[2022] FWC 3343
General information, not legal advice.
Fair Work Commission
2022-12-21
Original judgment source is linked above.
s.394 - Unfair dismissal
Queensland Rail Transit Authority T/A Queensland Rail
Application for Unfair Dismissal Remedy - Dismissal Harsh - Reinstatement and Backpay ordered.
(a) at approximately 06:57am the Applicant returned a positive result for alcohol of 0.037 BAC; and
(b) following a period of 20 minute, the Applicant was retested at approximately 07:15am and returned a result of 0.025 BAC.
Legislative Environment for Rail Safety Workers and Rail Operators/ Safety at Queensland Rail
"2.2.2 Education program for Queensland Rail workers
All workers must complete alcohol and other drugs awareness training as part of the mandatory induction process. Annual refresher training is also mandatory for all employees and applicable contractors.
Ongoing access to education and training information is available to workers through fact sheets, information on the Fitness for Work portal page and the provision of face to face awareness sessions when requested by leaders of functions, groups and teams...
An alcohol test will be considered positive if a result greater than the prescribed limit is returned.
A worker is over the prescribed limit when the concentration of alcohol in their breath is more than 0.000 grams of alcohol in 210 litres of breath.....
All Queensland Rail workers, business visitors and volunteers on Queensland Rail workplaces will be subject to the program of random alcohol and other drugs testing. Refer to Arranging an alcohol and other drugs testing session Procedure MD-13-32...
Initial management of not-negative and positive tests shall be in accordance with the Alcohol and Other Drugs Incident Management Procedure MD-15- 337.
If required, the Safety, Risk and Assurance team may liaise with an Alcohol and Other Drugs Expert or request People and Culture to contact the Queensland Rail Chief Occupational Physician to obtain an interpretation should the laboratory confirm a positive test result.
Performance management of Queensland Rail employees relating to a positive test will be managed in accordance with the Performance and Behaviour Standard MD-13-327.
Any Queensland Rail employee who tests positive for alcohol or other drugs must also be referred for an alcohol and other drugs assessment with a psychologist before resuming work. The outcome of the alcohol and other drugs assessment must be considered in the development of a management plan. If required, any alcohol and other drugs assessments may only be released to the Chief Occupational Physician or Authorised Health Professional to assist with the test subject's fitness for duty. This assessment may occur before the return to workplace test only if the employee is not required to attend a Queensland Rail worksite before, or when, participating in the assessment..
The following discipline actions may be accessed during the course of the discipline process. In selecting other appropriate discipline actions, leaders shall have regard to the severity of the issue, previous discipline/MUPP actions and relevant circumstances. Leaders should seek advice from HR Central/Ethics and Investigations in selecting an appropriate discipline action.
2.2.3.1 Managing unsatisfactory performance process
A disciplinary outcome may be that an employee is managed under the unsatisfactory performance process. This may occur in one of the following situations:
a) When the employee has already been managed under the Unsatisfactory Performance Process and has completed a performance improvement period. In this situation the formal assessment indicates that performance has not returned to the required, satisfactory level. Disciplinary action is taken and the leader should determine that an additional performance improvement period is required as the performance continues to be unsatisfactory (refer to the Managing Unsatisfactory Performance Process Specification).
b) When the employee is not currently being managed in the Unsatisfactory Performance Process but is disciplined for misconduct or unacceptable behaviour. The leader may determine that an action is that the employee shall be managed under the Unsatisfactory Performance Process and, on this basis, commences a performance improvement period (refer to the Managing Unsatisfactory Performance Process Specification).
The leader may issue a warning in writing to the employee in instances of misconduct, unacceptable behaviour and/or ongoing performance concerns. Advice and assistance must be sought from HR Central/Ethics and Investigations. This document shall be stored on the employee's corporate personnel file.
The leader may issue a final warning in writing to the employee in instances of severe and/or ongoing discipline issues. This is a final opportunity to signal to the employee the seriousness of their misconduct, unacceptable behaviour and/or unresolved performance concerns and to provide a final opportunity to improve prior to considering dismissal. This shall take the form of a written letter which shall be provided to the employee. Leaders must seek assistance from HR Central/Ethics and Investigations. This document shall be stored on the employee's corporate personnel file.
The leader should take all reasonable steps to assist an employee to correct their behaviour or performance before recommending dismissal, except in cases of misconduct which justify summary dismissal.
Prior to recommending dismissal to the relevant delegated leader, the leader shall make sure that:
Advice must be sought from HR Central/Ethics and Investigations prior to progressing dismissals.
The employee's response to the show cause letter shall be considered prior to making a decision on whether to progress with dismissal. In some cases of serious misconduct, it may not be necessary to issue a show cause letter. However, in these circumstances the employee shall be provided with an opportunity to respond to the issue during the Discipline Process. Show cause letters and responses (where applicable) shall be stored on the employee's corporate personnel file.
Upon receiving a recommendation to dismiss the employee, the delegated leader should issue a show cause letter to an employee prior to determining whether or not to dismiss. This letter requires the employee to 'show cause' as to why their employment contract with Queensland Rail should not be terminated. The purpose of this letter is to give the employee an opportunity to respond to the dismissal recommendation and to demonstrate reasons why dismissal should not occur. The show cause letter will provide the employee with all reasonable information required in order to enable them to respond appropriately. Advice on issuing show cause letters must be obtained from HR Central/Ethics and Investigations.
Show cause letters shall provide employees with a precise time in which to respond. This is usually a period of three (3) working days from issuing the letter, although this time period may be lengthened. This may be appropriate in circumstances including but not limited to occasions such as where the letter has been posted rather than hand delivered.
Where the employee's response to the show cause letter does not satisfy the delegated leader, the delegated leader shall issue a dismissal letter to the employee. The dismissal letter should state:
Dismissal letters shall not introduce any new reasons for the dismissal to which the employee has not had the opportunity to respond. Advice on issuing dismissal letters must be obtained from HR Central/Ethics and Investigations.
Dismissal letters shall be stored on the employee's corporate personnel file. Payroll shall be advised of any dismissals in order to process entitlements.
In terminating employment for reasons other than redundancy, or serious misconduct (which justifies summary dismissal), the minimum notice period applies as per the relevant enterprise agreement.
In addition to the disciplinary outcome, Queensland Rail will consider any proposal for voluntary reduction as follows:
a. wilful or deliberate behaviour by an employee that is inconsistent with the continuation of the contract of employment
b. conduct that causes imminent and serious risk to:
ii. the reputation, viability or profitability of the employer business
f. the employee being intoxicated at work or under the influence of a drug
g. the employee refusing to carry out a lawful and reasonable instruction that is consistent with their contract of employment
h. other misconduct prescribed under a legislative regulation.
(a) requires the Respondent, as a Rail Transport Operator, to ensure so far as is reasonably practicable that workers are not affected by drugs or alcohol while on duty or undertaking Rail Safety Work and have an AOD management program in place;
(b) makes it an offence under RSNL for carrying out (or attempting to carry out) rail safety work whilst a worker has above a 0.000% BAC. The RSNL considers a worker was carrying out (or attempting to carry out) rail safety work, if they have arrived at the place of work, and either have signed on and are available to carry out rail safety work, or are otherwise on duty for the purpose of carrying out rail safety work; and amongst other things, makes it an offence for a rail safety worker to carry out, or attempt to carry out, rail safety work where their BAC is above 0.000% BAC.
(b) have signed on and are available to carry out rail safety work, or
(c) are otherwise on duty for the purpose of carrying out rail safety work.
(a) All Queensland Rail workers, visitors, customers and members of the public have a right to be free from potential harm associated with the use of alcohol and other drugs while on a Queensland Rail workplace.
(b) All Queensland Rail workers must be under the prescribed limit for alcohol and other drugs when signing on for work, in the workplace, rostered on duty, on call, or when formally representing Queensland Rail at any event or workplace.
(c) All workers are personally responsible for their own health, wellbeing and fitness for work. [...].
The Applicant's training (including in AOD and Code of Conduct)
"[125] Vice President Hatcher went on to observe that it is well established that a dismissal for misconduct may be found to be harsh on the basis that the sanction of dismissal is a disproportionate penalty to the gravity of the misconduct, and that the issue of proportionality is usually considered having regard to all relevant circumstances of the dismissed employee and his or her conduct. His Honour also noted that there is divergence in the authorities in relation to whether the gravity of the misconduct is considered separately from the factors subjective to the particular employee with the former consideration arising under s. 387(a) and the latter under s. 387(h). His Honour observed that proportionality of dismissal as discussed by Moore J in Edwards v Giudice, was not concerned with proportionality of dismissal in the sense where the gravity of the misconduct is weighed against a range of other potentially mitigating factors. Rather it was concerned with whether the conduct in question, considered in isolation, was intrinsically capable of constituting a valid reason for dismissal if it only involved a minor misdemeanour.
[126] I do not understand that there is a rule that the gravity of the misconduct must be considered under s. 387(a) devoid of any mitigating factors a dismissed employee may raise. While the gravity of the conduct must be considered and assessed, in my view, there are some mitigating factors which may also go directly to the validity of a reason for dismissal by mitigating the seriousness of the conduct for which a person was dismissed. Examples of some of these factors may be lack of training or the dismissed employee being placed under undue pressure by some failure on the part of the employer, which contributed to the conduct for which the employee was dismissed. Those matters may go to the reasonableness of the dismissal on the basis that they mitigate the gravity of the employee's conduct. There are other mitigating factors which relate to personal circumstances of the dismissed employee and which may render the dismissal harsh, notwithstanding that the gravity of the employee's conduct justifies dismissal. The first category of mitigating factors falls for consideration under s. 387(a) of the Act and the second category under s. 387(h)."
"In my view, the conduct in question need not necessarily be wilful, deliberate or reckless to constitute a valid reason for dismissal. Conduct which is negligent, accidental, inadvertent or careless, particularly in the rail industry, can have disastrous, life threatening consequences. Adherence to safe working policies and practices, particularly where persons are specifically trained to be aware of ever present dangers, is a cardinal principle for any workplace, but even more so in the rail industry where the risk to the safety of employees and the public is obviously so much more acute. It involves fast moving trains and potentially dangerous infrastructure. Employees are commonly working in high risk track environments as a daily feature of the working environment. Such conduct need not be repeated behaviour, but may involve a single instance of conduct which threatens the safety of employees or others...".
The importance of health and safety systems and the need to enforce compliance with them is well established at law. In McLean v Tedman (1984) 155 CLR 30644 at 313 Mason, Wilson, Brennan and Dawson JJ stated: "The employer's obligation is not merely to provide a safe system of work; it is an obligation to establish, maintain and enforce such a system.... in deciding whether an employer has discharged his common law obligation to his employees the Court must take account of the power of the employer to prescribe, warn, command and enforce obedience to his commands."
"...there are some mitigating factors which may also go directly to the validity of a reason for dismissal by mitigating the seriousness of the conduct for which a person was dismissed. Examples of some of these factors may be lack of training or the dismissed employee being placed under undue pressure by some failure on the part of the employer, which contributed to the conduct for which the employee was dismissed. Those matters may go to the reasonableness of the dismissal on the basis that they mitigate the gravity of the employee's conduct."
(a) the Applicant was fully trained in the requirements of the Respondent's AOD Policy and in particular the AOD Requirement to present to duty without the presence of alcohol in the Applicant's system. The Applicant attended numerous refresher trainings on this AOD Requirement and the Applicant's own evidence is he was well aware of the requirement;
(b) the Applicant's own evidence is that he received a positive reading for the presence of alcohol when tested on 24 March 2022; and
(c) there were no errors in the testing or investigation process.
(b) he has limited level of literacy and formal qualifications;
(c) he has not been adequately trained in the AOD Policy the Applicant breached;
(d) he is reliant on the housing provided by the Respondent;
(e) has a family whose financial position has been negatively affected by his dismissal;
(f) he has been banned from finding employment in his profession by the Respondent;
(g) has never been formally disciplined by the Respondent; and
(h) has experienced a disparity in discipline outcomes.
Alleged restriction of Applicant working in the rail industry
i. Placing the employee on a performance improvement plan; and
"[21] The issue of differential treatment of employees in respect of termination of
employment was considered by Vice President Lawler in Sexton v Pacific National (ACT) Pty Ltd. In Sexton's case, his Honour said:
"[33] It is settled that the differential treatment of comparable cases can be a relevant matter under s.170CG(3)(e) to consider in determining whether a termination has been harsh, unjust or unreasonable ...
[36] In my opinion the Commission should approach with caution claims of differential treatment in other cases advanced as a basis for supporting a finding that a termination was harsh, unjust or unreasonable within the meaning of s.170CE(1) or in determining whether there has been a 'fair go all round' within the meaning of s.170CA(2). In particular, it is important that the Commission be satisfied that cases which are advance as comparable cases in which there was no termination are in truth properly comparable: the Commission must ensure that it is comparing 'apples with apples'. There must be sufficient evidence of the circumstances of the allegedly comparable cases to enable a proper comparison to be made."
Alleged drinking culture (and alleged disparity continued)
(a) Mr Anderson's initial test undertaken at or about 6.22am on 24 March 2022 returned a result of 0.008% BAC (not 0.08% BAC as the Applicant and Mr Anderson initially claimed).
(b) Mr Anderson's BAC could have decreased from 0.008% to 0.000% BAC during the 20 minutes between his first test and second test.
(c) Mr Anderson did receive four 'invalid' results. Invalid results generally indicate that the donor (Mr Anderson in this case) was not blowing into the device correctly, not that there was an issue with the device itself. If there was an issue or error with the device, instead of the sample provided by Mr Anderson, an 'error' message would have appeared on the device however, it did not.
(d) Following the fourth invalid test, Ms Burraston restarted the device and obtained a valid test sample from Mr Anderson and a reading of 0.000% BAC. Ms Burraston did not recalibrate or change the device as is alleged by Mr Anderson.
(e) The Applicant did not undertake his test during Mr Anderson's test. The Applicant took his first alcohol test at approximately 6.57am, approximately 15 minutes after Mr Anderson undertook his confirmatory test at 6.42am and returned a result of 0.000 BAC.
(a) Whether there was a valid reason for dismissal related to the person's capacity or conduct (including its effect on the safety and welfare of other employees);
"[26] The principles applicable to the consideration required under s 387(a) are well established, but they require reiteration here:
(1) A valid reason is one which is sound, defensible and well-founded, and not capricious, fanciful, spiteful or prejudiced.
(2) When the reason for termination is based on the misconduct of the employee the Commission must, if it is in issue in the proceedings, determine whether the conduct occurred and what it involved.
(3) A reason would be valid because the conduct occurred and it justified termination. There would not be a valid reason for termination because the conduct did not occur or it did occur but did not justify termination (because, for example, it involved a trivial misdemeanour).
(4) For the purposes of s 387(a) it is not necessary to demonstrate misconduct sufficiently serious to justify summary dismissal on the part of the employee in order to demonstrate that there was a valid reason for the employee's dismissal (although established misconduct of this nature would undoubtedly be sufficient to constitute a valid reason).
(5) Whether an employee's conduct amounted to misconduct serious enough to give rise to the right to summary dismissal under the terms of the employee's contract of employment is not relevant to the determination of whether there was a valid reason for dismissal pursuant to s 387(a).
(6) The existence of a valid reason to dismiss is not assessed by reference to a legal right to terminate a contract of employment.
(7) The criterion for a valid reason is not whether serious misconduct as defined in reg 1.07 has occurred, since reg 1.07 has no application to s 387(a).
(8) An assessment of the degree of seriousness of misconduct which is found to constitute a valid reason for dismissal for the purposes of s 387(a) will be a relevant matter under s 387(h). In that context the issue is whether dismissal was a proportionate response to the conduct in question.
(9) Matters raised in mitigation of misconduct which has been found to have occurred are not to be brought into account in relation to the specific consideration of valid reason under s 387(a) but rather under s 387(h) as part of the overall consideration of whether the dismissal is harsh, unjust or unreasonable."
to constitute a sound, defensible, well-founded and therefore valid reason for dismissal.
(b) Whether the person was notified of the reason
(c) Whether the person was given an opportunity to respond to any reason related to the capacity or conduct of the person
(d) Any unreasonable refusal by the employer to allow the person to have a support person present to assist in any discussions relating to dismissal
(e) Was the Applicant warned about unsatisfactory performance before dismissal
(f) The degree to which the size of the employer's enterprise would be likely to impact on the procedures followed in effecting the dismissal and (g) The degree to which the absence of dedicated human resource management specialists or expertise in the enterprise would be likely to impact on the procedures followed in effecting the dismissal
(h) Any other matters that the FWC considers relevant
(b) he has limited level of literacy and formal qualifications;
(c) he has not been adequately trained in the AOD Policy the Applicant breached;
(d) he is reliant on the housing provided by the Respondent;
(e) has a family whose financial position has been negatively affected by his dismissal;
(f) he has been banned from finding employment in his profession by the Respondent;
(g) has never been formally disciplined by the Respondent; and
(h) has experienced a disparity in discipline outcomes.
"[60] It needs to be stated clearly that a determination of whether a given dismissal for the sending or receipt and storage of pornography is disproportionate to the misconduct such as to be 'harsh, unjust or unreasonable' involves a consideration of all of the circumstances and a weighing of the gravity of the misconduct against the various factors that mitigate against dismissal as a proportionate (fair) response to the misconduct, including, of course, factors subjective to the particular employee (such as age, length of service, service record etc) to determine whether those matters in combination rendered dismissal a disproportionate penalty for the misconduct such that it ought properly be characterised as 'harsh' notwithstanding the existence of a 'valid reason'."
Mr Lucas Kennedy of the Rail, Tram and Bus Union for the Applicant.
Mr Sebastian Harris from Queensland Rail for the Respondent.
[11] [2020] FWCFB 1373, at para [26].
[12] [2019] FWC 182; permission to appeal refused in [2020] FWCFB 884.
[13] Darvell v Australian Postal Commission [2010] FWAFB 4082
[14] [1995] IRCA 333; (1995) 62 IR 371 at 373.
Printed by authority of the Commonwealth Government Printer
Trevor Purves
Queensland Rail Transit Authority T/A Queensland Rail [2022] FWC 3343
(1995) 62 IR 371
(1984) 155 CLR 30644