[2023] VSCA 290
General information, not legal advice.
Court of Appeal (Vic)
2023-11-30
Beach JA, Leish JA, MacAulay JA
Original judgment source is linked above.
ADMINISTRATIVE LAW - Judicial review - Medical panel - Workplace injury - Industrial deafness - Tinnitus - Medical panel required to assess degree of permanent impairment resulting from industrial deafness - Whether medical panel erred in failing to consider effect of tinnitus - Industrial deafness required to be assessed using ASOHNS Guidelines - Whether ASOHNS Guidelines permitted or required limited recourse to AMA Guides (4th ed) for purpose of assessing effect of tinnitus on hearing - Construction of ASOHNS Guidelines - Medical panel erred in failing to consider effect of tinnitus.
Accident Compensation Act 1985, ss 91(1), (3) and (4).
HJ Heinz Company Australia Ltd v Kotzman [2009] VSC 311 applied; Victorian WorkCover Authority v Elsdon [2013] VSCA 235; (2013) 42 VR 434, Paschalis v Return to Work Corporation of South Australia (2021) 140 SASR 77 referred to.
Question a) What is the degree of permanent impairment resulting from industrial deafness assessed in accordance with Section 91 of the Act?
Answer: The Whole Person impairment calculated in accordance with Section 91 of the Act is 0%. The degree of impairment is permanent.
Question b) Does the worker have an accepted injury, which has resulted in a total loss injury mentioned in the table on Section 98E?
Answer: No.
The Panel conducted a hearing test in accordance with the Improved Procedure for Determination of the Percentage Hearing Loss (1988 Edition) published by the National Acoustic Laboratory. The Panel considered the hearing test was accurate and reliable.
The Panel considered that the audiological assessment (copy enclosed) revealed a bilateral sensorineural hearing loss. The Panel was of the opinion that the worker had a significant history of noise exposure. The Panel was not of the opinion that there was evidence to support inclusion of reduced thresholds at frequencies below 2000Hz as being contributed to by noise exposure given the flat low frequency loss from 250-1500Hz likely to be due to degenerative factors. The Panel considered 'the lowest (least hearing loss) reliable thresholds obtained should be used' at all affected frequencies and calculated the hearing loss accordingly. (2kHz-40/45, 3kHz-55/60, 4kHz-60/65).
The Panel calculated a binaural hearing loss of 16.7%, with a 7.5% deduction for presbycusis, resulting in a binaural hearing loss of 9.2% due to occupational noise exposure, relevant to the accepted hearing loss injury.
Based on the worker's history and information in the referral material, the Panel is not positively satisfied that the worker suffered any hearing loss in non-compensable circumstances and therefore the Panel concluded that there is no deduction to be made pursuant to Section 91(3AAA) of the Act.
The whole person impairment calculated in accordance with Section 91 of the Act is 0%. The degree of impairment is permanent.
The Panel acknowledges the report of Mr Michael Silverstein dated 12 March 2021 and agrees with the findings therein of a 0% whole person impairment.
The Panel also concluded that there was no total loss or total loss of use injury when assessed in accordance with Section 98E of the Act.
any condition of deafness caused by -
(a) exposure; or
(b) continued exposure; or
(c) periods of continued exposure -
to industrial noise;[3]
91 Assessment of impairment
(1) In this Part, a reference to the assessment of a degree of impairment in accordance with this section is a reference to an assessment -
(a) made in accordance with -
(i) the A.M.A Guides as applicable subject to subsections (1A) and (1B); or
(ia) the A.M.A Guides as applicable subject to subsections (1A) and (1B) and guidelines in accordance with subsection (6), (6A) or (6B); or
(ii) methods prescribed for the purposes of this section -
and in accordance with operational guidelines (if any) as to the use of those Guides or methods issued by the Minister; and
(b) ...
...
(3) For the purposes of assessing the degree of impairment of the whole person resulting from diminution of hearing, the percentage of the diminution of hearing determined in accordance with subsection (4) is to be converted as follows -
(a) if the diminution of hearing assessed as a binaural loss of hearing is less than 10 per cent NAL, the degree of impairment is zero;
(b) if the diminution of hearing assessed as a binaural loss of hearing is 10 per cent NAL, the degree of impairment is 10 per cent;
(c) if the diminution of hearing assessed as a binaural loss of hearing is more than 10 per cent NAL, the degree of impairment is the percentage equivalent of the number (rounded up to the next whole number) given by the formula -
10 + [0.278 (NAL − 10)] -
where NAL is the percentage of diminution of hearing determined in accordance with subsection (4).
(3AAA) Impairment from industrial deafness or a proportion of such impairment that occurs in circumstances that do not create a liability to pay compensation under this Act must be excluded from the assessment of deafness for the purposes of assessing the degree of impairment under this section.
...
(4) For the purposes of this section and section 89(3)(a), the percentage of diminution of hearing -
(a) must be assessed as a binaural loss of hearing and determined -
(i) by a person or class of persons approved; and
(ii) in the manner approved -
by the Minister; and
(b) must be assessed as a binaural loss of hearing and determined in accordance with the Improved Procedure for Determination of Percentage Loss of Hearing (1988 Edition or a later prescribed edition) published by the National Acoustic Laboratory.
the American Medical Association's Guides to the Evaluation of Permanent Impairment (Fourth Edition) (other than Chapter 15) as modified by [the Workplace Injury Rehabilitation and Compensation Act 2013] and the regulations;
...
- The determination will be made using the Guidelines for the Assessment of Noise Induced Hearing Loss (Revised June 2017) by the Victorian Section of the Australian Society of the Otolaryngology Head and Neck Surgery.
Disturbances of the ear, such as chronic otorrhea, otalgia, and tinnitus, are not measurable. Therefore, the physician should estimate an impairment percentage based on the severity of those conditions and the degree to which they interfere with functions of the ear, and a percentage that is consistent with established values.[9]
Tinnitus in the presence of unilateral or bilateral hearing loss may impair speech discrimination; therefore, an impairment percentage up to 5% may be added to the impairment for hearing loss.[10]
For convenience, we will refer to these two paragraphs as 'the AMA tinnitus paragraphs'.
The 4th edition of the AMA Guides relevant to ENT impairment assessment refers only to the effects of tinnitus on the function of the ear. This means the effect of tinnitus on hearing and any effect on the pure tone audiogram will be accounted for in that evaluation of hearing.
Other symptoms related to tinnitus, which may adversely affect the ability to carry out the activities of daily living including anxiety and sleep disturbance, are responses to the presence of the tinnitus and not directly related to hearing.
The impairment evaluation of these aspects of tinnitus belongs in the field of specialists in psychological medicine. The ENT impairment assessor can make a recommendation that such an assessment be carried out if considered appropriate.
For convenience, we will refer to these three paragraphs as 'the ASOHNS tinnitus paragraphs'.
The ASOHNS Guidelines provide similar assistance for the clinical assessment of tinnitus. Assistance in that regard specifically references an assessment using the AMA Guides. In this way the effect of the ASOHNS Guidelines is to bring into the ENT assessment a specific aspect of the AMA Guides regarding tinnitus.[17]
There is therefore a significance to the distinction between the 'percentage of diminution of hearing' that is arrived at by the steps identified in s 91(4) of the Act and the 'binaural loss of hearing' that is assessed and determined as part of those steps. A binaural loss of hearing under s 91(4)(b) using the NAL Procedure may be adjusted as a relevant binaural loss in accordance with the ASOHNS Guidelines which have the Minister's approval for the purpose of s 91(4)(a)(ii). That figure, if either reduced or augmented in accordance with the ASOHNS Guidelines, then becomes the percentage of diminution of hearing. This interpretation gives work to all parts of s 91(4).
The ASOHNS Guidelines are approved for the use of medical assessors. They are not to be interpreted as if they were statutory provisions. They inform the statutory method for assessing impairment but do not themselves prescribe a method. They are directed at the manner of assessment. The manner considers the use of the NAL Procedure and the use of the AMA Guides where each are relevant. The ASOHNS Guidelines do not remove the AMA Guides from all consideration. The specific reference to the AMA Guides does incorporate them in a limited fashion. The description identifies the ways that the effect of tinnitus is permitted within an ENT impairment assessment and those that are beyond it. A plain reading of the ASOHNS Guidelines in my opinion does not limit the effect of tinnitus on the hearing function of the ear to that recorded by a pure tone audiogram.[20]
[I]n answering [question (a)], the Panel erred by failing to consider the effect of tinnitus on the hearing function of the ear as provided for by the ASOHNS Guidelines. The ASOHNS Guidelines referred to the ENT assessment under Chapter 9 of the AMA Guides, which remains relevant on the question of any specific allowance to be made for tinnitus in the presence of hearing loss. That measurement is informed by the severity of the condition and the degree to which it interferes with the hearing function of the ear. It permits an additional allowance of up to 5% before conversion to WPI. Under s 91(4) of the Act, that allowance would form part of the percentage diminution of hearing, together with other adjustments to the NAL Procedure required by application of s 91(4)(a)(ii).
Accordingly, in conducting its assessment for industrial deafness, the Panel should have made any additional allowance of up to 5% for the effect of tinnitus as it considered appropriate, in addition to the binaural loss of hearing assessed and determined in accordance with the NAL Procedure. This overall figure constitutes the percentage of diminution of hearing in accordance with s 91(4) of the Act, and it is this figure that should be converted to a degree of whole person impairment in accordance with the formulae in s 91(3) of the Act.[22]
(1) The ASOHNS Guidelines were written by expert medical practitioners, and 'should not be overlaid with legalistic interpretation'.[23]
(2) It is of 'paramount importance' to be faithful to the plain words of the ASOHNS Guidelines.[24]
(3) Section 91(1) of the Act provides that, with respect to most injuries, the assessment of the resulting degree of impairment is made in accordance with the AMA Guides. Sections 91(3) and (4), however, prescribe a different, stand-alone and self-contained methodology, displacing the use of the AMA Guides (and in particular Chapter 9.1) in the assessment of hearing impairments. Thus, the legislative context in which the ASOHNS Guidelines are effected demonstrates that the AMA Guides have no part to play in the assessment of hearing impairments.
(4) A plain reading of the ASOHNS Guidelines does not incorporate Chapter 9 of the AMA Guides 'in a limited fashion',[25] or otherwise.
(5) Properly construed, the ASOHNS Guidelines confirm that the effect of tinnitus on the function of hearing is already taken into account by the assessment carried out in accordance with the ASOHNS Guidelines. Therefore, any assessment of tinnitus under Chapter 9 of the AMA Guides would result in a duplication of the assessment conducted in accordance with the ASOHNS Guidelines. In the alternative, even if the reference to 'that evaluation of hearing' at the end of the first of the ASOHNS tinnitus paragraphs relates to an evaluation conducted under the AMA Guides, it cannot be said that there is any express incorporation of the AMA Guides.
(6) If the purpose of the ASOHNS tinnitus paragraphs was to incorporate or engage the AMA tinnitus paragraphs (or any part of Chapter 9), one would expect that to have been made plain in the ASOHNS Guidelines - both in respect of which part or parts of the AMA Guides might be relevant, and also how any interaction with the ASOHNS Guidelines would operate. While the ASOHNS Guidelines set out various other issues that might be raised in an assessment, in each such case, the Guidelines included some explanation or direction as to the procedure to be followed. The absence of any such explanation or direction in relation to tinnitus tells against any incorporation of the AMA tinnitus paragraphs.
(7) The language in Chapter 9 of the AMA Guides differs materially from that used in ss 91(3) and (4) of the Act and the ASOHNS Guidelines. The various descriptors 'a binaural loss of hearing', 'the percentage of diminution of hearing', and 'percentage loss of hearing', used in the Act and the ASOHNS Guidelines, are not interchangeable with the terms used in the AMA Guides - the AMA Guides using the language of hearing 'impairment', which is then converted to a Whole Person Impairment. Specifically, the differences in terminology reflected the different procedures for the assessment of hearing loss in the AMA Guides and ASOHNS Guidelines. It follows that the additional allowance of up to 5 per cent referred to in the AMA Guides cannot simply be aggregated with a binaural loss of hearing assessed and determined in accordance with the NAL Procedure. These percentages are 'incommensurable'.
(8) The ASOHNS Guidelines confirm that the percentage loss of hearing is determined by the use of the NAL Procedure. While parts of the ASOHNS Guidelines provide direction to the examiner in the proper use of the NAL procedure, nothing in the ASOHNS Guidelines permits modification of the percentage loss of hearing after it has been determined in accordance with the NAL Procedure.
It can therefore immediately be seen that there is a real and clear distinction between on the one hand, the percentage loss of hearing assessed by the NAL Procedure, and any assessment made under the ASOHNS Guidelines, which must also form part of the overall assessment of permanent impairment of the ear.
General principles for interpreting the ASOHNS Guidelines
The interpretation of the Guides is a question of law. The determination of a level of impairment is a question of fact.
It has been said that to the extent that an Act requires determinations of impairment to be made in accordance with the Guides, the Guides has the force of law and is a legislative document.
However, the Guides is, as its title suggests, a guide. It was written by expert medical practitioners and not by statutory draftspeople, and should not be overlaid with legalistic - or a lawyer's precise - interpretation. It is of paramount importance to be faithful to the Guides' plain words. The Guides should not be interpreted as if it was a statute.
The use of the Guides is designed to promote precision, certainty and consistency. Its purpose is to make as objective as possible the process of estimating impairment by reference to sufficient medical and non-medical information to justify the estimate.
If there is any inconsistency between the AC Act and the Guides, the AC Act will prevail. If there is any inconsistency between the text in the Guides and an example which seeks to illustrate what is said in the text, the text will prevail.[27]
... to assist hearing loss assessors in assessing compensable hearing loss and the resulting permanent impairment.
Guides to the Evaluation of Permanent Impairment. Fourth Edition.
American Medical Association.
(1) Contrary to the employer's submissions, the construction we prefer does not involve any duplication in the assessment of diminution of hearing. An expert assessor is given the discretion to add a percentage (up to 5 per cent) for any additional diminution of hearing caused by tinnitus, which diminution is over and above any diminution of hearing that may have been accounted for on the pure tone audiogram.
(2) The differences in language between the AMA Guides and the Act, on the one hand, and the ASOHNS Guidelines, on the other hand, are of little (if any) moment. Sections 91(3) and (4) refer to 'the percentage of the diminution of hearing' which must then be converted into a 'degree of impairment'. The 'percentage diminution of hearing' referred to in the Act and the ASOHNS Guidelines is the 'percentage hearing impairment' referred to in the AMA Guides; and the 'degree of impairment' referred to in s 91(3) of the Act is the 'degree of impairment of the whole person' referred to in the AMA Guides. There are no relevant distinctions between these terms, and no basis for contending that the percentage diminution in hearing obtained using the NAL Procedure in accordance with the ASOHNS Guidelines cannot be aggregated with an additional percentage hearing loss assessed in accordance with the AMA tinnitus paragraphs.
(3) The fact that there is a different assessment regime for impairments other than diminutions of hearing which are governed by the application of the AMA Guides does not tell against a construction of the ASOHNS Guidelines which permits or requires an assessor to have regard to a relevant part of the AMA Guides, provided that such a construction does not conflict with the text of ss 91(3) and (4) of the Act. The construction we favour permits the limited reference to the AMA Guides in the circumstances we have discussed.
(4) While s 91(4)(b) requires the percentage of diminution of hearing to be determined in accordance with the NAL Procedure, the references to 'NAL' in s 91(3) are, as the section specifically provides, references to the percentage of diminution of hearing determined in accordance with s 91(4) - not merely the product of the application of the NAL Procedure. That is, the references to 'NAL' in s 91(3) are references to the result arrived at by the performance of an assessment using the NAL procedure in the manner described in the ASOHNS Guidelines.
[1] Scardamaglia v Amcor Pty Ltd [2023] VSC 114, [65]-[66] ('Reasons').
[3] See s 5(2) of the Act and s 3 of the Workplace Injury Rehabilitation and Compensation Act 2013. Those sections also define 'injury' in the Act to include 'industrial deafness'.
[4] See s 5(2) of the Act and s 3 of the Workplace Injury Rehabilitation and Compensation Act 2013.
[5] While s 91(4)(b) refers to the possibility of a later prescribed edition, it is common ground that the relevant edition in this case is the 1988 edition.
[7] See question (a) of the medical questions.
[9] Noble WG, Assessment of Hearing Loss and Handicap in Adults. New York, NY: Academic Press; 1978.
[23] See HJ Heinz Company Australia Ltd v Kotzman [2009] VSC 311, [26] ('Heinz').
[27] Ibid [24]-[28] (citations omitted). See also Victorian WorkCover Authority v Elsdon [2013] VSCA 235; (2013) 42 VR 434, 446-7 [49].
[28] See generally, Paschalis v Return to Work Corporation of South Australia (2021) 140 SASR 77, 129 [212].
[29] See Heinz [2009] VSC 311, [26].
Amcor PLC
Scardamaglia & Anor [2023] VSCA 290
(2013) 42 VR 434
(2021) 140 SASR 77