Did the Tribunal deny Prosegur procedural fairness by failing to notify it of its intention to make the finding or give it a reasonable opportunity to make submissions that the Tribunal should not make that finding (ground 1(d))?
88 In substance, Prosegur submitted that the Tribunal's impugned finding came as a complete surprise.
89 Generally speaking, the rules of procedural fairness do not require decision-makers to give notice of the findings they intend, or are minded, to make: F Hoffmann-La Roche & Co AG v Secretary of State for Trade and Industry [1975] AC 295 at 369 (Lord Diplock). But as the Full Court (Northrop, Miles and French JJ) said in Commissioner for the Australian Capital Territory Revenue v Alphaone (1994) 49 FCR 576 at 591-2, the general principles are subject to certain qualifications:
Where the exercise of a statutory power attracts the requirement for procedural fairness, a person likely to be affected by the decision is entitled to put information and submissions to the decision-maker in support of an outcome that supports his or her interests. That entitlement extends to the right to rebut or qualify by further information, and comment by way of submission, upon adverse material from other sources which is put before the decision-maker. It also extends to require the decision-maker to identify to the person affected any issue critical to the decision which is not apparent from its nature or the terms of the statute under which it is made. The decision-maker is required to advise of any adverse conclusion which has been arrived at which would not obviously be open on the known material. Subject to these qualifications however, a decision-maker is not obliged to expose his or her mental processes or provisional views to comment before making the decision in question.
(Emphasis added.)
90 Whether Mr Higgerson aggravated the 2002 injury when he twisted or jarred his left knee in the October 2019 incident was plainly an issue which was critical to the decision the Tribunal made. Two questions arise here. The first is whether it was an issue between the parties and therefore an issue to be resolved. The second is whether the Tribunal's finding was one which would not obviously have been open on the known material.
91 As I mentioned at the outset of these reasons, Mr Higgerson filed two applications for review in the Tribunal, both completed by his solicitor, Tony Cardillo. Both those applications identified the reason why he was contending that Prosegur's decision to decline liability was wrong by reference to the applications for reconsideration which was attached to the applications for review.
92 In the first (matter no 2020/4266) the reason was put in the following way:
We submit that the incident on 16 October 2019 while Mr Higgerson was engaged in the employer's employment both caused further injury to Mr Higgerson's knee, and aggravated his ailment; his ailment being a disease injury of post-traumatic osteoarthritis, and that the aggravation was contributed to, to a significant degree, by the employee's employment.
Further, his ongoing performance of his duties during his employment, that of engaging in heavy work that requires kneeling, squatting and a lot of climbing and carrying heavy objects, has contributed to a significant degree the aggravation of his disease
93 In the second (matter no 2021/8735) the reason was:
[Mr Higgerson] maintains that he suffered an injury in 2002 from which he did not recover. On 16 October 2019, he suffered a further injury aggravating the injury in 2002. In addition he asserts that the nature and the conditions of his employment since 2002 aggravated the injury he suffered in 2002.
(Emphasis added.)
94 Thus, while the first application did not suggest that it was any part of Mr Higgerson's case that the October 2019 incident aggravated the 2002 injury, the second application clearly did. At the time this second application was filed, Prosegur was on notice that Mr Higgerson would argue that he should succeed on the basis upon which the Tribunal found in his favour.
95 That position was maintained in the Applicant's Statement of Facts, Issues and Contentions (ASIFC) dated 15 February 2022, which was filed in the Tribunal for Mr Higgerson and signed by Mr Cardillo. In that document, the following contentions were made:
a. [Mr Higgerson] contends that the injury to his left knee arose out of or in the of his employment with [Prosegur] as a consequence of the injury he suffered on the 16th October, 2019 and as a consequence of the nature of the duties he performed in the course of his employment for [Prosegur] from 2012 to the 16th October, 2019 when [Prosegur] was at risk.
b [Mr Higgerson] contends that he suffered a consequential injury to his right knee as a result of favoring his left knee and placing more weight on his right knee during the course of and in the performance of his duties in his employment with [Prosegur] from 2012 to the 16th October, 2019.
c. In the alternative [Mr Higgerson] contends that as a consequence of the performance of his duties in his employment with [Prosegur] from 2012 and as a consequence of the injury he suffered on the 16th October, 2019 he aggravated the injury he suffered in 2002 and that aggravation arose out of the course of his employment with [Prosegur] pursuant to Section 5A(l)(c) of SRCA.
(Emphasis added.)
96 Of course, the Tribunal found that Mr Higgerson did not suffer an injury on 16 October 2019 and did not find that the duties he performed for Prosegur after 2012 caused or contributed to any aggravation of the 2002 injury.
97 There is no reason to think that the questions put to the experts were drafted by the Tribunal. I infer that they were agreed to by the parties and reflected a common understanding of the critical questions. Those questions narrowed the scope of the issues for determination and the answers given to them narrowed them even further. In closing submissions in the Tribunal Mr Higgerson did not indicate that the question of whether the October 2019 incident aggravated the 2002 injury was an issue in the proceeding. And in submissions in reply he did not quarrel with Prosegur's summary of the issues which did not include such a question.
98 On the question of aggravation, Mr Higgerson submitted to the Tribunal that "pain could constitute an aggravation of a pre-existing condition" and that he had "suffered an identifiable injury" resulting in "a secondary pain condition" while "performing employment-related activities". He did not indicate what the "identifiable injury" was or when it had occurred. The pre-existing condition, here, of course, was osteoarthritis. He continued: "[T]he pain was so debilitating and severe that it constitutes an aggravation, even though no pathological change [took] place", citing Beattie 201 and Tippett v Australian Postal Corporation (1998) 27 AAR 40 at 44. While both Beattie and Tippett were cases about the aggravation of "an injury (other than a disease)" no reference was made to s 5A(1)(b). The only reference to the definition of "injury" in the Act was to the definition in s 5B. Mr Higgerson submitted that "in considering s 5B(2)(b) [which I take to be a reference to s 5B(1)(b)] the Tribunal would have regard to the physical demands of the work of armoured vehicle operators and there could be "no doubt" that the nature and conditions of Mr Higgerson's work for Prosegur were "extremely physically demanding". He argued that the severity of his symptoms was of such a nature that it amounted to an aggravation of his "condition".
99 That Mr Higgerson's submissions were directed to an aggravation of the disease of osteoarthritis rather than the original injury in 2002 is most apparent from what he put at [35]-[36]:
35 The Applicant's symptoms of [his] pre-existing arthritis increased, intensified or recurred in October 2019, and accordingly applying these authorities and the statutory test in s 5B(1)(b) there was an 'aggravation' of the Applicant's condition even if there had been no increase in the underlying pathology.
36 As the High Court explained in Military Rehabilitation and Compensation Commission v May (2016) 257 CLR 468 at 482 (May), the first task of the tribunal of fact is to determine if the employee is suffering a disease.
100 He proceeded to refer to the definitions of "disease" and "ailment" and "aggravation" before turning again to the judgment in Tippett. Nowhere in those submissions did he state that it was part of his case that the October 2019 incident aggravated the 2002 injury. Nor did he do so in reply.
101 In its submission to the Tribunal Prosegur wrote that, "based on the decisions [under review] and the manner in which [the hearing] progressed", the issues were summarised in the questions contained in the document put to the expert witnesses. That document did not contain the question the Tribunal posed for itself which led to the impugned finding. Prosegur also submitted that this was a case in which "the determination of the relevant question of fact (that is, whether there was an injury on 16 October 2019) [was], in effect, relegated to experts". It argued that the substance of the case it now put was not put to any of the experts in concurrent evidence and it would be procedurally unfair if the Tribunal were to accept Mr Higgerson's contention of an "identifiable injury" with a consequential secondary pain condition while performing employment-related activities or any asserted pain-based aggravation.
102 In his submissions in reply, Mr Higgerson did not dispute Prosegur's summary of the issues. On the other hand, he submitted that Prosegur was squarely on notice that he relied on "debilitating pain since the incident on 16 October 2019". He argued that questions of causation and evaluation of evidence were not "relegated" to medical experts. He insisted that the Tribunal was in a position where it could draw its own inference. He did not however argue that the "debilitating pain" he had experienced since the October 2019 incident was an aggravation of the frank injury in 2002. His argument was that it was an aggravation of his osteoarthritis. That seems clear from his reference to Wuth v Comcare [2022] FCAFC 42; 289 FCR 464 in which he drew attention to the remarks by Wheelahan J about the need for physiological change only in the case of an "injury (other than a disease)" and not in the case of an "ailment". It is in that context that Mr Higgerson argued that "pain can in certain circumstances constitute an aggravation of a pre-existing injury and … that it is open to the Tribunal to find that even though there was no underlying pathological change evident, there could be an aggravation".
103 Prosegur sought and was given permission to put a further submission in response to several matters raised in Mr Higgerson's submissions. On this point he argued that the Tribunal was not entitled to draw its own inference if such an inference were inconsistent with the expert evidence.
104 In submissions in this appeal, Mr Higgerson asserted that the question of whether there was an aggravation of the 2002 injury in the October 2019 incident was an issue before the Tribunal. But the citation for that assertion was the Tribunal's finding in [139] of its reasons that the October 2019 incident caused aggravation to the 2002 injury. The mere fact that the Tribunal made that finding does not establish that this was an issue. The questions put to the experts both in writing and orally and the manner in which the case was ultimately argued indicate otherwise.
105 Mr Higgerson submitted that Prosegur "approached the hearing based on a pre-existing 2002 injury that was aggravated or became symptomatic and disabling after the 16 October 2019 accident" and "this injury" was uncontroversial. As the 2002 injury "was in evidence", he submitted that the Tribunal was obliged to take it into account"; the Tribunal was not obliged to relist the matter, forecast to the parties its inclination to find that the October 2019 incident aggravated the 2002 injury, and give Prosegur another chance to persuade the Tribunal against this course. He argued that Prosegur "had and took its chance".
106 Of course, the Tribunal was obliged to take the 2002 injury into account. Otherwise, however, I cannot accept these submissions. Despite what was put in the application for review and the ASFIC, the hearing was not conducted on the basis that the October 2019 incident aggravated the 2002 injury. As I have already observed, no such proposition was put to the medical witnesses. Nor, contrary to what the Tribunal evidently believed, was it put in submissions to the Tribunal.
107 In its reasons the Tribunal addressed Prosegur's supplementary submissions. Relevantly, at [136] the Tribunal stated:
[Prosegur] appears to contend that after hearing all the evidence the Tribunal is precluded from examining whether the incident of 16 October aggravated [Mr Higgerson's] previous injury sustained in 2002 …
108 As Prosegur submitted, this was a misapprehension of its position. Its complaint related to Mr Higgerson's submission that he suffered from "a secondary pain condition" which arose while he was performing "employment-related activities" and which was caused by "an identifiable injury". Prosegur claimed that this was a novel argument. Mr Higgerson did not say (and Prosegur did not understand him to be saying) that the "identifiable injury" was the 2002 injury.
109 In all the circumstances, I consider that procedural fairness required that Prosegur be given the opportunity of addressing the question of whether the October 2019 incident aggravated the 2002 injury. I have no doubt that, if Prosegur were alert to the issue, it would have squarely done so.
110 It follows that I would also uphold ground 1(d).