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[2016] TASSC 6
Supreme Court of Tasmania
2016-02-11
Porter J
Original judgment source is linked above.
CITATION: Long v Kmart Australia Ltd [2016] TASSC 6
APPEALED FROM: L v Kmart Australia Ltd [2014] TASWRCT 43
(Written submissions - 10, 11, 21, 22 December 2015)
Workers' Compensation - Entitlement to compensation - Injury, disease or disability - Disease - Aggravation or acceleration of pre-existing disease or condition - General principles - "Injury" where employment the major or most significant contributing factor to recurrence, aggravation, acceleration, exacerbation or deterioration of pre-existing disease - Nature of underlying progressive disease not excluded from consideration as a contributing factor - Correct approach where pre-existing disease is progressive in nature.
Murray v Shillingsworth [2006] NSWCA 367; (2006) 68 NSWLR 451, considered.
Cook v Midpart Pty Ltd t/as McDonalds Forster [2008] NSWCA 151, followed.
Federal Broom Company Pty Ltd v Semlitch [1964] HCA 34; (1964) 110 CLR 626, applied.
Workers' Compensation - Proceedings to obtain compensation - Determination of claims - Appeals, judicial review and stated cases - Question of law - Appeal where party agreed by determination in point of law - Generally - Content of statutory duty to provide reasons for determination - Failure to state essential findings of fact - Failure to make such findings - Error of law established.
Gulf Industries v Barnett (1996) 6 Tas R 142, applied.
Judgment Number: [2016] TASSC 6
"(a) Did the worker suffer an injury, if so what injury, in the course of his employment on 1 or 2 March 2013?
(b) Did the worker suffer an injury (which was a disease) in the course of his employment and to which his employment was the major or most significant contributing factor?
(c) Did the worker suffer an aggravation or exacerbation of an underlying disease on 1 or 2 March 2013 to which his employment was the major or most significant contributing factor?"
(a) a worker suffers an injury, not being a disease, arising out of or in the course of his employment; or
(b) a worker suffers an injury, which is a disease and to which his employment contributed to a substantial degree, within the meaning of section 3(2A) -
his employer is, except as is otherwise provided by this Act, liable to pay compensation in accordance with this Act ...".
(b) the recurrence, aggravation, acceleration, exacerbation or deterioration of any pre-existing injury or disease where the employment was the major or most significant contributing factor to that recurrence, aggravation, acceleration, exacerbation or deterioration - ...".
"3 The Tribunal accepts the worker's evidence (which was not challenged) that during the afternoon of 1 March 2013 whilst carrying out his work as a motor mechanic and more specifically whilst engaged in changing an engine timing belt on a Hyundai Lantra he became aware of low back pain. This was in the form of a 'constant low pressure pain' in a strap like distribution across his lower back. This pain stayed the same, and affected the same level of his back during the rest of his work day and that night at home. The pain during this period was assessed by the worker at a base rate of 2 out of 10. The next morning and when he arrived at work the nature, distribution and level of his pain remained the same. There is then an alleged activity that caused what the worker asserted in evidence to be a transient but significant change in his back symptoms; this incident shall be referred to as the 'stool incident' and as it is in dispute I will deal with it later.
4 After the stool incident the worker's symptoms returned to what he described as the base level at 2 out of 10. He worked that day his rostered hours and concluded at approximately 2:00pm. Save for the transient change following the stool incident his back symptoms remained at the base level as to nature, distribution and level of pain throughout that day and were at that level when he commenced his journey to his home driving his motor vehicle. There is then disputed evidence as to the circumstances of the change in his back symptoms during and at the completion of that journey.
5 In any event, subsequent to his arrival at his home there was a significant and graphic change in the level and nature of his symptoms. He describes intense stabbing pain with a significant loss of mobility due to pain. A radiation of pain affecting the right buttock and right leg also developed. Subsequent medical treatment occurred, initially conservative, and radiological scans identified that he had suffered, in summary, a L5/S1 broad based disc bulge with superimposed central/right para-central disc protrusion."
"• The back symptoms suffered during 1 and 2 March 2013 at work (save for the stool incident) were not suggestive of a prolapsed disc.
"19 A final question to be answered concerns the proposition that the worker's employment activities over the period of 1 and 2 March 2013 and in particular at the time the pain symptoms commenced aggravated or exacerbated his pre-existing degenerative back condition so as to constitute an injury within the definition in s3. ...
20 In closing submissions the worker's case was put on the basis that the end result was a product of the exacerbation or aggravation of a disease. There was no reference in the evidence or in submissions addressing whether this was an acceleration or deterioration circumstance and accordingly there is no basis for the Tribunal to consider same. What arises from the evidence is whether the final resultant condition that resulted in incapacity, that being the disc prolapse, was the end result of an aggravation/exacerbation of the worker's disease or whether it was a separate event not causatively linked to the requisite degree to the worker's employment, perhaps as a separate injury or the naturally occurring end result of the non-work caused degenerative condition." [My emphasis.]
"There is an exacerbation of a disease where the experience of the disease by the patient is increased or intensified by an increase or intensifying of symptoms. The word is directed to the individual and the effect of the disease upon him rather than being concerned with the underlying mechanism."
"26 Consideration of the above leads me to accept that the use of the term 'exacerbate' is a reference to the effects of the disease upon a person rather than an advancement or identifiable change in the disease itself. This term is capable of applying to the onset of pain described by the worker as the base level 2 out of 10 and the pain affecting him throughout his time at work from mid-afternoon on 1 March 2013 until he concluded his work on 2 March 2013. It is not capable of application to the disc prolapse which upon the evidence is open to be described as an advancement of the degenerative disease to a more serious stage or level.
27 It is possible to consider that the prolapsed disc upon the background of degenerative back disease was an aggravation of that disease as that happening made the disease itself worse or more severe."
"A consideration of Dr Jackson's evidence shows that he accepts that the prolapse occurred as the worker attempted to get out of his car. As to this he said that this was when the 'disc goes' but he stated earlier that it 'went' when he was at home and this was when there was the sudden increase in pain. He accepted that on the history this is when the disc expanded and impinged but notes that there had been some problems before this. He agreed further that it was a reasonable inference that as the worker attempted to get out of his car the disc ruptured and impinged on the nerves as the pain suffered was ongoing after that. Finally he stated that the disc partly prolapsed at work and then 'bang, it goes' as the worker attempts to get out of his car. This appears to be a hypothesis based on the view that some physiological change occurred to the worker's disc due to the nature of his work being performed on 1 March 2013. As stated previously, I do not accept the factual basis relied upon by the doctor in this regard to be accurate. Dr Jackson accepted upon the history provided by the worker that his clinical presentation on 1 March 2013 and on 2 March 2013 up until the time that he commenced his journey home, was consistent with a non-specific low back pain or perhaps an intermittent indication of the underlying degenerative condition. There is then the history of the sudden, intense, knife like pain and sciatica when the worker gets home. Dr Jackson accepts that this describes a prolapsed disc. This description bears no resemblance to the worker's pain during the period 1 March 2013 and 2 March 2013 up until the point that he left work."
"66 The analysis required by s9A is as to causality not consequence. In the typical 'last straw' case the ultimate event may be relatively minor in the chain of causation but actualise quite severe incipient consequences. ...
67 The provision is concerned with the causality, not the consequence, of injury. The relevant substantial factor is to be identified in relation to the cause of the injury and not in relation to the incapacity or loss. You cannot look to the severity of the consequence of even an immediate cause as a guide to its substantiality as a cause. In the typical 'last straw' case the incident may be seen as having catastrophic consequences, as far as effects are concerned, yet have played a minor part in bringing about the injury as such. The very term 'last straw' connotes the very concept - the real causes are the other antecedent straws, this incident was just one straw too many but, nonetheless, but one straw among many_._"
"40 His Honour also addressed the meaning of 'substantial' identifying the degree or weight of contribution that such term denoted. In our legislation this has been addressed by using the term 'major or most significant' which, in my view, denotes that the relevant work contribution must be the most important or of the highest level amongst other possible causes or contributors of injury."
"41 Taking all matters into account it is arguable that the onset of pain at work on 1 March 2013 was an exacerbation of the underlying degenerative back condition. This, however, is likely in normal circumstances to have been transient and in that regard I accept the opinion of Dr Ruttenberg and note the concession by Dr Jackson that incidents of non-specific back pain may reflect underlying pathology and usually settle down. For the reasons outlined the Tribunal was not persuaded that the process of disc prolapse commenced on 1 March 2013 as an ongoing aggravation of the underlying degenerative back condition. From the evidence from the submissions and the Tribunal's own knowledge_,_ it is accepted that a frank disc prolapse can occur in a degenerative spine and in particular where a disc is bulged. It is clear from the evidence that a minor event might initiate such a prolapse. On the evidence it is clearly open to find that the disc prolapse was the end point of a progression of the degenerative back condition in which case the disease itself would be the major or most significant contributor. Also it is open to find that there was a sudden prolapse during the drive home and/or whilst the worker attempted to alight from his car, such event might classify as a separate injury or of itself be an aggravation of the degenerative back condition. In that case the travel and/or the attempt to alight from the motor vehicle could be significant contributors together with the disease itself given the minor nature of the physical activity that may have initiated that prolapse.
42 The worker's employment duties over an extended period might well have contributed to the advancement of the degenerative condition but so would hereditary factors, aging, previous incidents/insults to the affected area, and social and recreational activities. It could not be said that the short period of work with the employer would, in those circumstances, be the major or most significant contributing factor. The Tribunal is not persuaded that the disc prolapse as a manifestation of the aggravation of the underlying degenerative condition commenced in the course of the worker's employment on 1 March 2013_._ It is an equally tenable explanation if not in fact more probable that the worker's condition on 1 and 2 March 2013 was either non-specific back pain or an exacerbation of the degenerative condition, and that the prolapse of the disc on 2 March 2013 was a separate event (on the background of pre-existing degenerate back disease) occurring whilst the worker was driving home or attempting to alight from his car at home_._ On balance noting other explanations of equal or greater likelihood, the Tribunal does not accept that the disc prolapse on 2 March 2013 was as a result of an aggravation of the worker's degenerative back condition occurring in circumstances to satisfy s3 and s25(1)(b)"
Grounds 8(ii), 9 and 10 - "injury" by aggravation of a pre-existing disease
"Speaking very generally [the extended definition of] 'injury' is directed to a worsening of the disease, the full descriptions apparently being selected in an endeavour to be comprehensive. ...
A disease which is progressive according to its nature may, by reason of external stimuli, have its progress accelerated. Before such acceleration can be found to have caused incapacity there must be more severe or additional symptoms arising from the acceleration which have produced an incapacity which would not otherwise have existed. In this event there is an incapacity caused by an acceleration of the disease. Symptoms in the case of a progressive disease however may be only evidence of the acceleration without producing in themselves any harmful effects, in which event there may be an acceleration of the disease with no present resultant incapacity.
On the other hand a disease once contracted may be of a chronic type not subject to any progress of any susceptible progress. If external stimuli or the general nature of the disease or both, caused the disease from time to time to produce symptoms which incapacitate then in ordinary language at that time the disease is said to be worse even although the worsening may be temporary only. ...
The word 'exacerbate' involves the concept of the heightening of the effect upon an individual as where his sufferings increase. There is an exacerbation of disease with the experience of the disease by the patient is increased or intensified by an increase or intensifying of symptoms. The word is directed to the individual and the effect of the disease upon him rather than being concerned with the underlying mechanism."
"The words have somewhat different meanings: one may be more apt than another to describe the circumstances of a particular case: but their several meanings are not exclusive of one another. The question each poses is, it seems to me, whether the disease has been made worse in the sense of more grave, more grievous or more serious in the effects upon the patient. ... The word 'acceleration' probably presupposes a progressive disease, one that, running its ordinary course, increases in gravity until the climax such as death or total invalidism is reached - its progress to this end result not being ordinarily susceptible of being permanently arrested, but susceptible of being hastened by external stimuli."
"7 ... I think there may be cases where the question of whether the employment was a substantial contributing factor is affected by whether one considers the work occurrence as an injury simpliciter or as an aggravation of a pre-existing condition. In some cases at least, where an injury simpliciter can be considered as having been contributed to by a pre-existing condition, the employment contribution to that injury could be diluted to that extent. However, if the same event can also be regarded as an aggravation of that pre-existing condition, then the employment contribution to the aggravation may not be diluted by the pre-existing condition (although the compensation would then be strictly limited to the effect of the aggravation). This seems to have been the view taken by the primary judge, and in my opinion he was not wrong in taking that view.
8 In my opinion however, even the aggravation in this case can be seen as contributed to by dehydration resulting from the previous day's consumption of alcohol, which I would not regard as part of the respondent's pre-existing condition. The question remains whether the primary judge was in error in holding that the work-related dehydration was a substantial contributing factor. In my opinion, the primary judge was correct to disregard the long history of smoking used ... to dilute the employment contribution, because that long history was part of what gave rise to the pre-existing condition. ...".
"63 These submissions are misconceived. They fail to recognise that in the circumstance concerning an integer dealt with by s 4(b)(ii) (such as an aggravation of a disease) the only compensation is for the effect of the aggravation and not for the effect of the original non-aggravated disease.
"26 The words 'aggravation, acceleration, exacerbation or deterioration of any disease' in s4(b)(ii) and the substantially identical expression in ss9A and 16(1)(b) were said not to be apt to include the worsening of the disease by its natural progression. Thus, if, as here, the worker's condition worsened after the first injury by reason of the (deteriorating) course of the condition, that is to be seen as the disease itself manifesting its natural progress, not the aggravation, acceleration, exacerbation or deterioration of the disease. The worsening of the disease captured by each of the four words chosen by Parliament does not and cannot, it was submitted, include the natural course of the disease. In effect, it was submitted that each of these words only encompasses the worsening of the disease brought about by external stimuli. Thus, it was submitted the Presidential member's assessment of the evidence by reference to the possible role of the 'constitutional factors', as he did in [48] and [49], was a legal error, because it was the taking into account of a consideration which the WC Act required not be taken into account.
"This approach is also contrary to one (as propounded by Mr Cook) that would exclude entirely from consideration as to the content of any of these words all aspects of the progress of the disease or condition or of its symptoms that are referable to the natural progression of the disease or condition, and that are not attributable to external stimuli. Kitto J thought that 'exacerbate' concerned the effects which the disease produces in the person, that is the manifestations of the harmful or painful symptoms. This was an ordinary concept to be applied to the person in question and his condition. The relevant enquiry is whether employment was a contributing cause to that exacerbated disease. The exacerbated disease was not defined by the causal connection with external stimuli. That is, the exacerbation was not limited to the worsened state that could be attributed to external stimuli."
"49 The argument of Mr Cook that each of the words 'aggravation', 'acceleration', 'exacerbation' and 'deterioration refers only to the additional change to the state of the disease or its symptoms and the suffering or effect they produce on the person that are caused by external stimuli and does not encompass the natural progression of the disease or its symptoms is not consistent with the approach in Federal Broom. It is also not conformable with the ordinary meaning of these words, which imports the notion of worsening, although, as counselled by Kitto J, to be understood as expressed in the four particular words used. The argument is also contrary to the terms of s9A. The terms of s9A(2)(d) and (e), in particular (d), reflect the place that the progression or state of the worker's condition may play in any analysis: see in this regard, the analysis of s9A by Mason P in Mercer.
"The worker's employment duties over an extended period might well have contributed to the advancement of the degenerative condition but so would hereditary factors, aging, previous incidents/insults to the affected area, and social and recreational activities. It could not be said that the short period of work with the employer would_, in those circumstances,_ be the major or most significant contributing factor".
Grounds 1, 2, 3 and 5 - the Commissioner's approach to the facts
"1 The Tribunal erred in law by ignoring or failing to take into account the system of work and duties of work carried out by the Worker in determining whether the employment was a contributing factor to the injury for the purposes of section 25(1)(a) of the [WR&C] Act or the underlying disease for the purposes of section 25(1)(b) of the Act.
"17 ... I do not accept that this is an accurate understanding of the system of work with a general outline provided by ergonomist Professor Caple [sic] and specific evidence by Mr Jones, an experienced mechanic, being consistent with my own experience and observations of motor mechanics at work. The work being performed by the worker on the relevant days did not involve any prolonged period working in a confined space, there may have been some lifting and twisting but there was also the opportunity to alter posture regularly during the course of performing any specific duty."
"... Emphasis was placed upon the asserted pressured work environment, the lack of breaks, the constant and numerous requirements to bend, twist, arch, work in confined areas and lift to establish a likelihood that such an aggravation could occur given this taxing of the worker's lower back. I repeat comments made earlier, that I do not accept that the workplace was as taxing as described by the worker or that there were few opportunities for breaks. The worker was a heavy smoker and I do not accept in those circumstances that he was able to take only three cigarette breaks per day. As also described previously, the very nature of the work allowed ongoing changes of posture and, as assessed by Professor Caple [sic], the workplace does not present as inherently unsafe."
Ground 6 - other potential contributory factors
"6 The Tribunal erred in law ... by taking account of other potential contributory factors which were speculatory rather than established on the evidence."
"16 The Tribunal erred in law in holding ... that 'the Tribunal is unable to give any appreciable weight to the significance of this incident (the stool incident) as it was not conveyed to Dr Jackson or apparently Dr Dubey'."
[1] "Disease" is defined as meaning "any ailment, disorder, defect, or morbid condition, whether of sudden or gradual development".
[2] The par (b) definition of "injury" was first introduced in July 2001. Before that, "injury" was simply defined as "including a disease".
[3] Having found the case after I reserved my decision, I had the parties notified of it. I invited, and received, written submissions about its application from both parties.
[4] Kmart submits that the Tribunal's duty is akin to that of the Commonwealth Administrative Appeals Tribunal, and it will have discharged that duty "if its reasons disclose its findings of fact, the evidence on which they were based and the logical process by which it moved from those findings to the result in the case": Secretary, Department of Employment and Workplace Relations v Homewood [2006] FCA 779 per French J at[40].
[5] In Hobart City Council v Resource Management and Planning Appeal Tribunal [2007] TASSC 99, the Full Court held that Yusuf applied in the interpretation of the section of that tribunal's Act which required it to give written reasons. The provision was in similar terms to that considered in Yusuf. Section 61(3) of the Act does not specify the content of the required reasons. Kmart submits that it is less prescriptive although it did not further advance this point.
[6] In Civil Aviation Safety Authority v Central Aviation Pty Ltd [2009] FCA 49; (2009) 253 ALR 263, Perram J observed that it was the decision, not the accompanying reasons, which was the subject of an appeal. The reasons have no legal consequences in themselves but provide material from which arguments about the correctness of a decision may be crafted; the legal relevance of reasons was derivative from the decision, and it follows that the legal requirements attending the production of reasons need have no necessary connection with the legal requirements attending the decision: 271 [31] and [34].
[7] An illustration is provided by Gulf Industries Pty Ltd v Barnett (1996) 6 Tas R 142. The ground of appeal complained of a failure to determine whether a state of affairs existed within the meaning of a particular provision. Zeeman J referred to the requirement to give reasons, and held that there was a failure to make findings of fact necessary for the application of the correct legal test to be applied. That was said to be an error of law: see 150-154.
[8] Reported in [1999] TASSC 131; 9 Tas R 62, but not on this point.
[9] Reported in [2000] TASSC 144; 9 Tas R 397, but not on this point.
Long
Kmart Australia Ltd [2016] TASSC 6
(2006) 68 NSWLR 451
(1964) 110 CLR 626
(1996) 6 Tas R 142
(1967) 116 CLR 537
(1959) 102 CLR 482
(1962) 110 CLR 617
(1967) 117 CLR 19
(1940) 64 CLR 538
(1989) 167 CLR 533
(2000) 48 NSWLR 740
(1994) 4 Tas R 156
(1996) 185 CLR 259
(1993) 2 Tas R 246
(2000) 9 Tas R 397
(2001) 206 CLR 323
(2013) 252 CLR 480
(1987) 10 NSWLR 247
(2003) 215 CLR 518
(1997) 80 FCR 453
(1993) 3 Tas R 19
(1985) 4 NSWLR 139
(2009) 168 LGERA 1
(2009) 253 ALR 263