Background
6 The respondent is the trustee of an employer-sponsored corporate superannuation fund, the Mitsubishi Motors Australia Ltd Staff Superannuation Fund (the Fund). The relevant employer is Mitsubishi Motors Australia Limited (Mitsubishi).
7 The applicant has a long history of litigation relating to the termination of his employment at Mitsubishi. He has made a number of challenges to the respondent, or its predecessor, for the alleged refusal or failure to exercise the powers and discretions as trustee favourably to the applicant in respect of an assertion by him that he is or was entitled to receive a Total and Permanent Disability benefit (TPDB) from the Fund. He has also brought a number of proceedings against Mitsubishi in relation to the termination of his employment, as well as his entitlement to superannuation benefits.
8 The applicant began employment with Mitsubishi on 16 January 1964. He last physically attended work on 16 August 1991, when he suffered a psychological injury/mental breakdown. On 16 March 1994 Mitsubishi notified the applicant in writing that it considered his employment contract frustrated.
9 Shortly after he received this letter, on 6 April 1994, the applicant's union gave notice to the Australian Industrial Relations Commission (the AIRC) of an industrial dispute concerning the alleged termination of the applicant's employment. The dispute was the subject of a number of hearings before a Commissioner of the AIRC but does not appear (so far as the evidence on this application goes) to have been concluded by any formal order.
10 On 18 December 1997 the applicant lodged an application in this Court for an extension of time in which to institute proceedings against Mitsubishi for unfair dismissal, purportedly pursuant to s 170EA of the Industrial Relations Act 1988 (Cth) as then in force. The application was dismissed on 16 October 1998 for want of jurisdiction, as s 170EA of the Industrial Relations Act had no operation on the date the application was filed: see Kowalski v Mitsubishi Motors Australia Limited (1998) 88 FCR 55.
11 Then, on 16 October 1998, the applicant instituted further proceedings in the AIRC against Mitsubishi pursuant to s 170CE(1) of the Workplace Relations Act 1996 (Cth) (the WR Act) for reinstatement and compensation in respect of the termination of his employment on the grounds that the termination was harsh, unjust or unreasonable, was motivated by discrimination, and that he had not been given written notice of the termination. Soon after the institution of those proceedings, the applicant and Mitsubishi participated in a private mediation, apparently resulting in the settlement of the dispute. One topic apparently addressed in the mediation was any entitlement the applicant had as a result of the termination of his employment with Mitsubishi including "superannuation, sickness benefits or otherwise".
12 The terms of the settlement were recorded in a signed document dated 27 October 1998 entitled 'Heads of Agreement' to which the applicant and Mitsubishi were parties (the Heads of Agreement). The Heads of Agreement are not in evidence on this application. However it is said they record the applicant and Mitsubishi having agreed to resolution "of all issues both current and future in dispute between them". The applicant asserts that the Heads of Agreement did not finally settle his claim for TPDB from the respondent.
13 On 23 November 1999, the applicant commenced further proceedings against Mitsubishi in the AIRC again under s 170CE(1) of the WR Act, seeking an extension of time to bring a further claim. The grounds on which the extension of time was sought included that the Heads of Agreement was not entered into in good faith by Mitsubishi. On 20 November 2001 the AIRC dismissed the application. It concluded the Heads of Agreement bound the applicant not to bring the proceedings, that there was no evidence to support the assertion that the Heads of Agreement was not negotiated in good faith, and that the employment relationship between the applicant and Mitsubishi ended on 16 March 1994. An appeal from that decision was dismissed by the Full Commission of the AIRC on 1 March 2002. It upheld the finding the applicant's employment ceased on 16 March 1994. The AIRC therefore had no jurisdiction to entertain the application, as Part VIA of the WR Act, including s 170CE, commenced and applied only to terminations of employment occurring after 30 March 1993: see Industrial Relations Reform Act 1993 (Cth) and Workplace Relations and Other Legislation Amendment Act 1996 (Cth), Sch 6, item 17(1).
14 On 24 September 1999, the applicant by complaint to the Superannuation Complaints Tribunal commenced proceedings against the then Trustee of the Fund, Mitsubishi Motors Australia Ltd Staff Superannuation Fund Pty Ltd (the Trustee), a predecessor of the respondent. Relevantly, his complaint was about the Trustee's decision of 9 June 1999 to reject his claim for a TPDB under the Fund, following his claim for such a benefit made by letters of 19 and 24 July 1999 and its alleged failure to respond to his request that it review its decision. The Superannuation Complaints Tribunal, on 23 November 2001, withdrew the complaint under s 22(4) of the Superannuation (Resolution of Complaints) Act 1993 (Cth) firstly because it had no jurisdiction to deal with the complaint under that Act, and secondly because the subject matter had been dealt with by the AIRC. It enclosed a copy of the AIRC decision of 20 November 2001. It had notified the applicant of its lack of jurisdiction in earlier correspondence going back to 8 October 1999, before formally deciding that it would withdraw the complaint.
15 On 23 October 2001 the applicant in this Court sought orders against the Trustee and Mitsubishi for compensation and punitive damages arising out of the termination of his employment. The Application was purportedly made:
… pursuant to clause A.19 and Section C of the Mitsubishi Motors Australia Staff Superannuation Fund Trust Deed and Rules and s 298K(1)(a), (b) and (c), s 298L(1)(h), (i), (j), (k) and s 298L(2)(a), (b) and (c) and s 298U(b), (c) and (d) of the Workplace Relations Act 1996 as amended under Part IV of the Federal Courts Act 1976 and the Courts accrued jurisdiction.
16 The primary claim of the applicant was then expressed as follows:
…the applicant's contract of employment was not frustrated on 16 March 1994 by operation of law before he was constructively dismissed on 27 October 1998, therefore, the Court must order the respondents to make a payment to the applicant for the purpose of restoring the applicant to the same position that he would have been in if the first and the second respondents had complied with the terms and conditions of the Mitsubishi Motors Australia Limited (Supervisory and Technical Employees) Award 1987, the Mitsubishi Motors Australia Limited (Enterprise Agreement) 1993 [Print K9656] which was ratified by the AIRC on 27 January 1994 and the Mitsubishi Motors Australia Staff Superannuation Fund Trust Deed and Rules during the period from 16 March 1994 up to an including 27 October 1998.
17 The applicant claimed "all of his legally entitled benefits up to and including the date that he was constructively dismissed" on 27 October 1998.
18 As against the Trustee, the application included a claim for punitive damages for the loss of the applicant's entitlement to superannuation benefits "for a period of 14 years from the date that he was constructively dismissed on 27 October 1998 to the age of 65," and punitive damages for the loss of a TPDB to which he claims he was legally entitled by reason of his suffering a heart attack on 26 December 1997 and by reason of a depressive illness which developed in January 1998, and compensation for pain and suffering. Against Mitsubishi, the applicant claimed compensation for pain and suffering, punitive damages for past economic loss and loss of superannuation benefits from 16 August 1991 to 27 October 1998, and punitive damages for future economic loss and loss of future superannuation benefits calculated from the date of his 'constructive dismissal' to his reaching the age of 65.
19 On 17 September 2002 I dismissed that application under O 20 r 2 of the FC Rules as I found that there were no prospects of his claims against the Trustee or Mitsubishi being successful in this Court. In relation to the claims against the Trustee I held that there was no jurisdiction to entertain such claims, as there was no Commonwealth enactment referred to by which the Court was given jurisdiction to entertain any of the claims. In relation to the claims against Mitsubishi, I held the applicant was estopped from asserting that his employment ceased other than 16 March 1994 and from asserting that his employment continued until 27 October 1998. I also held his claims had no reasonable prospect of success in the face of the Heads of Agreement: see Kowalski v Mitsubishi Motors Australia Ltd Staff Superannuation Fund Pty Ltd [2002] FCA 1153. The applicant appealed from this decision to the Full Court. The appeal was dismissed on 28 February 2003: see Kowalski v Trustee, Mitsubishi Motors Australia Limited Staff Superannuation Fund Pty Ltd [2003] FCAFC 18.
20 On 25 January 2007 the applicant applied again to this Court for an order that the Trustee pay him "his correct statutory and legally entitled Total and Permanent Disablement Benefit plus compound interest since 16 March 1994 in the sum of about $280,000.00". The application involved the following four claims, the first three being founded on alleged breaches of fiduciary duty and breaches of trust (echoed in the present application):
· the Trustee should have considered, but failed properly to do so, his entitlement to a TPDB at the time he was paid a resignation benefit in August/September 1994;
· the Trustee should have considered, but failed properly to do so, his entitlement to a TPDB at the time he was paid his ill-health benefit in November 1998;
· the Trustee should have considered, but failed properly to consider, his claim for a TPDB in November 2005; and
· The Trustee was negligent in failing to perform its duty to the applicant in not making a correct and proper determination of his entitlement to a TPDB.
21 On two occasions Finn J refused to summarily dismiss this application, and gave the applicant leave to file and serve an amended application and statement of claim: see Kowalski v MMAL Staff Superannuation Fund Pty Ltd (2007) 242 ALR 370 and Kowalski v MMAL Staff Superannuation Fund Pty Ltd (No 2) [2008] FCA 691. On a third occasion, 5 February 2009, his Honour struck out the applicant's further amended statement of claim, and the proceeding was summarily dismissed pursuant to s 31A of the FCA Act. His Honour found that the applicant's claim that a benefit should have been paid to him on the cessation of his employment in 1994 had no reasonable prospects of success on the basis that no formal application was made to the Trustee at that time and there was no evidence that the Trustee was informed of, or provided with, any medical evidence as to his entitlement. In relation to the claim that the Trustee should have considered his entitlement to a benefit in November 1998, his Honour found that there were also no reasonable prospects of success as again no formal application was made to the Trustee at that time. In relation to the Trustee's treatment of his application for the benefit in 2005, his Honour held that it also enjoyed no reasonable prospects of success as it was clear that the Trustee had considered and reconsidered his claim on a number of occasions between 1999 and 2005, and the Trustee was entitled to decline to re-entertain the same matter in the absence of a change of circumstances. His Honour further found that none of the breach of trust or breach of fiduciary duty claims raised by the applicant had any reasonable prospects of success: see Kowalski v MMAL Staff Superannuation Fund Pty Ltd (No 3) [2009] FCA 53.
22 The applicant applied for leave to appeal from that decision to the Full Court in a 'Notice of Appeal' of 6 February 2009. On 9 September 2009 a Full Court (Spender, Graham and Gilmour JJ) rejected the application for leave and held that the purported appeal was to be dismissed as none of the matters argued in the applicant's proposed grounds of appeal or his notice of appeal supported the conclusion that the decision of Finn J was erroneous. The Court held that the decision at first instance was not attended with sufficient doubt to warrant its reconsideration by the Full Court: see Kowalski v MMAL Staff Superannuation Fund Pty Ltd [2009] FCAFC 117.
23 The applicant applied to the High Court for special leave to appeal from the Full Court decision. On 11 March 2010 Gummow and Kiefel JJ refused the application for special leave. Their Honours did not consider that the applicant advanced any questions of law that would justify a grant of special leave to appeal and considered there were insufficient prospects of success. Their Honours also noted that s 33(4B) of the FCA Act provides that an appeal must not be brought to the High Court from a Federal Court judgment refusing leave to appeal: see Kowalski v Mitsubishi Motors Australia Staff Superannuation Pty Ltd & Anor [2010] HCASL 21.
24 Finally, on 13 October 2009 the applicant filed a notice of appeal in this Court, appealing against a purported decision of the Superannuation Complaints Tribunal made on 9 October 2009, in which he also named the respondent in this proceeding as a respondent. He alleged that the Tribunal made a decision unfavourable to him and that that decision contained errors of law. The alleged decision made by the Tribunal was that it did not have jurisdiction to deal with the applicant's complaint. On 9 October 2009, the Tribunal had written to Mr Kowalski explaining the position. The letter relevantly states:
The Tribunal has considered your arguments and must confirm that it does not have jurisdiction to deal with your complaint.
Firstly, the Tribunal notes that you have not provided any evidence to support your allegation that the decision made on 18 August 1992 to decline your disability claim was not in respect of your membership in the Mitsubishi Motors Australia Staff Superannuation Fund.
As advised in the Tribunal's letter dated 25 September 2009, you were advised in each of your previous complaints (SCT file numbers 99-C0903\1 & 03-01486) that the Tribunal is prevented by section 14(6A) of the Superannuation (Resolution of Complaints) Act 1993 (SRC Act) from dealing with your complaints because the Trustee's decision was made prior to 1 November 1994.
The effect of sections 14(6C) and 14(6D) of the SRC Act, is that, where more than one decision has been made by a Trustee in regards to a TPD benefit, the date of the decision for the purposes of section 14(6A) is that of the original decision.
Section 14(6C) specifies that the decision for the purposes of section 14(6A) is the original decision. Section 14(6D) further specifies that, where a later decision has been made as a result of a complaint about the original decision, the new decision is taken to have been made at the time when the original decision was made.
In your case, the original decision was made on 18 August 1992. As described above, for the purposes of section 14(6A), any later decisions are taken to have been made on the same date, ie 18 August 1992. On this basis, section 14(6A) precludes the Tribunal from dealing with your complaint because the Trustee's decision was made prior to 1 November 1994. (Tribunal's emphasis)
25 The applicant had not applied to set aside, or to appeal from, the Tribunal's earlier decision of 23 November 2001, referred to in [14] above.
26 On 30 December 2009, the respondent applied by motion seeking an order that the proceeding be summarily dismissed. The respondent contended that the decision complained of by the applicant was not a "determination" of the Tribunal within the meaning of s 46(1) of the Superannuation (Resolution of Complaints) Act 1993 (Cth). It was alleged that the decision was an anterior administrative decision of an officer of the Tribunal from which no "appeal" arises under s 46 of the Act.
27 On 14 May 2010, Besanko J found that the applicant's appeal of the purported decision of 9 October 2009 had no reasonable prospect of success and should be dismissed pursuant to s 31A(2) of the FCA Act: see Kowalski v Superannuation Complaints Tribunal [2010] FCA 473.
28 I now turn to the present application.