HOUSE OF LORDS
SESSION 2008-09
[2009] UKHL 37
on appeal from: [2008] NICA 48
OPINIONS
OF THE LORDS OF APPEAL
FOR JUDGMENT IN THE CAUSE
SCA Packaging Limited (Appellants) v Boyle
(Respondent) (Northern Ireland)
Appellate Committee
Lord Hope of Craighead
Lord Rodger of Earlsferry
Baroness Hale of Richmond
Lord Brown of Eaton-under-Heywood
Lord Neuberger of Abbotsbury
Counsel
Appellant:
Noelle McGrenera QC
Paul Rodgers
(Instructed by J Blair Solicitors)
Interveners : Equality and Human Rights Commission:
Robin Allen QC
Catherine Casserley
(Instructed by Legal Enforcement Team EHRC )
Hearing date :
11 MAY 2009
ON
WEDNESDAY 1 JULY 2009
HOUSE OF LORDS
OPINIONS OF THE LORDS OF APPEAL FOR JUDGMENT
IN THE CAUSE
SCA Packaging Limited (Appellants) v Boyle
(Respondent) (Northern Ireland)
[2009] UKHL 37
LORD HOPE OF CRAIGHEAD
My Lords,
- I have had the advantage of reading in draft
the opinion of my noble and learned friend Baroness Hale of Richmond. I am
grateful to her for setting out the background to this case, and for the
way she has identified the issues that are before us. I agree with her and
with my noble and learned friend Lord Rodger of Earlsferry, whose opinion
I have also had the advantage of reading, that the Court of Appeal applied
the right test and that this appeal should be dismissed.
- The definition of “disability” lies at the
heart of the Disability Discrimination Act 1995. So a proper understanding
of what it means is essential if all those who are disabled, as that term
is defined in the Act, are to be brought within its protection. Parliament
went to considerable lengths to define this expression. First, there is
the general test laid down in section 1(1), which provides:
“Subject to the provisions of Schedule 1, a person has a
disability for the purposes of this Act if he has a physical or mental
impairment which has a substantial and long-term adverse effect on his
ability to carry out normal day-to-day activities.”
Then there are provisions in Schedule 1 which examine
the issue in much more detail. In each paragraph there is a power to make
regulations in the light of how the paragraph to which it relates is
working out in practice. And there are the provisions that the Schedule
itself sets out. Not only is it important that these detailed provisions
should be understood and applied in the right way. It is important that
they should be interpreted uniformly throughout the United Kingdom. The
modifications of its provisions in its application to Northern Ireland
that Schedule 8 sets out do not affect the meaning of the word
“disability". So our agreement with Girvan LJ that the word “likely” in
para 6(1) of Schedule 1 is used in the sense of “could well happen” will
now have to be applied throughout the United Kingdom. That is one respect
in which this case is of general public importance. As Baroness Hale
explains, the test that has been applied hitherto in England and Wales
must now give way to that which has been adopted in Northern Ireland.
- The case is also important for people who,
like Mrs Boyle, are in need of the protection of para 6(1) of Schedule 1.
They include those suffering from conditions such as diabetes or epilepsy
whose disability is concealed from public view so long as it is controlled
by medication. Their disability is insidious. The measures that are taken
to treat or correct it, so long as they are effective, enable them to
carry on normal day-to-day activities just like everyone else. But the
disability is there nevertheless. It lives with them all the time, as does
the awareness that the measures that are taken to treat or correct it may
not be wholly effective. Doctors do what they can to prescribe appropriate
medication, bearing in mind the likely risk of side effects as well as its
effectiveness. But it does not always work, and the precautions that
people have to take against that eventuality may in themselves be
disabling in a way that is often misunderstood: refraining from driving or
operating heavy machinery, for example. In Mrs Boyle’s case the management
regime which enabled her to live with her voice dysfunction without having
further therapy but which an employer might find inconvenient or even
irritating was of that character.
- Para 6 strikes a fine balance between the need
to protect those who are in that position and those whose underlying
condition does not meet the general test that section 1(1) lays down. The
general test will be satisfied if the impairment would be “likely” to be
substantial but for the fact that measures to treat or correct it are
being undertaken. It directs attention to the extent of the impairment
that would result, not to how it ought to be treated. But the fact that
measures are being taken to treat or correct it, too, is the product of an
assessment of what is “likely". Sometimes predictions of this kind are
expressed in percentage terms for the guidance of patients by physicians
and pharmacists. But decisions as to whether measures should or should not
be taken are rarely expressed in this way. Choices may have to be made in
situations where it is quite difficult to predict what will happen with
any degree of accuracy. In this context asking the question whether it is
more probable than not is inappropriate. I agree with my noble and learned
friends that the purposes of the Act are best served by adopting the
broader and less exacting test as to what is “likely” that Girvan LJ has
identified.
The procedure
- I am however uneasy about some aspects of the
procedure that was adopted in this case. Mrs Boyle lodged her claim in the
Office of Tribunals over six years ago on 19 October 2001. It has still
not been resolved. The merits of her claim of unlawful discrimination have
yet to be addressed. Part of the delay appears to have been due to the
fact that at a case management discussion on 4 November 2004 SCA said that
it disputed that Mrs Boyle was a disabled person for the purposes of the
Disability Discrimination Act 1995. The Vice-President directed that there
should be a preliminary hearing on that question. Four issues were
identified to be determined by the tribunal at a pre-hearing review: (i)
whether Mrs Boyle suffered from a physical impairment; (ii) whether she
suffered adverse effects on her day-to-day activities because of that
impairment; (iii) whether any adverse effect on her day-to-day activities
was substantial; and (iv) whether any adverse effect on her day-to-day
activities was long-term (a) on a continuing basis for 12 months or more,
or (b) deemed to be on a continuing basis taking account of the deduced
effects provisions, or if it persisted for 12 months or more in the past
whether, during the relevant period of 27 September 2000 - 19 November
2002, it was likely to recur.
- The issues which the Vice-President identified
were, of course, preliminary issues. There would have been no need for the
tribunal to address the question whether Mrs Boyle had been discriminated
against if she was not a disabled person during the relevant period. But
it will have been obvious from the outset that these were issues of real
substance which were likely to take some time to determine. In the event
the process took very much longer than must have been anticipated. The
pre-hearing review began a year later on 30 November 2005. It was not
possible to complete the review in the one day that had been set aside for
it, so further hearings took place on 6, 8, 9 and 27 February 2006.
Medical and speech therapy reports were tended in evidence, and they were
supplemented by oral evidence which was given by five consultant surgeons
and a speech therapist. It was not until 23 May 2006, more than four years
after the claim was lodged, that the tribunal issued its decision.
- The delay was further contributed to by the
stated case procedure. SCA lodged a requisition for a stated case on 3
July 2006. A case was issued, signed and dated by the chairman on 19
February 2007. On 12 March 2007 SCA’s solicitor wrote to the tribunal
expressing concern at the fact that the parties had not been given an
opportunity to comment on the case stated before it was issued in its
final form, particularly as some of the questions in the requisition had
been rejected by the chairman. The parties were then given an opportunity
to submit comments on the case stated. On 11 May 2007 a hearing took place
to enable the parties to make oral submissions. On 3 July 2007 the case
stated was issued in its final form by the tribunal. The hearing took
place in the Court of Appeal on 8 February 2008. Its judgment was issued
eight months later on 9 October 2008.
- It should be recorded, in fairness to the
tribunal, that the chairman who dealt with the pre-hearing and who had
delivered an admirably clear and comprehensive decision on the issues
raised at the preliminary hearing was off work due to illness when the
requisition was received. She did not return to work until 13 November
2006, and then on medical advice on a part-time basis only. The case was
issued 14 weeks later on 19 February 2007. What follows is not intended in
any way to criticise the way the case was handled by the chairman. It is
the procedures which were adopted that give rise to concern.
Whether a preliminary hearing was appropriate
- It has often been said that the power that
tribunals have to deal with issues separately at a preliminary hearing
should be exercised with caution and resorted to only sparingly. This is
in keeping with the overriding aim of the tribunal system. It was set up
to take issues away from the ordinary courts so that they could be dealt
with by a specialist tribunal as quickly and simply as possible. As Lord
Scarman said in Tilling v Whiteman [1980] AC 1, 25, preliminary
points of law are too often treacherous short cuts. Even more so where the
points to be decided are a mixture of fact and law. That the power to hold
a pre-hearing exists is not in doubt: Industrial Tribunals (Constitution
and Rules of Procedure) Regulations (Northern Ireland) 2005 (SR 2005/150),
Schedule 1, rule 18. There are, however, dangers in taking what looks at
first sight to be a short cut but turns out to be productive of more delay
and costs than if the dispute had been tried in its entirety, as Mummery J
said in National Union of Teachers v Governing Body of St Mary’s Church
of England (Aided) Junior School [1995] ICR 317, 323. The essential
criterion for deciding whether or not to hold a pre-hearing is whether, as
it was put by Lindsay J in CJ O'Shea Construction Ltd v Bassi
[1998] ICR 1130, 1140, there is a succinct, knockout point which is
capable of being decided after only a relatively short hearing. This is
unlikely to be the case where a preliminary issue cannot be entirely
divorced from the merits of the case, or the issue will require the
consideration of a substantial body of evidence. In such a case it is
preferable that there should be only one hearing to determine all the
matters in dispute.
- In Chris Ryder v Northern Ireland Policing
Board [2007] NICA 43, [2008] 4 BNIL 34, para 16, Kerr LCJ said:
“A number of recent appeals from decisions of the Fair
Employment/Industrial tribunals have involved challenges to conclusions
reached on preliminary points - see, for instance, Bombadier Aerospace
v McConnell and Cunningham v Ballylaw Foods. While I do not
suggest that the hearing of a preliminary issue will never be appropriate
for determination by a tribunal, I consider that the power to determine a
preliminary point should be sparingly exercised. It is, I believe, often
difficult to segregate in a wholly compartmentalised way a single issue in
this field from other material that may have relevance to the matter to be
decided.”
I would respectfully endorse those observations. The
problem in this case is not so obviously one of overlap or inappropriate
compartmentalisation. Mrs Boyle’s complaint that she was subjected to
harassment and aggressive and hostile treatment is a distinct issue,
although it seems likely that the effects that this may have had on her,
if established, will not be capable of being determined without the
leading of more medical evidence. It is rather the cost and delay that has
been caused by separating out those aspects of the case from the question
whether she was a disabled person within the meaning of the Act. The
separation of these two fundamental issues, which are likely to be present
in many disputed disability discrimination cases, will rarely be
appropriate even if the parties are in favour of it. Furthermore the
decision to hold a pre-hearing review must not be regarded as the end of
the process of case management. If separation is resorted to, every effort
must be made to ensure that pre-hearing reviews are dealt with the least
possible delay, bearing in mind that the merits cannot be addressed until
the preliminary issues have been resolved in the claimant’s favour.
The stated case procedure
- Paragraph 22(1) of the Industrial Tribunals
(Northern Ireland) Order 1996 (SI 1996/1921 (NI 18)) provides:
“A party to proceedings before an industrial tribunal who is
dissatisfied in point of law with a decision of the tribunal may,
according as rules of court may provide, either
(a) appeal therefrom to the Court of Appeal, or
(b) require the tribunal to state and sign a case
for the opinion of the Court of Appeal.”
- Under the existing rules the only way that a
decision of a tribunal may be brought under the review of the Court of
Appeal is by means of the stated case procedure. The alternative of an
appeal which the 1996 Order contemplated offers a simpler and, no doubt,
cheaper alternative. It would, of course, require an express provision in
the rules to make this alternative available. This case demonstrates that
there is an urgent need for fresh consideration to be given to the
question whether this change in the rules should now be made. What follows
is without prejudice to that primary recommendation.
- Order 61, rule 1 of the Rules of the Supreme
Court (Northern Ireland) 1980 provides:
“(1) Subject to any statutory provision, the party
(hereinafter called ‘the applicant’) at whose instance a case has been
stated by a court, tribunal or person on a point of law for the opinion of
the Court of Appeal must, within 14 days after receiving it -
(a) enter the appeal for hearing by lodging the
case stated with a duly stamped requisition for hearing in the Central
Office;
(b) serve upon every other party to the appeal a
copy of the case stated with the date of such entry endorsed thereon.
(2) Where a case may be stated for the opinion of the Court of
Appeal under any statutory provision and in so far as it makes no
provision as to the procedure for stating and sending the case to the
applicant, then -
(a) the requisition to state the case must be lodged with the
court, tribunal or person within 6 weeks commencing on the day the
decision complained of was sent to the applicant; and
(b) the case must be settled by the court, tribunal or person
and sent to the applicant within a period of 6 weeks commencing on the day
the requisition was received.”
- The stated case procedure involves the
tribunal in stating the findings of fact on which its decision was based,
rehearsing the evidence relevant to those findings and giving its reasons.
It proceeds upon the assumption that these details are often not given in
full, or even at all, at the time when the decision is made. Section 13 of
the Stamp Act 1891 provides an early example of the use of this procedure:
see now section 13B as substituted by section 109(3) of and para 2 of
Schedule 12 to the Finance Act 1999. The procedure is cumbersome but
appropriate in such cases. In cases such as the present, however, where a
full decision was given by the tribunal in the first instance it makes
very little sense for the tribunal to be required to rehearse its decision
all over again. If the original decision contains all the tribunal’s
findings of fact that are relevant to the point at issue and a narrative
of the evidence on which the findings were based, it will be sufficient
for the decision itself to be used as the basis for consideration of the
question of law by the Court of Appeal. All that needs to be added is an
introductory narrative and the questions on which the case is being
stated.
- In the present case the chairman set out her
original decision with admirable clarity. It contained her findings of
fact on all the relevant issues, together with a narrative of the evidence
on which those findings were based. Upon receipt of the requisition she
began again. She re-wrote all this material, combining the same findings
of fact with a fresh but essentially unchanged narrative of the evidence.
Her diligence in undertaking this exercise is to be commended. But it
turned out, in the event, to have been wholly unnecessary as the original
decision contained all the material that was necessary for the
determination of the appeal. As it is, this procedure occupied a period of
six months instead of the period of six weeks referred to in Ord 61, r
1(2). Although part of this time is attributable to the fact that the
chairman was ill, much of it must have been due to the nature of the
exercise that confronted her. She then settled the case without giving
either party an opportunity to provide her with comments on the case
stated. The fact that no provision is made in the rule for this procedure
may have contributed to this mistake. A further period of five months was
occupied by this process, for which the Ord 61, r 1 provides no
timetable.
- I am acutely conscious of the fact that the
Courts in Northern Ireland are far better placed than the House of Lords
can ever be to assess what changes in practice or procedure might
appropriately be made to deal with the problems that have been revealed by
the present case. I discussed this point in Girvan v Inverness Farmers
Dairy 1998 SC (HL) 1, p 21, where I said that a decision by the House
of Lords on a matter of practice in the Court of Session would lack the
process of consultation which was needed to ensure general acceptability,
and that it would lack flexibility too, as a decision of the House would
be binding on the Court of Session and it would be very difficult to
reverse except by legislation. The proper approach for the House to take
therefore was to leave it to the Court of Session to decide what changes,
if any, should be made to its own rules. I referred to it again in
Montgomery v HM Advocate [2003] 1 AC 641, 655. What is true for
Scotland is true for Northern Ireland too. So it is with all due
diffidence that I offer the following comments on what might be done to
reduce delays in the use of this procedure.
- It respectfully seems to me that the
opportunities for delay that have been demonstrated by this case, and may
indeed be inherent in the current procedure, could be minimised by
reformulating Order 61, rule 1 so that the issue as to the questions with
reference to which the case is to be stated are settled at the outset. A
timetable should then be set for the draft case to be considered by and
commented upon by the parties. Rules 41.4 to 41.11 of the Rules of the
Court of Session 1994, which describe the procedure that is followed in
that jurisdiction, might be thought to provide a useful example of the
kind of detail that could be set out in a revised version of the rule.
Each step in the procedure is accompanied by its own prescribed timetable:
14 days for the respondent to propose additional questions, 21 days for
the tribunal to decide on what questions the case should be stated, 14
days for the preparation of the case, 21 days for amendments to be
proposed, 28 days for the case then to be finally settled and so on.
Properly used, the stated case procedure can provide a very useful vehicle
for bringing issues of law before the court. But it must not be allowed to
act as a brake on their prompt determination, as has unfortunately
happened in this case.
LORD RODGER OF EARLSFERRY
My Lords,
- SCA Packaging Ltd (“SCA”), the appellants,
formerly employed the respondent, Ms Elizabeth Boyle. At one time she had
experienced a chronic problem with hoarseness due to nodules on her vocal
cords. Even after an operation to remove them in 1975, the nodules had
returned by 1981. After some months of speech therapy, one disappeared,
the other became smaller. In 1992 she was ordered to undergo a strict
management regime (sipping water, trying not to raise her voice, resting
her voice, exercising, etc) but the nodules which had developed by this
time did not go away. So she had a second operation to remove them. After
that she continued the same management regime, with the aim of preventing
the nodules from recurring. They did not come back and neither did her
hoarseness. The relevant history is given more fully in the speech of my
noble and learned friend, Baroness Hale of Richmond, to which I gratefully
refer.
- Between October 2001 and November 2002 Ms
Boyle lodged three complaints of discrimination, contrary to the
Disability Discrimination Act 1995 (“the 1995 Act”), with the industrial
tribunal in Belfast. Those complaints proceeded on the basis that she was
a disabled person, by reason of the problem with her voice. She also
alleged sex discrimination. Her original disability discrimination
complaint related to the threatened removal of a partition separating her
working place from a larger, noisier area; the second related to Ms Boyle
being told, in about February 2002, that her particular post would not in
future exist; the third related to alleged victimisation in May 2002 when
she was made redundant.
- Faced with this burgeoning litigation, the
industrial tribunal consolidated Ms Boyle’s complaints and decided that
there should be a pre-hearing review on whether, in her case, there was a
disability within the meaning of section 1 of the 1995 Act:
“(1) Subject to the provisions of Schedule 1, a person has a
disability for the purposes of this Act if he has a physical or mental
impairment which has a substantial and long-term adverse effect on his
ability to carry out normal day-to-day activities.
(2) In this Act ‘disabled person’ means a person who has a
disability.”
Section 1 is found in Part I of the Act which is
free-standing and deals generally with the concept of disability. By
implication, Schedule 1 is also to be seen as belonging to that Part.
Parts II to V then go on to make provision in relation to disabled
persons, as defined in Part I, in various spheres, such as employment
(Part II), education (Part IV) and transport (Part V).
- What had to be decided in this case was
whether Ms Boyle was a “disabled person” within the meaning of section
1(2) during the period from 27 September 2000 until 19 November 2002 when
the acts, which are alleged to have amounted to discrimination under Part
II of the Act, are said to have occurred (“the relevant period”).
- What the tribunal was going to decide,
therefore, was whether Ms Boyle was a “disabled person” within the meaning
of section 1(2) of the 1995 Act during the relevant period. If the
tribunal decided that she was not, then that would be the end of the three
complaints under the 1995 Act. If it decided that she was, it would have
to go on to hear evidence on the substance of the three complaints.
- Mr Allen QC, who appeared for the Equality
and Human Rights Commission, intervening in the absence of any
representation for Ms Boyle before the House, described this issue as a
“threshold issue". I should prefer to say that, since no one can be the
victim of discrimination under the 1995 Act unless he or she is a
“disabled person", whether or not the applicant is a disabled person is a
key element in any complaint. In short, the Act applies because a person
is disabled - not vice versa. As Mr Allen said, the equivalent questions
are not usually contentious in sex discrimination or race discrimination
cases. The 1995 Act is different in this respect: the definition of a
“disabled person” for the purposes of the Act is elaborated in Schedule 1
and can give rise to quite complicated and potentially contentious issues.
In this case one such issue is only now being finally resolved, many years
after Ms Boyle’s applications were lodged with the industrial
tribunal.
- Sadly, Schedule 1 to the 1995 Act is not a
model of clear drafting. Happily, in Goodwin v Patent Office [1999] ICR 302, 000, paras 25-30, giving the judgment of the Employment Appeal
Tribunal, Morison P unscrambled it by identifying the four questions which
have to be answered and the order in which - despite the order of the
paragraphs in the Schedule - they are usually best considered. I take each
of them in turn.
- Undoubtedly, at one time Ms Boyle had a
physical impairment (section 1(1)) of her vocal cords which caused
hoarseness. It affected her ability to speak and so, in terms of para
4(1)(f), it affected her ability to carry out normal day-to-day
activities. Whether the effect of an impairment is “substantial” (section
1(1)) is not, of course, ultimately a purely medical or scientific
question: it involves a wider assessment of the effects of the impairment
on the person’s everyday life. In Ms Boyle’s case the tribunal found that
the effect of her impairment was indeed substantial.
- But, since the operation to remove the
nodules from her vocal cords in 1992, the nodes and the hoarseness have
not returned. That was accordingly the position during the relevant period
between October 2000 and November 2002. Ms Boyle, for her part, attributed
this to the fact that, ever since the operation, she had continued to
follow the strict management regime. If she had stopped that regime, she
said, the nodules and her hoarseness would have been likely to come back.
By contrast, SCA contended that, actually, the problem of the nodules and
resulting hoarseness had been cured by the operation in 1992. So, stopping
the management regime would not have brought back the impairment.
- Paragraph 6(1) of Schedule 1 to the 1995 Act
provides:
“An impairment which would be likely to have a substantial
adverse effect on the ability of the person concerned to carry out normal
day-to-day activities, but for the fact that measures are being taken to
treat or correct it, is to be treated as having that effect.”
It is important to recognise just how far-reaching this
provision is. Where it is “likely” that an impairment would have a
substantial adverse effect on the person’s normal day-to-day activities,
but for the measures by way of treatment or correction, then the
impairment is to be treated as having that substantial effect. In other
words, you ignore the individual’s actual situation with the benefit of
the course of treatment and consider her as if she was not having the
treatment and the impairment was completely unchecked.
- This is plain on the wording of para 6(1),
but, if there were any doubt about the way that the provision was meant to
operate, the Guidance on matters to be taken into account in
determining questions relating to the definition of disability (1996)
issued by the Northern Ireland Department of Economic Development, removes
that doubt. The relevant guidance, which was of the kind envisaged by
section 3(2)(a) of the 1995 Act, referred to para 6(1). The Guidance
said, at paras A12 and 13:
“A12. This applies even if the measures result in the effects
being completely under control or not at all apparent.
A13. For example, if a person with a hearing impairment wears
a hearing aid the question whether his or her impairment has a substantial
adverse effect is to be decided by reference to what the hearing level
would be without the hearing aid. And in the case of someone with
diabetes, whether or not the effect is substantial should be decided by
reference to what the condition would be if he or she was not taking
medication.”
A more elaborate version of the same guidance is to be
found in paras B12 and 13 of the Guidance issued in 2008. It is, of
course, precisely because para 6(1) has this far-reaching effect that it
does not apply “in relation to the impairment of a person’s sight, to the
extent that the impairment is, in his case, correctable by spectacles or
contact lenses or in such other ways as may be prescribed": para 6(3).
- The effect of the provision was described
succinctly by Simon Brown LJ in Woodrup v London Borough of Southwark
[2003] IRLR 111, 112, at para 4. Referring to para 6(1), he said:
“As will readily be seen, it provides (perhaps rather
surprisingly) that someone is to be treated as disabled even though they
are not in fact disabled (even, that is, where they suffer no substantial
adverse effect on their ability to carry out normal day-to-day activities)
if, without the medical treatment they are in fact receiving, they would
suffer that disability. One asks the question whether, if treatment were
stopped at the relevant date, would the person then, notwithstanding such
benefit as had been obtained from prior treatment, have an impairment
which would have the relevant adverse effect?”
His Lordship subsequently referred, at p 114, para 13,
to “this peculiarly benign doctrine". Paragraph 6(1) may, however, be
intended to reflect the fact that, basically, the individual concerned
suffers from the impairment and, as a general rule, cannot be forced to
continue any course of treatment or correction.
- Assume therefore that, in this case, during
the relevant period the management regime had the effect of eliminating
any vocal nodules so that Ms Boyle could speak and communicate
satisfactorily. Assume also that, but for the management regime, the
nodules would have recurred and would have caused her substantial
difficulty in communicating. Then, by virtue of para 6(1), during the
relevant period Ms Boyle would have had to be treated as if she actually
had the nodules on her vocal cords and therefore actually had substantial
difficulty in communicating. In other words, on that assumption, she would
have had to be treated as someone who was disabled because she had
substantial difficulty in communicating - not as someone who was disabled
because, although she could communicate satisfactorily, she had to follow
a management regime in order to prevent her former substantial difficulty
in communicating from recurring.
- That is a description of the hypothetical
situation if para 6(1) applies to Ms Boyle’s case. The tribunal had to
determine whether it actually did apply during the relevant period. The
relevant evidence established that, before the operation in 1992 Ms Boyle
had undoubtedly suffered an impairment to her vocal cords. The tribunal
therefore had to decide whether, as she said, during the relevant period,
this physical impairment would have been “likely” to have a substantial
adverse effect on her ability to speak and communicate if she had not been
treating it by continuing to follow the management regime. If so, then,
during the relevant period, the impairment was to be treated as having a
substantial adverse effect on her ability to speak and communicate - even
if, in fact, she could communicate satisfactorily, thanks to her
management regime.
- As Mr Allen emphasised, this was the crucial
issue in the case since, if it was resolved in Ms Boyle’s favour, there
could be no doubt that the impairment had lasted for more than 12 months
and so was “long term": section 1(1) and para 2(1)(a) of Schedule 1. So Ms
Boyle would meet all the criteria for being regarded as a “disabled
person", by reason of the substantial-long term adverse effect on her
ability to speak and communicate which was present, even if neutralised by
the management regime, during the relevant period. The substantive
provisions in Part II of the Act would therefore apply to her on that
basis.
- It would, however, be wrong to consider the
issue exclusively, or even mainly, in a forensic setting. Its true
practical setting is SCA’s business. When Ms Boyle claimed to be a
“disabled person” during the relevant period, SCA, as her employers, had
to consider whether she was indeed such a person as defined in section 1
and Schedule 1. More particularly, they had to consider whether, if she
stopped the management regime, the nodules on her vocal cords would be
“likely” to return and have a substantial adverse effect on her ability to
speak. If so, as already explained, Ms Boyle was a “disabled person” for
the purposes of the 1995 Act and SCA had then to consider what, if
anything, the provisions in Part II required them to do with regard to her
as a person suffering from a physical impairment which was having a
substantial adverse effect on the way she could speak and communicate.
- The industrial tribunal resolved the dispute
about her disability in Ms Boyle’s favour. The tribunal found on the
balance of probabilities that, if she had stopped the management regime
during the relevant period, the vocal cord nodules would have recurred -
and, as before, would have had a substantial adverse effect on her ability
to speak.
- SCA appealed to the Court of Appeal. At the
hearing of the appeal there was no discussion of the meaning of “likely”
in para 6(1). Despite this, when giving the judgment of the court
dismissing the appeal, Girvan LJ held, at para 19, that it does not mean
“probable", but “[it] could well happen". SCA appeal to this House. Their
contention is that Girvan LJ was wrong and that, as held in the rather
sparse previous case law, the tribunal had to be satisfied, on the balance
of probabilities, that the substantial adverse effect would happen. I
respectfully agree with Girvan LJ’s interpretation.
- "As with most ordinary English words ‘likely’
has several different shades of meaning. Its meaning depends upon the
context in which it is being used": Cream Holdings Ltd v Banerjee
[2005] 1 AC 253, 259, para 12, per Lord Nicholls of Birkenhead. The
previous cases cited by the appellants do not really help in identifying
the meaning of “likely” in the present context since they contain no
substantial reasoning in support of the interpretation which they favour.
The Guidance issued by the Northern Ireland Department of Economic
Development supported the approach in the case law - indeed the equivalent
British guidance had been cited in support of that approach in some of the
cases. At para B7, the Northern Irish Guidance said: “It is likely
that an event will happen if it is more probable than not that it will
happen.” But, again, there is no reasoning and, in any event, while the
Guidance can helpfully illustrate the way that a provision may work
in practice, it cannot be regarded as an authority on a point of statutory
interpretation. I would therefore put it on one side.
- Nor, on the other hand, would I base my
interpretation, as Mr Allen argued, on the supposed difficulty for doctors
in determining the issue in para 6(1) on the balance of probabilities.
- For one thing, as already pointed out, the
ultimate question is not purely medical, even though the medical input
into any answer is likely to be significant. As in most legal proceedings,
the decision is for the tribunal - and tribunals, like courts, are
accustomed to using the available medical evidence to draw conclusions on
the balance of probabilities when that is required.
- In practice, doctors commonly give evidence
in cases where the aetiology of some condition is contested - for example,
whether a claimant’s back pain was caused by an accident at work or by him
slipping when playing football a week later. Quite frequently, a medical
expert will be prepared to say that, for various reasons, the accident at
work, rather than the football incident, was probably the cause of the
pain - or the reverse.
- Even when they are asked to look into the
future, doctors may well be able to do so with considerable confidence.
Take the example of someone who is suffering from a progressive condition
such as a cancer. For the purposes of para 8(1) of Schedule 1 to the 1995
Act (“the condition is likely to result in his having such an
impairment”), it may be all too easy for a doctor to say that, on the
balance of probabilities, the patient will, sooner or later, have an
impairment which has a substantial effect on his ability to carry out
normal day-to-day activities. Indeed the chances may be, say, 90% or more.
Similarly, the way that most drugs work - say, by facilitating a normal
blood flow to the affected areas - is known. So where, for instance, a
particular patient, with a known history, is prescribed a continuing
course of drug treatment after a heart attack or a minor stroke, a doctor
may be able to say, pretty confidently, that, if the treatment were
stopped, that patient would probably have another heart attack or stroke.
In short, for doctors called to give evidence in relation to an issue
under para 6(1) the difficulty of predicting the effect of stopping a
treatment, on the balance of probabilities, will vary from case to case.
In itself, therefore, the possible difficulty of doing so in some cases is
not a compelling reason to interpret “likely” as meaning something less
than “probable” in order to make the provision workable.
- I would prefer to place the emphasis a little
differently. In their everyday practice doctors do not usually need to
consider whether a patient’s condition would “probably” recur if he did
not continue to take some drug or follow a particular exercise or other
treatment regime. On the one hand, a doctor does not prescribe a
continuing course of treatment if it is unnecessary - in other words,
where she considers that the condition or its symptoms will not recur if
the patient stops the treatment. But, equally, unless perhaps the
side-effects are particularly unpleasant or the cost of the drug is
prohibitive, a doctor does not prescribe a continuing course of drug or
other treatment only where she considers that there is more than a 50%
chance of the condition or symptoms recurring. She does so when she
considers that there is a significant risk of that happening - when “it
could well happen", to use Girvan LJ’s phrase, and when, accordingly, it
is worthwhile to continue the treatment.
- Paragraph 6(1) applies to people who are
undergoing such a continuing course of treatment or its equivalent. So it
makes sense to interpret “likely” against that background. I would
accordingly hold that it refers to the kind of risk of an impairment
recurring (“it could well happen”) that would make it worthwhile for a
doctor or other specialist to prescribe a continuing course of treatment
to prevent it. Therefore, where someone is following a course of treatment
on medical advice, in the absence of any indication to the contrary, an
employer can assume that, without the treatment, the impairment is
“likely” to recur. If the impairment had a substantial effect on the
patient’s day-to-day life before it was treated, the employer can also
assume - again, in the absence of any contra-indication - that, if it does
recur, its effect will be substantial. On this basis I agree with the
interpretation which Baroness Hale adopts.
- My noble and learned friend, Lord Brown of
Eaton-under-Heywood, adopts the same interpretation and bolsters it by
reference to a hypothetical situation in which the employer might fail to
take some reasonable step to accommodate the employee’s need to continue
treatment measures which were being taken to treat or correct an
impairment. The illustration refers to the employer’s duty of adjustment
under section 6, in Part II of the 1995 Act. I have already explained that
I prefer to construe para 6(1) within the context of Part I, which deals
with the concept of disability as it applies across the various spheres to
which the Act applies. Nevertheless, Lord Brown provides a further
striking example of the potentially unacceptable consequences of
interpreting “likely” as “probable".
- In the present case Ms Boyle had been
continuing her management regime for years after 1992 - but apparently
without any continuing involvement of doctors or other therapists. So it
seemed to SCA at least possible that the problem of nodules on her vocal
cords had been cured by the operation and that the management regime was
serving no useful purpose. But, on the evidence, the tribunal held, on the
balance of probabilities, that, if it had been abandoned, the nodules on
her vocal cords would have recurred and have had a substantial adverse
effect on her ability to carry out normal day-to-day activities during the
relevant period. Although, in reaching this decision, the tribunal applied
the wrong interpretation of “likely", its error favoured SCA. Moreover,
there is no doubt that, given Ms Boyle’s history of nodules returning
after the operation in 1975, the tribunal’s conclusion was open to it on
the available evidence. It must accordingly stand. It follows that, during
the relevant period, Ms Boyle was a “disabled person” for purposes of the
1995 Act. Therefore the tribunal must now go on to consider her complaints
that during the relevant period SCA discriminated against her, as a
disabled person, in three respects.
- As already emphasised, the issue as to
whether an applicant is a “disabled person” is distinct from the issue of
what the Act requires if the applicant is indeed such a person. In
principle, therefore, it may be suitable for a pre-hearing review. In any
given case the balance of advantages (e g the possibility of shorter
proceedings) and disadvantages (e g the possible need for the same witness
to give evidence twice) of holding such a hearing may often be more
apparent in retrospect. Such a hearing can indeed work perfectly
satisfactorily and, as, for example, in Woodrup v London Borough of
Southwark [2003] IRLR 111, provide a convenient way of disposing of
the application. On the other hand, the mere fact that the preliminary
point is rejected does not show that a pre-hearing review was
inappropriate. Even with the benefit of hindsight, I would hesitate to
criticise the decision to hold the pre-hearing review in this case. But I
would associate myself with everything which my noble and learned friends,
Lord Hope of Craighead and Lord Neuberger of Abbotsbury, say about the
subsequent delays and, in particular, about the case stated procedure.
- For these reasons I would dismiss the
appeal.
BARONESS HALE OF RICHMOND
My Lords,
- A person has a disability for the purposes of
the Disability Discrimination Act 1995 (the 1995 Act) if she has a
physical or mental impairment which has a substantial and long-term
adverse effect upon her ability to carry out normal day to day activities:
1995 Act, section 1(1). This definition looks to the present state of
affairs but it is subject to Schedule 1 which also has provisions looking
to the future.
- Most important for our purposes is paragraph
6(1):
“An impairment which would be likely to have a substantial
adverse effect on the ability of the person concerned to carry out normal
day-to-day activities, but for the fact that measures are being taken to
treat or correct it, is to be treated as having that effect.”
In other words, if a person has an underlying impairment
within the meaning of the Act, the effect of medical treatment and other
corrective measures which enable the person concerned to function more
normally is to be ignored. A blind person who can get about with a guide
dog is still disabled. A person with Parkinson’s disease whose disabling
symptoms are controlled by medication is still disabled. An amputee with
an artificial limb is still disabled. (This provision does not apply to
people with poor eyesight which is correctable by spectacles or contact
lenses: otherwise no doubt most of the population would be disabled.)
- Also relevant for our purposes is paragraph
2(2):
“Where an impairment ceases to have a substantial adverse
effect on a person’s ability to carry out normal day-to-day activities, it
is to be treated as continuing to have that effect if that effect is
likely to recur.”
In other words, if the underlying condition fluctuates in
the severity of its effects, the fact that they are not currently
substantial does not matter if they are likely to become so again in the
future. A person with multiple sclerosis may enjoy periods of remission in
which the manifestations of her disease are not sufficiently severe to
constitute a disability but there is always a risk that they will do so
again. A person with congenital degeneration of the spine may be able to
function quite normally as a result of surgery or other treatment but
there is always a risk that further degeneration will result in further
disability.
- These two provisions are quite different from
one another. In one the adverse effects of the impairment would still be
there if they were not being treated or corrected in some way. In the
other the adverse effects are no longer there but there is an underlying
susceptibility which means that they may recur.
- The issue before us is the degree of
likelihood entailed in each of these provisions - the likelihood of a
substantial adverse effect if the treatment or corrective measures were
not taken or the likelihood of a recurrence of that effect at some time in
the future. Does “likely” in each of these provisions mean probable or
“more likely than not” or does it mean simply that it is a real
possibility, something which “could well” happen?
- It is worth mentioning that the word “likely”
appears elsewhere in Schedule 1. In paragraph 2(1), the effect of an
impairment is a long term effect if it has lasted for 12 months or is
likely to last for at least 12 months or for the rest of the person’s
life. In paragraph 8, a progressive condition which has or has had some
effect but not yet a substantial one, is to be treated as having a
substantial effect if this is likely to result. Although the issue is not
before us and we are not deciding it, it is usual for the same word to
mean the same thing when used in the same group of statutory provisions.
- The issue comes before us in an unusual way.
The Industrial Tribunal in Northern Ireland decided to treat the question
of whether the applicant employee was disabled within the meaning of the
Act as a preliminary issue. The Tribunal applied the “more likely than
not” test but found in favour of the applicant. The respondent employer
appealed by way of case stated to the Court of Appeal which applied the
“could well happen” test and dismissed the appeal. The employer petitioned
this House for leave to appeal. We granted leave because the Court of
Appeal in Northern Ireland had applied a different test from the one which
had hitherto been applied in England and Wales. This is a United Kingdom
statute and it is one of the functions of this House to ensure that United
Kingdom statutes are interpreted in a uniform way throughout the United
Kingdom.
- However, those representing the applicant
(presumably content that they had succeeded on the more stringent test)
did not wish to argue that the proper test was the one which had been
applied in the Northern Ireland Court of Appeal. This would have left the
House without the benefit of any legal argument other than that of the
appellant employer. Accordingly we invited the Attorney General to appoint
an amicus curiae. In fact she did better than that and invited the
Equality and Human Rights Commission to intervene in the appeal. This they
have done and we are most grateful to them and to their counsel, Robin
Allen QC and Catherine Casserley, for the help which they have given us.
The respondent, Mrs Boyle, has been present throughout the hearing but did
not wish to address us.
The facts
- Mr Allen describes the case as a paradigm and
it is easy to see why. It illustrates the problem very well.
- Mrs Boyle was first employed by these
employers in 1969 and held the position of buyer/stock controller from
1978. In 1974 she consulted an ENT surgeon after 12 months’ suffering from
hoarseness. In November 1975 she had an operation to remove nodules or
nodes from her vocal chords. In April 1981 she again consulted an ENT
surgeon suffering from vocal nodes. After many months of speech therapy,
one of these had reduced in size and the other had disappeared. She
continued with the speech therapy.
- In December 1991, after four months of
hoarseness, she again consulted an ENT surgeon and in January 1992 she was
told to rest her voice for four months, during which time she was off
work. In April 1992, she saw a speech therapist and was given vocal and
breathing exercises. She was advised to follow a strict “management
regime” to conserve her voice. This involved sipping water throughout the
day to counteract dry, warm and sometimes smoky environments, increasing
humidity, ceasing throat clearing, avoiding certain foods and liquids
which affect the voice adversely, reducing the length of telephone calls
and staggering them, trying not to shout or raise the voice over distance
or above other noise, turning off or moving away from background noise,
refraining from singing and humming, resting the voice at key points
throughout the day especially when it had been heavily used or had
deteriorated, avoiding passive smoking, exercising regularly to improve
breath support and overall well-being, and taking time to relax.
- Despite four months of speech therapy and
following this regime, the vocal nodes remained and in August 1992 she had
another operation to remove them. After this she had further speech
therapy and had to rest her voice completely for another four months. She
carefully followed the management regime “which had a severe and upsetting
effect upon her life” (para 8(7) of the Industrial Tribunal’s decision).
When she returned to work she had to stagger telephone calls, limit the
number and length of meetings, rest her voice during breaks, control the
temperature in her office, plan the use of her voice, speak quietly and
not shout, and not compete with background noise. The vocal nodes did not
recur after 1992. The applicant put this down to her strict adherence to
the management regime, with the severe curtailment of her social and
leisure activities which this entailed. The respondent maintained that she
had been cured.
- Matters came to a head in September 2000 when
her line management changed. Her new manager decided to take down the
partition separating her office from the stock control room. She thought
that the increased noise levels would have a substantial adverse effect
upon her health. She complained, with support of her ENT surgeon, but the
employer’s occupational health specialist took a different view. In
October 2001, she launched proceedings under the 1995 Act, complaining of
discrimination. This must have been because of the employer’s failure to
make reasonable adjustments to cater for her disability, contrary to what
is now section 3A(2) of the 1995 Act. The employers denied discrimination
and claimed that their proposals were fair and reasonable and made for
justifiable operational reasons. They also denied that she suffered from a
disability within the meaning of the Act. In February 2002 she was told
that her position was to be made redundant and brought further proceedings
alleging discrimination and/or victimisation. In May 2002 she was made
redundant and after an unsuccessful appeal brought further proceedings in
November 2002 under the 1995 Act and for sex discrimination and unfair
dismissal. All these proceedings were eventually consolidated but in
November 2004 it was directed that there should be a preliminary hearing
on whether the applicant had a disability within the meaning of the 1995
Act.
- That hearing eventually began in November
2005 and took place over five days ending in February 2006. The Tribunal
heard evidence from the applicant’s speech therapist, three consultant ENT
surgeons and a specialist in occupational health. The decision was issued
in May 2006. The Tribunal (Mrs O Murray, sitting alone) found that the
applicant did suffer from a physical impairment in the form of hoarseness
and vocal nodes (both of them listed in the WHO classification of
diseases). She found that when affected by vocal nodes and their
aftermath, the applicant suffered an adverse effect upon her normal day to
day activities - the ability to talk without losing one’s voice or vocal
volume, to converse without having to plan voice-use and without having to
allow for voice rest after moderate use, to talk on the telephone without
having to take compensatory lengthy voice rest, and so on. She found that
the effect upon the applicant when she suffered from the effect of vocal
nodes was substantial. She found that the management regime did constitute
“treatment” within the meaning of paragraph 6(1) of Schedule 1 (paragraph
48 above). Ignoring its effects, she found that the applicant “would have
suffered from the hoarseness and ultimately the nodules” during the
relevant period had she not followed the regime: para 31. The management
regime constituted a great curtailment of day to day activities and went
far beyond the reasonable “coping strategies” envisaged in the
Departmental Guidance: Guidance on matters to be taken into account in
determining questions relating to the definition of disability, Department
of Economic Development (1996). Hence she found that, under paragraph
6(1), the substantial adverse effect was “deemed to have continued”
throughout the period: para 36. However, she also found that, on the
balance of probabilities, the condition of vocal nodules was likely to
recur for the purpose of paragraph 2(2). The doctors were agreed that the
applicant had a propensity to develop them. The only reason she had not
done so was her very strict adherence to the management regime, “to an
extent which went far beyond any reasonable measures to be taken to
preserve voice quality or avoid vocal overuse, misuse or abuse": para 41.
Hence the Tribunal found that both paragraphs 6(1) and 2(2) of Schedule 1
to the 1995 Act (paragraphs 48 and 49 above) applied and the applicant was
a disabled person within the meaning of the Act.
- It took until February 2008 for this
preliminary issue to reach the Court of Appeal. Much of this delay was
attributable to the process of stating a case for the opinion of the Court
of Appeal which, as my noble and learned friend Lord Hope of Craighead has
explained, continues to apply in Northern Ireland. The Court of Appeal
gave judgment in October 2008 dismissing the employers’ appeal. The Court
accepted that the Tribunal’s decision was open to the criticism that
paragraphs 2(2) and 6(1) of the Schedule are concerned with the recurrence
or correction of the adverse effects of an existing impairment. It
is still necessary for an impairment to exist. But the Court felt it
possible to draw that inference from the findings which the Tribunal had
made.
- More importantly for our purposes, the Court
of Appeal discussed what was meant by the words “likely to have a
substantial adverse effect” in paragraph 6(1) and concluded that “likely”
was used in the sense of “could well happen” rather than probable or more
likely than not.
The arguments
- Noelle McGrenera QC, for the appellant
employers, argues that this interpretation is wrong. Had the Court of
Appeal applied the correct interpretation, it would have been bound to
find that the decision of the Tribunal had been perverse on the evidence
presented to it. Robin Allen QC, for the interveners, holds no brief for
the respondent employee. But he points out that all the indications are
that the Tribunal applied the higher test of likelihood when applying
paragraphs 2(2) and 6(1) of Schedule 1. He also suggests that the Tribunal
was entitled to reach the conclusions which she did on the evidence before
her. Thus in any event the appeal should fail.
- Further, he makes the important point that,
if the substantial adverse effects of an impairment are being held at bay
by a course of treatment or other corrective measures, so that paragraph
6(1) applies, there is no room to consider the likelihood of recurrence
under paragraph 2(2). Paragraph 2(2) assumes that the substantial adverse
effects have gone away for the time being without treatment and the
question is whether they are likely to recur at some point in the future.
Under paragraph 6(1) the question is whether the effect would be likely
were it not for the corrective treatment. He also submits that the meaning
of “likely” in both paragraphs is that given by the Northern Ireland Court
of Appeal.
Discussion
- The Northern Ireland Department of Economic
Development has issued Guidance on the matters to be taken into account in
determining questions relating to the definition of disability, under
section 3 of the 1995 Act. The Guidance current at the time was issued in
1996 and is to the same effect as the Guidance issued by the Secretary of
State for England and Wales (both have since been replaced). Both state,
at para B7, that “It is likely that an event will happen if it is
more probable than not that it will happen". This curious statement
appears to have got “likely” and “probable” the wrong way round. It is
probable that an event will happen if it is more likely than not that it
will do so. Probability denotes a degree of likelihood greater than 50%.
Likelihood, on the other hand, is a much more variable concept.
- Nevertheless, the English case law has until
now adopted this approach. In Latchman v Reed Business Information Ltd
[2002] ICR 1453, the Employment Appeal Tribunal concluded that an
effect was not “likely” to recur if the risk of recurrence was about 50%.
That test was simply repeated by the EAT in Swift v Chief Constable of
Wiltshire Constabulary [2004] ICR 909, at para 28, referring both to
Latchman and to the Guidance. There is a more extended discussion
in Eastern and Coastal Kent PCT v Grey, UKEAT/0454/08/RN, at paras
18 to 23, where the EAT considered that it meant something other than
“may” or “might” (para 22) but nevertheless concluded, somewhat
mysteriously, that the use of the word “would” by the Tribunal showed that
a higher threshold had been reached than was required by the word “likely”
(para 23). Not only that, in Cunningham v Ballylaw Foods Limited
[2007] NICA 7, para 11, the Northern Ireland Court of Appeal also cited
para B7 of the Guidance with apparent approval. So it would appear that,
until this case, the Guidance has met with an uncritical response on both
sides of the Irish sea, although only in Latchman was it decisive
of the outcome.
- In this House, we start with a clean slate.
The Guidance has, of course, to be taken seriously into account when it
deals with the factual matters which are relevant to the application of
the legal tests. It is common for statutory Guidance to try to explain,
not only how the legislation should be put into effect by the people who
have to apply it, but also what the legislation means. But that is simply
being helpful to practitioners who are not lawyers and may never read the
legal texts. Statutory construction remains a matter for the courts, not
for Departmental Guidance. If the court considers that the Guidance is a
mis-statement or mis-application of what Parliament has enacted, then it
must say so.
- It is significant that, apart from the EAT
decisions cited above, our attention has been drawn to no case in which
“likely” has been held to mean “more likely than not". This is scarcely
surprising, as Parliament can always use the word “probable” if that is
what it means. In Cream Holdings Ltd v Banerjee [2004] UKHL 44,
[2005] 1 AC 253, Lord Nicholls of Birkenhead said this, at para 12:
“As with most ordinary English words “likely” has several
different shades of meaning. Its meaning depends upon the context in which
it is being used. Even when read in context its meaning is not always
precise. It is capable of encompassing different degrees of likelihood,
varying from ‘more likely than not’ to ‘may well'.”
In that case, the House related the degree of likelihood of
success at trial, required by section 12(3) of the Human Rights Act 1998,
to the potential adverse effects of disclosure. This is very similar to
the position in child care cases, where the degree of likelihood of harm
required by section 31(2) of the Children Act 1989 is related to the
seriousness of the consequences if nothing is done. As Lord Nicholls said
in In re H (Minors)(Sexual Abuse: Standard of Proof) [1996] AC 563,
at p 585:
“The context shows that ... likely is being used in the
sense of a real possibility, a possibility that cannot sensibly be ignored
having regard to the nature and gravity of the feared harm in the
particular case.”
- There are very good reasons for concluding
that, in this case too, Parliament did not intend that “likely” should
mean “more likely than not". We are used, in civil proceedings, to
deciding whether or not something has happened in the past “on the balance
of probabilities". We ask ourselves whether it is more likely than not
that something happened. We usually have a good deal of evidence to help
us decide what went on. Once we have done so the event is treated as a
fact: it was probable, therefore it was certain: see, for example, In
re B (Children)(Care Proceedings: Standard of Proof)(CAFCASS intervening)
[2008] UKHL 35, [2009] 1 AC 11, per Lord Hoffmann, at para 2.
- But predictions are very different from
findings of past fact. It is not a question of weighing the evidence and
deciding whom to believe. It is a question of taking a large number of
different predictive factors into account. There are cases, as my noble
and learned friend Lord Rodger of Earlsferry points out, in which the
doctors can predict with all too much confidence what will happen to the
patient. But in many others, putting numbers on what may happen in the
future is a guessing game. Who can say whether something is more than a
50/50 chance? That is what the doctor in Latchman found so
difficult. But assessing whether something is a risk against which
sensible precautions should be taken is an exercise we carry out all the
time. As Girvan LJ put it in the Court of Appeal, at para 19:
“The prediction of medical outcomes is something which is
frequently difficult. There are many quiescent conditions which are
subject to medical treatment or drug regimes and which can give rise to
serious consequences if the treatment or the drugs are stopped. These
serious consequences may not inevitably happen and in any given case it
may be impossible to say whether it is more probable than not that this
will occur. This being so, it seems highly likely that in the context of
paragraph 6(1) in the disability legislation the word “likely” is used in
the sense of “could well happen”.”
It has often been emphasised in the cases that the burden of
proving disability rests with the applicant, who must bring medical
evidence to establish this. Witnesses from any branch of medicine
(including the professions related to medicine such as speech therapy)
will be far more comfortable with assessing the reality of the risk rather
than putting precise percentages upon it”.
- Furthermore, as Mr Allen points out, the
finding of disability is a threshold. In most cases, the question is
whether the employer should have made reasonable adjustments to cater for
the disability. The real issue in this case is whether it was reasonable
to expect the employer to continue to adjust the working environment to
take account of Mrs Boyle’s problems with her voice or whether it was not.
The employer needs to know this in real time, and not to have to wait
until a Tribunal has heard all the evidence and reached a conclusion about
what is more likely than not to happen in the future. As with the child
care cases, the question here should be, are these adverse effects
sufficiently likely to require us to consider what, if any, adjustment
should be made to take account of them?
- We do not know the answer to that question in
this case because the substance of the complaints has not yet been tried.
It could be that, weighing the extent of Mrs Boyle’s problems against the
dictates of the employer’s business, it was not reasonable to expect the
employer to make adjustments for her. It could be that it was. The same
evidence which was heard on the disability issue will also be relevant to
the adjustment issue. It is most unfortunate that they have been separated
in this case and that it has taken so long for the preliminary issue to be
resolved.
Conclusion
- I therefore conclude that the Court of Appeal
in Northern Ireland applied the right test. Latchman should be
overruled and dicta to the same effect disapproved. That being so, there
is no need for us to go on to consider whether the Tribunal’s findings of
fact were perverse in the light of the evidence before her. But I would
have been very reluctant to do so. There was clear evidence of an
underlying propensity to develop serious problems with the voice. The
person who was closest to the regime which the patient was following was
the speech therapist, whose evidence was that failure to follow the regime
would lead to deterioration in voice and recurrence of the vocal nodules.
The ENT surgeons found it more difficult to be so confident but that does
not mean that the Tribunal should not have reached the conclusion which
she did.
- However, the fact that the surgeons found it
so difficult to put precise numbers on their predictions, when all were
agreed on the underlying propensity to voice problems, supports the view
that this was not the exercise which Parliament expected of them.
- For these reasons I would dismiss this
appeal. The case must now go back to the Tribunal for the substantive
complaints to be determined unless, of course, the parties are able to
reach agreement upon them. I would also agree with your lordships that,
where a tribunal has issued a fully reasoned decision, the case stated
procedure has “nothing whatever to commend it". It is suitable for appeals
on points of law from courts or tribunals which do not routinely explain
their decisions. But aside from the duplication of effort and delay, it
can give rise to unseemly debates between the tribunal and the parties as
to the issues upon which a case should be stated. It is the appeal court,
rather than the tribunal under appeal, which should decide which issues
are worthy of its attention. It is to be hoped, therefore, that the
relevant rule-making authorities in Northern Ireland will consider making
rules to provide for an ordinary appeal procedure in these cases.
LORD BROWN OF EATON-UNDER-HEYWOOD
My Lords,
- I have had the advantage of reading in draft
the opinions of my noble and learned friends Lord Hope of Craighead, Lord
Rodger of Earlsferry, Baroness Hale of Richmond and Lord Neuberger of
Abbotsbury. I am in substantial agreement with all of them and in common
with each of your Lordships I too would dismiss this appeal. I add only a
few paragraphs of my own.
- If someone is a “disabled person” within the
meaning of the Disability Discrimination Act 1995 others must in certain
defined circumstances “make reasonable adjustments” in relation to him. If
not disabled, however, the person can look to no such consideration. Take
this respondent. No one disputes that during the relevant period, and
indeed for some years beforehand, she had on medical advice submitted
herself to a strict management regime in order to save her voice and
prevent nodules recurring on her vocal cords. (Others of your Lordships
have fully recounted the facts of this appeal and no purpose whatever
would be served by my restating them, or indeed the governing legislation,
again.) If disabled, she could look to the appellants, her employers, to
“make reasonable adjustments” in determining the particular circumstances
and conditions of her employment. For example, she might reasonably have
been entitled to expect the appellants to take note of her voice
management regime and not, say, subject her to changed circumstances
requiring her to shout, or engage in long or frequent telephone calls, or
work in a smoky or otherwise polluted atmosphere, or whatever else. If,
however, she was not to be regarded as disabled, her employers would be
free of these constraints.
- It is in this context that your Lordships are
called upon to decide the true meaning and application of the word
“likely” where it appears in paragraph 6(1) of Schedule 1 to the 1995
Act—or for that matter in paragraph 2(2) of the Schedule although, as Lady
Hale helpfully points out, that paragraph serves a quite different
purpose. Assume a serious risk exists that, but for an employee’s
observance of whatever measures are being taken to treat or correct an
impairment (in this case the management regime designed to combat the
respondent’s propensity to develop vocal nodules), the substantial adverse
effects of that impairment would recur, is it really to be said that,
unless the risk can be shown to amount actually to a probability, the
employer (subject only to ordinary employment law considerations) can
simply ignore the employee’s condition and take no steps whatever, however
ostensibly reasonable, to accommodate the employee’s need to continue the
treatment measures? To my mind, plainly not. It is sufficient to establish
that, were the treatment regime to be materially disrupted, the severe
disabling effects could well recur. Such a finding would carry with it a
requirement of cooperation on the employer’s part. So much for the
substantive issue for decision.
- As for the procedural questions thrown up by
the long and tortuous (not to say ultimately unproductive) course thus far
taken in this dispute, there is little, save emphasis, that I wish to add
to what others of your Lordships have already said. First, unless there is
a probability (I use the word advisedly) that a preliminary issue as to
whether the complainant is disabled or not will be determinative one way
or the other of the entire dispute, it is highly unlikely to be
justifiable: there will almost certainly be more to lose than to gain by
such a process. Secondly, where, as here, the tribunal has issued a fully
reasoned decision on the point at issue, the case stated procedure, as
opposed to a straightforward appeal by leave, has nothing whatever to
commend it—and much by way of needless delay, expense and general
aggravation in its disfavour. It really is time to take a close look at
the relevant rules with a view to eradicating this absurdity for the
future.
LORD NEUBERGER OF ABBOTSBURY
My Lords,
- I have had the benefit of reading in draft
the opinions of my noble and learned friends, Lord Hope of Craighead and
Baroness Hale of Richmond.
- There is nothing that I can add to Baroness
Hale’s analysis of the meaning, effect and interrelationship of the
various provisions of Schedule 1 to the Disability Discrimination Act 1995
which fall to be considered in this case, or to her explanation as to the
meaning of the word “likely” in paragraphs 2(2) and 6(1) of that Schedule.
For the reasons which she gives, I would dismiss this appeal.
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