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[2008] VCAT 584
Victorian Civil and Administrative Tribunal
2008-04-11
Original judgment source is linked above.
BACKGROUND TO THE BRINGING OF THIS COMPLAINT (PAGE 5)
b) Evidence Regarding Previous Access by the Complainant to the Respondent's Rooms (Page 11)
c) Evidence Regarding the Complainant's Behaviour at the Chinese New Year Dinner (Page 12)
d) Evidence Regarding the Respondent's Good Character (Page 13)
e) Other Evidence or Lack of Evidence Relied on by the Respondent (Page 14)
A COMPARISON OF THE EVIDENCE GIVEN BY EACH PARTY (PAGE 21)
a) The Complainant's Evidence of Prior Complaint (Page 23)
12. Valerie Brilliant (also known as Ferguson) (Page 39)
b) The Respondent's Evidence of the Complainant's Work History and Performance (Page 46)
i) The Complainant's Training Assessments - Overview (Page 48)
ii) The Evidence of the Complainant's Work History at the Royal Adelaide Hospital (Page 49)
iii) The Evidence of the Complainant's Work History at the Monash Medical Centre (Page 56)
(iv) The Evidence of the Complainant's Work History at the Royal Melbourne Hospital (Page 71)
c) The Significance of the Evidence of Dr Weidman (Page 74)
(v) The Evidence Called by the Complainant as to Her Work Performance and Professional Standards (Page 78)
d) The Complainant's Evidence of Distress (Page 80)
DISCUSSION OF THE EVIDENCE OF THE COMPLAINANT'S WORK PERFORMANCE (PAGE 80)
b) Evidence Regarding Previous Access by the Complainant to the Respondent's Consulting Rooms
c) Evidence regarding the Complainant's Behaviour at the Chinese New Year Dinner
d) Evidence regarding the Respondent's Good Character
e) Other Evidence or Lack of Evidence Relied on by the Respondent
I do not agree. The event described took place at night and away from the Hospital. The absence of witnesses to the Complainant's entry and departure from the rooms is, in my view, a neutral fact, not a fact telling against her account.
I do not agree. It is hardly likely that a conversation of the intimate nature alleged would have occurred in front of witnesses. I also regard this as a neutral fact.
In my view this submission has more weight. I was taken aback at the vehemence of the Complainant in describing the incident in the way she did, as the "worst thing that one person can do to the other". She said that she had not undertaken psychological counselling after the incident as she was convinced her reaction to the event was a normal one. She said no normal person would respond other than in the way she had. She had not required counselling as she has an internal mechanism to cope.
Ultimately, though, I think the explanation for the lack of professional assistance can be found in the Complainant's character. I thought her explanation revealed a lot about her character and general approach to life. She appeared to me to be extremely self-contained and lacking in insight as to her own shortcomings. In the context of the view I have formed of this Complainant, I find her refusal to seek professional assistance to be completely in character and not a fact which, in the circumstances of this case, renders it less likely that the event alleged did occur.
I am fortified in this conclusion by the observation of Sandra Feldman, a long-time family friend, who commented in her witness statement:-
"Caroline is a very independent and private person and she doesn't often seek the help of other people."
This was exactly the impression that the Complainant conveyed to me in giving her evidence.
Xenos gave evidence that he received a telephone call from MMC in relation to a patient on the day before the alleged incident. He said Tan should have admitted the patient. Counsel for the Respondent submitted that Tan had given evidence in this hearing that she told Xenos that she could not admit the patient, as she would be leaving early that day. Counsel says this assertion can be shown to be false, as her timesheets for that day, signed by her, show that she did not leave early on that day. Thus, I should use this evidence to demonstrate the unreliability of the Complainant and the reliability of Xenos' evidence.
The timesheets in question show that Dr Tan left work at 6pm on 14 February, the scheduled finish time of her shift. She did not leave work "early". However, her evidence in her witness statement was that she had not told Xenos she had to leave work early. She said she had to leave "on time." She maintained that position on cross-examination. Xenos had no independent recollection, one way or another, as to whether she had said she had to leave work early or whether she said she had to leave work on time.
I do not regard this evidence as demonstrating the unreliability of the Complainant's evidence.
It was suggested by the Respondent that I should find, as a fact, that the Complainant lived with her mother and that, when she returned home on the night of the incident, she would have told her mother of the incident, had it been true, and her mother would have noticed her distress on the night and in the time that followed. It was suggested that failure to call the mother was immensely significant in assessing the credit of the Complainant. The Respondent relied on the rule in Jones v Dunkel (1959) 101 CLR 298.
"Where a party without explanation fails to call as a witness a person whom he might reasonably be expected to call, if that person's evidence would be favourable to him, then, although the jury may not treat as evidence what they may as a matter of speculation think that that person would have said if he had been called as a witness, nevertheless it is open to the jury to infer that that person's evidence would not have helped that party's case; if the jury draw that inference, then they may properly take it into account against the party in question for two purposes, namely, (a) in deciding whether to accept any particular evidence, which has in fact been given, either for or against that party, and which relates to a matter with respect to which the person called as a witness could have spoken, and (b) in deciding whether to draw inferences of fact, which are open to them upon evidence which has been given, again in relation to matters with respect to which the person not called as a witness could have spoken."
"This passage makes it plain that there are two aspects of the logical process that may be adopted following a failure by a party without explanation to call available evidence which, if favourable, that party might fairly be expected to call. The first is reliance on an inference, readily enough drawn, that uncalled evidence would not have helped the party who did not call it. The second aspect refers to distinct purposes to which failure to call evidence may be put in evaluating evidence that has actually been given (whether for one side or the other) including the drawing of other inferences."
"It was Chinese New Year and, as is my custom, I planned to see the New Year in with family. I drove home immediately after leaving the restaurant and spend the rest of the evening with my mother."
"I felt defiled after the assault and for a long time merely thinking about it caused me severe humiliation and distress. As a result, I was unable to talk to anyone about what had happened for some time. I did not speak to my family about it. With the exception of my mother, they all live overseas and this was not something I wanted to discuss over a long-distance telephone call. My mother is the family member closest to me but I felt I couldn't even speak to her about what happened. I did not want her to worry excessively about what I was going through at work. She is extremely protective of me and I was certain that she would have been absolutely outraged if she had known about the assault and subsequent events at Monash. She suffers from hypertension and anxiety. I realised she knew that something very serious had upset me at work in early 2005. Although I had not told her the details, I was certain of her unconditional support and she did not press me to discuss it."
"The seriousness of an allegation made, the inherent unlikelihood of an occurrence of a given description, or the gravity of the consequences flowing from a particular finding are considerations which must affect the answer to the question whether the issue has been proved to the reasonable satisfaction of the Tribunal."
"It is now clearly established in Australian anti-discrimination law that this burden of proof is subject to the application of the test set out in Briginshaw v Briginshaw ... this means that the more serious the allegations are, it may be reasonable to expect a Complainant to prove the case beyond a slight difference in probity when weighing the evidence. Allegations of sexual harassment are serious matters. Therefore, the Complainant in this case must establish to the satisfaction of the Tribunal that the events as alleged by her occurred, and at a level greater than the merest difference in the balance of probabilities."
"The majority in that case confirmed that the ordinary standard of proof required of a claimant in civil litigation is proof on the balance of probabilities even where the matter to be proved involves criminal conduct or fraud. Their Honours pointed out that statements in cases "that clear or cogent or strict proof is necessary" before such serious conduct is to be found, relate to the strength of the evidence that is necessary to establish such a fact on the balance of probabilities. The strength of the evidence necessary to establish that matter may vary, their Honours said, according to the nature of what is sought to be proved. But that does not bear on what is the standard of proof - that remains the balance of probabilities. The reason strong evidence may be required to satisfy the tribunal of fact on the balance of probabilities that the alleged conduct amounted to a crime or other serious misconduct, is the recognition that persons do not ordinarily engage in such behaviour, and thus the tribunal of fact should not lightly make a finding to that effect on the balance of probabilities. Thus, while the standard of proof in a civil case remains the balance of probabilities, the matters to be considered by the tribunal of fact may be of such seriousness that strong evidence - clear and cogent - may be required before reasonable satisfaction that the allegations have been made out can be attained on the balance of probabilities."
"The standard of proof to be applied in a case and the relationship between the degree of persuasion of the mind according to the balance of probabilities and the gravity or otherwise of the fact of whose existence the mind is to be persuaded are not to be confused. The difference between the criminal standard of proof and the civil standard of proof is no mere matter of words; it is a matter of critical substance. No matter how grave the fact which is to be found in a civil case, the mind has only to be reasonably satisfied and has not with respect to any matter in issue in such proceeding to obtain that degree of certainty which is indispensable to the support of a conviction upon a criminal charge."
"If the recipient of the complaint is not called (for whatever reason) to give evidence, then there is now strong authority for the proposition that the evidence of complaint is still admissible, that evidence only being given by the Complainant, but it should be noted that there is authority to the contrary."
"The complaint does not amount to corroboration of the Complainant's evidence and is not evidence of the facts stated in the complaint. But it is the fact that the victim has not complained which is said to be destructive of the evidence given by the victim and usually part of the evidence of any recent complaint necessary to rebut that "presumption" will be given by the Complainant. In our view it cannot be correct that the Complainant should be prevented from giving that evidence because, for example, the person to whom the complaint was made has died, cannot be found, has forgotten what was said, is a hostile witness, did not hear the complaint when made, or now denies that the victim made the alleged complaint."
"The fact that a victim's evidence as to complaint is unsupported will, in the absence of an acceptable explanation, clearly go to the weight of the evidence of complaint; but in our view the evidence of either the Complainant or the recipient is admissible although, as we have said, ordinarily that evidence would be corroborated by the other party to the communication also giving evidence of that fact."
This passage was approved in R v G.A.E. [2000] VSCA 18; (2000) 1 VR 198 at 228-229.
"Thanks again for your agreement to help out. The occasion I need you to confirm is that day in March or April when Chattar forgot to check ... (the Complainant here describes a particular operative procedure) and while telling Chattar how disappointed I was about his omission, couldn't help crying. I then left the room, you followed and we stood in the stockroom where I told you about the rape. You were shocked by the extent of what had happened but comforted me and then I went back to theatre. I guess you may be asked general things as well. You just have to say the truth."
"Of significance, Dr Tan's statement about telling another person about the alleged assault at a time of high distress was not supported. The other person states she said that another consultant had sexually harassed her (not assaulted her), whilst mentioning to them your name as a secondary problem. This person was of the impression at that time that Dr Tan was more concerned about the other consultant."
"The conversation went along similar lines to that I had had with Professor Kaye, except that I explicitly named Mr Xenos. Mr Wallace was very concerned. He thought that it was probably a good idea to talk to Dr Danks about it."
"What do you expect when you dress the way you do?"
"very careful to protect his perception of me and to avoid creating the perception that I was out to make trouble."
"misguided sense of being tactful and delicate. I thought he would appreciate this and see me as someone who would not cause trouble."
"(i) My major motivation was my fear Chris Xenos would influence my performance appraisal."
"Professor Kaye stated he was surprised of being advised of this, as he knows Professor Danks to be a very ethical and righteous person. Professor Kaye informed Ms Fisher that he advised Dr Tan that if this type of behaviour was ongoing then she must make sure Mr Danks knew about it. Given the forgoing, Professor Kaye further stressed, in Mr Danks' defence, that he, Professor Kaye, was not clear on what Dr Tan had told Mr Danks and given Mr Danks' alleged responses then further clarity and understanding needed to be obtained in regard to what Dr Tan had actually told Dr Danks."
The suggestion that the above passage showed that Kaye doubted Tan's veracity appears to me to be a very strained interpretation of this passage.
"you believe in someone to guide you in your profession, but then they disappoint you by having other motives."
"After discussions with Mr Danks, Mr Pullar became aware that Xenos was implicated in the alleged sexual harassment."
238. He further submitted that this Tribunal should follow the recommendations of various law reform bodies, and the provisions of the Uniform Evidence Act (even though that legislation has no present application to Victorian law), in admitting this evidence as independent corroborative evidence.
c) The Respondent's Evidence of the Complainant's Work History and Performance
259. As I have outlined, the Board of Neurosurgery requires trainees to work in a hospital setting under the supervision of experienced neurosurgeons for six years. No more than two of those years can be served at the same hospital. Therefore, each trainee will spend time in at least three hospitals. This is to give a trainee broad experience of many different hospital environments, and contact with a range of eminent neurosurgeons.
260. The testing regime is informal and relies on the goodwill of specialists willing to teach and mentor trainees. The training period is followed by an extremely difficult written and oral examination. If the trainee receives a satisfactory assessment for both the internship and the exam, the trainee is then admitted as a fellow of the College of Neurosurgery, and is entitled to practise as a neurosurgeon.
262. The six-year period is assessed by a series of trainee evaluation forms. These forms are usually completed at the end of each six-month period, but if the Board requires a trainee to be more closely monitored, submission of forms can be required every three months.
263. The form is completed by the person nominated by the Board as the trainee's supervisor, and the assessment represents the supervisor's assessment once the supervisor has consulted with all other neurosurgeons in the unit. The supervisor is obliged to discuss the content of each assessment report with the trainee before signing it. It is then signed by the trainee, and it is the trainee's responsibility to forward it to the Board.
264. In this case, I was presented with a full set of training assessments of Caroline Tan, from the time she commenced her training at the Royal Adelaide Hospital, for the time she was in training at Monash Medical Centre, and for the completion of her training (after this incident) at the Royal Melbourne Hospital (subject to a separate ruling I made in respect of a late application to introduce evidence from the Royal College of Neurosurgeons covering this period).
i) The Complainant's Training Assessments - Overview
ii) The Evidence of the Complainant's Work History at the Royal Adelaide Hospital
"Caroline has had very little clinical experience and her knowledge base is below par. She is increasing in confidence and although initially appearing to lack interest and application her performance is improving".
"shown improvement in all areas previously noted as of concern."
"Her knowledge and background reading have improved continuously as have her responses to stress and criticism. She is taking a much more mature approach to her training and is gaining valuable experience."
"There has been a significant improvement in Caroline's knowledge and clinical assessment. Her clinical and operative skills are developing well."
"Communication has improved but remains a problem. Caroline needs to engage more in clinical discussions."
"Extensive discussion was undertaken amongst all consultants and it was felt that an explanatory letter was required. Although previous reports had described deficiencies in knowledge and diagnosis, it was felt that these had been very adequately addressed and Caroline is now functioning as a clinically competent trainee. Her surgical skills have improved and are consistent with her level of training. The difficulties that remain all fall within section D, relating to attitudes. There were some concerns about stress response but the major area of concern was in co-operation with other staff. It has been apparent this year that the trainees do not get along and this has severely impacted upon lines of communication between them and with consultants and other staff. This has not reflected well on either trainee but with Caroline in particular it as apparent that she finds it difficult to separate her personal feelings from her professional responsibilities. In summary, it was felt that her clinical skills and knowledge base are sufficient to continue with training, but we would ask the Board to consider recommending a course in communication and teamwork skills."
"Overall, it was the feeling of the unit that Caroline had made a solid effort to improve on the areas discussed above and it is expected that her clinical performance will continue to develop over the remainder of the year."
"considerable concern that this has been a continual problem throughout her clinical training, well documented in regular assessment reports. It noted that the deficiencies had been discussed with Dr Tan on numerous occasions throughout 2002 and 2003".
iii) The Evidence of the Complainant's Work History at the Monash Medical Centre
"Caroline has worked well during her initial 10 weeks here at MMC. Her relationships with surgeons, registrars, residents, nurses and patients have all been quite satisfactory."
"Often stressed by interpersonal factors rather than patient factors. This has interfered with her performance significantly. When Dr Tan had a reasonable level of operating rights. I was not happy that difficulties were communicated to the supervising surgeon as promptly as required."
"My assessment of Dr Tan's performance as a trainee was that it was unsatisfactory during the last 6 months of 2005 - on the basis of her inadequate technical skills for the stage of her training, and her behaviour issues."
"demonstrate the attributes of a brilliant high achieving person who could be capable of good work. She could also appear solitary and unable to communicate effectively with staff".
"(iii) The Board was informed that an allegation of sexual harassment had been formally lodged by Dr Tan. The Board was also informed that the allegation, in accordance with College policy, was being processed by the censor in chief and that the allegation could not be considered by the Board in making any decision relating to performance. The Board was not provided with details of the allegation."
"(iv) Deficiencies relating to Dr Tan's operative ability, co-operation, stress response and teaching and learning were highlighted. These deficiencies were consistent with previous assessments and highlighted a pattern of serious deficient behaviour. It was noted that following previous warnings Dr Tan had improved for periods however, she had been unable to demonstrate sustained long-term improvement. The deficiencies also raise serious questions regarding Dr Tan's ability to function appropriately as a member o a health care team and to function competently in times of personal and professional stress. The Board felt very strongly that the assessments to date warranted further independent psychiatric assessment and agreed that direction be sought from the college on the Board's authority to make such a request."
"Finally, the first time that I heard about any concerns about my conduct towards Dr Tan was in late January 2006, the last week of Dr Tan's tenure at Monash. Mr Danks informed me via phone that during a formal assessment debrief Dr Tan had made some allegations of sexual harassment against me. No other details were provided. Just prior to Dr Tan leaving, another meeting was informally held between Dr Tan and fellow consultants in the unit. This meeting had been requested by Dr Tan. I was not present. Apparently, in the context of discussing her performance, and justifying the unsatisfactory assessment of her clinical performance in the previous 6 months, allegations of harassment against me were repeated."
(iv) The Evidence of the Complainant's Work History at the Royal Melbourne Hospital
"Strengths - very enthusiastic and committed to training."
"Weaknesses - occasional inconsistencies in interaction with colleagues. She is aware of our concerns regarding this."
"(v) My main concern is that Caroline has never acknowledged what I think was constructive criticism in my previous reports, and as a result continues to be unable to address effectively those significant areas of performance inadequacies. Her insight into those problem areas seems to e limited, and my impression is that she takes constructive criticism as a personal slur, which is to be attacked, rather than considered and learnt from. I think that if she does not develop the ability to seek criticism and be self-critical, her ability to perform safe surgery and develop as a surgeon will be limited ..."
"(iv) I have discussed this report with the other neurosurgeons in the unit as a group. The neurosurgeons agree in general with my assessment in the areas discussed above where Caroline's performance is still not up to the expected standard. However, they have strongly requested that I not formally grade her as substandard in any one particular area, as the outcome from our previous assessment was very negative, with Caroline's response being very negative and causing disruption to her training and the unit's cohesiveness for some weeks afterwards, with no discernable positive outcomes from the report. The unit remains committed to helping Caroline to improve her performance and achieving a satisfactory result in her FRACS examinations."
"We are breaking our own rules. It may not be legal, but we have to make sure inappropriate people do not proceed through training."
(v) The Evidence Called by the Complainant as to Her Work Performance and Professional Standards
DISCUSSION OF THE EVIDENCE OF THE COMPLAINANT'S WORK PERFORMANCE AND STANDARDS
Tan
Xenos
(1959) 101 CLR 298
(1992) 110 ALR 449
(1965) 112 CLR 517
(1998) 3 VR 602
(2000) 1 VR 198