Hall & Anor v Durham County Council & Ors (Unfair Dismissal: Compensation) [2015] UKEAT 0257_14_1002

EAT
Hall & Anor v Durham County Council & Ors (Unfair Dismissal: Compensation)
[2015] UKEAT 0257_14_1002 · 2015-02-10
[9]“ The tribunal considered the issue of future loss of earnings … After referring to various factors affecting the assessment it held that she was ‘likely to obtain suitable alternative employment at 25 hours per week in a year’s time ’; and it awarded one year’s loss of earnings … on that basis. At the risk of spelling out the obvious, that is not a finding that it was more probable than not that the claimant would find a job after precisely one year. Rather, it is an estimate, made on the assumption that the claimant continued to make reasonable efforts to mitigate her loss, of the mid-point of the probabilities. In Wardle v Crédit Agricole Corporate and Investment Bank [2011] IRLR 604 , at paragraph 52 (p.610) Elias LJ said:
‘… In the normal case, if a tribunal assesses that the employee is likely to get an equivalent job by a specific date, that will encompass the possibility that he might be lucky and secure the job earlier, in which case he will receive more in compensation than his actual loss, or he might be unlucky and find the job later than predicted, in which case he will receive less than his actual loss. The tribunal’s best estimate ought in principle to provide the appropriate compensation. The various outcomes are factored into the conclusion. In practice the speculative nature of the exercise means that the tribunal’s prediction will rarely be accurate. But it is the best solution which the law, seeking finality at the point where the court awards compensation, can provide.’
It is, however, convenient to refer to it, as the tribunal did, as the date on which it was likely that she would obtain employment.” 48. All depends upon the particular exercise on which the Tribunal is engaged. This is one of assessing the chances. I do not see here, by its adoption of 100%, that the Tribunal was wrongly adopting the approach of looking at probabilities or certainties as such, as though that were the way to calculate future loss. It is possible that, in what it said as to 100% loss, the Tribunal was balancing the chances. I shall, however, go on at this point to note that subsequently in his argument Mr Healy argued that it was perverse of the Tribunal to adopt 100% because of the uncertainties that were inevitable in this case. If the Tribunal is right to hold that a teacher who had taught for ten years and had had no promoted post would by the age of 50 have obtained a Head Teacher’s post, this would require her first to become a Deputy Head, and it would have to be assumed that she had successfully won her spurs in that role. It would depend upon the extent to which there were vacancies. It would depend upon the calibre of the other applicants. It would depend upon personal factors affecting her, such as her own state of health as it might have been, the demands of her children, and for that matter her family life more generally. There are many choices which are made by people during the course of their life which cannot be anticipated with any certainty in advance. 49. It is on arguments such as this that Mr Healy argues that the Tribunal simply went too far by asserting a 100% chance. Though it might have had reason, it may be argued, for thinking that the chance was strong, he submits that it could not be said to be absolutely certain. I consider that this argument ought to be argued before a full Tribunal. It seems to me to have possibilities of success. It must be seen in context, but the finding is clear, and it may be that an Appeal Tribunal would think that it had not been sufficiently explained by the Tribunal below. 50. The argument goes on to suggest that the Employment Tribunal should have reminded itself of the rare nature of career-long losses in employment cases. It relies on Wardle v Credit Agricole [ 2011] ICR 129 at paragraph 50. This seems to me to be an argument on fact and not an argument of principle. 51. The failure to consider the Blamire approach was advanced. I have dealt with that. 52. As to the failure to appreciate that, as time passed, the prospects of a return to teaching increased and therefore a sliding scale of discounts should be introduced, this is an attack upon the Tribunal’s conclusion that the Claimant realistically would not return to teaching. That finding was open to it. At a different part of his argument Mr Healy submits that neither Mr McNaught nor the consultant psychiatrist, Dr Mumford, could rule out the Claimant returning to teaching. Dr Mumford’s views, however, were couched with very great uncertainty. The Claimant herself was clear that she would not return or be able to return to teaching, much as she would otherwise have wished to do so. That was evidence which the Tribunal was entitled to take into account. It had to form its own assessment. The Tribunal was entitled to take the view that a Claimant who had not taught for some years at the date of the Tribunal application save in the TEFL role, who was anticipating further treatment before a return to part-time work and perhaps some administrative work thereafter would be unlikely to return to teaching. For the time being, at any rate, she could not face a return to the classroom because of what had happened. The Tribunal might think it unrealistic that she should in due course surrender whatever job she might then have for what would be the inevitable uncertainties of seeing if a return to the classroom might then succeed, if indeed, by that stage, a school would wish to employ her. It seems to me the Tribunal’s conclusion was one to which it unarguably was entitled to come and displays no error of principle. 53. That deals with ground 2.5. As to ground 2.6 this is a challenge to the Tribunal’s assessment of the Claimant’s chances of promotion. The chances were assessed in two stages: first, Deputy Head, then Head. It seems to me that the principles I have already expressed as to the proper approach in relation to the 100% chance of becoming a Head Teacher apply to the question of becoming a Deputy Head, and I see no reasonable prospect that the Tribunal’s Decision as to that and its approximate timing, as a fair reflection of the evidence before it, would be held to be beyond its entitlement. I have already indicated that I do see a 100% certainty of becoming a Head Teacher as arguable. 54. The next ground, 2.9 (neither ground 2.7 or 2.8 being pursued) suggests that there was an overlap between the award of £15,000 for loss of career opportunities made in the December 2008 hearing and the award made at the Review and Reconsideration Hearings in respect of future loss, such that one or the other should be reduced. 55. The first question for me as to this is the nature of the award which was made and the basis for it. The Tribunal expressed this in its Judgment of 18 December 2008. It took the view that because of what had happened the Claimant had suffered a setback to her career (see paragraph 8.2). It said:
“… She was an established and dedicated teacher. She had a good record of teaching, leadership experience, she wanted to progress her career, but for the statutory torts her career would not have been stalled in the way it was. It was difficult to assess what the financial compensation for that should be, but doing the best we could with the information we had we considered that an appropriate amount, was £15,000 (which equates to the difference in salary for a year between the claimant’s salary and the headteacher’s salary).” 56. Any court approaching this on appeal would seek to understand what was being said here. To my mind it is clear. The Tribunal were in effect saying that the Claimant would, as a result of what had happened, no longer be promoted to the post she otherwise had a chance of reaching as early as she would have done. In compensation for that delay it took a figure which broadly represented a year at a Head Teacher’s salary, it being her case that that is the position she ultimately would have achieved. If indeed her career was delayed by a year in reaching promotion, that would not be inappropriate. 57. That was the position as at 2008. The question then is whether, in the Review and Reconsideration Decisions, the Tribunal began with the 2004 incidents when assessing compensation, or began to assess the additional loss as from 2008. It seems to me unarguable that the latter is the case. That being so, it was already accepting that there had been the setback to the career of which the Claimant was complaining, which it accepted had occurred, and therefore there is no overlap between the damages. I understood, I hope accurately, that in submissions Mr Healy felt that, if the starting point was as I have described it, then the conclusions would follow. 58. At 2.10 the Respondent returns again to the question of the decision as to Deputy Head and Head Teachers. I merely repeat what I have already said in respect of those matters. 59. In ground 2.11 it is suggested that the Tribunal erred in its approach to residual earning capacity. It did not make the broad, sensible and fair assessment of the Claimant’s likely future earnings it should have done because it made no allowance for the possibility of future promotion in the post which the Claimant would have. As to this, it seems to me that this would be regarded by any court on appeal as an over-focus upon individual items and aspects of the Judgment which would necessarily be broad-brush, as the Respondents’ own statement of principle recognises. The Tribunal expressly recorded it as a speculative exercise (paragraph 67), in respect of which it nonetheless did its duty to assess the loss as best it could. It noted that it could have assessed loss using a varying percentage basis. This makes it clear that the Tribunal was actually doing its best in reaching a broad-brush conclusion to the question of what residual future earnings might be. It is not appropriate in respect of such reasoning to criticise the Tribunal for a failure to take separately into account that which almost automatically was part and parcel of the assessment: that is, the prospects of increased earnings over time beyond the natural effects of inflation. 60. As to ground 2.12 (Pension Loss) it is argued that the 2013 Guidelines should have been adopted. They anticipate that a Claimant’s salary, as at the date of dismissal, should be regarded as the starting point for any assessment of pension loss in the future. The Guidelines say that they do not make specific allowance for inflation, future career progression and so on since those are taken into account in the discount factors to be applied. However, all must depend upon the particular facts. I put to Mr Healy in argument what the position would be if it were certain that within three months of a dismissal or a wrong a Claimant would otherwise have been promoted as a certainty: would the pension be calculated upon the basis of the unpromoted salary or the promoted one? He indicated that, consistent with his argument, the former was the only conclusion he could reach. It seems to me that if a court knows what the position will be it would be artificial not to take that into account. If, for example, it is thought to be the case that the Claimant would be a Head Teacher as at the date of her retirement, and would have been so for the requisite time under the pension scheme (a year or three, whichever it may be), then her pension would under a final salary pension scheme be based, as the name suggests, upon those last year’s earnings. Those promoted earnings are necessarily greater, when considering the appropriate figures at the time of calculation, than the unpromoted wage she would have been receiving at that date. I do not see, therefore, that this calculation is in error. 61. The only matter I would mention, however, is that if the Respondent succeeds in its appeal in respect of the 100% figure for the chance of becoming a Head Teacher and some other figure, for instance, is substituted, whether it be 75%, 80%, 90% or as may be, that would have a knock-on effect upon the entirety of the pension calculation because the starting point would be less certain by the appropriate percentage, and accordingly the pension figure would then fall for review too. 62. The process of pension calculation begins, therefore, with what the Guidelines refer to as the current salary, as multiplied by the appropriate factor derived form tables, from which is to be deducted the value of accrued pension rights at the date of dismissal. This gives rise, it seems to me, to the second potential point of appeal. The Tribunal concluded that, in order to calculate the earnings from the pension scheme which had applied to her whilst a teacher, a pension to which she remained entitled, it should use a multiplier of 9.45. Mr Healy argues that it should have used one of 12.12 because the Claimant’s “normal retirement age” was 60, not 65. The Tribunal approached the matter as if the Claimant’s evidence that she would have worked on to 65, as she was entitled to do, would have affected not just the pension which she would otherwise have had, but also the pension to which she was already actually entitled. This ignores the fact that, if she was entitled to a pension which she could take at 60, in addition to whatever else she might be earning at the time in her residual earning capacity, she would be entitled to be paid that pension for five years between 60 and 65 and would not have to wait to 65 to start it. Consequently, he argues that the Tribunal should have used a multiplier of 12.12. It seems to me that this argument, though small in the overall scheme of things, may indicate a discrete error on the part of the Tribunal and seems to me arguable. 63. The next point was that the Tribunal had not allowed anything for the possibility that the Claimant might have a pension from the earnings she may yet earn. Since all employers are obliged to join what is known as the NEST scheme, due to be introduced, this should have been recognised by the Tribunal. In my view the Tribunal was entitled to apply the Guidelines as it did. I am not satisfied that there is any sufficient argument here suitable for a Full Hearing of the appeal which detracts from the overall task here of the Tribunal in giving a fair, albeit broad brush assessment, of the Claimant’s loss arising from the wrong done to her. 64. It is said that the Tribunal failed to consider withdrawal factors, that is the risk of the Claimant leaving her employment earlier than her projected retirement age. This is not a separate point. If the multiplier is properly calculated, it will take account of that risk, as will the reduction, if there be any, from 100% to some lower figure in light of factors such as I have identified which make me regard the 100% point as arguable. 65. Next, Mr Healy argues that the Tribunal was wrong to follow the decision in Yorkshire Housing Ltd v Cuerden [2010] U KEAT/0397/09/SM that an award for pension loss is taxable. He argues that Cuerden deals with a different section of statute. The response given, on what is an inter parties Preliminary Hearing, though I found it unnecessary to call significantly upon Mr Anderson, was to refer me to the case of Moorthy v Commisioners for HM Revenue and Customs , a decision of the First-tier Tribunal in the Tax Chamber, reported at [2015] IRLR 4 , in which the Tribunal emphasised at paragraph 64 that section 401 of the ITEPA was a very widely drawn provision: “This is a very widely drawn provision. Not only does it catch payments made directly in consideration of a termination, or directly in consequence of a termination, but indirect payments of either type, but is then further expanded to include payments which are not even in consideration or in consequence of a termination but ‘ otherwise in connection with’ a termination.” 66. It is well settled in employment law that pension is to be treated as deferred pay, that pension in payment is taxable and that therefore any sum paid in respect of a loss of that which would be taxable as representing deferred earnings is within the taxing statutes. I see no problem with the Tribunal here following Cuerden . I do not see the difference in statutory section as relevant to the issue. 67. The Respondent complains that before finalising the Judgment the Tribunal did not look at the case in the round and consider whether the amount awarded was a sensible and just reflection of the various chances it had assessed. To my mind this is not a proper ground of appeal where the Tribunal has approached the task in the way which it did here. 68. The third category under which the grounds of appeal fell was perversity. I shall deal with this shortly. Perversity is a high hurdle. There has to be, in effect, no evidence upon which the Tribunal could rely, or a decision has to be so startling in its result that an observer would exclaim in astonished fashion. The point has been expressed in different terms in a number of authorities, which it is unnecessary for me to repeat here. The findings attacked at 3.21 were the additional injury to feelings award of £15,000. In my view this was plainly an additional award consequent upon the redundancy, the additional feelings which it caused and the additional injury. There is no prospect of that being regarded as perverse. Whatever one may say about the award, it was within the entitlement of the Tribunal to make it. The Tribunal’s conclusion that there was no chance of the Claimant returning to teaching is one within the entitlement of the Tribunal to make, as I have indicated. It did not have to follow the evidence of Dr Mumford and of Mr McNaught that they would “not rule out” the prospect of a return to teaching. The Tribunal was entitled to, indeed bound to, rely upon its own experience and assessment. 69. The other items I can deal with comprehensively without descending to detail in which in what is already too overlong a Judgment, With the exception of the argument in respect of the 100% chance of the Claimant becoming a Head Teacher by aged 50, the various matters referred to are not matters which would properly pass the hurdle of arguability. Conclusions 70. On the Preliminary Hearing it follows that I consider that no ground has any realistic prospect of success, save two. I refer to them as two grounds although each has a life under the separate headings. In particular the central ground is the argument that the Tribunal was not entitled, either as a matter of principle or on the evidence, it being perverse to do so, or a matter of failing properly to explain, to decide that the Claimant would inevitably have become a Head Teacher at the age of 50 and maintained that Headship all the way through to the age of 65. To that extent there is room for argument that the assessment in respect of future loss was wrong. The second argument is the lesser point in respect of the multiplier in respect of the pension which would in any event be payable to the Claimant and whether too modest a multiplier was adopted given the principles which the Tribunal were applying. The Claimant’s Appeal 71. The Claimant’s appeal, for which she had leave, focuses on the approach which the Tribunal took to the question of grossing up at paragraph 74 (set out above). The Claimant argued on the application for reconsideration that the effect of that was actually to produce in her hand, after taxation, a figure less than the Tribunal thought was full and proper compensation. The Tribunal did not accept that argument. It did so because: “… The Tribunal agreed with Mr Healy that it was difficult to understand what the claimant’s argument was to justify a further grossing up of the already grossed up award. Mr Falkenstein [he then being counsel for the claimant] was unable to provide any further clarification at the hearing. …”
On that basis it maintained its original approach to grossing up. That had been, as I have indicated, to take each of the taxable heads it had identified and ask whether, if that sum were paid, what the tax would be in respect of it. 72. The problem with that approach may be shown by this simple example. Suppose that a Claimant is entitled to be paid £80 and suppose, for the sake of ease of calculation and demonstration, that the marginal tax rate applicable to that sum is 25%. If one asks what the tax would be on the £80 once paid, the answer would be £20, that being 25% of £80. The total would be £100. The payment thus made by the Respondent, assume, would be £100, in order to satisfy a debt of £80. The payment actually made to the Claimant in this example, upon which tax is due to fall, is not £80. It is £100. It is that sum which is taxable. If tax at 25% is applied to the £100, the result is to leave £75. That is £5 less than the £80 to which the Claimant in my example is entitled. That demonstrates the error in taking this approach. It also demonstrates the error into which the Tribunal fell. Having, in my view correctly (and that view is not dissented from by counsel) set out the applicable principle at paragraph 74 of its Review Judgment, the Tribunal did not in fact calculate the sum (in respect of the amounts which were taxable) which when taxation was applied to it at the appropriate rate would equal the total figure of compensation it had awarded. Instead it asked what tax (“T”) would be payable by the Claimant if a sum equal to the total compensation (“C”) was paid to her, and added the amount of the tax to the intended award (“T + C”). Tax would be paid on that. The result would be similar to the reduction to £75 from the £80 which my homespun example used. The result would be less than the sum the Tribunal thought was appropriate, which was the sum paid free of (i.e. after) tax. 73. The Tribunal simply did not apply its own principle. I understand from what Mr Healy submits to me that in Harvey on Employment Law a similar example to that which I have given is set out in the text. He understood the point being made. He argued, notwithstanding, that the appeal was out of time since the reasoning was that of the Review Judgment. The appeal is against the Reconsideration Judgment. However, it is plain that the reasoning in the Reconsideration Judgment and the reason for its refusal to reconsider its conclusion on this point adopts the fallacy which I have identified. The appeal will inevitably succeed. 74. As a matter of principle, whatever the sum payable to the Claimant may be, the taxable elements of it require to be grossed up not by applying the tax due on those elements in addition, but by assessing what sum will, when subject to taxation, produce that amount. It follows that there will be a hearing of a full appeal. 75. Two further matters remain, therefore. The first is to deal with 2.1 of the Notice of Appeal, which is that the Tribunal should not have dealt with what might be called general damages for the award for injury to feelings, and compensation for that bearing in mind that the Claimant has an outstanding claim yet to be resolved for victimisation following her being made redundant. It must be plain, first, that any question of overlap of any sum to be awarded in that case, if any is, with the sums awarded in this case is, it seems to me, a matter for the Tribunal hearing that case. If the Claimant succeeds, as in consequence of this Judgment she will have done subject only to the Head Teacher point, in obtaining a lifelong loss of earnings, it must follow that there will be no financial consequences in respect of the second claim, and the only possible heads of claim will be those in respect of any further injury to feelings. The Tribunal here dealt with the question of injury to feelings upon the basis of the original claim in these proceedings. My reading of this Decision is that it awarded the damages it did in addition to those it had first awarded because it had expressly made the earlier award in reliance upon assurances as to the Respondents’ behaviour which turned out to be erroneous. That being so, it was open to it to revisit the question of overall compensation. 76. The Tribunal, as it seems to me, looked to identify the cause of the injury to feelings with which it dealt. The evidence was that it was a consequence of the earlier wrong done to her. It may be useful to the Respondents for me to indicate that, insofar as the redundancy itself gave rise to any further injury, as plainly it did, it has been compensated for in this case by the Tribunal as a consequence of the earlier wrong done to her. It would not fall for any separate compensation, as it seems to me, however great or small any additional award for injury to feelings may be should her outstanding claim in respect of victimisation succeed. 77. I do not read this Decision as being one which impermissibly makes awards in respect of findings which have not yet been made by a Tribunal in respect of any wrong. It is limited to, and must necessarily be seen as limited to, the original wrongs done, complained of, compensated and in which that compensation was revisited in the light of the continuing consequences of the original acts. 78. Accordingly, as it seems to me, the Tribunal was entitled to take the approach which it did. Conclusions 79. The Claimant’s appeal is allowed insofar as it relates to the approach taken to grossing up. The parties must be prepared in due course to adjust the award in the light of this Judgment. The Respondent’s appeal is permitted to proceed to a Full Hearing on the “100%” point, the multiplier in respect of the value of the currently accrued pension to be offset against future pension loss, and those aspects of compensation (including the pension multiplicand) which may need to be adjusted if any alteration is made to the percentage chance that the Claimant would have become a Head Teacher in the future had she not been victim to the wrongs done her by the Respondents.