[2016] FWCFB 7191
FAIR WORK COMMISSION

DECISION


Fair Work Act 2009

s.604 - Appeal of decisions

Anglican Community Services
v
Daisy Shawl
(C2016/5596)

VICE PRESIDENT HATCHER
DEPUTY PRESIDENT CLANCY
COMMISSIONER CIRKOVIC

SYDNEY, 24 OCTOBER 2016

Permission to appeal against decision [2016] FWC 5990 of Deputy President Booth at Sydney on 5 September 2016 in matter number U2016/5971.

Introduction and background

[1] On 16 September 2016 Anglican Community Services (ACS), formerly known as Anglican Retirement Services, lodged a notice of appeal in which permission to appeal was sought under s.604 of the Fair Work Act 2009 (FW Act) in respect of a decision of Deputy President Booth issued on 5 September 2016 1 (Decision). In the Decision, the Deputy President found that Ms Daisy Shawl’s dismissal by ACS was harsh, unjust and unreasonable, and determined that ACS should pay Ms Shawl compensation in the amount of $16,020.26, less applicable taxation. A separate order2 (Order) was issued giving effect to the Decision. By consent, the Decision and Order were stayed on 28 September 2016 pending the hearing and determination of the appeal.

[2] The factual background to the matter was as follows. Ms Shawl was employed by ACS as a carer at an aged care facility at Castle Hill in Sydney in 2001. She was dismissed on 22 March 2016, with five week’s pay in lieu of notice, for gross misconduct. That gross misconduct was said to be that on 10 March 2016 Ms Shawl had slapped a resident, Mr Lawrence Foley, in the course of attending to him. Ms Shawl denied that she had done this. The person who allegedly witnessed the slap, and who reported it, was Ms Marie Jimenez, another worker at the facility. Mr Foley was unable to say anything about the incident one way or the other because he suffered from dementia.

The Decision

[3] In the Decision, the Deputy President identified the critical issue before her as being “on the balance of probabilities, whether the conduct complained of actually happened”. 3 The witnesses called by ACS were Ms Jimenez, Mr Richard Farmilo, the Facility Manager, and Mr Simon Heath, ACS’s Regional HR Manager. Mr Farmilo and Mr Heath investigated the incident and jointly made the decision to dismiss Ms Shawl. In the Decision, the Deputy President gave detailed summaries of the evidence of Ms Jimenez, Mr Farmilo and Mr Heath4, and described a physical demonstration of the incident given by Ms Jimenez.5 The Deputy President also described Ms Shawl’s own physical demonstration of the incident.

[4] The Deputy President’s reasoning and conclusion with respect to the alleged incident, and the evidence about it, were as follows (omitting footnotes):

[5] On the basis of the above conclusions, the Deputy President concluded under s.387(a) that there was no valid reason for the dismissal. The Deputy President went on to deal with the other matters required to be considered under s.387, and her consideration under s.387(h) included the following:

[6] The Deputy President went on to conclude, substantially on the basis of there being no valid reason for the dismissal, that the dismissal was harsh, unjust and unreasonable, and assessed the amount of compensation to be paid (Ms Shawl having not sought reinstatement).

Appellant’s submissions

[7] ACS’s notice of appeal and submissions contended, in summary, that the Deputy President erred in the following respects:

[8] ACS submitted that it was in the public interest to grant permission to appeal because:

Consideration

[9] An appeal under s.604 of the FW Act is an appeal by way of rehearing and the Commission’s powers on appeal are only exercisable if there is error on the part of the primary decision maker. 6 There is no right to appeal and an appeal may only be made with the permission of the Commission.

[10] This appeal is one to which s.400 of the FW Act applies. Section 400 provides:

[11] In the Federal Court Full Court decision in Coal & Allied Mining Services Pty Ltd v Lawler and others, Buchanan J (with whom Marshall and Cowdroy JJ agreed) characterised the test under s.400 as “a stringent one”. 7 The task of assessing whether the public interest test is met is a discretionary one involving a broad value judgment8. In GlaxoSmithKline Australia Pty Ltd v Makin a Full Bench of the Commission identified some of the considerations that may attract the public interest:

[12] It will rarely be appropriate to grant permission to appeal unless an arguable case of appealable error is demonstrated. This is so because an appeal cannot succeed in the absence of appealable error. 10 However, the fact that the Member at first instance made an error is not necessarily a sufficient basis for the grant of permission to appeal.11

[13] In respect of ACS’s application for permission to appeal, the primary consideration is whether any arguable case of error is disclosed. In this respect, we will consider the seven contentions of error advanced by ACS which we have earlier identified in turn. The first is simply a complaint about the ultimate finding concerning the alleged slap and does not identify any specific error of fact or law in the Deputy President’s assessment of the evidence and submissions.

[14] The second has no substance. The statement in paragraph [27] of the Decision that there was no contemporaneous note or complaint on the part of Ms Jimenez is to be read, as the balance of the paragraph makes clear, a reference to the fact that after allegedly seeing Ms Shawl slap Mr Foley, Ms Jimenez simply proceeded with her normal duties for some time and took her meal break before she reported the matter to her supervisor some hours later. It was not suggested by ACS that there was any factual dispute in that connection. Given the seriousness of what Ms Jimenez allegedly witnessed, we consider that her delay in reporting it was a relevant matter which the Deputy President was entitled to take into account.

[15] In relation to the third contention of error, we also consider that the Deputy President was entitled to take into account that there was no mark on Mr Foley’s face when he was physically inspected the evening of the incident. That was not an irrelevant consideration, given that Ms Jimenez’s description was of a slap which was clearly audible and forced Mr Foley’s head backwards. If the Deputy President had treated the lack of any physical mark as definitive evidence that Ms Jimenez’s account of the alleged slap was untrue, then it might be accepted in the absence of any medical evidence concerning the expected physical effect of the alleged slap that ACS had demonstrated an arguable case of appealable error. But the Deputy President did not go anywhere near that far; she simply pointed in paragraph [26] of the Decision to there not being any “objective evidence” of the slap. That was an indubitably correct statement. We regard the fourth contention of error as falling into a similar category. The fact that Mr Foley could not give evidence about the incident, corroborative or otherwise, was likewise an indubitably correct statement. It was relevant because it served to emphasise that it required acceptance in whole of Ms Jimenez’s evidence in order to permit a positive finding that Ms Shawl had slapped Mr Foley.

[16] Concerning the fifth contention, we consider that it was relevant for the Deputy President to take into account whether, over approximately 15 years of employment, there was any evidence that Ms Shawl had ever engaged in any conduct of a violent, abusive or intemperate nature. The weight to be assigned to that consideration was a matter for the Deputy President, and it is not sufficient to demonstrate appealable error to contend simply that a particular consideration should have been given more or less weight. 12 The fact that ACS had a “zero tolerance” approach to abusive behaviour did not render as being of no weight at all the fact that Ms Shawl had not on the evidence ever engaged in such behaviour before.

[17] The sixth contention of error needs to be considered having regard to the findings made by the Deputy President at paragraphs [30]-[32] of the Decision, which we have earlier set out. In that part of the Decision, the Deputy President dealt directly with the difficulty that there were factual discrepancies between her unfair dismissal remedy application and witness statement on the one hand, and her statements to ACS during the investigation/disciplinary process and her oral evidence on the other hand. The Deputy President’s assessment was that weight was to be given to Ms Shawl’s oral statements, but that she did not personally write her application or her witness statement, that others had assisted her in this respect, and that she did not maintain what was stated in these documents in her evidence.

[18] Having perused the transcript, it is readily apparent to us that Ms Shawl had significant difficulty in understanding much of what was put to her in relation to the contents of her witness statement and her application. Ms Shawl is of Indian origin, and although there was no mention of it in the Decision, we were told that English is her second language. This may explain much of the difficulty. Ms Shawl was also not legally represented, but was represented by her son. As an example of the difficulty, the transcript discloses that, when the Deputy President asked Ms Shawl at the outset of her oral evidence to attest to the veracity of her witness statement, the following exchange occurred:

[19] One could not be confident from the above exchange that Ms Shawl was actually attesting to the truth of the content of the document which went into evidence as her witness statement, or that she fully comprehended what was being asked of her. This difficulty continued throughout her evidence. The following exchange is a further example:

[20] Similar problems arose in Ms Shawl’s evidence in relation to contents of the unfair dismissal remedy application, aggravated by the fact that there were apparently two versions of it. For example:

[21] In those circumstances, we consider that the Deputy President was correct to rely upon Ms Shawl’s oral evidence and prior oral statements, given from memory, and to reject what was contained in the witness statements and the unfair dismissal remedy application as reflective of the evidence Ms Shawl wished to give before the Commission.

[22] The submissions concerning Ms Shawl’s credibility which ACS contends the Deputy President failed to deal with were set out in paragraphs 6-8 of its written closing submissions. We do not reproduce those submissions, but they consist of nine identified instances where there were inconsistencies between either the application or the witness statement and Ms Shawl’s oral evidence. For example, the second instance (in paragraph 6(b) of the written submission) was as follows:

[23] Ms Shawl’s evidence, upon which the “admission” referred to was based, was as follows:

[24] The above passage from the transcript makes it clear that this was simply another manifestation of the same difficulty concerning Ms Shawl’s witness statement. Likewise the other aspects of ACS’s submissions are simply further manifestations of that difficulty, or the related difficulty concerning the contents of the application. That difficulty, as earlier stated, had been dealt with directly by the Deputy President in the Decision. Having dealt with the central aspect of the attack on Ms Shawl’s credibility, it was not necessary for the Deputy President to then deal with every other aspect of ACS’s submissions to the same effect. 17

[25] In relation to ACS’s seventh contention, it is correct that the Deputy President did not deal with the submission it advanced at the hearing that Ms Shawl had lied during the investigation/disciplinary process and that this was, independently, a valid reason for dismissal. However that submission had as its premise that Ms Shawl admitted in the evidence she gave before the Deputy President that she lied to ACS during its investigation and disciplinary process “when she asserted Ms Jimenez was motivated to make false allegations as a consequence of having been disciplined and/or criticised by [ACS] earlier in the day of the incident”. 18 We do not consider that the evidence supports that premise. Mr Heath’s evidence, for example, was that Ms Shawl said during the investigation that Ms Jimenez was:

[26] Ms Shawl, far from admitting that this was an untrue statement, essentially confirmed it in her evidence. She identified a number of occasions when she had spoken to Ms Jimenez the day of the incident about particular work issues and methods:

[27] It may be noted in the above passages from the transcript that it was put to Ms Shawl more than once that she had not previously “warned” Ms Jimenez about her work performance, and that Ms Shawl confirmed she had not. However, Ms Shawl did not say during the investigation/disciplinary process that she had previously given a warning to Ms Jimenez about her work. The substance of the above evidence is consistent with what Mr Heath said Ms Shawl told him. There was never any admission of lying. At best for ACS, Ms Shawl effectively accepted that the reference in her witness statement to her having had “spoken to [Ms Jimenez] about her unsatisfactory performance and/or unorthodox methods” overstated the position, but that again raised the same problem that the witness statement prepared on her behalf did not properly reflect the evidence which she wished to give to the Commission.

[28] Therefore although ACS is correct to contend that its submission was not dealt with in the Decision, we consider that the submission was without merit and could not therefore have affected the outcome of the matter.

[29] ACS has therefore not demonstrated any arguable case of appealable error of a nature that would attract the public interest. Nor do we consider that it has identified any other basis for the grant of permission to appeal. The Decision is not, as contended by ACS, disharmonious with the other first instance decisions referred to, because in each of those decisions, which involved aged care workplaces, the Commission was satisfied that the misconduct alleged against the employee had in fact occurred. There is no disharmony merely because in the Decision here the Deputy President, on the evidence before her, was not satisfied that the alleged misconduct occurred. For the same reason, the issue of importance and general application asserted by ACS in support of its application for permission to appeal does not properly arise. In any unfair dismissal case (with the exception of cases involving a dismissal for serious misconduct by a small business employer) it is necessary for the employer to satisfy the Commission that the misconduct actually occurred. That, in a particular case, the Commission was not satisfied about this does not represent any approach which would have the negative effects upon employment practices in the aged care sector asserted by ACS.

[30] For the reasons given, we are not satisfied that it would be in the public interest to grant permission to appeal. In accordance with s.400(1) permission to appeal must therefore be refused.

al of the Fair Work Commission with the memeber's signature.

VICE PRESIDENT

Appearances:

J. Darams of counsel for Anglican Community Services.

R. Shawl representative for D. Shawl.

Hearing details:

2016.

Melbourne:

12 October.

 1   [2016] FWC 5990

 2   PR585063

 3   Decision at [17]

 4   Decision at [20], [22], [23] respectively

 5   Decision at [21]

 6   Coal and Allied Operations Pty Ltd v AIRC (2000) 203 CLR 194 at [17] per Gleeson CJ, Gaudron and Hayne JJ

 7   (2011) 192 FCR 78 at [43]

 8   O’Sullivan v Farrer (1989) 168 CLR 210 per Mason CJ, Brennan, Dawson and Gaudron JJ; applied in Hogan v Hinch (2011) 85 ALJR 398 at [69] per Gummow, Hayne, Heydon, Crennan, Kiefel and Bell JJ; Coal & Allied Mining Services Pty Ltd v Lawler and others (2011) 192 FCR 78 at [44] -[46]

 9   [2010] FWAFB 5343 at [27], 197 IR 266

 10   Wan v AIRC (2001) 116 FCR 481 at [30]

 11   GlaxoSmithKline Australia Pty Ltd v Makin [2010] FWAFB 5343 at [26]-[27], 197 IR 266; Lawrence v Coal & Allied Mining Services Pty Ltd t/as Mt Thorley Operations/Warkworth [2010] FWAFB 10089 at [28], 202 IR 288, affirmed on judicial review in Coal & Allied Mining Services Pty Ltd v Lawler (2011) 192 FCR 78; NSW Bar Association v Brett McAuliffe; Commonwealth of Australia represented by the Australian Taxation Office [2014] FWCFB 1663 at [28]

 12   Gronow v Gronow [1979] HCA 63; (1979) 144 CLR 513 at 537; Restaurant and Catering Association of Victoria [2014] FWCFB 1996 at [57]-[58]

 13   Transcript PNs 70-76

 14   Transcript 20 July 2016 PNs 243-255

 15   Transcript 20 July 2016 PNs 180-197

 16   Transcript 20 July 2016 PNs 270-280

 17   See Soliman v University of Technology, Sydney [2012] FCAFC 146 at [41]-[57]

 18   ACS’s written closing submissions, paragraph 28

 19   Statement of Simon Heath, paragraph 5

 20   Transcript 20 July 2016 PN 179

 21   Transcript 20 July 2016 PNs 476-485

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