[2017] FWC 478 [Note: An appeal pursuant to s.604 (C2017/1077) was lodged against this decision - refer to Full Bench decision dated 12 April 2017 [[2017] FWCFB 2099] for result of appeal.]
FAIR WORK COMMISSION

DECISION


Fair Work Act 2009

s.394 - Application for unfair dismissal remedy

Della Lehmann
v
Mary Mackillop Aged Care SA
(U2016/11131)

COMMISSIONER HAMPTON

ADELAIDE, 8 FEBRUARY 2017

Application for relief from unfair dismissal – patient care attendant in residential facility – alleged elder abuse involving rough handling and related conduct – earlier final warning – whether conduct occurred – whether misconduct – whether valid reason – findings made on credit – most but not all allegations found – valid reason – whether harsh given circumstances and reservations about earlier warning – on balance not harsh, unjust or unreasonable – application dismissed.

1. Background and case outline

[1] Ms Della Lehmann has made an application under s.394 of the Fair Work Act 2009 (the FW Act) seeking a remedy for an alleged unfair dismissal by her former employer, Mary Mackillop Aged Care SA (MMAC).

[2] Ms Lehmann commenced her employment at MMAC as a Patient Care Attendant (PCA) in July 2014, on a casual basis. The employment was based at a regional residential care facility operated by MMAC. In April 2015, Ms Lehmann began working part-time in the same facility.

[3] In October 2015, Ms Lehmann received a first and final warning in relation to the alleged verbal abuse of a resident and failure to follow a reasonable instruction. That warning was disputed at the time and remains in conjecture.

[4] On 5 August 2016, Ms Lehmann was rostered to work in the “low care” unit. It is common ground that Ms Lehmann and a fellow PCA were attending to a resident who suffered from dementia and incontinence. It is also agreed that whilst Ms Lehmann was attending to the cleaning up of the resident, that resident became upset and denied that she needed cleaning.

[5] It is alleged by MMAC that Ms Lehmann’s actions and manner in cleaning up the resident were rough and inappropriate, that she failed to stop the activity in circumstances where that should have been done in order to de-escalate the situation. It is further alleged that Ms Lehmann “shoved” an open bag of faeces and toilet paper in the face of the resident.
[6] Ms Lehmann contends, in effect, that she attended to the resident, who was resisting being cleaned up due to her dementia, in an appropriate and usual manner and denies that a bag of faeces was placed anywhere near the resident’s face. Rather, Ms Lehmann contends that a sealed bag was shown to the resident to demonstrate that she had required cleaning up and that this was done by lifting the bag to about waste height and making reference to it.

[7] Ms Stacy Waterman, the PCA who also attended to the resident with Ms Lehmann reported the events of 5 August 2016 to the Nurse on duty. The matter was then escalated through to senior management and Human Resources.

[8] On 24 August 2016, after an investigation, MMAC advised Ms Lehmann that her employment was terminated on the basis that she had engaged in serious and wilful misconduct.

[9] Ms Lehmann contends, in effect, that the dismissal was unfair on the following grounds:

[10] In substance, Ms Lehmann contends that the dismissal was harsh and unjust in all of the circumstances. She does not seek reinstatement, but seeks compensation equivalent to 6 months’ earnings.

[11] MMAC contends, in effect, that Ms Lehmann’s dismissal was for a valid reason and not unfair on the following grounds:

[12] I note that in its submissions, MMAC initially contended that as a result of these events, which were reported both to the Police and the Australian Aged Care Quality Agency under the relevant mandatory reporting requirements, it had suffered compliance and other consequences. However, at the hearing MMAC conceded that those were the result of broader matters and did not press that element of its case.

[13] There is no dispute that Ms Lehmann was protected from unfair dismissal within the meaning of s.382 of the FW Act and there is a valid application before the Commission.

2. The witness and other evidence

[14] Ms Lehmann provided a witness statement and gave evidence in the matter.

[15] MMAC relied on the witness statements and oral evidence of the following employees:

[16] Both parties accepted that it would be inappropriate to require the resident involved to provide evidence as she suffers from diagnosed dementia. However, a behavioural evaluation of the resident conducted on 21 March 2016 was tendered into evidence. 1 This evaluation describes the resident as being generally calm and cooperative however it notes that at times she will refuse treatment and care, becoming vocal when this happens. This behaviour was confirmed by Ms Evans.

[17] I found that elements of Ms Lehmann’s evidence were not convincing. This includes her evidence about the circumstances leading to the resident being attended to and her conduct in relation to the bag of faeces.

[18] I found Ms Waterman to be a careful, honest and credible witness. Her evidence was influenced by her view as to what had occurred but this did not prevent her from making reasonable concessions and clarification as to the basis of her observations and evidence. This included that her views about the force and nature of Ms Lehmman’s cleaning up of the resident on 5 August 2016 were largely based upon her monitoring of the reaction of the resident rather than a full direct observation of that event. I have made some allowance, when considering her views as to what was occurring, for the fact that Ms Waterman did not have significant experience as a PCA. That experience, and her training and qualifications, was however sufficient for Ms Waterman to understand the correct procedures and to accurately observe the substance of the actual events. I prefer the evidence of Ms Waterman over that provided by Ms Lehmann in relation to events that were directly witnessed by Ms Waterman.

[19] Ms Evans was an excellent witness. Her evidence concerned the proper approach to dealing with residents, the examination of the resident after the incident on 5 August 2016, and related matters. Ms Evans’ evidence about these issues was objective, knowledgeable and clearly motivated by a desire to assist the Commission to determine the facts and the fairness of the events in question.

[20] The evidence of Mr Wabnitz was given openly and honestly, and I accept it. Some of that evidence went to views about what was fair and reasonable and these are ultimately matters for the Commission itself to determine.

[21] In my consideration of the disputed evidence and making my findings of fact on the more serious allegations in this matter, I have had regard to the approach of Dixon J in Briginshaw v Briginshaw2 as follows:

[22] Further, I note that in Budd v Dampier Salt Ltd3 a Full Bench of the Australian Industrial Relations Commission said the following in relation to Briginshaw v Briginshaw:

3. Findings of fact

3.1 Ms Lehmann’s employment and qualifications

[23] Ms Lehmann has completed Certificate III’s in Aged Care, Home and Community Care and Business Studies. She was first employed as a PCA at MMAC in July 2014 on a casual basis. She began working part time, between 50 and 70 hours per fortnight in April 2015, and this continued until her dismissal in August 2016.

[24] Ms Lehmann completed various training courses through MMAC as part of her employment. Her records indicate that she completed training in elder abuse and mandatory reporting on three separate occasions; as part of her induction in July 2014 and again in August and October 2015.

3.2 The October 2015 first and final warning

[25] In October 2015, Ms Lehmann received a first and final warning. This warning arose in the context of allegations concerning the lack of responsiveness to a resident’s call button, when Ms Lehmann was in the immediate vicinity, and related alleged conduct. The warning also concerned an allegation that Ms Lehmann did not move to another part of the facility later in the day when directed to do so.

[26] Ms Lehmann disputed this warning at the time, including through the intervention of United Voice; however, the employer declined to withdraw it. Ms Lehmann provided evidence about these matters, and most of that was plausible and provided some important context. There was no direct evidence about these events led by MMAC. It is evident, as conceded by Mr Wabnitz, that the seriousness of these allegations required a proper investigation, which was not undertaken at the time. The allegation of abusing a Residential Site Manager was also not dealt with at that time and there was no direct evidence about that aspect provided by MMAC during the hearing of this matter.

[27] In these circumstances, I accept that the first and final warning represents a reinforcement of the need for proper standards and conduct; however, little weight can be placed on the October 2015 warning in its own right.

3.3 The events of 5 August 2016

[28] It is common ground that on 5 August 2016 Ms Lehmann was rostered to work on the respondent’s “low-care” unit and the incident occurred during “lunch time”, that is, between 12 noon and 1 pm. Based on the evidence that is before the Commission, I find the sequence of events was then as follows:

[29] In relation to the nature and intensity of the wiping of the resident by Ms Lehmann, it is evident that Ms Waterman generally observed the initial wiping and the response of the resident but did not see the whole conduct. This was due in part to her location, to the side of the resident, and the fact that when the resident initially became upset, Ms Waterman attempted to distract her by referring to and looking at family photos in the room.

[30] I accept that the resident complained of being hurt and that she became very distressed. However, given her medical condition and other observed behaviour documented in the records associated with the resident, 4 this response would also be consistent with a protest that the resident did not want to be cleaned. There were no physical signs after the event of the resident having being very roughly wiped and based upon the evidence of Ms Evans, who examined the resident, it is probable (but not definite) that there would have been some indication if extremely rough wiping had been involved. Ms Lehmann’s evidence that she had to apply some force to remove toilet paper which had become trapped was plausible, given that the cleaning was being undertaken which the resident was standing and moving. Ms Waterman’s observations that Ms Lehmann was annoyed at the time of these events would be consistent with, but not necessarily conclusive of, the resident being wiped in an improper manner.

[31] On balance, I am not sufficiently persuaded that the manner in which Ms Lehmann wiped the resident itself could be properly described as being very rough.

[32] However, I am satisfied that at the point that the resident became very agitated, the proper course of action was for Ms Lehmann to have stopped the activity and taken steps to have the resident safely seated and for further assistance to be sought. This could have been done, despite the state of undress, given the presence of Ms Waterman to assist with that move and to stay with the resident. This approach would have been consistent with the procedures required in relation to a resident becoming upset, 5 particularly one with dementia, and the decision to continue involved the escalation of the issue, disrespected the rights of the resident, and added to the risk of injury.

[33] In reaching these findings, I have taken into account that Ms Waterman did not directly intervene to stop Ms Lehmann. However, Ms Waterman’s evidence, which I accept, was that as she was the more recent and less experienced PCA, she was reluctant to do so. She did however report the matter at the earliest reasonable opportunity.

3.4 The investigation and dismissal

[34] Ms Lehmann was stood down following the events of 5 August 2016. MMAC interviewed Ms Waterman and two other employees; Ms Desri Hollis, Enrolled Nurse who Ms Waterman reported the incident to, and Ms Evans, Registered Nurse, who became involved when the incident was escalated. Ms Evans also attended to the resident soon after the incident to check for any injury, signs of trauma to her skin, or bruising, and none was evident.

[35] A letter outlining the allegations was sent to Ms Lehmann on 22 August 2016, which stated:

[36] Statements from Ms Hollis and Ms Evans concerning the allegations were also supplied to Ms Lehmann. Ms Lehmann was requested to attend an interview to provide an opportunity to respond to the allegations.

[37] The interview was convened on 24 August 2016. Ms Lehmann attended with a support person and an official from United Voice. MMAC was represented by an external Consultant, Mr Capes, and Mr Wabnitz.

[38] Ms Lehmann explained her version of the events and denied the allegations of rough wiping and putting the bag of faeces up to the resident’s face. Ms Lehmann also indicated that Ms Waterman was wrong in her recollection of the events and pointed to the fact that there were no signs of injury or the consequences of the alleged rough wiping.

[39] MMAC representatives took the view that there was no reason that Ms Waterman should not be believed, and that given the seriousness of the conduct and the risk of continuing to employ someone who had acted in that manner, Ms Lehmann should be dismissed. Ms Lehmann was advised at the conclusion of the meeting that she would be dismissed with immediate effect, but would be paid 2 weeks wages as an “act of goodwill”.

[40] The dismissal was confirmed in writing on 29 August 2016.

[41] MMAC reported the incident to the Police and to the Australian Aged Care Quality Agency.

4. Was Ms Lehmann’s dismissal unfair within the meaning of the FW Act?

[42] Section 385 of the FW Act provides as follows:

[43] Ms Lehmann was dismissed, the employer is not a small business within the meaning of the FW Act, and the concept of a genuine redundancy is not relevant here.

[44] On that basis, the dismissal will be unfair if it is found to be harsh, unjust or unreasonable.

[45] The FW Act relevantly provides as follows:

[46] It is clear that s.387 of the FW Act contemplates an overall assessment as to the nature of the dismissal being made by the Commission. In so doing, the FW Act sets out a number of considerations that must, where relevant, be treated as a matter of significance in the decision making process and weighed up accordingly.

[47] It is convenient therefore to use the various provisions of s.387, with reference to the relevant circumstances, to outline my consideration of the matter.

Section 387(a) – whether there was a valid reason for the dismissal related to Ms Lehmann’s capacity or conduct (including its effect on the safety and welfare of other employees).

[48] Valid in this context is generally considered to be whether there was a sound, defensible or well-founded reason for the dismissal. Further, in considering whether a reason is valid, the requirement should be applied in the practical sphere of the relationship between an employer and an employee where each has rights, privileges, duties and obligations conferred and imposed on them. That is, the provisions must be applied in a practical, common sense way to ensure that the employer and employee are each treated fairly.7

[49] The conduct as found by the Commission represented misconduct. The decision not to disengage when the resident became agitated and very upset was a mistake in judgement, albeit a significant mistake that affected the rights of a vulnerable resident.

[50] The actions with respect to the bag of faeces and the associated conduct was a serious breach of the reasonable expectations of a person in Ms Lehmann’s position and was also a significant abuse of the resident’s rights. This was done, not as an act to inform the resident, but undertaken improperly out of frustration and annoyance. The denial of that conduct in the course of the investigation is also relevant in this context.

[51] There was a valid reason for dismissal.

Section 387(b) – whether Ms Lehmann was notified of the reasons for dismissal.

[52] This consideration requires the Commission to assess whether the applicant concerned was relevantly notified of the reasons leading to the dismissal before that decision was taken. 8

[53] The evident purpose of this consideration is that notification of the valid reason to terminate must be given to the employee before the decision to terminate the employee is made and the notification needs to be in explicit and clear terms.

[54] I am satisfied that Mr Lehmann was notified of the reasons for dismissal.

Section 387(c) – whether Ms Lehmann was given an opportunity to respond to any reason related to his capacity or conduct.

[55] The relevant reasons are those arising from the valid reasons found by the Commission. This consideration is therefore directly related to the above discussion.

[56] The process contemplated by the FW Act does not require any particular formality and is to be applied in a common sense way to ensure the employee has been treated fairly. The question becomes whether Ms Lehmann was aware of the nature of the employer’s concern about her conduct and had a full opportunity to respond to these concerns. 9

[57] I am satisfied that this consideration was met by the investigation and subsequent interview with Ms Lehmann.

Section 387(d) – any unreasonable refusal by the respondent to allow Ms Lehmann a support person.

[58] Ms Lehmann was accompanied by a support person and an official of United Voice.

Section 387(e) – if the dismissal is related to unsatisfactory performance by Ms Lehmann – whether she has been warned about that unsatisfactory performance before the dismissal.

[59] This consideration does not directly arise given the reasons for dismissal.

Section 387(f) – the degree to which the size of the respondent’s enterprise would be likely to impact on the procedures followed in effecting the dismissal.

Section 387(g) – the degree to which the absence of dedicated human resource management specialists or expertise in the enterprise would be likely to impact on the procedures followed in effecting the dismissal.

[60] I deal with these considerations together. MMAC is a large employer and has dedicated Human Resources expertise.

Section 387(h) - other matters considered to be relevant

[61] Amongst other considerations, it is appropriate for the Commission to consider the impact of the dismissal upon Ms Lehmann given all of the circumstances. This includes consideration as to whether the dismissal was harsh in the sense that it was disproportionate to the actual conduct found by the Commission.10

[62] Further, a dismissal may, depending upon the overall circumstances, be considered to be harsh on the applicant employee due to the economic and personal consequences resulting from being dismissed.11

[63] In Parmalat Food Products Pty Ltd v Mr Kasian Wililo,12 the Full Bench observed:

[64] In this case I have, for reasons outlined earlier, placed little weight upon the first and final warning. I am also not satisfied that one element of the alleged misconduct occurred as contended by the employer. Further, I accept that the circumstances under which the events of 5 August 2016 took place, including the fact that the work being undertaken by Ms Lehmann was demanding, and the incident occurred at a time where the staff were and had been very busy, are relevant. However, these circumstances do not represent significant mitigating factors given the misconduct.

[65] I have found that serious misconduct took place and the nature of that conduct and the context in which it took place is significant. Ms Lehmann has lost her employment of some two years and this has had, and will have, some financial and other consequences. This is relevant but must be considered in the context of the serious misconduct as found by the Commission and the statutory considerations more generally. Ms Lehmann was also paid 2 weeks (in lieu of notice) on an ex gratia basis.

5. Conclusions and order

[66] I have weighed all of the factors and circumstances of this application in light of the considerations established by s.387 of the FW Act.

[67] I have found a valid reason for dismissal, the procedural requirements have been met and there are competing considerations as to whether the dismissal was harsh. For reasons outlined earlier, the seriousness of the misconduct, in the context of the workplace and position undertaken by Ms Lehmann, is a significant consideration.

[68] On balance, I am not satisfied that Ms Lehmann’s dismissal was harsh, unjust or unreasonable. As a result, the dismissal is not unfair within the meaning of the FW Act and this application must be dismissed. An order 13 to that end is being issued in conjunction with this decision.


COMMISSIONER

Appearances:

L Smith, of United Voice, for Ms Lehmann.

B Capes on behalf of Mary Mackillop Aged Care SA.

Hearing details:

Berri:

2017.

20 January.

 1   Exhibit A2.

2 (1938) 60 CLR 336.

3 (2007) 166 IR 407 at [14] - [16].

 4   Exhibit A2.

 5   Confirmed in the evidence of Ms Evans.

 6   Attachment DW6 to the Statement of Mr Wabnitz – Exhibit R3.

7 Selvachandran v Peteron Plastics Pty Ltd (1995) 62 IR 371 as cited in Potter v WorkCover Corporation (2004) 133 IR 458 and endorsed by the Full Bench in Industrial Automation Group Pty Ltd T/A Industrial Automation [2010] FWAFB 8868, at [36].

 8   See Trimatic Management Services Pty Ltd v Daniel Bowley [2013] FWCFB 5160.

 9   RMIT v Asher (2010) 194 IR 1. See also Crozier v Palazzo Corporation Pty Ltd (2000) 98 IR 137 at [75].

10 Australia Meat Holdings Pty Ltd v McLauchlan (1998) 84 IR 1.

11 See also Byrne v Australian Airlines Ltd (1995) 185 CLR 410, 465.

12 [2011] FWAFB 1166.

 13   PR589781.

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