[2015] WADC 78
General information, not legal advice.
District Court of WA
2015-06-26
Original judgment source is linked above.
JURISDICTION : DISTRICT COURT OF WESTERN AUSTRALIA
CITATION : THOMAS -v- CHANDLER MACLEOD [2015] WADC 78
Jurisdiction : WORKERS' COMPENSATION ARBITRATION SERVICE (WA)
Worker's compensation - Appeal from Worker's Compensation Arbitration Service - Whether arbitrator gave adequate reasons for decision - Leave to appeal - Whether a question of law is involved - Proper construction of s 247(2) - Whether 'an amount of compensation is at issue' in appeal - Whether 'an amount awarded in the decision appealed against'
Allied Pastoral Holdings Pty Ltd v FCT [1983] 1 NSWLR 1
Amana Living v Soliven [2013] WADC 118
Australian Broadcasting Tribunal v Bond [1990] HCA 33; (1990) 170 CLR 321
Barrick Gold of Australia Pty Ltd v Tania Michelle Lucas [2009] WACC CT-2009
BHP Billiton Iron Ore Pty Ltd v Brady [2008] WASCA 250
Bulstrode v Trimble [1970] VicRp 104; [1970] VR 840
Catholic Education Office of WA v Granitto [2012] WASCA 266
Clarke v Royal Perth Hospital [2010] WACC C1-2010
Geraldton Building Co Pty Ltd v May [1977] HCA 17; (1977) 13 ALR 17
Hasic v Delmere Holdings Pty Ltd T/as DTMT Construction [2008] WACC C8-2010
Hawker Pacific Pty Ltd v Lang [2013] WADC 117
Mount Lawley Pty Ltd v Western Australian Planning Commission [2004] WASCA 149; (2004) 29 WAR 273
Pacific Industrial Co v Jakovljevic [2008] WASCA 60
Pedley v West Coast College of TAFE [2006] WACC C21-2006
Pollock v Wellington (1996) 15 WAR 1
Public Transport Authority v Ettie Djano [2010] C9-2010
Roney v Accommodation West Pty Ltd [2009] WACC C10-2009
Secretary to the Department of Premier and Cabinet v Hulls [1999] VSCA 117; [1999] 3 VR 331
Velez Pty Ltd v Tudor [2011] WASCA 218
Victims Compensation Fund v Brown [2002] NSWCA 155; (2002) 54 NSWLR 668
Victims Compensation Fund v Brown [2003] HCA 54; (2003) 201 ALR 260
Wainohu v New South Wales [2011] HCA 24; (2011) 278 ALR 1
1 O'NEAL DCJ: This is an appeal pursuant to s 247 of the Workers' Compensation and Injury Management Act 1981 (the Act) from a decision of an arbitrator of the Workers' Compensation Arbitration Service. The arbitrator allowed the respondent's application pursuant to s 62 of the Act and ordered that weekly payments of compensation to the appellant be discontinued.
2 In 2012 the appellant, Mr Thomas, was employed by the respondent_._ The respondent is a labour hire company.
3 On 4 July 2012 Mr Thomas was performing duties as a trades assistant for Komatsu Australia, while engaged by the employer. On that day, just a month and a day after being hired by the employer, Mr Thomas suffered an injury when he struck or bumped his head on the boom of a very large piece of stationary heavy machinery. At the time, he said, he was shifting two wheelie bins. To avoid confusion I will note that most of the medical reports and some references in the reasons give the date of this incident as 5 July.
4 The following facts, which are not in issue, are taken for the most part from the arbitrator's reasons.
5 On 5 July 2012, Mr Thomas went to see his GP and was certified as unfit for work for one week. On 6 July 2012, after a CT scan of his head, he was certified fit for restricted duties for the period 6 - 7 July 2012. When he was reassessed on 9 July 2012 he was certified fit for restricted duties. There were however no light duties available for him to perform at Komatsu Australia at that time.
6 Mr Thomas lodged a claim for workers' compensation on 17 July 2012. The form was actually completed by Mr Thomas on 6 July 2012, when he declared its contents to be true 'in substance and in fact'. According to the claim form 2B Mr Thomas said the claim was in respect to injuries 'the most serious injury' being 'bruised and strained muscles' in his 'head and neck'. On 19 July 2012 liability was accepted by the employer's insurer for these injuries. As a result Mr Thomas received weekly payments of $1,699 per week for the prescribed 13 weeks and $1,444 per week thereafter.
7 Mr Thomas was again certified fit for restricted duties until 21 September 2012. On 28 November 2012 he was certified totally unfit until 29 May 2013. On 27 June 2013 he was certified fit to commence a return to work programme and a work trial was arranged with Australind Mobile Mechanics as a trades assistant. The trial began on 6 July 2013 but was discontinued on 30 August 2013 by Australind Mobile Mechanics.
8 A second return to work trial was arranged. Mr Thomas commenced work as a store-person at Mitre 10 in Bunbury on 11 November 2013. Mr Thomas has given evidence that with both work trials he was absent on 'many duties' due to an increase in the pain he was experiencing.
9 Mr Thomas was medically reviewed on 31 December 2013, and then certified as totally unfit until 31 January 2014. That was a consequence of depression he was said to be suffering. He was subsequently admitted to Bunbury Regional Hospital Mental Health Unit from 8 - 13 January 2014.
10 In the meantime, Mitre 10 ceased trading. On 11 March 2014, Mr Thomas was certified fit to commence a work programme at Covs Parts on 26 March 2014. He was placed in a storeman or stock picking job.
11 In April 2014, when Mr Thomas signed his first witness statement in this matter, he was then engaged in the return to work programme at Covs Parts. In that statement he said that those duties increased his neck pain substantially. He said he avoided picking up heavy parts as this 'significantly increases both neck and left arm pain'. There were 'weight restrictions in place' he said. He was 'certainly unable to pick up many of the heavier items' and he required regular breaks because the job was aggravating his symptoms.
12 On 12 February 2014 an application was made on behalf of the employer pursuant to s 62 of the Act seeking a review of the weekly payments of compensation then being made to Mr Thomas. The basis of the application was that, consistently with medical opinions that had been received, Mr Thomas had sufficiently recovered from his work injuries to return to his pre-injury duties or alternative duties on a full-time basis. Accordingly, the application sought to have the weekly payments cease.
13 Among the issues that arose as a result of the employer's application was whether, in addition to the injuries for which compensation was first claimed and granted, Mr Thomas had suffered other injuries in or arising from his accident. Mr Thomas was by this time claiming that he had also injured his left arm and left foot, 'together with a secondary psychiatric depression', as he said in a witness statement.
Application under s 62 of the Act
14 Section 62 of the Act provides as follows:
(1) Any weekly payment may be reviewed by an arbitrator on an application either of the employer or of the worker, and on such review, may be discontinued, reduced, or increased subject to any maximum provided, as from such date as the arbitrator, having regard to the past or present condition of the worker, sees fit.
(2) An arbitrator may, instead of discontinuing, reducing or increasing the weekly payments, suspend the weekly payments from the date of the order until such time as is specified in the order.
15 The employer's application proceeded under the Dispute Resolution Provisions contained in pt XI of the Act.
16 The nature of and principles applicable to a review under s 62 of the Act were described by the arbitrator at [13] - [26] of his reasons for decision. He summarises the principles to be drawn from the authorities, commencing at [22]:
17 No challenge is made to the arbitrator's description of the principles of law relevant to an application under s 62. In oral submissions it was suggested that the arbitrator misapplied these principles by reversing the onus of proof when it came to considering whether Mr Thomas was suffering from a psychiatric illness caused, or significantly contributed to, by his accident, but this did not form any ground of appeal. I am not asked to resolve that issue of law in this appeal.
18 The conciliation process failed to bring about agreement between the parties. Once procedural skirmishing was complete, the application was heard before the arbitrator on 16 July 2014.
19 As set out in reasons delivered on 9 September 2014, the arbitrator determined that:
(a) the applicant's (employer's) evidence on the balance of probabilities established that Mr Thomas was physically and mentally capable of undertaking full-time work as a trades assistant;
(b) the injuries to Mr Thomas' left arm, elbow, fingers and foot did not occur as a result of the 5 July 2012 incident; and
(c) the vocational rehabilitation evidence established that Mr Thomas was vocationally qualified to undertake full-time work as a trades assistant.
20 In the result, the arbitrator determined that weekly payments should cease as of 4 June 2014. The three findings set out above are effectively the principal conclusions reached by the arbitrator based on the evidence before him. There were a number of other factual findings made by him. Some of these are express but others, as will be seen, were implicit in the conclusions that he reached.
21 Mr Thomas appeals from the arbitrator's decision on the following grounds:
22 The appeal notice that has been filed asserts that the appeal raises the following questions of law:
23 The appeal notice under the heading of 'amount in issue' provides the figure $65,171.13.
24 The appeal was brought pursuant to s 247 of the Act.
25 Section 247(2) of the Act provides as follows:
(2) Subject to subsection (3), the District Court is not to grant leave to appeal unless -
(a) in the case of an appeal in which an amount of compensation is at issue -
(i) a question of law is involved and the amount at issue in the appeal is both -
(I) at least $5 000 or such other amount as may be prescribed by the regulations;
(II) at least 20% of the amount awarded in the decision appealed against;
(ii) a question of law is involved and, in the opinion of the District Court, the matter is of such importance that, in the public interest, an appeal should lie;
(b) in any other case, a question of law is involved.
...
(7) On hearing an appeal made under this section, the District Court may -
(a) affirm, vary, or quash the decision appealed against, or substitute, and make in addition, any decision that should have been made in the first instance; and
(b) subject to section 267, make any further or other decision, as to costs or otherwise, as the District Court thinks fit.
26 On whatever basis an appeal is brought pursuant to s 247(2), a question of law must be 'involved'. An appeal 'involves a question of law where either an error of law, or an error of mixed law and fact is involved': BHP Billiton Iron Ore Pty Ltd v Brady [2008] WASCA 250 [3].
27 A decision does not involve an error of law unless the error is material to the decision, in the sense that it contributes to the result so that, but for the error, the decision may have been different: Australian Broadcasting Tribunal v Bond [1990] HCA 33; (1990) 170 CLR 321, 353; BHP Billiton Iron Ore Pty Ltd v Brady [15]. Ignoring for now the limiting provisions of s 247(2)(a), in order to obtain a grant of leave all that the appellant has to show is that there is a real or significant argument to be put which involves a question of law: Secretary to the Department of Premier and Cabinet v Hulls [1999] VSCA 117; [1999] 3 VR 331.
28 Once it has been established that a ground involves a question of law, the whole decision of the arbitrator, and not merely the identified question of law is open to review: Pacific Industrial Co v Jakovljevic [2008] WASCA 60 [20].
29 If the court decides that a question of law is involved and leave to appeal has been granted, then the District Court is required to undertake a 'real review' of the matter. That review however is based on the materials that were before the arbitrator, and is not conducted by way of a hearing de novo: Pacific Industrial Co v Jakovljevic [20], [26].
30 Where leave is granted and a review is undertaken, the appellant must still, for the purposes of the review, provide a proper basis for disturbing the arbitrator's decision by pointing to some error in it. The appellant may not simply invite the court to just ignore the arbitrator's decision and start again with a view to having the court substitute his or her own decision for that of the arbitrator: Pacific Industrial Co v Jakovljevic [20], [26], cited in Catholic Education Office of WA v Granitto [2012] WASCA 266.
The arbitration process and reasons for decision
31 It is useful to consider the nature and scope of the arbitration process created by the Act, and the nature of the jurisdiction that is exercised.
32 Although it might be thought fundamental to the understanding of any number of provisions within the Act, the Act does not define the term 'compensation'. Instead sch 1 and sch 2 of the Act provide respectively for a range of 'Compensation Entitlements' and a 'Table of Compensation Payable'.
33 The Compensation Entitlements set out in sch 1 include death benefits and allowances for dependants, as well as provision for weekly payments for total and partial incapacity for work, provisions for the calculation of those payments, and allowances for medical and other expenses. The Table of Compensation Payable provides for a variety of amounts payable depending on the nature of the specific injury or impairment suffered, measured as a ratio against a prescribed dollar amount.
34 In any number of circumstances where a claim for compensation is made, the amount claimed will effectively be a liquidated sum. In some cases, a worker may seek weekly compensation payments up to a prescribed amount and for a prescribed period. Weekly compensation payments may be sought after a worker has returned to work, in which circumstance again the amount of compensation will be fixed.
35 In other cases, where for example a claim for weekly payments is sought, there may be no certainty beyond the limits of the prescribed amount, for the prescribed period, as to what the ultimate entitlement might be. It may also be the case that, as here, once a claim for weekly payments of compensation has been accepted, an application may be brought to discontinue, reduce or increase the payments of compensation. Again, in that case, the amount in issue could not be determined without the gift of second sight. Unless it was known in advance how long any disability would endure, or endure in terms of a complete incapacity, the ultimate amount that may be received could not be known.
36 The objects of the Act are set out at s 3:
(a) to establish a workers' compensation scheme for Western Australia dealing with -
(i) compensation payable to or in respect of workers who suffer an injury; and
(ii) the management of workers' injuries in a manner directed at enabling injured workers to return to work; and
(iii) specialised retraining programs for injured workers; and
(b) to establish WorkCover WA to oversee the operation of the workers' compensation scheme; and
(c) to provide for the resolution of disputes under this Act; and
(d) to make provision for the hearing and determination by the dispute resolution authorities of disputes between parties involved in workers' compensation matters in a manner that is fair, just, economical, informal and quick.
37 There are a number of other provisions in pt XI of the Act that point to the intention of the legislature to create a dispute resolution process that is simpler and cheaper than ordinary civil litigation. Section 177(1) of the Act states that the object of pt XI is
... to provide a fair and cost effective system for the resolution of disputes under this Act that -
(a) is timely; and
(b) is accessible, approachable and professional; and
(c) minimises costs to parties to disputes; and
...
(e) in the case of arbitration, enables disputes not resolved by conciliation to be determined according to their substantial merits with as little formality and technicality as practicable.
38 Consistently with those objectives, the Arbitration Rules 2011 made pursuant to the Act provide that parties may be represented by legal practitioners or lay representatives. At arbitration hearings, unless an arbitrator grants leave, any medical evidence of a medical practitioner must be given in writing. Leave must not be granted 'unless the arbitrator is satisfied that the giving of the evidence will assist in the determination of a dispute in a manner that is fair, just, economical, informal and quick'.
39 Pursuant to r 57(1): 'If a party proposes to adduce oral evidence from a witness ...' then among other things a detailed statement of the witness must be provided in advance as well as a statement of the reliance that the party intends to place on the evidence.
40 Consistent with the procedures contemplated by these provisions, when the hearing began here, the arbitrator had bundles of documents tendered by the parties, including medical reports, witness statements of Mr Thomas, and the submissions of the parties.
41 An arbitrator may be required to give a decision in writing, but s 213(4) provides:
(a) need only identify the facts that the arbitrator has accepted in coming to the decision and give the reasons for doing so;
(b) need only identify the law that the arbitrator has applied in coming to the decision and give the reasons for doing so;
(c) need not canvas all the evidence given in the case; and
(d) need not canvas all the factual and legal arguments or issues arising in the case.
42 The common law requires decision makers to provide adequate reasons to give effect to any right of appeal, to enable a court to determine whether or not an appealable error was made, and to allow the parties to understand why they were or were not successful: Mount Lawley Pty Ltd v Western Australian Planning Commission [2004] WASCA 149; (2004) 29 WAR 273 [27].
43 The question as to whether the content of the reasons of the decision maker is adequate will depend on the circumstances of the case, including the nature of the jurisdiction being exercised: Wainohu v New South Wales [2011] HCA 24; (2011) 278 ALR 1 [55] - [56] (French CJ) and (Kiefel J).
44 In Velez Pty Ltd v Tudor [2011] WASCA 218 Murphy JA writing for the court reviewed the authorities with respect to the obligations of a Workers Compensation Service arbitrator to give reasons:
It is important, in my view, to have regard to s 213 against the factual context in which it was enacted. Arbitrators are frequently called upon to give reasons in cases where there will be a very significant number of medical reports, many of which will conflict with each other in terms of the history taken, the diagnosis reached and the prognosis which is given. Injured workers may suffer from a number of different conditions at the same time, and different medical practitioners may assess each different condition in different percentage terms, giving rise to a very large number of potential outcomes. It is against that background that the Arbitrator is required only to identify the facts accepted and to give the reasons for doing so.
By implication, it seems to me, the legislature was intending that the Arbitrator should not be required to engage in an exhaustive process of specifying which opinions were rejected, and the reasons for their rejection. Of course, where some of the opinions rejected attack the reasoning process of the opinion which is accepted, or are based, for example, on a clinical examination which has a result very different from that outlined in the reports to be accepted, it will no doubt be necessary for the Arbitrator, in explaining why he accepts the facts which he does, to explain his preference for that reasoning or for accepting that history as correct, and thereby, indirectly, to engage with the reasoning or fact finding process of those opinions which are to be rejected.
The realities of pressure of work and limited time in the magistrate's court must be acknowledged. Section 31 of the Magistrates Court Act obviates any need for a magistrate to canvass all of the evidence given in the case or to canvass all the factual and legal arguments or issues arising in the case. These dispensations appear to recognise the summary nature of proceedings in the Magistrates Court. Reasons can be adequate and comply with s 31 of the Magistrates Court Act without having to be unduly long. It is the substantive content of the reasons rather than their length which is important.
45 It was not suggested that the arbitrator here mis-stated the relevant law, at least in so far as the issues properly before me on this appeal. The errors of law said to be involved in the appeal arise from complaints about the failure of the arbitrator to have regard to evidence, particularly the evidence of Mr Thomas, or alternatively failing to properly articulate reasons for the conclusions reached, and 'flawed reasoning' in preferring the medical opinions that the arbitrator did.
46 I have concluded that, while the arbitrator did have regard to the evidence of Mr Thomas, he did not accept it. Looking at his reasons as a whole, it is apparent the arbitrator rejected the evidence of Mr Thomas, either by disbelieving it or giving little if any weight, and did so despite the lack of cross-examination. The arbitrator did not however express that conclusion with the directness that the law requires, and did not adequately set out the reasons that lead him to either disbelieve Mr Thomas' evidence or give it so little weight as to be negligible. In that respect this appeal does involve a question of law. That leaves the vexed question as to the proper construction of s 247(2).
Leave to appeal and the proper construction of s 247(2)
47 The argument made on behalf of the respondent is that, while an amount of compensation is at issue here, because no amount was awarded in the decision appealed against, the application for leave is governed by s 247(2)(a)(ii). That is, not only is it necessary for there to be a question of law involved but that in the opinion of this court the matter is of such importance that in the public interest an appeal should lie.
48 Initially, the argument on behalf of the appellant was that the amount of compensation in issue is the balance of the prescribed amount that remained as at 4 June 2004, being the sum of $65,171.13. That assumed of course that the appellant's incapacity would continue for the duration of the prescribed period. The amount of compensation at issue was said to 'exceed $5,000 and is more than 20% of the amount awarded in the decision appealed against'.
49 Both parties then initially accepted that this was an appeal 'in which an amount of compensation is at issue': s 247(2)(a). At least that was so until I raised the issue of conflicting authorities and what appeared to me to be some problems with the construction of s 247(2)(a). As a result of those discussions the appellant reconsidered its first position, and in supplementary submissions asserted that
50 The respondent also sought to characterise the decision here as an interlocutory decision, based on the proposition that pursuant to s 62, if a worker's condition alters, a further application for compensation can be made. The respondent in making this argument sought to advance the proposition that the application of principles with respect to appeals from interlocutory decisions, such as the need to show that the arbitrator's decision was wrong or attended by sufficient doubt to warrant the grant of leave to appeal, justified leave being refused.
51 At the same time that the respondent was advancing this argument it was also submitting that 'an amount of compensation was at issue', and that pursuant to s 247(2)(a)(ii) the appellant needed to show that the matter was of such public importance that an appeal should lie.
52 For reasons best known to the drafters, the terms used in s 247 'an amount of compensation is at issue' and 'the amount awarded in the decision' are not defined; nor are those terms used elsewhere in the Act. Section 176(1) contains an extended definition of 'dispute' but, for some unknown reason, the drafters have ignored that categorisation in differentiating between different kinds of appeals. I say 'unknown reason' here advisedly because nothing in Explanatory Notes or second reading speeches casts any light on this.
53 The proper construction of s 247 is not yet the subject of any appellate authority. There are a number of decisions of judges of the District Court and of the commissioner that have been brought to my attention. It is sufficient to say that there is a degree of inconsistency in these cases and, with respect, the constructions put forward are sometimes at odds with the plain words of the section. That, I suspect, is the result of the scar tissue that the Act has continued to accumulate over the decades: cf the comments of Stephen J in Geraldton Building Co Pty Ltd v May [1977] HCA 17; (1977) 13 ALR 17, 35.
54 A review of decisions made by the former commissioner of the Dispute Resolution Directorate of WorkCover WA reveals a number of cases where it was accepted that appeals from s 62 applications to cease weekly payments fell within the provisions of s 247(2)(a) as being appeals where 'an amount of compensation is at issue': Barrick Gold of Australia Pty Ltd v Tania Michelle Lucas [2009] WACC CT-2009; SDR Australia v Mile Nedic [2009] WACC C3-2009; Roney v Accommodation West Pty Ltd [2009] WACC C10-2009; Hasic v Delmere Holdings Pty Ltd T/as DTMT Construction [2008] WACC C8-2010; Public Transport Authority v Ettie Djano [2010] C9-2010.
55 In each of these cases the commissioner found that the leave requirements under s 247(2)(a)(i) were satisfied. This included a case where an appeal was brought by the employer from an arbitrator's dismissal of its application to cease weekly payments: Barrick Gold of Australia v Lucas, an arbitrator's decision to discontinue weekly payments pursuant to s 62: Roney v Accommodation West Pty Ltd and a case pursuant to s 62 and s 71 where an arbitrator held that a worker was fit for full-time work and, as in this case, made a repayment order pursuant to s 71: Hasic v Delmere Holdings Pty Ltd.
56 The former commissioner's views with respect to the construction of s 247(2)(a) are set out in the decision of Pedley v West Coast College of TAFE [2006] WACC C21-2006. Pedley involved an application for leave to appeal from a decision of an arbitrator whereby the applicant's claim for payment of weekly payments, statutory allowances and rehabilitation expenses was dismissed. In that case the appellant had received weekly payments and statutory allowances for an initial period of incapacity of just over two months, said to arise from some psychological problems that arose from her employment. The appellant also claimed payments for a total incapacity for a second period, from 8 August 2004 until at least the date of the hearing of the appeal, allegedly as a result of the same condition. That was the claim that was denied by the respondent and dismissed by the arbitrator. The appellant argued that the arbitrator made errors that caused him to fail to apply relevant legal principles of causation.
57 In Pedley it would have been a reasonably straightforward matter to determine that the appellant had lost more than $5,000 in compensation by way of weekly payments among other things. That was because the arbitrator had declined to make any award and it was a simple matter of arithmetic, to the date of the hearing at least.
58 The commissioner's reasons make it plain that he dealt with the question of leave pursuant to s 247 2)(a) on the basis that it was an appeal in which an amount of compensation was at issue. He found that the first monetary threshold ('at least $5,000' had been met). He was confronted with the language of s 247(2)(a)(i) and the apparent difficulty that it could not be said that 'at least 20% of the amount awarded in the decision appealed against' was at issue because no amount had been awarded in the decision appealed against.
59 The commissioner dealt with that issue in this way, at [35] - [36]:
As to the monetary requirements of subsection 2(a)(i), in my view the requirement that the amount of issue in the appeal be at least 20% of the amount awarded in the decision appealed against only applies in a case where an amount is in fact awarded in that decision. If the position was otherwise an unsuccessful worker could never obtain leave to appeal where a claim for compensation was dismissed unless in the opinion of the Commissioner the matter was of such importance that an appeal should lie in the public interest. I do not feel that Parliament intended such to be the position, which would have harsh and unfair consequences which were not in keeping with the beneficial purposes of the appeal provisions.
There is no doubt that the amount at issue in the proposed appeal is at least $5,000 and, accordingly, in my view all of the relevant conditions for the granting of leave have been satisfied. It is appropriate that leave be granted in respect of all of the proposed grounds of appeal.
60 From my reading of that decision it is not apparent that the learned commissioner had the assistance of any reasoned argument with respect to the construction of s 247(2)(a).
61 In the matter of Clarke v Royal Perth Hospital [2010] WACC C1-2010 the construction and application of s 247(2) was very much in issue on the appeal. The decision of Clarke is relied on by the appellant here as authority for the proposition that where no amount of compensation is awarded, then no amount of compensation is at issue for the purposes of s 247(2)(a).
62 The issue in Clarke was whether a nurse in receipt of payments of weekly compensation was entitled to compensation calculated pursuant to the rates in the relevant industrial award at the time of her injury, or at the higher rate in a subsequent award during her period of incapacity. The arbitrator in Clarke held that it was the former. The commissioner allowed the appeal, finding an error of law. On the question of leave the parties disagreed as to whether the issue was to be determined by s 247(2)(a) or s 247(2)(b).
63 On behalf of the worker it was argued that 'an amount of compensation' was not directly at issue in the arbitration, nor in the appeal, and that therefore the question of leave fell to be considered under s 247(2)(b). The employer on the other hand argued that an amount of compensation was at issue, that s 247(2)(a) was applicable, and asserted that the amount at issue was less than the stipulated $5,000 and 20% of the amount awarded. From the commissioner's reasons it appears that he was not in fact provided with any substantial information about the financial implications of the decision appealed from. Nor, as the commissioner observed, did the employer address the 'public interest' criterion of s 247(2)(a)(ii).
64 Faced with this unsatisfactory state of affairs the commissioner said as follows:
65 Given the fact that the resolution of the appeal had implications not simply for the worker involved but for any nurse covered by the relevant industrial award, and indeed broader implications for workers covered by industrial awards, the employer's failure to address the second criterion in s 247(2)(a)(ii) is telling. In my view, if it was an appeal 'in which an amount of compensation' was at issue, the grant of leave in Clarke could have been justified by the importance of the issue raised and the public interest in that issue.
66 The identification of an appeal as involving an amount that is quantified or quantifiable is, with respect, at the centre of a proper construction of s247(2)(a). And while like the learned commissioner I do not believe that s247(2)(a) requires a positive amount to be awarded to a worker before leave may be granted under s247(2)(a), in my view that is not to be achieved by implying the words 'if any'.
67 The commissioner also sought to support his conclusion for the grant of leave by citing his earlier decision in Pedley. In that case the commissioner pointed to an outcome that the commissioner characterised as 'harsh' and contrary to the perceived beneficial purpose of the Act if the worker's right to appeal was to be determined by a construction of the section that required a positive award of compensation. The commissioner's instinctive reaction to that outcome is readily understandable. Looked at more broadly, that kind of outcome might be reasonably described as absurd and not required by the language of the section, as I hope to show.
68 With respect however I do not agree that the plain words of s 247(2)(a)(i) may be ignored by invoking 'the beneficial purposes of the appeal provisions' as against the perceived 'harsh and unfair consequences' suggested to arise if leave were not granted. An argument of that kind was addressed by Spigelman in Victims Compensation Fund v Brown [2002] NSWCA 155; (2002) 54 NSWLR 668.
With respect to a clause intended to be limiting, it is not appropriate to apply the principle of statutory construction that beneficial legislation should be construed liberally ...
In the present proceedings, the Respondent submitted that the purpose was to compensate victims. Even if I were to accept a legislative purpose stated at that level of generality, that would not entail that any ambiguity must be construed in such a way as to maximise compensation ... In any event, the very specificity of the provisions of the legislation indicate that the legislative purpose is to provide compensation in accordance with the Act and not otherwise [8] - [10].
69 This reasoning of Spigelman CJ has been indorsed by the High Court in Victims Compensation Fund v Brown [2003] HCA 54; (2003) 201 ALR 260.
70 In Hawker Pacific Pty Ltd v Lang [2013] WADC 117 Keen DCJ took a different approach to that of the commissioner. In that decision his Honour dealt with an appeal from an arbitrator's decision dismissing an employer's application pursuant to s 61 of the Act. The employer there had sent a notice to a worker receiving weekly payments advising of the employer's intention to discontinue the weekly payments on the basis that the worker was then fit to return to full-time work. The worker disputed that she was in fact fit. An issue arose however as to whether the worker had provided the notice required by s 61(3) of the Act within the 21 day period provided. When the insurer ceased making weekly payments the worker applied for arbitration and sought an order that weekly payments should recommence. The employer applied to dismiss the worker's application on the basis that the worker's application was out of time. The arbitrator dismissed the employer's application.
71 In dealing with the issue of leave Keen DCJ initially applied s 247(2)(a)(i). As his Honour observed, there was a controversy with respect to the amount in issue. Keen DCJ found that the result of the arbitrator's decision was effectively to dismiss the worker's application to have payments reinstituted for the relevant period. He found therefore that there was no amount of compensation in issue either for the purposes of s 247(2)(a)(i) or s 247(2)(a)(ii) and that leave could not be granted pursuant to either sub section. Reading his Honour's reasons, it appears that he may have been led to believe that it was open to grant leave if a matter answered the criteria of any category of 247(2)(a) or (b), without distinction.
72 I drew the parties' attention to the conflicting decisions in single judge appeals and asked for their further submissions as to the proper construction of s247(2). The submissions that I received did not advance things beyond a convenient summary of those decisions. I have not found any decision that has in my view provided a satisfactory construction of s 247(2) consistent with its plain words and the purpose of s 247(2) within the broader context of the Act. It does not appear from the decisions that I have seen that counsel were advocating such a position. Having now grappled with this myself, I have some sympathy with that choice.
73 As French CJ and Hayne J observed in Certain Lloyd's Underwriters v Cross [2012] HCA 56; (2012) 248 CLR 378 with respect to matters of statutory construction:
It is as well to begin consideration of this issue by re-stating some basic principles. It is convenient to do that by reference to the reasons of the plurality in Alcan (NT) Alumina Pty Ltd v Commissioner of Territory Revenue:
'This Court has stated on many occasions that the task of statutory construction must begin with a consideration of the text itself. Historical considerations and extrinsic materials cannot be relied on to displace the clear meaning of the text. The language which has actually been employed in the text of legislation is the surest guide to legislative intention. The meaning of the text may require consideration of the context, which includes the general purpose and policy of a provision, in particular the mischief it is seeking to remedy.'
The context and purpose of a provision are important to its proper construction because, as the plurality said in Project Blue Sky Inc v Australian Broadcasting Authority, '[t]he primary object of statutory construction is to construe the relevant provision so that it is consistent with the language and purpose of all the provisions of the statute' (emphasis added). That is, statutory construction requires deciding what is the legal meaning of the relevant provision 'by reference to the language of the instrument viewed as a whole', and 'the context, the general purpose and policy of a provision and its consistency and fairness are surer guides to its meaning than the logic with which it is constructed'.
Determination of the purpose of a statute or of particular provisions in a statute may be based upon an express statement of purpose in the statute itself, inference from its text and structure and, where appropriate, reference to extrinsic materials. The purpose of a statute resides in its text and structure. Determination of a statutory purpose neither permits nor requires some search for what those who promoted or passed the legislation may have had in mind when it was enacted. It is important in this respect, as in others, to recognise that to speak of legislative 'intention' is to use a metaphor. Use of that metaphor must not mislead. '[T]he duty of a court is to give the words of a statutory provision the meaning that the legislature is taken to have intended them to have' (emphasis added). And as the plurality went on to say in Project Blue Sky:
'Ordinarily, that meaning (the legal meaning) will correspond with the grammatical meaning of the provision. But not always. The context of the words, the consequences of a literal or grammatical construction, the purpose of the statute or the canons of construction may require the words of a legislative provision to be read in a way that does not correspond with the literal or grammatical meaning.'
74 Looking at s 247(2) as a whole, the first thing to note is that no grant of leave is available, in any case, unless a question of law is involved. Second, the legislature has sought to impose a financial threshold to restrict appeals in some cases, by both absolute and relative criteria. Finally, even with respect to cases that are subject to and fall below the financial threshold, an exception is provided in s 247(2)(a)(ii), when the matters in issue are of a degree of importance such that it can be said the public interest justifies the grant of leave to appeal. The question which, with respect, has not yet been satisfactorily answered is exactly how that financial threshold is to be construed and what kinds of cases it applies to.
75 There are two aspects of s 247(2) that are central to this. The first is the answer to the question, in what kind of an appeal can it be said that, 'an amount of compensation is at issue'. The second relates to how the phrase 'at least 20% of the amount awarded in the decision appealed against' to be understood in the context of a decision where nothing is awarded.
76 The introductory words of s 247(2)(a) show that the subsection is concerned, not with appeals where 'payment of compensation is at issue', or 'in which compensation is at issue', but rather cases of appeals 'in which an amount of compensation is at issue'. Had it been intended that s 247(2)(a)(i) and (ii) were to apply in every case of an appeal where the right to receive or to continue to receive compensation was at issue, the italicised words would have been unnecessary. They must be given meaning.
77 Earlier in these reasons I described the various kinds of claims for compensation that are potentially available, all of which potentially may be the subject of disputes. Many of the possible claims and potential disputes involve amounts of compensation that are either fixed or readily ascertainable. Claims for lump sum payments and expenses fall in that category, as do claims for payments of weekly compensation that are historic, where for example the worker has since returned to their employment. In the kinds of cases where problems have arisen in construing s 247(2)(a), cases like the present, it is common that the value of the compensation that a worker might or might not ultimately receive is not readily quantifiable because it cannot be finally ascertained. Even in this case, where the appellant at least initially estimated the amount in issue as being in excess of $65,000, based on the value of the remainder of the prescribed period, there remained contingencies that would determine whether or not that amount was in fact received.
78 To put it another way many claims for compensation involve what might be described in civil litigation as liquidated claims. Some, like the present case, do not.
79 Further assistance is provided by considering the second question; the meaning of 'at least 20% of the amount awarded ...' . If an appeal is one 'in which an amount of compensation is at issue' then, pursuant to s 247(2)(a)(i) both criteria in (I) and (II) have to be applied and met. If the present case is the kind of matter where 'an amount of compensation is at issue' then, on the respondent's argument, the grant of leave to appeal for either party would turn on whether the worker was successful. In any event it would also seem odd to regard a case where a worker's entitlement to weekly compensation payments was simply maintained, where the employer's application had been dismissed, as one in which there had been an 'amount awarded'. The language of s 247(2)(a) does not sit comfortably within the context of the kinds of issues likely to arise in the context of s62 and similar provisions of the Act.
80 In my view the proper construction of s 247(2)(a) requires that the phrase 'an amount of compensation' be taken to mean literally that. That is, it applies to cases of appeals where there is what might be described as a liquidated claim that is readily ascertainable. Disputes of the kind encompassed by s 62 applications do not involve 'an amount of compensation'. They involve broader claims of entitlement but not 'an amount' that is determinable.
81 It follows that appeals with respect to this kind of dispute fall into category 247(2)(b), '... any other case ...' . All that need be shown is that the appeal involves a question of law.
82 For the sake of completeness I will also say that in the case of claims for liquidated amounts which do fall into s 247(2)(a), satisfaction of the second criterion (II) does not require that there be a positive dollar amount awarded in the decision appealed against before a grant of leave may be obtained. The function of s247(2)(a) is in my view to provide a procedural hurdle to appeals that involve disputes over what can be readily identified as modest amounts of money; 'modest' either in absolute terms or relative to a sum awarded. It is not intended to create some inconsistent and seemingly arbitrary division between appeals brought by workers as opposed to employers, or appeals where even trivial amounts of compensation are awarded as opposed to appeals where nothing at all is awarded.
83 What s 247(2)(a) requires is that ' ... the amount at issue in the appeal is both' at least $5,000 and at least 20% of the amount awarded in the decision appealed against. In my view the dominant criterion is (I), 'at least $5,000 or such other amount as may be prescribed by the regulations'. By that I mean that the purpose of this subsection is to ensure that if an appeal of this kind is to proceed, that the dispute involves at least $5,000, whether the appeal is brought by the worker or the employer. Thus, in a case where a worker's claim for, say $6,000, has been dismissed and the appeal is in respect of that claim then the amount at issue in the appeal is both 'at least $5,000' and 'at least 20% of the amount awarded in the decision appealed against'. The reason for that is that if nothing was awarded then the value of the claim - the amount at issue in the appeal, $6,000 - is 'at least 20%' of nothing. In my view, that construction is open on the plain words of the subsection, in the context of s 247(2) and the Act.
84 Any other construction would produce inconsistency, absurdity and conflict with what appear to me the general purpose and policy of the section. I will explain that by two examples, both of which assume that an issue of law is involved. The first is a case where a worker brings a claim for $6,000 and is awarded just $500. $5,500 is 1100% of $500. The second is a case where a worker brings a claim for $20,000 and is awarded nothing. If (II) is taken to require some positive dollar amount to have been awarded to enliven s 247(2)(a), then the worker in the second example where $20,000 is the amount at issue would have no entitlement to a grant of leave, whereas the worker fighting about $5,500 would.
85 To further demonstrate the inconsistency and absurdity of a different construction, it is useful to consider the relative positions of worker and employer. In the case of the worker claiming $20,000, if (II) was taken to require some positive award of compensation as a base line for the 20% then, while the worker whose claim was totally dismissed would have no appeal, if the claim was allowed the employer would have an appeal. In my view that result is so absurd that it could not have been intended. No purpose of the Act would be served by such a construction.
86 Both parties, for their respective purposes, have submitted that the arbitrator's decision here was interlocutory and not final. I will deal then with the submission that something useful or necessary is to be derived from the categorisation of the decision here as 'interlocutory'. It is the case that there are a number of single judge appeals that do classify decisions of this kind as 'interlocutory'. In other cases the procedural nature of the decision appealed from is obvious: cf Amana Living v Soliven [2013] WADC 118 (Stavrianou DCJ). In others, such as Clarke, it is not so readily apparent.
87 The classification of decisions as 'interlocutory' as opposed to 'final' is notoriously problematic. A rich vein of authority has developed in civil litigation in trying to come to grips with the distinction between decisions and orders that are 'interlocutory' as opposed to 'final'. In that context the distinction is important because s 60(1)(f) of the Supreme Court Act 1935, like analogous legislation in other Australian and common law jurisdictions, provides that no appeal lies to the Court of Appeal from any interlocutory order or interlocutory judgment without leave. Some well-established principles have developed to explain the kinds of considerations relevant to the exercise of the discretion to grant leave from decisions of that kind.
88 It is questionable whether a decision to cease weekly payments pursuant to a s 62 application can properly be described as 'interlocutory' within the context of the Act. It was urged upon me that the arbitrator's decision should be regarded as interlocutory and not final because, pursuant to s 62 of the Act, the appellant can seek a review of weekly payments if his condition alters. It might also be said that, if new information becomes available after an arbitrator makes a decision, the arbitrator can then be asked to reconsider his or her prior decision: s 217A. Despite that, while it may be open to either party to bring a further application if circumstances change, the arbitrator's decision brings to a conclusion that particular dispute. It is the kind of dispute which is central to the function of the Act. In the context of the Act this kind of decision involves a substantive right and not a mere procedural issue.
89 Unlike s 60(1)(f) of the Supreme Court Act, s 247(2) does not draw any distinction between orders and judgments that are interlocutory and those that are not. Unlike the Supreme Court Act, every appeal from a decision of an arbitrator pursuant to s 247(2) requires leave. There are express statutory criteria limiting the grant of leave. Some appeals from arbitrators may plainly be seen to relate matters that are only procedural. Whether it is in fact necessary or appropriate to import principles developed for provisions like s 60(1)(f) as guide to the exercise of a discretion in respect to those cases should be left to another day. I will say however that if those principals applied to the question of the grant of leave here, I would not grant leave. The reason for that, as will be seen, is that in my view, whatever might be said about the adequacy of the arbitrator's reasons, the decision that he reached is not attended with doubt. In my view he was correct to allow the application.
90 I have however already set out my conclusion that the failure of the arbitrator to properly explain his rejection of the appellant's evidence means that a question of law is involved in this appeal. For these reasons, and given the conclusion that I have reached about the construction of s 247(2), I would grant leave to appeal. It is necessary then to review the whole decision of the arbitrator based on the material that was before him.
91 The evidence before the arbitrator included a number of medical reports, progress reports and certificates, and a witness statement and supplementary witness statement from Mr Thomas. The only oral evidence at the hearing was given by Mr Thomas. He was not cross-examined.
92 In describing both the manner in which he was required to conduct the arbitration pursuant to s188 of the Act and some of the difficulties that he faced the arbitrator said, at [29]:
I am mindful that under the Act, in accordance with s 188, I am not bound by the rules of evidence and I am required to act according to equity, a good conscience and the substantial merits of the case without regard to technicalities and legal forms and to determine this dispute in a manner that is fair, just, economical, informal and quick. Nevertheless as with most arbitrations of this type I have been presented with numerous medical and other reports, which together with the legal submissions constitute some 250 pages. Some of the reports are referred to in the parties' submissions and many not. Again there is significant conflict in the medical evidence. I am aware that medical reports are not always written for a legal audience and from time to time assessment of imprecise language is necessary to try and discern the meaning and merit of medical evidence. I note in Pacific Industrial Company v Ratko Jakovljevic, C19-2007 that the Act expects an arbitrator to determine the conflict in medical evidence 'whenever and wherever possible' however those words do not render much assistance. This has been a difficult arbitration. Arbitration is not an inquisitorial process and the obligation is on the parties to provide sufficient evidence and advance the relevant arguments (see Mayne Nickless Ltd t/as Wards Express v Mayne (Unreported, WASCA, Library No 960736, 19 December 1996)).
93 Given the volume of medical and other evidence tendered and never referred to again, the illegibility of some documents, the difficulties of assessing medical evidence without any assistance from any medical expert, and limited argument addressing the evidence in real detail, the arbitrator's description of the arbitration as 'difficult' might be described as stoical.
94 Mr Thomas was born in 1958. He was 54 years old in June 2012.
95 There are various reports of Mr Thomas' description of his accident contained in some of the medical reports. They are not entirely consistent. That, the arbitrator said, went to the relative weight that he might attribute to those accounts.
96 The documents tendered by the appellant include the respondent's 'Incident Report' form which incorporates a Workers Compensation claim form, the latter completed by Mr Thomas on 5 July 2012. The day of the 'occurrence' is said to be 'Wednesday', that is, July 4. The form asks, 'Describe the occurrence. Include: What action was involved (ie, fall, struck by object). Here Mr Thomas has written - 'walk into PC 2000 boom'. In answer to the request 'What object was involved?' he writes 'steel boom'. In response to the inquiry 'The most serious injury or disease caused (ie, fracture, burn, abrasion)' he writes 'bruised and strained muscles'. As to the 'Bodily location of the injury' he says 'Head & Neck'. Later in the form Mr Thomas is asked to describe 'What you were doing at the time of the occurrence?'. To this he answers, 'pushing 2 bins - turned into boom'.
97 Based on the Workers' Compensation Claim Form, there were no witnesses to the 'occurrence'. That is despite histories that record Mr Thomas reporting being distracted by hearing a call, or being the victim of a practical joke.
98 In his first witness statement, signed on 9 April 2014, Mr Thomas describes the accident in these terms:
99 According to Mr Thomas, he was told to, and did report the accident to the leading hand. While he remained at work the rest of that day he did very little as he was not feeling well. The next day he said his head was sore and he still had a headache and blurred vision. Later that day he went to see the doctor.
100 Mr Thomas went to see his GP. A medical certificate and report provided by his GP on 5 July 2012 refers only to a 'head injury' that occurred when Mr Thomas is said to have 'hit head into boom'. Nothing by way of clinical finding describes any apparent trauma such as a lump or a scrape or a bruise. Mr Thomas was complaining of dizziness and nausea and was sent for a brain CT scan that same day. The doctor duly recorded that on a medical certificate, certifying Mr Thomas 'fit for restricted return to work from 5 July 2012 to 1 week'. That is, the doctor who examined him thought that he was fit for at least a restricted return to work that same day.
101 The results of the CT brain scan were entirely normal.
102 The next report on 6 July 2012 records Mr Thomas as complaining of 'headache, and blurred vision, concussion'. On 9 July 2012 he complains of 'neck pain'. The doctor's handwriting is somewhat difficult to decipher, but neck pain and later stiffness are the complaints until perhaps 26 July 2012, when there may be a mention of a left hand complaint in the GP reports.
103 A report from Envision Medical Imaging on 27 July 2012 records as clinical details, 'Hit neck on boom. Neck pain with left hand symptoms'.
104 The Progress Medical Certificates completed by Mr Thomas' GPs were tendered by the respondent and the appellant, and both sets formed part of the documents before the arbitrator. All were handwritten on printed forms. Some were illegible.
105 Mr Thomas has seen several GPs since his accident. From 5 July 2012 until late July 2012 he saw Dr Azzam (according to the respondent's list) or Aziam (according to the appellant's list). On 6 July he saw a Dr Lee. He saw a Dr Beresford in August 2012. The certificate signed by Dr Beresford (and wrongly attributed in the appellant's list to Dr Aziam) says that Mr Thomas was fit for a restricted return to work on light duties, from 21 August 2012 to 21 September 2012. The next certificate is signed by a Dr Megan Downing (wrongly described as 'Dr Megan' in the appellant's list), at a practice in Huntingdale, certifying Mr Thomas as totally unfit to 4 December 2012.
106 In the meantime, there appears in the tendered documents an expression of puzzlement and perhaps frustration from Dr Beresford in an undated referral letter to Mr Paul Bannan, a well-known local neurosurgeon. I was only able to fully decipher Mr Bannan's name with the assistance of a reference in a later report filed by a Dr Ng. The appellant's list of documents gives this letter a date of 10 December 2012. I doubt the correctness of this date. I infer that for some reason Mr Bannan was not able to assist and the referral went to the neurologist Peter Silbert instead.
107 In this letter, tendered by the appellant, Dr Beresford describes the puzzling intermittent symptoms in Mr Thomas' left arm and foot, puzzling in light of the MRI and CT scan results, which were unremarkable. Dr Beresford asks, 'I cannot reconcile history with his CT findings and I wonder if I am missing anything'.
108 On 7 August 2012, after recording the fact of a referral for 'further evaluation of his left arm symptoms' Peter Silbert, a neurologist records this:
On 4 July 2012 [sic] he was moving two wheelie bins, pushing one and pulling the other. He turned to his left when someone called, and as he did so he walked into the boom of a large piece of equipment. He had a compressive type injury to the head, but he was wearing a brimmed hat, which gave him some protection. He did however stun himself, and was initially dazed with neck discomfort. His vision was blurred. He sat down for about 20 minutes, and then there was some dispute for the next 24 hours about his workplace response.
In retrospect when he fell to the ground he did twist his left arm. He has continued to experience a tingle sensation involving down the left fifth digit, and has noticed that when he flexes his elbow he gets a warm tingling feeling down the ulnar aspect of the left forearm. He also has occasional low back discomfort, a feeling of deadness in the left calf, and ongoing headaches.
I note that his cranial and cervical CT scans were normal.
109 Dr Silbert's 'in retrospect' covers quite a lot. This is the first mention of Mr Thomas falling to the ground, as well as the first mention of twisting his arm. The initial report of 'pushing 2 bins' has now become 'pushing one and pulling the other'. The original 'turned into boom' has expanded to the story of distraction and looking away and back immediately before the collision.
110 Dr Silbert suggests in his report that examination showed 'a mild weakness of ulnar nerve innervated muscles in the left ...'. Otherwise, 'the remainder of the neurological examination was normal'. While the clinical examination suggested an ulnar nerve weakness, an electromyogram test (a test used to record the electrical activity of muscles) was normal. Dr Silbert referred Mr Thomas for an ultrasound test. The result of that was also normal. Dr Silbert's expectation in August 2012 was that any problem with the left arm would resolve over the next six weeks.
111 That estimate of six weeks for recovery is consistent with an estimate contained in a document tendered by the appellant. In the Initial Assessment Report of WorkFocus Australia dated 8 March 2013, under the heading 'Current Evidence Based Practice', an estimate of six to eight weeks, 'sourced from MD Guidelines' is given as a recovery period from a cervical strain or sprain, with an expected return to work and full functioning. With respect to ulnar neuropathy, the period is eight weeks. As the Initial Assessment Report says in respect of both kinds of injuries, 'this is not in line with Mr Thomas' current progress'.
112 Mr Thomas was referred by the insurer to Dr Brian Dare, a consultant occupational physician. Dr Dare first examined Mr Thomas on 21 September 2012.
113 Dr Dare's first report is dated 24 September 2012. This is the first report to contain a detailed personal history of Mr Thomas.
114 It notes that he migrated from South Africa to New Zealand in approximately 2004 and lived there for seven and a half years before coming to Perth in December 2011. After working there for less than a year, he suffered a work related injury to his right elbow described as 'extensor tendonopathy', for which he had surgery. According to the history provided, Mr Thomas then got 'nerve damage' in the right elbow and further surgery was required. He was then off work for almost seven years, having worked for less than a year there. He had not returned to any paid work, according to this report anyway, before coming to Perth in December 2011. After arriving in Australia and prior to being hired by the employer 'he did some commercial cleaning work and then worked on a farm in the wheatbelt for a short period of time'.
115 Dr Dare sets out a description of the 5 July 2012 accident provided by Mr Thomas,
Mr Thomas describes hitting the top of his head against a steel boom of a machine which he was walking under while he was pushing two wheelie bins, one in front and one behind on 5 July 2012. He stated he thought someone had called out and he looked to the left and this is when he hit his head on the boom of the large machine.
However, he stated there were no witnesses to the incident and he stated he did not get any help, saying he fell to the ground following the incident but describes no loss of consciousness. He stated he went and sat down for 20 minutes afterwards. He stated he was wearing a wool beanie at the time. He did not suffer any laceration despite saying he hit the edge of the boom. On asking where he hit his head, he described hitting on the front area of his scalp and not on the forehead ... since the incidence [sic] on the 5 July 2012 he has been describing numbness in his left ring and little finger and also numbness on the outside of his left foot ... he stated he suffered a fall last week when he fell on some wet stairs at the local library stating he injured his right elbow again but he has not seen a doctor regarding this. He denies any injury to his neck with this fall.
116 A physical examination of Mr Thomas revealed the following:
Mr Thomas presented in a cooperative manner and was in no obvious distress.
...
Examination of his neck demonstrated flexion to 40 degrees extension to 30 degrees. Lateral rotation left and right was 50 degrees. Lateral flexion was 20 degrees.
Examination of his upper limbs demonstrated normal power, sensation and reflexes. There were no signs of radiculopathy.
...
Examination of his lower limbs demonstrated normal straight leg raising with normal power, sensation and reflexes on both lower limbs. Specifically there were no signs of radiculopathy.
117 Radiculopathy is a disease of the nerve roots occurring where there is compression of the nerve root: Dorland's Medical Dictionary.
118 The fact that there were no lacerations or loss of consciousness, and the absence of any bony injury to the skull, or any brain injury as demonstrated by the various investigations confirmed, Dr Dare said, that 'the forces involved in the incident were low'.
119 Dr Dare refers to the CT scan that Mr Thomas underwent subsequent to the accident, which revealed no brain abnormalities, and the MRI scan of his neck. The MRI revealed significant pre-existing degenerative changes with an advanced facet joint degeneration and disc degeneration, as well as 'a mildly displaced fracture of the superior articular process of the left C5/C6 facet joint. This fracture Dr Dare concluded, related to the pre-existing degenerative disease, and not the workplace accident. Mr Thomas' current status was said to be, 'constant ongoing neck pain, restricted range of movement in his neck, left outer foot numbness and numbness to his left ring and little fingers'. Mr Thomas also reported '... ongoing right elbow pain, related to a fall the prior week on some stairs at the local library'.
120 Dr Dare said that Mr Thomas was, '... describing ongoing neck discomfort, however I do believe he has a work capacity and I consider he could work full-time as a trades assistant. I consider any soft tissue injury he would have suffered at that time has now resolved as it is now coming up to three months since the incident'.
121 Dr Dare's conclusions were that Mr Thomas suffered a minor soft tissue injury to his scalp and neck as a result of the July 2012 workplace incident. He considered that any ongoing symptoms would be related to pre-existing degenerative disease in Mr Thomas' neck. With respect to the complaints about the left hand and left foot Dr Dare said that he could not 'correlate his symptoms ... to his injury'. Dr Dare concluded that Mr Thomas was fit to work full time without restriction as a trade assistant although he was likely to continue to experience variable neck pain relating to his pre-existing degenerative disease.
122 Mr Thomas was reviewed again by Dr Silbert on 25 September 2012. Dr Silbert reported:
There hasn't been much progress over the last six weeks.
He has had some social difficulties having to move out of his Maddington residence and now lives in Bunbury.
On examination there still seemed to be some ulnar nerve innervated muscle weakness, although I am not sure regarding that and an EMG will be helpful to see if that is confirmed objectively.
123 In early October 2012 Dr Silbert arranged for a further EMG and an MRI scan of Mr Thomas' left arm. Dr Silbert reported on 2 October 2012 that the repeat EMG of the left ulnar nerve was normal but the MRI scan showed evidence of medial epicondylitis, 'and probably also some ulnar neuritis which explains some of his ulnar nerve symptoms'. Epicondylitis is an inflammation of an eminence on a bone or the surrounding tissue. 'Neuritis' is 'an inflammation of a nerve, with pain and tenderness, anaesthesia, paraesthesia, paralysis, wasting and disappearance of the reflexes': Dorland's Medical Dictionary (28th ed, 1994).
124 The radiology report also refers to evidence of osteoarthritis in part of the structure of the elbow.
125 Consistent with a recommendation contained in the radiology report Dr Silbert arranged for a steroid injection in the medial epicondyle area. He anticipated that Mr Thomas would then see his GP in 'a couple of weeks following that regarding his progress and return to work issues'. While Dr Silbert offered a further review, if required, it does not appear that Mr Thomas ever returned to see him.
126 On 18 December 2012 Mr Thomas was examined by Mr Barrie Slinger, an orthopaedic surgeon, at the request of Mr Thomas' solicitors. To avoid misunderstanding I will note here that in the arbitrator's reasons he wrongly refers to Mr Slinger as 'Dr Springer'.
127 The background provided by Mr Slinger, in particular with respect to Mr Thomas' history in New Zealand, is not entirely consistent with other reported versions. In any event Mr Slinger describes how, on his arrival in Perth, Mr Thomas worked for a short period of time as a commercial cleaner and then for two weeks on a farm in the wheat belt before being made redundant. He is said to have worked for two months as a trade assistant with the employer prior to his injury.
128 The history of the injury that is recorded by Mr Slinger is also somewhat at odds with what is contained in other reports. In Mr Slinger's report Mr Thomas seemingly describes himself as the victim of a practical joke.
129 Mr Slinger sets out the history of investigations and treatment to that stage:
Medication included Panadol Osteo and Tramadol, he was referred for a programme of physiotherapy, but he found that aggravated symptoms and was, therefore, ceased. More recently he has returned for further treatment with a separate therapist, but has had further aggravation of symptoms, and recently, because of traction to the neck, he is now experiencing pain in the low back.
In addition, he has had cortisone injections to the left elbow, but these have not been associated with any significant change in his symptomatology.
130 At present he is not taking any medication and he described that he is averse to tablets on principle.
131 As will be seen, this last assertion appears to be at odds with what Mr Thomas reported to another orthopaedic surgeon with respect to Mr Thomas' pre-accident use of codeine to treat headaches at work.
132 Mr Slinger reports Mr Thomas' complaints as at December 2012:
Pain and stiffness persist in the neck, and when looking behind, as when driving reversing a vehicle, he has to turn his whole body. Pain is aggravated when driving over a speed bump, coughing is a further aggravation and maintaining his head in one position for any length of time, as with using a computer, is a further aggravation.
Movement at the left shoulder into elevation is an aggravation, with pain in the shoulder and the neck, he experiences pain along the ulnar border of the left forearm, from the elbow distally, with numbness of the ulnar two digits, and he also experiences pain about the lateral aspect of the forearm and elbow, as when driving, holding a steering wheel.
In addition, since the accident, he has had numbness about the left foot, both the dorsum and the plantar aspect, at times when walking he has to stamp the foot to ease that pain and discomfort and at time experiences pin [sic] and needles.
In addition he states that he has had some dizziness since the accident, finds that if he stands up quickly in the early morning, he experiences dizziness and has to obtain support.
...
In addition he states that he has had difficulty with memory of recent events, instancing placing the car keys in the fridge, and cannot recall having cleaned his teeth, although his wife reminded him that was the case.
...in the cervical spine there was a tilt to the right, with slight diffuse tenderness throughout the posterior mid-line, extending to the area of the trapezius, bilateral. Movements in the cervical spine, extension to 0°, anteroposterior flexion to within three fingers' breadth of the sternum, the remainder of movements were limited to a quarter of the expected range.
At the right shoulder movements were full and painless. At the left shoulder movements were restricted because of pain about the shoulder and scapula, and numbness about the ulnar two digits, with flexion 90°, extension 50°, abduction 90°, adduction 10°, external rotation 70° and internal rotation 30°.
In the left upper limb there was sensory impairment over the ulnar border of the left forearm and ulnar two digits, there was no intrinsic weakness of the muscles of the hand, specifically no weakness of the hypothenar muscle, grip strength was diminished on the left, whilst deep tendon reflexes were present and symmetrical. Movement at the left elbow was full and painless and provocation for extensor tendonopathy was negative.
In the lumbar spine there was no tenderness, with movements, forward bending fingers reaching to the knees, the remainder of movements to less than a quarter of the expected range ... .
Straight leg raising was limited to 60°, because of pain in the low back, deep tendon reflexes were present and symmetrical, there was sensory impairment throughout the left lower limb, of stocking distribution, and global weakness of the left foot. Standing on heels and toes was accomplished without a problem and gait was normal.
133 In this examination the range of movement in the cervical spine that was observed by Dr Dare at the end of September has seemingly been reduced to almost nothing. Lumbar spine movements have been reduced to one quarter of the expected range. Like Dr Dare however, Mr Slinger found symmetrical reflexes and no intrinsic weakness of the muscles of the left hand.
134 Having regard to the radiological investigations of the left arm, Mr Slinger said of an ultrasound taken in August 2012, 'features confirm ulnar neuritis'. With respect to the MRI of the left elbow taken in October 2012, he said there were symptoms 'consistent with focal neuritis'. The low grade partial thickness tearing of the common extensor, with scarring of the radial collateral ligament was 'suggesting previous injury'. There was 'a minor degree of degenerative change at the radiocapitellar joint'.
This man sustained soft tissue injuries in the accident described at work, rendering symptomatic the previously asymptomatic degenerative changes in the cervical spine, there was no convincing evidence of fracture, the radiology appearance I would suggest is longstanding.
Symptoms in the left upper limb, however, do appear to relate to an ulnar neuritis, or possibly medial epicondylitis, although there are no confirmatory studies. I cannot relate his symptoms in the foot to the work accident, indeed I am uncertain as to the cause of that pathology. It does appear that he has recent symptoms in the lumbar spine, which relate to the physical therapy manipulation, or traction.
136 In an accompanying report of the same date Mr Slinger answered specific questions posed by Mr Thomas' solicitors. He opines, among other things, that Mr Thomas:
...has been incapacitated from returning to his pre-accident occupation as a trades' assistant.
...
It is too early in his convalescence from injury to make any accurate assessment as to his prognosis, or whether he will be able to return to his pre-accident occupation, however, unless there is some dramatic change in his symptomatology, that restriction may well be a permanent one.
...
... at present he is not fit to return to any form of employment, in view of his severe symptomatology, particularly in the cervical spine, and further improvement will be required before he will be considered fit to return to light sedentary activities in the first instance, and if further progress and improvement is occasioned, which commonly occurs with such soft tissue injuries, it may be that in the future he will be able to return to his pre-accident employment.
It is premature to make any accurate assessment as to prognosis ...
...
There is no reason to anticipate that your client will be subject to the risk of degenerative change.
...
I would also add that at the time of this review he does appear to have pathology of the left shoulder, which not been investigated, nor indeed mentioned in the review of either colleagues, and to exclude any such pathology I would recommend an MRI examination.
In response to your further letter, the radiology of July 2012 does show minimally displaced fracture of the superior articular process of C6 of the left C5/6 facet joint and in my opinion, the injury described of 6 July is sufficient to have caused such a fracture.
137 The last comment of Mr Slinger's as to the potential for the accident of '6 July' [sic] to have caused the fracture in the facet joint seems at odds with his comment in his other report that there was 'no convincing evidence of fracture', the radiological appearance seemingly being 'longstanding'. There is no explanation of this.
138 There are two difficulties with Mr Slinger's conclusion that previously asymptomatic degenerative changes have become symptomatic. First, it relies on the subjective reports from Mr Thomas of absence of symptoms prior to the workplace accident and presence of symptoms afterwards. Second, it does not explain what it is that is now causing symptoms; that is what pathology or process is said to now cause the extreme limitation of movement and specific pain symptoms complained of. A declaration that the previously asymptomatic is now symptomatic does not reveal any process of reasoning that can be tested.
139 As Mr Slinger correctly observed, the debilitating shoulder problem observed by him had not been previously reported nor investigated. It is too much to think that was because none of Mr Thomas' GP, or Dr Silbert or Dr Dare failed to notice such complaints or chose to disregard them. The reports show a perplexing progression of the problem in Mr Thomas' left hand and arm. The 'tingle sensation' in his little finger and down part of the left forearm when flexing, as reported by Dr Silbert, has become numbness in his 'left ring and little finger' by the time he sees Dr Dare, grows to include 'pain along the ulnar border of the left forearm, from the elbow distally... and ... pain about the lateral aspect of the forearm and elbow, as when driving, holding a steering wheel'. This is against a background of Dr Silbert having difficulty in explaining how the limited symptoms that he saw might be explained by the radiology. The most that Mr Slinger could offer in this respect was to suggest that the left arm 'symptoms appear to relate to an ulnar neuritis, or possibly medial epicondylitis, although there are no confirmatory studies'.
140 As will be seen, the left arm and shoulder symptoms would become worse yet, and seemingly more debilitating 'although there are no confirmatory studies'.
141 In March 2013 Mr Thomas was examined by Dr Philip Hardcastle, a consultant orthopaedic surgeon. Dr Hardcastle prepared a report dated 27 March 2013. Dr Hardcastle reports the history of the accident and injury in this way,
He was moving two bins, with his left hand behind him pulling a half full bin and his right arm pushing a quarter full bin in front of him, when he heard a noise which he thought was his supervisor, and he turned to the left to look and then immediately on looking back in front of him he hit a boom with his head. He said he was wearing a beanie and there was a short period of loss of consciousness, but he reports that his left arm was pushed back with his left leg and he had a pain in the arm. He was a little disorientated but he recalls falling, and following this he got up and was shaking for about 20 minutes. He was checked by another work colleague and subsequently continued working.
He had been having headaches prior to this and had some codeine with him so he took this. He said that his was from stress he had been having recently when trying to find accommodation.
He said he finished the shift about 6 pm doing normal duties but was not pulling the bins and he drove home. He reports he was having pain in the left wrist region shooting up to the shoulder area and the following day he noticed some double-vision and took some more medication. He did light duties, filling the bins and general clean-up duties, and at smoko he was walking up some steps when he tripped, but was able to get up the two flights. One of the other workers noticed him tripping and this other work colleague told him to put in an incident report as Mr Thomas was having double vision also at that stage.
He saw his general practitioner and had a CT scan shortly after, which was normal.
He was put off work after the CT scan for about a week and then returned to work for two days doing light duties, but he said he was giddy and getting double vision and at that stage was getting neck and left hand pain. Later in the consultation he referred to having numbness since the fall in his left foot.
142 Neither Mr Thomas' GP nor Dr Silbert recorded anything about 'pain in his left wrist shooting up to the shoulder area'. Nor does such an injury feature in Mr Thomas' initial workers' compensation claim.
143 Another notable feature in this particular report is the reference to 'a short period of loss of consciousness' that does not appear in other medical reports. In his first witness statement Mr Thomas says that with respect to the reports of Dr Dare and Dr Hardcastle 'there are some inconsistencies which I need to clarify'. Mr Thomas says he was not wearing a beanie as recorded by Dr Dare and Dr Hardcastle, but a hat. He also says 'I did not lose consciousness as reported by Dr Hardcastle but I did become very dizzy and disorientated with blurred vision'.
144 Apart from arguing about the conclusions to be drawn from the reports of each, Mr Thomas does not further challenge these reports, including the histories he is reported to have provided.
145 At the time of the examination by Dr Hardcastle, Mr Thomas was still reporting:
[N]eck pain in the upper and lower region on a daily but intermittent basis, which is aggravated by rotation and extension, as well as stress. He also reports frontal headaches going to the back which can be good for about week but then can occur on a daily basis, for which he gets relief with either lying down or Codeine.
Symptoms are not too bad in the morning if he has slept well but otherwise they can be quite painful and he can wake at night, but not on a nightly basis.
Left elbow symptoms are over the posterior aspect and related to pronation and supination movements such as unscrewing bottles or picking up heavy items. He said he can manage about 5 kg on the left and 20 kg on the right. He does get pins and needles in the ulna distribution of the hand on a daily basis which is intermittent, and a numbness which is constant is mainly in the fingers.
146 I note that according to the history taken by Dr Hardcastle, prior to the accident Mr Thomas was experiencing headaches of such a severity he that took codeine to work with him to treat it. Mr Thomas' attribution of these headaches to a significantly stressful event in his life may or may not be correct, but it provides some measure of his assessment of the level of stress, as well as the level of pain he was then experiencing.
147 Dr Hardcastle recorded the results of his clinical assessment. With respect to Mr Thomas' neck he said this:
Extension was 5 degrees and he had very little movement to objective assessment with flexion of only about 10 degrees, rotation 10 degrees to both sides and lateral flexion 5 degrees to both sides and in lying down doing this assessment with his neck relaxed, there was still very little movement and even a slight amount of compression in particular, and distraction, caused increased discomfort. On informal examination I noted that he had almost a full range of cervical movement and he could rotate at least 40 degrees easily to both sides.
148 The discrepancy between the range of neck movement on informal as opposed to formal examination is surprising. Dr Hardcastle's reported observation of this was unchallenged by Mr Thomas.
149 With respect to the upper limbs, among other things Dr Hardcastle records, 'Grip strength was 44 kg on the right and on the left was 10 kg. It was difficult to explain this discrepancy'. While unable to explain the discrepancy, Dr Hardcastle does not challenge it, other than by the scepticism implicit in his conclusions below. The validity of this claimed limitation depends very much on the acceptance of the honesty and reliability of Mr Thomas' evidence about his symptoms.
150 Dr Hardcastle considered and reported on some of the imaging investigations that had been conducted. With respect to the MRI of the cervical spine in July 2012, he said: 'These show evidence of multi-level disc degeneration consistent with his age but no evidence of any sign of acute pathology involving the intervertebral disc'. With respect to the CT of the cervical spine from July 2012:
This reports minimally displaced fracture of the superior articular process of C6 at the left C5/6 facet joint of limited significance, given that there is no associated oedema adjacent to this area on the MRI scan. There are no other associated features to suggest an acute injury to the C5/6 level.
151 With respect to the October 2012 MRI of the left elbow, Dr Hardcastle said:
This reports some possible focal ulna neuritis proximal to the cubital tunnel. There is also reported some low grade partial thickness tearing of the deep fibres of the common extensor origin and signs of scarring of the radial collateral ligament (suggested previous injury) and there is some evidence of osteoarthritis of the radiocapitellar with prominent cystic change noted on the radial side but no significant joint effusion or synovitis as reported.
152 Dr Hardcastle's conclusions are set out in the section of his report headed 'Opinion' at page 7:
Mr Thomas reports having a fall in somewhat unusual circumstances and since then he reports a spectrum of different symptoms for which he has undergone a series of investigations and assessments, with the overall situation being atypical. ...
Overall, there is no evidence on clinical examination of any specific pathology of significance. The radiological report referring to the possible fracture of the C6 superior articular process is longstanding, based on the MRI findings and I would support Mr Slinger's opinion in relation to this, and that it is of no specific consequence and not related to the injury.
His neck symptoms are consistent with degenerative disease and it is acknowledged that stress is an important factor in chronic neck pain. ...
There were no specific objective findings when examining the left upper limb apart from some non-specific tender areas. The MRI of the elbow does support some oedema adjacent to the ulnar nerve and it would not be unreasonable to consider that there was a soft tissue injury to the ulnar nerve. The reported decreased sensation though involving both the dorsal and palmar aspects of the little and ring fingers are dematomal and not related to the ulnar nerve as it is the radial nerve that supplies the dorsal aspect of the fingers.
Tenderness around the elbows is fairly non-specific and there is no specific loss of movement in the shoulder, elbow or hand comparing this with the right. There is no specific difference in circumferences and appreciating that there is a difference in grip strength, he still objectively tested Grade 5 on the left to each individual muscle group between C5 and T1.
There is no specific evidence on the MRI to support any neural compression involving the C8 or T1 nerve which supply the ring and little finger.
The numbness reported in the left foot is either related to the sural nerve or S1 but examination of the lumbar spine and lower limb does not demonstrate any specific objective neurologic or nerve compression findings, which would support more of a local cause for this.
Overall, it is difficult to explain the high level of subjective pain and reported disability on the basis of the clinical examination. My recommendation would be to undertake a regular hydrotherapy program and look at a return to work with alternate duties.
153 Dr Hardcastle concluded that Mr Thomas had 'degenerative cervical neck disease and evidence of some mechanical neck pain with no evidence of neurologic deficit or neural compression. Left arm symptoms are difficult to be specific about in relation to this with possibly some mild ulnar neuritis, however the numbness or reported decreased sensation distal to the ulna nerve at the elbow is not specifically related to the ulnar nerve'. With respect to the possible cause of Mr Thomas' then current symptoms Dr Hardcastle said:
The fall itself has, on evidence, resulted in most likely a soft tissue injury to the left arm, predominantly the elbow region. Although he impacted his head there is no specific history of any force of any significance to warrant any significant injury to the cervical spine and certainly, the subsequent CT and MRI do not identify any problem related to acute trauma. The left lateral foot numbness is difficult to explain on the basis of the injury unless he had a direct injury most likely to the leg, but I cannot find any evidence on the earlier reports, particularly from Dr Beresford of any bruising that would account for this. It is possible that it is related to the lumbar spine but there are no specific definitive nerve root compression signs or objective neurologic signs to go along with this.
154 In trying to explain the current symptoms Dr Hardcastle said:
It is difficult to explain or attribute the spectrum of symptomatologies on the alleged incident of 5 July 2012. It is not my opinion that this particular incident would have caused any specific psychological injury taking into account that he has previously reported significant psychological problems for which he was getting headaches and using Codeine ...
The degenerative changes demonstrated on the scans is quite significant and advanced and examination of the left upper limb and left lower limb do not demonstrate any specific problems that one could identify being related to the type of fall that he reports, appreciating that there is likely to have been a soft tissue injury most likely to the elbow region from the fall, and possibly a mild contusion to the neck region.
In summary, the current symptoms in my opinion are likely to be a combination of a number of different problems, but difficult to directly relate to the specific incident.
...
It is not my opinion that he is unfit for work and he should be able to manage pre-injury trade assistant duties or other forms of work with some restrictions, particularly taking into account he is right handed. The main restrictions would be to avoid heavy manual pushing and pulling activities, avoid lifting and carrying weights with his left arm of more than 5 kg to at most 10 kg and use it more as the non dominant supportive arm.
155 The recommendation of a limit of lifting and carrying of weights of more than 5 - 10kg appears to come from Mr Thomas' claimed limitation and because of the results of the grip test, '... which was difficult to explain ...'.
156 A submission made on behalf of the appellant was that there was a conflict between the evidence of Dr Silbert, Dr Dare and Dr Hardcastle with respect to Mr Thomas' claimed left arm symptoms, that the arbitrator was required to, and failed to resolve in his reasons. It was submitted that Dr Hardcastle's report offers support to the evidence of Mr Thomas as an explanation for the left arm symptoms. What all of the reports have in common is that they appear to struggle to reconcile the objective evidence of no or minor pathology in the medical imaging and the undiminished reflexes and lack of muscle wasting, with the ongoing and expanding complaints of Mr Thomas.
157 I have omitted portions of Dr Hardcastle's report where he refers to the potential for problems to have arisen from stress and other psychological causes. He does however refer to matters of history that could rightly be described as stressful life occurrences. In any event, given the absence of adverse findings on clinical or radiological examination and notwithstanding the slow rate of improvement, Dr Hardcastle said that he 'would expect the potential for an excellent result'.
158 On 8 November 2013 Mr Thomas was again reviewed by Dr Dare. The results of this are set out in Dr Dare's report of 11 November 2013. Dr Dare records Mr Thomas reporting a poor mood, being 'suicidal' on occasion, this moving him to sell his gun. Dr Dare notes that:
The only further investigations he has had since I last examined him has been an MRI scan of the left elbow. This demonstrated some possible focal ulnar neuritis. However, I cannot in any way relate that to the incident where he hit his head.
I questioned him again regarding the incident and he described holding onto two wheelie bins, pushing one bin and pulling the other and he described 'doing the splits' after he hit his head but there was no direct blow to the left elbow and just hanging onto the bin would not result in an injury or neuritis to the left ulnar nerve.
...
In regard to ongoing symptoms, he continues to describe the constant ongoing neck pain which he described as mainly being on the left side of the neck.
He continues to describe the foot numbness. Initially when I examined him it was outer foot numbness but now he described the whole foot and up into the calf.
He also described tingling in the left ring and little fingers, again no difference with this, describing this as being constant.
He also continues to have the left elbow discomfort.
159 On physical examination Dr Dare observed, among other things:
Examination of his cervical spine demonstrated similar to previously with restricted range of movement in all directions but, if anything, it was probably slightly more restricted with lateral rotation.
Again, examination of his upper limbs demonstrated normal power and sensation and no signs of radiculopathy. He was still describing the tingling in the left ring and little fingers but there was no muscle wasting in his left hand and it was normal colour and temperature and he had reasonable grip strength.
Examination of his lower limbs demonstrated the normal straight leg raise and he had normal power, sensation and reflexes in both lower limbs. Specifically there were no signs of radiculopathy but he was describing the numbness to light touch over the left foot but in no dermatome distribution.
160 That is, with respect to this last observation, the complaints of 'numbness' on the skin surface did not correspond to the relevant nerve distribution at the skin surface.
161 After describing the results of physical examination Dr Dare sets out his opinion and diagnosis:
When I previously examined Mr Thomas I considered he had suffered a minor soft tissue injury to his head and neck as a result of the incident he described and this would have resolved over a number of weeks.
He had significant pre-existing degenerative disease in his neck and I considered this would be the cause of any ongoing symptoms in his neck and not the incident, which occurred. I have no reason to change that opinion.
I cannot relate his symptoms in his left hand in any way to that incident which occurred. I consider there was no mechanism where he would suffer an ulnar neuritis with the incident he described.
Also, in regard to the numbness in his left foot, again that cannot be explained with the incident he described as there was no mechanism whereby the incident he described could cause this problem.
Other than to state that he continues to have variable symptoms in his neck related to degenerative disease in his neck, I am unable to explain why he continues to have such significant ongoing symptoms and impairment.
When I previously examined him I considered he could work as a Trades Assistant and, certainly from a physical perspective, I have no reason to change that opinion.
162 Dr Dare goes on to refer to psychological issues. He later continues:
... I do believe he has recovered from any physical injury he had related to the incident in July 2012, and he would not have an incapacity or work in relation to that incident.
Therefore, from a purely physical point of view, he would be fit for his pre-accident duties as a Trades Assistant on a full-time basis without restriction.
However, whether he is unfit for his work duties due to his psychological symptoms, as he does appear to have some depressive symptoms, or his pain from his degenerative disease, is difficult to determine.
...
I am able to confirm that I am aware of his pre-injury work as a Trades Assistant. I am an Occupational Physician who has visited many work places over the years in this role and am well aware of the duties required in being a Trades Assistant in various work places, including the type of work places Mr Thomas was working in.
...
In relation to his work injury, he has recovered. His prognosis for returning back to work is obviously guarded due to his other health issues, with his psychological symptoms and his degenerative disease in his neck.
...
He does not require any further treatment in relation to his work injury.
163 In Mr Thomas' first witness statement he described his symptoms as at 9 April 2014 in the following terms, in particular as they were affected by his work at Covs Parts:
I was then placed picking and packing parts at Covs Parts working five hours per day, three days per week. I am continuing with these duties but my neck pain has increased substantially as I am required to look up regularly to shelving above head height to pick and pack parts from those shelves. Some of the shelves are so high I need to use the ladder which I am not comfortable doing. I try not to pick up any heavy parts as this significantly increases both neck and left arm pain. I take regular breaks and sit down whenever I possibly can.
Current symptomology
164 With respect to his past medical history, Mr Thomas said this:
165 When Mr Thomas gave evidence before the arbitrator, his first witness statement and a further statement dated 9 July 2014 were tendered and confirmed by him to be accurate. In the course of giving evidence he was asked whether he had any difficulties with lifting or pulling. He answered:
Yes. Anything repetitive, especially if I had to get down and clean anything, you've got to look left to right, picking up swabs and stuff, you're getting under some small spaces under the machinery that they ask you to clean, and anything repetitive is - gives me a lot - incredible amount of pain in my neck ... lifting and pulling, the same thing because it pulls on the - it feels like its pulling on the nerve system ... it almost feels as if there is a pulling going down the back of my neck.
166 He was asked whether he was able to continue working notwithstanding the pain that was experienced and he said:
No I wouldn't because it would just incapacitate me through the course of the day and if they see that you're forever up and down and, how can I say, not there full on, they'll just ...
167 As I have noted, Mr Thomas was not cross-examined.
168 Notwithstanding the claim of the left foot injury by Mr Thomas, counsel appearing on the appeal expressly disavowed any reliance on any injury to the left foot or leg. Despite the fact that Mr Thomas said on his oath that the various problems with his foot and calf arose from the accident, counsel for the appellant described it as 'a bit of a red herring'. As counsel said, 'we don't pursue the foot because there simply wasn't medical evidence from either side which supported that contention'.
169 While the claimed foot and calf problems are understandably not being advanced as a cause of disability, in my view it is not accurate to describe them as a red herring, in the sense of a meaningless clue or intentional distraction. The fact is that Mr Thomas has been asserting that he has been at least partially or intermittently disabled from some of his usual activities by this claimed injury, an injury that he unhesitatingly blames on his workplace accident. The fact this particular injury is one which has moved and worsened with various reports, and is one which all medical experts agree is entirely inexplicable, is not meaningless in the context of the assessment of the appellant's evidence.
170 Nor was it suggested on Mr Thomas' behalf that his claimed blurred vision, recurring dizziness and short term memory difficulties, attributed by Mr Thomas to his workplace accident, are a source of any disability relevant to the assessment of the s 62 application. Presumably that is also because of the complete absence of any medical evidence that would support such injuries and indeed the evidence of the CT scan taken on 5 June 2012. Instead I was asked to have regard to those complaints in assessing just how severe the blow was to Mr Thomas' head.
171 Dr Dare and Dr Hardcastle have said that in effect Mr Thomas suffered a modest bump to the head that did not explain his ongoing, expanding and worsening symptoms, and from which he should have long since recovered. No medical practitioner appears to suggest that the injury to the head was especially forceful, at least based on objective proof. There is no medical report that notes any observed injury. There is no clinical finding of any cut, bruise or bump. The CT scan that was taken because of Mr Thomas' complaints did not detect any abnormality. Despite that, the symptoms of dizziness, vision problems and short term memory loss were advanced as proof that the blow was much more severe than Dr Dare or Dr Hardcastle allows.
172 There is a problem of circularity in this argument, inviting as it does reliance on the accuracy of what Mr Thomas has reported about his symptoms, in order to provide a basis or explanation for the claimed severity of those and other symptoms. It also begs the question as to how it is that Mr Thomas suffered and continues to suffer problems of dizziness, blurred vision and memory loss when, like the problems with his left foot and leg, the objective evidence suggests that there is nothing wrong.
173 In Mr Thomas' first witness statement dated 9 April 2014, while referring to his job as a trades' assistant at Komatsu he says:
In the course of carrying out those duties on 4 July 2012 I sustained injury to my head and neck together with radiating pain into the left arm, left foot, together with a secondary psychiatric depression.
174 Mr Thomas' description or diagnosis of his left arm pain as 'radiating' seems to link or tries to link that to the injury to his head and neck. Similarly, he attributes 'a secondary psychiatric depression' to the accident on 4 July 2012. I note that at the hearing of the appeal counsel for Mr Thomas disclaimed any suggestion that the symptoms in the left arm had an origin in the neck. Despite Mr Thomas' claim of 'radiating pain' from the neck, the medical evidence does not support any link.
175 Sometime prior to December 2013 some of the doctors who examined Mr Thomas reported his presentation to include some depressive symptoms. The arbitrator was not prepared to accept any diagnosis of depression from an orthopaedic surgeon or occupational physician and expressly disregarded any such comments as beyond the range of their expertise. Nonetheless, their descriptions of stressful life events reported to them by Mr Thomas are useful in assessing the assumptions relied on in the psychiatric reports that came later.
176 In January 2014 Mr Thomas was admitted to Bunbury Regional Hospital for what was described as a 'situational crisis'. A certificate from Mr Thomas' GP refers to 'depression'. Some description of this appears in a report prepared by Dr Ng, a consultant psychiatrist who examined Mr Thomas at the request of his solicitors. In the report Mr Thomas is recorded as saying that:
... some days ago he felt at his worst emotionally and he was admitted to the Bunbury Regional Hospital and treated with the atypical major tranquilliser Olanzapine, which he said calmed him. He had ceased taking this medication now'.
Following discharge from the hospital he was being followed up by a general practitioner and a psychologist.
...
He said that he was diagnosed with a 'situational crisis'.
177 According to Dr Ng, Mr Thomas described his 'pre-morbid personality' as 'always been a joker...pulling pranks', and that he was sociable, not a worrier and 'pretty confident'. I note that in an Initial Assessment Report prepared by WorkFocus Australia, tendered as part of the appellant's documents, it is said that 'Mr Thomas reported a disjointed employment history experiencing "falling outs" with all employers, including working on a farm as a welder for two months prior to the fall out, then as a commercial cleaning [sic] for 10 days before the fall out'. That description may not be entirely inconsistent with the one given to Dr Ng, but it sounds less cheerful and sociable. Mr Thomas also told Dr Ng that in his employment prior to his accident, his boss was 'pedantic' and a fellow employee named 'Richard' was a back stabber, '...who was your client's peer, but thought that he was your client's boss'. That sounds like the earlier pattern of 'fall outs'.
178 Dr Ng's report includes a description of the incident at Komatsu, a description from Mr Thomas of his symptoms following the incident, and his difficulties since:
He said that he was pushing two 'wheelie bins', and he found that the 'skips' were full.
He was then in the process of pulling the wheelie bins back. He said that many areas were 'cordoned off'. He said there was a small gap between machinery to get through with the wheelie bins.
He then said someone called him 'oi'.
He reportedly turned and his head hit a 'boom' 'of a PC 2000 of a face [sic] shovel'.
He said that he suffered from neck stiffness and pain, and restrictions in his movement, and also developed pain in the lower back. He also reported that he experienced pain and discomfort in his left foot which also became numb, that his left lower leg also felt numb, that his left forearm up to left fingers also felt numbness, and that he had difficulties with his left fingers saying they were 'bird clawing'.
He reported that he lost some strength in his left arm, possibly 50% of what it was.
179 Mr Thomas is recorded as repeatedly saying that it was frustrating that he was not at work, that he wanted to work and that he had no desire to 'just stay at home'. He was reported as saying that, if not for his physical symptoms, 'you just want to get out there and work'. Mr Thomas reported being frustrated by the way he was being treated by the insurer, 'I felt that I am worst than a criminal' [sic]. He said that there were 'times when he cried privately when he went to the beach'. He told Dr Ng that 'I got to the stage where I feel like I was going to end it'. For that reason, he explained, he had sold his rifle.
180 Understandably, Mr Thomas was asked about his psychiatric history.
181 Dr Ng reported that his 2004 right arm injury had been very frustrating, and he had become 'bloody angry' and saw a counsellor 'for a couple of weeks'. That injury he said was now fine though 'he currently continued to experience some mild and intermittent discomfort'. Otherwise he said, 'he had not been formally diagnosed with a psychiatric condition as a consequence of the above'. Mr Thomas also said that although while at Komatsu there had been a disagreement with the 'boss' over whether Mr Thomas was obliged to pay for some accommodation that was provided, and that he was frustrated but not depressed about it, he was happy and not suicidal while working at Komatsu.
182 As will be seen, from another document tendered by Mr Thomas' legal representatives, it appears that Mr Thomas did not draw to the attention of Dr Ng that, among other things, pre-dating March 2013, 'he had a history of mental illness and had been on Prozac in the past, however no longer takes this medication ... he had unsuccessfully attempted suicide in the past ...'.
183 Dr Ng records Mr Thomas' previous medical history based on what Mr Thomas told him. One item that he refers to is Mr Thomas' description as to how 'He had "passed" a kidney stone "years ago" and also that he had 2 pterygium removed, both in the 1980's'. In a progress report from WorkFocus Australia dated 28 January 2014, tendered by the appellant, it was noted that 'Mr Thomas was unwell due to kidney stones on 18 and 19 November 2013 and unable to attend work. A medical certificate was provided'. Dr Ng was unaware that just a month or so prior to Mr Thomas' 'situational crisis' he had been experiencing problems with kidney stones, not 'years ago'.
184 Dr Ng asked Mr Thomas whether he had 'any other psychiatric symptoms at the present time'. In this respect Mr Thomas reported that he was,
Currently battling to sleep through the night and that he would toss and turn and wake up.
He denied current bad dreams.
He reported that his current appetite tended to fluctuate.
He reported feeling somewhat tired to a variable extent.
He reported that his current libido was erratic.
He said that he was not very motivated these days.
185 Mr Thomas told Dr Ng that his current daily routine was 'waking up at about 5:00 am when he would make coffee and then sit down to think and worry about the future'. He worried about what type of work he would do in the future. He reported generally having lost interest in the things he used to enjoy doing such as sketching. On the other hand he said that, if he went fishing with his mate he did not enjoy it as much because he could not haul in the heavy fish and his friend had to help him. He said that he was not particularly sociable 'these days' and he reported 'currently being easily forgetful'.
186 When Mr Thomas spoke to Dr Hardcastle in March 2013 he said then that he liked 'sketching and fishing which he has not done since he left New Zealand'. It would seem that since March 2013 Mr Thomas had returned to fishing, but had not resumed the sketching which stopped months before his accident.
187 Dr Ng sets out his observations of Mr Thomas under the heading 'Mental Status Examination'. With one arguable exception it sounds as if Mr Thomas presented as a model of normality. The only departure from that is Dr Ng's note that:
At times he provided information in excess of what was required to answer my questions. His approach to answering my questions was fairly pedantic.
His affect was generally mildly depressed and was at times anxious.
188 In the final section of his report Dr Ng answers the questions posed to him by Mr Thomas' solicitors. Under the suggestive heading, 'The nature of the psychological injury sustained by our client' Dr Ng says:
Based on the history elicited, the mental status examination, having perused your documentation and from my clinical experience, I am satisfied that your client currently suffers from an adjustment disorder with depressed mood (DSM 5) with some degree of associated anxiety.
The reported psychiatric symptoms including pathological depressive symptoms as stated in the body of this report as well as the systematic enquiry section of this report have caused your client marked distress and let [sic] to impairments in general, occupational and social functioning.
189 Under the next heading 'Whether our client's psychological symptoms can be directly or indirectly related to the injuries he sustained in the work accident' Dr Ng says:
From the history provided by your client, the most significant contributing factors to the onset of the adjustment disorder were the said incident of 5 July 2012 and its physical squealae [sic].
190 From this it is apparent that Dr Ng accepted at face value what Mr Thomas told him about the nature and severity of his symptoms, and the fact that they were the consequence of the workplace accident. Dr Ng goes on to describe a series of what seemed to be rather stressful life events that preceded 4 July 2012 but then concludes:
I could not identify any other non-related factors which could have accounted for or contributed to the onset of his adjustment disorder.
Currently and purely from the psychiatric perspective, your client is totally unfit for any type of work due to the extent of his currently reported psychiatric symptoms. I understand that he has recently been discharged from hospital due to a crisis.
192 Dr Ng was provided with a number of the medical reports that I have referred to. He was even provided with radiology reports. I cannot help but wonder why, given what he was being asked, Dr Ng did not have any information from those who treated Mr Thomas at the Bunbury Regional Hospital. Nor was he provided with anything from the psychologist whom Mr Thomas was said to have seen.
193 Given the nature of some of the other stresses in Mr Thomas' life it is difficult to see why Dr Ng was so quick to dismiss them as causing or contributing to Mr Thomas' claimed mental problems. Nor does it appear that Dr Ng was provided with an accurate history of Mr Thomas' health issues.
194 In June 2014 Mr Thomas was examined by Dr A J Mander, a consultant psychiatrist, at the request of the employer's insurer's solicitors.
195 In his report dated 4 June 2014 Dr Mander sets out a history. Part of it has been provided by the employer's solicitors and part by Mr Thomas. Mr Thomas was asked about his emotional and psychological response to the claimed injury and certain life events that were described. Among other things Dr Mander records Mr Thomas as saying that,
He categorically denied a past psychiatric history of any sort. He says that 30 years ago in the setting of the death of his fiancé he had to cope with grief.
I put it to him that his description was that of an individual coping normally with difficult circumstances and he agreed. I further put it to him that, under those circumstances, he was not mentally ill. He then agreed with me. ... There is no disturbance to his energy or motivation. He was put on Pristiq by his GP but (does not know the dose) approximately 2 months ago. This has 'calmed me down a bit', I put it to him that it had helped his frustration and he agreed. However, along with medicine for 'flu' (and he needed to use a copious number of tissues this morning) it makes him feel 'like a zombie' and he has stopped it. He was briefly hospitalised for five days 'I felt they were tipping me over the edge_'_ and he was worried about his mother. He said 'I was at my wits end', 'I had had enough' ...
Enjoyment of fishing and being with his wife are maintained. If physically well he would get his welding ticket and try and get a job in the mine. He would like the case closed and is unhappy with the way his claim has been treated 'what am I, a criminal? Lock me up then!'
196 Under the heading of Mental State Examination Dr Mander reports,
Mr Thomas was friendly and cooperative. He was neatly dressed and cleanly presented. He maintained eye contact and rapport was easily established and maintained. He frequently returned to the need to have a rapid settlement of his case. Speech was normal and volume, rate and flow. His affect was serious, appropriate to matters being discussed. Overall I judged his mood to be euthymic (normal). His thoughts were logical, sequential and goal directed and he had no difficulty in understanding my questions and responding to them.
He was not suicidal, delusional or otherwise psychotic. His insight and judgment were intact. He was alert and fully orientated. There is no clinical evidence of a cognitive deficit, although I did not undertake a formal cognitive assessment.
197 Dr Mander also refers to the information and history contained in the report of Dr Ng.
I obtained a significantly different history from that recorded by Dr Ng. This could be because he has improved and had only recently come out of hospital when he saw Dr Ng. When I fed back to him my view that his response was as one might expect in his situation he agreed. With regards to appetite he said that it was variable but that he had never been a big eater. His sleep was variable. He has retained his enjoyment of fishing, time with his wife, and motivation and energy (as evidenced by his specific statement that if he was physically able he would be immediately be back at work and persuing further qualifications) mean that I can see no justification for a psychiatric diagnosis. [sic]
199 Answering specific questions asked of him Dr Mander said, 'I could not satisfy myself there is any significant psychiatric history. His admission to Bunbury with the diagnosis of situational crisis is also important in that it confirms that, despite close observation, no obvious psychiatric symptoms were identified'. For these and other reasons Dr Mander gave the opinion that Mr Thomas was not currently suffering from a recognisable psychiatric condition.
The arbitrator's reasons and the grounds of appeal
200 It is obvious from his reasons that the arbitrator did have regard to the evidence of Mr Thomas with respect to his claimed injuries. Quite apart from references to the histories provided by Mr Thomas contained in medical reports, there are express references to his evidence at paragraphs [4], [6], [7], [28], [32], [33], [52], [65], [77], [100] - [112], [123], [125], [142], [143] and [145].
201 It could not be fairly said that the arbitrator 'completely ignored the appellant's evidence'. Nor in my view could it be said that the arbitrator 'failed to consider that evidence'. What was contained in Mr Thomas' witness statements and oral testimony did not require detailed analysis.
202 It is also apparent however, that the arbitrator rejected that evidence or, what amounts to the same thing, gave it no weight. That was despite the fact that, as ground one notes, 'the appellant was not cross examined by counsel for the appellant [sic] at the arbitration'.
203 Mr Thomas adamantly insisted that he had suffered a disparate and expanding collection of injuries that he directly traced to the incident on 4 July 2012. He swore he was without symptoms before 4 July 2012, and that thereafter he was disabled and increasingly disabled by injuries to his head, neck, left hand and arm, left foot and ankle, and lastly a 'secondary psychiatric depression'. Had the arbitrator given any weight to what Mr Thomas said in his evidence, with respect to the physical injuries alone, the respondent's application would necessarily have been dismissed.
204 The oral submission advanced before the arbitrator on behalf of the appellant was that, absent cross-examination, Mr Thomas' evidence was required to be accepted, and the medical opinions that had been tendered then stood to be tested against Mr Thomas' evidence. Before me it was argued, citing Pollock v Wellington (1996) 15 WAR 1, that it was 'incumbent upon [the arbitrator] to consider the appellant's undisputed evidence before any analysis could be made of the medical evidence'.
205 With respect, despite the lack of cross-examination, it is not correct to say that Mr Thomas' evidence was 'undisputed'. Nor, with respect, is it logical to suggest, as the appellant submits, that Mr Thomas' evidence had to be assessed before the arbitrator turned to consider the medical evidence. The medical evidence, especially where based on objective material such as radiological and other imaging, is helpful in assessing Mr Thomas' evidence.
206 The arbitrator had before him reports of well qualified medical experts, the effect of which was to call into question the injuries and symptoms claimed by Mr Thomas, both as to their nature and degree, and as to the likelihood they could be caused in the manner that Mr Thomas claimed.
207 Prior to Mr Thomas giving evidence, as is the practice in these matters, the arbitrator had written submissions from the parties. Those of the respondent put into issue the extent of any residual injury claimed to be suffered by Mr Thomas, the existence of claimed injuries, and the existence of any real disability. The respondent relied on much of the medical evidence that was tendered to establish those matters, and to expressly challenge the claims made in Mr Thomas' first witness statement. Referring to some of the inconsistencies I have set out above, the respondent invited the arbitrator to 'place little weight' on Mr Thomas' evidence.
208 The illogic of the appellant's submission that, absent cross-examination, Mr Thomas' evidence must be accepted, is demonstrated by the fact that no reliance is now placed on the alleged left foot and leg injury. That is despite Mr Thomas' continuing claims of such an injury arising directly from the accident. Given the mystification of even Mr Slinger as to how such an injury could be caused, the appellant's counsel's disclaimer of reliance on it is understandable. But it is fallacious to then argue that, absent cross-examination, all Mr Thomas' assertions must be unquestioningly accepted, and must be accepted without regard to the medical evidence.
209 The further submission made to the arbitrator and to me on behalf of the appellant was that, because Mr Thomas had not been cross-examined, the arbitrator was required to accept his evidence unless it was inherently incredible. The submission was that his evidence was not inherently incredible.
210 All other things being equal, it will be an unusual case in matters governed by the rules of evidence when the trier of fact may reject evidence that is not tested by cross-examination. The extent to which the arbitrator was entitled to do so here was not the subject of any developed argument on this appeal, beyond the same argument that was advanced to the arbitrator. Any such argument would of course need to address the fact that the arbitrator is not bound by the rules of evidence: s 188(2).
211 Even where the rules of evidence apply, the fact that a witness is not cross-examined on a matter, or even generally, does not inevitably mean that that witness' evidence must be accepted. The important rule of practice known as the rule in Browne v Dunn (1893) 6 R 67 UKHL is described in the well-known dicta of Hunt J in Allied Pastoral Holdings Pty Ltd v FCT [1983] 1 NSWLR 1, 16. At its heart, the rule is concerned with fairness. It would of course be most unfair to invite a trier of fact to have regard to matters contrary to the evidence-in-chief of a witness without giving the witness the opportunity to deal with those matters in his evidence, unless the nature of the case upon which it is proposed to rely in contradiction of the evidence has previously been made clear.
212 In my view the fact that, contrary to the subjective complaints of Mr Thomas, the medical evidence established that the July 2012 incident had not caused or significantly contributed to left elbow, hand, arm or foot injuries was made plain prior to the hearing before the arbitrator. The respondent relied on the medical evidence to challenge the assertion that Mr Thomas lacked the capacity to perform his pre-injury duties. The respondent made it clear in the submissions filed before the arbitration hearing that Mr Thomas' credibility was generally in issue and in that regard referred to a number of inconsistencies in the evidence.
213 It cannot be said that there is a general rule that a trier of fact must accept evidence that is not the subject of cross-examination, particularly if the evidence is contradicted by other evidence. In Bulstrode v Trimble [1970] VicRp 104; [1970] VR 840, 848, Newton J said:
If a witness' evidence upon a particular matter appeared in his evidence-in-chief to be incredible or unconvincing, or if it was contradicted by other evidence which appeared worthy of credence, the fact that the witness had not been cross-examined would, or might, be of little importance in deciding whether to accept his evidence.
214 I have referred above to instances where Mr Thomas' testimony was contradicted by other credible evidence, including evidence tendered on his behalf.
... be applied without qualification to a challenge to the witness' credit generally, particularly the credit of a plaintiff in an action for damages for personal injuries in relation to his evidence about his symptoms and incapacities. Damages are always in issue. Such a plaintiff knows that the defendant will contend that his injuries do not deserve the sum which he himself has placed on them. In many other cases the witness must know that the other side will contend that he is not telling the truth, and even in some cases, that he is deliberately not telling the truth. I cannot assent to the proposition that counsel cannot argue or the court find that a witness is deliberately giving false evidence unless the witnesses ask some such question as 'I put it to you that your evidence is false', or 'I suggest that that is a deliberate lie' or the like. Indeed, a successful objection might be taken to such questions as needlessly offensive ... Thomas v Van Den Yssel (1976) 14 SASR 205, 207 (FC) per Bray CJ.
216 Like the arbitrator, the conclusion that I have reached on reviewing all of the evidence is that any history given by Mr Thomas is of low weight. Indeed in my view the whole history of his symptomology is most unconvincing. It is notoriously difficult to disprove subjective complaints of pain. In this case a number of matters lead to the conclusion that it is not possible to accept Mr Thomas' evidence about his claimed disability. They include:
217 Even a few of these call into question the reliability and indeed the credibility of the appellant's evidence. Taken together, they readily justify its rejection as especially unconvincing. These readily identifiable issues make it unnecessary to consider other troubling issues, such as the pre-existing headaches of a severity that required codeine medication, and the significant inaccuracies in the history provided to the psychiatrists.
218 The arbitrator did have regard to the evidence of the appellant, but he rejected it. In my view he was entitled to do so. For these reasons ground one has not been made out.
219 Ground 2 asserts that the arbitrator failed to provide 'any reasons as to how he analysed the appellant's evidence and failed to provide the conclusions he reached with respect to the appellant's evidence'. The conclusion I have reached is that while the arbitrator's reasons did not adequately deal with these matters, and were in fact so inadequate as to amount to an error of law, it cannot be said his decision lacked 'any reasons' as to the analysis of the appellant's evidence. And, while the arbitrator did not state his conclusions about the appellant's evidence with the directness that is necessary, it could not be said that he kept his views secret.
220 Consideration of these issues requires an examination of some of the arbitrator's observations about the medical evidence.
221 The arbitrator first considered the puzzling evidence of symptoms in the left hand, arm, foot and leg. The arbitrator was alive to the fact that there was an unusual expansion of the injuries claimed, and inconsistency in descriptions of the incident. The arbitrator said (commencing at [51]):
'In the course of carrying out those duties on 4 [sic] July 2012 I sustained injuries to my head and neck together with radiating pain and to left arm, left foot, together with a secondary psychiatric injury'.
222 The arbitrator in his reasons at [54] noted the relatively slight evidence of some modest pathology in the left arm, the lack of any support for the variable symptoms in the left foot and calf, and the somewhat elusive and vague reports of symptomology,
Additionally, Dr Hardcastle in his report of 27 March 2013 (on pages 7 and 8) refers to his examination of Mr Thomas' left upper limb, elbow and left foot. My reading of the report is that there were some non-specific tender areas in the upper limb and elbows but no serious pathology and Dr Hardcastle noted that: 'Overall it is difficult to explain the high level of subjective pain and reported disability on the basis of the clinical examination'.
223 With respect to the claimed injury to the hand and left arm, the arbitrator expressly raised the fact that no mention was made of any such injury initially. That stands to be contrasted against the claim made by Mr Thomas in his first witness statement. It needs to be considered, as the arbitrator did, in light of the variability of the symptoms described from time to time, and the absence of any radiological or imaging evidence that supported the severity and significance of the symptoms reported by Mr Thomas.
224 As I have said, counsel for Mr Thomas rightly conceded that there was no evidence, or at least no medical evidence, that supported Mr Thomas' claim to have injured his left foot or leg in the course of his accident. Given the weight of medical evidence that found nothing that could explain the claimed injury to the left foot and calf, it could hardly be said that the arbitrator was not entitled to reach the conclusion that he did about that injury, notwithstanding Mr Thomas' evidence. The arbitrator was entitled to use his conclusion about that injury to inform his assessment of Mr Thomas' evidence generally.
225 At [55] of his reasons, the arbitrator's conclusion as to these injuries was:
I do not consider that the evidence on the balance of probabilities establishes that the incident on 5 July 2012 caused or significantly contributed to any left-arm elbow, foot or hand disabilities.
226 While the syntax creates a degree of imprecision, the arbitrator rejected what Mr Thomas said about 'the incident' and found that it did not cause any injury of this kind. Given the evidence before him, including the medical evidence, the arbitrator was justified in reaching that conclusion about those injuries. Having reached those conclusions he then turned to consider the evidence with respect to the problems said to arise from some injury to the neck.
227 With respect to the claimed injury and symptoms in Mr Thomas' neck, the arbitrator referred to some of the conflicts in the evidence before saying at [77] of his reasons,
From above the conflict in the opinions of Dr Dare and Dr Hardcastle compared to Dr Springer [sic] is self-evident. The respondent submits that Dr Springer's opinion on the physical injury is more logically consistent with the evidence of Mr Thomas and in its outline of submission challenges a number of the findings of the opinions of Dr Dare and Dr Hardcastle.
228 The arbitrator recognised the consensus of medical opinion based on radiography, with respect to the extent of Mr Thomas' pre-existing degenerative disease in his neck. It is also apparent that he understood that he was being asked by the appellant to accept that the symptoms described by Mr Thomas were more consistent with the conclusion of Mr Slinger.
229 Having referred to the medical evidence as to the physical injuries, the arbitrator concluded, at [100],
In summary in view of the above reasons I have formed the view that the original workplace compensable injury was confined to soft tissue injuries to Mr Thomas' head and neck after hitting his head on the steel beam ... . On the balance of probabilities the applicant has proved that the alleged injuries to Mr Thomas' left arm, elbow, leg and fingers has not resulted from the workplace incident of 5 July 2012. With the exception of Dr Springer [sic] the consensus of the other examining doctors was that the original injury to the respondents head and neck was essentially a soft tissue injury and which was not major. I have referred above to a number of concerns that I have with respect to the basis of some of Dr Springer's opinions. ... On the evidence I am unable to relate Mr Thomas' alleged ongoing symptoms (after some two years since the original injury) and impairment to the original compensable injury. Finally I have placed significant weight on the fitness issue from Dr Dare's opinion based additionally on his stated experience as an occupational physician familiar with the workplace requirement of a trade's assistant.
230 It is the case that in dealing with these particular issues the arbitrator did not explain how he reconciles Mr Thomas' evidence of continuing and increasing symptoms. That is, he did not expressly say whether he accepts what Mr Thomas' said about the existence of his ongoing symptoms, or whether he accepts that Mr Thomas is experiencing neck pain related symptoms, but exaggerating them, or whether he accepts the description of Mr Thomas' symptoms but concludes they existed before the work incident. The arbitrator does not expressly say whether he rejects Mr Thomas' claim that his work capacity is limited by his symptomology, whether caused by the pre-existing degenerative problem or the workplace incident. It is to be observed however that in summarising his reasons at [100] the arbitrator gave no more credit to what Mr Thomas has said than to describe his 'alleged injuries' and his 'alleged ongoing symptoms'. Even at that late stage in his reasons, his did not accept that these injuries and symptoms existed.
231 With respect to the claimed psychiatric injury the arbitrator rejected Dr Ng's opinion and accepted that of Dr Mander.
232 In rejecting Dr Ng's opinion the arbitrator said:
233 The arbitrator's plainest statement as to the conclusions he had reached about Mr Thomas' evidence is contained in [123]. He does not expressly say that he rejects Mr Thomas' evidence but sets out his conclusion that information provided by him '... is of low weight'.
234 I infer from his evident refusal to accept the appellant's evidence, the references to 'alleged ongoing symptoms' and 'low weight', that the arbitrator rejected the evidence of Mr Thomas as to his symptoms and their cause as exaggerated and unreliable. It would have been preferable had he said so expressly, and by reference to the reasons for that conclusion. As impolite as it might seem to the well-mannered, it is a necessary part of the duty of every trier of fact to plainly state such conclusions. It does no one a favour not to, and leads inevitably to appeals of this kind.
235 For these reasons in my view it cannot be said that the arbitrator failed to provide any reason as to how he analysed the appellant's evidence or the conclusions that he reached about it. As I have said already, the arbitrator's reasons did not adequately explain his treatment of the appellant's evidence and his reasons for that. To that extent ground 2 is made out.
236 Ground 3 raises the arbitrator's treatment of the psychiatric evidence and in particular the rejection of Dr Ng's opinion. The issue raised by the ground is that the arbitrator's reasoning, in accepting the evidence of Dr Mander and rejecting that of Dr Ng, was 'flawed'.
237 The submissions in respect of this ground seem to me to confuse the issue of the existence of a disabling psychiatric condition at the time of the hearing of the s62 application and the question of causation. It is apparent that the arbitrator was satisfied, consistent with the observations of Dr Mander, that at the time of his interview with Dr Mander, regardless as to how he may have presented during or shortly after his 'situational crisis', Mr Thomas was not suffering from a psychiatric disorder: [125] - [126].
238 With respect to the opinion of Dr Ng, the arbitrator referred to a number of matters that went to the basis of Dr Ng's opinion as to the existence of a disabling psychiatric disorder and the cause of it. The arbitrator referred at [127] to the difficulty he had in determining how Dr Ng reached the conclusions that he did based on the facts and assumptions that were set out. He referred to the difference between the physical injuries that Dr Ng assumed could be attributed to the work incident, and the claimed injuries that the arbitrator outright rejected as being connected to the incident. The arbitrator challenged the logic of Dr Ng in asserting that the 'most significant contributing factor' to the asserted psychiatric injury could be the workplace incident. Finally, he emphasised the importance to the opinion of Dr Ng of his reliance on the history provided by Mr Thomas, a history that the arbitrator regarded as 'of low weight'.
239 Ultimately there were several aspects of Dr Ng's report that troubled the arbitrator and led to its rejection. First there was Dr Ng's mental status examination which as the arbitrator observed was normal with the exception of a comment that 'his affect was generally mildly depressed and was at times anxious'. Next, there was the questionable foundation for and illogic of Dr Ng's opinion that 'the most significant contributing factors to the onset of the adjustment disorder were the said incident of 5 July 2012 and its physical squealae [sic]':
I could not identify any other non-work related factors which could have accounted for or contributed to the onset of his adjustment disorder.
240 Here the arbitrator noted that to the extent that Dr Ng was attributing psychological consequences to all the injuries, or 'alleged injuries' claimed to result from the July 2012 incident, it was not correct to do so. The arbitrator did not accept that any injury had been suffered to the left arm and leg. Secondly, as the arbitrator says with respect to this passage, at [117]:
The inference that I have drawn from this is since Dr Ng could not identify other factors, then in his opinion the injury must be work related. This does not seem to be a strong basis for the opinion.
241 In dealing with the illogic of Dr Ng's reasoning about causality, the arbitrator referred to other factors touched on by Dr Ng that in fact offer a basis for thinking that there were a number of significant stressors in Mr Thomas' life apart from any injury he may have suffered at work.
242 There were other matters raised by the evidence before him that supported the arbitrator's conclusions about that illogicality and the weakness of the factual basis given to Dr Ng. I have already referred to the evidence that, seemingly unknown to either psychiatrist, in November 2013 Mr Thomas had been experiencing problems with kidney stones. I have referred to the matters set out in the 'Initial Assessment Report' dated 13 March 2013, tendered in the arbitration by Mr Thomas' legal representatives, where a number of matters are recorded by the rehabilitation providers working with Mr Thomas as 'Strengths and barriers impacting on rehabilitation, including these 'psycho-social factors':
243 There are hints of some of these matters contained in Dr Ng's report, but it appears that there was much he was not told about. For example, Mr Thomas told Dr Ng that 'his wife was soon to start a job as a traffic warden and that she was currently a housewife'. Dr Ng was seemingly unaware that Mr Thomas' wife had been searching unsuccessfully for a job within her field of qualification as a teacher. Mr Thomas' problem with kidney stones was described by him in terms that implied that it was 'years ago' as opposed to just a couple of months before. The failure to tell Dr Ng about a history of mental illness and attempted suicide including the prescription of Prozac, meant these were unknown to Dr Ng.
244 In my view, on the evidence referred to by him, it was open to the arbitrator to reject the opinion of Dr Ng. The arbitrator's reasons for rejecting Dr Ng's conclusion are readily understandable. When regard is had to the other evidence tendered on behalf of the appellant, the foundation of Dr Ng's opinion is seen to be even less substantial. Without Dr Ng's evidence, there was no basis for concluding that the appellant was at the time of the s 62 application incapacitated by a 'secondary psychiatric depression' or that any such issue arose from the 4 July incident.
245 In any event, the arbitrator preferred the report of Dr Mander to the effect that, regardless of what stressors had been present in his life from time to time, Mr Thomas was not at the time of examination by Dr Mander suffering any psychiatric condition, much less any disabling one. Consistently with Dr Mander's report, it is rather difficult to see how a man who expresses enthusiasm for returning to work when physically able, who takes pleasure from things like the company of his wife and activities like fishing, can reasonably be said to be disabled from work by depression.
246 After Dr Mander's report was received, Mr Thomas filed a supplementary witness statement dated 9 July 2014. The purpose of that witness statement was to contradict some of the matters referred to by Dr Mander, to argue against some of the conclusions that Dr Mander expressed and to seek to undermine the accuracy of some of Dr Mander's observations and recorded history. It is reminiscent of Dr Ng's observations as to Mr Thomas' pedantic manner.
247 The arbitrator did not regard Mr Thomas' about some details of the history reported as of much significance. In my view he was entitled to reach that conclusion, and to conclude that they did not materially affect the validity of Dr Mander's opinion. The matters raised by Mr Thomas were either matters of minor detail or reflective of his own particular perception of those things. As the arbitrator said in his reasons at [111], there is nothing in the alleged inaccuracies identified by Mr Thomas that would materially affect Dr Mander's observations and assessment.
248 It might reasonably said the arbitrators reason's tend to the discursive, both with respect to the psychiatric evidence and generally, but in my view, he has adequately set out his reasons for preferring the evidence of Dr Mander, and his reasoning cannot properly be described as 'flawed'.
249 On the evidence the arbitrator was entitled to reject the opinion of Dr Ng and accept that of Dr Mander. Appeal ground three should be rejected.
250 Grounds 4 and 5 challenge the decision of the arbitrator and his reasoning as 'flawed', where he accepted the evidence of Dr Dare and Dr Hardcastle, and rejected that of Mr Slinger. The grounds can be considered together.
251 As the arbitrator observed, Mr Slinger and Drs Dare and Hardcastle all seemingly agreed that the July 2012 accident caused soft tissue injuries to the head and neck of Mr Thomas. Drs Dare and Hardcastle said that the nature of those injuries was such that they should have resolved within three months. That estimate is consistent with the 'evidence based MD Guidelines' referred to in the Assessment Report tendered by the appellant which give a recovery period of six to eight weeks. Any neck symptoms thereafter, including of course the headaches which Mr Thomas said were present 'all the time', arose in the opinion of Dr Dare and Dr Hardcastle from the pre-existing degenerative problems. Dr Dare concluded that whether in fact Mr Thomas was unfit for any reason, including pain from degenerative disease, was 'difficult to determine'.
252 Mr Slinger, seemingly accepting Mr Thomas' assertion that prior to the incident in July 2012 he had been asymptomatic, expressed an opinion that the soft tissues injuries had caused the previously asymptomatic degenerative neck problems to become symptomatic. He does not describe how that is so, that is, what exactly the pathology or process was that gave that result and the more disabling symptoms claimed by the appellant.
253 In assessing Mr Slinger's reports the arbitrator said,
With due respect, the opinions above are somewhat conjectural and I am unable to determine from this report the factual assumptions and observations made by Dr Springer [sic] or how the opinion was produced from the application of expertise to the assumed or observed facts.
254 In contrasting the reports of Mr Slinger as against those of Dr Dare and Dr Hardcastle, the arbitrator noted the thinness of Mr Slinger's reasoning process, the lack of explanation as to what in fact was or could be generating the ongoing and expanding symptoms complained of by Mr Thomas. Dr Dare and Dr Hardcastle, in reports that are in my view far more comprehensive than those of Mr Slinger, support their conclusions by reference to the absence of any pathology arising from the 4 July incident, as revealed by the medical imaging, among other things.
255 The age of Mr Slinger's report was a factor that the respondent argued before the arbitrator should lead to Mr Slinger's report being given little weight. In fact the arbitrator placed less weight on the predictions made in the first report of Dr Dare and the then 20 month old report of Mr Slinger, because of their age. Given the duration of Mr Thomas' claimed problem, and given that the arbitrator's assessment was being made in 2014, it was open to him to place greater weight on more recent medical examinations and reports.
256 It is also apparent from his reasons that the arbitrator viewed Mr Slinger's conclusion of unfitness for any kind of employment as hyperbolic.
257 I have referred to the various certifications made of Mr Thomas from 21 September 2012 where his general practitioner certified Mr Thomas fit for restricted duties, at least until 28 November 2012. In June 2013 he was certified as fit to commence a return to work programme.
258 Mr Slinger reviewed Mr Thomas on 18 December 2012 and then provided his two reports dated 31 December 2012 some months prior to the last GP certification. In one of these reports as set out above, Mr Slinger gave the opinion that Mr Thomas:
259 The arbitrator's reasons suggest scepticism about the dire nature of the conclusions reached by Mr Slinger, in circumstances where, notwithstanding his complaints, Mr Thomas went on to participate in work trials.
260 The arbitrator also placed greater weight on Dr Dare's conclusions about fitness for work. That was because of the breadth of Dr Dare's experience as an occupational physician. As the arbitrator said at [92],
Dr Dare is the only medical expert who unequivocally opined regarding Mr Thomas' fitness based on (Dr Dare's) experience and knowledge of the roles of a tradesperson in the workplace.
261 In my view, for the reasons he gave, the arbitrator was entitled to accept the opinions of Dr Dare and Dr Hardcastle over that of Mr Slinger. While in my view the arbitrator perhaps over-emphasised the significance of Dr Dare's expertise as an occupational physician, it was not irrelevant. More important, in my view, is the fact that the opinions of Dr Hardcastle and Dr Dare are more comprehensive and more recent. The arbitrator's reasons, preferring their opinions, cannot be described as 'flawed'.
262 In addition to the express reasons given by the arbitrator, his earlier conclusions about Mr Thomas' evidence, and the claimed injuries to the left hand and arm and left foot and leg, were matters he was entitled to take into account. That assessment would weigh in the balance against any acceptance of the conclusions of Dr Slinger, which relied heavily on the acceptance of the history given by Mr Thomas.
263 For all of these reasons, like the arbitrator, I conclude that the respondent established on the balance of probabilities that Mr Thomas' circumstances had changed from the time of the original grant of compensation. In my view the evidence established that, on the balance of probabilities, Mr Thomas was no longer suffering from any incapacity arising from any work related injury from the 4 July 2012 incident.
264 The submission of the appellant is that if I were to conclude that there was an error of law, including a failure to provide adequate reasons by the arbitrator, I should refer the matter back to be determined afresh by another arbitrator. That is because it is said that fact finding in this matter is best left to the arbitration service. In particular it was submitted that it was 'not appropriate' for this court to undertake a review of all the evidence. Further it was said that this court would not have 'the benefit of observing the manner and demeanour of the appellant when he gave testimony...'.
265 I do not accept those submissions. First, having reached the conclusion that a question of law was involved in this appeal with respect to ground 2, it has been necessary for me to conduct a review both of the arbitrator's decision and the evidence that was before him. I have done that. While I accept that the arbitrator's reasons for decision were deficient, in my view his decision was the correct one, justified by all the evidence before him.
266 Next, I have already referred to the express objects of the Act, which have the aim of trying to minimise expense to the parties, while providing dispute resolution that is 'fair, just, economical, informal and quick'. Section 247(7) expressly gives this court the power to '... substitute, and make in addition any decision that should have been made in the first instance'.
267 In my view no good purpose would be achieved by yet another hearing in front of a different tribunal. Had I reached a conclusion different from the arbitrator with respect to the credit to be given to the appellant's evidence, had I thought that the arbitrator had some particular advantage in that respect that I did not, my conclusion might be different. It is obvious however that the demeanour of the appellant when giving evidence was not sufficient to overcome the effect of a volume of contrary evidence, much of it objective or unchallenged.
268 While I grant leave with respect to ground 2, I will dismiss the appeal.
Allied Pastoral Holdings Pty Ltd
FCT
(1996) 15 WAR 1
(2003) 201 ALR 260
(2011) 278 ALR 1
(1990) 170 CLR 321
(2004) 29 WAR 273
(2002) 54 NSWLR 668
(1977) 13 ALR 17
(2008) 232 CLR 438
(2012) 248 CLR 378
(1976) 14 SASR 205