John William Liccione v Workers Rehabilitation and Compensation Corporation No. SCGRG 93/1435 Judgment No. 4368 Number of Pages 21 Workers' Compensation
[1994] SASC 4368
•21 January 1994
COURT IN THE SUPREME COURT OF SOUTH AUSTRALIA MATHESON J
CWDS
Workers' compensation - cessation of payments - review by Review Officer of Corporation's decision - unsuccessful appeal to Tribunal from Review Officer's determination - action in Magistrates Court by Corporation to recover payment made pursuant to s.36 of Workers' Compensation Act - whether issued estoppel can ever apply to determinations by Review Officers - whether Review Officer made necessary findings in any event - appeal dismissed. WorkersRehabilitation and Compensation Act 1986. The Administration of the Territory of Papua and New Guinea v Daera Guba (1973) 130 CLR 353; David Jones (Canberra) Pty Ltd v Zapasnik (1982) 42 ACTR 6; Cross on Evidence Australian Loose Leaf Edn p 5009; Milojevic v ROH Industries Pty Ltd (1991) 56 SASR 78; Pivovaroff v Adelaide Powder Coaters Pty Ltd and Ors No A39/1993 dated 30 June 1993 Unreported; Cachia v Isaacs (1985) 3 NSWLR 366 and Blair v Curran (1939) 62 CLR 464, applied. Bede v Commonwealth Hostels Ltd (1980) 4 NTR 31, not followed.
HRNG ADELAIDE, 9 December 1993 #DATE 21:1:1994
Counsel for appellant: Mr T D Bourne
Solicitors for appellant: Stanley and Partners
Counsel for respondent: Ms J Grundy
Solicitors for respondent: Thomsons
ORDER
Appeal dismissed.
JUDGE1 MATHESON J This is an appeal from a decision of Mr K.J.Prescott SM sitting in the Magistrates Court (Civil Division), wherein he entered judgment for the respondent against the appellant for the sum of $18,113.92, together with $900 for interest, a total of $19,013.92. 2. It is necessary to look at the pleadings, but before doing so, I will set out the agreed facts (the plaintiff is the respondent herein and the defendant is the appellant):
" STATEMENT OF AGREED FACTS
1. At all material times the plaintiff:-
1.1 was a duly incorporated body;
1.2 was established pursuant to the Workers Rehabilitation
and Compensation Act 1986 as amended 'the Act' and, inter
alia, was authorised and required to pay compensation to
injured workers in accordance with the statutory criteria
prescribed in the Act;
1.3 carried out its function from premises situated at 100
Waymouth Street, Adelaide in the State of South Australia.
2. At all material times the defendant was employed as a
storeman with Caltex Oil (Australia) Pty Ltd, at Birkenhead
in the said State ('the employer').
3. On or about the 28th day of March 1989 the defendant
submitted a claim for compensation to the plaintiff in which
he asserted he suffered injury to his back on the 28th day
of March 1989 ('the compensable disability').
4. Subsequently to receiving and considering the said claim
the plaintiff determined pursuant to Section 53 of the Act
to accept the defendant's claim for compensation in respect
of the compensable disability and thereafter made weekly
payments of income maintenance to him in accordance with the
provisions of the Act.
5. On or about the 4th day of April 1991 the plaintiff gave
notice to the defendant of its intention to cease weekly
payments of income maintenance in accordance with Section 36
of the Act, such discontinuance to take effect within twenty
one days after receipt of the said notice.
6. On or about the 17th day of April 1991 the defendant applied
for a review of the determination to cease weekly payments of
income maintenance pursuant to Section 95(l) of the Act.
7. Following the defendant's application for review being
lodged with the plaintiff the defendant continued to
receive and the plaintiff continued to make to the
defendant payments of income maintenance.
8. The plaintiff was unable to resolve the issues by
agreement pursuant to Section 95(6) of the Act and maintained
that its initial determination that the worker had
ceased to be incapacitated for work as a result of
the compensable disability was correct.
9. In default of resolution the defendant's application
for review was referred to Review Officer Player-Brown
pursuant to Section 95(7) of the Act who proceeded to
conduct a review of the plaintiff's determination.
10. Upon the conclusion of the said review and by a
determination dated the 13th day of December 1991 the
said Review Officer confirmed the decision made by the
plaintiff on the 4th of April 1991 that the defendant
had ceased to be incapacitated as a result of the
compensable disability and to discontinue weekly
payments of income maintenance to the defendant pursuant
to 36(l)(b) of the Act.
11. Subsequent to the Review Officer's said determination
the defendant pursuant to Section 97 of the Act appealed to the
Workers Compensation Appeal Tribunal against the review
determination and sought an order that the review determination
be reversed.
12. By a decision delivered on the 27th day of April 1992 the
said Tribunal dismissed the defendant's appeal.
13. On or about the 6th day of August 1992 the plaintiff
requested the defendant to repay to it the sum of $18,113.92
being the aggregate amount of weekly payments of income
maintenance paid by the plaintiff to the defendant pursuant to
Section 36(4).
14. The defendant has declined and refused to pay to the
plaintiff the sum of $18,113.92 which sum remains unpaid as at
the date hereof." 3. The plaintiff's Particulars of Claim included the following:
"14. The defendant has wrongfully declined and refused to
pay to the plaintiff the sum of $18,113.92 which sum remains
unpaid and outstanding as at the date hereof.
15. In the premises the plaintiff says:-
15.l the defendant has had and received the sum of
$18,113.92 to the use of the plaintiff;
15.2 the defendant is indebted to the plaintiff in the said
sum of $18,113.92 pursuant to Section 36(5) of the Act;
AND the plaintiff claims the sum of $18,113.92 together
with interest and legal costs." 4. The Defence included the following pleas:
"2 ... the Plaintiff was liable to pay income maintenance
payments to the Defendant from the lst day of May 1991 until the
lst day of January 1992 irrespective of the provisions of
Section 36(4) of the Workers Rehabilitation and Compensation
Act 1986 As Amended.
3-4 ...
5 The Defendant denies that the Plaintiff is entitled to the sum
of $18,113.19 together with interest and costs as alleged in the
Particulars of Claim or at all.
6 The Defendant says there is no power or jurisdiction in this
Court to hear and determine the Plaintiff's claim pursuant to
Section 36(5) of the Workers Rehabilitation and Compensation Act
1986 As Amended.
7 The Defendant says that the said amount of $18,113.92 is not
an amount to which the Defendant would not have been entitled
but for the operation of Section 36(4) of the Workers
Rehabilitation and Compensation Act 1986 as amended.
8 The Defendant says that the within application has not
been brought subject to regulations made pursuant to the
Workers Rehabilitation and Compensation Act 1986 as required
by Section 36(5) of the Workers Rehabilitation and
Compensation Act 1986 As Amended." 5. The plaintiff filed a reply which included the following plea, (and it is this plea upon which the argument on the appeal really turned):
"(The plaintiff)
3.5 says that the defendant is estopped from asserting an
entitlement to weekly payments of income maintenance for the
period 1 May 1991 to 1 January 1992 in these proceedings in view
of the decisions of the Review Officer and the Workers
Compensation Appeal Tribunal which are:-
3.5.1 contrary to such an assertion
3.5.2 binding on the defendant;" 6. The learned Magistrate ruled, (contrary to the defendant's submission), that the Magistrates Court had jurisdiction to entertain the claim. He then referred to the decision of the Review Officer, and said: "In my opinion the defendant here is bound not only by the utterances however poorly expressed of the Review Officer but by virtue of the order and the determination and certainly by virtue of the sealed order of the Appeal Tribunal from asserting to the contrary." 7. Later he said: "In my opinion the agreed facts and the book of documents establish beyond doubt that the defendant here is estopped from asserting that there has been any entitlement pursuant to Section 35 to payments of weekly income maintenance as and from the 1st May 1991." 8. His Honour then made the following orders:
"1. An order pursuant to rule 46.1(8) of the Magistrates
Court Civil Rules 1992 that paragraphs 2 (except in so far
as it contains admissions), 6, 7 and 8 of the defence filed
herein on 2nd February 1993 be struck out.
2. (An) order that summary judgment be entered in favour of
the plaintiff for the amount claimed in paragraph 15 of the
Particulars of Claim ..." 9. He subsequently allowed $900 for interest. The appellant (defendant) appeals to this Court on the following amended grounds:
"1 That the learned Special Magistrate erred in law in
determining that the defendant had no arguable defence.
2 That the learned Special Magistrate erred in law in
determining that the Court and that the defendant were
estopped from asserting that the worker was incapacitated
for work during the period from the lst day of May 1991
until the lst day of January 1992.
3 That the learned Special Magistrate erred in law in
concluding that there was no reasonable prospect of the
defendant's submissions or evidence being accepted.
4 The learned Special Magistrate erred in law in failing to
provide the defendant with any opportunity to properly and
fully present argument and authority on the question of
whether or not the determination of the Review Officer made
on the 13th day of December 1991 estopped the defendant from
asserting that he was incapacitated for work from 1/5/91
until 1/1/92.
5 The learned Special Magistrate erred in law in failing to
allow the defendant to present argument and evidence that he
was incapacitated for work as the result of injury during
the period from 1st day of May 1991 until the lst day of
January 1992." 10. The appellant asks that the judgment against him be set aside, and that the matter be remitted for hearing before the Magistrates Court. 11. On 4 April, 1991 the Manager of the respondent wrote the following letter to the appellant:
"We have received a medical certificate from Drs. Hallpike
and North who is a Recognised Medical Expert. We enclose a
copy of that certificate for your information. You will see
from that certificate that the above Medical Expert has
certified that you have ceased to be incapacitated for work.
Section 36(l) of the Workers Rehabilitation and Compensation
Act 1986 provides that weeklypayments of Income Maintenance to a
worker who has suffered a compensable disability shall not be
discontinued unless the Corporation is satisfied on the basis
of a Certificate from a Medical Expert, that the worker has
ceased to be incapacitated for work. On the basis of the
above medical certificate the Corporation is satisfied that you
have ceased to be incapacitated for work. The Corporation has
decided to discontinue your weekly payments of Income
Maintenance. This letter serves as notice to you that at the
expiration of 21 days from the receipt by you of this letter
your weekly payments of Income Maintenance will be
discontinued. If you dispute our decision to discontinue your
weekly payments, you have the right to have our decision
reviewed. Section 95(4) of the Act provides that 'an
application for review must be in the prescribed manner and
form and must be made within one month after the person
applying for the review receives notice of the decision to
which the review relates unless the Corporation, in its
discretion, allows an extension of time for making the
application.' We enclose a pamphlet which sets out in more
detail the procedures to be followed on an application for
review and your rights on review. Should you apply for a
review of the Corporation's decision weekly payments of Income
Maintenance will continue to be made until the Review Officer
has made a decision on this matter. However we point out that
pursuant to Section 36(5) of the Act if the Review Officer
decides that weekly payments of Income Maintenance should be
discontinued any amount which has been paid to you after the
above 21 day period as a consequence of your application for
review may be recovered from you as a debt. Should you have
any difficulty understanding the content and/or implications of
this letter, please contact Mr. Schulz on 233-2176 so we can
discuss this matter. Yours faithfully, (Signed) Michael
Reardon. Manager." 12. Notwithstanding the wording of the letter, it is agreed that Mr. Reardon enclosed two reports, one from Dr. Hallpike dated 10 December, 1990 and one from Mr. Brian North dated 26 February, 1991. 13. The appellant applied for a review on 17 April, 1991 and his application stated:
"I, JOHN WILLIAM LICCIONE of 29 Lamorna Terrace, Largs
North being a person who is dissatisfied by the following
decision made on the 4th day of April 1991, Determination of
WorkCover Corporation to discontinue the applicants weekly
payments of income maintenance. APPLY to the Corporation for
a review of the decision. The reasons for my application are
as follows: (a) The applicant is incapacitated for work as a
result of disability which he sustained in the course of his
employment with Caltex Oil Pty Ltd in the month of March
1989." 14. The appellant's application for a review of the respondent's decision was heard on 23 August, 2 and 21 October, and ll November. Review Officer Player-Brown's determination is dated 13 December, 1991. 15. It is convenient to mention here that before the Review Officer commenced her hearing, the claim of the appellant against his employer Caltex Oil (Australia) Pty. Ltd. for damages for the injuries he sustained on 28 March 1989 was heard in the District Court of Adelaide by his Honour Judge Lowrie. His Honour heard evidence on 6 and 7 August, 1991. In addition to giving evidence himself, the appellant called his wife, a surgeon, Mr. Glenn McCulloch, and his general practitioner, Dr. J.A.B. Ramsey. The employer called Mr. North and Dr. J.A. Wayte, a general practitioner, who saw the appellant several times in March and April 1989. 16. Dr. Hallpike was not called, but it appears that he may have been away. Judge Lowrie delivered judgment on 14 August, 1991. He awarded the appellant $18,000 damages, made up of $12,000 for past and $6,000 for future pain and suffering. I note that at the time relevant to his Honour's decision, s.54(1) of the Act then provided:
"54.(l) Subject to subsection (2), no liability attaches
to an employer in respect of a compensable disability
arising from employment by that employer except -
(a) a liability under this Act; or
(b) a liability at common law for non-economic loss or
solatium." 17. His Honour was not required to assess loss of earning capacity (if any). 18. The Review Officer had a copy of the transcript of the hearing before Judge Lowrie and of his judgment. She also had a report from Dr. Ramsey dated 26 December, 1990, and two reports from Mr. McCulloch dated 3 November, 1989 and l5 June, 1990, reports from Mr. Brian North dated 3 November, 1983, 2 July, 1984, 2 October, 1984, 28 March, 1985, 11 December, 1990, 26 February, 1991, and a report from Dr. Hallpike dated 10 December, 1990, together with interrogatories and answers in an earlier action in the Supreme Court of South Australia, No. 1230 of 1985, between the appellant and Messenger Press Pty. Ltd. The appellant gave evidence before the Review Officer, and the respondent called Dr. Hallpike. 19. The Review Officer concluded her determination with these words: "Pursuant to Section 96 of the Act, I confirm the decision of the WorkCover Corporation dated 4th April, 1991 to discontinue weekly payments of income maintenance to the worker pursuant to Section 36(1)(b) of the Act." 20. The appellant appealed from that determination to the Workers Compensation Appeals Tribunal, and sought an order setting aside the determination. The appeal was heard by his Honour Judge Allan (Deputy President), Mrs. L Day (Member) and Mr. K. Doyle (Member). On 27 April, 1992, the Tribunal dismissed the appeal. In the course of their reasons, the Tribunal said:
"Although the Review Officer did not say so explicitly we
think the only reasonable inference is that in reaching her
conclusions she did not accept the evidence of the worker as to
the extent of his symptoms and disability. She said at p.8 of
her reasons for determination, that, and I quote: 'In light of
the worker's less than candid demeanour in relation to providing
a complete history to doctors, I find that the worker's evidence
as to incapacity needs to be considered in the context of the
overall medical evidence presented.'
It is clear that the Review Officer accepted that the
applicant had some symptoms but that those symptoms were not to
the extent complained of by him and did not produce the
disability complained by him. These findings were open on the
evidence and they depend largely on the view taken of the
applicant's evidence. It was a matter of credibility. The
Review Officer had the opportunity denied to us of seeing the
applicant give evidence and be cross examined and was in a
position to form an opinion as to his credibility on that basis
and after making those observations and against the background
of the evidence as a whole. In those circumstances we think we
are unable to interfere with the conclusions reached by her.
For these reasons the appeal is dismissed." 21. It is convenient now to set out some other relevant sections of the Act, some of which are directly relevant in considering the appeal, and some of which are relevant in considering several of the cases cited in argument on the appeal:
"77b.(l) The Governor may, on the recommendation of the
Minister, appoint a person to the office of Chief Review
Officer and appoint such other persons as the Minister
considers necessary for the proper administration of the system
of review established by this Act to the office of Review
Officer.
(2) Subject to subsection (3), the Minister may not recommend a
person for appointment as the Chief Review Officer or as a
Review Officer until that person has been interviewed by a
committee established by the Minister (which must include at
least one member of the board appointed under section 8(1)(b)
(or the deputy of such a member) and at least one member of the
board appointed under section 8(1)(c) (or the deputy of such a
member)), and the committee has reported to the Minister on the
suitability of the prospective appointee for appointment.
(3) Subsection (2) does not apply in relation to the
appointment of a person who has previously held office as a
Review Officer.
77c.(1) A Review Officer is to be appointed for a term of five
years and is, on the expiration of a term of office, eligible
for reappointment.
(2) The salary and conditions of office of a Review Officer are to
be as determined by the Governor.
(3) A person ceases to hold office as a Review Officer if the
person -
(a) resigns by notice in writing addressed to the Minister; or
(b) completes a term of office and is not reappointed; or
(c) is removed from office by the Governor on the ground of
misconduct, neglect of duty, incompetence or mental or physical
incapacity to carry out official duties satisfactorily.
(4) A review Officer is not a member of the Public Service.
(5) Unless otherwise determined by the Governor in the relevant
instrument of appointment, a Review Officer is an employee within
the meaning of the Superannuation Act 1988.
(6) A Review Officer incurs no liability for an honest act or
omission in carrying out or purportedly carrying out official
functions.
78. There shall be a Workers Compensation Appeal Tribunal.
79.(l) The Tribunal consists of -
(a) the President of the Industrial Court, who will be the
President of the Tribunal;
(b) the Deputy Presidents of the Industrial Court, who will
be Deputy Presidents of the Tribunal;
and
(c) such persons (if any) as the Governor may appoint on the
nomination of the Minister as additional Deputy Presidents of
the Tribunal.
(2) A person is not eligible for appointment as a Deputy
President of the Tribunal unless that person is a legal
practitioner of at least seven years standing.
(3) Before nominating a person for appointment as a Deputy
President of the Tribunal, the Minister must consult with the
United Trades and Labour Council and with associations that
represent the interests of employers.
* * *
(5) A member of the Tribunal may be appointed on a permanent or
acting basis.
(6) A person appointed to the Tribunal will cease to be a
member of the Tribunal if that person -
(a) attains the age of 65 years;
(b) resigns by notice in writing addressed to the Minister;
(c) in the case of a member appointed on an acting basis -
completes the term for which the member was appointed;
or
(d) is removed from office by the Governor on the ground of
misconduct, neglect of duty, incompetence or mental or
physical incapacity to carry out satisfactorily duties of
office.
(7) A member of the Tribunal shall be entitled to such
fees, allowances and expenses as the Governor may approve.
80.(1) For the purpose of any proceedings, the Tribunal
will, in accordance with the direction of the President or
the rules of the Tribunal, be constituted of -
(a) one member of the Tribunal; or
(b) three members of the Tribunal.
(2) Where the Tribunal is constituted by three members, a
decision in which any two members concur is a decision of
the Tribunal." 22. It is convenient here to point out that the phrase "Review Authority" is defined in s.3 of the Act to mean: "(a) a Review Officer appointed for the purposes of this Act; or (b) the Tribunal." 23. I now continue my quotation of the relevant sections:
"88.(1) In proceedings under this Act, a review authority -
(a) shall act according to equity, good conscience and the
substantial merits of the case without regard to
technicalities and legal forms;
and
(b) is not bound by any rules of evidence, but may inform
itself on any matter in such manner as it thinks fit.
(2) A review authority may refer any technical or
specialized matter to an expert and accept that expert's
report as evidence.
(3) Where an expert's report is obtained under subsection
(2), the expert must, if a party to the proceedings so
requests, be called for examination or cross-examination on
the subject matter of the report.
(4) A review authority must, in conducting its proceedings
under this Act, act as expeditiously as possibly.
89.(1) Reasonable notice shall be given to a party to
proceedings before a review authority of the time and place at
which the authority is to hear those proceedings.
(2) A party must be afforded a reasonable opportunity to make
submissions to the review authority and, in the case of
proceedings before a Review Officer, a reasonable opportunity to
call or give evidence and to examine or cross-examine witnesses
(but a Review Officer is not obliged to hear evidence from a
witness - either generally or on a particular subject - if
satisfied that the evidence is not relevant, or if of the
opinion that the evidence would merely provide unnecessary
corroboration of other evidence admitted by the Review Officer).
(2a) A review authority may require evidence or argument to be
presented in writing, and may decide the matters on which it
will hear oral evidence or argument.
(3) If a party does not attend at the time and place fixed by
the notice, the review authority may hear the proceedings in the
absence of that party.
90.(1) In the exercise of its powers or functions, a review
authority may -
(a) by summons signed by or on behalf of the authority,
require the attendance before the authority of any person;
(b) by summons signed by or on behalf of the authority,
require the production of any relevant document, object or
material;
(c) require any person to make an oath or affirmation truly
to answer all questions put by the authority, or any person
appearing before the authority;
and
(d) require any person appearing before the authority to
answer any relevant questions put by the authority, any
member of the authority or by any person appearing before
the authority.
***
(3) If any person -
(a) who has been served with a summons to attend before a
review authority fails without reasonable excuse to attend
in obedience to the summons;
(b) who has been served with a summons to produce any
document, object or material, fails without reasonable
excuse to comply with the summons;
(c) misbehaves before a review authority, wilfully insults a
review authority or any member of such an authority, or
interrupts the proceedings of a review authority;
(d) refuses to be sworn or to affirm, or to answer any
relevant question when required to do so by a review
authority, that person shall be guilty of an offence and
liable to a penalty not exceeding $1 000.
(4) A person shall not be obliged to answer a question under
this section if the answer to that question would tend to
incriminate that person of an offence, or to produce any
document, object or material if it or its contents would
tend to incriminate that person of an offence.
(5) In the course of any proceedings, a review authority
may -
(a) receive in evidence any transcript of evidence in
proceedings before a court or tribunal and draw any
conclusions of fact from the evidence that it considers
proper;
or
(b) adopt any findings, decision or judgment of a court or
tribunal that may be relevant to the proceedings.
(6) Where -
(a) the native language of a person who is to give oral
evidence in any proceedings before a review authority is not
English;
and
(b) the witness is not reasonably fluent in English, the person
is entitled to give that evidence through an interpreter.
(7) A person may present written evidence to a review authority
in a language other than English if that written evidence has
annexed to it -
(a) a translation of the evidence into English;
and
(b) an affidavit by the translator to the effect that the
translation accurately reproduces in English the contents of the
original evidence.
92.(1) A person is entitled to appear personally, or by
representative, in proceedings before a review authority subject
to the qualification that a person is not entitled to be
represented by -
(a) a member, or deputy member, of the board;
or
(b) a person whose name has been struck of the roll of legal
practitioners or who, although a legal practitioner, is not
entitled to practice the profession of law because of
disciplinary action taken against him or her.
(2) Representation will not be allowed before a Medial Advisory
Panel (although a worker who is to appear before a Medical
Advisory Panel is entitled to be accompanied by a relative or
friend to provide advice and moral support).
95.(1) A person who is directly affected by a decision that is
reviewable under subsection (2) may apply for a review of the
decision.
(2) The following decisions are reviewable -
(a) - (b) ...
(c) a decision to vary suspend or discontinue weekly
payments;
(d) - (da) ...
(3) - (5) ...
(7) Where -
(a) the Corporation fails to resolve the questions in issue
by agreement;
or
(b) the questions in issue have not been resolved after 14
days from the date on which the application is first received by
the Corporation and the applicant requests the reference of
those questions to a Review Officer, the application for review
shall be referred to a Review Officer.
96.(1) Where an application for review is referred to a Review
Officer, the Review Officer shall conduct a review of the
decision to which the application relates.
(1a) A party to proceedings before a Review Officer must
disclose to the Review Officer and all other parties to the
proceedings the existence of all material in the party's
possession or power that may be relevant to the proceedings and
must, if the Review Officer so requests, produce all or any of
that material to the Review Officer.
(2) On a review under this section, the Review Officer shall
make a fresh determination of the matters to which the decision
subject to review relates.
***
(4) Where the Review Officer arrives at a decision that differs
from the decision under review, the decision of the Review
Officer shall take effect in substitution for that decision.
97.(1) An appeal lies to the Tribunal against a decision by a
Review Officer on a review.
(2) Such an appeal may be instituted by -
(a) any person directly affected by the decision;
(b) the employer, or former employer, of a worker directly
affected by the decision;
or
(c) the Corporation.
(3) An appeal must be in the prescribed manner and form and must
be instituted within one month after the appellant receives
notice of the decision of the Review Officer unless the Tribunal
allows a longer time for the institution of the appeal.
(4) A notice of appeal must state with reasonable particularity
the grounds of appeal and the relief sought on the appeal.
(4a) The Registrar must notify the Review Officer of the
institution of an appeal.
(4b) The Review Officer must, as soon as practicable after
receiving notification under subsection (4a), send to the
Registrar of Review Authorities -
(a) any application, documents, written submissions,
statements, reports, and other papers lodged with, or received
by, the Review Officer during the course of the earlier
proceedings;
(b) any relevant exhibits in the custody of the Review Officer;
(c) a copy of any notes of evidence made by or at the direction
of the Review Officer during the course of the earlier
proceedings;
and
(d) a copy of the decision appealed against.
(4c) The Tribunal may, on an appeal under this section -
(a) examine any papers, exhibits and notes submitted under
subsection (4b) and draw any conclusions of fact from them it
considers proper;
(b) direct the Review Officer to furnish a report (which must
be made available to the parties to the appeal) on any aspect
of the subject matter of the appeal.
(4d) Subject to subsection (4e), the Tribunal has a discretion
to rehear the whole or any part of the evidence taken before
the Review Officer, or to take further evidence.
(4e) The Tribunal must, on the application of a party to the
appeal -
(a) rehear evidence taken before the Review Officer if the
evidence is relevant to the appeal and the record of the
evidence is incomplete or inaccurate in a material particular;
(b) hear oral evidence relevant to the appeal from a witness
from whom evidence was taken in documentary form by the Review
Officer;
(c) take further evidence if the evidence is relevant to the
appeal and the party seeking to introduce it could not
reasonably be expected to have done so in the proceedings
before the Review Officer;
(d) take evidence if -
(i) the evidence is relevant to the appeal;
and
(ii) there is some substantial reason for admitting the evidence
in the interests of justice.
(4f) A party must be afforded a reasonable opportunity to
examine or cross-examine witnesses appearing before the
Tribunal.
(5) On an appeal under this section, the Tribunal may -
(a) confirm, vary or reverse the decision under appeal;
(ab) refer the subject matter of the appeal, or any matter
arising in the course of the appeal, back to a Review Officer
with such directions or suggestions as the Tribunal thinks fit
to make;
(b) make incidental or ancillary orders.
***
(8) On an appeal to the Tribunal under this section against a
decision of a Review Officer, the Tribunal may, on such terms
and conditions as it thinks fit, order that the operation of
the decision subject to the appeal be stayed wholly or in part
until the appeal is decided or until further order by the
Tribunal." 24. Section 100 states that a party to proceedings before the Tribunal may, by leave of the Supreme Court, appeal against a decision of the Tribunal in those proceedings, but the appeal shall be limited to a question of law and shall be heard and determined by the Full Court. 25. The appellant did not seek leave of the Supreme Court to appeal from the decision of the Tribunal. 26. Counsel for the appellant, Mr. Bourne, first argued that issue estoppel did not apply to decisions of a Review Officer, even when upheld by the Tribunal. He sought to rely on Bede v. Commonwealth Hostels Ltd. (1980) 4 NTR 31, (to be found in 30 ALR). I take the facts from the headnote which reads:
"The plaintiff alleged that on 19 March 1976, in the course
of his employment by the defendant, he was lifting and stacking
cartons of meat in a freezer room when he slipped because of
the icy and slippery condition of the floor and that, as a
consequence, he injured his back. The plaintiff claimed
damages, alleging further that the defendant, by permitting ice
to form on the floor of the freezer, was guilty of a breach of
a contract with him. In his reply to the defence the
plaintiff claimed that, as a result of an award dated 26 May
1977 made by the Northern Territory Workmen's Compensation
Tribunal, the defendant was estopped in the present action from
denying certain facts found by the Tribunal." 27. Forster CJ said at pp.32-33,:
"Can issue estoppel arise from the findings of the
Workmen's Compensation Tribunal? What is the nature of the
tribunal? The president at the time of the relevant hearing was
a stipendiary magistrate holding office under the Justices
Ordinance 1970-77. The tribunal must consist of not less than
three members the other two being appointed by the
Administrator-in-Council. Section 6B of the Workmen's
Compensation Ordinance in force at the relevant time was as
follows:-
6B.(1) The Tribunal has power to hear and determine claims for
compensation under this Ordinance and all matters and questions
incidental to or arising out of claims for compensation under
this Ordinance.
(2) The Tribunal may, in writing under the hand of a member of
the Tribunal, summon a person to attend the Tribunal at a time
and place mentioned in the summons and then and there to give
evidence and to produce any books, documents and other papers in
his custody or control that he is required by the summons to
produce.
(3) A summons under sub-section (2) shall be served on the
person to whom it is addressed by delivering it to him
personally or by leaving it with some apparently responsible
person for him at his last or most usual place of abode.
(4) The Tribunal may -
(a) summon a medical referee to sit with it as an assessor;
(b) submit to a medical referee for report any question or
matter before the Tribunal;
(c) administer an oath or affirmation to any person appearing as
a witness before the Tribunal; and
(d) adjourn the proceedings before it to any time and place.
6D. At the hearing of a proceeding -
(a) the procedure of the Tribunal is, subject to this Ordinance,
within the discretion of the Tribunal;
(b) the Tribunal is not bound to act in a formal manner and is
not bound by the rules of evidence but may inform itself on any
matter in such manner as it thinks fit; and
(c) the Tribunal shall act without regard to technicalities and
legal forms.'
Section 6E provides that parties may appear personally or be
represented by a barrister or solicitor or by any other person
authorized in writing. Where a tribunal makes a determination
awarding an amount of money to a person and the amount is not
satisfied, then the person may obtain a certificate of the award
and file it in the local court where on payment of the
appropriate fee the clerk of the local court shall enter
judgment for the person as if the award were a judgment of the
local court (s 6P). Section 6Q provides for the punishment of
persons served with a summons to attend the tribunal who do not
attend or produce books, documents and other papers if so
required. Section 6R provides for the punishment of a person
appearing as a witness before the tribunal who declines to be
sworn or make affirmation or declines to answer a question
except a question tending to criminate himself. Section 6S
provides for the punishment of a witness before the tribunal who
gives false testimony. Section 6T proscribes a person from
hindering, obstructing, deceiving or misleading a member of the
tribunal in the discharge of his functions under the Ordinance.
Can the tribunal be said to be a 'judicial tribunal' in the
sense necessary to found an argument that issue estoppel may
arise with respect to its findings? Unaided by authority I
should have said that it is such a tribunal. It is true that
it is not bound by the rules of evidence and should act without
regard to technicalities and legal forms and its determinations
require registration in a local court before they can be
enforced. But in other respects it acts like a court and is
presided over by a person who is legally trained and qualified
and who is also at other times a judicial officer. The
tribunal is competent to decide in the first instance disputes
as to the compensation of workmen properly before it and indeed
it is the only tribunal in the Northern Territory to be so
competent. What then of the authorities? In Somodaj v
Australian Iron and Steel Ltd (1961) SR (NSW) 305 the Full Court
of the Supreme Court of New South Wales decided that the
Workers' Compensation Commission in New South Wales exercises
judicial functions and exercises them as a court. Owen J says
at p 307: 'It is true that the Commission has a number of
administrative functions but in hearing and determining issues
arising between worker and employer as to the right to receive
and the liability to pay compensation the Commission exercises
judicial functions and exercises them as a court. It is
declared to be a court of record (s 31(l)). Its members hold
office during 'ability and good behaviour'. They are given the
rank, title, status and precedence and the same salary as a
District Court Judge and are removable from office in the same
manner only as a District Court judge is by law liable to be
removed from office (s 31(3)). They take the judicial oath (s
31(5)). Their powers to summon witnesses and receive evidence
are those conferred upon a Commissioner appointed under Division
l of Part II of the Royal Commissions Act 1923 s 34(l); and in
addition they are vested with all such powers, rights and
privileges as are vested in a District Court or any judge
thereof in or in relation to any action or trial, in respect of
matters such as compelling the attendance of witnesses,
compelling witnesses to answer questions and punishing persons
who disobey an order or summons of the Commission (s 34(2)).
The Commission is given exclusive jurisdiction to hear and
determine all matters and questions that arise under the Act and
its decision is declared to be final (s 36(l)), subject to its
right to reconsider any matter with which it has dealt and to
rescind, alter or amend any decision or order previously made (s
36(2)).' This decision was upheld by the High Court ((1963) 109
CLR 285). As will readily be seen, the New South Wales
Commission has more of the characteristics of a court than the
Northern Territory Tribunal. This Commission may be taken as
being at the top of the scale of judicial character.
Considerably lower down, perhaps at the bottom, is the
Commissioner under the Commonwealth Employees' Compensation Act,
at least as he existed in 1966. In Pastras v Commonwealth
(1966) 9 FLR 152, Lush J says, at p 155: 'The underlying
principle of this form of estoppel is that parties who have had
a dispute heard by a competent tribunal should not be allowed to
litigate the same issues in other tribunals. When the
decision-making body is an administrative body not affording the
opportunity of presenting evidence and argument, it seems to me
there is no room for the operation of this principle.' The
Northern Territory Tribunal, of course, whilst falling short of
the full judicial character of the New South Wales Commission,
does afford the opportunity of presenting evidence and argument,
and if these were the sole criteria then the Northern Territory
Tribunal would have the judicial character necessary to give
rise to issue estoppel with respect to its essential findings.
In Dare v Dietrich (1979) 26 ALR l8, Deane J with whom
Muirhead and Lockhart JJ concurred, says at pp 32-3: 'Section 6D
of the Ordinance provides that, subject to the Ordinance, the
tribunal's procedure is within its own discretion, that the
tribunal will act without regard to technicalities and legal
forms and that the tribunal is not bound by the rules of
evidence "but may inform itself on any matter such as it thinks
fit". These provisions make it clear that, while the tribunal
is, no doubt, under an obligation to act with judicial
detachment and fairness, the proceedings before the tribunal are
not governed by the ordinary principals relating to the
determination of disputed questions of fact by a judicial
tribunal.' It is true that his Honour was there considering
whether or not an appeal from the Northern Territory Workmen's
Compensation Tribunal heard by this court constituted a hearing
de novo enabling the parties to call further evidence which had
not been called before the tribunal, but I find the reasoning
compelling and I therefore find that the Northern Territory
Workmen's Compensation Tribunal is not a tribunal with respect
to the findings of fact of which issue estoppel may arise." 28. Unfortunately, Forster CJ was not referred to The Administration of the Territory of Papua and New Guinea v. Daera Guba (1973) 130 CLR 353. In 1954, a Land Board set up under s.9 of the Land Ordinance Act 1911 to decide disputes as to the ownership of land determined that the Administration was the owner of certain land. At p.402, in a judgment with which McTiernan J agreed, Barwick CJ said:
"In my opinion, therefore, it is abundantly clear that a
Board appointed pursuant to s.9 of the Ordinance was not limited
to dealing with waste lands which had been dealt with or fell to
be considered under s.8. Power was given to the Board to
decide ownership in the case of all disputes on that question.
'All' in this context means 'any' dispute where a Papuan was a
claimant. The significant point of s.9 is that the power is to
appoint a Board which is to decide. The obligation to act
judicially comes from the power to decide the rights of
individuals. The Board was, in my opinion, quite clearly a
tribunal which, having power to decide such rights, was a body
to which the prerogative writs would have gone. It was bound
to observe the rules of natural justice, even though it might
act according to equity and good conscience and not be bound by
rules of legal procedure. Though freed of technical rules the
Board was bound by legal principles in the decision of such a
question as the ownership of land. It was not given power to
award land to a person who in its opinion did not own it. Its
task, if it was to decide ownership, was to ascertain the
existing facts and apply the existing law to those facts in
order to decide who did own the land. That, to my mind, is
clearly work of a judicial nature and a decision as to the
ownership must of necessity, subject to appeal, be final as
between the parties before the Court or who, being duly
notified, could have been before it." 29. Gibbs J, (as he then was), said at p.453 (Menzies and Stephen JJ concurring):
"In many of the authorities that discuss (issue estoppel)
it is said that the estoppel is brought about by a judicial
decision, pronounced by a judicial tribunal. Thus in a recent
case, Carl Zeiss Stiftung v. Rayner and Keeler Ltd. (No.
2) (1967) l AC 853, at p 933, Lord Guest said: 'The rule of
estoppel by res judicata, which is a rule of evidence, is that
where a final decision has been pronounced by a judicial
tribunal of competent jurisdiction over the parties to and the
subject-matter of the litigation, any party or privy to such
litigation as against any other party or privy is estopped in
any subsequent litigation from disputing or questioning such
decision on the merits (Spencer Bower on Res Judicata, p.3).'
The use of the phrase 'judicial tribunal' in this context is
convenient as indicating that an estoppel of this kind does not
result from a mere administrative decision, but the question
whether such an estoppel is raised is not answered by inquiring
to what extent the tribunal exercises judicial functions, or
whether its status is judicial or administrative: see Caffoor v
Commissioner of Income Tax, Colombo, per Lord Radcliffe (1961)
AC 584 at pp.597-599. A fairly obvious example is the case of
a court-martial, whose sentence might in some circumstances be
pleaded as an estoppel (Hannaford v. Hunn (1825) 2 C and P
148, at p 155 (172 ER 68 at p 71)), although not made in the
exercise of judicial power (cf R. v. Bevan ; Ex parte
Elias and Gordon (1942) 66 CLR 452, at pp 466-468; R. v. Cox; Ex
parte Smith (1945) 71 CLR l, at p 23). The doctrine of
estoppel extends to the decision of any tribunal which has
jurisdiction to decide finally a question arising between
parties, even if it is not called a court, and its jurisdiction
is derived from statute or from the submission of parties, and
it only has temporary authority to decide a matter ad hoc: see
Halsbury's Laws of England, 3rd ed., vol. 15, pp.212-214;
Spencer Bower and Turner on Res Judicata, 2nd ed. (1969),
pp 21-28. It will accordingly not be necessary to canvass the
authorities to which we were referred, and which deal either
with issue estoppel or with the nature of judicial power." 30. I note that the Editors of the loose leaf "Cross on Evidence", Aust. Edn., after referring to the case just cited, state at p.5009: "In so far as Bede v. Commonwealth Hostels expresses a contrary view, it should not be considered good law". And I note that it was not followed in David Jones (Canberra) Pty Ltd v. Zapasnik (1982) 42 ACTR 6. Gallop J there held that the ACT Court of Petty Sessions exercising jurisdiction under the Workmen's Compensation Ordinance is a court of competent jurisdiction for the purpose of the doctrine of issue estoppel. At p.14 he said:
"In my view the fact that the procedure of the court is not
governed by the ordinary principles relating to the disputed
questions of fact by a judicial tribunal does not conclude the
question whether the Court of Petty Sessions exercising
jurisdiction under the Workmen's Compensation Ordinance is a
court of competent jurisdiction. It is a competent court
exercising judicial functions." 31. I was also referred to the case of Milojevic v ROH Industries Pty Ltd
(1991) 56 SASR 78, where Debelle J held that the principles concerning the question of issue estoppel applied to judgments of the former Industrial Court, (pp.81-82). He was concerned there with a claim for compensation pursuant to the Workers Compensation Act 1971, s.21 of which provided that the Industrial Court of South Australia had jurisdiction to hear and determine claims for compensation under the Act. That Court was constituted by the Industrial Conciliation and Arbitration Act, and bore substantially more resemblance to the New South Wales Worker's Compensation Commission considered in the Somodaj case (supra), (see ss.21 and 24 of the Workers Compensation Act 1971 and see s.8(2) of the Industrial Conciliation and Arbitration Act, pursuant to which the Court was continued as a court of record, and s.9 thereof, dealing with the appointment of the President and one or more Deputy Presidents). I also note that although s.28(5), which applied to the Industrial Commission, is in similar terms to s.88 of the WorkersRehabilitation and Compensation Act 1986, there was no similar provision applying to the Industrial Court. 32. Finally, I was referred to a decision of the Workers Compensation Appeal Tribunal, namely, Pivovaroff v. Adelaide Powder Coaters Pty Ltd and Others No. A39/1993 dated 30 June, 1993, where the Tribunal (constituted by Stanley J and two lay members) held that a worker was estopped by an earlier decision of the Tribunal. 33. I add a reference to Cachia v. Isaacs (1985) 3 NSWLR 366 where the Court of Appeal had to consider findings of the Consumer Claims Tribunal, (see per Kirby P at p 368, per Hope JA at pp 380-382 and per McHugh JA (as he then was) in dissent at pp.386-390). 34. Having carefully considered the authorities and the arguments on either side, I have reached the conclusion that issue estoppel does apply to decisions of a Review Officer. It matters not, on the High Court's decision, supra, that a Review Officer is freed of technical rules (s.88). A Review Officer has power to receive evidence (s.89), to summon witnesses (s.90(l)(a)), to compel a witness to answer questions (s.90(l)(d)) and to punish a refusal to answer (s.90(3)). Parties before a Review Officer have the right to be represented (s.92). A Review Officer decides the rights of individuals, and subject to appeal, the decision is final as between the parties before him. 35. Next, Mr. Bourne argued that even if issue estoppel does apply to such decisions, the Review Officer had not made a finding that the appellant was incapacitated for work as a storeman between l May 1991 and l January 1992. I observe here that this argument was not made a ground of appeal to the Tribunal. Mr. Bourne referred me to the well-known and illuminating passage in the judgment of Dixon J (as he then was) in Blair v. Curran (1939) 62 CLR
464 at pp 531-533, where his Honour said:
"A judicial determination directly involving an issue of
fact or of law disposes once for all of the issue, so that it
cannot afterwards be raised between the same parties or their
privies. The estoppel covers only those matters which the
prior judgment, decree or order necessarily established as the
legal foundation or justification of its conclusion, whether
that conclusion is that a money sum be recovered or that the
doing of an act be commanded or be restrained or that rights be
declared. The distinction between res judicata and
issue-estoppel is that in the first the very right or cause of
action claimed or put in suit has in the former proceedings
passed into judgment, so that it is merged and has no longer an
independent existence, while in the second, for the purpose of
some other claim or cause of action, a state of fact or law is
alleged or denied the existence of which is a matter necessarily
decided by the prior judgment, decree or order. Nothing but
what is legally indispensable to the conclusion is thus finally
closed or precluded. In matters of fact the issue-estoppel is
confined to those ultimate facts which form the ingredients in
the cause of action, that is, the title to the right
established. Where the conclusion is against the existence of
a right or claim which in point of law depends upon a number of
ingredients or ultimate facts the absence of any one of which
would be enough to defeat the claim, the estoppel covers only
the actual ground upon which the existence of the right was
negatived. But in neither case is the estoppel confined to the
final legal conclusion expressed in the judgment, decree or
order. In the phraseology of Coleridge J in R. v. Inhabitants
of the Township of Hartington Middle Quarter (1855) 4 E and B
780, at p 794 (119 ER 288, at p 293), the judicial determination
concludes, not merely as to the point actually decided, but as
to a matter which it was necessary to decide and which was
actually decided as the groundwork of the decision itself,
though not then directly the point at issue. Matters cardinal
to the latter claim or contention cannot be raised if to raise
them is necessarily to assert that the former decision was
erroneous. In the phraseology of Lord Shaw, 'a fact
fundamental to the decision arrived at' in the former
proceedings and 'the legal quality of the fact' must be taken as
finally and conclusively established (Hoystead v Commissioner of
Taxation (1926) AC 155). But matters of law or fact which are
subsidiary or collateral are not covered by the estoppel.
Findings, however deliberate and formal, which concern only
evidentiary facts and not ultimate facts forming the very title
to rights give rise to no preclusion. Decisions upon matters
of law which amount to no more than steps in a process of
reasoning tending to establish or support the proposition upon
which the rights depend do not estop the parties if the same
matters of law arise in subsequent litigation. The difficulty
in the actual application of these conceptions is to distinguish
the matters fundamental or cardinal to the prior decision or
judgment, decree or order or necessarily involved in it as its
legal justification or foundation from matters which even though
actually raised and decided as being in the circumstances of the
case the determining considerations, yet are not in point of law
the essential foundation or groundwork of the judgment, decree
or order." 36. To understand the arguments, it is necessary to set out s.36 of the Act, in so far as it is material:
"36.(1) Subject to this Act, weekly payments to a worker
who has suffered a compensable disability shall not be
discontinued unless -
(a) ...
(b) the Corporation is satisfied, on the basis of a
certificate of a recognized medical expert, that the worker
has ceased to be incapacitated for work by the compensable
disability;
(c) - (e) ...
(2) ...
(3) Where the Corporation decides to discontinue or reduce
weekly payments in pursuance of this section, the
Corporation must give notice in writing to the worker
stating the reasons for the Corporation's decision and
informing the worker of the worker's right to have the
decision reviewed.
(3a) ...
(4) Where a Review Officer is, on the application of a
worker, to review the Corporation's decision under this
section, the decision is inoperative until the review is
completed and if the decision has already taken effect, the
Corporation must immediately -
(a) reinstate the weekly payments to their previous level;
and
(b) pay to the worker any amounts withheld in consequence of
the decision under review.
(5) Where on a review referred to in subsection (4) weekly
payments are discontinued or reduced, any amounts to which
the worker would not have been entitled but for the
operation of subsection (4) may, subject to the regulations,
be recovered from the worker as a debt.
(6) - (12) ..." 37. At the commencement of her determination on 13 December, 1991, the Review Officer said
"The application seeks to review a decision of the Workers'
Rehabilitation and Compensation Corporation ('the
Corporation') dated 4th April, 1991 with respect to the
discontinuance of weekly payments of income maintenance.
Pursuant to Section 36(l) of Workers' Rehabilitation and
Compensation Act, 1986 ('the Act'), the Corporation determined
to discontinue weekly payments of income maintenance on the
basis of medical certificates from Mr. Hallpike and Mr.
North." 38. Later, the Review Officer said:
"On the basis of his pain experience and consequential
restrictions and limitations, the worker maintains that he is
partially incapacitated for work. He considers himself fit to
undertake lighter work of a supervisory or sales nature and
over the last 18 months has actively sought such employment but
states that he is unable to return to storeman duties ... In
reaching my determination, I take into account all of the
evidence and submissions put to me at the hearing, the documents
on file and tendered at the hearings and the demeanour of the
applicant worker." 39. Later, she said:
"The question is whether the worker has ceased to be
incapacitated for work as a result of the compensable disability
sustained on 28th March, 1989. In light of the worker's less
than candid demeanour in relation to providing a complete
history to doctors, I find that the worker's evidence as to
incapacity needs to be considered in the context of the overall
medical evidence presented. I accept that the worker suffers
pain on occasion when manual tasks are undertaken but pain of
itself it not incapacitating. Dr Ramsey continues to provide
prescribed medical certificates but there is no evidence of any
continuing treatment or medication and the worker reports that
he is able to relieve any ensuing pain by lying down for a
period of 5-20 minutes. On the evidence before me the worker
has not seen either Mr North or Mr McCulloch for approximately
12 months, nor has he sought any further treatment. Dr North
last examined the worker on 10th December, 1990 and recorded
the worker's complaints of continuing lower back pain related
to lifting and heavy work and noted mild restriction of back
flexion. Even so, on the basis of his findings he formed the
opinion that the worker had recovered from the effects of the
temporary aggravation. Two months previously, Mr. Hallpike
examined the worker on 18th October, 1990, and again recorded
relatively slight persisting symptomology but on 22nd December,
1990 certified that the worker had ceased to be incapacitated
for work. The worker sought no further treatment from Mr
McCulloch after 23rd January, 1990. At that time Mr McCulloch
found the worker 'partially incapacitated for work in that he
is unable to perform heavy labouring duties. Work of a moderate
nature is within his ability.' In giving evidence in the
District Court, Mr McCulloch was still 'optimistic given time
it will settle', but as he had not had the opportunity to review
the worker in relation to his continuing complaints as recently
as Mr North or Mr Hallpike, I prefer and give greater weight to
their opinions. In weighing the evidence, I find that the
worker suffers relatively mild restriction and persisting
symptomology but that it does not preclude him from undertaking
manual labouring work. On the balance of probabilities, I am
satisfied that the worker has ceased to be incapacitated for
work as a storeman. DETERMINATION Pursuant to Section 96 of
the Act, I confirm the decision of the WorkCover Corporation
dated 4th April, 1991 to discontinue weekly payments of income
maintenance to the worker pursuant to Section 36(1)(b) of the
Act." 40. I agree with Mr. Bourne that the Review Officer's determination lacks precision, and that it might have been preferable for her to have stated expressly that the appellant had ceased to be incapacitated for work as a storeman as and from 4 April, 1991. However, what she did say has to be understood in context, a context which includes the decision of the Corporation and the reasons therefor, (see its letter dated 4 April, 1991, supra), the application by the appellant for a review and the wording thereof (supra), the role of the Review Officer under s.96 and the wording of that section, and a proper understanding of sub-sections (4) and (5) of s.36. So understood, her determination was, in the relevant sense, conclusive, and the learned Magistrate, in my view, correctly decided that the appellant was estopped. 41. Finally, upon the view I have taken, there is no substance in the appellant's argument that the learned Magistrate did not afford the appellant a proper hearing. 42. The appeal is dismissed.
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