ࡱ>  "#` Xbjbj 4P!VVVVVVVj8NRjL0Jh~~~~~~ˬͬͬͬͬͬͬ$|hV—~~——VV~~ppp—V~V~ˬp—ˬppr'TVV~> ܜP{Wt0L2~Ҙ4~~V~:pl,~~~j~~~L————jj FQ;jj QjjjVVVVVV Resolving disputes in the workplace Consultation response form The closing date for this consultation is 20 June 2007 You may find it helpful to set out your responses to the consultation using this response form. Name: Roger Kline------------------------------------------------ Organisations name and remit (if applicable): University and College Union----------------------------- Address: 27 Britannia Street, London WCX 9JP----------------- -------------------------------------------------------------------- Email: rkline@ucu.org.uk-------------------------------------------- Return completed forms (preferably by e-mail) to: Dispute Resolution Review Department of Trade and Industry Bay 3109, 1 Victoria Street London SW1H 0ET Fax: 00 44 (0) 20 7215 0168 E-mail:  HYPERLINK "mailto:disputereview@dti.gsi.gov.uk" disputereview@dti.gsi.gov.uk Please note additional comments at end of this response. Roger Kline Please cross one box from the following list of options that best describes you.  FORMCHECKBOX  Individual  FORMCHECKBOX  Small to Medium Enterprise  FORMCHECKBOX  Large Enterprise  FORMCHECKBOX  HR professional  FORMCHECKBOX  Legal representative  FORMCHECKBOX X Trade Union  FORMCHECKBOX  Interest Group  FORMCHECKBOX  Regional Organisation  FORMCHECKBOX  Devolved Administration  FORMCHECKBOX  Local Government  FORMCHECKBOX  Central Government  FORMCHECKBOX  Other (please specify) __________________________________ Please feel free to answer as many or as few questions as you wish. It is helpful if you can explain your views as fully as possible in the comments boxes, continuing on a separate sheet if necessary, especially where you disagree with the measures set out in the consultation paper. Question 1 Should the statutory dispute resolution procedures be repealed? Yes X FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments  Question 2 Would repealing the procedures have unintended consequences that the Government should address, in legislation or otherwise? Yes X FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments We believe it is essential to put in place simple transitional arrangements to ensure, for example, that grievances submitted just before the commencement of any new arrangements do not get caught in complex time limits problems  Question 3 Should the Government offer new guidelines on resolving disputes? Yes  FORMCHECKBOX  No X  FORMCHECKBOX  No view  FORMCHECKBOX  Comments No, if new guidance were to be produced it should be produced by ACAS  Question 4 Should there be a mechanism to encourage parties to follow such guidelines? Yes  FORMCHECKBOX  No X FORMCHECKBOX  No view  FORMCHECKBOX  Comments We would be strongly opposed to any mechanism that involved any kind of penalty for failing to follow any such guidelines.  Question 5 Should the mechanism take the form of a power for employment tribunals to impose penalties on those who have made wholly inadequate attempts to resolve their dispute? Yes  FORMCHECKBOX  No X  FORMCHECKBOX  No view  FORMCHECKBOX  CommentsUnder no circumstances. Any such penalties will disproportionately impact upon and penalise those in the lowest paid and worst employment circumstances and probably with the least likelihood of properly functioning industrial relations arrangements and trade union recognition. Their main role would be to deter tribunal applications, not assist good industrial relations.  Question 6 What form should such penalties take? Comments Not applicable - see above  Question 7 If the statutory dispute resolution procedures were repealed, should the law relating to procedural fairness in unfair dismissal: revert to the pre-2004 position, or be reviewed in order to assess whether it should be restated entirely? Revert X  FORMCHECKBOX  Review  FORMCHECKBOX  Other  FORMCHECKBOX  No view  FORMCHECKBOX  Comments We believe the law should revert to position post Polkey where all concerned workers, their unions, employers and tribunals were clear and where there was a sensible balance.  Question 8 Should the Government invite the CBI, TUC and other representative organisations to produce guidelines aimed at encouraging and promoting early resolution? Yes  FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments Any guidance not produced by ACAS will not have authority beyond the originating body. The prime consideration should be to encourage more and better involvement by trade unions in resolving disputes inside the workplace.  Question 9 Should the Government develop a new advice service with the structure and functions suggested? Yes  FORMCHECKBOX  No X  FORMCHECKBOX  No view  FORMCHECKBOX  Comments Definitely not.  Question 10 Should the Government redesign the employment tribunal application process, so that potential claimants access the system through a new advice service, and receive advice on alternatives when doing so? Yes  FORMCHECKBOX  No X  FORMCHECKBOX  No view  FORMCHECKBOX  CommentsSee our earlier response in respect of the likely impact of both a new advice service. We would be particularly concerned that alternatives in the context of many workplaces will have the primary effect of deterring claims without resolving disputes.  Question 11 Should there be a new, swift approach for dealing with straightforward claims without the need for employment tribunal hearings? Yes  FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  CommentsWe can see the attraction of a new approach to expedite simple straightforward claims e.g. for unlawful deduction of wages. However we believe it would be difficult, in many cases to identify what a straightforward claim is. We would be particularly concerned if use of any new process was an alternative which excluded subsequent use of the ET process.  Question 12 Should additional Acas dispute resolution services be made available to the parties in potential tribunal claims, in the period before a claim is made? Yes X FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments  Question 13 If it is necessary to target these new services, should the Government set criteria to guide Acas to prioritise particular types of dispute? Yes  FORMCHECKBOX  No x  FORMCHECKBOX  No view  FORMCHECKBOX  Comments No, under no circumstances. ACAS should remain entirely independent of any such guidance  Question 14 If the new services are to be targeted, then in the current circumstances, would it be appropriate for the Government to guide Acas to prioritise the following types of dispute: those likely to occupy the most tribunal time and resources if they proceed to a hearing, e.g. discrimination and unfair dismissal cases; those where the potential claimant is still employed; and those where the employer is a small business with fewer than 250 employees. Yes  FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments Not applicable see above  Question 15 Should the fixed conciliation periods which place time limits on Acas duty to conciliate employment tribunal claims be removed? Yes X  FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments  Question 16 Should the Government simplify employment tribunal forms? Yes X  FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments This would be particularly helpful if clear guidance regarding submission of forms were to be made making clear that delivery by hand is often not possible as no post boxes exist, and if by fax to ensure applicants confirm that it has arrived. Question 17 Should claimants be asked to provide an estimate or statement of loss when making a claim? Yes X  FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments We believe it would be helpful for applicants to be asked to provide an estimate of losses incurred up to the time of the tribunal and for employers in their counter schedule provided ahead of a hearing to make an estimate. It would be important to make clear that such estimates are a floor not a ceiling on any claim. It is not reasonable to expect applicants at this stage to make an estimate of future losses or of injury damages.  Question 18 Would simplifying the current time limits regime through harmonisation be a helpful additional reform, whether or not the statutory dispute resolution procedures are repealed? Yes X  FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments  Question 19 If so, should the harmonised limit be three months, six months or another time period? 3 months  FORMCHECKBOX  6 months X  FORMCHECKBOX  Other  FORMCHECKBOX  No view  FORMCHECKBOX  Comments  Question 20 Would total or partial harmonisation of the grounds for extension to the extent possible subject to legal constraints, be a helpful additional reform? Yes X  FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments  Question 21 If so, what should the grounds for extension be in respect of the relevant jurisdictions? Comments Just and equitable  Question 22 Do you have views on specific ways in which employment tribunal procedures and case management could be improved? Comments We believe procedures could be improved by: 1. An increase in the statutory "cap" 2. Removal of the requirement to bring pre-termination claims in the county court Until 1994, a breach of contract claim could not be brought in the employment tribunals - it had to be brought in the courts. This anomaly has been substantially removed so that Employment Tribunals can now deal with this common law claim. However the tribunals jurisdiction is subject to two restrictions: 1. A 25,000 ceiling on the amount that a Tribunal may award, There seems to be no clear reason for the 25,000 limit nor why it has not been increased. For example - if the entitlement to a contractual redundancy payment, based on 12 months' service was in dispute - this could easily surpass the 25k limit.- a cap of 50k-75k seems much more realistic 2. The claim must be one which "arises or is outstanding on the termination of the employees employment" This means that if an employee has a breach of contract claim while employment is continuing (and it is not completely clear whether this includes employment under a different contract), he/she must bring a claim in the courts rather than the employment tribunals. Employees are therefore unable to take advantage of the tribunal system which, according to the DTI are to: "provide a generally speedier and more informal means of redress than the civil courts for the resolution of employment disputes" because "their procedures have been designed to make it unnecessary for the parties to incur the cost of legal representation."  Question 23 Would it be helpful to change the case management powers available to employment tribunals in respect of multiple-claimant claims? Yes X  FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments In circumstances where there is a common point of law.  Question 24 Do employment tribunals provide the most appropriate way of resolving multiple-claimant claims, or could other mechanisms better serve the interests of all the parties involved? Comments Yes  Question 25 Are the existing powers of employment tribunals sufficient to deal with weak and vexatious claims? Yes X  FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments  Question 26 Do you have views on when chairs should sit alone to hear cases? Yes X  FORMCHECKBOX  No  FORMCHECKBOX  Comments We can envisage no such circumstances.  Question 27 Do you have views on how best to structure employment tribunal panels and use lay members more efficiently? Yes  FORMCHECKBOX  No X  FORMCHECKBOX  Comments  Question 28 Should the Government aim to promote employers compliance with discrimination law through better advice and guidance, rather than by widening the powers of employment tribunals to make recommendations in discrimination cases? Yes X  FORMCHECKBOX  No  FORMCHECKBOX  No view  FORMCHECKBOX  Comments  Thank you for taking the time to let us have your views. We do not intend to acknowledge receipt of individual responses unless you tick the box below.  FORMCHECKBOX X We would like to keep you informed of the progress of this consultation, including further consultations. If you wish to join the mailing list, tick the box below.  FORMCHECKBOX X The following comments are intended to supplement our specific responses above. Introduction The current dispute resolution legislation, requiring all employers to follow minimum three-step procedures when handling grievances or disciplinary matters in the workplace has been in force for three years, alongside powers for tribunals to reject applications where a claimant had failed to put a grievance in writing to the employer before applying to an employment tribunal. 51, representing academic and academic related staff across higher and further education, as well as in prisons, land based and adult education, endorses the response to the current DTI review submitted on behalf of the TUC. We would however wish to add some specific concerns based on our own experience of the new procedures in a sector of the economy when union recognition is the norm, but where good industrial relations are not the norm. We also highlight some points raised by the TUC that are especially relevant to further and higher education. Resolving more disputes at work 51 endorses the TUC view that wherever possible employers and employees should seek to resolve disputes through effective internal procedures. We do not believe the current procedures have assisted that goal. As one of our officials put it recently the current statutory disputes regulations are cumbersome, time consuming and bog down both member and employer in far too much paperwork. 51 was concerned from the outset that the current legislation placed too great an emphasis on limiting the numbers of claims reaching employment tribunals, rather than on assisting the resolution of disputes in the workplace. The Gibbons Review and the DTI consultation both continue to place considerable emphasis on the reduction of the number of tribunal cases despite the fact that new legislation, notably around equality, is inevitably likely to increase (at least in the medium term) the number of workplace disputes and the cases reaching Tribunals. In further and higher education, recognition of 51 as the norm almost everywhere within colleges and universities, has been accompanied by disciplinary and grievance procedures which, formally at least, meet the standards of the ACAS Code of Practice and where the right to be accompanied does not generally need to be exercised since representation is part of the procedure for recognised unions. The growth of contracting out in both sectors, and the entry of a large number of new educational providers especially in further, adult and prisons education, means unfortunately that that assumption is likely to be challenged in coming years. There have been two particular consequences for our members arising from the current dispute resolution procedures. Firstly there has been the formalisation at a very early stage of some cases which might otherwise have been resolved informally as the union has sought to ensure that should a dispute not be resolved, it cannot be found to be negligent in advising the member of the consequences of not formalising a dispute. Secondly there has been very considerable confusion over time limits. As one 51 official put it Keeping track of time limits is a nightmare, especially if more than one potential claim is involved. The confusion over time limits does nothing for speedy resolution - though it does sometimes achieve its objective of keeping things out of the Tribunal. Some members give up through sheer exhaustion/stress, not because the dispute is resolved. A significant amount of time is spent trying to ensure our lay representatives and officials do not inadvertently miss or confuse deadlines and there is undoubtedly a knock on in wasted tribunal time. There is, moreover, the risk of losing one benefit that does arise from the existing procedure the requirement that all employers, regardless of the number of staff employed, have in place grievance and dismissal procedures. In both further and higher education, a growing volume of work is undertaken by private contractors whose industrial relations expertise and culture falls well short of that generally expected within the sector. We would endorse the TUC proposals to strengthen the ACAS Code of Practice. In a sector where very large numbers of staff are on fixed term contracts we would particularly endorse the suggestion that the Code should include clear guidance that employers should use disciplinary and dismissal procedures when terminating fixed term contracts. The DTI consultation document refers to new powers for tribunals to impose penalties on parties who they believe have made wholly inadequate attempts to resolve disputes before making a claim to a tribunal. The Gibbons Review proposed that tribunals could review the reasonableness of the parties conduct in seeking to resolve disputes. Such proposals seem driven more by a concern to reduce the workload on tribunals than by an attempt to ensure that employment rights are enforced and that arbitrary treatment by employers is prevented. We are therefore opposed to them as we are to the use of costs penalties against employees who have not made any attempt to resolve disputes prior to filing an employment tribunal claim not least because such proposals are likely to disproportionately impact on employees and be used to pressure employees into accepting inadequate settlements. The DTI consultation asks whether the law relating to procedural unfairness in unfair dismissal should either revert to the pre-2004 position or be reviewed in order to assess whether it should be restated entirely should the statutory dispute resolution procedures be repealed. 51 endorses the TUCs concerns that if the statutory procedures were repealed, but the Polkey principle was not reinstated, unfair dismissal law would have been seriously weakened. We agree with the TUC that it is essential therefore that, as a minimum the Government should reinstate the pre-2004 law relating to procedural fairness. We further endorse the TUC proposal that the Government carry out a wider review of unfair dismissal law, including the band of reasonableness test. Beyond the workplace The DTI consultation document sets out proposals for means of handling employment disputes where internal workplace procedures fail to resolve them. The aim appears to be to substantially reduce the number of cases reaching tribunals, as discussed in the Gibbons review. 51 would be most concerned if such proposals led to compulsory mediation or to any form of mediation or other intervention where inability to reach a settlement through such a system adversely affected future compensation or even access to a tribunal. Any such outcome would be contrary to the primary aim of the employment tribunal system that employment rights are enforced and that arbitrary treatment by employers is prevented. 51 has some concerns about the information that it is suggested would accompany a revised single point of entry for tribunal claims. It is proposed that there would be generic advice about the tribunal system and the range of awards available if the tribunal finds in favour of the appellant. When 51 gives advice to members about the possible tribunal system we do explain the limits of the system, but do so in the context of the members case. 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