KW & Ors v KV & Ors (No.2) [2004] NSWADTAP 48
P v NSW Trustee and Guardian [2015] NSWSC 579
Re Refugee Tribunal
Source
Original judgment source is linked above.
Catchwords
KW & Ors v KV & Ors (No.2) [2004] NSWADTAP 48
P v NSW Trustee and Guardian [2015] NSWSC 579
Re Refugee Tribunal
Judgment (22 paragraphs)
[1]
Background
ZKC is a woman of Spanish background who has been living in an aged care facility since April 2018. She has dementia. ZKC previously lived with one of her daughters, ZKD. In January 2016, she appointed another daughter, ZKE as her enduring guardian. A third daughter, ZKB, does not get on with ZKD and ZKE.
ZKB applied to the Guardianship Division of the Tribunal in May 2018 so that she could make decisions on behalf of her mother. She believed that her mother did not want to live in an aged care facility and that she would prefer to live with her. Following a hearing on 27 July 2018, the Tribunal appointed the Public Guardian as ZKC's guardian to make decisions on her behalf about where she should live and the health treatment she should receive. ZKB has appealed to the Appeal Panel from that decision.
ZKB provided an unofficial version of the transcript of the Tribunal proceedings to the other parties and the Appeal Panel. She acknowledged that she had added the words in capital letters. ZKD and ZKE submitted that there is some text missing from the transcript. Given ZKB's admission that she has added words to the transcript and the dispute about its completeness, we have decided not to admit it into evidence. Nor have we taken into account ZKD's or ZKE's evidence as to what was said at the Tribunal hearing.
Each of the daughters sought to rely on fresh evidence on appeal. We have decided to take into account fresh evidence about whether ZKB received certain documents filed in the Tribunal proceedings and when other documents were received. Apart from that evidence, we have decided not to take into account any fresh evidence. The evidence is not relevant to any issue on appeal because it is generally about events that have taken place since the Tribunal hearing.
ZKB is entitled to appeal on questions of law but must obtain the Appeal Panel's permission before appealing on grounds other than questions of law: Civil and Administrative Tribunal Act 2013 (NSW) (NCAT Act), s 80(2). The grounds of appeal can be divided into three categories all of which ZKB says are questions of law:
1. that the Tribunal failed to make the necessary findings of fact to establish that ZKC is a "person in need of a guardian" (Grounds 1 - 4 and 6);
2. that the Tribunal failed to give ZKC a reasonable opportunity to be heard: (Grounds 5, 8 and 9) and
3. that the Tribunal failed to give ZKB a reasonable opportunity to be heard (Grounds 10 - 15).
If any of these grounds was not a question of law, ZKB sought leave to appeal on those grounds: NCAT Act, s 80(2)(b). ZKB did not rely on ground 7.
[2]
Grounds of appeal
Grounds 1, 4 and 6 allege that the Tribunal failed to make relevant findings of fact about whether ZKC is a "person in need of a guardian" as that term is defined in the Guardianship Act 1987 (NSW). The Tribunal has power to make a guardianship order if it "is satisfied that the person is a person in need of a guardian": Guardianship Act, s 14(1). That expression is defined in s 3 to mean "a person who, because of a disability, is totally or partially incapable of managing his or her person." Under s 3(2), a reference to "a person who has a disability" is a reference to a person:
(a) who is intellectually, physically, psychologically or sensorily disabled,
(b) who is of advanced age,
(c) who is a mentally ill person within the meaning of the Mental Health Act 2007, or
(d) who is otherwise disabled,
and who, by virtue of that fact, is restricted in one or more major life activities to such an extent that he or she requires supervision or social habilitation.
According to ZKB the Tribunal's errors were:
1. making a finding that ZKC was "a person who has a disability" without making a finding as to the disability that is alleged to make ZKC incapable of managing her person or restricting her in any major life activities; (Ground 1)
2. failing to describe the major life activities that are relevant to ZKC and how she is restricted in those activities; (Ground 2 and 3) and
3. failing to identify how much supervision or social habilitation, if any, ZKC needs. (Ground 4)
[3]
Legal principles
If asked to provide written reasons for decision, the Tribunal is obliged to set out its "findings on material questions of fact, referring to the evidence or other material on which those findings were based": NCAT Act, 62(3). Although this statutory requirement only applies when a party requests written reasons, adequate reasons are a common law requirement that applies equally to tribunals: Absolon v NSW TAFE [1999] NSWCA 311 at [66] per Powell JA. The Appeal Panel explained the reason for setting out findings of fact on material questions in Collins v Urban [2014] NSWCATAP at [49]:
One reason why reasons are generally required, notwithstanding a provision such as s 62, is that if reasons for decision are neither sought nor prepared and an appeal or application for leave to appeal is lodged, the findings of fact and legal reasoning of the decision maker at first instance would not be available to the appellate body by way of written reasons. In many instances not having findings of fact and legal reasoning explicitly available may render effectively worthless any appeal right because the appellate body does not have a statement of the findings of fact, the relevant law and explanation of how the law was applied to the facts as found, by the decision maker at first instance.
If the Tribunal has failed to make findings on material questions of fact, referring to the evidence or other material on which those findings were based, it may not have provided adequate reasons for its decision.
[4]
Tribunal's decision
The Tribunal summarised the relevant law and then referred to the medical evidence. Dr Nitchingham, a staff specialist geriatrician at Prince of Wales Hospital, reported on 16 July 2018 that ZKC has moderate dementia (mixed vascular and Alzheimer's aetiology), hypertension, vertigo, osteoporosis and a hearing impairment. Following a fall about four years previously, Dr Nitchingham wrote that ZKC now requires physical assistance for showering. Over the past two years, Dr Nitchingham said that ZKC had declined cognitively and had experienced short-term memory loss. She noted that there was a further marked cognitive decline after an admission to hospital in December 2017.
The Tribunal quoted the following opinion from Dr Nitchingham's report:
Behavioural and psychological symptoms of dementia (BPSD) are noted including paranoid delusions. She demonstrated limited insight into her care needs. On review today she did not demonstrate capacity to make informed decisions regarding accommodation . . . Functionally, ZKC requires high-level care assistance . .
The Tribunal also referred to the opinion of A/Prof Rosenfeld that ZKC has:
. . .moderate to severe brain disease and dementia associated with extensive blood vessel/vascular brain disease . . .
The Tribunal noted that ZKC told them that she was capable of making her own decisions. The Tribunal placed greater weight on the medical evidence about disability and capacity and made the following finding at [38]:
. . . ZKC has a disability which prevents her making important life decisions. She is a person for whom the Tribunal could make a guardianship order.
[5]
Consideration
The Tribunal's reference to a person "for whom the Tribunal could make a guardianship order" is a reference to the first stage of the two stage process set out in s 14(1) and s 14(2) of the Guardianship Act.
(1) If, after conducting a hearing into any application made to it for a guardianship order in respect of a person, the Tribunal is satisfied that the person is a person in need of a guardian, it may make a guardianship order in respect of the person.
(2) In considering whether or not to make a guardianship order in respect of a person, the Tribunal shall have regard to:
(a) the views (if any) of:
(i) the person, and
(ii) the person's spouse, if any, if the relationship between the person and the spouse is close and continuing, and
(iii) the person, if any, who has care of the person,
(b) the importance of preserving the person's existing family relationships,
(c) the importance of preserving the person's particular cultural and linguistic environments, and
(d) the practicability of services being provided to the person without the need for the making of such an order.
The second stage of the process is deciding whether to exercise the discretion to make a guardianship order. Before doing so, the Tribunal must be satisfied that the subject person is a "person in need of a guardian": IF v IG & Ors [2004] NSWADTAP 3 at [30]. Consequently, by saying that ZKC is a person for whom the Tribunal could make a guardianship order, the Tribunal was making a finding that ZKC was "a person in need of a guardian".
In reaching the view that ZKC was a "person in need of a guardian", the Tribunal needed to ask itself following questions:
1. does the person have a disability as defined?
2. does that disability mean that the person is restricted in one or more major life activities to such an extent that he or she requires supervision or social habilitation?
3. does that disability mean that the person is totally or partially incapable of managing his or her person?
ZKB is correct when she submits that the Tribunal did not expressly state which of ZKC's disabilities means that she is incapable of managing her person or is restricted in a major life activity. But it is beyond doubt that the Tribunal was relying, at least, on the diagnosis of dementia in reaching that view. We are satisfied that the Tribunal found, if not expressly, then inferentially, that ZKC was a person who has dementia and that that is a disability as defined in the legislation. No error of law is disclosed by this ground of appeal.
The Tribunal did not use the words 'major life activities" or describe how ZKC's disability affects any of those activities. But it is clear from the Tribunal's reasons that it accepted the expert evidence from Dr Nitchingham that, functionally, ZKC requires high-level care assistance. It follows that she cannot look after herself. In terms of the statutory test, we can easily infer that the Tribunal was satisfied that, because she has dementia, ZKC is restricted in one or more major life activities to such an extent that he or she requires supervision or social habilitation. The Tribunal did not need to express its finding using the precise language of the statute.
ZKC also submits that the Tribunal failed to identify how much supervision or social habilitation, if any, ZKC needs. The language used in the legislation is that the person "requires supervision or social habilitation". (Emphasis added.) Given that the Tribunal found that ZKC requires high-level care assistance, it follows that she requires supervision. We repeat that the Tribunal did not need to express its finding using the precise language of the statute.
It was not necessary for the Tribunal to determine whether ZKC requires social habilitation or the extent to which that is the case. Nevertheless, we will make some brief observations about the meaning of that term. It is not defined in the Guardianship Act but Lindsay J considered its meaning in P v NSW Trustee and Guardian [2015] NSWSC 579, at [303]:
The expression "social habilitation" (in the context of references to "disability", "restricted", "major life activities" and the word "requires") may be taken to refer to a need for services to help a person to be, or become, able to function normally in community with others.
The Tribunal's reasons make it clear that ZKC needs services to help her function normally in the community.
The medical evidence supported the Tribunal's finding that ZKC is "a person in need of a guardian". The Tribunal made findings on material questions of fact referring to supporting evidence. No error of law is disclosed.
Having come to this conclusion we do not need to address ground 6 which was that, as no finding of fact had been made as to any disability claimed to be suffered by ZKC, the Tribunal had no power to undertake the second step in the process, that is, to exercise the discretion under s 14(2) of the Guardianship Act and make a guardianship order.
[6]
Failing to give ZKC a reasonable opportunity to be heard
[7]
Grounds of appeal
Ground 9 was that the Tribunal should have considered the appointment of a separate representative for ZKC to better ascertain her views. We address this ground briefly below and then go on to consider two other grounds of appeal relating to alleged breaches of procedural fairness.
The Tribunal has power to order that a person be separately represented: NCAT Act, s 45(4)(c). The Guardianship Division Guideline on Representation, which can be found on the NCAT website, states at paragraph 11, that:
A legal practitioner may act as the separate representative of a party. If the Tribunal orders that the subject person is to be separately represented, then the separate representative appears at the hearing to make submissions about the "best interests" of the subject person (see section 4 of the Guardianship Act). Only the Tribunal may order that a party is separately represented (section 45(4)(c) of the Act)
The power to appoint a separate representative is discretionary. There is no obligation on the Tribunal to exercise that power: ZBR v ZBS [2016] NSWCATAP 209 at [64]. The Tribunal has not breached procedural fairness or made any other error of law by failing to appoint a separate representative for ZKC.
Ground 8 was that the Tribunal failed to offer ZKC an adjournment when she became upset and was unable to continue giving evidence by phone to the Tribunal. According to ZKB, the Tribunal should have adjourned at least that part of the hearing where ZKC was being questioned. ZKB also submitted that ZKC could not hear well enough when she was being asked about where she would prefer to live. ZKB's lawyer expressed her view from the bar table that ZKC's distress was because of her inability to hear, not the distress of dealing with the matter.
Grounds 5 was that the Tribunal breached the rules of procedural fairness by failing to give ZKC the opportunity to respond to the medical reports of A/Prof Jankelowitz dated 1 June 2018, Dr Nitchingham dated 16 July 2018 and A/Prof Rosenfeld dated 30 January 2018.
[8]
Legal principles
When considering whether to make a guardianship order, the paramount consideration is the welfare and interests of the subject person: Guardianship Act, s 4. The Tribunal is also obliged to take into account the views of the subject person: Guardianship Act, s 14(2)(a)(i).
The Tribunal is subject to the rules of natural justice - otherwise known as the rules of procedural fairness: NCAT Act, s 38(2). The Tribunal must give a party a fair hearing before decisions are taken which affect their interests: Re Refugee Tribunal; ex parte Aala [2000] HCA 57; (2000) 204 CLR 82 at [101]. This principle is articulated in s 38(5)(c) of the NCAT Act which requires the Tribunal to " ... take such measures as are reasonably practicable to ensure that the parties have a reasonable opportunity to be heard or otherwise have their submissions considered in the proceedings". And, as Basten JA said in Italiano v Carbone [2005] NSWCA 177 at [105],"[W]here necessary this will entail the Tribunal offering an appropriate adjournment, whether sought or not."
In relation to giving ZKC the opportunity to respond to the medical reports, the Tribunal is obliged to disclose to parties who have an interest in the proceedings, the substance of any adverse or prejudicial information and give them a reasonable opportunity to respond: KV v Protective & Ors; KW & Ors v KV & Ors (No.2) [2004] NSWADTAP 48. In EB & Ors v Guardianship Tribunal & Ors [2011] NSWSC 767 at [238], Hallen AsJ held that a party must be given ". . . a reasonable opportunity to obtain such evidence in opposition to the application as well as a reasonable opportunity to consider, and respond to, all of the evidence that was to be relied upon . . ." What is reasonable will depend on the circumstances.
[9]
Tribunal's decision
The Tribunal spoke to ZKC on the phone during the hearing. A carer and the manager of the aged care facility were with ZKC at the time. An interpreter was on another phone line. At [12] the Tribunal noted that:
ZKC became distressed and began crying in the early stages of the hearing. [Name of aged care facility deleted] staff took her back to her room after seeking permission from the Tribunal.
At [37], the Tribunal noted that, "ZKC participated in the hearing to a limited extend, as outlined above, and said she is capable of making her own decisions." The Tribunal set out the evidence about her views at [34] of the decision:
Dr Nitchingham said [name of aged care facility] staff have noted ZKC to be paranoid and frequently gets into quarrels with other residents. ZKC told Dr Nitchingham that she feels like a prisoner and expressed dissatisfaction with her current living arrangements. She asserted she was brought to the aged care facility under false pretences. ZKC reported anxiety about the conflict between her daughters which was affecting her sleep. Dr Nitchingham said ZKC's mood was low and she cried a few times during the consultations. ZKC expressed a preference to live with [ZKB] but that was inconsistent with her stated views earlier in the year to Dr Gogulan and Associate Professor Rosenfeld. A Mini Mental State Examination (MMSE) resulted in a score of 17/30, which was essentially unchanged since January 2018.
[10]
Consideration
The extent to which ZKC could hear what the Tribunal Members and others were saying, is not a matter which we can make a finding about on appeal. For whatever reason, she became distressed and began to cry. The issue is not why ZKC was unable to continue to participate, it is whether the Tribunal failed to give her a reasonable opportunity to be heard by not offering her an adjournment. Ms Rogers, the separate representative for ZKC, agreed that ZKC was faced with difficult communication problems, but did not consider that the situation would have been any different if her evidence had been taken on a later occasion.
The Tribunal obtained and recorded ZKC's view that she had capacity to make her own decisions and that she wanted to live with ZKB. The Tribunal also noted that she had expressed inconsistent views on other occasions. ZKB submitted that ZKC has only ever said that she wants to move in with her and that any instances of her changing her mind are reasonable. ZKB also challenged the Tribunal's finding of incapacity and states that her mother has some insight into what is happening which suggests that she does have capacity to make decisions for herself.
ZKB's disagreement with the Tribunal's factual findings does not disclose an error of law, nor is that disagreement a basis for giving permission for ZKB to appeal on a question other than a question of law.
By arranging for ZKC to participate by phone with a Spanish interpreter, the Tribunal took reasonably practicable measures to ensure that she had an opportunity to be heard. Her views had been recorded by various health professionals and she was given an opportunity to participate by phone at the hearing. Unfortunately, for whatever reason, she was unable to participate throughout the entire hearing. It was not a breach of procedural fairness to fail to offer ZKC an adjournment.
The medical reports were disclosed to her and she had the opportunity to respond. It is apparent that, unfortunately, her level of cognition and her distress prevented her from doing so in any detailed way. There has been no breach of procedural fairness by the Tribunal.
[11]
Failing to give ZKB a reasonable opportunity to be heard
[12]
Grounds of appeal
Grounds 10 - 15 are that ZKB was denied procedural fairness because she was not served with relevant adverse evidence, not given an opportunity to question witnesses about that evidence and denied the opportunity to respond to the substance of that evidence.
[13]
Legal principles
In order to provide evidence and make submissions, a party must be aware of all the "credible, relevant and significant" material that will be considered: Kioa v West [1985] HCA 81 at [38]; (1985) 159 CLR 550 at 628-629. A person who might be affected by a finding should be given the opportunity to adduce evidence and make submissions rebutting the potential adverse finding: Mahon v Air New Zealand Ltd [1983] UKPC 29; [1984] AC 808 at 820-821.
[14]
Failing to serve documents
Grounds 10 is that ZKB was not served with some 15 documents. At the hearing she relied on the failure to serve the following five documents as being a breach of procedural fairness in addition to the alleged breaches outlined in the Notice of Appeal and submissions:
1. ZKE's statement of 11 July 2018;
2. Doctor Nitchingham's report of 16 July 2018;
3. Doctor Rosenfeld's report of 30 January 2018;
4. Dr Placahica's report (undated); and
5. Dr Malage Waruni Peiris' report dated 18 June 2018.
We made the following directions at the conclusion of the hearing:
1. By 14 December 2018 respondents to file and serve by email a copy of any statement of the appellant filed in the Guardianship Division that was not in the Appeal Book and further evidence of documents served on the appellant.
2. By 21 December 2018 the appellant is to file and serve any evidence and submissions in response.
[15]
Evidence and findings about service of documents
On 12 December 2018, ZKE provided some screen shots of emails sent to ZKB on 18 July 2018. She submitted that all documents were sent to ZKB on 18 July at her email address. ZKE submits that her evidence that the documents were sent to ZKB by email is supported by the fact that she refers to and quotes some of the documents in the material she filed with the Tribunal. In a statement dated 23 July 2018 ZKB responded to adverse allegations under the following heading" "Response to Dr Jankelowitz"; "Lisa's report"; "Response to [ZKD]"; and "Response to Dr Johnson".
According to ZKB, this statement does not support a finding that she has received the documents that she says were not served. We find that ZKB's statement was responding to the reports of Dr Jankelowitz, the report of Lisa Pirata, the statement of ZKD and to Dr Johnson's referral of ZKC for drug testing.
On 21 December 2018, ZKB provided a statement and submissions about the documents she had received. In that statement, ZKB says that on 20 July 2018 she received a report from A/Prof Jankelowitz and on 26 July 2018, the day before the hearing, at 5.41 pm, she received the report of A/Prof Rosenfeld. She did not receive an email from ZKE on 18 July at 4.43 or 5.43 pm attaching seven documents including Dr Nitchingham's report and ZKE's statement. That evidence is supported by a statement from an IT consultant, Terry Lee, to the effect that ZKB did not receive an email from ZKE on 18 July 2018 containing the seven attachments.
ZKB also asserted that she received only parts of some reports. For example, she received a copy of some of her mother's urine tests but not the complete document. She says she was not aware of the reason for the urine tests. We assume that ZKB is asserting that she did not receive ZKE's email of 15 July 2018 where she writes, in part, that, "Assessment from Prof S Jankelowitz to prove diagnosis of dementia and that my mother [ZKC] was not under the influence of drugs during the assessment."
ZKB's statement says that Annexure C is a table of documents not served on her at all, served but incomplete or served late. Although Annexure C is described in that way in ZKB's statement, the first column of the annexure is headed "document not received". There is no separate column for documents served, but incomplete, or documents served late. There are two columns setting out the relevance of the documents and the prejudice to her. In the "relevance" column, ZKB clarifies, to some extent, her assertions as to which documents were served late and which documents were only partially served.
It is not clear from the material ZKB has filed whether she is asking the Tribunal to draw the inference that because she was not served with certain documents she was unaware of the allegations in those documents. In Annexure C, ZKB writes in the column headed "prejudice" that she was given "no opportunity to challenge" information in the following documents:
1. health professional report from Dr Campbell dated 7 June 2018;
2. medical report of Dr Johnson, undated;
3. medical report of A/Prof Rosenfeld dated 30 January 2018;
4. email from Lisa Pirata dated 23 July 2018;
5. five page report of A/Prof Rosenfeld dated 30 January 2018 with urine drug analysis results attached - only pages 1 and 7 received.
6. medical certificate of Dr Johnson dated 18 April 2018; and
7. all pages after page 1 of a letter from Dr Johnson dated 8 April 2018.
In relation to Dr Nitchingham's report of 16 July 2018, ZKB states that she had no opportunity to respond to claims about ZKC's care needs and satisfy the Tribunal of her knowledge of and ability to meet them. In relation to ZKE's statement of 18 July 2018, ZKB does not say that she had no opportunity to respond, just that the allegations are prejudicial.
The submissions dated 21 December 2018 suggest that ZKB knew about all the allegations and opinions, but did not realise how many times those allegations had been made and by whom. At [9] of the submissions, ZKB's lawyer states that:
It is not the Appellant's position that she was not aware that allegations had been made against her because she has responded to the allegations that she was aware of and that were contained in the documents that were served on her. The Appellant's position is that she was not aware of the volume of material that was filed that contained unsubstantiated allegations against her and that she had the right to respond to all the allegations made against her and to information about [ZKC] that affected the Appellant's application.
We read the double negative in the first sentence of [9] of ZKB's submission as being an admission by the Appellant that she was aware of the allegations that had been made against her. Her lack of awareness related only to the volume of material that was filed that contained unsubstantiated allegations. That interpretation is consistent with her statement. Apart from stating that she was not aware of the reason for the urine test, ZKB does not say anywhere in her statement that she was not aware of any adverse opinion or allegation. Consequently, we find that the effect of ZKB's evidence and submissions is that although she did not receive certain evidence, she knew about the allegations and opinions in that material. The only exception is that she was not aware of the reason for the urine test. Despite that being the situation, ZKB makes the general submission in the first half of the concluding paragraph of the submissions, that:
A large number of documents were not served on the appellant and, amongst these, there were documents containing highly prejudicial unsubstantiated allegations against her that portrayed her as a person of bad character and an unsuitable guardian for her mother. The rules of natural justice and procedural fairness require that the Appellant be provided with the opportunity to respond to these allegations, including the opportunity to tender evidence to refuse them.
The rules of procedural fairness are not automatically breached if one party does not receive material filed by another party. All that the hearing rule of procedural fairness requires is for a party to be made aware of all the "credible, relevant and significant" material that will be considered by the Tribunal, and given a reasonable opportunity to rebut a potential adverse finding.
We find that the only information about with ZKB was unaware was the reason for the urine tests. The reason, as asserted by ZKE, was to ensure that ZKC was not under the influence of drugs during testing for dementia. That reason is not "credible, relevant and significant" information that ZKB should have been given the opportunity to challenge. There is no breach of procedural fairness by the non-disclosure of this information.
In accordance with ZKB's assertion at paragraph 6 of her statement, we find that ZKB received A/Prof Rosenfeld's report dated 30 January 2018 at 5.41.pm on 26 July 2018, the day before the hearing. In Annexure C to her statement, ZKB says that only pages 1 and 7 of this report were received. We have assumed that she was provided with a complete copy the evening before the hearing. ZKB submits that she did not have time to respond to the report and that she was not given the opportunity to respond orally at the hearing.
At page 3 of A/Prof Rosenfeld's report, under the heading, "POA and Guardian" the following is written:
ZKE has Power of Attorney and is an Enduring Guardian. They indicated that ZKB was considering nursing home placement in [name of suburb deleted]. They had been told that a solicitor was involved. They said that [ZKC] had regularly spoken with [ZKB] on the phone and there were conflicting messages about her decision making.
As well as these comments relating to her, ZKB referred, in Annexure C, to A/Prof Rosenfeld's observation that ZKC could not write. In fact, the report states at p 4 that, "She was able to write a few words, her name in English, but was completely unable to copy a simple diagram."
In our view, even if these comments and observations could be said to constitute credible, relevant and significant material about ZKB or ZKC, ZKB was given a reasonable opportunity to respond. That is apparent from the fact that the Tribunal recorded her evidence and opinions in detail at [16], [17], [20], [21], [29], [30], [33], [34], [43], [44] and [55].
[16]
Denial of right to cross-examine witnesses and respond to specific allegations
[17]
Grounds of appeal
Ground 12 is that ZKB was not given the opportunity to contest the evidence or to cross-examine certain witnesses. Some witnesses had given evidence which reflected negatively on her suitability to be appointed as ZKC's guardian. These allegations included that ZKB had objected to ZKC taking certain medication, that she wanted her mother to use marijuana rather than prescribed medicines, that she lacked knowledge about her mother's medical history and that she has refused to take care of her in the past. ZKB also says that she was denied the opportunity to challenge hearsay evidence about what her mother had said and done.
Ground 14 alleges that ZKB was not given a reasonable opportunity to respond to allegations that she had told her mother not to take prescribed medications and that she considered her mother was being overmedicated.
ZKB is not suggesting that the Tribunal should have allowed her to cross-examine witnesses in a formal way. Rather, she says that she should have been given the opportunity to test the evidence by asking questions.
[18]
Legal principles
"The Tribunal is not bound by the rules of evidence and may inquire into and inform itself on any matter in such manner as it thinks fit, subject to the rules of natural justice": NCAT Act, s 38(1). The Tribunal is also "to act with as little formality as the circumstances of the case permit … ": NCAT Act, s 38(4). There is no statutory obligation on the Tribunal to give a party the opportunity to question or cross-examine witnesses but the Tribunal's Fact Sheet titled "Information for Applicant's - Appointment of a financial manager and/or guardian", it states that:
"Parties to an application or review are entitled to call and cross-examine witnesses at the hearing."
We understand the practice in the Guardianship Division of the Tribunal to be that parties are not sworn or affirmed and evidence is given in response to questions from the Tribunal. Formal cross-examination is rare and did not occur in these proceedings.
[19]
Tribunal's decision
At [59] - [61], the Tribunal concluded that ZKB was not suitable to be appointed as her mother's guardian and gave reasons for that view. The Tribunal focused on the breakdown in the relationship among the sisters and the high level of conflict between them.
[20]
Consideration
The fact that the appellant was not offered the opportunity to question any of the witnesses does not necessarily mean that she was denied procedural fairness. We are satisfied, based on the parties' submissions and the Tribunal's reasons, that ZKB knew the substance of the allegations against her and was given a reasonable opportunity to adduce evidence and make submissions rebutting the adverse evidence.
[21]
Orders
1. Leave is refused for the appellant to appeal on grounds other than questions of law.
2. The appeal is dismissed.
[22]
I hereby certify that this is a true and accurate record of the reasons for decision of the Civil and Administrative Tribunal of New South Wales.
Registrar
DISCLAIMER - Every effort has been made to comply with suppression orders or statutory provisions prohibiting publication that may apply to this judgment or decision. The onus remains on any person using material in the judgment or decision to ensure that the intended use of that material does not breach any such order or provision. Further enquiries may be directed to the Registry of the Court or Tribunal in which it was generated.
Decision last updated: 19 March 2019