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[2016] HCA 31
High Court of Australia
2016-08-24
Warren CJ, Ashley JA, French CJ, Nettle JJ
Original judgment source is linked above.
Deal v Father Pius Kodakkathanath [2016] HCA 31 24 August 2016 M252/2015
A G Uren QC with A D B Ingram for the appellant (instructed by Melbourne Injury Lawyers)
M F Wheelahan QC with S E Gladman for the respondent (instructed by Minter Ellison Lawyers)
Notice: This copy of the Court's Reasons for Judgment is subject to formal revision prior to publication in the Commonwealth Law Reports.
Occupational health and safety - Statutory duty - Occupational Health and Safety Regulations 2007 (Vic), regs 3.1.1, 3.1.2, 3.1.3 - Duties of employers in relation to hazardous manual handling tasks - Where primary school teacher tasked to use step ladder to remove papier mâché displays from pin-board on classroom wall - Where displays unstable or unbalanced, or difficult to grasp and hold - Where task constituted hazardous manual handling task - Where in course of task teacher fell from step ladder and injured knee - Whether evidence capable of supporting cause of action for breach of statutory duty - Whether risk of injury amounted to risk of musculoskeletal disorder "associated with a hazardous manual handling task" - Whether sufficient evidence for jury to infer it was reasonably practicable for employer to identify task as involving hazardous manual handling.
Statutes - Interpretation - Remedial legislation - Occupational Health and Safety Act 2004 (Vic) - Where Act and Regulations intended to protect employees against risk of injury in course of work - Where legislation imposes civil penalties on employers for breach of statutory duty - Whether fact of civil penalty requires narrow interpretation of provision.
Words and phrases - "associated with", "close connection", "combined in terms of circumstances", "combined in terms of classification", "hazardous manual handling task", "musculoskeletal disorder", "real risk", "reasonably practicable", "Shirt calculus".
Occupational Health and Safety Act 2004 (Vic), ss 2(1), 4, 20, 21, 158. Occupational Health and Safety Regulations 2007 (Vic), regs 1.1.1, 1.1.5, 1.1.7, 3.1.1, 3.1.2, 3.1.3.
FRENCH CJ, KIEFEL, BELL AND NETTLE JJ. This is an appeal from a judgment of the Court of Appeal of the Supreme Court of Victoria, on appeal from the County Court of Victoria. The appellant's claim at first instance was for damages for a knee injury which she suffered in the course of her employment as a primary school teacher when she fell from a step ladder while removing papier mâché displays from a classroom pin-board. At trial, the appellant alleged that her injury was caused by the respondent's negligence or breach of statutory duty arising under regs 3.1.1, 3.1.2 and 3.1.3 of the Occupational Health and Safety Regulations 2007 (Vic) ("the Regulations"). Those provisions of the Regulations require an employer to identify tasks involving hazardous manual handling, control the risk of a musculoskeletal disorder associated with a hazardous manual handling task and review any risk control measures. The trial judge took the issue of breach of statutory duty away from the jury. His Honour ruled that the evidence was incapable of supporting a finding that the appellant was engaged in a hazardous manual handling task within the meaning of reg 3.1.2. On appeal, a majority of the Court of Appeal (Warren CJ and Ashley JA) held that there was evidence capable of supporting a finding that the appellant was engaged in a hazardous manual handling task but that the association between the generic nature of the task of removing the displays from the pin-board and the risk of the appellant's injury was not sufficiently close to come within reg 3.1.2. Digby AJA dissented. For the reasons which follow, the appeal should be allowed. Relevant legislative provisions Section 2(1) of the Occupational Health and Safety Act 2004 (Vic) ("the Act") provides that the objects of the Act are: "(a) to secure the health, safety and welfare of employees and other persons at work; and (b) to eliminate, at the source, risks to the health, safety or welfare of employees and other persons at work; and (c) to ensure that the health and safety of members of the public is not placed at risk by the conduct of undertakings by employers and self-employed persons; and (d) to provide for the involvement of employees, employers, and organisations representing those persons, in the formulation and implementation of health, safety and welfare standards - having regard to the principles of health and safety protection set out in section 4." Section 4 of the Act identifies five principles of health and safety protection: "(1) The importance of health and safety requires that employees, other persons at work and members of the public be given the highest level of protection against risks to their health and safety that is reasonably practicable in the circumstances. (2) Persons who control or manage matters that give rise or may give rise to risks to health or safety are responsible for eliminating or reducing those risks so far as is reasonably practicable. (3) Employers and self-employed persons should be proactive, and take all reasonably practicable measures, to ensure health and safety at workplaces and in the conduct of undertakings. (4) Employers and employees should exchange information and ideas about risks to health and safety and measures that can be taken to eliminate or reduce those risks. (5) Employees are entitled, and should be encouraged, to be represented in relation to health and safety issues." Section 21 of the Act establishes a duty on employers, so far as is reasonably practicable, to provide and maintain for employees a working environment that is safe and without risks to health. The Regulations are promulgated pursuant to s 158 of the Act. Section 158 of the Act provides that the Governor in Council may make regulations for or with respect to, amongst other things, regulating or requiring the taking of any action to avoid an incident at a workplace and any other matter or thing required or permitted by the Act to be prescribed or that is necessary to be prescribed to give effect to the Act. Regulation 1.1.1 provides that one objective of the Regulations is to further the objects of the Act by, amongst other things, providing for health and safety in relation to workplaces and hazards, activities and things at workplaces. Regulation 1.1.5 defines a number of terms for the purposes of the Regulations. "Manual handling" is defined as follows: "manual handling means any activity requiring the use of force exerted by a person to lift, lower, push, pull, carry or otherwise move, hold or restrain any object". The definition of "hazardous manual handling" provides: "hazardous manual handling means - (a) manual handling having any of the following characteristics - (i) repetitive or sustained application of force; (ii) repetitive or sustained awkward posture; (iii) repetitive or sustained movement; (iv) application of high force being an activity involving a single or repetitive use of force that it would be reasonable to expect that a person in the workforce may have difficulty undertaking; Example The force required to lift or otherwise handle heavy weights, to push or pull objects that are hard to move, to operate tools that require the use of 2 hands to exert sufficient force but that are designed for one hand or to operate tools that require squeezing of grips that are wide apart. (v) exposure to sustained vibration; (b) manual handling of live persons or animals; (c) manual handling of unstable or unbalanced loads or loads that are difficult to grasp or hold". "Musculoskeletal disorder" is defined to mean: "musculoskeletal disorder means an injury, illness or disease that arises in whole or in part from manual handling in the workplace, whether occurring suddenly or over a prolonged period of time, but does not include an injury, illness or disease that is caused by crushing, entrapment or cut resulting primarily from the mechanical operation of plant". Part 3.1 of Ch 3 of the Regulations is directed to manual handling. Regulation 3.1.1 imposes a duty on employers to identify tasks involving hazardous manual handling. It provides that: "(1) An employer must, so far as is reasonably practicable, identify any task undertaken, or to be undertaken, by an employee involving hazardous manual handling. ... (2) An employer may carry out a hazard identification under subregulation (1) for a class of tasks rather than for individual tasks if - (a) all the tasks in the class are similar; and (b) the identification carried out for the class of tasks does not result in any person being subject to any greater, additional or different risk to health and safety than if the identification were carried out for each individual task." Regulation 3.1.2 is directed to eliminating, reducing and controlling the risk of a musculoskeletal disorder associated with a hazardous manual handling task, so far as is reasonably practicable. Regulation 3.1.2(1) provides that: "An employer must ensure that the risk of a musculoskeletal disorder associated with a hazardous manual handling task affecting an employee is eliminated so far as is reasonably practicable." Regulation 3.1.2(2) provides that, if it is not reasonably practicable to eliminate the risk of a musculoskeletal disorder associated with a hazardous manual handling task affecting an employee, the employer must reduce that risk so far as is reasonably practicable by: "(a) altering - (i) the workplace layout; or (ii) the workplace environment, including heat, cold and vibration, where the task involving manual handling is undertaken; or (iii) the systems of work used to undertake the task; or (b) changing the objects used in the task involving manual handling; or (c) using mechanical aids; or (d) any combination of paragraphs (a) to (c)." Regulation 3.1.3 provides that any measures implemented to control risks in relation to musculoskeletal disorders must be reviewed and, if necessary, revised. The facts The appellant was employed by the respondent as a primary school teacher. Her employment contract contained no reference to occupational health and safety issues. From the time of her engagement by the respondent in or about early 2002 until the time of the workplace injury the subject of this proceeding, the appellant taught classes from preparatory grade to grade 6. During 2007, she taught grade 3. On 19 September 2007, it was necessary for her as part of her job as the grade 3 teacher to remove a number of papier mâché displays mounted on large sheets of "stock card" from a pin-board on the classroom wall. The task of attaching such displays to the pin-board and later removing them was one which the appellant had to undertake periodically. There were two sizes of "stock card", each of which was larger than A3 size. The "stock card" was said to be somewhat thicker than "copy paper" but prone to buckle unless supported with at least one hand in the middle beneath. The appellant was only 156 cm tall and could not reach the pin-board from floor level. Accordingly, she used a two step ladder provided by the respondent. The step ladder was of "A" frame configuration of which the top step was 450 mm above the floor. There was a larger step ladder available elsewhere at the school but the appellant said that there was no need for her to use that ladder because she could reach the displays using the step ladder. In practice, the appellant had to set the step ladder at right angles to the pin-board, ascend the step ladder to the top step, reach up above her head and unpin one or more displays at a time, and then carry them as she descended backwards down the step ladder to the floor. On the occasion in issue, the appellant was carrying more than one display at once, and holding them with both hands beneath to prevent them from bending as she descended backwards down the step ladder. At trial she stated that, "[b]ecause I held them underneath and not to the side they did move a little bit. They wouldn't move too much, but probably enough to concentrate on them as well as ... the step". She further deposed that, because the displays were in front of her, "I couldn't literally see down past them" and consequently that she "just went cautiously and tried to feel for the ladder, the step as I went. Each time, I didn't go fast, I was always going slow enough to feel for it, but this time I missed". As a result, she fell, and suffered a knee injury. There were some instructions on the step ladder, of which the appellant was aware and with which she complied. But the respondent had not given the appellant any written warning of the risks of falling from step ladders or that the appellant should not work alone when using the step ladder or of the danger of using the step ladder to perform the task of removing displays from the pin‑board, or any other instructions as to how to perform the task. The appellant gave unchallenged evidence that she had no knowledge of the Regulations or of any assessment undertaken pursuant to the Regulations or of any occasion on which any manual handling risks associated with the placing or removing of such displays had been discussed in a safety context. The appellant called a forensic consulting engineer, Mr Contoyannis, to give expert opinion evidence. He described the accident, in part, as follows: "When stepping down, Ms Deal had both of her hands holding the displays which eliminated the possibility of her using her hands for stabilisation as well as obscuring her vision for ... locating the intermediate (lower) step. The combination of those two circumstances evidently led to her mishap as she stepped down, and the inevitable fall causing her injury." Mr Contoyannis stated that in order to avoid the risk of injury to which the appellant was exposed, the displays should have been handed to an assistant while the appellant was standing surely on the platform so that the appellant would have had both hands free to grasp the ladder as she descended. In answer to interrogatories delivered by the appellant, the respondent stated that, prior to 19 September 2007, a hazard identification had been undertaken, pursuant to reg 3.1.1 of the Regulations, with respect to the task which the appellant alleged resulted in her injury. The respondent identified a Manual Handling Risk Assessment (16), for the job/task of hanging large/heavy artwork for displays, and a Manual Handling Risk Assessment (17), for the job/task of hanging paper and cardboard displays, as the documents which evidenced the performance of hazard identification. The respondent's Manual Handling Risk Assessment (17) included the following:
School:|Assessment date:| Location: Classrooms & hallways|Job/Task: Hanging paper & cardboard displays| Hazard Identification| Identify hazardous manual handling by assessing task against the stressors listed below and place a tick (b) in the box only. (see the Manual Handling Code of Practice for guidance)| Stressors| |Task/ process steps|Repetitive or sustained application of force|Repetitive or sustained awkward posture|Repetitive or sustained movement|Application of high force|Exposure to sustained vibration|Handling of live people & animals|Handling loads that are unstable, unbalanced or difficult to move| A|Climbing ladders to hang light displays|||||||| B|Stretching up to hang displays|||||||| C||||||||| D||||||||| Risk Assessment| ||Yes/No|Briefly explain each finding| 1a|Does the task involve repetitive or sustained postures, movements or forces?|Yes|Displaying posters| 1b|Is the task done for more than 2 hours over a whole shift or continually for more than 30 minutes at a time?|Yes|| 2|Does the task involve high force?|No|For specific projects eg Art show| 3|Is there a risk? (yes if, yes to 1a & 1b or 2)|Yes|| 4|Are environmental factors increasing the risk?|No|| 5|Rate task as high, medium or low risk.|Medium|| Manual Handling Stressors|Risk Ranking|Number of Stressors| Greater than 9 stressors|High|| 5-9 stressors|Medium|5| 1-4 stressors|Low|| Risk Control Recommendations| List in order based on hierarchy of controls (see below)|
GAGELER J. Part 3 of the Act prescribes general duties relating to health and safety. Part 3 commences with s 20. Section 20(1) provides: "To avoid doubt, a duty imposed on a person by this Part or the regulations to ensure, so far as is reasonably practicable, health and safety requires the person - (a) to eliminate risks to health and safety so far as is reasonably practicable; and (b) if it is not reasonably practicable to eliminate risks to health and safety, to reduce those risks so far as is reasonably practicable." Section 20(2) provides: "To avoid doubt, for the purposes of this Part and the regulations, regard must be had to the following matters in determining what is (or was at a particular time) reasonably practicable in relation to ensuring health and safety - (a) the likelihood of the hazard or risk concerned eventuating; (b) the degree of harm that would result if the hazard or risk eventuated; (c) what the person concerned knows, or ought reasonably to know, about the hazard or risk and any ways of eliminating or reducing the hazard or risk; (d) the availability and suitability of ways to eliminate or reduce the hazard or risk; (e) the cost of eliminating or reducing the hazard or risk." Section 21 relevantly provides as what is described in Pt 3 as a "main duty" of an employer that "[a]n employer must, so far as is reasonably practicable, provide and maintain for employees of the employer a working environment that is safe and without risks to health". Non-compliance is an offence whether or not an employee is injured as a result. Read in light of s 20, that main duty of an employer is to provide and maintain a working environment in which all workplace risks to the health and safety of employees are eliminated, and if not eliminated then reduced, so far as is reasonably practicable having regard to considerations set out in s 20(2). The duty "is to ensure that employees are not exposed to risks, rather than to prevent a particular accident". The calculus of considerations set out in s 20(2) makes clear that the concept of risk with which s 21 is concerned is nothing more than a finite potential for the occurrence of harm to the health or safety of an employee. The concept of risk is inherently forward looking. But it is not tied to the knowledge or understanding of an employer. An objectively identified potential for the occurrence of harm to the health or safety of an employee constitutes a risk whether or not the employer knows or ought reasonably to know about that potential. The degree of likelihood that a risk will eventuate and what the employer knows or ought reasonably to know about the risk are factors that are taken into account at the stage of determining what action on the part of the employer is reasonably practicable to eliminate or reduce the risk. The regulations in question in this appeal, regs 3.1.1, 3.1.2 and 3.1.3, were made under s 158(1)(a) of the Act, which provides for the making of regulations for or with respect to the way in which duties imposed by the Act are to be carried out. That link to s 158(1)(a) is made clear by a note in each which states "Act compliance" followed by a reference to s 21. The significance of that note is spelt out in reg 1.1.7: the note indicates that each regulation sets out the "way" in which an employer's main duty under s 21 is to be performed in relation to the "matters" and to the "extent" set out in the regulation. The context of ss 20, 21 and 158(1)(a) and reg 1.1.7 explains the focus of regs 3.1.1, 3.1.2 and 3.1.3: on a particular category of workplace activity, and on exposure to a particular category of workplace risk. The activity and the risk together define the matters in relation to which those regulations prescribe the manner in which an employer's main duty under s 21 is to be performed. The particular category of workplace activity is a sub-category of "manual handling". Specifically, the activity is manual handling that meets the particular description of "hazardous" manual handling. The definitions in reg 1.1.5 make clear that hazardous manual handling is a subset of manual handling. Manual handling encompasses any workplace activity which requires use of force by an employee to lift, lower, push, pull, carry or otherwise move, hold or restrain an object. Hazardous manual handling is manual handling which falls within any one of three descriptions. The first is manual handling which has any of a number of specified characteristics: repetitive or sustained application of force, awkward posture or movement; application of high force being an activity that it would be reasonable to expect a person in the workforce might have difficulty undertaking; or exposure to sustained vibration. The second is manual handling of live persons or animals. The third is manual handling of unstable or unbalanced loads or loads that are difficult to grasp or hold. The particular category of workplace risk is the risk of musculoskeletal disorder. The definition in reg 1.1.5 importantly limits the statutory concept of musculoskeletal disorder to harm that is causally related to manual handling in the workplace. Subject to immaterial exceptions, a musculoskeletal disorder is "an injury, illness or disease that arises in whole or in part from manual handling in the workplace, whether occurring suddenly or over a prolonged period of time". The context therefore makes plain that the purpose of regs 3.1.1, 3.1.2 and 3.1.3 is to prescribe how an employer must perform the main duty imposed by s 21 in relation to the particular matter of the risk of a musculoskeletal disorder causally related to hazardous manual handling. A construction of each regulation which would promote that purpose is to be preferred to a construction which would not. How the regulations set out to achieve that purpose is by obliging the employer to undertake a structured sequence of actions. Those actions are indicated by the headings which form part of the regulations: "[h]azard identification", "[c]ontrol of risk" and "[r]eview of risk control measures". First, reg 3.1.1 addresses hazard identification. The employer must, so far as is reasonably practicable, "identify any task undertaken, or to be undertaken, by an employee involving hazardous manual handling". Performance of that obligation should not be unduly complicated. What the employer must do, so far as is reasonably practicable having regard to the calculus of considerations set out in s 20(2), is nothing more than to look to the real-world tasks actually to be undertaken by an employee and to identify any such task that has a component of manual handling meeting the description of hazardous manual handling. The reference in reg 3.1.1 to a task "involving" hazardous manual handling is simply to a real-world task to be undertaken by an employee that has hazardous manual handling as a component. Next, reg 3.1.2 addresses control of risk. It imposes a three-tiered obligation. The employer must eliminate "the risk of a musculoskeletal disorder associated with a hazardous manual handling task" so far as is reasonably practicable. If it is not reasonably practicable to eliminate that risk, the employer is obliged to reduce that risk so far as is reasonably practicable by means of one or a combination of different risk control measures. If it is not reasonably practicable to reduce that risk by those means, the employer is obliged to control that risk by providing information, instruction or training. Determination of what is or is not reasonably practicable at each tier of the obligation is again informed by the calculus of considerations set out in s 20(2). The reference in reg 3.1.2 to "the risk of a musculoskeletal disorder associated with a hazardous manual handling task" needs to be read bearing in mind that a musculoskeletal disorder is an injury, illness or disease that is caused by manual handling, albeit that manual handling need not be the sole cause. The words "associated with" do not introduce some further or different causal connection. What the words signify is that the particular risk of a musculoskeletal disorder concerned is the risk of an injury, illness or disease caused, in whole or in part, by manual handling meeting the description of hazardous manual handling. Lastly, reg 3.1.3 addresses review of risk control measures. The employer must ensure that any risk control measures that have been implemented are reviewed, and if necessary revised, in specified circumstances. The reference in the regulation to revision of risk control measures cannot be seen to impose a free-standing obligation. The reference serves rather to emphasise that the three-tiered obligation imposed by reg 3.1.2 is ongoing. A review conducted in accordance with reg 3.1.3 might well result in reconsideration of what is or is not reasonably practicable in the performance of the obligation imposed by reg 3.1.2 by reference to changes in circumstances that have affected the calculus of considerations set out in s 20(2) since earlier risk control measures were put in place. Turning to the facts of the present case, there is no dispute that the real-world task actually undertaken by the appellant in her capacity as an employee of the respondent was fairly described as removing a light display from a pin board using a step ladder. On the evidence fully set out in the joint reasons for judgment, the jury was entitled to conclude that one of the components of that overall task - carrying the light display - constituted manual handling of an unstable or unbalanced load or a load that was difficult to grasp or hold, and therefore that the task was objectively one involving hazardous manual handling within the meaning of reg 3.1.1. That another component of the task was using the step ladder could not affect that conclusion. The respondent's Manual Handling Risk Assessment identified hanging a light display on a pin board using a step ladder as a task involving hazardous manual handling. Against that background, the jury was obviously entitled to conclude that it was reasonably practicable for the respondent to identify the corresponding task of removing a light display from a pin board using a step ladder as a task involving hazardous manual handling. Turning to the application of reg 3.1.2, the jury was entitled to conclude from the appellant's evidence that the injury she sustained to her knee was caused, at least in part, by manual handling which answered the description of hazardous manual handling - being her handling of an unstable or unbalanced load or a load that was difficult to grasp or hold. That the injury might have been caused in part by her missing her step could not affect that conclusion. Nor could it matter that the injury might not have occurred if she had handled the load in a different way. In the result, the jury was entitled to find that the risk which came home to the appellant answered the description of the risk of a musculoskeletal disorder associated with a hazardous manual handling task, and the jury was entitled to conclude that the respondent failed to meet the obligation to act so far as was reasonably practicable to reduce or control that risk. On the orders proposed in the joint reasons for judgment, the consequences of that result for the rights of the parties determined at trial will be for the Court of Appeal to determine on remitter. I agree with those orders.
Deal
Father Pius Kodakkathanath