High Court of New Zealand
Nixon v. War Pensions Appeal Board and Auld
Appeal from the War Pensions Appeal Board
Before McGechan J
Heard - 1 March 1993 - Wellington, New Zealand
Judgment - 5 March 1993 - Wellington, New Zealand
Appeal dismissed
Mr Nixon, Secretary for War Pensions, was represented by C B Littlewood, instructed by the Crown Law Office, Wellington.
No appearance for the first defendant, which abided by the order of the Court.
Mrs Auld was represented by J A Langford.
The following judgment was handed down in Wellington, New Zealand on 5 March 1993-
McGECHAN J. This is an application by the Secretary for War Pensions for judicial review of a decision of the First Defendant War Pensions Appeal Board ("Appeal Board"). The late Mr Norman Auld (the "Claimant") served with teh New Zealand Army in the Middle East and Italy between 1941 and 1945. While on service he began to smoke, and continued to do so for teh remainder of his life. In the result, and many years sfter the War, he contracted emphysema and was consequently disabled. A question arises whether, in terms of s.19(1)(b) and associated provisions of the War Pensions Act 1954 ("the Act"), such disablement is "attributable to his service", so entitling him to a War Pension. The War Pensions Board said not. The War Pensions Appeal Board ("the Appeal Board"), in a decision dated 24 October 1989 and now reported (1990) NZAR 40, ruled in favour of entitlement, awarding a pension (to the Second Defendant, his widow) at 70% of total. This application for review, filed 24 May 1991, followed.
Certain points must be recorded at outset.
This is merely an application for judicial review under the Judicature Amendment Act (No 2) 1972. It looks at regularity of process, and whether the decision can be stigmatized as irrational. It is not a general appeal which re-examines the merits, substituting the Court's decision for that of the Appeal Board.
On the face of the proceedings, the Plaintiff seeks both a declaration the decision of the Appeal Board was "unlawful and invalid", and setting aside of the Appeal Board's decision. I was informed by counsel for the Plaintiff at outset of hearing that:
(a) the Plaintiff will continue to pay the pension to the Second Defendant widow, unless she becomes disentitled by reason of specific matters set out in the Act such as remarriage, regardless of outcome of this proceeding, in the light of which no order setting aside the Appeal Board's decision now is sought;
(b) there are cases which "may" be affected by outcome of the present case and guidance is sought to assist in future administration; in which light the declarations still are sought.
I immediately felt and expressed some concern in the light of decision to continue to pay to the widow, that the issue had become largely hypothetical. The Court is not an advisory body to determine hypotheticals. However, in the end I have thought it best in the public interest to continue. I would not want this or other pensions to be terminated merely to enable the issue to be tested.
The First Defendant Appeal Board very properly filed notice abiding decision. It did not file a statement of defence. That perhaps is regrettable, as in the absence of affidavits on either side the absence of pleading left factual matters open. However, very shortly before hearing a Record was filed. There was no prior direction to that effect, and impromtu filing in this fashion is not to be encouraged. However, it at least filled the evidential gap in relation to the Appeal Board, and as advised to counsel before hearing I have chosen to accept the Record as evidence of its factual content, largely if not entirely curing any factual uncertainties. This somewhat benevolent approach should not be taken as a precedent.
I feel obliged to record there was no transcript taken of oral evidence apparently given before the Appeal Board. The Chairman, I am informed, took a personal note, but that did not come before me. I must simply proceed on what I have.
The Statute
The pension entitlement turns upon s.19(1), read with sections 17(3) and 18 War Pensions Act 1954. The Appeal Board appears to have operated on the basis of those provisions as they stood prior to the amendment by the War Pensions Amendment Act 1988, in force 1 April 1989. There may be room for some doubt in that regard, given the existence of "substituted enactment" within s.20(g) Acts Interpretation Act 1924 and inferences possibly open from s.15 of the Amendment Act relating to Pension Board proceedings. I will leave the point open, as it is not presently material. The principal change made by the 1988 amendment was merely to substitute the Secretary for the War Pensions Board. Vital phrases were re-enacted intact. Like the Appeal Board, I will proceed on the basis of the unamended legislation.
The provisions concerned are as follows (there are no statutory definitions of "attributable", "conditions", or "disablement"):
Presumptions to Operate in Favour of Claimants for Pensions
17. Presumption that disablement or death attributable to service-(1) Where any claim for a pension under this Act is made by or in respect of a member of the forces who, on attesting for service or at any time thereafter, was medically graded as fit for service with the forces, the medical grading shall, except as otherwise provided in this section, be accepted as conclusive proof of the absolute physical and mental fitness of the member at the time of that grading, subject only to any physical or mental conditions qualifying that absolute fitness that may be specifically recorded in the medical record made at the time of the medical grading:
(2) ...
(3) In any case in which the foregoing presumption in favour of teh claimant does not for any reason apply or is not sufficient to establish his claim, the claimant shall be entitled to produce to a War Pensions Board or an Apeal Board, as the case may be, any evidence (whether strictly legal evidence or not) to show that the condition that resulted in the disablement or death of the member was possibly or probably attributable to or aggravated by his service with the forces in connection with any war or emergency, and if any reasonable evidence to that effect is produced there shall thereby be established a presumption that that condition was in fact attributable to or aggravated by the service of the member, and that presumption may be rebutted only by evidence that satisfied the Board that the condition was not so attributable or aggravated but was due entirely to other causes.
(4) ...
Rules to be Observed by Boards in Determining Claims
18. Boards not bound by rules of evidence, but must determine all claims in accordance with their merits-(1) In determining, in relation to any claim for a pension under this Act made by a member of the forces in respect of his disablement or made by any other person in respect of the disablement or death of a member, whether the disablement or death of the member was attributable to his service as a member or whether the condition that resulted in his disablement or death was aggravated by that service, a War Pensions Appeal Board or an Appeal Board, as the case may be, shall decide in asccordance with substantial justice and the merits of the case, and shall not be bound by any technicalities or legal forms or rule sof evidence.
(2) In the application of the general rule formulated in subsection (1) of this section the following particular rules shall apply-
(a) In no case shall there be on the claimant any onus of proviing that the disablement or death on which the claim is based was in fact attributable to the service of the member or that the condition that resulted in the disablement or death of the member was aggravated by his service:
(b) The claimant shall be given the full benefit of the presumptions in his favour provided for in section 17 of this Act:
(c) A War Pensions Board or an Appeal Board, as the case may be, shall be entitled to draw and shall draw from all the circumstances of the case, from evidence furnished, and from medical opinions submitted to the Board, all reasonable inferences in favour of the claimant, and the claimant shall, in every case, be given the benefit of any doubt as to the existence of any fact, matter, cause, or circumstance that would be favourable to him.
Grounds for Payment of Pensions
19. General provisions as to grounds for payment of pensions - (1) Subject to the provisions of this Act, pensions inrespect of the disablement or death of any member of the forces (whether occurring before or after the commencement of this Act) shall be payable under this Part of this Act to the members and his dependants (in the case of his disablement) or to the dependants of the member (in the case of his death) in any of the following cases, namely:
(a) In any case where the disablement or death of the member occurred while he was on service overseas as a member of the forces in connection with any war in which Her Majesty was then engaged, or in connection with any emergency, whether arising out of the obligations undertaken by New Zealand in the Charter of the United Nations or otherwise:
(b) In any case where the disablement or death of the member is attributable to his service in New Zealand or overseas:
(c) In any case where the condition that resulted in the disablement or death of the member was aggravated by his service in New Zealand or overseas:
Provided that, except with the approval of the Minister, no pension shall be payable under this Part of this Act in respect of the disablement or death of any member if, at the date of his disablement or death, he was a deserter from the forces or was absent without leave and was not in receipt of continuous pay as a member of the forces:
Provided also that where any claim for a pension is made by a member in respect of his disablement a War Pensions Board or an Appeal Board, as the case may be, may decline to grant a pension or may grant a pension at a reduced rate in any case where the Board is satisfied on reasonable evidence that the disablement of the member is attributable in whole or in part to his wilful misconduct during his period of service.
(2) In any case to which paragraph (a) of subsection (1) of this section applies, the disablement or death of the member, as the case may be, shall for the purposes of this Act be deemed to be attributable to his service as a member of the forces.
(3) ...
(4) ...
(5) ...
Evidence: Facts
The Claimant was born 3 November 1918. When War broke out in 1939 he was a labourer. He took an Army medical on 6 July 1940, including a chest X-ray, and was cleared as first grade. He enlisted in August 1940. As an incidental, on 21 November 1940 he married. After no doubt the usual military training, he left New Zealand for the Middle East as a member of 2 NZEF on 7 April 1941. He held the rank of Private, a rank which he retained for the duration. He saw service in the desert in the Middle East, and later in Italy, with 22 Battalion. He was wounded, in a presently immaterial manner, on 4 November 1942. He had no other significant casualty or medical history while overseas. He returned to New Zealand on 21 April 1945, a little more than 4 years after departure. On 5 October 1945 he was discharged. On discharge, he still had a first grade health clearance. Ther is no evidence of any chest X-ray at that point.
He joined the Army as a non smoker. That may have been unusual for a single labourer in 1940, when smoking was much more fashionable than at the present day, and certainly was prevalent amongst manual workers, but such is the evidence which was accepted. On the evidence, similarly accepted, he began to smoke in 1941. He remained a smoker from that point onward. There was ambple evidence led that the Army both made available, and facilitated availability of, cigarettes and tobacco for New Zealand troops abroad. The high point of the evidence is perhaps a letter from Lt Gen Sir Leonard Thorton, which says:
Cigarettes were issued to all men, usually on a weekly basis and without cost. I would estimate that the majority smoked their ration.
There was copious other evidence from newssheets and official histories pointing to the availability of cigarettes and tobacco from Naafi, and later indigenous New Zealand, canteens at concessional prices. The latter histories tend to demonstrate cigarettes often were made available to men when unwinding, particularly with food or refreshments, after difficult or dangerous military operations. There is even a sad tale of a badly wounded man who survived just long enough, as it was put, to have a cigarette as he died. There is associated evidence of procurement and availability through the National Patriotic Fund organisation.
It is clear, of course, that men were not ordered to smoke as part of military duty, and were not otherwise officially exhorted to do. In a sense, it was left over to men, the Army seeing to supply but doing no more. As Sir Leonard Thornton further stated:
They were no encouraged to do so by their Commanding Officers, but neither were they discouraged for health reasons ...
The claim that the men were 'not encouraged', while literally true, is perhaps a little disingenuous. It is notorious that attitudes to smoking in the 1940s and 1950s were very different to those prevailing amongst informed society today. Smoming was fashionable, and indeed expected. The non smoker was a comparative rarity. It is highly likely that free or cheap availability of cigarettes to young male soldiers under such conditions, and given peer pressure, would lead to smoking habits. The likelihood was higher, given the recognised anodyne effects of smoking upon the fears, exhaustions, and pains involved in military activity. Numbers in the end tell their own story. Smoking was seen by the Army as appropriate. The supply of cigarettes in such circumstances was likely, and must have been known to be likely, to increase smoking habits.
Following discharge in New Zealand on 5 October 1945 the Claimant lived in Lower Hutt, and proceeded, as did so many, belatedly to raise a family. He appears to have worked as a storeman. He continued to smoke. There is some evidence he tried to stop, but did not succeed. Apparently he claimed to have been unable to afford medical assistance, given the cost of raising a family. There are no findings by the Appeal Board on those latter matters. In 1977 he collapsed and was hospitalised. He ceased work soon afterwards, and on 28 December 1978 applied for a War Services Pension, noting the infirmity causing unfitness for permanent work as 'respiratory'. It seems he ceased work on 31 March 1979. He moved to Foxton in 1980. On 25 August 1987 he made the present application for a War Pension. On 9 November 1987 it was declined by the War Pensions Board, the decision being crypically recorded as:
Decline chest complaint emphysema not due to service. No record of any such complaint during service or on discharge.
This appeal was launched on 19 February 1988. The Claimant died on 2 November 1988 from a heart condition, after hearing had commenced.
Medical evidence supplied to the Appeal Board, apart from enlistment and discharge medicals, and service record, is opaque. Dr Saunders, the Claimant's GP until the latter's move to Foxton in 1980 (who also saw him once early in 1988 then referring him to Dr Watson a specialist) noted on 3 October 1988 that the Claimant had 'disabling chronic obstructive respiratory disease ... not helped by his cigarette consumption'. The doctor felt 'unable to really categorically state whether his service in the Desert contributed to these [various medical problems] but I feel that it is highly probable'. Dr Malthus of Foxton, who seems to have seen the Claimant in 1977 (possibly on the occasion of his collapse) stated on 22 February 1988 that 'his history extends back many years, and it is reasonable to suppose that military service initiated the early stages of the complaint'. Dr Watson, the specialist, who saw the Claimant on 9 March 1988, noted he suffered from chronic obstructive respiratory disease, as well as other heart and circulation problems. The doctor cryptically observed, 'in consequence in my opinion [he] deserves the consideration of the award of a War Service Pension, if not a War Disability Pension'. The total medical evidence clearly admits the possibility that (unspecified) aspects of military service may underlie his emphysema. There is no explicit reference to commencement of smoking, but such could well be tacit. There is no attempt to apportion significance of the 1941-1945 service period as against subsequent lifetime. No doubt there was some general awareness of requirements for War pensions, but there is no evidence of awareness of the niceties of 'attribution'.
Appeal Board Decision
The Apeal Board's factual findings, on that evidence, can be found at (1990) NZAR 47-48. A degree of uncertainty arises through the crucial passage commencing merely by recording the Claimant 'deposed' and 'contended'; but taken overall it is clear the Appeal Board not merely noted that evidence, but accepted it. In summary the crucial factual findings were:
(i) Prior to embarkation overseas the Claimant was a non smoker.
(ii) During his service overseas between April 1941 and April 1945 he started smoking and 'in due time' became an habitual smoker.
(iii) Smoking was 'tacitly encouraged' by the Army establishment:
(a) cigarettes were made available by the Army through canteens at nominal cost;
(b) cigarettes were provided 'in vast quantities' free of cost by welfare and patriotic agencies with approbation and support of the Army establishment;
(c) cigarettes were regarded in the services (and generally) as a 'sedative, if not essential' treatment for all forms of emotional levels (from ennui and boredom through to fear and shock after injury);
(d) the War novel and film invariably displayed the cigarette as 'the first recourse in aid' to injured or emotionally disabled servicemen.
(iv) The Claimant was 20, and was a non smoker before he went overseas. Having resisted peer pressure and allurements which encourage the young to smoke until that age, there was a 'distinct possibility, that, if his War service and its concomitants had not supervened he might never have smoked'. (I take the reference to 'concomitants' to cover at least (a)-(c) above.)
(v) While the Claimant was 'reasonably fit' on discharge (1945) he became progressively short of breath over the years to 1977.
(vi) The Claimant became afflicted with emphysema; a disablement which 'had its genesis in his smoking over the 35 years preceding its ultimate diagnosis'. The 'onset of emphysema occurred many years after his war service'.
(vii) The Claimant 'could have at any time given up smoking, and even when it became a habit or addiction' by exercine of willpower, with or without medical psychological help.
On these facts, the Appeal Board ruled:
(1) 'Attrubtable to' involved an element of causation; but the cause need not be sole or dominant. It suffices if the cause is one of a number, provided it is a contributing cause;
(2) there was a distinct possibility that if War service had not intervened the Claimant might never have smoked. (I pause to note this appears to be a finding for the purposes of s17(3)) that there was 'evidence' to show the condition resulting in disablement was 'possibly' attributable to service);
(3) evidence as to attitude to smoking within 2 NZEF, and as to the Claimant forst commencing to smoke in that climate was 'reasonable evidence within the terms of s17(3)'. It showed the Claimants emphysema was 'possibly attributable to his service with the forces'. It satisfied the prerequisite requiring 'connection with' the War;
(4) the s17(3) presumption as to 'attributability' applied in the Claimant's favour unless the Appeal Board was satisfied the condition 'was not so attributable - but was due strictly (sic) to other causes'. (The word 'stricylt' appears to be an inadvertent substitution for the statutory synonym 'entirely'');
(5) the Appeal Board was not so satisfied;
(6) it followed 'disablement of emphysema is attributable to [Claimant's] service with the forces'. Pension entitlement followed.
Plaintiff's Case on Review
Plaintiff's case, as pleaded, put matters squarely on the basis of taking into account irrelevant considerations/failure to take into account (or sufficiently into account) relevant considerations/ms-direction in law. It will simplify analysis to quote verbatim:
14 THE grounds of the first defendant's decision were:
(a) The deceased's emphysema was a 'disablement' and
(b) such 'disablement' was 'attributable to his [war time] service', and
(c) as a consequence of (a) and (b) the deceased was entitled to a pension under the Act.
15 IN making its decision on the grounds set out in paragrph 15 of the statement of claim, the first defendant concluded that 'reasonable evidence' in terms of section 17(3) of the Act had been adduced before it, which 'satisfied' the first defendant that the deceased's emphysema was 'possibly attributable to his [war time] service'.
16 THE 'reasonable evidence' relied upon by, and adduced before, the first defendant was:
(a) Smoking was tacitly encouraged by the Army.
(b) Cigarettes and tobacco smoked by members of the Army, including the deceased, were readily available to Army personnel including the deceased.
(c) Cigarettes were regarded as a sedative by the Army.
(d) The portrayal by the popular media durin the deceased's war time service as the 'first recourse in aid' to the injured, wounded, or emotionally disturbed serviemen including the deceased.
17 THE matters referred to in paragrph 16 of this statement of claim were considerations which in law were irrelevant to the first defendant's decision and which the first defendant should not have taken into account, which it did.
18 IN making its decision, the first defendant did not regard as considerations relevant to its determination and the grounds of its determination, or failed to pay sufficient regard to such considerations, the following matters:
(a) The deceased chose to commence smoking duting his war time service.
(b) (i) the deceased's continuing to smoke after his war time service down to his death in 1988, or in any event for at least 35 years, and
(ii) the deceased's emphysema was attributable to his smoking after thewar, or was caused by the same, rather than the deceased smoking during his war time service.
(c) Whether the link between the deceased's war time service and his emphysema (if there were such a link, which is denied) was broken at any time down to the deceased's death in 1988.
19. THE matters referred to in paragraph 18 were relevant considerations which the first defendant ought to have taken into account in making its decision.
20 IN making its decision, the first defendant misdirected itself in law in that:
(a) The deceased's 'disablement' was not 'attributable to his [war time] service' but rather to his smoking simpliciter.
(b) Emphysema was a medical "condition', not a 'disablement' under the Act, as the first defendant found.
(c) The deceased's smoking was not an incident of his war time 'service'.
(d) In finding that '[it] is trite law to say that those having to do with service pensions that they have to take the subject as they find him' it need not consider the deceased's choice to begin and continue smoking.
In submissions, counsel for the plaintiff sought to argue further that:
There was no reasonable basis for the Appeal Board's decision in the evidence adduced, whatever the meaning of the expression 'attributable to his service overseas'.
This was not a mere 17(3) 'reasonable evidence' enquiry. Counsel added, orally, that the submission was a Wednesbury/Webster 'unreasonableness' ground. I stated, and confirm, doubts whether such a latter ground comes within the pleadings as above; but counsel for Second Defendant was not embarrassed, and I will consider the submission as extending in those terms.
The Plaintiff's case, as ultimately presented in argument, did not however focus on such formal relevant/irrelevant consideration categorisations. The words 'relevant' and 'irrelevant' were not emphasised. The thrust of primary submissions centred upon alleged 'misdirection' inlaw particularised in paragrph 20(a) above, and worked outward to bring in some other pleaded factors. To this extent, the case became perilously close to some form of case stated on a point of law. The thrust of secondary submissions was directed at s17(3) and Wednesbury unreasonableness.