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England and Wales Court of Appeal (Civil Division) Decisions |
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You are here: BAILII >> Databases >> England and Wales Court of Appeal (Civil Division) Decisions >> Allen & Ors v British Rail Engineering Ltd & Anor [2001] EWCA Civ 242 (23 February 2001) URL: http://www.bailii.org/ew/cases/EWCA/Civ/2001/242.html Cite as: [2001] ICR 942, [2001] EWCA Civ 242, [2001] PIQR Q10 |
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COURT OF APPEAL (CIVIL DIVISION)
ON APPEAL FROM THE HON. MRS. JUSTICE SMITH
Strand, London, WC2A 2LL Friday 23rd February 2001 |
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B e f o r e :
LORD JUSTICE MAY
and
LORD JUSTICE LATHAM
____________________
ALLEN & ORS |
Appellant |
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- and - |
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BRITISH RAIL ENGINEERING LTD. & ANR. |
Respondent |
____________________
Smith Bernal Reporting Limited, 190 Fleet Street
London EC4A 2AG
Tel No: 020 7421 4040, Fax No: 020 7831 8838
Official Shorthand Writers to the Court)
William NORRIS Q.C. & James PALMER (instructed by Kennedys for the Respondent)
____________________
Crown Copyright ©
LORD JUSTICE SCHIEMANN:
This is the judgment of the Court.
(i) Was the Judge right to rule that the employer was liable only for the excess damage attributable to its negligence or should she have ruled that the employer was liable for all the damage suffered by the employee during that period of employment as a result of doing work with vibrating tools?(ii) On the material before her, was the Judge entitled to conclude, as she did, that Mr Allen would have suffered some damage, even if the employers had not been negligent, and that this damage could be quantified as being half of the total damage suffered by Mr Allen from the use of vibrating tools after BREL were in breach of their duty of care to him?
(i) £1500 for the period prior to 1976(ii) £1500 for the period after 1987
(iii) £4000 (being 50% of £8000) for the period between 1976 and 1987.
"8. It has been recognised since the early years of this century that some men who regularly use vibrating tools for long periods will develop the condition or syndrome now known as VWF. The condition is similar in some respects to the constitutional condition known as Raynaud's Phenomenon … The constitutional condition is found in … between 3% and 5% of males. The characteristic symptom is the occurrence of attacks of blanching of the fingers due to deprivation of blood during spasm of the blood vessels. The attacks may affect all or only part of one or more digits. They may last for a few minutes or for an hour or two. While they persist, the affected digits are cold and numb. When the attack is passing the fingers commonly turn red and tingle or are sometimes painful. When the attack is over, the fingers return to normal. Attacks are precipitated by cold, especially coldness of the whole body as opposed to the hands alone. Some patients experience attacks in the feet or nose as well as the hands. Very occasionally indeed, the condition is serious and can result in gangrene of the finger tips. Although some doctors recommend treatment with vaso-dilators, the general view appears to be that the condition is untreatable. By a strange coincidence, several of the witnesses called on the first defendants' behalf, all male, suffer from constitutional Raynaud's Phenomenon. None suffers very seriously and each said that he regarded the condition as no more than a minor inconvenience.
9. The occupational condition, VWF, is progressive. Many months or years of vibration exposure may pass before any symptoms are noticed. This latent period varies according to the personal susceptibility of the workman and the vibration dose to which he is exposed. Typically, the initial signs are of transitory tingling or numbness. With more exposure, there will be episodes of blanching of the tips of one or more fingers. These episodes are usually precipitated by cold and are similar in their course and effects to the attacks experienced in the constitutional condition. Continued exposure to vibration may result in an increase in the number of digits affected and the affected area may increase until the whole finger goes white and numb during an attack. It appears that once this quite severe stage has been reached, further deterioration does not occur. The condition reaches a plateau stage and really serious consequences such as gangrene are virtually never seen. The vibration-induced condition is untreatable. Sufferers often complain that their enjoyment of outdoor sports and swimming and pastimes such as fishing and gardening is affected even to the extent that they give up the sport or pastime. In some case, there are neurological effects in addition to the vascular effects just described. Damage to the small nerves in the finger tips results in tingling and numbness, transitory in the early stages but gradually increasing with further exposure so that there may be loss of fine dexterity in the fingers. Once these neurological changes have occurred, they never abate, even though exposure ceases. However, it is thought that some spontaneous improvement in the vascular symptoms may occur following cessation of exposure. The degree to which improvement occurs depends on the age of the patient, the severity of the condition and the length of time for which he has been suffering. In general, the younger the man, the less severe the condition and the shorter the time he has suffered, the better his chances of recovery."
"12. The development of VWF is a gradual process; its severity is dose-related. The doctors agree that the physical damage to the blood vessels and nerves is a function of the vibrating energy transmitted to the hands and the time over which this takes place. Personal susceptibility also plays an important part. An unpublished study of groups of workers carried out by Professor Welsh showed, as one might expect, that symptoms developed earlier and deteriorated more quickly in men exposed to large doses of vibration than in those exposed to moderate does. Both groups showed a plateau effect when the symptoms had reached stage 3 of the Taylor-Pelmear scale. The graph of symptoms against time followed an "S" shaped curve for each group, but the curve was tighter and steeper for the more exposed group than for the less exposed. Although this work is unpublished, the first defendants do not doubt it validity. It is also agreed that once exposure to vibration has ceased, any further deterioration which is going to occur will show itself within a year of cessation or possibly two years at the most. It is not thought that there is any natural deterioration of symptoms with age....
19. Over the last 30 years, work has progressed on the assessment of the periods of time for which a worker may use a particular type of tool or tools without being exposed to an undue risk of developing VWF. This work has entailed the measurement of the magnitude of the vibration emitted by the tool, the estimation of the hours of use (which together establish the vibration dose) and the correlation of vibration dose to the incidence of the condition. When the initial technical difficulties in measuring vibration were overcome, there remained the problem of the correlation between doses and effect which has been difficult to establish by epidemiological study. Until such work was done, there could be no authoritative guidance to employers as to the amount of vibration to which an employee could be safely exposed."
Causation and apportionment : The issue of principle
"I think that the position can be shortly stated in this way. It maybe that, of the pneumoconiosis dust in the general atmosphere at the shop, more came from the pneumatic hammers than from the swing grinders, but I think it is sufficient to prove that the dust the grinders made a substantial contribution."
"As there was no evidence to show the proportions of the dust emanating from the various sources in the dressing shop inhaled by the pursuer, his case, it was said, must fail. The pursuer has, however, in my opinion, proved enough to support the inference that the fault of the defenders has materially contributed to his illness.... It was the atmosphere inhaled by the pursuer that caused his illness and it is impossible, in my opinion, to resolve the components of that atmosphere into particles caused by the fault of the defenders and particles not caused by the fault of the defenders, as if they were separate and independent factors in this illness. Prima facie the particles inhaled are acting cumulatively, and I think the natural inference is that had it not been for the cumulative affect the pursuer would not have developed pneumoconiosis when he did and might not have developed it at all."
"The starting point for any enquiry into the measure of damages is the principle that the Court should as far as possible endeavour to restore the plaintiff to the position in which he would have found himself but for the defendants wrongful act."
"Next, one must consider.... a case where either (a) there are two successive employers, of whom only the second is at fault, or (b) there is a single employer, who has been guilty of an actionable fault only from a date after the employment began.... Employer B has,..., 'inherited' a workman whose hearing is already damaged by events with which that employer has had no connection, or at least no connection which makes him liable in law. The fact that, so far as the worker is concerned, the prior events unfortunately give him no cause of action against anyone should not affect the principles on which he recovers from employer B. Justice looks to the interests of both parties, not to those of the plaintiff alone. This solution pre-supposes a division of responsibility between A and B, or (in the case of the second example) between non-blameworthy and blameworthy sources of noise. How precise must this division be, before it can found an apportionment in law? What happens if the apportionment is insufficiently precise? To the latter question, general principle supplies only a guarded answer. In strict logic, the plaintiff should fail for want of proof that the breach has caused the damage. Yet this seems too strict, for the plaintiff has proved some loss: perhaps it should all be attributed to the fault, simply as a matter of policy. The answer to the first question seems less difficult. The degree of accuracy demanded should be commensurate with the degree of accuracy possible, in the light of existing knowledge, and with the degree of accuracy involved in the remainder of the exercise which leads to the computation of damages. It is senseless to demand the utmost accuracy at one stage of a calculation, which involves the broadest assumption at another stage, and the application of conventional measures of recovery at yet another."
"The defendants as well as the plaintiffs are entitled to a just result. If we know... that a substantial part of the impairment took place before the defendants were in breach, why in fairness should they be made to pay for it? The fact that precise quantification is impossible should not alter the position..... Thus, whatever the position might be if the Court were to find itself unable to make any findings at all on the issue of causation and was accordingly being faced with a choice between awarding for the defendants in full, or for the plaintiff in full, or on some wholly arbitrary basis such as an award of 50%, I see no reason why the present impossibility of making a precise apportionment of impairment and disability in terms of time, should in justice lead to the result that the defendants are adjudged liable to pay in full, when it is known that only part of the damage was their fault. What justice does demand, to my mind, is that the Court should make the best estimate which it can, in the light of the evidence, making the fullest allowance in favour of the plaintiffs for the uncertainties known to be involved in any apportionment. In the end, notwithstanding all the care lavished on it by the scientists and by counsel I believe that it has to be regarded as a jury question, and I propose to approach it as such".
"14 What the Lords did not consider in that case was the extent of the defendants' liability, because it was never argued that the defendants were only liable to the extent of the material contribution. But the case makes it quite clear that proof of causation is a matter for the claimant.20..... as the passages cited from [Bonnington at page 620, McGhee v National Coal Board [1973] 1 WLR 1 at 11 - 12, Wilsher v Essex Area Health Authority [1988] AC 1074 at 1090] show the onus of proving causation is on the claimant; it does not shift to the defendant. He will entitled to succeed if he can prove that the defendant's tortious conduct made a material contribution to his disability but strictly speaking the defendant is liable only to the extent of that contribution. However, if the point is never raised or argued by the defendant, the claimant will succeed in full as in the Bonnington case and McGhee's case...... Strictly speaking the defendant does not need to plead that others were responsible in part. But at the same time I certainly think it is desirable and preferable that this should be done. Certainly the matter must be raised and dealt with in evidence, otherwise the defendant is at risk that he will be held liable for everything. In reality I do not think that these cases should be determined on onus of proof. The question should be whether at the end of the day and on consideration of all the evidence the claimant has proved that the defendants are responsible for the whole or a quantifiable part of his disability. The question of quantification may be difficult and the Court only has to do the best it can using its common sense..... cases of this sort, where the disease manifests itself many years after the exposure, present great problems because much of the detail is inevitably lost.... But in my view the Court must do the best it can to achieve justice, not only to the claimant but the defendant, and among defendants.
23. It is said by Mr. May that there is no evidence to ... justify the deduction of 25%. I do not agree. Although it is only a question of nomenclature I think Mr. Goldstaub is right when he submits that it is not so much a question of apportionment between tortfeasors as one of proof of causation in respect of a quantifiable part of his disability by the claimant against the defendants; and further it was not so much a question of discounting the full liability figure, as counting the proportion attributable to the defendants."
"....I entirely agree.... that in reality these cases should not be determined by the onus of proof. That seems to me to be so whatever the correct view of where the burden of proof lies. That is because, as Mustill J. put it in Thompson's case, "The fact that the precise quantification is impossible should not alter the position. The whole exercise of assessing damages is shot through with imprecision".... the assessments of questions of this kind are essentially jury questions which have to be determined on a broad basis..."
Conclusion on the issue of principle
(i) The employee will establish liability if he can prove that the employer's tortious conduct made a material contribution to the employee's disability.(ii) There can be cases where the state of the evidence is such that it is just to recognise each of two separate tortfeasors as having caused the whole of the damage of which the claimant complains; for instance where a passenger is killed as the result of a head on collision between two cars each of which was negligently driven and in one of which he was sitting.
(iii) However in principle the amount of the employer's liability will be limited to the extent of the contribution which his tortious conduct made to the employee's disability.
(iv) The court must do the best it can on the evidence to make the apportionment and should not be astute to deny the claimant relief on the basis that he cannot establish with demonstrable accuracy precisely what proportion of his injury is attributable to the defendant's tortious conduct.
(v) The amount of evidence which should be called to enable a judge to make a just apportionment must be proportionate to the amount at stake and the uncertainties which are inherent in making any award of damages for personal injury.
"Apportionment may also be made where a part of the harm caused would clearly have resulted from the innocent conduct of the defendant himself, and the extent of the harm has been aggravated by his tortious conduct.".
"Smoke from A Railroad's Roundhouse interferes with B's use and enjoyment of his dwelling. There is evidence that a reasonable operation of the Roundhouse, for which A Company would not be liable, would have caused one-third of the smoke and interference, and that the remaining two-thirds results from A Company's failure to take proper precautions. On the basis of this evidence, A Company may be held liable for two-thirds of the damages to B."
Causation and apportionment : was the Judge entitled to conclude that 50% was an appropriate figure for Mr Allen?
(i) Although these cases were test cases, this particular issue is a pure question of fact dependant upon each individual claimant. This issue is therefore not one of principle and the amounts at stake are so relatively small that this point would never have reached this court had it not been regarded as wrapped up in the issues of principle.(ii) The question of attribution of part of an injury to a particular defendant in a case such as the present is one on which a full and detailed inquiry would be expensive in time and money in a way totally out of proportion to the amount at stake. In those circumstances there is in principle much to be said for judges at first instance doing what Mrs Justice Smith did in the present case and adopting a broad brush approach.
The Judge, as appears clearly from the judgment and from the extracts of the transcript which we have seen, understood the scientific and medical evidence. Her judgment is full and careful. Our citations inevitably are an incomplete summary.
"… I also estimate in very round figures, which is all that I can attempt, that about 40% of the plaintiff's exposure occurred before the onset of symptoms in 1968 and about 50% (that is a further 10%) occurred before the end of 1973. It follows that about 40% of his exposure occurred during the years of the first defendants' negligence."
Again this is not challenged.
"Mr. Allen's description of the onset of symptoms in 1968 and the ensuing development of the condition was less than satisfactory but he is not a very articulate man and I accept that his difficulties of self-expression were not attributable to exaggeration or lack of frankness. He said that his first symptoms were of tingling only; then he noticed whitening of the fingers. He said that his symptoms became worse after he resumed maintenance work in 1973. They deteriorated gradually until by 1987, when he transferred to RFS, he had numbness in 4 fingers of each hand up to the second knuckle."
"112 To what extent were the first defendants in breach of their duty of care to this plaintiff personally, over what period and with what effect? By 1973, when the first defendants should have discovered an incidence of VWF at the Doncaster works, this plaintiff had already begun to suffer symptoms. I am satisfied that if asked, he would have admitted to symptoms and he is one of those who should have been offered a medical examination and advice by the summer of 1974. He was only 30 years old at that time and although his symptoms were mild, I think the doctor would have advised him about his long term prospects. The first defendants would probably have wished to keep his services and should have looked for an opportunity to move him to work where there was as little exposure to vibration as possible. In my view it should have been possible to move him to less exposed work by about mid-1975. In the unlikely event that that proved impossible, I do not think Mr. Allen would have immediately been so concerned as to give up his job. He is a fairly stoical man. However, he was competent in the modern techniques of hydrogen and carbon dioxide welding. He said, and I accept, that there was less exposure to vibration in that type of work. In my view, if by about 1976 Mr. Allen had found that he was still exposed to vibration at work and thought that his symptoms were increasing, he would probably have sought another job. … In my view, if the first defendants had complied with their duty to him, Mr. Allen would probably have changed jobs within BREL by 1975 or would soon afterwards have moved to a job which entailed less use of vibrating tools. The likelihood is that, whether he moved within BREL or away from it, he would still have used his manual skills and would have used some vibrating tools. Doing the best I can, and bearing in mind that Mr. Allen's exposure during the last 11 years with BR was not in any event very high, I conclude that if the first defendants had complied with their duty of care towards him, he would, between 1976 and 1987, have been exposed to a reduced level of vibration, of the order of a half to two thirds of the level to which he was actually exposed.113. When he first saw Mr. Allen in 1989, Professor Welsh was of the opinion that he had VWF to stage 3 on the Taylor-Pelmear Scale. ... In evidence Professor Welsh said that he thought that Mr. Allen would have been at stage O (t) or O (n) in 1973....
.........
115.… I conclude that Mr. Allen's condition, which was caused by vibration exposure, deteriorated gradually between 1973 and 1987 as Professor Welsh described and that part of that deterioration was due to the first defendant's breach of duty."
"I think Mr. Allen's symptoms were "significant" certainly by 1987 and probably for a few years before that."
"Mr Allen already had some symptoms in 1973 although they were not severe. I think they were probably at stage 1. By that time he had receive 50% of his total vibration dose. There would have been some inevitable increase in symptoms because, during the years 1973 to 1976, there would have been little or no abatement in exposure and even after 1976 the plaintiff would have been exposed to some vibration which would inevitably have increased his symptoms (although more gradually than in fact occurred). I have said that the 40% of his lifetime's dose could have been reduced by up to about half had the first defendants complied with their duty. In my view the result would have been that the plaintiff would not have progressed to stage 3 as he did. He would probably have progressed to somewhere within stage 2, probably nearer to stage 3 than to stage 1. .... I do not apportion damages on a straight line basis because damages should reflect the onset and progress of disability as well as actual damage. I give greater weight to the exposure after the symptoms have begun than to the early exposure. Doing the best I can to take these factors into account, I conclude that the appropriate figure for general damages is £4,000."
Mr Stembridge concentrated in his attack on the judgment on the question of principle which we have resolved against him. Part of that attack consisted in pointing out the difficulties inherent in doing the apportionment exercise which the Judge undertook. We accept that there are difficulties but it is important to recognise that the Judge was faced with a choice between awarding nothing to the claimant because he had not proved the precise amount of damage attributable to the negligence, doing her best to find out how much of the damage was attributable to the negligence while accepting that the exercise was not perfect and might err at the margins, or holding the defendant liable for the consequences of actions which were not negligent. The first and last of these courses certainly involved substantial injustice to one party or the other. The middle course which she took involved a risk to both parties of a minor injustice. We consider she was right to choose the middle course.
The respondents' cross appeal.
"121. I think Mr Allen's symptoms were "significant" certainly by 1987 and probably for a few years before that. However I do not think he had any idea, until he spoke to Mr Gardner, that his hand symptoms were attributable in whole or in part to the acts or omissions alleged in this action to have amounted to negligence, namely the first defendant's exposure of the plaintiff to harmful vibrations. I think he had a vague idea that his hand symptoms might have something to do with the cold conditions at work. It was not until he spoke to Mr Gardner that he learned anything about VWF. I think he then realised that his had troubles may be due to vibration. Objectively speaking, he should then have considered taking advice. In my view, time ran from a date following that occasion by which time, he ought, if acting reasonably, to have sought the necessary expert advice. I assess that date as 12 months after his conversation with Mr Gardiner. I think he could in that time have obtained the help of his union (who would have needed legal advice) and had a medical examination. However he did not do so and took no action until early 1989. I think it likely that when Mr Gardiner had attended the course in February 1989 and had learnt more about VWF, he disseminated this information to those for whom he was responsible. I think it likely that this further information confirmed Mr Allen in his view that he must have VWF. He put in a claim and, when seen by Professor Welsh, "ascribed" his symptoms VWF. At that date, July 1989, time had already been running against him for some time.122. I cannot say when in 1987 the conversation between Mr Allen and Mr Gardiner took place. Even if I assume that it was December 1987 and that time began to run against Mr Allen in December 1988, his action would have been time barred by February 1992. However, I have no hesitation in exercising my discretion in the plaintiff's favour under s. 33. The plaintiff's delay is not of very long duration, somewhere between 2 and 14 months. The reasons for it are that he did not realise there was any real possibility of claiming damages. Although he was a member of a trade union and could have sought advice, it appears that even the Union were not well informed about the prospects of claiming damages. No claim was brought against PR until VWF was prescribed in 1985 and even then there was only a trickle in the first few years. Although I have held that, objectively, Allen ought reasonably to have sought advice before he did, I do not regard his failure to act as blameworthy. Moreover a delay of this order has absolutely no effect upon the cogency of the evidence called on either side. The evidential difficulty which is apparent to me was the 1st Defendants' inability to call Dr Sharp Grant who died in 1974 and Dr Jones, who I understand has been dead for some years. In any event these defendants could have fought a VWF action much sooner than they did. They settled the earliest cases. Once this action was begun, the plaintiff has pursued it with due expedition and the only delay in bringing this matter to trial was the 1st Defendant's decision, shortly before the trials were due to begin in the County Court, to have them transferred to the High Court and treated as test cases. I consider that in all the circumstances of the case, it is equitable to allow this case to proceed."
"134. In my view, Mr Gardiner had realised before he saw Professor Welsh that he probably had VWF. He must have known that from at least the time of the Health and Safety course in February 1989. He certainly had knowledge by then. However it is arguable that he may have had knowledge before that date. In my view, Mr Gardiner was probably suffering from a "significant" condition from very soon after his symptoms developed. If it be right, that he says that he had to give up golf in 1984, that must have been a matter of some importance. I accept that at that time he had no idea that the problems ware caused by vibrations. When he first learned of the existence of VWF at sometime in 1987, I find it surprising if he did not then make the connection in his mind that he might have VWF. If he did, he ought then to have made enquiries as to whether it was possible to claim damages. He was in a good position to do so as he was a Union Official. He was aware of his rights. However, he did not do so until he acquired greater knowledge about the condition in 1989. Once he had that knowledge he acted expeditiously.135. My conclusion is that he had "knowledge" from about a year before he first knew about the existence of VWF in 1987. He ought to have sought expert advice within the following year. As I am not sure at what time in 1987 he first knew of VWF, I cannot say exactly by how long his claim was out of time. It may be as little as three months, it may be as much as fifteen months. In any event, I shall exercise my discretion to allow his claim to proceed not withstanding this delay. Although I have said his actions were not those of a reasonable man, I do not think his failure resulted from anything other than an understandable diffidence to embark upon an unknown course. I am quite satisfied that this modest delay had had no effect on the cogency of the evidence and I do not consider the first defendants have been prejudiced evidentially in the smallest degree. For the reasons I gave in the case of Allen I say that it is equitable that I shall allow this action to proceed."