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[2003] HCA 27
High Court of Australia
2003-05-28
Kirby J, Callinan J, Gleeson CJ, Callinan JJ, Gummow JJ
Original judgment source is linked above.
PT LIMITED as trustee for McNamara Australia RESPONDENTS
On appeal from the Supreme Court of New South Wales
D F Jackson QC with A S Morrison SC and A C Casselden for the appellant (instructed by Maurice Blackburn Cashman)
B W Walker SC with P S Jones for the first respondent (instructed by PricewaterhouseCoopers Legal)
Notice: This copy of the Court's Reasons for Judgment is subject to formal revision prior to publication in the Commonwealth Law Reports.
Appeal - Rehearing - Causation - Conflict of expert evidence - Review of trial judge's finding of fact - Where plaintiff fell and suffered physical injuries as a result of tortfeasor's negligence - Plaintiff suffering from persistent psychologically disturbed condition - Whether psychological condition caused by fall.
Negligence - Damage - Causation of - Evidentiary foundation for proof of - Existence of multiple causes of damage - Obligation of plaintiff at trial to prove damage - Sufficiency of proof that the alleged tortfeasor's conduct was a cause of the plaintiff's damage - Alleged disproportion between the tortfeasor's conduct and subsequent symptoms - Whether plaintiff malingering - Obligation of tortfeasor to take plaintiff as it finds him or her.
Evidence - Evidentiary presumptions - Multiple causes of damage allegedly occasioned by tortfeasor's negligence - Evidentiary onus of tortfeasor to exclude the operation of its wrong as a cause of continuing damage - Relevance of factual findings made at trial - Whether alleged tortfeasor has displaced the causative effect of its injury.
"In this lady's case my interpretation of her problems is that she had an original injury from which she appears to have made a very satisfactory recovery from the surgery but she would have had scar tissue in and around the spine where that repair was done and the potential to have a trigger point there. For a period of at least 18 months she claims she was symptom free prior to the fall which occurred in April 1988 and from that point she obviously had an exacerbation of back pain and leg pain which ... was disabling but certainly had not reached the level of disability which subsequently occurred with her paraplegia. The three main psycho-social episodes that you describe could well have sensitized this lady to becoming more profoundly disabled than she would have been had those particular [episodes] not occurred but may have occurred had other particularly emotional crises occurred, different to the ones you describe. So that here we have, I believe, a very reasonable scenario of a physical disability and coupled with the complexity of emotional crises which are understandable and which led this lady to present as profoundly paraplegic which we know is not from an organic cause. In my opinion the main trigger point for this present level of serious disability is the fall that she had on 2 of the fourth 1988."
"Dr Yeo rises no higher than Dr Phillips, Dr Phillips withdrew his opinion in cross-examination, and Dr Dyball's opinion was that the fall was not causative."
"If the fall only caused a temporary aggravation of the [appellant's] degenerative condition for some 12 months or so, her pain thereafter was not caused by the accident, but by her underlying condition for which the [respondents were] not responsible."
"I find that the [appellant] suffered severe back pain as a result of the fall, probably mainly at the sites of previous surgery, and I find that this pain due to physical factors continued to some degree for approximately twelve months after the fall ... I also find ... that she has continued to experience back pain and leg pain from time to time as a result of degenerative disease of the lumbar spine. I find that this degenerative disease was aggravated by the fall of 1988."
"The psychological factors would not have manifested as they did without the back pain. While it may be true to say that had she not had back pain the plaintiff's psychiatric disorder would have displayed itself in some other way that seems to me to be beside the point. She did have back pain. Just as frequently psychological complications occur in the recovery from physical injury, so this case is in principle no different. I find the plaintiff's conversion disorder caused by a variety of factors, including the fall in 1988 in respect of which the plaintiff sues."
"The causation of the plaintiff's conversion disorder was a matter within Dr Phillips' specialty and outside that of Dr Yeo. After the cross-examination of Dr Phillips, the Judge could no longer act on the evidence of Dr Yeo on the causation question … because Dr Yeo had relied heavily on the opinion expressed by Dr Phillips in his original report … Nor could the Judge act on Dr Phillips' opinion, given in his evidence-in-chief, that the fall was 'the sentinel event in the causal chain' … because he had withdrawn that opinion during cross-examination."
"I believe the accident in the shopping centre and the course which followed remains of very great significance aetiologically."
"Q What you would really prefer to do doctor is to see this lady again, armed with all this additional information … is that right?
"If the injury proves more serious in its incidents and its consequences because of the injured man's condition, that does nothing but increase the damages the defendant must pay. To sever the remaining leg of a one-legged man or put out the eye of a one-eyed man is to do a far more serious injury than it would have been had the injured man possessed two legs or two eyes. But for the seriousness of the injury the defendant must pay."
"If the disabilities of the plaintiff can be disentangled and one or more traced to causes in which the injuries he sustained through the accident play no part, it is the defendant who should be required to do the disentangling and to exclude the operation of the accident as a contributory cause. If it be the case that at some future date the plaintiff would in any event have reached his present pitiable state, the defendant should be called upon to prove that satisfactorily and moreover to show the period at the close of which it would have occurred."
"Dr Graham Arthur Edwards, a psychiatrist, appeared to discard his original diagnosis. On hearing of aspects of the [appellant]'s evidence he thought she might be suffering from a conversion disorder or chronic hysteria, to which her husband's death and subsequent family squabbles over the family home may have contributed. Dr Edwards indicated that treatment for such disorder would have to be individually tailored for the [appellant]'s various symptoms and the precise causes of the disorder - including treatment by medication of the associated depression, working out the psychosocial factors such as fear of being thrown out of her own home and alleviating that fear, and encouraging walking again through a rehabilitation program of physiotherapy and graded exercise embarked upon with an attitude that recovery is possible.
Dr Malcolm Dent, psychiatrist, also gave evidence. He saw the [appellant] in September 1995 and considered a questionnaire she had completed at his request a little later. He diagnosed a chronic pain disorder of which at least fifty percent was made up of psychological factors. He agreed that for the [appellant] to say that she could not use her legs but to be able to crawl is bizarre behaviour, but he thought that she genuinely believes in her pain and disability. He thought the longer the duration of the disorder the more powerful would become the psychological issues, making reversal of the disorder more difficult. Nevertheless, Dr Dent reported a recovery success rate of sixty percent to seventy percent in dealing with people who have chronic pain disorder and have had it in a disabling fashion for twenty or thirty years. He added that by recovery he meant not cure but relief of suffering and some acquisition of autonomy over life. He thought there was a moderate chance of recovery of the [appellant]'s physical function. When pressed he said the likelihood that she will recover walking is low. Later he said the prognosis for the [appellant] is poor. Dr Dent also thought that she was not malingering although he indicated that he could not be certain of this and would need further information.
Dr John Yeo gave evidence. He is a consultant in spinal medicine and surgery. He saw her on 29 April 1999. He thought the predominant trigger of her complaint of pain was the fall on 2 April 1988. He also thought there was a substantial psychological disorder associated with her presentation. Her symptoms and signs are bizarre. It was not possible for Dr Yeo to identify specific pathology at various areas in her body that would be causing the symptoms. He did not think she was malingering.
Dr Yeo's interpretation of the [appellant]'s problems is that '... she had an original injury from which she appears to have had scar tissue in and around the spine where that repair was done and the potential to have a trigger point there ... from [the fall] she obviously had an exacerbation of back pain and leg pain which was disabling but certainly had not reached the level of disability which subsequently occurred with her paraplegia ... psychosocial episodes ... could well have sensitised this lady to becoming more profoundly disabled than she would have been had [they] not occurred but may have occurred had other particularly emotional crises occurred ... physical disability ... coupled with the complexity of emotional crises ... led this lady to present as profoundly paraplegic which we know is not from an organic cause'.
Dr Yeo thinks the [appellant]'s condition is permanent. Dr Yeo agreed that although the crawling activity of the [appellant] could explain the lack of significant muscle wasting in the [appellant]'s thighs, it could not explain the lack of significant muscle wasting in the [appellant]'s calf muscles. He further agreed that this lack of significant muscle wasting was inconsistent with the [appellant] being confined to a wheelchair for most of the time. He said there is no question that the muscles are being used. The [appellant] is using and moving her lower legs despite her saying she cannot do so.
Dr Jonathan Phillips, consultant psychiatrist, gave evidence. He thought that the [appellant] might be suffering a conversion disorder. He thought the 1988 fall was 'the sentinel event in the causal chain'. That accident was '... the psychological trauma of principal importance'.
Dr Phillips did not think the [appellant] was malingering. He thought that if she was suffering from conversion disorder treatment would be very difficult, but that movement in the supposedly paralysed limb was a good prognostic sign. Dr Phillips was tentative as to all his conclusions, stressing that this was a very unusual case.
Dr Peter Brimage, consultant neurologist, gave evidence. With the possible exception that he did not see the value of psychiatry in helping the [appellant] to walk his views appear to coincide largely with those of Dr Yeo.
Dr A L G Smith, orthopaedic surgeon, also gave evidence. He concluded that the [appellant] was fabricating physical signs and that from an orthopaedic point of view there was not very much wrong with her. However, in the field of psychiatry he defers to psychiatrists. He did note that she had calluses on her feet, seemingly inconsistent with the [appellant] not using her feet to walk.
Dr Fernando Roldan, a consultant clinical psychologist, gave evidence. He thought it more likely than not that the [appellant] was not consciously exaggerating or fabricating her symptoms. He also thought it more likely than not that she was suffering a 'conversion type disorder'. He was guarded as to prognosis but suggested some general strategies for the resolution of the condition.
Dr Kenneth Dyball consulting psychiatrist, gave evidence. He saw her at her home on two occasions. He eventually came to the view that a theoretical case could be made out that she was suffering conversion disorder as a result of 'a need that had come about by virtue of her grief over the death of her husband, the potential loss of her home, the need to be cared for and looked after'. He thought the fall in 1988 may have provided the focus for the site of the possible conversion disorder. If she is suffering conversion disorder he thought her prognosis appalling, but he regarded it as possible that she might walk again if she felt she could get better perhaps by being able to buy her own home and have independence.
Dr John Shand, consulting psychiatrist, gave evidence. He saw the [appellant] on three occasions. He came to the conclusion that she was either malingering or she was suffering conversion disorder. He thought it more likely that she was malingering.
Ms Kathryn Bolger, occupational therapist, gave evidence. She visited the [appellant] with a colleague at her home to assess her needs. A videotape was produced showing the [appellant] at times during that visit. During the visit and on the videotape the [appellant] demonstrated an ability to use muscles and move her legs in ways entirely inconsistent with what she said she could not do.
Two reports of Dr Wendy Roberts, clinical psychologist, are in evidence, dated 27 April 1999 and 4 June 1999. She comes to the conclusion that malingering cannot be excluded, and that the chief problems of the [appellant] predated the 1988 fall which is of little significance in the development of her emotional problems and chronic depression with which she now presents. In her opinion this depression is not attributable to the fall, but to pre-existing factors and mainly her guilt over having administered what is said to be 'excessive' morphine to her husband and which according to Dr Roberts, killed him. I should note at this stage that much time of the case was spent on this issue. There is no evidence that the morphine killed the [appellant]'s husband, nor that the amount given was excessive in any way. However, it is clear that the [appellant] was asked by hospital staff to assist in giving it to him orally and that she felt for a time that it may have played a part in his death and because of this and perhaps other factors felt some guilt about his death.
There is an enormous amount of historical material including medical material, in evidence much of which has been summarised or extracted by the various experts already referred to. Other expert medical reports are in evidence, but those to which I have referred represent the range of views and reasons for coming to those views."
"I have come to the conclusion on the balance of probabilities that the [appellant] is not malingering. I base this finding mainly on these factors: she has calluses on her knees, indicative of regular and therefore unobserved crawling; and she demonstrated to a number of experts her methods of movement without attempting to hide the fact that she was able to use her leg muscles. In other words her behaviour has been consistent. I also take into account the way the [appellant] presented in court and the evidence of her daughter Tracey in coming to the conclusion that she is not malingering."
"What is the prognosis? I have wrestled with this. There appears to be a diversity of views to some extent, with some treatment options being supported as possibly leading to recovery of the walking function. It is fair to say, however, that the predominant view is that recovery prospects are not good. I must consider that in the context that no appropriate treatment has been tried. It does not appear to me that any attempt has been made to confront the [appellant] with her ability to use her leg muscles in a treatment context. By 'confront' I mean nothing more than an attempt to persuade her, possibly over considerable time, that she can use her legs in ways she has not realised and has previously denied, this seeking to encourage a belief, eventually, that she can walk. It is an affront to common sense and to the dignity of the [appellant] that she should be left untreated and not walking, when in fact she could walk if she wanted to.
I prefer to proceed to assess damages on the basis that the [appellant] is likely to recover, given sympathetic appropriate treatment. I base this on the fact that she has not ceased to use the muscles in her legs, that it can be demonstrated to her that she is capable of walking and that in my observation of her in the witness box she is of sufficient intelligence and potential insight as to be capable of responding to an appropriate treatment regime. However it may take considerable time and I have allowed a period of ten years, roughly equivalent to that taken to get to this point in her condition."
"Having found that the [appellant] was not a malingerer, the Judge concluded that she suffered 'some kind of conversion disorder' which arose 'from unresolved psychological conflict'. This involved various aspects of the aftermath of her husband's death, mainly the Judge thought because of her fear of being thrown out of the family home. He then asked himself whether this disorder was caused by the fall. He referred to Dr Yeo's evidence that 'the main trigger point for this present level of serious disability is the fall', to Dr Phillips' opinion that the fall was 'the sentinel event in the causal chain', and to Dr Dyball's opinion that her ongoing back pain provided a focus for her psychological problems.
He found that the [appellant] suffered severe back pain as a result of the fall and that her pain due to physical factors continued in some degree for approximately 12 months after the fall. He also found that the fall aggravated her degenerative disease in the lumbar spine but as I read his judgment he found that this was only a temporary aggravation. That was certainly the opinion of Dr Sengupta, her treating surgeon. The Judge also accepted Dr Smith's evidence that the [appellant] continued to experience back and leg pain from time to time as a result of the degenerative disease in her lumbar spine.
The Judge said that it seemed to him that the [appellant]'s slide into her full-blown bizarre symptoms of psychiatric disorder commenced at some stage in 1988 when she began the use of a walking stick and her husband became very ill 'or at the latest on or shortly after his death on 1 January 1989'. He thought that the psychological and physical factors then became intertwined."
"The psychological factors would not have manifested as they did without the back pain. While it may be true to say that had she not had back pain the [appellant]'s psychiatric disorder would have displayed itself in some other way that seems to me to be beside the point. She did have back pain ... I find the [appellant]'s conversion disorder was caused by a variety of factors, including the fall in 1988 in respect of which the [appellant] sues."
"The [appellant] told the psychiatrist at Blacktown Hospital that her husband had received too much morphine administered by her and she had been left with 'tremendous guilt'. A nursing sister had handed her the morphine tablet or tablets to give to her husband and she came to believe that this dose was associated with his death. She blamed herself for not questioning the nursing sister who gave her the morphine, because she realised two days later that this was an increased dose. She did not learn until she saw a Dr Ruppin in 1991 that his dose of morphine had been increased that day from every four hours to every hour and that the nursing sister should never have asked her to give the dose to her husband."
"The records for her admission on 7 March 1991, more than two years after his death, refer to her grief reaction, her guilt feelings, depression, loss of appetite and weight loss. The consultant psychiatrist found that at that time she had a complicated or unresolved bereavement. Her grief reaction was mentioned again in the records for her admission on 26 March 1991.
She was admitted to Westmead Hospital on 16 September 1993, four and a half years after her husband's death, and the nursing notes for the following day recorded: 'Husband passed away 4 years ago teary and hugging to his beret in bed'. The [appellant] said that she continued to carry her husband's beret around with her until 1994 or 1995. Her daughter was not aware of this but said that her mother always takes her husband's photograph everywhere."
"The Judge found that a conversion disorder is based on an unresolved psychological conflict and this finding was supported by the evidence of Dr Phillips, Dr Dyball, and Dr Roldan. The obvious candidate for unresolved psychological conflict was, as the Judge indeed found, the death of her husband, how it occurred, her role in it and its aftermath in family conflict. This conclusion is supported by the marked contrast between the [appellant]'s normal presentation at Blacktown Hospital in November 1988, her distressed presentation at that Hospital in May 1989, and her bizarre presentation recorded by Dr Smith in April 1990, and by Dr Sinclair in June 1990.
The Judge's conclusion that a causal link was established between the fall and the conversion disorder was not based on his findings as to credit. It was an inference he drew from his primary findings with the benefit of the expert evidence he referred to. As such it is open to review on a re-hearing in accordance with the principles considered in Warren v Coombs[44].
When the Judge's findings, that the [appellant] was suffering from a conversion disorder, that this was caused by unresolved psychological conflict, and in her case this involved various aspects of the aftermath of her husband's death, are read with the whole of the evidence of Drs Yeo, Phillips, and Dyball, the proper conclusion may well be a positive finding that the fall in 1988 was not a cause of the [appellant]'s conversion disorder.
However, it is not necessary for this Court to go that far and it will be sufficient for this Court to decide on those other findings and that medical evidence that the [appellant] did not discharge the onus of proving a causal link between the fall and her conversion disorder. ... Compare Rhesa Shipping Co SA v Edmunds[45]. The appeal therefore succeeds and the judgment entered by the trial Judge must be set aside.
As a result of her fall the [appellant] suffered soft tissue injuries to her back. Dr Sengupta thought these involved a temporary aggravation to her degenerative condition which would resolve within 12 months. The [respondents were] not responsible for the [appellant]'s pre‑existing degenerative condition, or for its progress, apart from the temporary aggravation. The [appellant] is entitled to damages for this temporary aggravation of her back condition."
"Q: Well, let me put it this way. It is not unusual for somebody with a conversion disorder to deny or regard as having little significance the very psychological conflict which might have brought about the disorder?
A: We are moving steadily into the area of conjecture and psycho dynamics. Yes, one could state that and I would agree that a person with conversion disorder, and I might add that conversion disorder is comparatively rare, sometimes appears indifferent to the conversion symptoms.
Q: So the fact that she says to you: Look, I'm not worried now about my husband's death, doesn't of itself mean that that may not have been a very important factor in the conversion disorder?
A: Well, I'm prepared to accept the hypothesis, and it is no more than a hypothesis, that the death of her husband remained a painful matter for her. On the other hand, I would not like to disregard entirely what this lady told me.
Q: I will come back to those matters but did you know that as at the 13th of March 1991 she was seeing a psychiatrist in Blacktown Hospital? Did you know that?
A: I'm uncertain of that. She was seeing Dr Edwards but I don't believe at the hospital.
Q: Did you know that she was expressing concerns that her husband had died as a result of receiving too much morphine administered by her and that she was left with tremendous guilt?
A: My understanding was in fact she was concerned even prior to that, that she was, as it were, the person who administered the morphine and this was not a role that she felt comfortable with.
A: I found that out subsequently on reading a number of other documents that were put to me.
A: Last night when I read a number of documents that were put to me.
Q: So up until last night, you knew nothing about the administration of morphine to the husband by her?
Q: You didn't know that she felt tremendous guilt associated with that?
Q: Did you know that around about this time in April 1991 she was presenting to a physician in a depressed state, feeling that the medical community had let her down and she had not been provided with sufficient grief counselling?
Q: Did you know that as at that time, April 1991, she was obviously hyperventilating?
Q: Did you know that she was presenting with obvious grief and guilt about her husband's death?
Q: This is in April 1991, shortly after the incident I put to you at Blacktown Hospital when she saw the psychiatrist?
Q: Doctor, someone who was concerned that their husband with whom apparently she had a close relationship had died as a result of receiving too much morphine administered by her and who was left with tremendous guilt more than two years after the death of the husband is not someone who had apparently got on top of things after six months following the death of their husband?
A: If the chronology is correct and in fact she was expressing guilt elsewhere two years after the death of her husband, then obviously I have to reconsider the stressor, the death of her husband.
Q: The death of the husband in the circumstances I have just mentioned to you is capable of causing an unresolved psychological conflict, isn't it?
Q: Indeed, just dealing with the matters I have put to you, that is the March 1991 account from Blacktown Hospital and then the April 1991 account, that looks exactly as though that has happened, doesn't it?
Q: It is exactly the sort of unresolved psychological conflict which can bring on a conversion disorder, isn't it?
Q: It is often difficult, isn't it, determining the aetiology of a conversion disorder?
A: Extremely difficult, there is no doubt about that because not only are you looking back in time but you are looking at a complex process."
"Q: And doctor, would it be the situation that to really work out this riddle, and with all due respect it is a bit of a riddle as to exactly what's going on here, isn't it?
A: I think riddle is - I could only agree with you. This is a most difficult case.
Q: What you would really prefer to do doctor is to see this lady again, armed with all this additional information which you didn't have until last night and indeed, some of which I don't think you had until I put it to you, is that right?
Q: Sit down and work through all that with her and it would only be at that point in time, wouldn't it, that you would be able to say with any confidence (1), what condition this lady has, and (2), what the aetiology of that condition is?
A: Well you are perhaps even a little bit more optimistic than I would be. I certainly agree that armed with additional information to go back and carry out a further examination would be very useful. Whether I could achieve those two end points I'm not quite sure but I would probably be in a stronger position that I am now.
Q: So that even armed with that additional information it still might not be possible to work out exactly what her diagnosis is and what the aetiology of the condition may be?
A: Yes. I think it's true to say that some diagnoses are harder to reach and to substantiate than others and conversion disorder is a diagnosis that is approached when most others are eliminated."
"It was, in effect, pointed out that it is not enough for the defendant merely to suggest the existence of a progressive pre-existing condition in the plaintiff or a relationship between any such condition and the plaintiff's present incapacity. On the contrary it was stressed that both the pre-existing condition and its future probable effects or its actual relationship to that incapacity must be the subject of evidence (ie either substantive evidence in the defendant's case or evidence extracted by cross-examination in the plaintiff's case) which, if accepted, would establish with some reasonable measure of precision, what the pre-existing condition was and what its future effects, both as to their nature and their future development and progress, were likely to be. That being done, it is for the plaintiff upon the whole of the evidence to satisfy the tribunal of fact of the extent of the injury caused by the defendant's negligence."
PT Limited v Shorey [2001] NSWCA 127 at [16]. ↑
PT Limited v Shorey [2001] NSWCA 127 at [15]. ↑
(1990) 171 CLR 167. That decision concerns the limits upon appellate disturbance of credibility-based conclusions reached at trial. ↑
PT Limited v Shorey [2001] NSWCA 127 at [72]. ↑
PT Limited v Shorey [2001] NSWCA 127 at [65]. See Fox v Percy (2003) 197 ALR 201 at 208 [25], 223 [87]; cf 233-234 [134]-[135]. ↑
PT Limited v Shorey [2001] NSWCA 127 at [67]. ↑
PT Limited v Shorey [2001] NSWCA 127 at [68]-[69]. ↑
PT Limited v Shorey [2001] NSWCA 127 at [100]. ↑
PT Limited v Shorey [2001] NSWCA 127 at [101] citing the reasons of the primary judge. ↑
PT Limited v Shorey [2001] NSWCA 127 at [102]. ↑
Reasons of the primary judge at 15 (emphasis added). ↑
PT Limited v Shorey [2001] NSWCA 127 at [57]. ↑
Shorey
PT Limited
(2003) 197 ALR 201
(1979) 142 CLR 531
(1989) 63 ALJR 349
(1990) 171 CLR 167
(1993) 177 CLR 472
(1999) 73 ALJR 306
(1991) 23 NSWLR 288
(1960) 108 CLR 158
(1991) 171 CLR 506
(1995) 182 CLR 1
(2001) 206 CLR 459
(1965) 114 CLR 164
(2002) 208 CLR 460