Fifth claim: treatment after complaint about a performance review in November 2013 - adverse action because of the exercise of a workplace right
407 This claim concerns Superintendent Booy's conduct of a review of DS Richens' work performance in October 2013. It contained some adverse comments by him, although the overall outcome of the review was that the applicant was rated as "fulfilling" the terms of her PDA. The applicant complained about Superintendent Booy's comments, and it is how this complaint was treated which is at the centre of the fifth claim.
408 The fact that DS Richens makes this allegation as part of her claims reveals much about what I consider to be some of the underlying difficulties with her proceeding, and much about her state of mind in her workplace during these years. There is no objective basis for this claim, and the AFP's conduct (and Superintendent Booy's in particular) was entirely orthodox in its context. However, DS Richens' evidence, and the fact of this allegation taken right out of its proper context, demonstrates how skewed her perspective had become. She was apparently not able to accept any feedback which had a negative aspect, or which was in any way critical of her attitudes and performance at work. That is how under siege she felt, but for whatever reason those emotions were playing out in circumstances where those around her appear to have been generally acting reasonably. As I have stated several times in these reasons, I do not doubt the genuineness of the emotions DS Richens experienced (and to which she deposed), but on the evidence before me, there was no objective basis for what she perceived was motivating those around her. Whether or not those responsible for her supervision and mentoring within the AFP might have been able to better assist her to see that some of her perceptions were disproportionate, and to assist her to feel better supported (even if in fact they considered she was supported), is not a matter on which any findings can or should be made.
409 At [276] of the applicant's closing written submissions, it is clarified that this claim is based only on an allegation that the AFP's treatment of her was undertaken because she had exercised her workplace right to complain about her PDA review. It is not alleged any person within the AFP acted as they did in relation to this event because of the applicant's relationship with SC McPherson, or because of the applicant's sexual orientation.
410 Although it is not a major point, I pause here to note that the movement between prohibited reasons is also something which, when the applicant's case is considered as a whole, tends to weaken her case, in terms of the probabilities of her alleged reasons being the true reasons for the alleged conduct. That is especially so where the applicant has either backed away from an initial allegation of conduct being based on her sexual orientation or her same-sex relationship, or where she did not identify that as a reason. In a case which concerns a course of conduct, or a sequence of conduct, by essentially the same actors over a sustained period of several years, to believe that it was only on particular occasions that their conduct was actuated by the applicant's sexual orientation or same-sex relationship when they engaged in adverse action, and on other occasions it was for a different prohibited reason, is quite a challenging exercise.
411 The applicant contends that although she complained about Superintendent Booy's comments to Superintendent Stokes, and that he asked for an audit of her PDA, the Team Leader of the Performance Management Unit, Ms Lynch, declined to conduct the audit. DS Richens relies on item 1(d) of s 342(1) of the FW Act, alleging she was treated differently to another AFP officer, Sergeant Smith, whom she alleges had a similar complaint about her PDA review and had it dealt with "by way of resolution".
412 At a factual level, it is appropriate to set out the way DS Richens first expressed her complaint to Superintendent Booy on 18 October 2013:
Darren,
I note that my PDA has been finalised as PDA fulfilled, however I dispute the three (3) explicit and implicit claims of underperformance made in the 'Team Leader Commentary' and 'Development Needs'. I dispute both the content of the claims and the process through which they have been raised, Below, I have provided information in rebuttal to both the content and process of these claims.
I request you review my rebuttal and remove the three explicit and implicit claims of underperformance (appearing in six (6) separate comments) from my PDA within two (2) weeks (by close of business Friday 01 November 2013). I note I completed the 'Self-Assessment' for the PDA period March to August 2013 and submitted such to you as my Coordinator on 12 August 2013 and you 'Closed the Cycle' on 14 October 2013.
1. Claim of Underperformance: Work Level Standard 3: Cultivates Productive Working Relationships
Comment 1: "FA Richens sat in the immediate vicinity of the team and had equal opportunity to engage with the team";
Comment 2: "At times, FA Richens appeared to be withdrawn, unapproachable and did not engender herself to the wider team", and
Comment 3: "Notwithstanding this, FA Richens does need to be aware of how her outward expression of emotion is perceived by others and would benefit from employing more emotional intelligence in this regard."
Comment 4: "FA Richens has outlined her personal circumstances which in some part contributed to her situation."
…
2. Claim of Underperformance; Work Level Standard 1: Achieves Results
Comment 5: "... FA Richens progressed areas of operational work at a satisfactory level. The work was not timely, nor outstanding, however for purposes of the PDA assessment met basic requirements."
…
3. Claim of Underperformance: Work Level Standard 4: Shows Personal Drive and Integrity
Comment 6: "I believe that FA Richens has further development to be undertaken before being considred by HDA at the EL level, however I am sure that her current supervisors are working towards achieving her developmetn requirements." (Sic.)
(Original emphasis.)
413 DS Richens was dissatisfied. She complained to Superintendent Stokes by email on 22 November 2013. In this email, she relied on cl 17 of the AFP's PDA Procedures, which was in the following terms:
17. Performance Review Audit
A Performance Review Audit (PRA) may occur where:
• an employee disputes a claim of underperformance
and/or
• the Management Team is unable to resolve a serious intractable performance dispute (not yet the subject of employment suitability considerations)
The examination of a performance dispute is managed by the National PDA Manager. The role of the National PDA Manager in a performance dispute is to review all relevant material, conduct interviews with the parties to a dispute and (if necessary) their referees, and formulate finding(s) based on the evidence presented. These finding(s) shall be submitted to the National Manager Human Resources (NMHR) for consideration and final decision.
The review mechanism for dealing with PDA disputes requires communication and earnest attempts at resolving a performance issue informally.
The PDA review mechanism differs from other conflict resolution mechanisms in that an independent audit can be invoked where genuine informal processes have failed to achieve an outcome. Generally, the process is as follows:
1. It is the responsibility of the team member to discuss a dispute with their team leader
2. If the team member is still unhappy with the dispute/evaluation, they are to write their rebuttal (highlighting their areas of disagreement with evidence to support their view) in the "Team Member Comments" tab in the feedback exchange section of the PDA and submit to the team leader
3. If the team leader remains unresponsive (or unwilling to shift their assessment to the mutual satisfaction of both parties), the team member and/or team leader is to notify the Manager One Removed (MOR) of the disagreement
4. The MOR is to attempt to resolve the matter without delay (seeking assistance from the Senior Business Advisor (Human Resources) or other available local and/or corporate areas as required)
5. If the performance dispute cannot be resolved within the business area by the MOR, the matter is to be referred without delay to the Management Team for review.
NOTE: A Performance Review Audit (PRA) cannot be requested unless steps 1 to 5 have been observed. If the performance dispute remains unresolved, the Management Team may then refer the dispute to the National PDA Manager for 'independent' consideration and PRA review.
(Original emphasis.)
414 On its terms, the cl 17 "Performance Review Audit" process only applies where there is either "a claim of underperformance" which an employee disputes, or "the Management Team is unable to resolve a serious intractable performance dispute". On any view, what Superintendent Booy had said in the applicant's PDA did not fit within the second criterion. Ms Lynch took the view (which the applicant's closing written submissions now concede was a reasonable one) that what Superintendent Booy had said did not fit within the first criterion either. That was, in my opinion, a sensible and reasonable approach for her to take.
415 This was, relevantly, Ms Lynch's evidence in cross-examination:
MR McKENNEY: Now, you say you've never said anything to turn on the comments in the PDA. I gather you wouldn't rule out the possibility of that occurring?---I have never known it to occur. I have never seen it occur.
…
MR McKENNEY: For example - well, for example, Ms Lynch, is it possible that someone's application for a promotion when regard is had to a PDA that something may turn on the comments in the PDA?---When someone applies for a promotion, at that time, we would do a PDA check and just ensure that there was a PDA in place and one fulfilled. We wouldn't be looking at the comments.
Now, would it not depend, Ms Lynch, on whether the selection panel decided to look at comments?---I'm not completely aware of the recruitment guidelines in - in that way. There may be scope for a delegate to request those but I've not - I have no knowledge of that.
So in other words - now, it's not being critical but there is a possibility, is there not, that a selection panel might want to see comments made by a former supervisor about a PDA as part of the selection process?---I've never seen it occur but I can't see that it - that it couldn't possibly.
416 Ms Lynch frankly conceded in cross-examination that Superintendent Booy's comments were negative in character, and that if someone on a selection panel were to look at them (contrary to her evidence that she understood they would not) they might have an adverse effect.
417 That concession is not capable of establishing differential treatment for the purposes of item 1(d) of s 342(1). As the AFP's evidence disclosed, it may be expected that a PDA might contain comments about an officer's weaknesses, or areas for improvement, as well as her strengths and achievements.
418 Superintendent Booy did not respond to DS Richens' complaint on 18 October 2013. However, after making her complaint to Superintendent Stokes, DS Richens received the following response from Detective Superintendent Russel Smith on 9 December 2013:
Kath - as discussed by phone with you just now:
I have this date spoken with Det/Supt Booy who stated the PDA comments he made when finalising your PDA are from his perspective accurate and he was not willing to remove/alter same.
I have since discussed this with HR advisory and if you wish to take this to the next step you will need to contact HR Advisory directly who will review the PDA process.
Regards,
Russ
A/MCOR
419 Ms Lynch confirmed in cross-examination that on her view of how the PDA Procedures were intended to operate, if anything was to be done further about DS Richens' complaint, that would be the decision of Mr Turner, as the AFP's "Coordinator of Industrial Relations and Acting Manager". She stated that she remembered:
…the feeling at the time was that there was something more going on that I wasn't aware of.
420 I infer this is a reference to Ms Lynch being aware that DS Richens had, by early 2014, been involved in making a number of complaints about various aspects of her treatment by the AFP. There is nothing inappropriate or sinister in Ms Lynch agreeing that was how she felt. Given her position in Human Resources, it is entirely understandable for her be conscious she was dealing with an employee who had, over the last year, claimed to have experienced a great deal of unfair and incorrect treatment at the hands of the AFP. After several answers in cross-examination that were non-responsive, Ms Lynch eventually admitted that it might have been fair and reasonable for her to have spoken directly to Superintendent Booy about why he made the comments he did, since DS Richens was complaining about them. That was an appropriate concession, but it does not take the applicant's allegation of adverse action any further: it is simply a recognition by Ms Lynch, with hindsight, that she could have handled the situation better than she did.
421 On the way the applicant's closing written submissions are framed, it would appear the allegation about the prohibited reason is laid at the feet of Mr Turner, rather than Ms Lynch:
On the face of it, the response from Lynch, the performance review member, that the review had been "fulfilled" may be reasonable. But when Richens pressed Lynch further for the review to be done of the performance assessment, Lynch referred the review request to Turner. Turner did not give any consideration to the referral from Lynch. Turner should have provided a response to Lynch, to be fed back to Richens. This did not happen. It should be inferred that a reason for Turner's non-response was that Richens review request should go no-where.
422 Further, I note that one of the Fair Work Commission conciliation conference outcomes was that there would be a review of the applicant's PDA. The evidence of Detective Superintendent McQuillan discloses that this occurred. It is not clear to me what further relief, in those circumstances, would have been appropriate.
423 Neither party's closing written submissions referred to the evidence of Mr Turner on this matter, even though logically that appeared to be where any ultimate responsibility for how DS Richens' complaint was treated appeared to lie. However, Mr Turner was neither examined nor cross-examined on this topic. Therefore, there is no evidence one way or the other about the attitude Mr Turner brought to whatever Ms Lynch had passed onto him about DS Richens' continued dissatisfaction with the PDA audit process not being available to her.
424 I reject the applicant's contention that the way her complaint about her PDA was conducted constituted adverse action against her. The speculative possibility that in the future some unknown and unspecified member of a selection panel might look at comments made by Superintendent Booy is not probative itself of adverse action as defined in item 1(d) of s 342(1).
425 The applicant entirely failed to prove her allegation that she was discriminated against because Sergeant Smith had comments on her PDA review altered. This was her evidence on the matter (which is not in reality evidence, but a contention):
When I complained about my workplace rights and pursued the dispute resolution process, I was treated different to others who have had their complaints investigated and suitably resolved. I know that Sergeant Sue Smith (Sergeant Smith) made a complaint about adverse comments made in her PDA. These comments were investigated and removed. I know this because I used the same mechanism to report the adverse comments made in my PDA. I was informed of Sergeant Smith's complaint, the similarities to my complaint and the successful resolution of her complaint by Dennis Gellatly (Sergeant Gellatly), Senior Constable Ian Bridle (Senior Constable Bridle) and Senior Constable Jon Hunt-Sharman (Senior Constable Hunt-Sharman) from the Australian Federal Police Association (AFPA). Her matter is described on the AFPA members website as a case study titled "WHS & the PDA.
(Original emphasis.)
426 The AFP submitted in its closing written submissions (which at one point appear to incorrectly identify Sergeant Smith as a male) that there was no evidence before the Court about what complaint Sergeant Smith made regarding her PDA, nor any evidence as to the outcome of her complaint. The AFP referred to affidavit evidence of Ms Lynch in which she deposed that she did not make any decisions in relation to Sergeant Smith or review Sergeant Smith's PDA. Ms Lynch also deposed that her understanding was that Sergeant Smith's dispute was not about a review of comments in a PDA and was not resolved pursuant to the PDA Procedures dispute resolution process. DS Richens was briefly cross-examined on this matter and acknowledged that any information she had been told about Sergeant Smith's complaint was second-hand: either from the Australian Federal Police Association, or that Association's website.
427 Where an allegation such as this is made, that is simply an insufficient probative basis to satisfy the Court of the existence of discrimination between one employee and another, in the sense of differential treatment.
428 Even if the conduct underpinning the fifth claim was found to be adverse action, I find the AFP has discharged its onus of proving the conduct was not undertaken because DS Richens had made the complaint in the first place about her PDA review. This allegation, it can be seen, has a similar kind of circularity to the previous claim. Even putting that to one side, it is obvious on the evidence that Ms Lynch refused to conduct an audit because she did not consider it fitted within the PDA Procedures. In my opinion she was likely to be correct in her view, but that does not matter: that was the true reason for the conduct, and it is not a prohibited reason. In her amended complaint at [33], the applicant directs this allegation against Ms Lynch only. As I have noted, there is no evidence about what Mr Turner did in relation to this matter, let alone why he did it. In circumstances where there is no clear allegation by the applicant against Mr Turner, I do not consider the AFP was required to joust at shadows and adduce evidence from him about it.
429 These conclusions mean I do not need to determine whether the complaint made by DS Richens was or was not the exercise of a "workplace right" by her. The AFP contends it was not, because it fell outside the terms of cl 17 of the AFP's PDA Procedures, which I set out above. There is some force in that argument, but it is not necessary to determine it given my conclusions on whether the conduct was adverse action and the non-existence of a prohibited reason. Nor, more broadly, is it necessary to enter the debate about what is meant by the phrase "is able to make a complaint" in s 341(1)(c) of the FW Act and whether it is limited to circumstances where by law or workplace instrument an employee has an entitlement to complaint: see Cigarette & Gift Warehouse Pty Ltd v Whelan [2019] FCAFC 16 at [28] (Greenwood, Logan and Derrington JJ); Shea v TRUenergy Services Pty Ltd (No 6) [2014] FCA 271; 314 ALR 346 at [625] (Dodds-Streeton J); The Environmental Group Ltd v Bowd [2019] FCA 951 at [128]-[129] and [156] (Steward J) and Regulski v State of Victoria [2015] FCA 206 at [160] (Jessup J).i