Dunlop v Repatriation Commission
[2002] FCA 1400
At a glance
Source factsCourt
Federal Court of Australia
Decision date
2002-11-15
Before
Ryan J
Source
Original judgment source is linked above.
Judgment (25 paragraphs)
REASONS FOR JUDGMENT 1 This is an application by way of appeal from a decision of the Administrative Appeals Tribunal ("the Tribunal") affirming a decision of the Veterans' Review Board that the death of Raymond Anzac Dunlop ("the veteran") had not been war-caused. The applicant is the veteran's widow, having married him on 12 December 1944. 2 The veteran died on 24 November 1972 as a result of a self-inflicted gunshot wound. It was common ground that the Statement of Principle ("the SoP") applicable to the applicant's claim was No 71 of 1996 as amended by No 177 of 1996 and entitled "Suicide or Attempted Suicide." So far as is relevant, that SoP provided; "Basis for determining the factors 3. The Repatriation Medical Authority is of the view that there is sound medical-scientific evidence that indicates that suicide or attempted suicide can be related to relevant service rendered by veterans, members of Peacekeeping Forces, or members of the Forces. Factors that must be related to service 4. The factors set out in at least one of the paragraphs in clause 5 must be related to any relevant service rendered by the person. Factors 5. The factors that must as a minimum exist before it can be said that a reasonable hypothesis has been raised connecting suicide or attempted suicide or death from suicide or attempted suicide with the circumstances of a person's relevant service are: (a) being a prisoner-of-war before suicide or attempted suicide; or (b) suffering from depression at the time of suicide or attempted suicide; or (c) suffering from post traumatic stress disorder at the time of suicide or attempted suicide; or (d) suffering from psychoactive substance abuse or dependence involving alcohol at the time of suicide or attempted suicide; or (e) suffering from schizophrenia at the time of suicide or attempted suicide; or (f) suffering from borderline personality disorder at the time of suicide or attempted suicide; or (g) having experienced, witnessed, or been confronted with a traumatic event or events that involved actual or threatened death or serious injury, or a threat to the physical integrity of self or others, within the two years immediately before suicide or attempted suicide; or (h) experiencing a severe psychosocial stressor or stressors within the two years immediately before the suicide or attempted suicide." 3 Clause 6 of the same SoP contained, amongst others, the following definitions; ""post-traumatic stress disorder" means a psychiatric condition meeting the following description (derived from DSM-IV): (a) the person has been exposed to a traumatic event in which: (i) the person experienced, witnessed, or was confronted with an event or events that involved actual or threatened death or serious injury, or a threat to the physical integrity of self or others; and (ii) the person's response involved intense fear, helplessness, or horror; and (b) the traumatic event is persistently re-experienced in one or more of the following ways: (i) recurrent and intrusive distressing recollections of the event, including images, thoughts, or perceptions; (ii) recurrent distressing dreams of the event; (iii) acting or feeling as if the traumatic event were recurring (including a sense of reliving the experience, illusions, hallucinations, and dissociative flashback episodes, including those that occur on awakening or when intoxicated); (iv) intense psychological distress at exposure to internal or external cues that symbolize or resemble an aspect of the traumatic event; (v) physiological reactivity on exposure to internal or external cues that symbolize or resemble an aspect of the traumatic event; and (c) persistent avoidance of stimuli associated with the trauma and numbing of general responsiveness (not present before the trauma), as indicated by three or more of the following: (i) efforts to avoid thoughts, feelings, or conversations associated with the trauma; (ii) efforts to avoid activities, places, or people that arouse recollections of the trauma; (iii) inability to recall an important aspect of the trauma; (iv) markedly diminished interest or participation in significant activities; (v) feeling of detachment or estrangement from others; (vi) restricted range of affect (eg. unable to have loving feelings); (vii) sense of a foreshortened future(eg, does not expect to have a career, marriage, children, or a normal life span); and (d) persistent symptoms of increased arousal (not present before the trauma), as indicated by two or more of the following: (i) difficulty falling or staying asleep; (ii) irritability or outbursts of anger; (iii) difficulty concentrating; (iv) hypervigilance; (v) exaggerated startle response; and (e) duration of the disturbance (indicated by the relevant symptoms set out in paragraphs (b), (c) and (d)) is more than one month; and (f) the disturbance causes clinically significant distress or impairment in social, occupational or other important areas of functioning, attracting ICD code 309.81; ... ... ... ... ... "relevant service" means: (a) operational service; or (b) peacekeeping service; or (c) hazardous service. ... ... ... ... ... 'severe psychosocial stressor' means an identifiable occurrence that evokes feelings of substantial distress in an individual, for example, being shot at, death or serious injury in a close friend or relative, assault (including sexual assault), severe illness or injury, experiencing a loss such as divorce or separation, loss of employment, major financial problems or legal problems;" 4 The following findings of fact pertaining to the veteran are recorded in the Tribunal's reasons for decision; "So far as may be gleaned from the T-documents and from a large body of historical data provided by the respondent prior to the hearing - including the report and associated documents of Mr Piper a military historian - the deceased was an apprenticed ironworker when he was called up for service in the Army on 5 November 1941. He was then aged 19 years and 7 months. It appears that the deceased was the youngest in a family of 6 children. The deceased's father served in the Great War as a soldier, but was mainly confined after discharge in the Repatriation General Hospital suffering from "shellshock". The deceased rarely saw his father. It appears also that the deceased was close to his mother and sisters. He had a number of brothers who, having regard to their respective ages, were much older than the deceased. On enlistment the deceased was graded as medically class 1 and his first posting was to an anti-tank unit. After a sea voyage to West Australia, he was transferred to a Light Anti-Aircraft (LAA) regiment. He served approximately 22 months in West Australia and his battery then travelled by rail to the Eastern States and embarked at Townsville on 23 March 1944 for Merauke, a small village on the south coast of (then) Dutch New Guinea, approximately 60 nautical miles ("n.m.") northwest of the boundary with Papua. The role of the LAA units was the protection of air fields from enemy aircraft. Their weapons were the Bofors 40mm gun. In addition to his battery having guns at Merauke,the battery had posts at locations considerable distances away. One post was at Tanahmerah, about 140 nm due north by air but almost twice this distance by sea and then upriver and another was at Eilanden River about 240 nm northwest up the coast from Merauke. It is not known whether the Veteran served at these remote posts. His battery was withdrawn from Meraukeafter a period of about 7 months on 19 October 1944. There is no record of the battery having fired in anger during his tour of duty, or being fired upon. The Veteran then served in infantry training battalions in New South Wales until his discharge on 20 November 1945. During his period of service he was married on 12 December 1944. On his discharge medical examination, the veteran stated that he had suffered from malaria and dysentery during service as well as tonsillitis, infected tooth sockets and dermatitis. No abnormalities were detected in his central nervous system nor were any emotional type injuries recorded." 5 The Tribunal then described the applicant's observations of the veteran noting that; "She described her husband prior to enlistment as being 'clean cut, good looking, wonderful and not rude'. She said he did not drink or smoke cigarettes. Mr Dunlop apparently had a dry sense of humour and a number of close friends. He was not interested in sports. He was the youngest of six children and there was eight years between him and the next youngest sibling. On return from service Mrs Dunlop described her husband as being "grown up and more mature". She said he retained his sense of humour and had a kind personality. Prior to service Mr Dunlop was an iron worker in a pram factory but she said that he "hated" his job. He eventually left it and was unemployed for one week but was contacted by another pram manufacturer and employment was offered. Thereafter Mr Dunlop returned to that industry but did not enjoy the work. He eventually became employed repairing musical instruments." 6 The Tribunal next recounted the applicant's account of the veteran's development of depression, noting that she said "her husband was not depressed on return from service but eventually became depressed." Then followed a summary of the veteran's medical treatment, first from a general practitioner, Dr Jantz, and then from Dr Cunningham, a psychiatrist. As well, the applicant recalled the veteran's attendance, on the recommendation of Dr Jantz, at weekly meetings or "recovery groups" of persons suffering from depression or anxiety. In respect of the veteran's war service, the Tribunal summarised, as follows, the applicant's recollections; "Mrs Dunlop knew little about her husband's service. She said there were many occasions where she attempted to engage him in conversation about the circumstances of his service but he would frequently respond by saying that it was "over" or that he "wanted to forget" about it. He also told her that he had no wish to discuss the circumstances. She did however learn from time to time that there were occasions where he would be engaged in "long marches" and that he was required to man a Bofors gun. She understood that there were "head hunters" in the district where he served overseas which caused him to be "petrified". Mrs Dunlop said that her husband wrote to her daily when he was overseas and whilst he never referred to events of service, he frequently told her that he wanted to return home. She said there were occasions where he spoke about his colleagues having sustained injuries in "accidents" and she assumed that this may have been associated with "cleaning guns" or "playing sport". Mrs Dunlop said that her husband did not want to enlist or travel to Merauke because he feared that he would "end up like his father". That is to say, because his father suffered injuries, which confined him as an inpatient in the Repatriation Hospital following World War I, he did not want to risk suffering a similar consequence. Additionally, Mrs Dunlop said that her husband wanted to be independent of doctors or hospitals associated with the Repatriation Commission because of the experiences endured by his father, which caused the deceased to take out private health insurance and be treated by doctors of his choosing." 7 The next part of the Tribunal's reasons consisted of a summary of the medical and other evidence in relation to the application. It first summarised, as follows, the evidence of Dr Cole, a psychiatrist who had been called by the applicant; "Doctor Cole said that the history he obtained of the deceased refusing to talk about service and suffering from insomnia and a restless sleep pattern with nightmares were important diagnostic features of post traumatic stress disorder. He said that the deceased probably was also depressed, but depression is a separate diagnosis to PTSD and persons with PTSD are not necessarily depressed. He also thought that the deceased suffered from an "adjustment disorder" as a consequence of his return to civilian life after he was discharged from service. Doctor Cole said that he understood that the deceased's service was "active" but he was not aware of the particular circumstances of it. He thought that the circumstances faced by the deceased after discharge from service was sufficient to satisfy the condition of "adjustment disorder" as it appears within the definition of "depression" within Instrument No. 71 of 1996. That is to say, the history given to him by Mrs Dunlop of the reaction of the deceased to his return to civilian life was sufficient to give rise to a diagnosis of "adjustment disorder". In cross-examination Doctor Cole said that he was not aware of the report prepared by Mr Piper, the military historian relied upon by the respondent. When he was informed that there were no reports of any enemy activity in Merauke after the deceased commenced his overseas service, Doctor Cole said that, whilst he would agree that there was no recorded account of any stressful event, and that his opinion as to the relationship between service and PTSD and depression would be strengthened if there was such evidence, he said that nothing was known about how the deceased "reacted as an individual" to service. In re-examination Doctor Cole was asked whether he had heard anything in cross-examination which would "remove the reasonableness of the hypothesis". Doctor Cole said he had not, but acknowledged that it was "more difficult" to maintain the "reasonableness" of the hypothesis that he had expressed in his report and in earlier evidence. He remained satisfied that the evidence of the applicant suffering disturbed sleep and refusing to talk about service was consistent with PTSD. He also thought that the applicant suffered from "depression" and had satisfied factor 5(b) of Instrument No. 71 of 1996 and also suffered from "adjustment disorder"." 8 In relation to the evidence of Dr Walton, another psychiatrist, who had given evidence at the request of the respondent Commission, the Tribunal noted, first, that he had been unable to connect the veteran's depression with his war service, observing that the deceased may have "suffered something but I don't know it." Dr Walton expressed an inability to comprehend how Dr Cole had concluded that the veteran had been suffering from Post-Traumatic Stress Disorder ("PTSD") of which he said night sweats, insomnia and refusal to talk about war-time experiences were not necessarily indicators. Dr Walton had been unable to discern from the report of Dr Cunningham, the veteran's treating psychiatrist, or any other material, anything to indicate that the deceased had been depressed before 1969. The Tribunal then noted; "Doctor Walton said that he had learnt from Mrs Dunlop of the possibility of her husband being exposed to "head hunters" in Merauke, but he was not aware whether there was any actual contact or whether the deceased was in any "meaningful danger". When he was asked to refer to the discharge medical documents and the history of Mrs Dunlop that her husband had retained his sense of humour at discharge and was a quiet, mature person, Doctor Walton said that this did not indicate to him that the deceased at discharge was depressed." 9 Dr Walton excluded the possibility that the deceased had experienced "a severe psycho-social stressor within two years immediately before the clinical onset of depressive disorder" which was one of the factors required by the SoP contained in Instrument No 5 of 1998 in relation to "Depressive Disorder." The definition of "severe psycho-social stressor" for that SoP was the same as that inserted into the SoP related to "Suicide or Attempted Suicide" by Instrument No 177 of 1996. However, Dr Walton accepted that the veteran had been severely depressed, in the sense of suffering a major depressive disorder, at the time of his death and in that respect satisfied factor 5(b) quoted at [2] above. 10 Finally, the Tribunal recounted the evidence of Mr Robert Piper, a military historian, whose research revealed that 172LAA Battery to which the veteran had been attached had been stationed at Merauke from March 1944. Although physical conditions there were unpleasant and difficult, Japanese air raids had ceased in 1943 and Mr Piper's research indicated that the location was generally quiet. However, he did note an entry in the Battery diary for 30 June 1944 in relation to an officer "fatally drowned at post VI, body buried at sea." As to that entry, according to the Tribunal, Mr Piper said; "... there was nothing by that entry to indicate that the unit was under attack, or under threat, or that persons stationed there were in danger. He said if there was a drowning it could have occurred during leisure activity, or in a fast flowing stream. Alternatively, he said it was not beyond possibility that the officer could have been killed as a result of a crocodile attack and the entry of drowning would be in the circumstances less "shocking". He said it would be unusual to bury a body at sea, when more usually any death during service would have been buried on land." 11 As to the suggestion that the veteran had been exposed to "head hunters", the Tribunal noted that Mr Piper had said; "... that any native person who had a "bone through their nose" were described by the Dutch who colonised the area as "head hunters". He said between four and five thousand Australians were in Dutch/New Guinea between 1943 and 1944 and there was never a report of any problem associated with "head hunters". (Mr Piper referred to a photograph at page 47 of the book "My Back Seat War" which depicts a native person described as "a Merauke local - head hunter by trade". The person is seated with his legs crossed and smiling. It would appear that the person is located at a military camp by reason of the presence in the photograph of a military vehicle and persons in uniform)." 12 Under the heading "Conclusion & Reasons For Decision", the Tribunal noted that s 8 of the Veterans' Entitlements Act 1986 (Cth) ("the Act") provides that the death of a veteran shall be taken to have been war-caused if: "..... (b) the death of the veteran arose out of, or was attributable to, any eligible war service rendered by the veteran." The Tribunal appeared to accept that s 8(b) required only that war service should have made some contribution, of whatever degree, to the death of the veteran. It then made these findings of fact; "In the present case, little is known about the deceased's service in Merauke. He did not discuss it with his wife and positively discouraged any conversation concerning the service. Mrs Dunlop did tell us that on the rare occasions that he spoke about Merauke, he referred to accidents or injuries involving other service personnel. She understood that he was fearful of "head hunters" and being on bivouac. Whilst he wrote letters daily to Mrs Dunlop and wrote that he was anxious to return home, he did not refer to his circumstances in Merauke. What may be learnt from other information available to us is that the deceased arrived in Merauke in 1944, yet the last recorded Japanese air raid was in 1943. There is no material available to us which points to any hostility or the use of weapons against the enemy. There is documented information concerning instruction to troops by an officer in charge of local conditions, yet it suggests no more than instructions given with respect to local circumstances. There is a reference in the war-diary to a soldier drowning and being buried at sea, yet on the evidence of Mr Piper - even if that did occur as recorded - it could have been associated with some leisure activity. The reference to "head hunters" suggests an importance or significance has been attached which is not warranted. On the evidence of Mr Piper the term "head hunter" is unfortunate, and probably not deserved. The reference to establishing an Australian Rules football team is in our view inconsistent with hostility and is more likely to be consistent with recreation and establishing or improving morale." 13 The Tribunal then discussed the need created by s 120(3) of the Act for a reasonable hypothesis to be raised connecting the death of the veteran with the circumstances of the particular service rendered by the veteran. It noted, after referring to East v Repatriation Commission (1987) 16 FCR 517 and Repatriation Commission v Bey (1997) 79 FCR 364, that a reasonable hypothesis involves more than a mere possibility and must be "pointed to by facts even though not proved upon the balance of probabilities." 14 In relation to SoPs, the Tribunal referred to the judgment of a Full Court of this Court in Repatriation Commission v Deledio (1998) 83 FCR 82, from which it quoted this passage, at 97; "At the risk of being repetitious we would restate the course which the Tribunal is to take in a case, such as the present, (i.e. one involving a claim to be decided after the 1994 Amendments) in respect of the incapacity of a person from injury or disease, or in respect of the death of a person related to service rendered by that person as follows: 1. The Tribunal must consider all the material which is before it and determine whether that material points to a hypothesis connecting the injury, disease or death with the circumstances of the particular service rendered by the person. No question of fact finding arises at this stage. If no such hypothesis arises, the application must fail. 2. If the material does raise such a hypothesis, the Tribunal must then ascertain whether there is in force an SoP determined by the Authority under s 196B(2) or (11). If no such SoP is in force, the hypothesis will be taken not to be reasonable and, in consequence, the application must fail. 3. If an SoP is in force, the Tribunal must then form the opinion whether the hypothesis raised is a reasonable one. It will do so if the hypothesis fits, that is to say, is consistent with the "template" to be found in the SoP. The hypothesis raised before it must thus contain one or more of the factors which the Authority has determined to be the minimum which must exist, and be related to the person's service (as required by ss 196B(2)(d) and (e)). If the hypothesis does contain these factors, it could neither be said to be contrary to proved or known scientific facts, nor otherwise fanciful. If the hypothesis fails to fit within the template, it will be deemed not to be "reasonable" and the claim will fail. 4. The Tribunal must then proceed to consider under s 120(1) whether it is satisfied beyond reasonable doubt that the death was not war-caused, or in the case of a claim for incapacity, that the incapacity did not arise from a war-caused injury. If not so satisfied, the claim must succeed. If the Tribunal is so satisfied, the claim must fail. It is only at this stage of the process that the Tribunal will be required to find facts from the material before it. In so doing, no question of onus of proof or the application of any presumption will be involved." 15 The Tribunal then identified the hypothesis relied on by Mr De Marchi, who appeared for the applicant before it and in this Court, as being that "the deceased suffered depression or post-traumatic stress disorder per factor 5(b) and (c) of Instrument No 71 of 1996." After noting that it is a rare case where no hypothesis is raised in the sense of the first stage discussed in the extract from Deledio quoted at [14] above, the Tribunal concluded that this was such a rare case. It derived support for that conclusion from this passage from the judgment of Kenny J in Connors v Repatriation Commission [2000] 59 ALD 61, at 68 [14]; "If an essential element in a hypothesis is not raised (or pointed to) by the material before the decision maker, then the hypothesis is not raised by that material…. If the material does raise the hypothesis, then the decision maker must determine whether it is reasonable". 16 The Tribunal further relied in this context on these observations by Goldberg J in Repatriation Commission v McKenna (1998) 28 AAR 7 at 15-16; "For the purposes of s.120A(3) of the Act the hypothesis which has to be upheld by a Statement of Principles, is the hypothesis which connects the disease suffered by a veteran with the circumstances of his service. So stated the hypothesis has to point to a connection, which starts with a disease in respect of which the application is made and ends with the service. That connection will comprise a number of links or factors each of which must be upheld by a Statement of Principles and if need be by more than one Statement of Principles." 17 After those references, the Tribunal concluded; "For the purposes of the present application, there is a missing "link" or element in the hypothesis namely, material, which points to a contribution by service. It is not enough that the deceased suffered depression, which probably contributed to his suicide. The depression must be connected to service. We can find no material, which points to that connection. No hypothesis therefore arises. In the alternative if we were to assume that something or some event occurred in service which raises a hypothesis we could not be satisfied that it is "reasonable". At best it would be a hypothesis "left open" (refer East). We could not find that the third stage of Deledio is satisfied because even if a hypothesis has been raised it does not contain "one or more of the factors which the authority has determined to be the minimum which must exist and be related to the person's service (as required by sub-section 196B(2)(d) and (e)") refer Deledio. Additionally, we could not be satisfied that paragraph 4 of Instrument No. 71 of 1996 has been satisfied. It records- "The factors set out in at least one of the paragraphs in clause 5 must be related to any relevant service rendered by the person". The expression "related to service" is found at s.196B(14). We could not be satisfied that paragraph (g) is satisfied in the present case. That sub-paragraph reads as follows- "A factor causing or contributing to an injury, disease or death is related to service rendered by a person if- (g) in the case of a factor causing or contributing to the death of a person - it was due to an accident that would not have occurred or to a disease that would not have been contracted. (i) but for the rendering of that service by the person; or (ii) but for changes in the person's environment consequent upon his/her having rendered that service". In all of the circumstances the decision under review should be affirmed.