1/05/2015 SA Public Sector Return to Work Act Legislation Dispute resolution and independent medical advice John Walsh Director, DW FoxTucker 1 What will you gain from today’s session? On completion of this workshop you will be able to: • describe the relationship between the RTW Act 2014 and the SAET Act 2014 • identify the differences between the new and old Acts • identify the differences between the new and old procedure • identify the range of reviewable decisions • discuss implications of the new process for costs • describe transitional provisions • describe the role of the independent medical advisor 2 Application for Expedited Determination • Section 114 of the Return to Work Act provides that an application cannot be made until at least 10 days (previously 14) after the date the matter was placed before the decision maker. • explicit that an application can only be made if the decision sought would constitute a reviewable decision • otherwise remains the same 1 1/05/2015 Dispute Resolution • Section 95 of the Return to Work Act provides: 95 – Specific Object The vesting of jurisdiction in the Tribunal under this part is intended to achieve an outcome in any proceedings that is based on quick and efficient decision-making that resolves disputes expeditiously and fairly. Dispute Resolution • the definition of “parties” to the proceedings is unchanged • Section 97 of the Return to Work Act expands the range of reviewable decisions to include: – an interim decision to the effect that a worker will be taken to be a seriously injured worker – a decision not to approve services or costs incurred for medical and like expenses – a decision not to approve surgery or associated services where the Corporation (Return to Work Corporation of South Australia) has determined that it is reasonable and appropriate – a decision as to the amount payable for economic (and non-economic) loss Jurisdiction Jurisdiction is conferred on the South Australian Employment Tribunal by Section 98 of the Return to Work Act. 2 1/05/2015 Jurisdiction Note that S98(2) restricts the operation of S27 of the SAET Act which governs the general nature of proceeding and makes it clear that “the Tribunal will conduct a review of a reviewable decision as a hearing de novo.” Process • Application must be lodged within one month of receipt of the notice of the reviewable decision (Section 100) • extension of time allowed only if: – Good reason exists; or – another party will not be unreasonably disadvantaged because of the delay • the provisions relating to reconsideration remain (Section 102 Return to Work Act) Objectives of the Tribunal Section 8 of the South Australian Employment Tribunal sets out the objectives of the Tribunal and they include Section 8(c) which provides… ”that applications are processed and resolved as quickly as possible while achieving a just outcome, including by resolving disputes through high quality processes and the use of mediation and alternative dispute resolution procedures wherever appropriate.” 3 1/05/2015 Objectives of the Tribunal Overall the objectives closely reflect those of the Workers Compensation Tribunal and the South Australian Civil & Administrative Tribunal Act, namely: o flexibility o procedural fairness o accessibility o informality Procedures As is currently the case: – conducted with “the minimum of formality” – not bound by the rules of evidence – must act according to equity, good conscience and the substantial merits of the case without regard to legal technicalities and forms – Section 32 SA Employment Tribunal Act Employment Tribunal The Tribunal will examine the decision by way of rehearing and reach the correct or preferable decision after having “regard” and putting “appropriate weight” on the original decision (Section 27(4) SAET Act). 4 1/05/2015 Decision maker must assist Tribunal (Section 28) The decision maker must provide the Tribunal with: a) a written statement of the reasons for the decision; b) any document or thing in the decision maker's possession or control that may be relevant to the Tribunal’s review of the decision (within a reasonable period or time prescribed by Regulations) c) at any stage of proceedings for the review of a decision the Tribunal may invite “the decision maker to reconsider the decision and may specify a period within which the decision maker should act” (Section 31 SAET Act) Compulsory Conference Before proceeding with the hearing, a compulsory conference must be held in accordance with Section 43 of the South Australian Employment Tribunal Act and the Tribunal must not dispense with a conference under Section 43(3) of the SAET Act. The conference may be adjourned or reconvened as necessary (Section 43(6) SAET Act). 5 1/05/2015 Conference Process (1) • Section 43 SAET Act details the conference process and it appears, for all practical purposes, to be a similar process to that followed at conciliation under the current Act • the aim is to identify and clarify the issues and promote settlement Conference Process (2) • Section 37 SAET Act allows for a direction hearing at any time in any proceedings to do whatever is necessary, “for the speedy and fair conduct of the proceedings” and may “give directions on its own initiative or at the request of a party” • if settlement is not reached, a Tribunal member must provide an assessment of the parties’ case and recommend ways to resolve any matter or dispute Conference Procedure (1) A member of the Tribunal presiding at a compulsory conference may – a) if that member is not a Presidential member – refer any question of law to a Presidential member of the Tribunal for determination b) require a party to the proceedings to furnish particulars of his or her case 6 1/05/2015 Conference Procedure (2) A member of the Tribunal presiding at a compulsory conference may – c) determine who, apart from the parties to the proceedings (and their representatives), may be present at the conference d) subject to Section 43 (15), record any settlement reached at a conference and make any determination or order (including an order under, or for the purposes of, a relevant Act) necessary to give effect to a settlement Conference Procedure (3) A member of the Tribunal presiding at a compulsory conference may – e) on his or her own initiative, close the conference at any time that, in his or her opinion, settlement cannot be reached f) advise the Tribunal if the conference does not reach a settlement within a reasonable time; g) permit a party to withdraw from the proceedings (and make any consequential order that is appropriate in the circumstances); Conference Procedure (4) A member of the Tribunal presiding at a compulsory conference may – h) determine a matter against any party who obstructs or delays the conference, fails to attend the conference, or fails to comply with a rule or order of the Tribunal and, in so doing, make any order as the member of the Tribunal thinks fit (including an order as to costs) i) do such other things as the rules of the Tribunal so provide 7 1/05/2015 Failure to reach a settlement If settlement is not reached, a Tribunal member must provide an assessment of the parties’ case and recommend ways to resolve any matter or dispute. (Section 43(13) SAET Act) Costs (1) • Section 106 of the Return to Work Act governs costs • the right to representation remains (Section 105 of the Return to Work Act confirms that a party may be represented by an officer or employee of an industrial association Costs (2) The provisions relating to costs remain largely intact but the Tribunal retains a discretion on costs having regard to an assessment or recommendation made after the conciliation conference (Section 106(3)(ii) of the Return to Work Act). 8 1/05/2015 Costs (3) The parties to the dispute, other than the compensating authority, remain entitled to costs calculated on the basis of 85% of the Supreme Court scale. Costs (4) Section 107 of the Return to Work Act imposes a cost liability on professional representatives acting for a party to the proceedings where the representative is shown to have caused costs – a) “to be incurred improperly or without reasonable cause; or b) To be wasted by undue delay or negligence or by any other misconduct or default”. Costs (5) It will be interesting to see whether there is any interaction between Section 106(3)(ii) and Section 107(2) RTW Act 2014. 9 1/05/2015 Constitution of the Employment Tribunal “9 – The Members The member of the Tribunal are – a) The President; and b) The Deputy President or Deputy President; and c) The Magistrates who are designated as members of the Tribunal under this Act; and d) The conciliation officers.” Constitution of the Employment Tribunal • the President is the Senior Judge of the Industrial Relations Court • Conciliation Officers eligible for appointment if: a) A legal practitioner of five years standing; or b) Possessing “extensive knowledge, expertise or experience” in a relevant area. Constitution of the Employment Tribunal • there is no explicit need to consult with the Employer’s Chamber of the UTLC in the appointment of a Conciliation Officer • unlike the current situation, Conciliation Officers can continue in the role after they attain the age of 65 years 10 1/05/2015 Mediation • Section 44 of the South Australian Employment Tribunal Act allows the Tribunal to refer a matter for mediation “by a person specified as a mediator by the Tribunal” • the person specified as a mediator must be a person who has been approved by the President of the Tribunal to act as a mediator and the referral may be made with or without the consent of the parties Appeals • Section 67 of the South Australian Employment Tribunal Act governs the appeal process from a decision of the Tribunal • an appeal lies – – on a question of law against a decision of the Tribunal– • constituted of a single Presidential member of the Tribunal; or • constituted of 2 or 3 members, including a Presidential member (other than a Full Bench), to a Full Bench of the Tribunal Appeals • an appeal on a question of law under Section 67 will be heard by a Full Bench of the Tribunal and if allowed the Full Bench will endeavour to determine the matter itself and in its discretion may hear further evidence on a question of fact • a Full Bench of the Tribunal may reserve any question of law for determination by the Full Court of the Supreme Court (Section 70(1) South Australian Employment Tribunal Act) 11 1/05/2015 Flowchart See Page 20 of Workbook Transitional Provisions Schedule 9 of the Return to Work Act deals with procedure in relation to proceedings commenced before appeal of the Rehabilitation and Return to Work Act and provides that: • existing proceedings continue under current arrangements in the WCT Transitional Provisions The President of SAET “may take other steps to ensure the smoothest possible transition from one jurisdiction to the other in connection with the operation of this clause (including by giving directions as to any procedural matter which will then have effect according to their terms)”. 12 1/05/2015 Transitional Provisions SAET may – a) draw any conclusions of fact from the evidence that has been before WCT; or b) adopt any findings or determinations of WCT; or c) adopt any decision, direction or order of WCT; or d) set aside any decision, direction or order of WCT, that may be relevant to proceedings before SAET Transitional Provisions • WCT may be dissolved by proclamation at an appropriate time and any Presidential member of WCT will cease to hold office as a member of WCT as will any conciliation officer • a member of WCT who is a Judge of the Industrial Relations Court of South Australia will continue as a member of SAET under the provisions of the South Australian Employment Tribunal Act 2014 Commentary SAET allows for a similar process as that existent in the WCT, but with a greater emphasis upon mediation and alternative dispute resolution methodology. It is conceivable that the process adopted under the SAET may replicate, in practice, to a large extent the current process at conciliation and judicial determination. 13 1/05/2015 Commentary It does appear, however, that there is a desire to depart from the usual adversarial approach to one which is more like an investigative process which is directed by SAET rather than the parties. Commentary It is theoretically possible to transfer the existent Presidential members and Conciliation Officers of WCT to SAET so that the workers compensation stream of SAET would operate much as they currently do with the same personnel. Commentary Equally, it is possible that the Government will introduce new personnel (i.e. Deputy President Calligeros and Deputy President Dolphin) and the process will operate much as it did in an earlier iteration when Review Officers were primary decision makers and there was an appeal to the Workers Compensation Appeal Tribunal. 14 1/05/2015 Commentary • similarly, the provisions of SAET Act would allow the workers compensation stream to operate in much the same way as WCT operated with mediation replacing arbitration before the concept of arbitration was removed from the Act • mediation is unlikely to feature greatly or at all in the new process • conciliation officers will have greater powers and will be expected to use them • presidential members will speed up the process and make directions accordingly Independent medical advisors (1) • are appointed by a selection committee (Section 118 Return to Work Act) • will deal with any medical questions referred for enquiry and report • the questions on referral will be framed by the Tribunal following submissions made by the parties Independent medical advisors (2) • an independent medical adviser may examine the worker and/or consult widely • if a worker unreasonably fails to comply or cooperate, the Tribunal may suspend entitlements, including income maintenance 15 1/05/2015 Independent medical advisors (3) • an independent medical adviser’s assessment is conclusive in the case of: a) permanent impairment; b) nature and extent of hearing loss • an independent medical adviser’s report is admissible as evidence before the Tribunal • an independent medical adviser is competent to give evidence before the Tribunal Final Questions? 47 16
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