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AN v ANZ BankingGroup Limited
[2015] AusHRC 93
© Australian Human Rights Commission 2015.
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AN v ANZ Banking Group Limited
Report into discrimination in employment based on criminal record
[2015] AusHRC 93
Australian Human Rights Commission 2015
iv
1 Introduction to this inquiry 3
2 Summaryoffindingsandrecommendations 3
3 Background 3
4 Facts 4
5 Relevantlegalframework 6
6 Consideration 76.1 Isthereanactorpractice? 76.2 Doestheactinvolveadistinction,exclusionorpreference
onthe basisofcriminalrecord? 76.3 Didthatexclusionhavetheeffectofnullifyingorimpairing
equalityofopportunityortreatmentinemploymentor occupation? 9
6.4 Wastheexclusionbasedontheinherentrequirementsof thePosition? 9
7 Recommendations 127.1 MrAN’ssubmissions 127.2 ANZ’spoliciesandtraining 137.3 Apology 14
8 ResponsetoRecommendations 15
Contents
AN v ANZ Banking Group Limited • [2015] AusHRC 93 • 1
Australian Human Rights Commission
Level3,175PittStreet,SydneyNSW2000 GPOBox5218,SydneyNSW2001Telephone:0292849600 Facsimile:0292849611 Website: www.humanrights.gov.au
March2015
SenatortheHon.GeorgeBrandisQC Attorney-General ParliamentHouse CanberraACT2600
DearAttorney,
Ihavecompletedmyreportpursuanttosection31(b)(ii)oftheAustralian Human Rights Commission Act 1986(Cth)intothecomplaintmadebyMrANagainstANZBankingGroupLimited(ANZ).
IhavefoundthatANZ’sactofrefusingtoengageMrANasanInformationTechnologyProjectManagerconstitutedanexclusionmadeonthebasisofcriminalrecord.ThishadtheeffectofnullifyingorimpairingMrAN’sequalityofopportunityortreatmentinemploymentoroccupation.Thisexclusionwasnotbasedontheinherentrequirementsofthejob.
Inlightofmyfindings,IrecommendedthatANZfurtherdevelopitspoliciesinrelationtopreventionofdiscriminationinemploymentonthebasisofcriminalrecordandconducttrainingtoassiststafftofairlyassesswhetherajobapplicantwithacriminalrecordcanperformtheinherentrequirementsofaparticularjob.IalsorecommendedthatANZapologisetoMrAN.
ANZprovidedaresponsetomyfindingsandrecommendationson21January2015.Inparticular,ANZsaidthatitwillconductrefreshertrainingwithrelevantrecruitmentdecisionmakers,andthatitnowplacesagreateremphasisontheageofacriminalconvictionindeterminingwhetheranemployeeorcontractorcanperformtheinherentrequirementsofaparticularrole.IhavesetoutANZ’sresponsetomyrecommendationsatPart8ofmyreport.
Iencloseacopyofmyreport.
Yourssincerely,
GillianTriggsPresidentAustralianHumanRightsCommission
2
AN v ANZ Banking Group Limited • [2015] AusHRC 93 • 3
1 Introduction to this inquiry1. ThisreportsetsouttheAustralianHumanRightsCommission’sfindingsfollowinganinquiryinto
acomplaintofdiscriminationinemploymentoroccupationonthebasisofcriminalrecord.ThecomplaintwasmadebyMrANagainstANZBankingGroupLimited(ANZ).TheCommissionissueda preliminaryviewtothepartieson25August2014.
2. Thisinquiryhasbeenundertakenpursuanttos 31(b)oftheAustralian Human Rights Commission Act 1986 (Cth)(AHRCAct).MrANhasaskedthathenotbereferredtobynameinthisreport.IconsiderthatthepreservationoftheanonymityofMrANisnecessarytoprotecthisprivacy.Accordingly,Ihavegivenadirectionpursuanttos14(2)oftheAHRCActandhavereferredtohimthroughoutasMrAN.
2 Summary of findings and recommendations3. Asaresultofthisinquiry,IhavefoundthatMrANwasdiscriminatedagainstbyANZonthe
basisofhiscriminalrecord.
4. Inlightofmyfindings,IrecommendthatANZ:
• furtherdevelopitspoliciesinrelationtothepreventionofdiscriminationinemploymentonthe basisofcriminalrecord;
• conducttrainingtoassiststafftofairlyassesswhetherajobapplicantwithacriminalrecordcanperformtheinherentrequirementsofaparticularjob;and
• provideaformalwrittenapologytoMrAN.
3 Background5. MrANmadeawrittencomplainttotheCommissionon26July2013.HeallegesthatANZ
refusedto engagehimasanInformationTechnologyProjectManagerbecauseofhiscriminalrecord.
6. On1October2013,ANZprovidedaresponsetothecomplaint,alongwithcopiesof:
• ANZ’sBackgroundChecksPolicy;• ANZ’sProcessforEngagingaNon-Employee;• MrAN’scompletedPre-EmploymentCheckRequestForm,includinghisConfidentialityUndertakingandConsentForm;
• ANZ’sCodeofConduct&Ethics;and• the‘RoleMandate’documentinrelationtotheCX[CustomerExperience]ProjectManagerposition(Position)forwhichMrANhadapplied.
7. Duringthecourseofthisinquiry,ANZalsoprovidedits‘BackgroundCheckGuidelines’anda‘PoliceCheckDecisionOutcomeForm’,inrelationtothedecisionnottoproceedwithMrAN’sengagement.
8. AnattemptwasmadetoconciliatethecomplaintduringthecourseofNovember2013toApril2014.However,thepartieswereunabletoreachagreementonresolvingthecomplaint.
4
4 Facts9. Basedontheinformationprovidedbytheparties,therelevantfactsareasfollows:
a) Onorabout25May2013,RobertWalters,arecruitmentandlabourhirecompany,wasinstructedbyANZtosourcecandidatestobeinterviewedbyANZforthePosition.
b) Shortlythereafter,MsNadiaSaid,arecruitmentconsultantwithRobertWalters,invited MrANtoapplyforthePosition.
c) Onorabout6June2013,ANZinterviewedMrANinrelationtothePosition.
d) On11July2013,MrANreceivedanemailfromMsSaidwhichstatedthathehadbeenselectedbyANZforthePositionwithastartdateof5August2013,foratwelvemonthcontract.TheemailincludedaRobertWaltersIncorporatedContractorsAgreement(ICA),whichstatedinitsintroduction:
RobertWaltershasmadeorproposestomakeanagreementwiththeClient[ANZ]fortheengagementofanindependentcontractorthathastheskillsandexpertiserequiredtoperformtheAssignment……
TheContractor[MrAN’scompany]agreeswithRobertWaltersthattheContractorwillsupplyitsemployees,whowillapplytheirskillsandexpertiseinrelationtotheAssignmentonthetermsandconditionssetoutinthisAgreement.
e) Laterthatday,MrANattendedRobertWalters’officetofilloutandsigntheRobertWaltersICA;ANZ’sPre-EmploymentCheckRequestForm;aConfidentialityUndertakingandConsentForm;aFederalPoliceRecordCheckconsentformandonlinedocumentationfromFirstAdvantage,athirdpartyengagedbyANZtoconductcriminalrecordchecks.WhensigningtheConfidentialityUndertakingandConsentForm,MrANwarrantedthathehadnotbeenconvictedofacriminaloffenceanywhereintheworldandacknowledgedthatANZmayobtainapoliceclearancechecktovalidatethis.
f) On16July2013,FirstAdvantagenotifiedMsSaidthattheCriminalRecordCheckforMr ANdisclosedapriorconviction.ItforwardedtoheraNationalPoliceCertificatewhichindicatedthaton2January1979MrANwasconvictedof‘ArmedRobberywithViolenceWhilstinCompany’andsentencedto5years’imprisonment,witharecommendationforparoleafterserving12months.
g) On16July2013,MrANstatesthatMsSaidtelephonedhimtoseekhisinputandexplanationinrelationtotheoffence.Duringthisconversation,MrANstatesthathe:
• provideddetailsoftheconvictionandcircumstancesaroundit;
• explainedthathehadgrownupinaroughneighbourhoodinBrisbaneandhadfalleninwiththewrongcrowd;
• statedthathehadnotre-offended;and
• reiteratedhisrelevantemploymenthistoryandcommunityvolunteerwork.
AN v ANZ Banking Group Limited • [2015] AusHRC 93 • 5
MrANstatesthatMsSaidstatedthat:
• shewouldconveyMrAN’sfeedbacktoANZ;and
• shewasoftheopinionthatastheoffencewasnotcommittedagainstaninstitution,andwasnotofthenatureoffraud/embezzlement,itshouldnotaffecthisengagementbyANZ.
h) Onorabout16July2013,ANZ’sContractManagementOfficereceivedacopyoftheresultsofMrAN’sCriminalRecordCheckfromFirstAdvantage.
i) On17July2013,MrCallumFry,SeniorConsultantofRobertWalters,statedthathepassedMrAN’sexplanationontoMsSharonO’Donnell,aProjectDirectorofANZ.MrANstatesthaton17July2013,MsSaidtelephonedhimandtoldhimthatRobertWaltershaddiscussedthematterwithMsO’Donnellwhostatedthat:
• shewasnotparticularlyconcernedabouttheoffence,givenhowlongagoitoccurred;
• shewouldneverthelessneedtoseekclearanceforMrAN’srecruitmentfromANZ’sHRdepartment.
j) RobertWaltersstatesthaton19July2013,MsO’DonnellinformedRobertWaltersthat‘herhandsweretied’andthatANZcouldnotrecruitMrANduetothenatureofhiscriminaloffence.MsSaidsubsequentlytelephonedMrANandconveyedthisdecisiontohim.ShealsoemailedMrANthatday.Theemailstated:
ToconfirmANZhaswithdrawnthepositionofCXProjectManagerduetoanunsatisfactorypolicecheckasANZdoissuetheirrolesdependingonpolicechecksastypicalwithintheFinancialServicesspace.
AlsotoconfirmasrequestedIhaveescalatedthistoourHRteamandamwaitingforfurtherdirectiononthematter…
k) Laterthatday,MrANemailedMsSaidandreiteratedthesubstanceoftheirearlierconversation.Hestatedintheemailthat:
• hisconvictiondoesnotimpactonhisabilitytofulfiltheinherentrequirementsof the job;
• bywithdrawingthejoboffer,ANZwasdiscriminatingagainsthimonthebasisof his criminalrecord;
• herequestsRobertWaltersaskANZtoreconsideritsdecision.
l) On24July2013,MrANsentanemailtoMsSaid,andrequestedthatitbepassedontotheHRDirectorofRobertWalters.Intheemail,hesetoutdetailsofthesubmissionshepreviouslymadetoMsSaidinrelationtohisoffenceandhisabilitytoperformthePosition.Healsostated:
ANZdidnotrequestmetoprovidefurtherdetailsofmyrecordorthecircumstancesaroundit.WhilstIunderstandNadia[Said]verballybriefedarepresentativeoftheANZHiringManager,IhavenoideawhatinformationwasactuallyprovidedtoANZinrelationtothis.IhavehadnocontactwithanyoneatANZ,nortomyknowledgehasANZrequestedanyfurtherinformationfromme.
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4 Facts
…
ByrefusingtoemploymeANZhasdiscriminatedagainstmeonthebasisofmycriminalrecord.Iconsiderthisgrosslyunfair,andplantomakeaformalcomplainttotheAustralianHumanRightsCommission.
m) RobertWaltersstatesthatonreceiptofthe24July2013email,MsSaidpasseditontoActingHRManagerofRobertWalters,MsDanicaBurns.On26July2013,MsBurns,Ms SaidandMrLukeGuanlao,SeniorLegalCounselofRobertWalters,attendedatelephoneconferencewithMsO’DonnellofANZ.RobertWaltersstatesthatduringthiscall,Ms O’DonnelladvisedthattheGroupInvestigationsteamofANZhadreviewedthematterandmadethedecisionnottoproceedwiththeoffer.
n) MrANwasnotaffordedanopportunitytodiscussthismatterdirectlywithANZ.However,on25July2013MrANcontactedviaemail,throughtheLinkedInprofessionalnetworkingtool,MrDanielSammarco,anANZProgramDirectorwithwhomheinterviewedforthePosition.In hisemail,hereferredto:
• hisdisappointmentthatnoonefromANZhadcontactedhimregardingthematter,despiteprovidingcomprehensiveinformationtoRobertWaltersandaskingthemtoprovidethistoANZtoreconsideritsdecision;
• howlongagotheoffencetookplace;
• hisrelevantworkexperienceforthePosition;
• hismembershipoftheAustralianInstituteofProjectManagementandotherprofessionalbodies;
• histertiaryqualifications;
• hisvolunteeringworkasafirefighter;and
• beingahusband,fatherandstepfather.
o) Laterthatday,MrSammarcorespondedtoMrAN’s25July2013email.Hestated:It’smostlikelythatnoonehascontactedyou[as]Ihavebeenoverseasfortwoweeks…so apologiesforthat.
It’sunfortunatethishadoccurredhoweveranz’shrpolicyisquitestringentinthesemattersandInorSharonwhoisactinginmyabsencehasdiscretiontocounterthis.
5 Relevant legal framework10. PartII,Division4oftheAHRCAct,whichiscomprisedofsections30–35,isconcernedwith
theCommission’sfunctionsrelatingtoequalopportunityinemployment.
11. Section31(b)confersontheCommissionafunctionofinquiringintoanyactorpracticethatmayconstitutediscrimination.Section32(1)(b)requirestheCommissiontoexercisethisfunctionwhenacomplaintismadetoitinwritingallegingthatanactorpracticeconstitutesdiscrimination.Section8(6)oftheAHRCActrequiresthatthefunctionoftheCommissionundersection31(b)beperformedbythePresident.
AN v ANZ Banking Group Limited • [2015] AusHRC 93 • 7
12. Section3(1)oftheAHRCActdefinesdiscriminationforthepurposesofsection 31(b)as:
(a)anydistinction,exclusionorpreferencemadeonthebasisofrace,colour,sex,religion,politicalopinion,nationalextractionorsocialoriginthathastheeffectofnullifyingorimpairingequalityofopportunityortreatmentinemploymentoroccupation;and
(b) anyotherdistinction,exclusionorpreferencethat:
(i) hastheeffectofnullifyingorimpairingequalityofopportunityortreatmentinemploymentoroccupation;and
(ii) hasbeendeclaredbytheregulationstoconstitutediscriminationforthepurposesofthisAct;
butdoesnotincludeanydistinction,exclusionorpreference:
(c) inrespectofaparticularjobbasedontheinherentrequirementsofthejob;or
(d) inconnectionwithemploymentasamemberofthestaffofaninstitutionthatisconductedinaccordancewiththedoctrines,tenets,beliefsorteachingsofaparticularreligionorcreed,beingadistinction,exclusionorpreferencemadeingoodfaithinordertoavoidinjurytothereligioussusceptibilitiesofadherentsofthatreligionorthatcreed.
13. AustraliahasdeclaredcriminalrecordasagroundofdiscriminationforthepurposesoftheAHRCAct.1
6 Consideration14. Indecidingwhethertherehasbeendiscriminationwithinthetermsofs 31(b)oftheAHRCAct,
I amrequiredtoconsiderthefollowingquestions:
• whethertherewasanactorpracticewithinthemeaningofs 30(1)oftheAHRCAct;
• whetherthatactorpracticeinvolvedadistinction,exclusionorpreferencethatwasmadeon thebasisofthecomplainant’scriminalrecord;
• whetherthatdistinction,exclusionorpreferencehadtheeffectofnullifyingorimpairingequalityofopportunityortreatmentinemploymentoroccupation;and
• whetherthatdistinction,exclusion,orpreferencewasbasedontheinherentrequirementsof thejob.
6.1 Is there an act or practice?15. ‘Act’and‘practice’aredefinedats 30(1)oftheAHRCAct.‘Act’and‘practice’havetheir
ordinarymeanings.Anactisathingdoneandapracticeisacourseofrepeatedconduct.
16. Onorabout19July2013,ANZdecidednottoengageMrANinthePosition.Iamsatisfiedthatthiswasan‘act’withinthemeaningofs30(1)oftheAHRCAct.
8
6 Consideration
6.2 Does the act involve a distinction, exclusion or preference on the basis of criminal record?
17. IalsoconsiderthatANZ’sdecisionnottoengageMrANconstitutesan‘exclusion’withinthescopeofthedefinitionof‘discrimination’intheAHRCAct.MrANsubmitsthatthereasonforANZ’sdecisionwashiscriminalrecord.
18. ForacaseofdiscriminationtobefoundregardingANZ’sdecisionnottoengageMrAN,itwouldneedtobeshownthattherelevantexclusionwasmade‘onthebasis’ofhiscriminalrecord.Inconsideringtheexpression‘basedon’,inasimilardefinitionofdiscriminationundersection9(1)oftheRacial Discrimination Act 1975(Cth),theFederalCourtheldthatthewordsweretobeequatedwiththephrase‘byreferenceto’,ratherthanthemorelimited‘byreasonof’or‘onthegroundof’whichhavebeeninterpretedelsewheretorequiresomesortofcausalconnection.2Itdoesnotneedtobethesolereason.
19. ThereisnodisputebetweenthepartiesthatMrAN’scriminalrecordwasareasonforANZ’sdecisionnottoengageMrAN.Initssubmissions,ANZhasstatedthatit:
decidednottoproceedwith[MrAN’s]placementatANZtoperformthatrolebecauseitdeterminedthathewouldnotbeabletoperformtheinherentrequirementsoftheroleasa resultofhisconvictionfortheArmedRobberyoffence.
20. ItisclearfromthisstatementthatMrAN’scriminalrecordwasareasonfortheexclusion.
21. ItappearsfromANZ’ssubmissionsthatthedecisionnottoengageMrANmaynothavebeenentirelybasedonhiscriminalrecord,butalsoattributedtoanothertwofactors.
22. First,whensigningtheConfidentialityUndertakingandConsentForm,MrANwarrantedthathehadnotbeenconvictedofacriminaloffenceanywhereintheworld.GiventhatMrANhasacriminalrecord,ANZsubmitsthathehadprovidedafalsewarranty.InANZ’sview,thisconductisinconsistentwithitsCodeofConduct&EthicsandtherequirementthatinthePositionthepersonresponsiblewill‘buildanenvironmentofopennessandtrustwithANZstaffandstakeholders’.MrANsubmitsthatthereasonhedidnotdisclosehiscriminalrecordtoANZwasbecauseofinformationhehadaccessedfromtheQueenslandGovernmentat:https://www.qld.gov.au/law/crime-and-police/criminal-records-and-history-checks/criminal-records/.Thiswebpagestatesthat:
Youcansayyouhavenoconvictionsifyoumeetthefollowingcriteria:
• youwerenotimprisonedaspartofyoursentenceoryouwereimprisonedforlessthan30months;
• enoughtimehaspassed(seebelow);• youhaven’tbrokenthelawsinceyourconviction.
ForQueenslandoffences,thetimethathastopassbeforeyoudon’thavetomentiona convictionis:
• 10yearsifyouwereconvictedintheSupremeCourtorDistrictCourtasanadult;• 5yearsforothercases,unlessyouwereorderedtopayrestitution,andthenuntilyou havepaid.
AN v ANZ Banking Group Limited • [2015] AusHRC 93 • 9
23. Although,asANZsubmits,MrANwasultimatelyincorrectinhisconclusionthathisconvictionwasspent,3hissubmissionprovidesanexplanationastowhyhesignedthewarrantythathehadnotbeenconvictedofacriminaloffence.MrANformedtheviewthathisconvictionwasspentonthebasisthatheserved13monthsofhisfiveyearsentence,hisconvictionoccurredmorethan34yearsagoandhehadnofurtherconvictions.
24. Second,ANZsubmitsthatsincemakingthecomplaint,MrANprovidedconflictinginformationaboutthereasonhedidnotdisclosehiscriminalrecord.ANZsubmitsthatthisalsoraisesquestionsabouthisintegrityandhonesty.
25. Asstatedabove,thereisnodisputebetweenthepartiesthatMrAN’scriminalrecordwasareasonfortheexclusion.Itdoesnotneedtobethesolereason.Interpretingthephrase‘onthebasisof’inthebroadersense,tomean‘byreferenceto’,IamsatisfiedthatANZ’sdecisionnottoengageMrANconstitutedanexclusiononthebasisofMrAN’scriminalrecord.
6.3 Did that exclusion have the effect of nullifying or impairing equality of opportunity or treatment in employment or occupation?
26. TheAHRCActwasintroducedtobethevehiclebywhichAustralia’sobligationsundertheDiscrimination (Employment and Occupation) Convention 1958(ILO111Convention)wereimplemented.4Forthisreason,itisappropriatetoconstruethedefinitionof‘discrimination’ins3(1)oftheAHRCActinaccordancewiththeconstructiongivenininternationallawtoArticle1oftheILO111Convention.5
27. Article1(3)oftheILO111Conventionprovidesthat‘employment’and‘occupation’includesaccesstoemploymentandtoparticularoccupations,andtermsandconditionsofemployment.Further,thebackgroundmaterialstotheILO111ConventionrevealthattheConventionwasintendedtoprotectallworkers,inallfields,includingself-employedworkersinboththepublicandprivatesector.6
28. Iamsatisfiedthat:
• thereferencetoemploymentandoccupationinsection3(1)oftheAHRCActisnotlimitedtothetraditionalemploymentrelationshipofemployerandemployee;and
• theILO111Conventionandsection3(1)oftheAHRCActwasintendedtoprotectallworkersincludingindependentcontractorsandself-employedworkers.
29. HadMrAN’scompany(Company),beenengagedasanindependentcontractorbyRobertWalterstoprovidetheskillsandexpertiserequiredbyANZ,MrANwouldhaveundertakentheworkrequiredbyANZinthePosition.HewouldhavehadtheopportunitytoearnanincomeasanemployeeoftheCompanyand/orasashareholderoftheCompany.Hewasnotgiventheopportunitytodosoonthebasisofhiscriminalrecord.Inthecircumstances,IfindthatthedecisionnottoengageMrANinthePositionhadtheeffectofnullifyingorimpairinghisequalityofopportunityortreatment,inemploymentoroccupation,withinthemeaningofsection3(1)oftheAHRCAct.
10
6.4 Was the exclusion based on the inherent requirements of the Position?30. Paragraph(c)ofthedefinitionof‘discrimination’insection3(1)oftheAHRCActprovides
thatdiscrimination‘doesnotincludeanydistinction,exclusionorpreference,inrespectofaparticularjob,thatisbasedontheinherentrequirementsofthejob’.GivenmyfindingthatANZ’sdecisionnottoengageMrANinthePositionwasanexclusiononthebasisofcriminalrecord,Imustconsiderwhethertheexclusionwasbasedontheinherentrequirementsofthejob.
31. Paragraph(c)isan‘exception’totheprohibitionagainstdiscrimination.Itshouldthereforebeinterpretedstrictly,soasnottoresultinunduelimitationoftheprotectionconferredbythelegislation.7
32. ANZsubmitsthatitsdecisionnottoengageMrANinthePositionwasbasedonitsassessmentthatMrAN’sconvictionforthearmedrobberyoffencemeantthathewasunabletoperformtheinherentrequirementsoftherole.ANZmadethefollowingsubmissions:
• Thearmedrobberyoffencewasaveryseriousoffence;itinvolvedtheft,occurredincircumstanceswheretheassailantswerearmedandwhere‘itisclearfromthenatureoftheoffencethatviolencewasinvolved’.ItresultedintheCourtimposingasentenceof5 years’imprisonment.
• MrAN’sconvictionforsuchaseriousoffencedemonstratesafailuretoactwithintegrityandhonestyand,asaresult:
» ANZisnot‘reasonablyabletohavesufficienttrustandconfidenceinhimtoallowhimtoworkwithintheorganisation…ortohaveaccesstoANZ’sITsystemswithlimitedsupervision’;and
» ANZconsiders‘thereisarisk[MrAN]maynotkeepthesensitivecommercialandsecurityinformationobtainedwhileperformingtheroleconfidential,ormaymisusesuchinformation’.
(a) Identifying the ‘inherent requirements’
33. Appropriateidentificationoftheinherentrequirementsofthejobisapre-conditiontoprovingthatthecomplainantisunabletoperformthoseinherentrequirements.
34. An‘inherentrequirement’issomethingthatis‘essentialtotheposition’8andnot‘peripheral’.9 It isan‘essentialfeature’or‘definingcharacteristic’.10
35. Further,theinherentrequirementsmustbeinrespectof‘aparticularjob’.Theterm‘a particularjob’in Article1(2)oftheILO111ConventionhasbeenconstruedbyreferencetothepreparatoryworkandthetextoftheConventiontomean‘aspecificanddefinablejob,functionortask’andits‘inherentrequirements’arethoserequiredbythecharacteristicsoftheparticularjob.11
6 Consideration
AN v ANZ Banking Group Limited • [2015] AusHRC 93 • 11
36. ANZstatesthattheITProjectManagerPositioninvolvedworkingonanewinternetbankingsystem.ItstatesthatthePositioninvolvedcoordinatingtheactivitiesofvariousgroups(e.g. designers,IT experts,marketingandbrandingprofessionals),managingexternalcontractualrelationshipsandensuringthenewinternetbankingsystemisdeliveredontimeand withinbudget.
37. TheRoleMandatedocumentpreparedbyANZforthePositionstatesthattheskills,knowledgeandexperiencerequiredincludedthe:
• abilitytoundertakeprojectmanagementwithinthedigitaldomain;
• abilitytomaketimelydecisionsinrapidlychangingandhighrisksituations;
• abilitytopresentinformationtogroupsofpeopleandmakeuseofavarietyoftoolsandtechniquestoconveyideas;
• abilitytopersuade,convince,influenceandimpressothersinordertogainsupportfor an agreementtoanideaorconcept;
• abilityto‘convey,explainandunderstand’informationinwrittenreports,clearlyandconcisely;and
• abilitytoeffectivelymanageowntimeandresources.
38. ANZhasstatedthatitconsiderstheinherentrequirementsofthePositiontobe:
• thatANZbeabletohavesufficienttrustandconfidenceinthePositionholdertoallowhimtoworkwithintheorganisation,havingregardtotherequirementsofANZ’sValuesandCodeofConduct&Ethics,andhavingregardtothegeneralexpectationsofANZ’scustomersandshareholders;
• thatthePositionholderaccessANZ’sITsystems(includingsensitivecommercialandsecurityinformation)withlimitedsupervision;
• thatthePositionholderkeepinformationobtainedinthecourseofperformingtherole(includinginformationregardingANZ’sITsystem,products,businessplans,projects,internetbankinginterfaceandsecurityrequirementsandexposures)confidential;and
• thatthePositionholdernotmisuseinformationgainedinthecourseofperformingtherole(includinginformationregardingANZ’sITsystem,products,businessplans,projects,internetbankinginterfaceandsecurityrequirementsandexposures).
39. IacceptthattheinherentrequirementsofthePositionarethosesetoutintheRoleMandatedocumentpreparedbyANZ.IacknowledgethatthePositioninvolvesaccesstosensitivecommercialandsecurityinformationwithlimitedsupervisionandacceptthatitwasaninherentrequirementtokeepinformationobtainedinthecourseoftheroleconfidentialandnottomisusetheinformation.I alsoacceptthattheinherentrequirementsincludetrustandconfidence,beingrequirementssetoutinANZ’sCodeofConduct&Ethics.
12
(b) Was the distinction, exclusion or preference ‘based on’ the identified inherent requirements of the job?
40. In Commonwealth v Human Rights and Equal Opportunity Commission and Others,12WilcoxJinterpretedthephrase‘basedon’asfollows:
Inthepresentcase,therearepolicyreasonsforrequiringatightcorrelationbetweentheinherentrequirementsofthejobandtherelevant‘distinction’,‘exclusion’or‘preference’.Otherwise,asMrO’Gormanpointedout,theobjectofthelegislationwouldreadilybedefeated.Amajorobjectiveofanti-discriminationlegislationistopreventpeoplebeingstereotyped;thatis,judgednotaccordingtotheirindividualmeritsbutbyreferencetoageneralorcommoncharacteristicofpeopleoftheirrace,gender,ageetc,asthecasemaybe.Ifthewords‘basedon’aresointerpretedthatitissufficienttofindalinkbetweentherestrictionandthestereotype,asdistinctfromtheindividual,thelegislationwillhavetheeffect ofperpetuatingtheveryprocessitwasdesignedtobringtoanend.13
41. TheFullCourtaffirmedthatapproachinCommonwealth v Bradley.14Inparticular,BlackCJdiscussedthephrase‘basedon’asfollows:
Respectforhumanrightsandtheidealofequality–includingequalityofopportunityinemployment–requiresthateverypersonbetreatedaccordingtohisorherindividualmeritandnotbyreferencetostereotypesascribedbyvirtueofmembershipofaparticulargroup,whetherthatgroupbeoneofgender,race,nationalityorage.Theseconsiderationsmustbereflectedinanyconstructionofthedefinitionof‘discrimination’presentlyunderconsiderationbecause,iftheyarenot,andaconstructionisadoptedthatenablestheascriptionofnegativestereotypesortheavoidanceofindividualassessment,theessentialobjectoftheActtopromoteequalityofopportunityinemploymentwillbefrustrated.15
42. TheChiefJusticethenheldthattheremustbemorethana‘logical’linkbetweentheinherentrequirementofthepositionandtheexclusionoftheapplicant.Rather,hisHonourheldthattheremustbea‘tight’or‘close’connection.
43. Assetoutabove,ANZsubmitsthatMrAN’sconvictionmeantthatheisunabletoperformtheinherentrequirementsoftherole.ANZdrawsattentiontotheseriousnessoftheoffenceandstatesthatthe‘offencedemonstratesafailuretoactwithintegrityandhonesty’.
44. ThereisnodoubtthattheoffencewhichMrANwasconvictedofwasaseriousoffence.However,theoffenceoccurredin1978,morethan35yearsago.ThisoffencewasMrAN’sonlyoffenceandhehashadnosubsequentconvictions.MrANwas21yearsoldatthetimeoftheoffence.Hehasprovidedsomecontextaroundtheoffencestatingthathehad‘falleninwiththewrongcrowd’.MrANhasalsosubmittedthathewasnotarmedandwassurprisedtolearnthatanotheryouthwasarmed.
45. MrANhasbeeninfulltimeemploymentsince1982.HehasheldseniormanagementrolesatTelstra,LonelyPlanetandSensis.HisprofessionalrefereesprovidedverypositivereferencestoMsSaidinrelationtothepotentialrecruitmentofMrANforthePosition.
46. MrANhasvolunteeredasafire-fighterformorethan10years.HereceivedtheNationalEmergencyMedalforservicesasafire-fighterduringtheBlackSaturdayfires.MrANhasbeenmarriedfor18 yearsandisafathertoa17yearolddaughterand32yearoldstepson.ItisdifficulttoseewhatmoreMrANcouldhavedonetorehabilitatehimself.
6 Consideration
AN v ANZ Banking Group Limited • [2015] AusHRC 93 • 13
47. Withthesefactorsinmind,IamnotpersuadedthatthereisasufficientlytightorclosecorrelationbetweentheinherentrequirementofthePositionandtheexclusionofMrAN.IamnotpersuadedthatMrANwasunabletoperformtheinherentrequirementsofthePosition.
48. IconsiderthatANZ’sdecisionnottoengageMrANconstitutesdiscriminationagainstMrANinemploymentoroccupationonthegroundofcriminalrecord.
7 Recommendations49. Where,afterconductinganinquiry,theCommissionfindsthatanactorpracticeengagedinby
arespondentisinconsistentwithorcontrarytoanyhumanright,theCommissionisrequiredtoservenoticeontherespondentsettingoutitsfindingsandreasonsforthosefindings.16TheCommissionmayincludeinthenoticeanyrecommendationforpreventingarepetitionoftheactoracontinuationofthepractice.17
50. TheCommissionmayalsorecommend:
• thepaymentofcompensationto,orinrespectof,apersonwhohassufferedlossordamage;and
• thetakingofotheractiontoremedyorreducethelossordamagesufferedbyaperson.18
7.1 Mr AN’s submissions51. MrANaskedmetomakethefollowingrecommendations:
• ANZtakestepstoamenditspoliciesandprocedurestopreventarepeatofthediscriminationwhichoccurredwithrespecttohim;and
• ANZacknowledgeandapologiseforthehurtandsufferingtheyhavecausedhim.
52. MrANstatedthatalthoughthePositionattractedremunerationof$190perdaymorethanhewaspresentlyearning,hewasnotseekinganycompensation.
7.2 ANZ’s policies and training53. Aspartofthisinquiry,IhaveconsideredANZ’sBackgroundChecksPolicyandGlobal
BackgroundChecksProcessdocument.InotethattheBackgroundChecksPolicyrequiresahiringmanagertoassesswhetherajobapplicant’spolicerecordis‘incompatiblewiththeinherentrequirementsoftherole’.19Whilstthisisanimportantinclusion,IrecommendthatANZfurtherdevelopitspoliciesinrelationtopreventionofdiscriminationonthebasisofcriminalrecord.Inthisregard,IdrawANZ’sattentiontotheCommission’spublicationOn the Record: Guidelines for the Prevention of Discrimination in Employment on the Basis of Criminal Record (Guidelines).20
14
54. TheGuidelinesstate:9. A written policy and procedure
Ifanemployerdecidesthatacriminalrecordisrelevanttothepositionsofaworkplace,awrittenpolicycanhelpensurethatallstaffhaveanunderstandingoftheorganisation’srequirementsandthelegalobligationsoftheorganisationtowardspeoplewithacriminalrecord.Apolicyandanoutlineofprocedurecanbeincorporatedintootherworkplacepolicyonequalopportunityandanti-discriminationifsuchpolicyexists.
Ideally,apolicyandprocedurewouldinclude:
• astatementabouttheemployer’scommitmenttotreatingpeoplewithacriminalrecordfairlyandinaccordancewithanti-discrimination,spentconvictionandprivacylaws
• abriefsummaryofemployeeandemployerrightsandresponsibilitiesundertheselaws,orinclusionofup-to-dateliteraturewhichprovidesthisinformation
• anoutlineofotherrelevantlegalrequirementsfortheworkplace,suchastheemployer’sresponsibilitiesunderlicensingandregistrationlaws,orworkingwithchildrenlaws
• theprocedureforassessingtheinherentrequirementsoftheposition,requestingcriminalrecordinformationifnecessaryandassessingindividualjobapplicationsor employeehistories
• informationoninternalorexternalcomplaintorgrievanceproceduresifsomeonethinkstheyhavebeenunfairlytreated
• designatedofficerswithresponsibilityfordifferentelementsoftheprocedure.
Inorderforapolicytogainwidespreadacceptance,itisvitalthatstaff,workplacerepresentativesandmanagementareinvolvedinthedevelopmentofthepolicy.
Developingappropriatepoliciesandproceduresdoesnothavetobeoverlycomplexorlong.However,anypolicyshouldbeclear,informativeandavailabletoallstaffandjobapplicants.
55. IalsorecommendthatANZconducttrainingforitshumanresourcesandmanagementstaffinvolvedinemploymentdecisions.Thistrainingshouldassiststafftoassessfairlywhetheranindividualwithacriminalrecordcanperformtheinherentrequirementsofaparticularjob.Again,IdrawANZ’sattentiontotheGuidelines,whichstateasfollows:
5.10 Assessing a job applicant’s criminal record against the inherent requirements of the job
Insomecases,theconnectionbetweenthecriminalrecordandthejobwillbeclearenoughfortheemployertodecideonthesuitabilityoftheapplicantforthejob…
However,in most cases itwillbeuncleartotheemployersimplyonthebasisoftheresultsofapolicecheckalonewhetherornottheconvictionoroffenceisrelevanttotheinherentrequirementsofthejob…
Anemployerwillgenerallyneedtodiscusstherelevanceofthecriminalrecordwiththejobapplicant,orinvitethemtoprovidefurtherinformation,inordertoassesswhetherthepersoncanmeettheinherentrequirementsofthejob.…
7 Recommendations
AN v ANZ Banking Group Limited • [2015] AusHRC 93 • 15
Thetypeofinformationwhichanemployermayneedtoconsiderwhenassessingtherelevanceof a person’scriminalrecordincludes:
• theseriousnessoftheconvictionoroffenceanditsrelevancetothejobinquestion• whetherinrelationtotheoffencetherewasafindingofguiltwithoutconviction,which indicatesalessseriousviewoftheoffencebythecourts
• theageoftheapplicantwhentheoffenceoccurred• thelengthoftimesincetheoffenceoccurred• whethertheapplicanthasapatternofoffences• thecircumstancesinwhichtheoffencetookplace,forexampleifitwasanoffencethattookplaceinawork,domesticorpersonalcontext
• whethertheapplicant’scircumstanceshavechangedsincetheoffencewascommitted…
• whethertheoffencewasdecriminalisedbyParliament…• theattitudeofthejobapplicanttotheirpreviousoffendingbehaviour• referencesfrompeoplewhoknowabouttheoffendinghistory.21
56. IalsodrawANZ’sattentiontoPart4oftheGuidelines,whichdiscusses(amongothermatters)howanemployershoulddeterminewhetheracriminalrecordisrelevanttotheinherentrequirementsofa jobandkeyprinciplesincaselawforassessingtheinherentrequirements.
7.3 Apology57. MrANhasalsosoughtanapology.Iconsiderthattheprovisionofawrittenapologywouldbe
anappropriateremedy.Apologiesareimportantremediesfordiscrimination.They,atleasttosomeextent,alleviatethesufferingofthosewhohavebeenwronged.IrecommendthatANZprovidea formalwrittenapologytoMrANforitsdiscriminatoryconduct.
8 Response to Recommendations58. On23December2014IprovidedanoticetoANZsettingoutmyfindingsandrecommendations
inrelationtothecomplaintdealtwithinthisreport.
59. Byemaildated21January2015,ANZprovidedthefollowingresponsestoeachofmyrecommendations.
60. InrelationtomyrecommendationthatANZfurtherdevelopitspoliciesinrelationtothepreventionof discriminationinemploymentonthebasisofcriminalrecord,ANZstated:
ANZ’sglobalBackgroundChecksPolicyisreviewedannually.IndependentlyofMrAN’scomplaint,ANZrecentlyrevieweditsBackgroundChecksPolicy,includingthesectiononcriminalrecordchecks.ANZhasalwaystakentheageofaconvictionintoconsideration.However,asaresultofthereviewandrelevanttoMrAN’scomplaint,ANZnowplacesgreateremphasisontheageofacriminalconvictionindeterminingwhetheranemployeeor contractorcanperformtheinherentrequirementsofarole.
16
61. InrelationtomyrecommendationthatANZconducttrainingtoassiststafftofairlyassesswhetherajobapplicantwithacriminalrecordcanperformtheinherentrequirementsofaparticularjob,ANZstated:
AsaresultofthereviewoftheBackgroundChecksPolicy,ANZwillconductrefreshertrainingwiththerelevantrecruitmentdecisionmakersonassessingwhetherajobapplicantwithacriminalrecordcanperformtheinherentrequirementsofaparticularrole.
62. InrelationtomyrecommendationthatANZprovideaformalwrittenapologytoMrAN,ANZstated:
ANZrespectfullydeclinestoprovideaformalwrittenapologytoMrANforthefollowingreasons:
• MrANdidnotdisclosehiscriminalrecordwhenaskedtodosoduringtherecruitmentprocess;
• sinceMrANhasmadehiscomplaint,hehasprovidedconflictinginformationaboutthereasonhedidnotdisclosehiscriminalrecord;and
• ANZholdsitsemployeesandcontractorstothehighestlevelsofintegrityandhonesty.MrANhadbeenconvictedofarmedrobberywithviolencewhilstincompany,whichisaseriouscriminaloffence.ItisANZ’spositionthat,duetothenatureoftheoffenceforwhichhewasconvicted,MrANcouldnotfulfiltheinherentrequirementsoftherole,whichincludedthatheactinaccordancewithANZ’sCodeofConductanddisplayhonestyandintegrity.
63. IreportaccordinglytotheAttorney-General.
GillianTriggsPresidentAustralianHumanRightsCommission
March2015
8 Response to Recommendations
AN v ANZ Banking Group Limited • [2015] AusHRC 93 • 17
1 Australian Human Rights Commission Regulations 1989 (Cth)reg4(a)(iii).2 Victoria v Macedonian Teachers’ Association of Victoria Inc(1999)91FCR47.3 Criminal Law (Rehabilitation of Offenders) Act 1986 (Qld)s3(2)statesthat‘theonlyconvictionsinrelationtowhicha
rehabilitationperiodiscapableofrunningareconvictionsuponwhich–(a)theoffenderisnotorderedtoserveanyperiodincustody;or(b)theoffenderisorderedtoserveaperiodnotexceeding30monthsincustody(includingorderedbywayofdefault),whetherornotintheeventtheoffenderisrequiredtoactuallyserveanypartofthatperiodincustody’.
4 Commonwealth v Bradley (1999)95FCR218,235(BlackCJ).5 Commonwealth v Hamilton (2000)108FCR378,385.6 InternationalLabourOrganisation,General Survey: Discrimination in the field of employment and occupation,(1988),ILC,
(42nd Session,1988ReportIV(1)),[86].7 X v Commonwealth (1999)200CLR177,222-223[146](KirbyJ);Qantas Airways Ltd v Christie (1998)193CLR280,333[152.4]
andfootnotes168-169(KirbyJ).ThisapproachhasbeenappliedtoPartII,Division4oftheSex Discrimination Act 1984 (Cth)inGardner v All Australian Netball Association Limited (2003)197ALR28,[19],[23]-[24](RaphaelFM);Ferneley v Boxing Authority of New South Wales (2001)191ALR739,[89](WilcoxJ).
8 Qantas Airways v Christie(1998)193CLR280,294[34](GaudronJ).9 X v Commonwealth(1999)200CLR177,208[102](GummowandHayneJJ).10 X v Commonwealth (1999)200CLR177,[43](McHughJ).11 InternationalLabourOrganisation,General Survey: Equality in Employment and Occupation,(1988),[126].SeealsoQantas
Airways Ltd v Christie (1998)193CLR280,[72](McHughJ).12 (1998)158ALR468.13 (1998)158ALR468,482.14 (1999)95FCR218.15 (1999)95FCR218,235-236.16 Australian Human Rights Commission Act 1986 (Cth)s35(2)(a).17 Australian Human Rights Commission Act 1986 (Cth)s35(2)(b).18 Australian Human Rights Commission Act 1986 (Cth)s35(2)(c).19 ANZBackgroundChecksPolicy,section4.2.20 Availableathttps://www.humanrights.gov.au/sites/default/files/content/human_rights/criminalrecord/on_the_record/download/
otr_guidelines.pdf.21 On the Record: Guidelines for the Prevention of Discrimination in Employment on the Basis of Criminal Record,availableat
https://www.humanrights.gov.au/sites/default/files/content/human_rights/criminalrecord/on_the_record/download/otr_guidelines.pdf,14-19.
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