. Briefing notes issued by the two sets of chambers representing
claimant and defendant have shown markedly different interpretations of the
result, with the claimant side regarding the case as putting “a
significant gloss” on
Hatton(7) while the
defendant’s representatives suggest it offers claimants only
“limited comfort”
(8).
The truth may be that both are correct.
It remains to be seen how far
conflicting
dicta will be picked up and used by judges in future cases.
But the approach of Lord Walker does, arguably, point the courts in the
direction of doing what Hale LJ claimed to be doing, rather than what she
actually did. This is to apply ordinary common law rules of negligence to claims
for occupational stress. This idea was influential in the speech of Lord Walker.
He quoted with approval the opinion of Swanwick J in
Stokes v
Guest,
Keen & Nettlefield (Bolts & Nuts) Limited [1968] 1 WLR 1776 at
1783
that the test is “the conduct of the reasonable and prudent
employer taking positive thought for the safety of his workers in the light of
what he knows or ought to know...” It is the concept of
“positive” thought which seems to divide the respective interest
groups. Hale LJ emphasises employer reactivity. Lord Walker, by contrast,
regards employer’s duties as being much more proactive. In Lord
Walker’s view an employer does not discharge his duties merely by sitting
back and waiting to be complained to. He has some positive duty to consider the
health and safety of his workforce. Such an approach does indeed accord more
clearly with the general law of negligence in this area. If an employer permits
a hazard to exist in his factory which causes injury then the happening of
previous similar accidents or the making of prior complaints are important
evidential weapons in establishing liability, but they have never been necessary
requirements of breach of duty. An employer is liable if he knows or should
reasonably have known of the risk and fails to take reasonable steps to reduce
or remove it. If normal principles of liability are to apply to stress cases
then an employer should equally be liable if he knows or should reasonably know
that an employee is at risk of psychiatric injury and once he has this knowledge
his duty to act is triggered. The detailed application will always be heavily
fact related.
With respect to Lord Scott the fact that an employer may
have an entire workforce under stress but largely managing is of little
relevance. The duty is a personal one to the individual employee and once the
employer is aware that that individual has a problem he should do something to
investigate and, if needs be, act.
Concerns that this will lead to
intolerable burdens on employers are misplaced. In the first instance, Lord
Walker’s statement that the case fell “fairly close to the
borderline” of liability
(9) is a
clear indication that the employer will still require something concrete to
establish foreseeability. Here, that was not merely an initial absence certified
as being due to depression but three separate meetings following the return to
work confirming that the problem was both work related and ongoing. Fears that
employers will be put into the position of having to guess the mental states of
their employees are unfounded. Such a proactive approach to liability also
accords with modern views of health and safety provisions in general. A
proactive approach already has statutory embodiment in the 1992
regulations
(10) which emphasise the
importance of employers’ duties to carry out risk assessments. The
approach of the 1992 Regulations has altered the health and safety environment
in a way more radical than is often recognised. Risk assessment underpins the
entire approach. This requires employers to go looking for hazards rather than
merely to respond when they are brought to their attention. The whole emphasis
of health and safety law has moved in the direction of being goal based, setting
out standards to be achieved rather than prescriptive as to the method of
achieving them. The goal is the preservation of the physical (and psychological)
integrity of the workforce, and the approach is systemic. Such duties require
employers to manage the health and safety environment, and to do so actively.
Identifying dangers before they cause injury is key. At the time this case
arose a breach of the duty to risk assess generally under the Management of
Health and Safety at Work Regulations 1992 was specifically stated as not giving
rise to civil liability.
(11) These
Regulations have been amended as of 27
th October 2003 by the
Management of Health and Safety at Work (Amendment) Regulations 2003, regulation
6
so that a failure to risk assess can now give rise to a civil action in
tort for breach of statutory duty. Lord Rodger alluded to this change and its
possible impact on future cases without developing the
idea.
(12) The approach of Lord
Walker and the majority, however, is no more than a judicial recognition of the
health and safety
zeitgeist. This is a development with which
Lords Scott and Rodgers appear uncomfortable. Both accept the law as set out by
Hale LJ in the Court of Appeal but it is hard to avoid the conclusion that they
would prefer to do away with claims for occupational stress altogether. Lord
Scott is quite dismissive of such claimants. Stress at work is common for
certain types of employees and “they are all adults. They choose their
profession”
.(13) But
such an approach would be an answer to liability in all cases where claimants
work in stressful and pressurised jobs. It sounds little different to the kinds
of attitude which formerly prevailed in relation to coal miners whose lungs were
damaged by coal dust or shipyard workers whose hearing was ruined by noise. It
is an inherent risk of the job and if they do not like it they can go and get
another job. Such ideas not merely fail to recognise the social and economic
realities of the workplace but also rest on a false assumption that it is the
employee who is necessarily in the best position to know that he is being
damaged. Such ideas have fortunately largely gone in relation to physical injury
and it is to be hoped that they will not long linger in relation to psychiatric
injury. Claims to invoke adult autonomy against the nanny state will often sound
a superficial appeal but run the risk of excluding individuals who have suffered
negligently inflicted injury from the compensation process.
Lord Scott
does attempt to justify applying different standards to physical risks than to
psychiatric ones. He does this by stressing the difficulties employers have in
predicting who among their workforce will be able to cope with the stresses of
the job, and who will not. Threats to physical safety impact on the entire
workforce equally whereas threats to psychiatric safety do
not.
(14) This is true in so far as
it goes, but it ignores the personal nature of the duty an employer has to each
of his individual employees. Employers are not here being asked to predict who
will suffer harm. They are being asked to respond positively to indications that
a particular individual might suffer harm. That Lord Scott is uncomfortable with
the whole idea of claims for compensation for occupational stress is further
illustrated when he says “in under funded institutions providing vital
social services there is often very little that the employers can do about
stress problems”.
(15) This
seems like a counsel of despair but also seeks to mark out yet another apparent
distinction between physical and psychiatric risks which has no place in the
context of employers’ liability claims.
Predicting future trends is
a generally thankless task. The emphasis of liability may have been subtly
nudged in a more pro claimant direction but the test as expounded by Lord Walker
is no more clearly predictive that what had gone before. Indeed, Lord Walker,
himself, undertook a detailed factual analysis before giving his views,
suggesting that each case will still need close individual scrutiny. While an
employee off work with a certified depressive illness may well put an employer
on notice of future problems, it is unclear how far this will stretch. What of
the employee who is off work with another condition, such as migraine, which
might well be stress induced, but equally might well not? Without more it is
suggested that foreseeability will not be made out. The same could be asked of
the employee who is behaving ‘oddly’ or who turns up to work looking
dishevelled, but the context in which such events occur will be crucial. This
may suggest a significantly enlarged pastoral role for employers. But
Barber
is certainly not a floodgates decision. It was suggested above that the
reactions of both sides to the result might be true. Certainly there has been no
fundamental alteration in the basic law. The claimant did not even seek to
persuade the House of Lords to make such a change. That was undoubtedly a
correct approach because an outcome privileging psychiatric harm over physical
was never likely and is hard to justify. But a result which requires employers
to proactively respond to known psychiatric health problems of their employees
is, indeed, a significant gloss on the
Hatton guidelines. As such it is
to be welcomed. In the context of employers’ liability claims extra
control mechanisms are difficult to justify and Hale LJ’s foreseeability
hurdle had all the appearances of a hidden control mechanism, even if it was
expressed as not being one. Such claims will remain legally and evidentially
difficult. The vast majority of those who suffer psychiatric injury as a
consequence of occupational stress will remain without a remedy. But if
employers are encouraged to take the psychiatric health of their workforce more
seriously, a service will have been done.