Notification under s 62 of the SRC Act
24 The employer maintained the contention that the respondent failed to give notice of injury as required by s 62 of the SRC Act before the Tribunal, and before this Court. In developing that contention the employer argued that the respondent had a strict requirement for reporting incidents that occurred on board its vessels; this requirement was well known to the respondent and the requirement was not fulfilled. The breach of the employer's reporting requirements were said to be relevant both to the knowledge of the respondent that injuries must be notified immediately when they happen, and to the credit of the respondent. It was argued that the Tribunal should reject the respondent's evidence about the three incidents leading to back pain in August 1998 as the incidents were not reported to the employer or the Master of the vessel at the time, and were not articulated by the respondent in his letter to the employer dated 13 January 1999. The first identification of particular incidents in August 1998 given by the respondent was to an orthopaedic surgeon, Mr George Potter, to whom the respondent was referred for a medico-legal report in April 2001 (and even then only the bunk incident and the soap incident were mentioned).
25 The evidence about the respondent's reporting requirements, however, did not go so far as counsel's submissions would suggest. The requirement of the employer's system which was put to the respondent in cross-examination was that he was required to report 'having suffered a disability'. Mr Hernden also gave evidence that the applicant had 'a procedure for recording any disability suffered in the course of the employment'. The following exchange occurred between the cross-examiner and the respondent:
'So you do know that there is a requirement for seafarers on vessels to report incidents straight away? --- Yes.
You usually complied with that requirement? --- Yes, if it interferes with my work, yes.
So if it interferes with your work you report it and in this case you didn't report because the pain went away immediately? --- Yes.'
26 A failure by the respondent to report a pain that went away without causing disability in a practical sense would not be a breach of a requirement to report a 'disability'. That the employer's requirement was so understood is borne out by the evidence of one of the employer's witnesses, Mr A W Vinnicombe, who was the Chief Engineer on the 'Pacific Conqueror'. His evidence on this topic was:
'Have you ever had any incidents where you've fallen over in the engine room, minor incidents? --- Yes, there'd be times when I've staggered against things because of the roll of the boat and such luck.
Those minor incidents, do you report those? --- Not if it's just - unless I've injured myself.
What if you just bump your arm and you've got a bit of a bruise. You wouldn't report that? --- I probably should do, but I didn't. I wouldn't.
You would be reporting every two minutes I expect in rough weather if that was the case? --- No, because you're not bruising yourself every couple of minutes. There are - you don't report yourself for minor injuries. If you do something serious that's going to incapacitate you then you are going to report it or you should do.'
27 It is convenient at this point to deal with the employer's contention that the Tribunal erred in law in its approach to the application of s 62 of the SRC Act. Sections of the SRC Act relevant to the employer's contention are:
'3 General definitions
…
injury means:
(a) a disease; or
(b) an injury (other than a disease) suffered by an employee, being a physical or mental injury arising out of, or in the course of, the employee's employment; or
(c) an aggravation of a physical or mental injury (other than a disease) suffered by an employee (whether or not that injury arose out of, or in the course of, the employee's employment), being an aggravation that arose out of, or in the course of, that employment;
but does not include anything suffered by an employee as a result of reasonable disciplinary action taken against the employee, or failure by the employee to obtain a promotion, transfer or benefit in connection with his or her employment.
…
6 Injuries suffered by employees
A reference in this Act to an injury suffered by an employee is, unless the contrary intention appears, a reference to an injury suffered by the employee for which compensation is payable under this Act.
…
26 Compensation for injuries
(1) If an employee suffers an injury that results in his or her death, incapacity for work, or impairment, compensation is payable for the injury.
(2) …
(3) …
…
62 Notice of injury or loss of, or damage to, property
(1) Subject to subsection (2), this Act does not apply to an injury suffered by an employee unless a written notice of the injury is given to the employer:
(a) as soon as practicable after the employee becomes aware of the injury; or
(b) if the employee dies without having become so aware or before it is practicable to serve such a notice - as soon as practicable after the employee's death.
(2) …
(3) For the purposes of subsections (1) and (2), if the injury was suffered by an employee on a prescribed ship, a notice given to the master of the ship is taken to be given to the employer.
(4) If:
(a) a written notice, purporting to be a notice under this section, has been given to an employer; and
(b) the notice, or the giving of the notice, does not comply with this section;
the notice is taken to have been given under this section if:
(c) the employer to whom it was given would not thereby be prejudiced; or
(d) the non-compliance resulted from the death, or absence from Australia, of a person, or from ignorance, or mistake, or any other reasonable cause.'
28 The first point to be stressed is that, under s 62, the SRC Act does not apply if a notice as required by the Act is not given. It is beside the point that the employee may not have given a notice of disability or complied with some other reporting procedure independently required by the employer as part of the employer's system of work. If the notice of injury given by the respondent fulfils the requirements of s 62 he is entitled to compensation even if he were otherwise in breach of some other reporting requirement laid down by the employer.
29 The Tribunal delivered long reasons for its decision which canvassed at length evidence led by the parties. At par 209 of the reasons, the Tribunal addressed the question whether the respondent had complied with s 62 of the Act. The Tribunal said:
'The Tribunal is satisfied that the applicant was not consistent in his approach to the respondent concerning his various conditions. His reporting of incidents as they occurred seems to be less than accurate. The Tribunal is satisfied that such was not deliberate nor with intent but rather within the character of the applicant who did not comply with the requirement of written notice. The Tribunal is satisfied that he erred by either informing his seniors verbally or by bringing it to the respondent's attention through medical certificates after having been examined by a doctor. The Tribunal is satisfied on the evidence before it that the applicant, however, did not comply with the written requirement. Notwithstanding this, subsection 62(1)(a) refers to such notice being given as soon as practicable after the employee becomes aware of the injury. On the evidence before the Tribunal the explanation given by the applicant is feasible and acceptable. The attendance by the applicant for medical treatment and the ultimate notice and claim (T7/24-29) for back injury and anxiety (S1999/346) occurred in the view of the Tribunal within a time span that can be said to be "as soon as practicable". The Tribunal is satisfied that such is the case and hence appropriate notice was given.'
30 Unfortunately this paragraph of the reasons is confused, difficult to understand, and at first sight appears to contain inconsistent findings.
31 The employer contends that whatever else might be said about the paragraph, there is a finding that the respondent did not comply with the requirement to give written notice, hence the Tribunal should have found that the SRC Act did not apply to the respondent.
32 I am unable to accept this interpretation of the Tribunal's reasons. When par 209 is read as a whole, I do not think that it can be construed as finding that notice complying with s 62 was not given. On the contrary, it concludes with a finding that the notice did comply.
33 I break the paragraph down into sections. I have great difficulty assigning a particular meaning to the first three sentences of the paragraph. The first sentence refers to the respondent's various conditions. This could refer to his two medical 'conditions', the subject of the claims before the Tribunal, or it could refer more generally to incidents and other injuries experienced by the respondent in the course of his employment on the 'Pacific Conqueror', including minor injuries that had not been reported in the past. The reference to the character of the respondent is, I think, a reference to his view that reporting of minor incidents could be overlooked.
34 Then the Tribunal says that it is satisfied that the respondent 'erred by either informing his seniors verbally or by bringing it to the respondent's attention through medical certificates after having been examined by a doctor'. Counsel for the employer suggested that this passage reflects a typing error in that the word 'not' before 'informing his seniors' has been omitted. I do not think that is so. Rather, I think the meaning of the sentence is that the Tribunal is satisfied that the respondent erred in one of two ways, either by informing his seniors, that is the officer who telephoned him to enquire about his future travel arrangements (the respondent also said that he verbally told Mr Hernden at about the same time) that he was unfit and would not be returning; or by bringing his injury to the employer's attention simply by sending medical certificates (the certificate of 30 November 1998, and two others that were received in the following days from Dr Tan) without at the same time giving a more formal notice of injury.
35 I have already indicated that I do not think the next sentence, stating that the Tribunal is satisfied on the evidence before it that the respondent did not comply with 'the written requirement' cannot be taken literally to mean that s 62 was not complied with. Perhaps the sentence is intended to complement the sentence that precedes it, and to convey no more than that the verbal notice to his seniors, and the posting of medical certificates was not accompanied by a written notice of injury. This construction of the paragraph receives some support from the reference in the penultimate sentence to 'the ultimate notice' which implies that some earlier notice, though not in writing, had been given.
36 The last four sentences of the paragraph address directly the requirement of s 62(1)(a) of the SRC Act. I shall return to consider those sentences shortly, but before doing so I think it is helpful to consider what is required by the relevant provisions of the SRC Act.
37 Subsection 62(1)(a) must be read with other definitional sections in the Act. For example, 'injury' is defined in s 3. The obligation to give notice of injury is not an obligation to give notice as soon as practicable after the happening of an injury which meets that definition. On the contrary, the obligation to give notice only commences to run when the employee becomes aware of the injury. In context, the 'injury' referred to in s 62(1)(a) is the injury referred to in the opening words of s 62(1), namely 'an injury suffered by an employee'. Section 6 provides that a reference in the Act to an injury suffered by an employee is, unless the contrary intention appears, a reference to an injury suffered by the employee for which compensation is payable under the Act. Relevantly, compensation is not payable simply for a physiological or mental condition that meets the requirements of the definition of 'injury' in s 3. There must also be incapacity for work or impairment before compensation is payable: s 26. In my opinion there is nothing in or about s 62 that indicates an intention that s 6 is not to the reference in s 62 to an injury suffered by an employee. On the contrary, the Act is remedial in nature and should be given a beneficial construction: see Wilson v Wilson's Tile Works Pty Ltd (1960) 104 CLR 328 at 335 and Esam v ASP Ship Management (1998) 87 FCR 82 at 85. If s 62(1) is read with s 6, a construction is achieved where the employee is not required to give notice of minor cuts, aches and pains which the employee at the time thinks are unlikely to cause any incapacity for work or impairment. The notice requirement then takes on a practical, realistic operation, namely that employees are required to give notice where and when they are aware that they have suffered an injury that causes incapacity for work or impairment and therefore attracts the benefits of the Act.
38 In the present case the Tribunal has found that the respondent has suffered injury to his lower back and psychiatric injury 'by 18 November 1998'. In my opinion that finding is supported by the evidence, and is readily understandable. The respondent continued his normal work until that day. He did not give evidence of suffering any particular incident of aggravation of either condition during the last swing. Rather, the import of his evidence is that he felt his ability to perform his work was progressively becoming more difficult. The fact that he said good-bye to Mr Steve on the last day provided evidence that by then the respondent had become aware that he would not be fit to return to the vessel.
39 On the assumption that the respondent relevantly became aware of his injury or injuries on or about 18 November 1998, the last four sentences of par 209 of the Tribunal's reasons are readily understandable. Delay in giving notice occurred between 18 November and 30 November 1998. However, during that time the respondent was required to return from Northern Australia to Adelaide, and having returned, he deferred doing anything, including seeking medical assistance, until his condition further deteriorated. Then, having seen the doctor, instead of giving formal notice which strictly complied with s 62(1), he simply forwarded the first medical certificate, and subsequent medical certificates, to his employer. He also gave verbal notice to his employer of his unfitness for work. A notice of injury, although on a WorkCover form was given on or about 17 December 1998, and at the employer's request, a further notice of injury on a SRC Act form was given on or about 5 January 1999. It is to those facts which I think the Tribunal is referring when it concluded that 'The attendance by the applicant for medical treatment and the ultimate notice and claim for back injury and anxiety (s 1999/346) occurred … within a time span that can be said to be "as soon as practicable"'. On that construction of par 209 of the reasons, I consider the conclusion reached by the Tribunal was plainly open. Indeed, I do not think that any other conclusion could be supported. I did not understand counsel for the employer to argue otherwise. Rather, counsel attacked the assumption that the respondent did not become aware of the injury within the meaning of s 62(1)(a) until about 18 November 1998.
40 The primary argument for the employer was that the evidence of the respondent that he suffered the three lower back incidents in August 1998, and his evidence about the cause of his stress and anxiety, should not be believed. In relation to the August 1998 incidents, it was argued that as he made no reference to them in his letter to the employer on 13 January 1999, the only reasonable conclusion, to which the Tribunal should have come, was that the August 1998 incidents had been made up much later in time to support the compensation claim. The employer further argued that the rejection of the respondent's evidence for the reason just given should carry with it the rejection of his explanation for his stress and anxiety. It was also said that the respondent's evidence about his work environment was not borne out by the witnesses called by the employer. It will be necessary to refer to this aspect of the employer's case, and the Tribunal's disposal of it, when discussing the next ground of appeal.
41 The employer's argument based on s 62(1)(a) was, in a sense, secondary as it only arose if, contrary to the primary submission, a finding were made that the respondent had suffered an injury. In this event, the employer argued that the Tribunal should have concluded on the factual evidence that the respondent became aware of his injury for the purpose of s 62(1)(a) in August 1998 when the incidents occurred because, at that time, he was aware of pain in his back. Whilst this limb of the employer's arguments did not deal specifically with the stress claim, presumably, it is to be inferred that the Tribunal should have found that long before 18 November 1998 the respondent was aware of his stress and anxiety symptoms.
42 Counsel for the employer pointed out, correctly in my view, that the Tribunal did not purport to reach the conclusion which it did about notice under s 62, by the application of the provisions of s 62(4). It was said that before the Tribunal no issue was raised as to whether the employer would have been prejudiced by delay should the notice have been given in August 1998, nor was there any issue raised as to whether a failure to give notice in August 1998 was due to ignorance, mistake or any other reasonable cause. This appears to be the case, although I note that a passing reference to these topics and to s 62(4) was made by counsel for the respondent in her reply. Be that as it may, plainly the Tribunal did not base its conclusions on s 62(4), and if on this appeal the other contentions of the employer succeed, the proper course would be to send the matter back to the Tribunal for reconsideration. This is so even though, on the evidence, there may be a strong case for the application of s 62(4): see JO Ballard & P Sutherland, Annotated Safety, Rehabilitation and Compensation Act 1988, 5th ed, at par 53.03 to 53.07and Banks v Comcare Australia (unreported, Federal Court of Australia, Kiefel J, 22 May 1996) dealing with an equivalent statutory provision.
43 However, I do not think that the employer has made good its contention before this Court that the Tribunal should have held that the respondent, within the meaning of s 62(1)(a), became aware of the injury in August 1998. At that time he was aware of a transitory sharp pain, and a period of dull aching, but was able to continue with his work. He was not at that time incapacitated. Had he sought to make a claim in or about August 1998 in respect of one or all of the August 1998 incidents, his claim would have failed as he suffered no incapacity. For the reasons already given, I think the evidence before the Tribunal fully supported a conclusion that the respondent did not relevantly become aware of the injury until about 18 November 1998. I think such a conclusion is implicit in the conclusion reached by the Tribunal in par 209 that notice was given as soon as practicable.
44 No reference is made by the Tribunal, or by counsel, to s 10(4) of the SRC Act which is a deeming provision in relation to diseases. That section provides:
'(4) If:
(a) an employee suffers an injury (other than one resulting in a hearing impairment); and
(b) the injury is a disease or an aggravation of a disease;
the employee is taken, for the purposes of this Act, to have suffered the injury on the day when:
(c) the employee first sought medical treatment for the disease or aggravation; or
(d) the disease or aggravation resulted in the death of the employee or first resulted in his or her impairment or incapacity for work;
whichever happens first.'
The evidence would seem to support the conclusion that the claim for stress and anxiety is a claim for an aggravation of a disease, so that, for the purposes of the Act, the relevant 'injury' would be taken to have been suffered on or about 30 November 1998 when the respondent first sought medical treatment, or possibly, under s 10(4)(d) on or shortly after 18 November 1998 when he last worked.
45 There is no inconsistency between, on the one hand, a conclusion that for the purpose of s 62(1)(a) the respondent did not become aware of the injury until about 18 November 1998, and, on the other hand, the statements reported in Dr Tan's medical certificate of 30 November 1998 and the documents completed by the respondent at about that time that his injury happened or he first noticed his illness at '8/98'. With the benefit of hindsight the transitory sharp pains experienced in August 1998 indicate the happening of an injury, but do not indicate when the respondent became aware of the injury for the purpose of giving notice under s 62(1)(a).
46 Counsel for the employer baldly asserted that the WorkCover form of notice of injury forwarded to the employer on 17 December 1998 was not a notice of injury. Why that should be so was not explained and I am unable to construe the document other than as a notice of injury. Further, it was then contended that the SRC Act form submitted on about 8 January 1999 was not a notice of injury because it was a notice of claim under s 63. In my opinion a notice of claim can also constitute a notice of injury. An argument to the contrary, similar to that advanced by the employer in this case, was rejected by French J in Comcare v Luck (1999) 29 AAR 403 at [60] and [61].
47 For these reasons I consider that the Tribunal did not fall into error of law in finding that notice of injury was given under s 62.