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[1999] VSCA 129
Court of Appeal (Vic)
1999-08-27
WINNEKE, P., CHARLES and BATT, JJ.A.
Original judgment source is linked above.
Accident Compensation - "Serious injury" - Aggravation of pre-existing condition - Whether applicant entitled to rely upon successive injuries sustained over period of years to constitute "serious injury" - Circumstances in which "an aggravation" might cause serious injury - Relationship between claims made under Accident Compensation Act 1985 and Transport Accident Act 1986 discussed - Whether trial judge misconceived nature of the "injury" in respect of which application was made - Accident Compensation Act (2)(b) and 135B(2);
(1) in accepting the respondent's submission that in determining the question before it the County Court should "simply deal with the injurious effects of the lifting episode which occurred on 14 December 1994";
(2) in regarding the question to be determined under s.135A as not differing from a corresponding question arising under s.93 of The Transport Accident Act 1986;
(3) in dealing with the question to be determined under s.135A in the manner appropriate to a transport accident and appropriate to a corresponding question arising under s.93 of the Transport Accident Act 1986.
There was a fourth ground recited in the amended Notice which, at the end of the day, was not argued.
Because there was much in the Appeal Book which suggested, at least on its face, that the judge had not misconceived the application which was before him, the Court at the outset of the appeal asked respondent's counsel whether he opposed the application to file the amended Notice. Counsel said that he did not oppose the filing of the Notice to enable appellant's counsel to address argument in support of the new grounds. He later said that he reserved his right to contend that the judge had indeed decided the application which had been made to him and that there had been no misunderstanding or misconception of the type alluded to in the amended grounds of appeal.
"(2) A worker may recover damages in respect of an injury arising out of, or in the course of, or due to the nature of, employment - (a) if employment of that nature was a significant contributing factor, and the injury is a serious injury and arose after 1 December 1992; or (b) if the injury is a serious injury and arose before that date but the incapacity arising from the injury did not become known until that date or a later date."
It is, thus, apparent that a worker can only bring a common law action for damages against his or her employer for an injury arising after 1 December 1992 if the injury is a "serious injury" and the injury arose out of, or in the course of, or due to the nature of, employment and the employment of that nature was a "significant contributing factor", or, alternatively, if the injury is a "serious injury" which arose before 1 December 1992 but the incapacity arising from it did not become known until that date or a later date. As this Court pointed out in Collins (supra at 221) the second "limb" of the right to bring an action for damages, i.e. the right conferred by s.135A(2)(b):
"... contemplates that some injuries are `progressive' and that their ultimate consequences to the victim will be the measure of their `seriousness' ... ."
"(a) serious long-term impairment or loss of a body function; or (b) ... (c) severe long term mental or severe long term behavioural disturbance or disorder; or (d) ..."
"Injury" is defined in s.5 of the Act as including, inter alia,:
"(c) the recurrence, aggravation, acceleration, exacerbation or deterioration of any pre-existing injury or disease where the worker's employment was a significant contributing factor to that recurrence, aggravation, acceleration, exacerbation or deterioration."
In determining whether an injury is "serious" within the meaning of paragraph (a) of s.135A (19), the court is to be guided by the test formulated by the Full Court in Humphries v. Poljack [1992] VicRp 58; [1992] 2 V.R. 129 where, at 140, Crockett and Southwell, JJ. said of the like definition of "serious injury" in the Transport Accident Act:
"To be `serious' the consequences of the injury must be serious to the particular applicant. Those consequences will relate to pecuniary disadvantage and/or pain and suffering. In forming a judgment as to whether, when regard is had to such consequence, an injury is to be held to be serious the question to be asked is: can the injury, when judged by comparison with other cases in the range of possible impairments or losses, be fairly described at least as `very considerable' and certainly more than `significant' or `marked'."
In Mobilio's case, supra, this Court held that, in determining whether an injury is a "serious" one for the purposes of the definition in s.93 of the Transport Accident Act, judges should continue to be guided by this test (per Winneke, P. at 834, Brooking, J.A. at 844-5, Phillips, J.A. at 860, Charles, J.A. at 860). In State of Victoria v. Collins, supra at 217, the Court said that the same test should be applied by courts called upon to determine whether an injury is "serious" for the purposes of s.135A of the Accident Compensation Act.
"The injury then that [the appellant] relies upon is an aggravation of a pre-existing condition which he says was not the cause of any problem to him prior to this accident. I am quite prepared to accept what he says about that ... . He impressed me as being a person who was not exaggerating in the least and was not prevaricating in any way."
"The question concerning [the] degree of degenerative change in his neck does become critical for the purposes of this application."
His Honour then referred to the limitations which the Act had imposed upon persons wishing to bring common law actions in respect of work place injuries and noted that s.135A preserved such rights only to those who had suffered "serious injuries" and who had either received a certificate from the Accident Compensation Commission stating that they had suffered a "serious injury", or were deemed to have suffered such an injury, or, in default of receiving such a certificate or being deemed to have suffered a serious injury, had applied to and obtained leave from the court on the basis of the court's finding that the injury suffered was a "serious injury" within the meaning of the section.
"Now, that, upon analysis is a difficult thing to do in any case involving an aggravation."
In support of this proposition his Honour applied the authority of Petkovski v. Galletti [1994] VicRp 32; [1994] 1 V.R. 436 where, at 444, Southwell and Teague, JJ. said in respect of an application under the Transport Accident Act where the injury relied upon was an aggravation of a pre-existing condition:
"The accident did not cause the pre-existing condition; at this stage of the process the applicant must establish what injury was caused by the accident; where there is a pre-existing condition, it necessarily follows that an analysis must be made of the extent of impairment of a body function before and after the relevant injury. But, next, `the injury' - that is, the injury which resulted from the accident - `must involve serious long-term impairment ... of a body function.' That must follow, as we believe, both as a matter of ordinary construction, and from the statement of the majority in Humphries where it is said, at p.140, in a passage already quoted: `To qualify for such a description [that is, "serious injury"] there must be an impairment or loss of a body function which as a result of the infliction of the injury complained of is both serious and long term.' (Emphasis added) The matter may be tested in this way : let it be assumed that a claimant was at the time of the relevant accident already suffering from a `serious injury', and that the accident aggravated his condition to a minor extent. If the reasoning of the learned trial judge were to be applied, the claimant must be given leave to pursue the claim for that minor aggravation. We cannot accept that as correct. The clear intention of the Parliament in passing the Act was to prevent such minor claims."
"establish what injury was caused by the accident. Where there is a pre-existing condition, it necessarily follows that an analysis must be made of the extent of impairment of a body function before and after the relevant injury. Next the injury - that is the injury which results from the accident - must involve serious long-term impairment of a body function."
His Honour went on to say that that was not an easy task to fulfil.
"On that material, with the best will in the world, I am afraid I cannot bring myself to the situation where I could say that I entertained a real belief held, at least on the balance of probabilities, that [the appellant] has suffered as a result of this accident an injury which qualifies as being a serious injury involving a serious long-term impairment or loss of body function arising from the aggravation itself. It has, in my view ... rendered a condition which was asymptomatic in the sense that it was regarded as being normal by [the appellant] himself into a situation which (sic) he does suffer symptoms of which he does not make enormous complaint and which have not prevented him from continuing with activities, although it would prevent him from lifting and moving heavy furniture. But that is not something which I would regard as being out of the way in a person of [his] years. He might still be physically quite active without indulging in the heavy work that he has."
It was further submitted that there was evidence before his Honour, particularly that of Dr. Brownbill, from which it was clear that the degeneration in the spine had been caused or contributed to by the work which the appellant had been required to perform over the period of his employment. Thus it was said that the evidence before his Honour should have led him to the conclusion that the appellant had suffered a series of neck injuries during the course of his employment of which the injury on 14 December 1994 was but the last and that his Honour had erroneously confined his attention to the events of 14 December in mistaken reliance upon the statements made by the Full Court in Petkovki's case which was concerned with a transport accident.
The material which was before his Honour included the following:
(a) The "particulars of injury" annexed to the originating summons filed with the court on 2 September 1997 in which it was alleged that:
"the Plaintiff has aggravated underlying degenerative changes in his neck, particularly in the C5-6 and C6-7 region which has resulted in nerve root irritation and/or entrapment in that region."
The only relevant aggravation of the pre-existing degenerative change, to which evidence was addressed, was the one occurring on 14 December 1994. The medical reports suggested that it was this injury which had caused "the nerve root entrapment and irritation".
(b) The affidavit sworn by the appellant's solicitor in support of the summons, in the course of which he deposed:
"2. I am instructed by the Plaintiff that he sustained injuries in an accident whilst in the course of his employment with [the respondent] on or about the 14th day of December 1994 ...".
It was suggested by counsel on the appeal that this was not intended to be a binding statement of "the injury" in respect of which the application was made but only a reflection of the instructions given by the appellant, who could not be expected to know of the full extent of the injuries. However, it is clear on the face of the affidavit, which was made nearly three years after the events of 14 December 1994, that the solicitor was in possession of a number of medical reports which disclosed the long standing degeneration of the spinal processes.
(c) In an affidavit sworn in support of his summons on 27 August 1997 the appellant swore:
"2. That I suffered injuries whilst in the course of my employment with the Museum of Victoria on or about 14 December 1994 ..."
(d) In opening the application to his Honour on 1 June 1998, the appellant's then counsel, having referred to the fact that from September 1994 the appellant was left to perform his duties without assistance, put it to the court that the appellant had suffered an incident on 14 December 1994 when he was shifting a couch.
(e) In giving evidence the applicant affirmed that he had been "injured on 14 December 1994" and that before that date he had suffered no symptoms of neck or shoulder pain (Tx.5).
(f) In the course of addressing his Honour, the appellant's counsel adopted a position which, as it seems to me, was consistent only with the view that the claim was for an aggravation of injury which occurred in December 1994:
(i) It was he who referred his Honour to the remarks made by the Full Court in Petkovski, supra (Tx.19-20), referring to the quantum of proof required where the "injury" relied upon by the applicant is an aggravation of a pre-existing condition.
(ii) At Tx.20-21 counsel put it to his Honour that at all times before 14 December 1994, the appellant was fit and working full time but that "after the event that we're talking about his condition, which was completely asymptomatic all of a sudden flares up and remains that way until today ... . So that what your Honour has is a time line that runs up to 14 December and [until then] he's operating at full capacity. ... So from 14 December he goes from having a full capacity to a very seriously reduced one, and that persists to this time."
Counsel further put it to his Honour that these circumstances raised an evidential burden on the respondent to prove that the appellant would "inevitably have come to" the state he was in, submissions which recognized that the injury relied upon was an "aggravation" or "acceleration" of a pre-existing state. However, as his Honour pointed out, that submission was inconsistent with the authority of Petkovski to which counsel had referred.
(iii) Appellant's counsel (Tx.22-3) then submitted that the aggravation was a "serious injury" by contending that "the effects have been more than significant or marked" when measured by the effects on the appellant's earning capacity and enjoyment of life. "Using that barometer prior to the event, the plaintiff was not suffering any loss of enjoyment of life and was not suffering any loss of income". (My emphasis). The "event" referred to was clearly that of 14 December 1994.
(iv) Again, at Tx.24-5, counsel submitted that there were no symptoms "at the time that this event occurred" and that there had been no impairment despite the pre-existing degeneration. Counsel contended that this was not a case of "gradual build up of symptoms"; rather he contended it was "a traumatic event where the [appellant] has in a single incident suffered the onset of quite severe symptoms". As counsel put it:
"there's evidence before you to make a finding that although the plaintiff had degenerative changes as of 14 December it was the particular event on that day that caused the onset of acute symptoms."
Counsel again said (Tx.26) that the evidence showed that "the particular event caused, in a relevant sense, the [appellant's] injuries ... being the problems that he complains of".
(v) In conclusion, appellant's counsel submitted to the learned judge (Tx.27-8) that:
"there's material upon which your Honour could find that the [appellant] suffered, as a result of the event on 14 December 1994, an aggravation of a condition which resulted in the symptoms that have in turn resulted in a loss of ability to earn income and also a loss of enjoyment of life and that those symptoms, the result, amounts to a serious injury."
Angeletos
Museum of Victoria [1999] VSCA 129