2007年1月31日

枢密院最新判决:马伯罗水产公司诉新西兰渔业部长等

Marlborough Aquaculture Ltd v. Chief Executive, Ministry of Fisheries & Ors (New Zealand) [2005] UKPC 29 (18 July 2005)

Privy Council Appeal No. 31 of 2004

Marlborough Aquaculture Limited Appellant
v.
(1) Chief Executive, Ministry of Fisheries and
(2) Challenge Scallop Limited and Tasman and Sounds
Recreational Fishers Inc. Respondents

FROM

THE COURT OF APPEAL OF NEW ZEALAND
---------------

JUDGMENT OF THE LORDS OF THE JUDICIAL
COMMITTEE OF THE PRIVY COUNCIL,
Delivered the 18th July 2005
------------------

Present at the hearing:-
Lord Bingham of Cornhill
Lord Steyn
Lord Hope of Craighead
Lord Brown of Eaton-under-Heywood
Sir Stephen Sedley
[Delivered by Lord Hope of Craighead]
------------------

1. The appellants are an association of marine farmers. Their members wish to establish commercial marine farms in the coastal marine area around the top of the South Island, especially in the Marlborough Sounds where most marine farming in New Zealand takes place. The first respondent is the Chief Executive of the Ministry of Fisheries. He is responsible for the administration of the Fisheries Acts 1983 and 1996. The second respondents appear in these proceedings on behalf of others who are interested in fishing in the Marlborough Sounds and the surrounding area. They represent commercial fishers who are not marine farmers such as scallop dredgers and persons interested in fishing for recreation, all of whose activities are liable to be restricted by the presence of marine farms in the areas where they wish to fish.



2. In recent years New Zealand’s coastal marine area has come under increasing pressure as a result of the development of marine-based aquaculture. The Marlborough Sounds area in particular is rich in marine life, much of which is capable of being harvested for recreational and commercial purposes. It is also capable of supporting artificially created structures known as marine farms. They are designed to enable fishing operations to be carried out in the coastal marine area more intensively. Some consist of cages in which fish, especially salmon, are grown in captive conditions until they have reached the stage when they can be harvested. Others – the great majority in New Zealand – consist of floating structures for farming mussels. Typically they consist of parallel rope longlines anchored at each end to the sea floor and held up on the surface by floatation buoys, from which culture ropes known as droppers are suspended in the water column. The droppers attract mussels, dredge oysters, scallops and other species of shellfish whose habit is to attach themselves to any stationary object that they can find in the water. The structures are designed to attract them in sufficiently large quantities for harvesting commercially.

3. Marine farms have their value, particularly as their products are an important component in New Zealand’s export trade. But the space which they occupy restricts the ability of others to carry on fishing operations by conventional methods in and close to the boundaries of the same area, as well as inshore of the marine farm. They tend also to modify the marine environment beneath them and close to their boundaries. The process of construction can cause considerable disturbance to the sea floor and to marine life growing or living there. Some forms of marine farming, such as salmon farming, may require the provision of large structures which cast a shadow on the seabed. The substances used to cultivate fish grown in cages and shell and other material falling off droppers used for mussel farming during harvesting alter the quality and characteristics of the water and of the sea bed. The local environment is also affected by the consumption by fish and other aquatic organisms within the marine farm of the nutrients which are to be found in the water column. In small quantities these effects are relatively insignificant. But on a large scale these structures have the potential to have a considerable impact on other fishery resources and on those who use them. Mussel farms in particular can cover a very large area. Those in the Marlborough Sounds area range from less than one hectare to 500 hectares, and there are applications in the pipeline for areas up to 10,000 hectares. From an early stage it was recognised that this was an activity that would have to be regulated.

4. Comprehensive legislation governing the development of marine-based aquaculture in New Zealand was first enacted in the Marine Farming Act 1971. Under the system which it laid down a single permission was required for this activity. It took the form of a lease or licence granted by the then Ministry of Agriculture and Fisheries. In 1991 the legislation was replaced by the Resource Management Act 1991 (“the RMA”). The purpose of that Act, as stated in section 5, was to promote the sustainable management of natural resources. Leases or licences granted by the Ministry were no longer necessary. From the commencement of that Act on 1 October 1991 until 6 July 1993 the establishment of a new marine farm required a new type of resource consent known as a coastal permit granted under section 12 by the local authority. On 7 July 1993 Part 4A of the Fisheries Act 1983 (“the FA 1983”) consisting of sections 67I to 67S, inserted by section 6 of the Fisheries Amendment Act 1993, came into force. The establishment of a new marine farm now required two permits. The first was a coastal permit granted by the local authority. The second was a marine farming permit issued by the Director-General, who is the Chief Executive of the Ministry of Fisheries, under Part 4A of the FA 1983. That was the system which was in force at the commencement of this litigation.

5. With effect from 28 November 2001 a moratorium was imposed on aquaculture activities which required a coastal permit from the local authority. The legislation giving effect to it was contained in amendments to the RMA which were made by the Resource Management (Aquaculture Amendment) Act 2002 which came into force on 26 March 2002. But by section 150E(2) of RMA, as amended by the 2002 Act, it was provided that the moratorium did not apply to a coastal permit for aquaculture activities in a coastal marine area that was the subject of a coastal permit immediately before the moratorium. Legislation was then enacted in a series of seven statutes which comprehensively reformed the system for the regulation of aquaculture that was in force prior to the moratorium. These reforms do not apply to applications for coastal permits which had been notified before 28 November 2001 or which had been granted before 26 March 2002: sections 25 and 50 of the Aquaculture Reform (Transitional Provisions) Act 2004. Applications for a marine farming permit by persons such as those whom the appellants represent who hold coastal permits granted to them before 26 March 2002 will continue to be determined under the provisions of the RMA and the FA 1983 which were in force prior to the commencement of the moratorium.


The issues
6. Section 67J(2) of the FA 1983 provides that a marine farming permit shall only be issued to a person who holds a coastal permit granted under section 12 of the RMA for the area applied for. A dispute has arisen between the parties as to how the relevant provisions of these two statutes are to be interpreted and implemented in relation to marine farming activities in the coastal marine area. The issue relates to the division of responsibility between the regional council as the consent authority under the RMA and the Director-General as the consent authority under the FA 1983.

7. Marlborough District Council is the consent authority under the RMA for the coastal marine area of the Marlborough Sounds. On 7 June 1995 it granted to three individual marine farmers, J R Cowin, R J Curtis and J M Goulding (“the applicants”), a coastal permit to occupy a three hectare space in Waitata Bay and to disturb the seabed for the purpose of farming greenshell mussels, blue mussels, dredge oysters and scallops using standard mussel line equipment and suspended culture systems. Among the grounds for its decision (communicated by letter dated 22 June 1995) was the following:
“The Committee did not consider that the proposed marine farm would have a significantly adverse effect on commercial scallop harvesting.”

The Challenger Scallop Enhancement Company Limited appealed against this decision to the Environment Court. On 15 September 1997 the Environment Court allowed the appeal in part by reducing the area of the proposed marine farm to 2.4 hectares. On 23 September 1997 the applicants applied to the first respondent for a marine farming permit under section 67J of the FA 1983. By letter dated 13 September 1999 an official in the Ministry of Fisheries, acting on behalf of the Director-General, informed the applicants that he had declined their application. He gave the following reason for his decision:
“In consideration of the merits of the application and of the additional material, presented both by yourself and your legal counsel, I am not satisfied that there will be no undue adverse effect on the recreational scallop fishery from the granting of [a] marine farming permit at the Waitata Bay site.”

8. In April 2000 the applicants erected some of the structures for which a coastal permit had been issued at the site of the proposed marine farm. They did so to prevent the lapsing of their coastal permit under section 125 of the RMA, which provided that a resource consent lapsed after two years (the period is now five years) unless an extension was obtained. In order to obtain an extension it would have been necessary for them to show that they had made substantial progress or effort towards giving effect to the consent and to obtain approval from all adversely affected persons. They took the view that for this and other practical reasons it was desirable that those who had obtained a coastal permit should be able immediately after it had been issued to erect the structures which they proposed to use for their marine farms.

9. The applicants disputed the validity of the Director-General’s decision to refuse them a marine farming permit. They did so on the ground that he was not entitled to take into account the likely effect of the structures of their proposed marine farm when considering an application for a marine farming permit. This, they maintained, was a matter for the local authority. Having agreed to re-examine the matter following a judicial review of his refusal of the application, the first respondent decided in January 2002 to seek declaratory relief from the High Court under the Declaratory Judgments Act 1908. In his statement of claim he sought two declarations. The first was that when considering an application for a marine farming permit the Director-General could take into account the likely effect of the structures of the proposed marine farm on other fishing activities. The second was that the applicants’ coastal permit did not entitle them to erect the structures of their proposed marine farm in advance of the issue to them of a marine farming permit.

10. In a judgment which was delivered on 10 July 2002 Neazor J held that the Director-General was not authorised to decide where structures should be built in the coastal marine area. He said that he could take into account the likely effect on fishing of operating a marine farm on the structures for which the applicant had been granted a coastal permit by the local authority. But he could not alter the decision of the local authority to allow the structures to be erected. The Court of Appeal (Keith, Blanchard and McGrath JJ), in a judgment which was issued on 25 September 2003, disagreed. It held that a coastal permit did not authorise the construction of and occupation of space by marine farming structures unless they could be used for marine farming. It followed that the coastal permit did not authorise the carrying out of these activities before a marine farming permit had been obtained from the Director-General. It also held that the Director-General was entitled to take into account the potential effect of the structure of the proposed marine farm when considering an application for a marine farming permit. On 10 March 2004 the Court of Appeal gave leave to appeal against its decision to their Lordships’ Board.

The legislation
11. It is necessary, in order to describe the context of the dispute in a little more detail, to identify the principal provisions of the legislation on which its resolution depends.

12. Section 12 of the RMA contains the following restrictions on the use of the coastal marine area:
“(1) No person may, in the coastal marine area, -


(b) Erect, reconstruct, place, alter, extend, remove or demolish any structure or any part of a structure that is fixed in, on, under, or over any foreshore or seabed;


unless expressly allowed by a rule in regional coastal plan and in any relevant proposed regional coastal plan or resource consent.

(2) No person may, in relation to land of the Crown in the coastal marine area, or land in the coastal marine area vested in the regional council, -

(a) Occupy the land and any related part of the coastal marine area;


unless expressly allowed by a rule in a regional coastal plan and in any relevant proposed regional coastal plan or by a resource consent.”

Section 87 of the RMA defines the various types of “resource consent” that may be granted under the Act. A consent to do something in a coastal marine area that would otherwise contravene section 12 is called a “coastal permit”.

13. Section 12(4) of the RMA contains a definition of the expressions “occupy” and “occupation”. As amended by the Resource Management Amendment Act 1997 with effect from 17 December 1997, this subsection provides as follows:

“In this Act …,
(a) ‘Occupy’ means the activity of occupying any part of the coastal marine area, -

(i) Where that occupation is reasonably necessary for another activity;

(ii) Where it is to the exclusion of all or any class of persons who are not expressly allowed to occupy that part of the coastal marine area by a rule in a regional coastal plan and in any relevant proposed regional coastal plan or by a resource consent; and

(iii) For a period of time and in a way that, but for the rule in the regional coastal plan and in any relevant proposed regional coastal plan or the holding of a resource consent under this Act, a lease or licence to occupy that part of the coastal marine area would be necessary to give effect to the exclusion of other persons, whether in a physical or legal sense: -

and ‘occupation’ has a corresponding meaning.”

14. The main effect of the amendment to section 12(4) of the RMA which was introduced by the 1997 Act with effect from 17 December 1997 was to substitute the phrase “where that occupation is reasonably necessary for another activity” for the words “necessary for the activity” in the previous version of section 12(4)(a). Strictly speaking, as the applicants’ coastal permit was granted on 7 June 1995, it is the version of section 12(4) that was in force at that date that applies to their case. It was suggested by the appellants that the Court of Appeal had misdirected itself by basing its decision on the later version of this subsection. But there is nothing in this criticism. The case was argued without objection in the Court of Appeal on the basis that the later version was the relevant version for present purposes. As the learned Solicitor General pointed out, the appellants represent a wide variety of interests some of whose applications for a coastal permit can be taken to have been made after the date when the later version of section 12(4) took effect.

15. Section 30 of the RMA provides:
“(1) Every regional council shall have the following functions for the purpose of giving effect to this Act in its region:

(d) In respect of any coastal marine area in the region, the control (in conjunction with the Minister of Conservation) of –
(i) Land and associated natural and physical resources:
(ii) The occupation of space on land of the Crown or land vested in the regional council, that is foreshore or seabed, and the extraction of sand, shingle, shell or other natural material from that land:

(vii) Activities in relation to the surface of water:


(2) The functions of the regional council and the Minister of Conservation under subparagraph (i) or subparagraph (ii) or subparagraph (vii) of subsection (1)(d) do not apply to the control of the harvesting or enhancement of populations of aquatic organisms, where the purpose of that control is to conserve, use, enhance, or develop any fisheries resources controlled under the Fisheries Act 1996.”

16. Section 122(5) of the RMA provides:
“Except to the extent -
(a) That the coastal permit expressly provides otherwise; and

(b) That is reasonably necessary to achieve the purpose of the coastal permit, -

no coastal permit shall be regarded as –
(c) An authority for the holder to occupy a coastal marine area which is land of the Crown or land vested in a regional council to the exclusion of all or any class of persons; or

(d) Conferring on the holder the same rights in relation to the use and occupation of the area against those persons as if he or she were a tenant or licensee of the land.”

17. Section 67J of the FA 1983 deals with matters that are the responsibility of the Director-General. The relevant parts of this section provide:
“(1) No person shall farm any fish, aquatic life, or seaweed except under the authority of –

(b) A marine farming permit; or


(2) A marine farming permit shall only be issued –
(a) To a person who holds a coastal permit for the area applied for …


(3) A marine farming permit shall not be issued for an area greater than the area to which the coastal permit … relates.


(4) Every application for a marine farming permit shall be made to the Director-General in writing in the prescribed form (if any) and shall be accompanied by –
(a) A copy of the coastal permit, or application for a coastal permit …


(5) An application for a marine farming permit may be made at any time, whether or not a coastal permit has been granted, but a marine farming permit shall only be issued after the relevant coastal permit has been granted.


(8) The Director-General may not issue a marine farming permit unless he or she is satisfied that the activities contemplated by the application would not have an undue adverse effect on fishing or the sustainability of any fisheries resource.

(9) A marine farming permit shall –
(a) Specify the area in which the permit may be exercised; and
(b) Specify the fish, aquatic life, or seaweed that may be farmed in that area.

(10) A marine farming permit may be issued on conditions –

(c) That the Director-General considers necessary or desirable to avoid, remedy, or mitigate adverse effects on fishing or the sustainability of any fisheries resource.
…”


18. Section 67L(1) of the FA 1983 provides:
“(1) Notwithstanding anything to the contrary in this Act, a marine farming permit shall authorise the holder of the permit –
(b) To farm within the permit area; and
(c) To possess, take and sell the farmed fish, aquatic life, or seaweed –
(i) That have been lawfully acquired; and
(ii) That are specified in the marine farming permit –
subject only to the terms and conditions of the permit and to the provisions of this Part of this Act.”

19. Section 6 of the Fisheries Act 1996 provides:
“(1) No provision in any regional plan or coastal permit is enforceable to the extent that it provides for -
(a) The allocation to one or more fishing sectors in preference to any other fishing sector of access to any fisheries resources in the coastal marine area; or

(b) The conferral on any fisher of a right to occupy any land in the coastal marine area or any related part of the coastal marine area, if the right to occupy would exclude any other fisher from fishing in any part of the coastal marine area.

(2) Subsection (1) of this section does not prevent any regional plan or coastal permit authorising the erection in the coastal marine area of a fish farming structure or other structure.”

The expression “fishing sector” is defined in subsection (3) as meaning commercial fishers, recreational fishers, Maori non-commercial fishers, fish farmers and other fishers authorised by the Act to take fish, aquatic life or seaweed.

20. The legislation lacks an express provision which identifies the division of responsibility between the regional council as the consent authority under the RMA and the Director-General under the FA 1983. That there is a division of responsibility between them is not in dispute. There are a wide variety of matters relating to the design and equipment of the marine farm, such as their visual effect on the environment and how they are to be lit and otherwise equipped so as not to be a hazard to navigation, which are plainly within the exclusive responsibility of the consent authority under the RMA. Section 108 of the RMA gives ample scope to the consent authority to regulate these matters, as it provides that a resource consent may be granted on any condition that the consent authority considers appropriate. Conversely the appellants accept that the Director-General may take into account the effect which mussels and other shellfish gathered together in large quantities in the marine farm may have on the seabed below and on the surrounding waters, as this relates to the use made of the structure in the farming process. The point which is in dispute is whether the Director-General is entitled to have regard to the effect which the mere presence of the structure will have on the coastal marine area.

21. This problem has now been resolved for all post-moratorium cases by section 56 of the Aquaculture Reform (Repeals and Transitional Provisions) Act 2004, which provides that a coastal permit does not authorise the erection of any structure for the purpose of an aquaculture activity unless the holder of the coastal permit also holds a marine farming permit issued under section 67J of the FA 1983 or a spat catching permit issued under section 67Q(2) of that Act. Their Lordships have not been asked to consider whether this provision applies to persons who were already in the possession of a coastal permit but had not yet been issued with a marine farming permit before the coming into effect of the moratorium.

The Court of Appeal’s judgment
22. The judgment of the Court of Appeal was delivered by Blanchard J. He dealt first with the question whether someone who has obtained a coastal permit for a marine farm can proceed to erect the structure of the farm in the permitted area in anticipation of the issue of a marine farming permit, provided no farming takes place until the second permit issued. What is envisaged in the case of a structure which is designed for the farming of mussels is the anchoring of the floating structure into its position on the surface of the permitted area, but the withholding of the attachment of droppers to it until the marine farming permit has been issued by the Director-General.

23. Blanchard J, having noted that neither the RMA nor the FA 1983 contained a directly expressed prohibition against the erection of the structure prior to the issue of a marine farming permit, approached the issue in this way in para 21 of his judgment. He said that it was highly unlikely that Parliament would ever have allowed structures to be erected which might never be used and which would by their mere presence exclude others from the space which they occupied. Section 12(2) of the RMA prohibited the occupation of land in a coastal marine area unless it was expressly allowed by a rule in a plan or by a resource consent. A coastal permit was intended to allow occupation for the purpose for which it was granted. The expression “occupation”, as defined by section 12(4), means the activity of occupying “where that occupation is reasonably necessary for another activity”. It could not be said that occupation by a structure which had been authorised only for the purpose of marine farming which was not yet lawful, and might never become lawful, could be said to be reasonably necessary for that activity. It would not become reasonably necessary until the marine farming permit was issued. Section 122(5) of the RMA was to the same effect.

24. Developing this point in para 22, he said that it was enough that the relevant “activity” was characterised by the function that the object was designed to carry out. A stationary object such as a marker or a monument, to warn of a hazard or commemorate some event, required nothing more for the activity is was designed for to be lawful. The same could not be said of a marine farming structure, which was unable to carry out its function until a marine farming permit had been obtained for it. Accepting that delay in obtained a marine farming permit might cause the coastal permit to lapse under section 125 of the RMA, he said that this could be overcome by adopting the practice of deferring the commencement of the coastal permit under section 116(1) of the RMA until the marine farming permit was issued: para 24.

25. Blanchard J then turned to the question whether the Director-General must take into account the effects of the mere presence of the marine farm structure in the permitted area, or is confined instead to a consideration of the effects of the use of the structure for marine farming. Here again he referred to what was to be expected of the legislature: para 25. He said that it was not to be expected that it would have left a gap between the RMA and the fisheries legislation whereby neither the regional council nor the Ministry of Fisheries could consider the effects on fish and marine life of the presence of a structure intended to be used for marine farming. In the court’s view, when the two statutes were examined closely, there was no such gap.

26. The answer to the problem, as he explained in paras 26-27, was to be found in section 30(2) of the RMA. Section 30(1)(d) gave the regional council various functions in regard to the control of land and its associated natural and physical resources, the occupation of space on land that is foreshore or seabed and activities in relation to the surface of water. But section 30(2) provided that it could not apply these functions to the control of the harvesting of populations of aquatic organisms where the purpose of doing this was to conserve, use, enhance or develop any fisheries resources controlled under the Fisheries Act 1996. The term “fisheries resources” as defined in section 2 of the 1996 Act and the term “aquatic organisms” in section 30(2) both covered all kinds of fish, shellfish and marine plants which might be the subject of marine farming. A control which was designed to control or limit adverse effects caused by the erection of a marine farm structure would be a control for the purpose of conserving that resource. It would also be a control for the purpose of its “enhancement” within the meaning of section 30(2), and it might also be that a control which was concerned with access to the existing resource was a means of ensuring that that resource was available for “harvesting”.

27. The view which the court took was consistent with the provisions of section 6 of the Fisheries Act 1996: paras 28-30. Section 6(2) enabled a coastal permit to be issued authorising the erection in the coastal marine area of any fish farm structure, but it did not follow from the granting of a coastal permit that the holder could proceed to erect the structure immediately. The effect of section 6 was to preclude a regional council from considering, in connection with an application for the grant of a coastal permit for a marine farm, whether the structure would have an effect on existing populations of aquatic organisms constituting a fisheries resource. This was a matter for the Director-General. Section 67J(8) of the FA 1983 provided that he might not issue a marine farming permit unless he was satisfied that “the activities” contemplated by the application would not have an adverse effect on fishing or the sustainability of any fisheries resource. The activities contemplated by this subsection must include the creation of the structure on or from which the marine farming was to occur. This view was supported by the definition of “to farm” in the definition of “marine farming” in the FA 1983, which includes “any operation in support of, or in preparation for, any marine farming.” The erection of a structure for a marine farm was properly to be regarded as an act of preparation for the marine farming.

Discussion
28. Their Lordships have summarised Blanchard J’s careful judgment at some length because they find it hard to improve on his reasoning. In their opinion Mr Clark for the appellants was unable to demonstrate that it was flawed in any respect. There are however one or two points that can usefully be made in support of the Court of Appeal’s decision.

29. Mr Clark’s criticism of the Court of Appeal’s decision on the issue of the right to erect the structure in anticipation of the issue of a marine farming permit was based on four propositions: that the court failed to apply the correct wording of section 12(4) of the RMA; that it contradicted its own decision in Port Otago Ltd v Hall [1998] 2 NZLR 152; that it incorrectly equated section 12 with section 122 of the RMA; and that it ignored the contents of section 87(c) of the RMA.

30. As their Lordships have already observed (see para 14), there is nothing in the first of these criticisms. The amendment to section 12(4) of the RMA which was introduced by section 4 of the Resource Management Amendment Act 1997 did, of course, change the wording of the subsection. But the essential point which the court took from it, which was that the necessity for the occupation could not be considered without regard to the activity for which the occupation was authorised, was not affected by the amendment. Nor is there anything in the criticisms that were made of the court’s reference to section 122(5) of the RMA or its failure to mention section 87(c) of the RMA. Neither of these points affect the substance of the Court of Appeal’s reasoning.

31. Their Lordships must however take a moment to deal with the suggestion that the court misapplied its own decision in Port Otago Ltd v Hall [1998] 2 NZLR 152 when it said in para 18 of its judgment in the present case that the definition of “occupy” in section 12(4) contemplated an activity going beyond the mere act of occupying. This criticism was based on a sentence which appears in the penultimate paragraph of the judgment in the Port Otago case at p 160, that the right of occupation and the right to conduct port operations are separate and distinct. But the issue in that case was whether the coastal permit exempted the port company from compliance with rules about noise limits and other rules in the coastal plans for the area. Rejecting the port company’s argument that this was its effect, the court said at p 159 that the coastal permit had been granted for the purpose of allowing it to occupy the area specified in it so that it could manage and operate an existing port-related commercial undertaking that had been acquired by the company. It did not authorise any of its activities, other than to the extent that occupation was itself an activity. The context for the observation at p 160 was entirely different from that contemplated in the present case, where a coastal permit has been issued for an activity that has yet to be carried out and cannot lawfully take place at all without it.

32. There is one point which Blanchard J did not mention in his judgment but which, in their Lordships’ opinion, provides powerful support for the court’s decision on this issue. It is to be found in section 67J(3) of the FA 1983, which provides that a marine farming permit shall not be issued for an area greater than the area to which the coastal permit relates. This provision indicates that the area for which a marine farming permit may be issued need not be identical to that for which the coastal permit is granted. The whole of the area for which the marine farming permit is issued must, of course, be covered by the authority which the coastal permit gives to occupy that area. But the Director-General’s hands are not tied by it, and the permit which he issues could be for a smaller area.

33. Neither the FA 1983 nor the RMA make provision for what is to happen if the structure for which the coastal permit has been issued and has already been erected extends over a greater area. Nor do the statutes make provision for what is to be done with the structure if a marine farming permit is refused. It would, no doubt, be open to the regional council to deal with this matter by means of a condition under section 108 of the RMA. The coastal permit that was issued to the applicants in this case provided that the duration of the permit was ten years from the date it was issued. It also provided that at the end of that term the permit holder was to remove all structures from the site at no cost to the council unless a new consent had been applied for and granted. But one would have expected this matter to have been dealt with by statute if the legislature contemplated that structures might be erected in anticipation of the grant of marine farming permit which could not be used because the Director-General declined to issue a marine farming permit for them or for the whole of the area which they occupied. For obvious reasons the effect of such structures on the area could not be said to be neutral from the point of view of other fishing interests or of the environment. The fact that the statutes are silent on this issue indicates that it was always the intention that a coastal permit for the erection of a structure for a marine farm should not be acted upon until it had become clear that it could be used following the issue of a marine farming permit by the Director-General.

34. Mr Clark’s main criticism of the Court of Appeal’s decision on the issue about the relative functions of the regional council and the Director-General was that the court had misunderstood the effect of section 30(2) of the RMA and that it had misinterpreted section 6(2) of the Fisheries Act 1996. He said that the effect of these provisions was that it was for the regional council to determine, in the light of competing interests, the amount of space that the structure was to occupy. The matters that were open for consideration by the Director-General were the effects of the proposed operation on the physical environment, not the allocation of fishing resources among participants in the fishing sector.

35. In their Lordships’ opinion these arguments fail to address the point which the Court of Appeal was making, which was that it is function of the Director-General, not that of the regional council, to consider the effects of structures intended to be used for marine farming on existing populations of fish and marine life in the coastal marine area. It is a misconception to treat control of the harvesting of aquatic organisms as being simply a matter of allocating these resources among those who wish to compete for them. That is a recipe for disaster, as everyone knows who is concerned about the protection of the environment. The harvesting of resources must go hand in hand with their conservation and their enhancement. Otherwise the resource will be exhausted and there will be nothing left for anyone to take. In recent years New Zealand has been setting an example to the world as to how to deal with these matters which other states would do well to emulate. The legislation under consideration in this case makes it quite plain that conservation of marine aquatic organisms is the responsibility of the Ministry under the Fisheries Acts. It is its task to ensure by the taking of appropriate measures that the resource is available for harvesting and that factors which may have an adverse effect on it are prevented or limited. It would be wholly artificial in this context to draw a line between the use of a marine farming structure and its mere presence in the coastal area. The Court of Appeal was right to hold that when considering an application for a marine farming permit the Director-General may take into account the likely effect of the structures of the proposed marine farm on other fishing activities.

Conclusion
36. Their Lordships will humbly advise Her Majesty that the appeal should be dismissed. The appellants must pay the costs of the first and second respondents before their Lordships’Board.

香港区域法院判决:事关运输货损引起的争议

DCCJ16678/2001
香港特别行政区
区域法院
民事诉讼案件编号2001年第16678号
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Winning Metal Products Manufacturing Co. Ltd.
(伟明五金制品厂有限公司) 第一原告人

Grand Ocean Industrial Limited 第二原告人


Kei Wing China Courier Company Limited
(佳荣中国快递有限公司) 被告人

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主审法官 : 区域法院法官源丽华
审讯日期 : 2003年2月24至25日
判决书日期 : 2003年5月13日

判决书
1. 本案是一宗货运物品损失索偿案件。案件的争议点是承运者疏忽责任的范围及免责条款的应用。

2. 第一原告公司及第二原告公司均是香港注册的有限公司。第一原告公司及第二原告公司 ( 后统称为「原告公司」) 拥有共同的股东与董事。两公司均经营钟表配件入口、镶嵌及买卖生意。

3. 被告公司是往来中港的运输承运公司。

4. 原告公司的运作模式一般是经由第一原告公司购入日本出产的钟表配件,转销第二原告公司,或把配件运回内地厂房镶嵌。原告公司的钟表配件过往是全数经由第一原告公司的货运部门负责运送。

5. 被告公司的运作模式是在本港收集付运货品。集齐货品,经点数后,划上收件人的记号及付运地点,便把货品连同货物清单交到「裕信有限公司」的屯门仓。「裕信有限公司」安排货柜车及司机,把货品运送到中国内地深圳宝安区的北方仓。深圳皇岗口岸的清关手续交由「深圳信达运输公司」处理。被告公司的内地职员会在宝安区的北方仓点收货品。收到的货物会被转运到被告人在福田区的皇岗立交桥下的货仓,以便送达到收件人的地址或等候收件人提取。

6. 在1998年间原告公司代表郭先生与被告公司的代表李先生曾接洽商讨付运条件。双方当时对于付运收费已获得共识,计算方法是HK$0.17一件表芯及HK$18每一千克电池。李先生向郭先生表示付运途中,货物如有损失,被告公司的赔款不能超逾运费6倍。郭先生却指表芯的货价较普通货品昂贵,要求被告公司以〔对补形式〕付运,即在货运期间,货品如有损失,被告需赔偿损失货品的货价。李先生向郭先生指出〔对补形式〕的付运运费须跟随货品价格计算,运费较为高昂;再者付运内地的运作,一向风险较高,被告公司是不会接受〔对补形式〕的付运。双方由于不能接受对方建议的货物损失赔偿计算方案,付运一事当时告吹。

7. 原告公司代表郭先生指在1999年间,原告公司由于急切找寻运输公司代为付运,再与被告公司联络接洽。郭先生指双方在1999年的会谈中并无讨论货物损失的赔偿方案。被告公司代表李先生则指在1999年的会谈中双方有重提6倍运费赔偿的规限。自1999年至2001年原告公司经由被告公司付运货品不下30回。

8. 在2001年4月24日及25日原告公司把两批表芯,合共44,500个,交到被告公司的深水埗写字楼。被告公司如常点收货品,交予〔裕信有限公司〕运送到深圳宝安区的北方仓。在4月27日早上,被告公司聘用司机把货物从宝安北方仓运送到皇岗仓。在皇岗仓门前,司机遇上深圳公安。公安决定扣查货车司机及货柜内所有货品。

9. 该批扣查货品包括原告公司的两批表芯。扣查货品后交由深圳巿工商行政管理局处理。深圳工商行政管理区根据国家工商局《关于对经销无合法来源进口商品行为如何定性处理问题的答复》《工商公字[2000]第57号》, 基于货车司机不能证明该批进口货品的来源,指其行为构成扰乱社会主义经济秩序的投机倒把行为,充公及拍买该批货物,拍卖款项上缴国库。

10. 货品被充公后,被告公司曾简略通知原告公司货品被扣查。被告公司曾派人与内地有关当局的人员周旋,打关系,希望可取回货品。货品最终在2001年7月在深圳被公开拍卖。被告公司曾出席拍卖场,希望购回货品。但由于拍买者的叫价比货品底价还要高,因此被告公司未有买回充公货品。

11. 原告公司向本院提出起诉,要求被告公司赔偿损失货品的货价,合共港币HK$416,900。第一原告公司损失HK$340,500。第二原告公司损失HK$76,400。

原告陈述
12. 原告指被告应赔偿充公货品全价,由于:-
(i) 根据本港法例第457章《服务提供(隐含条款)条例》第5条,被告公司应提供合理的货运服务。合理的货运服务当包括把货品安全送抵目的地。
(ii) 再者被告公司是受托人,基于普通法,受托人须保障货物安全送达收件人。受托人专责,比一般不容疏忽的民责还要严谨。
(iii) 货品被充公是由于被告公司或其付托代理公司的疏忽行为引致。
(iv) 被告单据内的免责条款既无合约效力,亦不能免却被告疏忽行为引致的法律责任。

被告抗辩回应
13. 被告指它不应对货品充公一事负上法律责任,理据如下:
(i) 在付运过程中被告公司小心行事,尽其应有的技术运送原告公司的货品。
(ii) 货品被内地深圳巿工商行政管理局人员没收充公拍卖一事实属无可抗力的事情(force majeure)。双方合约应属受挫失效(frustrated)。
(iii) 敞若被告必须负法律责任,则跟据合约,被告公司只应赔偿运费六倍的金额(HK$7,565 x 6),即HK$45,390。


本院裁决

14. 于本诉讼中,本席需裁决的事项如下:-
(i) 货品被内地工商局扣查充公是否人为疏忽引致,或是一项不能预见及无可抗力的事情?
(ii) 若属疏忽,责任谁属?
(iii) 双方付运合约的免责或预计赔款条文是否有法律认可的合约效力?
(iv) 该免责或预计赔款条文能否在疏忽行事或漠视托付专责的情况下生效?

(i) 货品被充公是否无可抗力的事情 ?

15. 根据内地深圳的「行政处罚决定书」货品被充公的原因是:「当事人倒实无合法来源证明的进口(……货品……)……的行为,已构成……扰乱社会主义经济秩序的投机倒把行为……依法没收当事人无合法来源证明的进口(……货品……)。予以拍卖,拍卖款上缴国库。」

16. 货品被充公的原因是付运者未能出示合法来源证明。原告与被告方均无提交证供,解说内地法律,何谓「无合法来源证明…进口」。原告公司依赖本港判例(注一),指出付运途中如有货品损失,承运者及付运人需反证他们并无疏忽行事,原告无责任举证承运者或付运者的疏忽因由。被告公司则指它已克尽责任,它安排的付运操作流程是安全隐妥,并无疏忽。

17. 原告公司是一间有经验的钟表配件入口商。过往原告公司是经由第一原告公司负责运送钟表配件到内地。据郭先生的证供,输入钟表配件到内地,入口者并不须要提供产地来源证。入口商只需向内地海关填报资料,清楚列明货品名称、数量及价值。在1994至1995年间原告公司曾因入口配件数量超越报关数量,缴交罚款一万元。

18. 根据郭先生的经验,内地官方只需提交海关清关文件以证明入口货品的种类、价值及数量。郭先生指一般报关手续应由运输公司负责。

19. 由于无专家证供说明在深圳「无合法来源证明…进口」的含义,本席只可凭现有证供作推断。根据文字的理解及经原告郭先生对内地入口钟表手续的简介,本席相信「无合法来源证明…进口」应指被告公司未能向深圳工商局提交合法文件或数据以证明该货柜车内货品的来源。既然原告公司的钟表配件是合法地从日本进口本港,过往郭先生亦能合法地把原告公司的货品入口内地,输入钟表配件到内地的行为应不构成非法行为。据深圳行政处罚决定书,深圳工商局是基于被告公司雇用的司机未能提供该批进口货品的合法来源证明,而充公原告公司的托运货品。据此推论,被告公司须提交货品买卖单据及清关文件。如欠缺的文件是买卖货品的证明单据或资料,被告公司大可向原告公司索取该单据及数据,以提供给深圳工商局。如缺少的文件是有効的清关单据,被告应向被告公司代表「深圳信达运输公司」索取,以供深圳工商局阅览。

20. 于本案审讯过程中,被告公司一直未有提交货品清关单据。根据辩方第三证人方华女士的证人供词,货品被扣查的原因是司机未能提供清关文件以证明进口货品已课税。在法庭作供时,方女士进一步解释货品被扣查充公的原因是由于报关文件未能详尽列出进口货品的资料。合理的推断是「深圳信达运输公司」未有完成合法的清关程序。这合理推断不难了解。郭先生曾说在内地报关,入口商是要清楚列明货品名称、数量及价值。原告公司从未提供货品价值,被告公司亦从未向原告公司询问货品价格,被告公司当不会有货品值格的数据。

21. 敞若被告公司的代表「深圳信达运输公司」曾合法清关,工商局的扣查只是一场误会,被告公司大可在行政处罚决定公布日的60天内,向广东省工商行政管理局或深圳巿人民政府提出上诉(注二)。被告公司明显未有提出上诉。

22. 未有合法清关而遭工商局扣查是入口商及运输公司可预见的事情,并不构成无可抗力的事项。双方的运输合约不会因此而受挫失效。

(ii) 若有疏忽,责任谁属 ?

23. 根据本港法律,入口者、货主及运输公司及其代表,均有责任提供进口陈述书(香港法例第109章《应课税品条例》第22条)。两方均无提供数据显示内地的有关法律及其运作法规,本席只能推断两地海关的运作原则差别不大。如据此类推,货主、承运者或付运人均有责任清楚报关。未有妥善办理清关手续当是运输公司及货主的失责及疏忽。如原告公司对清关手续所需一无所知,则被告应付全责。但郭先生明确知道报关时,入口商是要申报货物品种、数量及价价。原告明知货品价格是必须的报关数据,却未有提供该批表芯的价值给被告公司。如本席推断正确,原告需与被告共同承担未能完成报关的责任,双方疏忽的比数可能各占一半。

24. 被告虽有妥善安排运输,点收及交货的程序,但却未有合法处理货品清关。清关程序虽由「深圳信达运输公司」安排,「深圳信达运输公司」是被告公司的代办人,被告对「深圳信达运输公司」的疏忽理应负责。

25. 原告公司指被告公司以受托人的身份,其责任严谨,超逾普通法的疏忽责任。不论被告的责任是属于普通法的疏忽民责或是受托人的专责,其法律责任的赔款幅度,均视示该合约内的免责条文是否有效地约束赔款计算方法。


(iii) 合约条款能否令被告免责或局限原告能获取的赔偿款额 ?

26. 双方在1998年面议付运条款时曾谈及货品损失的赔偿只局限于运费的6倍赔款。在1999年原告开始聘用被告公司代为运送钟表配件到内地,运货的收费单据上注明:-
「(1) 本公司承运货物敞遇强劫或盗窃等意外损失,盖照货物载脚不超过六倍补偿。
(2) 一切货物原来原去,包装内数量一切与本公司无关。
(3) 一切货物交由本公司付运如在三天内有货物到者,请通知否则不负责补偿任何责任。
(4) 天灾横祸,各安天命,与本公司无涉,单部签收保存,为期七天,途(逾)期不负责任,特此声明。
(5) 若因本公司被海关扣查,本公司将尽力在五十天内将货取回,否则将照托运费之六倍赔偿与托运人。」

27. 第(1),(2),(3)及(4)条款的免责条款与本案案情无大关系,不用详述。本席须考虑被告是否能引用第(5)条款局限赔偿金为运费的6倍。

28. 被告公司早于1998年向原告公司提及货品损失赔偿的幅度的上限为货运运费的6倍。

29. 于1999年,原告公司在未有交托货品给被告公司付运时早知告公司的6倍预计赔款方案,原告公司却未有再对此方案提出异议,反而把公司货品托运予被告公司。原告公司的行为间接地接受被告公司的付运条款,包括其6倍运费的预计赔款条文。

30. 再者原告公司确知〔对补付运〕的收费是以货价计算,但被告公司的运费一直只跟随数量计算,并无跟据货价调算,原告公司深知其支付的运费并非是〔对补付运〕的运费。

31. 被告公司的付运条款,虽只记载于被告的收费单据上,但由于6倍赔偿的条款早于1998年面议时已有交代,在1999年至2001年间原告与被告公司有不下30回的付运交往,原告公司对被告公司单据上印明的预计赔款的条文不能指不见不闻。因此被告公司单据上的预计赔款条文是有合约效力的条文。

32. 原告公司代表律师根据香港法例第457章《服务提供(隐含2条款)条例》的规定,指被告公司提供的服务应达到法定的合理水平。《服务提供(隐含条款)条例》第5条指提供服务者须谨慎小心行事,以合理技术提供服务,其服务质素必须达到合理水平。

33. 根据《服务提供(隐含条款)条例》第8条,隐含条款的应用, 在消费合约及商务合约略有不同。根据第8(2)条文,立约双方有权在协议商务合约时修定或更改该法例所规定的法律责任。

34. 本案的合约当是商务合约。合约第(5)项的预计赔偿条款是双方订明的合约条文,在一般情况下,双方理应跟从。


(iv) 第(5)条款的预计赔款条文是否包括疏忽行事引致的损失?

35. 在普通法的规范内,合约任何一方如要依赖免责或预计赔款条文以免除其疏忽责任,其免责或预计赔款条文须以清晰文句描述、抅画及列明其疏忽免责范围(注三)。第(5)项的合约条文并没有清楚指出条文的应用情况,亦没有清楚列明份豁免承运者的疏忽民责。

36. 运输进口货品最重要的环节当是清关程序。合理商人断不会免除此重要环节的疏忽责任。如双方要免除疏忽民责,双方应清楚列明免责的范围是包括疏忽行事的情况,如「不论任何情况之下,包括疏忽引致之后果…」。

37. 况且海关扣查跟工商扣查在文字上确有区别。被告并无解释工商扣查与海关扣查的关系,本席不作揣测。



总结

38. 本席接纳货品的损失,基于相对可能性的衡量标准,是被告的代理公司未能合法清关引致。合约预计赔偿条文虽有合约効力,不能应用于疏忽行事的情况。被告司机未能对货品进口一事提交有効的来源证明而遭受内地工商局充公货品的成因是未能清报内地海关。未能清报海关的成因可能是被告并无货价数据,亦有可能是「深圳信达运输公司」办事不力。原告同意它并未有提供货价,原告与被告的疏忽的比数可能是各占一半。但被告在答辩书中并无引用原告的共同疏忽为答辩因由之一,原告未有机会对疏忽指控作出回应,本席不应对原告有否疏忽莽下结论(注四)。

39. 被告虽对货价有质疑,本席接纳原告郭先生的证供,接纳该批货品的价值分别为:-
(a) 第一原告公司 $340,500
(b) 第二原告公司 $76,400
由于被告在答辩书中未有提论原告的共同疏忽责任,亦未有提供数据指证原告没有提供货价之举是不能合法报关之主要成因,本席裁决被告需赔偿第一原告公司HK$340,500及第二原告公司HK$76,400的损失。

40. 虽无实质资料指证无合法报关的成因是付运者无货品价值引致,本席确信原告与被告双方均有不对之处。原告确知被告公司的付运条款有6倍预计赔偿的规限,却没有资料显示原告有自行购买保险,以保不测。本席不作利息赔偿指令。

讼费指令
41. 由于原告公司赢得本诉讼,本席裁定原告公司可获取本诉讼的讼费。如双方于讼费金额不能获得共识,可要求聆案官评核。有关讼费评核,本席准以大律师证书。此讼费指令是一项临时指令。如双方未有在本指令公布日的14天内申请修改,则本指令会自动引进为最终讼费指令。

源丽华
区域法院法官



Ms. Queenie W.S. Ng instructed by M/s Hermes Lui & Leung for 1st and 2nd Plaintiffs.

Mr. P.Y. Lo instructed by M/s Tsang, Chau & Shuen for Defendant.


(注一) Hong Kong Hua Guang Industrial Co. v Midway International Ltd [2000] 2 HKC 348 (C.A.) per Rogers J.A. at page 357, “ The fact of loss, damage or non-delivery would be prima facie evidence on the part of the carrier or on the part of those to whom it had delegated part of its responsibility. The onus of proving that the misadventure occurred without negligence would lie on the first defendant since it was at least a private carrier and thus a bailee.”

(注二) 深圳市工商行政管理局行政处罚决定书,深工商处[2001]165号,注明:「如不服本处罚决定,可在接到本处罚决定书之日起六十日内向广东省工商行政管理局或深圳市人民政府申请行政复议。」

(注三) per Price & Co v The Union Lighterage Company [1904] QB 412 (C.A.) at page 416 per Lord Alverstone, C.J. “… to exempt the carrier from liability for the consequences of his negligence there must be words that make it clear that the parties intended that there should be such an exemption is applicable to this case.”

(注四) per Fookes v Slaytor [1978] 1 WLR 1293 (CA) contributory negligence must be specifically pleaded by way of defence to a plaintiff’s claim for negligence, and in the absence of such a plea, the trial judge is not entitled to find that the plaintiff’s negligence had contributed to the accident. Per Sir David Cairns at p 1297, “….Denning L.J., having decided that the doctrine of ‘volenti’ did not apply, went on to say…’In so far as he suggested that the plea of contributory negligence might have been available, I agree with him.” I think by implication Denning L.J. was saying in effect that the plea of contributory negligence would be available if – and only if – it was pleaded.”

香港上诉法院判决:租约争议

香港特别行政区
高等法院
上诉法庭
民事上诉2002年第370号
(原本案件编号:高院民事诉讼2001年第1368号)


原告人 世荣集团有限公司

被告人 梁甘雨



主审法官:上诉法庭法官袁家宁
原讼法庭法官任懿君
聆讯日期:2003年2月28日
判决日期:2003年3月7日


判 案 书

上诉法庭法官袁家宁:

1. 原告人根据《高等法院规则》第14号命令提出申请,结果聆案官黄健棠批准申请,作出以下判决:被告人须付予原告人400,980元以及利息,从发出令状日期到判决日期之间的利息以月息2.5%计算,之后则以判决利率计算,直至全数清还为止。另外,被告人亦须支付经评估后的赔偿及讼费,讼费以原告人须付予其律师的费用为准。被告人就上述判决提出上诉,但上诉被原讼法庭暂委法官邬礼贤驳回,被告人不服,因而再提出本上诉。

租赁

2. 原告人是宝利商业大厦地下(“该处所”)的业主,而被告人则是该处所的租客。被告人于1999年9月6日与原告人上手业主订立了一份书面租约,为期3年,由1999年8月1日起生效,租金为每个公历月153,620元,差饷、空调费和管理费等不包括在内。被告人缴交了505,176元作为按金,于该处所经营餐厅业务。

地库租客拟进行的工程

3. 2000年12月,原告人把该大厦的地库租予一家名为Express Asia Development Limited的公司(“该地库租客”),这家公司打算进行一些气喉重整工程,把气喉由地库接驳到大厦的外墙。

4. 工作人员须进入被告人的处所,才能进行上述工程。被告人最初拒绝合作,但是原告人坚称他必须准许工作人员进入,因它声称根据租约第2.22条,被告人同意:


“准许业主或其指定代理人及/或管理人,在经预约的情况下,于任何合理时间进入该处所,以清查属于业主的固定附着物,及进行任何必要的修理或维修工程;但在紧急的情况下,业主或其指定代理人及/或管理人,可在未经通知的情况下,强行进入该处所,而租客得自费将该处所的入口恢复原状。”

2000年12月12日的协议

5. 最后,原告人、被告人和该地库租客达成一项协议,该协议载于一份日期为2000年12月12日的文件内,其内容如下:

“致:世荣集团有限公司
Express Asia Development Limited
关于:香港九龙尖沙咀宝勒巷21-23A号宝利商业大厦地下
(“该物业”)

本人兹于下列条件准许保利商业大厦地库租客Express Asia Development Ltd的工作人员进入该物业进行风喉重整工程: —
1. 租客书面担保赔偿在工程进行中做成的损坏(本人已收);
2. 工程在2000年12月16日(晚上8时)至2000年12月18日(早上3时)及在2000年12月19日及12月21日(下午3时至晚上8时)进行;
3. 建筑师发出信件确认工程不会影响本人梁甘雨食店牌照(本人已收);
4. 在工程期间(除营业时间外)提供护卫以保该物业财物安全;
5. 在工程完结时(12月18日早上3时后及19日和21日的晚上8时后)安排清洁该物业大堂;及
6. 世荣集团有限公司付港币25,000.00作为引起本人的不便(在租金中扣除)。
梁甘雨
二零零零年十二月十二日”

6. 这份文件由被告人签署,及由该地库租客加签。原告人虽然没有签署该份文件,但是它并没否认该文件显示它和被告人已达成了一项协议,因它接受25,000元应从租金扣除出来。

工程的进行

7. 根据那份文件,工程预期分三期进行(第1期于2000年12月16日至18日期间进行,第2期于12月19日进行,而第3期则于12月21日进行)。第1期工程,如期在2000年12月16日至2000年12月18日期间进行。然而,事后被告人投诉工作人员工作后没有清理现场,而有关工程也导致该处所的男厕的假天花板塌下。结果,他要额外支付3,300元予工人来清理,而2000年12月18日那天的营业时间也因而延迟了个半小时,使他损失了2,000元的利润。

8. 2000年12月18日,被告人写信给原告人(并由两名管理员加签),投诉工作人员没有清理现场而在该处所内遗下杂物和泥尘等,但信中并没有提到厕所天花板损毁一事。

不准进入

9. 第2期工程于2000年12月19日到期进行,但是被告人拒绝让该地库租客的工作人员进入其处所。

10. 2000年12月20日,被告人写信给原告人,投诉关于12月18日的延迟营业,以及男厕天花板塌下和没有灯光等事,并指出他因而少了20%的顾客。他要求原告人考虑把租赁转让予一家有限公司、减租20%和取消某些空调费。

11. 2000年12月21日(该地库租客的第3期,兼最后一期,工程到期进行),被告人再度拒绝让该地库租客的工作人员进入其处所。

喷出烟和气体

12. 2000年12月22日,该地库租客的日本餐厅开张营业,由于那些工程尚未完成,因此由地库所喷出的烟和气体,便经由那些未完成的工程中的罅隙,钻进该处所内。(虽然证据提到喷出“气体”,但是该处所似乎仍能开门营业)。

13. 在发生喷出烟和气体的事件后,被告人和该地库租客双方的律师之间,进行了一阵子频繁的书信往来。那些书信的大意是,该地库租客想完成有关的工程(只需时一天),但是被告人却要求它先答应他所提出的条件,否则便不会准许工作人员进入其处所。

14. 2001年1月8日,被告人的律师写信给该地库租客的律师,并随信附上一份由承办商所作的报价单,显示完成该处所中那些未完工程,及修理天花板和电灯的费用,一共是26,900元。

欠交差饷、管理费、空调费和租金

15. 与此同时,被告人在2001年1月1日欠交差饷和管理费,而在2001年2月1日则连租金也欠交。

2001年2月15日和2001年2月19日的信

16. 2001年2月15日,被告人透过原告人的律师,写信给原告人,信的大意是说,他自开业以来一直亏本经营,因此已没有能力缴付租金,要求原告人准许把租赁转让。

17. 2001年2月19日,被告人再度透过原告人的律师,写信给原告人,在这封信中,(i)被告人建议把租赁转让,如果不能转让的话,则要求原告人准许他在3月31日撤销租赁;(ii)被告人建议,首先撤销租赁,然后以较低的租金,暂时租用该处所,直至原告人找到新租客为止,双方可以一个月通知终止租赁。

18. 原告人并不接受这些建议,并在提出诉讼前向被告人发出律师信,发信的日期是2001年2月28日,信的内容是要求被告人清偿欠缴的租金和其它费用,当时欠款的总数已达到240,150元。然而,被告人完全没有支付任何款项。

19. 到了2001年3月1日,被告人须缴付的租金和其它费用,已累积到一个更大的数目,但是被告人仍然没有支付任何款项。

令状及被告人的终止租约书

20. 2001年3月26日,原告人发出令状,展开这项诉讼。原告人在其申索陈述书中提出,原告人有权根据租约第4.01条重收该处所。第4.01条规定,如果被告人在租金到期的15天后仍没交租,或没有遵守或履行租约中的任何条款及条件,原告人便有权重收该处所,而该租赁亦会因此而完全终止,但这不损害原告人因被告人违反租约中的任何条款、条件或规定而有的权益。本席称这为“没收租赁权之弥补办法”。

21. 原告人在申索陈述书中又提出,被告人没有或拒绝缴付租金及其它费用(当时的总数已达425,980元),因而违反租约。原告人声称,上述违约行为使原告人蒙受损失和损害,这包括被告人拖欠的租金和其它费用、由现在至交吉期间的中间收益和其它费用、由交吉至重新租出该物业期间的中间收益和其它费用、以及重新租出后的租金和其它费用与原租约的租金及其它费用的差别(如有的话)。本席称这为“普通法之弥补办法”。

22. 被告人的律师于同日,即2001年3月26日,写信给原告人的律师,指称该地库租客(作为原告人的代理人)违反该项于2000年12月12日达成的协议,并申索239,210元的赔偿(由2000年12月18日至2001年3月23日期间的利润损失,以每天2,500元计,总损失为200,000元;此外还有39,210元,即额外付给工人的费用、2000年12月18日那天个半小时的利润损失、鼠饵价钱、和损失理算员的费用、及包括“据估计的实质损坏”28,700元)。

23. 该信声称,由于原告人违反了该项于2000年12月12日“根据租约所达成的协议”,被告人接受原告人的拒认性违约,并会“在下个月开始撤销该租约”。

交回钥匙

24. 2001年3月30日,被告人把该处所的钥匙交还原告人。

重新出租

25. 2002年5月14日(即在被告人把该处所交吉后超过一年),原告人与该处所的新租客订立租约,每月租金只得102,440元。

法律程序

26. 被告人在其抗辩书和反申索书中提出,被告人曾就该地库租客作为原告人的代理人所造成的损害作出投诉,但是原告人不予理会,因此违反了租客安宁享用权的契诺,所以被告人有权撤销该租约。

27. 被告人又提出反申索,要求原告人在按金中扣除400,980元(2001年1月1日至2001年3月30日期间的租金和其它费用,已扣除于2000年12月12日的协议中所提到的25,000元),然后把余款退还给他。他又申索赔偿210,500元,其中200,000元是利润损失,余下的10,500元则是2000年12月18日工人的额外工资、及延迟营业个半小时的利润损失、鼠饵价钱和损失理算员的费用。反申索书中并没有提到2001年3月26日的信中所指的“据估计的物质损坏”。

28. 被告人的大律师,在原审法官席前,进一步辩称,由于原告人决定没收租赁权,因此已无权获得普通法之弥补办法。

判决

29. 原审法官裁定:根据法律,原告人有权同时获得没收租赁权之弥补办法和普通法之弥补办法。就普通法之弥补办法而言,被告人由于没有缴付租金或其它费用,再加上发出2001年2月15日和2001年2月19日的信,已表明无意再受租约的约束。

30. 原审法官又裁定:虽然原告人可因该地库租客的行为而构成违约,违反租客安宁享用权的契诺,但是(i)被告人同意让工程进行,条件是该地库租客须作出保障及原告人须支付经双方同意的「算定赔偿」;(ii)任何其它未能预期的损害,都是因为被告人拒绝让工作人员完成那些未完工程所致,如果他没有这样做,他所投诉的情况便会消除或减轻;以及(iii)被告人到了2001年2月12日已把该处所“恢复原状”,在他2001年2月15日及2001年2月19日写给原告人的信中,他都没有提到那些工程所造成的损失,这相当于确认租约。基于以上理由,原审法官维持聆案官的判决。

上诉

31. 被告人向法院提交上诉通知书。在上诉聆讯中,被告人并无律师代表。他起初试图提出一些新的指称,如有关工程导致他违反食肆牌照等,这些指称本来可以在下级法院提出作为证据,但是他当时没有这样做。因此,根据案例Ladd v Marshall ([1954] 1 WLR 1489)中所规定的限制,他不能在上诉阶段才提出那些新的指称。

(1) 没收租赁权之弥补办法及普通法之弥补办法

32. 被告人在其上诉通知书中所提出的理由,明显是在征询过法律意见后才拟定的。第一项理由是:由于租赁已被没收,原告人不能申索任何赔偿。被告人不能就这一点提出法理上的依据,幸得原告人的大律师黄国瑛给予援手,向法庭提交一份由曾在原审法官席前,代表被告人的大律师庄启文所拟的书面陈词。

33. 根据我们对该份书面陈词的理解,被告人的大律师的论据是:业主可以在租约中加入一些明确的条款,使自己有权因任何轻微的违约行为而没收租赁(即使有关的违约行为并不构成普通法中的“拒认性违约”)。因此,陈词争辩,“如果业主没收租赁的话,便不能再申索因没收租赁权而引起的赔偿”。庄大律师在陈词中援引两件案例,它们分别是Hop Woo Cheung Enterprises Ltd v Intergroup Industries Ltd ([1982] HKC 436) 和Colgan Co Ltd v Ethitrade Ltd ([1983-5] CPR 87)。

-Total Oil

34. 在考虑这些案例之前,我们宜先弄清根据英国法律,「接受拒认合约」这项合约观念,是否适用于租约。在案例Cricklewood Property and Investment Trust Ltd v Leighton’s Investment Trust Ltd ([1945] AC 221) 中,大律师提出由于租约的性质涉及土地所有权,因此「合约受挫失效」这项合约观念,并不适用于租约。这个论点在上议院中得到某程度的支持。在案例Total Oil Great Britain Ltd v Thompson Garages (Biggin Hill) Ltd ([1972] 1 QB 318)中,上诉法院依据Cricklewood一案中的原则,裁定「拒认性违约」这项合约观念,亦不适用于租约。

-Highway Properties and Progressive Mailing House

35. 然而,上议院后来在案例National Carriers Ltd v Panalpina (Northern) Ltd ([1981] AC 675)中,驳回Cricklewood一案中的论点,裁定「合约受挫失效」这项合约观念,确实适用于租约。


36. 关于「接受拒认合约」这项合约观念,加拿大最高法院在案例Highway Properties v Kelly, Douglas & Co. Ltd (17 D.L.R. 1971年(第3版))及澳洲高等法院在案例 The Progressive Mailing House Proprietary Ltd v Tabali Proprietary Ltd ([1984-5] 157 CLR17) 中,都裁定这项观念确实适用于租约。如果租客有违约行为(无论如何严重或轻微),而租约有明确规定的话,业主可以重收有关的物业;但如果该违约行为十分严重,根据一般的合约原则该违约行为是拒认性的话,业主亦可以同时申索普通法之弥补办法。

-Hop Woo Cheung

37. 在Hop Woo Cheung一案中,班士法官决定采用Highway Properties一案中的原则,而不采用Total Oil一案中的原则。他裁定「接受拒认合约」这项普通法观念,确实适用于租约(见第441页)。不过,班士法官根据该案中的事实裁定,由于被告人两年以来,都准时交租,所以即使欠交两期租金(在没有其它因素情况下),也并不构成拒认合约。在那案中,班士法官只根据一些状书,和一迭经双方同意的文件判案,此外便没有其它证据。根据这些文件中的指称,被告人唯一的不当行为,只是欠交两期租金。因此,法官裁定,虽然业主可以根据租约中的明确条款没收租赁,但是却不能证明被告人有拒认性违约的行为,因此无权申索普通法之赔偿。

38. 由此可见,Hop Woo Cheung一案中的判决,并没有如庄大律师的书面陈词(见上文第33段)争辩,支持Total Oil一案中的判决。其实恰恰相反,班士法官同意(i)根据租约条款,申索没收租赁权之弥补办法和(ii)根据一般合约观念,申索普通法赔偿,两者之间,并无必然的抵触。

-Colgan

39. 在Colgan一案中,土地审裁处法官高义敦不批准有关的业主,把其所申索的弥补办法改为普通法赔偿,因为该业主在状书中,提出他只是根据租约的条款没收租赁权,并没有提出被告人有任何拒认性违约行为。根据本席对上述判决的理解,Colgan一案并不认为根据法律原则,普通法之弥补办法和没收租赁权之弥补办法,不能并存。

-Sichant

40. 此外,在Sichant Investments Ltd v Wong Kam Kei (HCA 3430/94,未经报导)一案中,原讼法庭法官王式英采取加拿大和澳洲的做法,在一项第14A号命令的申请中裁定,业主在没收租赁后,还有权根据法律就“未满的租期”取得赔偿。

41. 在本案中,暂委法官邬礼贤亦同样裁定,没收租赁权和普通法赔偿并不是互相抵触的弥补办法。

— 没收租赁权的济助的效力?

42. 在辩论期间,本席向原告人的大律师提出以下问题:这项观点会否受到《高等法院条例》(第4章)第21F条中所指的「没收租赁权的济助」所影响。这个问题在Sichant一案中并没有讨论过。

43. 《高等法院条例》第21F条规定,如出租人就任何土地在原讼法庭藉诉讼,着手针对承租人欠交租金,而强制执行重收权或没收租赁权,则(在不抵触该项条文中一些在此毋须列出的条件的情况下),如承租人向法院缴付所有欠租及诉讼的讼费,则承租人“并即无须订立任何新租契而按照有关租契持有土地。”

44. 因此,如果业主没收租约,并且终止合约和申索拒认性违约的赔偿,该针对没收租赁权而给予的法定济助,对有关的合约会产生些甚么影响呢?该合约的终止,是否由于受到法定干预,而浮沉在一个昏睡状态?还是该合约首先被终止,但是后来却在法庭给予「没收租赁权的济助」后“复活”呢?又或者情况会否是这样(正如Hill and Redman’s Law of Landlord and Tenant第1卷§9423.1中所说):由于业主不能阻止租客申请「没收租赁权的济助」,因此根本不能使用其普通法权利拒认该合约?

45. 本席认为(至少在本案中)答案是:《高等法院条例》第21F条并非在业主因租客欠租而没收租约的情况下 “自动”适用;它只适用于承租人仍管有有关的物业,以及已在各款中所指定的时间内将款项缴存法院(而基于最近的修改,这项条文只适用于在租约期间,一次欠租,而被没收租赁权)。因此,《高等法院条例》第21F条的存在,不会令到没收租赁权之弥补办法和普通法之弥补办法在所有案件中,都不能并存。在本案中,这两项弥补办法不会因为这项条文而不能并存,因为被告人在业主没收租赁权的同一天,已表示他根本已打算终止租约(尽管是基于他所指称的理由)。他跟着更迁离该处所,而且并没把任何款项缴存法院。因此,《高等法院条例》第21F条显然并不适用。关于这两项弥补办法,在一宗《高等法院条例》第21F条确实适用的案件中,能否并存的问题,必须留待在其它案件中再作讨论。

46. 本席拟补充一点以防遗漏,在案例Super Century Investments Ltd v Advance Ltd (HCA 73/02,未经报导)中,业主并没有试图根据租约的条款,没收有关租约,他只是在状书中提出租客拒认性违约。虽然《高等法院条例》第21F条已被假设适用于该案中,但是由于租期已即将届满,所以双方并没有就这一点进行实质的辩论。

47. 基于上述理由,原审法官的裁定,显然是正确的,他裁定本案的原告人,可以申索没收租赁权之弥补办法和普通法之弥补办法。在本案中,欠交的租金,已累积至相当大的数目,被告人连部分款项,如差饷及空调费等,都没缴交,更别提租金了。另外,当然还有被告人于2001年2月15日和2001年2月19日所写的信,该两封信显示,被告人已不能再继续履行租约,而有意退出。被告人现在的说法是,他写那两封信的目的,只是企图和业主洽商减租,并不是真的想终止租约。然而,信件的内容需要根据客观的方法去理解,根据本席的客观式理解,被告人毫无疑问地,已在信中表明,无意受现时的租约所约束。

(2) 已就两项弥补办法提出足够作诉

48. 被告人的第二项上诉理由是:原审法官错误地裁定被告人拒认合约及原告人「接受拒认合约」,因为原告人在其申索陈述书中,没有提出这一点。

49. 原审法官的裁定是:原告人在其申索陈述书内,除了提出没收租赁权外,还充分地提出申索普通法之弥补办法,因为申索陈述书中,有提到被告人欠租而违约,另外又就违约后未满的租期的损失及损害,作出申索。

50. 无可否认,如果申索陈述书使用了一些较常用于合约申索的字眼,如“拒认合约”和“显示无意受租约约束”等,则这一点便会毫无争议。然而,原审法官已作出的裁定是正确的,因为原告人在申索陈述书的第16段和第17段中,已清楚地作出申索,第16段是关于没收租赁权,而第17段则是关于违约所造成的损失和损害。

(3) 原审法官以2001年2月15日和2001年2月19日的信作为依据

51. 被告人的第三项上诉理由是:原审法官裁定,被告人于2001年2月15日和2001年2月19日发出的信,显示他无意再受租约的条款约束,但是法官在作出这个裁定时,并没考虑到,被告人曾因弥补该地库租客所造成的损毁,而招致开支,这一点显示他有意继续履行租约。

52. 事实上,证据显示,被告人实际上招致的开支只有下列几项:于2000年12月18日额外支付工人的3,300元、购买鼠饵的1,200元和付予损失理算员的4,000元费用。

53. 虽然被告人提交了一份承办商就完成那些未完工程,和修补那些损毁,而作出的报价单,但是却没有证据显示,承办商确实已进行上述工作,也没发票或收据被提交作为证物。原审法官只是“假设”被告人已进行上述工作,来使该处所恢复原状。

54. 再者,被告人的律师曾于2001年3月26日发出的信,并没有提到已进行上述工作,只是提到“据估计的物质损害”。还有另一点值得一提,被告人在其反申索书内,并没有就修补损毁所招致的开支作出申索。

55. 因此,被告人实际上所招致的开支,相比下,只是少数目,不影响其后2001年2月15日和2001年2月19日的信中,被告人清楚表明终止租约的意愿。

(4) 有权因业主违反租客安宁享用权的契诺,而撤销租约

56. 第四项上诉理由是:原审法官应裁定由于原告人违反了租客安宁享用权的契诺,因此被告人有权撤销租约。

57. 关于这一点,原审法官首先裁定,被告人同意接受工程所带来的滋扰;其次,他又裁定那笔经双方同意的,由原告人在被告人的租金中扣除的25,000元,属「算定赔偿」。

58. 关于原审法官的裁定,恕本席指出一点,没有证据清楚显示,被告人已同意原告人毋须就第一期工程后所造成的滋扰(如没有清理现场和男厕中的假天花板塌下等),作出赔偿。根据2000年12月12日的租约的字眼看来,被告人只是同意让该地库租客的工作人员,根据双方所订的条件,进入该处所进行有关的工程。

59. 再者,关于该25,000元的「算定赔偿」,它究竟是否涵盖所有不同的损害呢?这一点至少是有商榷余地的。该笔款项是因为工程为被告人带来“不便”而扣除的(任何商业处所,在一般营业时间后,被陌生人进入,都会构成不便),即使工程进行得完美无瑕,这笔款项仍须扣除。原告人的黄大律师亦同意这个看法。

60. 其次,原审法官又裁定,由于被告人不准许该地库租客完成有关的工程,才导致那些进一步的损害(即在第一期工程后所出现的)。原审法官可能不应假设该地库租客一定会妥善地完成余下的工程(有证据显示,工作人员在第一期工程后,没有清理现场和导致假天花板塌下),而且该地库租客本身可能也有不对之处,而导致与被告人之间互相敌对。

61. 尽管如是,被告人显然可以,及应该,自己找承办商完成那些工程,以减低其损失和损害。根据他自己的承办商的报价,工程所需费用只是26,900元,而且证据显示,所需时间只是一天。被告人也没有解释为甚么不找人在星期天完成有关的工程,因为该处所在星期天是暂停营业的。

62. 第三点,原审法官裁定,由于被告人在2001年2月12日前大概已使该处所恢复原状,这显示他已确认租约。恕本席指出,基于上文第53至第54段中所述的理由,原审法官假设被告人已在2001年2月12日前进行了有关的修补工程,根据证据,是错误的。

63. 然而,在考虑被告人是否有权,因为原告人违反租客安宁享用权的契诺,而撤销租约时,被告人当时有否确认租约这一点,根本无关宏旨,考虑的重点是违反的程度。

64. 违反租客安宁享用权的契诺的情况,可以分为多类。严重的违反,可导致租客有权撤销租约,而较轻微的违反,则只可导致租客要求赔偿。在本案中,被告人有权提出,原告人因该地库租客进行第一期工程的方式,违反了租客安宁享用权的契诺这个论点;既然原告人曾以租约的第2.22条令地库租客进入该处所的,原告人很难否认该地库租客并非其代理人。

65. 不过,上述的违约情况不难补救,假设被告人不相信该地库租客的工作人员会妥当完成余下的工作,他只需自己找承办商完成有关的工程,这个做法所费无几,而且可以选择一些不影响营业的时间进行。然而,他却选择任由那些工程处于未完成的状态,使自己蒙受他所指称的进一步损失和损害。

66. 在此情况下,被告人并没有提出可以论证的抗辩理由,证明他可以因为业主违反租客安宁享用权的契诺,而撤销租约;他只是有权申索赔偿,以下将讨论这赔偿的范围。

(5) 搁置执行判决,以等待被告人就违反契诺而反申索赔偿的结果

67. 第五项上诉理由是:原审法官应搁置执行判决,以等待反申索聆讯的结果。根据法庭行之以久的做法,如果被告人提出看来有理的反申索的话,法官应下令批准原告人有关的申索,但搁置执行该判令,以等待该反申索聆讯的结果。

68. 在本案中,原审法官认为该25,000元属「算定赔偿」,因此不存在搁置执行,以等待反申索结果,的问题。本席则认为,关于该25,000元是否属于「算定赔偿」这一点,至少是可以商榷的。被告人指他因业主违反租客安宁享用权的契诺,而蒙受损失的反申索赔偿,本席认为似有道理的。

69. 被告人所反申索的赔偿,包括以下几项:付予其工人的3,300元额外费用、因2000年12月18日延迟营业而导致的利润损失2,000元、付予损失理算员的4,000元费用、和购买鼠饵的1,200元。而购买鼠饵,是为了防止那些未完成的工程滋生老鼠(假设必须在完成那些工程之前,急切进行)。

70. 正如本席先前所述,被告人指他在2000年12月18日后,蒙失损失和损害,但这是由于他没有试图减轻损失所致,而减轻损失的费用(根据被告人自己的证据)只是26,900元。虽然被告人在其反申索中,并没有包括这一笔款项,但是本席假设这笔款项可以包括在被告人所指称,他因原告人违反租客安宁享用权的契诺,而蒙受的损失和损害中,若包括的话,反申索的总额最高仍只可达37,400元。

(6) 应受审讯的争论点

71. 作为总结,被告人的最后一项上诉理由,是一项一般性的理由。被告人提出,原审法官应裁定本案中有一项(或多项)应受审讯的争论点,因此不应作出简易判决,这是不恰当的处理方法。被告人并没指明,有那些应受审讯的争论点,但相信他是指其它上诉理由的“可争议性”。在考虑以上所述的理由,以及尤其是那些在事发同期所发出的信件,和被告人自己提交的报价单后,本席驳回这项上诉理由。

命令

72. 基于以上理由,本席判上诉得直,但是只限于以下的范围:原审法官的命令应予更改,更改部分是在判定款项中,拨出其中37,400元,并就这笔款项搁置执行原审法官的判决,以等待反申索聆讯的结果。本席作出指令,这项反申索聆讯,应与原告人的赔偿评估聆讯,同时进行。据悉,被告人交给上手业主的按金,现正由原告人保管,因此,关于如何执行这项命令,双方可自行结算,如出现问题,可随时向原讼法庭的法官作出申请。

73. 双方已就讼费问题向法庭陈词。原告人虽然基本上 成功了,但它以前并没有提议过,将任何数额搁置执行判决。所以本席认为,不应干预原审法官所作的讼费令,但至于本上诉案的讼费,本席则不作出任何讼费令。

原讼法庭法官任懿君: —

74. 本席同意。



(袁家宁)
上诉法庭法官 (任懿君)
原讼法庭法官


黄国瑛大律师(由徐伯鸣,陈鸿远,刘永强律师行延聘)代表原告人

被告人梁甘雨先生亲自出庭应讯

上诉法院最新判决:铁路噪声致聋案件

Neutral Citation Number: [2005] EWCA Civ 900
Case No: B3/2004/1938
IN THE SUPREME COURT OF JUDICATURE
COURT OF APPEAL (CIVIL DIVISION)
ON APPEAL FROM LEEDS COUNTY COURT
His Honour Judge Langan QC
LS350574
Royal Courts of Justice
Strand, London, WC2A 2LL

Date: 18/07/2005
Before :


LORD JUSTICE RIX
and
LORD JUSTICE NEUBERGER
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Between :

HARRIS Claimant/
Appellant
- and -
BRB (RESIDUARY) LTD

ENGLISH WELSH AND SCOTTISH RAILWAY LTD 1st Defendant/
Respondent
2nd Defendant/
Respondent

- - - - - - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - - - - -

Mr N Hillier (instructed by Messrs Thompsons Solicitors) for the Appellant
Mr J Leighton Williams QC and Mr James Todd (instructed by Messrs Berrymans Lace Mawer) for the Respondents

Hearing dates : 9th May 2005
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Judgment

Lord Justice Neuberger :

Introductory
1. This is an appeal brought by the claimant, Robert Harris, against the dismissal of his claim against English Welsh and Scottish Railway Limited (“the defendant”) for damages in respect of hearing loss caused by exposure to the noise of various types of locomotive between 1974 and 1999, during which period he was employed by the defendant as a train driver (save for the first two years, during which he was a secondman). The case was heard in the Leeds County Court by His Honour Judge Langan QC, who dismissed the claim in a full and careful reserved judgment handed down on 6 August 2004. The claim was put in two ways, namely breach of common law duty of care and breach of statutory duty, and in this court it is submitted on behalf of Mr. Harris that the Judge should have found for him on both grounds.
2. In his judgment, the Judge began by observing that “there is no doubt that [Mr. Harris’s] deafness was substantially caused by exposure to the noise made by the engines or locomotives.” He then went on to identify the three questions which he had to decide in order to determine whether or not the claimant’s case, in so far as it was based on common law, was established. The first question identified by the judge was whether the daily level of noise to which Mr. Harris was frequently subjected on his case, namely between 85dB(A)leq to 90dB(A)leq, was such as to render the defendant under a duty of care to Mr Harris, and therefore potentially negligent (i.e. negligent subject to Mr. Harris satisfying the other two questions). The second question the Judge had to determine is whether “on the limited material which is available” Mr. Harris “was in fact exposed to noise levels above 85dB(A)leq. The third question the Judge identified was whether the defendant had in fact taken, or considered taking, appropriate precautions so as to avoid the liability which it would otherwise have to Mr. Harris.
3. The Judge decided the first two questions in favour of Mr. Harris and the third question in favour of the defendant. In other words, he decided that the defendant was liable in principle in respect of Mr. Harris’s exposure to levels of noise above 85dB(A)leq, that Mr. Harris was in fact exposed for substantial periods to levels of noise above that level, but that the defendant was not liable to Mr. Harris in common law, because it had conscientiously considered the possibility of taking precautions, and had reasonably rejected that course. Having dismissed the claim in common law, the Judge dealt more briefly with the claim based on statutory duty, and rejected it essentially for the same reasons, namely on the ground that the proposed precautions advanced on behalf of Mr. Harris were “not practicable”.
4. Although he dismissed Mr Harris’s claim, the Judge helpfully went on to consider the level of damages he would have awarded if the claim had succeeded. In summary terms, his conclusion was that he would have awarded a total of £10,000, made up of £6,500 for the injury itself and £3,500 for consequent loss of congenial employment. There is no appeal by either side on quantum.
5. Mr. Harris’s appeal involves, of course, challenging the Judge’s conclusion against him on the third question in relation to his claim in common law, and by the same token, challenging the Judge’s finding that the proposed precautions at work were “not practicable” so far as the claim based on statutory duty was concerned. There is a cross-appeal by the defendant, which challenges the answers the Judge gave to the first two questions he identified in relation to the common law claim.
6. In this judgment, I shall first describe the basic facts and technicalities (albeit much more succinctly than the Judge, because he was required to make detailed findings of primary fact and detailed inferences from those facts). I shall then deal with the claim in common law, taking the three questions identified by the Judge in a somewhat different order from that in which he took them, and also dealing with a pleading point. I shall then turn to the claim based on statutory duty, and finally express my conclusions.
The basic facts and technicalities
7. Mr. Harris’s employment with the defendant can be divided into six periods. (1) He was employed as a secondman in Willesden between 1974 and 1976. As I have already mentioned, for the remaining periods he was employed as a driver, spending much of his time in the cabs of train engines. Those periods were (2) at Orpington from 1976 to1977, (3) at Tunbridge Wells between 1977 and 1985, (4) at Exeter between 1985 and 1987, (5) at Blyth between 1987 and 1993, and (6) at Dollands Moor between 1993 and 2000. During these periods, Mr. Harris worked in a number of different types of locomotive, each of which was considered by the Judge, and in respect of each of which there was evidence, based on the experience of Mr. Harris and some other railway workers, records kept by the defendant and other train operators, and some expert evidence from either side, which was not agreed and was therefore subject to cross-examination.
8. Working with locomotives, and in particular (for present purposes) working in the cab of a moving train, involves exposure to noise, which in turn can lead to permanent damage to hearing. Unfortunately, Mr Harris suffered in this way. The extent of Mr. Harris’s hearing loss was the subject of evidence from different experts, but they were, very sensibly, able to agree their evidence, and accordingly the Judge did not have to make findings as to the extent of Mr. Harris’s loss of hearing.
9. In paragraph 28 of his judgment, the Judge very helpfully summarised, albeit in somewhat general terms, how the effect of different frequencies of noise affect the human ear, and how that effect is measured. He said this:
“The constituent elements in assessing the exposure of a person to noise which may be injurious are pressure level, frequency and duration. Pressure level or "loudness" is measured in decibels. Frequency is measured in hertz. The ear is more vulnerable to injury from noise which is transmitted on frequencies between 1kHz and 4kHz. Therefore noise meters attach more weight to noise which is received within this middle range of frequencies than to noise which is received on the less harmful higher and lower bands. A meter will thus produce an overall reading in what are called "A-weighted decibels" or "dB(A)." The concept of "leq" has to do with duration of exposure, and is the "notional sound level which, in the course of an eight-hour period, would cause the same A-weighted sound energy to be recorded as that due to the actual sound over the actual working day." The modern noise meter takes into account all these factors of noise pressure, frequency and duration, and translates them into a formula expressed as so many dB(A)leq.”
10. The Judge then referred to a letter written in June 1973 by Dr. Dickerson the assistant to the Chief Medical Officer of British Rail, which contained the following:
“Epidemiological studies in both this country and America have shown that if a population is exposed to noise at a level of 90dB(A) for eight hours a day, five days a week, 48 weeks a year for 30 to 35 years, it can be expected that 15 to 17% of that population will develop noise induced hearing impairment; if the exposure level is 85dB(A) for a similar period, the expected incidence of impairment is 6 to 8%.”
11. The Judge then turned to a very useful small book written by His Honour Judge MacDuff QC, Claims for Industrial Deafness: A Practitioner’s Guide (1997, reprinted 1999), and quoted a passage on page 7, which was in the following terms:
“It is now well established that the 'watershed' between risk and safety is defined at 90dB(A)leq. As we have seen above, it is known that prolonged exposure to noise in excess of 90dB is liable to result in hearing loss to the average person. In fact, some people are more vulnerable to noise than others. All human ears are not identical. A relatively small number of people may suffer injury from a noise dose of less than 90dB(A)leq. Others may have extra resilience; they may be able to cope with regular noise in excess of 90dB(A). However, the courts have held that 90dB(A)leq is the dividing line between risk and safety. If the worker (plaintiff) proves that the employer (defendant) exposed him to a 'noise dose' of 90dB(A)leq or higher, his claim will succeed. That is to say, the plaintiff must prove that he was exposed to the equivalent of noise in excess of 90 A-weighted decibels for 40 hours per week.”
12. In light of those observations, it is scarcely surprising that the defendant’s case below, and repeated here, was and is that 90dB(A)leq is the “watershed” or threshold which should be adopted here, and that the 85dB(A)leq threshold for which Mr. Harris contended, and still contends, should be rejected.
13. Before turning to the three questions which arise in relation to the common law claim, I should mention this. For reasons which I shall expand on when discussing the first and third questions, it appears to me to be somewhat artificial and unrealistic to treat them as discrete and unconnected. In my judgment, there is a real danger of reaching a wrong conclusion, or at any rate an unsafe conclusion, if one attempts to identify the minimum sound level at which some sort of duty arises without at the same time bearing in mind the nature of, and evidence relating to, the precautions which it is argued could have been taken, or at least considered, by the defendant in respect of sound at that level. Accordingly, it appears to me appropriate to consider the second of the three questions identified by the Judge in relation to the issue of common law duty, before turning to the first and third questions which I shall consider together.
Common Law Duty: Mr. Harris’s Actual Exposure
14. The Judge explained in paragraph 44 of his judgment that “this question produces very real difficulties” because, during the period between 1974 and 1999 Mr. Harris worked in a very large number of locomotives in many different classes, and the problem is compounded by the fact that the noise emitted by different engines in the same class varies from one to another, and the fact that the noise level of a particular engine depends on a large number of factors, including the loading, the rail type, the gradient, the number of stops, the time of day and the duration of the shift (to mention but some variables). Furthermore, it is inevitable that, despite the records kept by the defendant, it is impossible to identify, to any precise degree whatever, the amount of time which Mr. Harris would have spent in each type of locomotive, even if one could specify all the types of locomotive which he actually was driving in the relevant period.
15. In paragraphs 46 and 47 of judgment, the Judge dealt with the evidence given on this topic by the two experts, Mr. Rawlinson for the defendant and Mr. Hill for Mr. Harris. Mr Rawlinson’s conclusion was that Mr. Harris’s “overall exposure was at 84.3dB(A)leq”, but the Judge described his methodology as “so crude” as to “make the conclusion unreliable”. Mr. Hill’s conclusion that “on the balance of probability the claimant would regularly experience” a daily exposure in excess of 85dB(A)leq was based on material which the Judge described as “more impressive than that selected by Mr. Rawlinson” but he went on to say that it “require[d] close analysis”.
16. In paragraphs 48 to 56 of his judgment, the Judge then proceeded to subject the evidence to close analysis by considering what Mr. Harris’s likely level of exposure to noise would have been in each of the six periods identified above. He rejected the argument that periods (2) and (3) could be relied on by Mr. Harris, and went on to explain, with impressively detailed reference to specific items of evidence, why he concluded that, albeit to some extent in each case, Mr. Harris had been exposed to a significant extent to sound above the level of 85dB(A)leq during periods (1), (4), (5) and (6), which, as he pointed out in paragraph 56, “add up to 16 years”. In those circumstances, he concluded that Mr. Harris was “regularly and over a significant period or periods exposed to noise at a level of 85dB(A)leq or more” (see paragraphs 43 and 56.) He had explained in paragraph 43 why this answer was given to a question which he had formulated using the words “regularly” and “significant”.
17. It is clear that exposure to sound above 85dB(A)leq throughout every working day would involve what the Judge called “a particular measurable risk of noise-induced deafness”. On the other hand, exposure for merely a few days of the whole of ones working life could not give rise to any increased risk of deafness. The problem for the Judge, as he explained, was that he had “not been referred to anything which indicates where what might be called the risk-line should be drawn.” In those circumstances, he concluded that it was “impossible to formulate what is the vital question of fact in this case otherwise from in the broad terms” in which he expressed it.
18. Mr. Leighton Williams QC, who appears on behalf of the defendant, as he did below, contends that the Judge was not entitled to reach the conclusion that he did for a number of reasons. Although those reasons were advanced succinctly and clearly, none of them has caused me to doubt my initial view on first reading the judgment, namely that the Judge had carried out a meticulous exercise in very difficult evidential circumstances, and had reached a conclusion which he was clearly entitled to reach, and with which it would be quite wrong for this court to interfere.
19. The principal ground of attack was on the propriety of the Judge’s approach to the issue he was considering. In that connection, the Judge’s formulation of the vital question which he had to determine was whether the claimant had “regularly” and “for a significant period” been exposed to sound levels of 85dB(A)leq or above. As he explained, the difficulty he faced on the evidence was the absence of any evidence as to a “risk-line”. It has not been suggested that his formulation was wrong in law, or even could be improved on. The only alternative, therefore, would have been for the Judge to reject the claim simply on the basis that he had not been provided with a risk-line. I do not think that would have been the appropriate course to take. Claims for personal injury arising out of exposure to noise, vibration, or other health risks, particularly where the exposure was over a long period of time in different circumstances, notoriously give rise to difficulties. While it may be dangerous to generalise, the cases demonstrate, and common sense and fairness require, that, unless it is clear that decisive evidence would have been relatively easily available, and that there was no good reason why it is not before the court, it is normally wrong for the court simply to shelter behind the burden of proof and dismiss the claim.
20. As to the Judge’s assessment of the factual evidence and the expert evidence relating to this issue, Mr. Leighton Williams did not suggest that there had been any errors of fact, merely that the Judge had made inferences which he was not entitled to make, or at any rate should not have made. I intend no disrespect to Mr. Leighton Williams’s arguments in this connection in saying that I do not find any of them persuasive. The Judge’s conclusion was supported by the evidence of one of the experts, and did not involve a substantial departure from the evidence of the other expert. He approached the question, as I have said, in a manner that can only be described as meticulous, and reached a conclusion which appears to me to be one which, to put it at its lowest, he could reasonably have arrived at.
21. In these circumstances, I consider that the Judge was fully entitled to arrive at the conclusion that he reached on this issue, which he identified as the second question, and I would therefore dismiss the defendant’s cross-appeal on that issue.
22. As I have mentioned, it appears to me unrealistic, and indeed wrong in principle, to treat what the Judge identified as the first and third issues as unconnected, at any rate in the present case. The question of whether, on particular facts, a defendant owes a claimant a duty of care may often, of course, be determined quite independently of the question of whether or not the defendant should have considered or adopted, certain precautionary measures. However, particularly in a case such as this, I consider that it would not be right to deal with the two issues as if they are unconnected. There is a dispute both as to the existence of a duty and as to the appropriateness of any precautions, the claimant is alleging a duty on the defendant which is arguably more onerous than it might normally be, and he is also alleging the only way in which the duty required to be satisfied was by the taking of the very precautions which are an issue.
23. As I have already explained, so far as the first issue, namely the existence of a duty of care, is concerned, the normal level of sound which gives rise to a duty of care, in law is 90dB(A)leq, and Mr. Harris’s case is based on the proposition that the defendant owed a duty of care to him on the basis that the level of sound was over 85dB(A)leq but below 90dB(A)leq. Furthermore, the only step which he alleges should be taken by the defendant in relation to mitigating or preventing any damage to his hearing was the use of earplugs or other ear protectors, the practicality of which is denied by the defendant. Finally, perhaps most significantly in many ways, the evidence upon which Mr. Harris relies in order to support his case on the first issue appears to be very much connected with the evidence which both parties rely on in relation to the third issue.
Common law duty: a pleading point
24. Before turning to the first and third issues, it is right to deal with one related, if distinct, issue, which, although it raises a pleading point which ultimately turns on what happened at the beginning of the trial, raises a matter of some general significance in cases of this sort. As I have explained, one of the three issues before the Judge, and, indeed, the issue upon which Mr. Harris crucially lost, was whether or not it was reasonable for the defendant not to have provided precautions in the form of earplugs or the like. A preliminary point taken by Mr. Hillier, on behalf of Mr. Harris, is that it was not open to the defendant to contend, and that therefore it was not open to the Judge to hold, that liability was avoided on the grounds that it was impractical to supply protection.
25. So far as the pleadings, or statements of case, are concerned, the position was as follows. In Mr. Harris’s statement of case accompanying the claim form, it was specifically contended as one of the particulars of negligence alleged against the defendant, that it should have, and that it failed to, provide protection, in the form of earplugs, to Mr. Harris in order to reduce his exposure to the level of sound to which was exposed. This was put in issue only to the extent that, in defence there was a general denial of liability for negligence, which extended to all the particulars of claim, including the alleged failure to provide protection. In particular, Mr. Hillier points out, there was no positive allegation in the defence to the effect that the provision of protection to Mr. Harris was inappropriate for any particular reason.
26. There was, in the normal way, exchange of expert evidence well before the trial. In his expert evidence, Mr. Rawlinson, the defendant’s expert, said nothing about any problem in connection with the provision of protection, and in particular, did not suggest that it would have been impracticable either generally or in the particular case of Mr. Harris. Nor did the witness statements of any of the witnesses of fact to be called on behalf of the defendant contain any such evidence. Following the exchange of expert evidence in May 2004, the parties’ respective experts agreed a statement of issues, which did not deal with the question of practicability of precautions.
27. It was only a week before the trial that the defendant produced any document to suggest that it was part of its case that it would have been impracticable to provide ear protectors for Mr. Harris. During that week, Mr. Harris’s solicitors received Mr. Leighton Williams’s skeleton argument for the hearing, and a supplemental report from Mr. Rawlinson, both of which referred, albeit in pretty short order, to the “potential problem of wearing hearing protection in the cab” and the resistance on the part of some employees to wearing such protection.
28. In my judgment, where an employee, who is suing his employer for personal injury suffered at work, contends in his statement of case that certain precautionary steps should have been taken or considered by the employer, it should normally only be open at trial to the employer to raise a defence of impracticability or the like if it has been fairly and squarely raised on his behalf in his statement of case. Apart from receiving support from the general proposition that each party should come to court knowing the salient features of the other party’s case, it appears to me that the point is well made by the provisions of CPR16.5 which, so far as relevant provides as follows:
“Contents of Defence

(2) Where the defendant denies an allegation –
(a) he must state his reasons for doing so; and
(b) if he intends to put forward a different version of events from that given by the claimant, he must state his own version.

(5) … a defendant who fails to deal with an allegation shall be taken to admit that allegation.”
29. While the CPR contains the general rules relating to statements of case, it appears to me that, relating to a case such as this, there is direct judicial authority to support Mr. Hillier’s argument. The point was clearly made in Larner –v- British Steel Plc [1993] 4 All ER 102 at 111D, where Peter Gibson LJ said:
“It is now well established that it is for the employer both to plead and to prove that it was not reasonably practicable to make and keep the working place safe… It is important that the employer should plead his case on this so that the employee can know and test the case he has to meet.”
30. In support of that proposition, Peter Gibson LJ cited three cases, including Nimmo –v- Alexander Cowan & Sons Ltd [1968] AC 107, where Lord Upjohn made the point very clearly at 125F and 126E. Hirst LJ expressed the same view as Peter Gibson LJ, when he said at 108J that it was a “pre-requisite” that an employer defendant’s defence of reasonable practicability “if it is to be raised, should be expressly pleaded”.
31. If Mr. Hillier had contended in clear terms before Judge Langan that the defendant should not be entitled to lead evident or argue that it was not practicable to provide Mr. Harris with protectors, then he would have been in a strong position. Unless he would have been unable to show any prejudice as a result of the point being taken so late (and then only in the defendant’s skeleton argument and in a short supplemental expert report), it seems to me that it would have been very difficult for the Judge to take any course other than acceding to the application or granting an adjournment at the expense of the defendant. It cannot be right, at least in the absence of special circumstances, to proceed forthwith to hear an action, over a claimant’s objection, on the basis that it is open to the defendant to take a potentially determinative point, which ought to have been but was not been, pleaded, which was only raised less than a week before the trial, which reasonably takes the claimant by surprise, and with which the claimant is unable to deal properly without an adjournment. In my judgment, it is almost inevitable in such circumstances that one could not proceed forthwith to hear the case without acceding to the claimant’s objection and debarring the defendants from taking the point.
32. However, this was not a case where objection was taken on behalf of the claimant, at least in clear terms, to the defendant taking the point. Rather curiously, it seems to have been Mr. Leighton Williams who raised the point; he took objection to the fact that Mr. Hillier, during his opening, made much of the fact that the defendant had not taken any steps to provide Mr. Harris with ear protection. Not surprisingly the Judge was rather unimpressed with that point, given that Mr. Harris’s statement of case had specifically advanced this allegation. However, the Judge raised the possibility of the defendant being granted an adjournment to deal with the point, the question of an adjournment having been in the parties’ minds in any event, because an adjournment application, supported by both parties, had been rejected by the District Judge. After the matter had been debated a little, the Judge rose so that the parties could discuss matters, and, when the Judge returned, the transcript shows that the parties indicated that they were both content for the case to continue. Thereafter, both experts dealt in their oral evidence with the question of ear protection.
33. In those circumstances, I consider that it would be wrong if Mr. Harris were now able to run the argument that the defendants should not have been permitted to contend that the provision of ear protection was impracticable on the ground that it was not pleaded, and that, indeed, it was only raised less than a week before trial. If that argument had been raised in clear terms below during Mr. Hillier’s opening, for instance during the discussion to which I have made reference, then both the Judge and the defendants would have been able to consider that point. In particular, the Judge could have reached a conclusion on what prejudice would be suffered by Mr. Harris if the question of practicability was permitted to be raised at such short notice (albeit bearing in mind there was a little notice), and both the defendant and the Judge would have been in a position to consider whether to offer or, as the case may be, grant, an adjournment. As I see it, the connected issues of precautions and practicability were both permitted to be argued, albeit in the face of a slightly cheeky objection from the defendant to the claimant raising the issue of precautions, and without any specific objection from the claimant as to the defendant’s right to rely on impracticability.
34. Having said that, I think that Mr. Hillier makes a fair point when he says that Mr. Hill’s evidence in answer to the point that the provision of ear protection was impracticable has to be assessed in the light of the fact that Mr. Hill did not have as much time to investigate and consider that issue, and to refine his views on it.
The common law claim: duty of care and precautions
35. In this court, as before the Judge, the defendant places heavy and understandable reliance on the proposition that it is commonly accepted that an employer’s common law liability to his own employees in respect of damage by sound will only arise where the level exceeds 90dB(A)leq. In this connection, reliance is placed, inter alia, on the passage I have cited from Judge MacDuff’s book. The Judge’s answer to that was encapsulated in paragraph 41 of his judgement where he said this:
“By setting the threshold at 85bB(A)leq in the claimant's case, the court is doing no more than saying that this is the level at which the risk of injury to him was foreseeable by the defendant...”
36. Mr Leighton Williams says that the defendant has “no quarrel with the conclusion since [it has] always accepted that exposure to 85dB(A)leq gives rise to a foreseeable risk of injury in the broad sense that all excessive noise is potentially injurious to hearing”. However, as he goes on to say, the mere fact that a particular level of sound is potentially injurious does not of itself give rise to a duty of care. As he puts it, the existence of a duty of care “depends not merely on foreseeability of injury but whether it is just and equitable to impose the duty”.
37. I do not understand Mr. Hillier to quarrel with that formulation, which appears to me to be not only sensible, but correct as a matter of principle. However, once one bears in mind the accepted fact that the 85dB(A)leq level of sound involves a real risk of damage to an employee’s hearing, it seems to me plainly to follow that it must, ultimately, be a matter which is capable, on the particular facts of a particular case, of leading to the conclusion that the exposure of an employee to that level of sound can give rise to a duty of care.
38. That observation is not intended to call into question the applicability in the general run of cases of the 90dB(A)leq threshold. While each case must turn very much on its facts, not least because of the “just and equitable” test accepted, indeed advanced, on behalf of the defendant, it is appropriate that there should be a generally applicable standard, albeit that that standard must yield on occasion to the particular facts of a particular case. The existence of a general standard enables employers and employees to know where they stand in most cases, and therefore reduces uncertainty, and the costs and pressures of litigation.
39. Apart from Judge MacDuff’s remarks, Mr. Leighton Williams referred to a Code of Practice published in 1972 by the Industrial Health Advisory Committee’s Sub-Committee on Noise, and the Health and Safety Commission’s Consultative Document, Protection of Hearing at Work, published in 1981, both of which referred to the desirability of not exposing employees to sound levels above 90dB(A)leq, and the Noise at Work Regulations 1989 (“the 1989 regulations”) which, while they impose some duty on employers in relation to sound above 85dB(A)leq, require stronger action to be taken at the 90dB(A)leq level. To my mind, these papers reinforce Mr. Leighton Williams’s point, at least until the 1989 Regulations came into force, that an employer would not normally be expected to be liable to an employee who was exposed to a level of sound lower than 90dB(A)leq, but this evidence cannot go so far as to negative in all circumstances liability to employees whose health is impaired as a result of exposure to sound below that level.
40. Like the Judge, I derive assistance from what was said by Swanwick J in Stokes –v- Guest, Keen and Nettlefold (Bolts and Nuts) Ltd [1968] 1 WLR 1776 at 1783:
“From these authorities I deduce the principles that the overall test is still the conduct of the reasonable and prudent employer, taking positive thought for the safety of his workers in the light of what he knows or ought to know… [W]here there is developing knowledge, he must keep reasonably abreast of it and not be too slow to apply it; and where he has in fact greater than average knowledge of the risks, he may be thereby obliged to take more than the average or standard precautions. He must weigh up the risk in terms of the likelihood of injury occurring and the potential consequences if it does; and he must balance against this the probable effectiveness of the precautions that can be taken to meet it and the expense and inconvenience they involve. If he is found to have fallen below the standard to be properly expected of a reasonable and prudent employer in these respects, he is negligent.”
41. It may well be that a good working approach is that the 90dB(A)leq level gives rise to a presumption: if sound is above that level, the onus shifts to the employer to show why he should not in principle be held to be negligent, whereas if it is below that level, it is for the employee to show why a duty should be imposed at all. I would, however, not wish to be interpreted as laying down any rule or principle: at best, what I have in mind is a rule of thumb, but it should be emphasised that, in even putting it that way, I am proceeding very much on the basis of the evidence and the arguments developed before us.
42. To my mind, therefore, the point which has to be ultimately resolved, in relation to what the Judge identified as the first issue, is whether or not, in light of the evidence and arguments before him, the Judge was entitled to conclude that, on the facts of this particular case, the threshold giving rise to actual, or at least potential, common law liability on the part of the defendant to Mr. Harris was 85dB(A)leq rather than the more usual 90dB(A)leq. In order to answer this question, it is, of course, necessary to turn to the relevant evidence before the Judge. In that connection, there were various different sources of evidence.
43. The first type of evidence available to the Judge on this issue consisted of records of meetings and copies of correspondence kept by the defendant going back to at least 1973 (when the defendant was part of British Rail). On 19 June 1973, as I have already mentioned, the Assistant to British Rail’s Chief Medical Officer wrote to the Executive Director of Personnel explaining that there was about a 16% risk of damage by noise at 90dB(A)leq, as compared with the risk of 7% at 85dB(A)leq. He also pointed out that there was a difference of opinion as to which should be taken as the maximum level, and that the US and the UK Governments chose 90dB(A)leq, but that the legal position was difficult because the absolute safety level could not yet be defined. By 30 September 1977 the Head of the Acoustics Section was writing to the Chief Operations Manager agreeing “that it may be preferable to issue personal ear protection rather than to spend money quieting nearly life-expired equipment” and he ended by saying that “it does not seem, in the light of present knowledge, that an 85dB(A)leq limit would be over-protected”.
44. An important meeting for present purposes took place on 7 May 1980, where the use of earmuffs by personnel in engine cabs was discussed. Concern was expressed as to whether “a driver with normal hearing would hear detonation etc with earmuffs”, as it was regarded as important that he should do so for safety reasons, “and it was agreed that he would”. The meeting then went on to discuss the “perception” employees might have; the possible problems were identified as “ear defenders [being] an irritant”, possibly upsetting balance, causing the “sense of hearing [to be] muted” and resulting in “a feeling of isolation”.
45. A Regional Industrial Safety Officer observed that British Rail “was knowingly exposing people to a situation which would make them deaf” and that he “believed that a trial was necessary to see if drivers would wear the earmuffs”; he added that ear plugs would be a “low cost alternative”. The chairman of the meeting “stated that he believed it should be possible to reduce exposure to noise through the use of earplugs”. Later in the meeting, he went so far as to suggest that “if a man refused to wear ear protection, he could be warned under the formal disciplinary procedure or by letter” and, if he persisted, “he probably could be sent off the job”.
46. On 24 June 1986, British Rail’s Director of Operations wrote to the Chief Medical Officer referring to the pressure from the Railway Inspectorate “to provide footplate staff who work on some of the more noisy classes of locomotives with a form of hearing protection to be used in the cabs”. The letter went on to refer to British Rail having set their “target of 85dB(A)leq… maximum and this is certainly the figure to which we must, as soon as possible, bring down the noise levels in all cabs…”. The letter went on to refer to the uncertainty about the level of noise being suffered by footplate staff and “whether there might be other objections to them wearing some standard form of defenders”. The letter mentioned that earplugs were supplied “to be used for limited periods in diesel locomotive engine rooms” but pointed out that British Rail had “always instructed that they should not be worn in cabs”. The letter went on immediately to refer to the possibility of using ear muffs, such as those “already worn by drivers on the Netherlands Railways”.
47. The Director of Operations went on to say that he was reluctant to issue them for those in the cabs because they were “tiring and uncomfortable”, not as efficient as “the normal ear defender… at reducing the level of high frequency sound waves”, and because the “total problem is an ever diminishing one as the more noisy classes of locomotives… have been withdrawn”. The letter also referred to the fact that those wearing ear muffs “may lose a degree of perception of awareness”.
48. The matter was discussed in relation to one class of locomotive by the Director of Operations in a letter of 10 February 1988 written to the Railway Inspectorate. The letter identified the sound readings which had been taken at “typically in the range of 85-90dB(A)leq and went on to suggest that the defendant had “a number of possible courses of action”. Apart from sound proofing the cabs, and limiting the number of hours worked, the only proposal was either “passive [or] active ear defenders” which they were reluctant to use.
49. So far as the expert evidence was concerned, Mr. Hill, who was Mr. Harris’s expert, concluded that, despite knowing train drivers were being exposed to potentially hazardous level of noise “hearing protection for locomotive drivers was never enforced by the defendant [who] continued to knowingly expose drivers to a daily noise exposure exceeding 85(A)leq”. Mr. Rawlinson, the defendant’s expert had inevitably taken a different view because he had concluded that the exposure of employees such as Mr. Harris to a level of sound below 85dB(A)leq, which the Judge had rejected. However, he did not really address the point, at least directly, as to whether or not the defendant could or should have provided ear protection. His only, or at least main, point, as put in his supplemental report was that there was “resistance to the wearing of ear protection in industry for a variety of reasons not all of which were valid”.
50. In addition, the Judge saw some articles dealing with aural protection. One article, “Design Factors and Use of Ear Protection” by C. G Rice and R. A. A. Coles published in 1966, stated that “resistance of personnel towards using ear protectors is universal though varying in degrees”. It then observed that “in some case the objections were “very reasonable but [had] to be weighed against the hazard to hearing” and that in other cases the objections were “less well founded” and could “largely be overcome by discipline, education and example”. The disadvantages which were identified were discomfort, (where “persistence is the answer”) ear infections (in respect of which “ earplugs are contra-indicated”), difficulty with communication, and difficulty in listening to machinery sounds or hearing warning signals.
51. A report by S. D. G Stephens in 1976, “Disorders of Auditory Function” reached certain conclusions, including that “wearing hearing protectors in noise levels above 85dB(A)leq does not degrade the listener’s discrimination of speech” but that there was an overall degradation in person-to-person communication” if both wore hearing protection. Such problems were identified in an article published the following year by W. I. Acton, “Problems Associated with the Use of Hearing Protection” as being of significance where a person had “pre-existing noise induced hearing losses”, where there would also be difficulties in relation to “missing vital warnings or alarms”.
52. In my view, this evidence supports the Judge’s conclusion that the defendant owed Mr. Harris a duty of care in relation to exposure to sound at a level above 85dB(A)leq, but, almost for the same reasons, it undermines his conclusion that the defendant satisfied that duty of care.
53. First, it appears to me clear that, from 1973 at the latest, the defendant was well aware of the fact that exposure to a level above 85dB(A)leq gave rise to a real, as opposed to a minimal, risk of damage. Secondly, while different employees of the defendant who were concerned with such matters may have had somewhat different views, the British Rail documentation from which I have quoted establishes that the prevailing view was that 85dB(A)leq was not merely a desirable target but an achievable target. Thirdly, and crucially, there is the evidence revealed by the documentation in relation to the provision and use of ear protection.
54. In this connection, it seems clear that the desirability of encouraging, even requiring, the wearing of some sort of ear protection by employees who were exposed to relatively high volumes of sound, namely above 85dB(A)leq, was flagged up on a number of occasions. Indeed, there was a requirement that employees wore ear protectors in the engine rooms. On the other hand, employees were positively forbidden from wearing ear protectors in cabs. Yet not only was there no evidence that the wearing of ear protectors in cabs would interfere in any significant way with the hearing of essential sounds, such as detonators: the general consensus was that it would not so interfere. Certainly, nothing was done to investigate that issue, let alone to support the proposition that there was, in fact, any significant risk of employees not hearing warning sounds or danger signals such as detonators.
55. As to the notion that employees would resist the use of ear protection, there was significant support for, and no real apparent resistance, and certainly no grounds for resistance, to, the notion of a trial to see whether employees would use ear protectors, or at least the giving of an opportunity to employees to use ear protectors in the cabs. That is particularly remarkable in light of the fact that employees were not merely supplied with the ear protectors, but were positively required to use them, in the engine rooms. Quite apart from this, the Judge unhesitatingly accepted that Mr Harris would have used ear protectors in the cab, if he had been advised of the benefits of doing so, or the risks of not doing so.
56. All in all, it appears to me that the relevant employees of the defendant appreciated the risk to employees of exposure to noise at over 85dB(A)leq, that they believed that limiting the volume of sound to that level was feasible, that they were well aware that this could be achieved with ear protection, and that the possible difficulties involved in providing employees with ear protection should not prove insurmountable. In particular, I can see no answer to the point that given that ear protectors were provided and required to be used in certain circumstances, employees working in the cabs could not be provided with ear protectors with a recommendation, if not a requirement, that they be used. Applying the test laid down by Swanwick J and quoted with approval by the Judge, I can well understand why he concluded that a duty did exist in this case, but I find it a little hard to understand how he concluded that the duty was satisfied in light of the fact that there was a positive requirement by the defendant that its employees working in the cab, such as Mr. Harris, should not be allowed to use the ear protectors.
57. However, it is, of course, essential to remember that this is an appeal in the normal way, namely by way of review, and that the question for us is not whether we would have reached the same conclusion as the Judge, but whether he reached a conclusion that he was entitled to reach. For the reasons already given, I have no difficulty in holding that he was entitled to reach the conclusion that he did on what he identified as the first issue. In light of the totality of the evidence in this case, it appears to me that, while in no way seeking to suggest that, in the normal run of cases, the threshold or watershed should not be regarded as 90dB(A)leq, the Judge was, on the particular facts of this case, entitled to reach the conclusion that the somewhat lower threshold of 85dB(A)leq was appropriate.
58. It is right to mention that, in connection with claims against other companies, the Judge’s decision on this point does not stand alone: we have been referred to a number of first instance decisions where the same conclusion was reached. However, in fairness to the defendant, and any other employers against who such claims were brought, it is also right to emphasise that it is inevitable that each case turns on its primary facts and particular inferences, whether agreed between the parties or found by the court, and the documentary evidence put before the court.
59. On the third issue, the question is once again, whether the Judge was entitled to reach the conclusion that he did, namely that the defendant was not in breach of duty in failing at least to provide Mr. Harris with the opportunity to wear ear protection in the cab when driving the noisier trains. On this point, I think the Judge arrived at a conclusion which cannot, in the event, be sustained. In this connection, it is only fair to record that the Judge was in a particular difficulty with regard to this issue. As he explained in paragraph 60, “by the end of the trial the question of ear protection had assumed an importance which had not been reflected in the pleadings or in the reports of the expert witnesses”. I have already referred to the defects on the defendant’s side, but it is right to add that, as the Judge pointed out in the same paragraph, “the advantages and disadvantages of ear protectors were not addressed in the main report of either expert, and were not addressed by Mr. Hill in writing at all”.
60. Having said that, Mr. Hillier is, in my view, justified in making a number of criticisms of the Judge’s reasons for reaching his conclusion on this issue. First, the Judge placed significant weight on evidence from non-expert witnesses of fact as to the alleged problems to which the use of ear protectors by employees in cabs might have given rise. He relied on the fact that Mr. Harris, in cross examination, and another driver Mr. Smart (in evidence in chief not included in his witness statement), were prepared to say that they would not have been, or at least thought they would not have been, able to hear certain warning sounds if they had worn ear protectors in the cab. This was no more than speculation on the part of two employees, who were in no way acoustic experts, and who had never used ear protectors in cabs, not least because they were forbidden from doing so. Furthermore, it must be pretty doubtful whether Mr. Harris’s evidence on this point really helped the defendant, in light of his statement, which was unreservedly accepted by the Judge, that he would have worn ear protectors if he had been instructed or advised to do so.
61. In my view, therefore, it must be doubtful whether any weight could fairly be given to the evidence of such individuals who had no expertise and no experience on which to base their views. If any weight were to be given to their evidence, it could only be very slight. Yet, I think Mr. Hillier right to say that it is plain from what was said in paragraph 63 of his judgment that the Judge did “place considerable weight on this evidence”.
62. Secondly, in the next paragraph of this judgment, paragraph 64, the Judge, after referring in general terms to the British Rail documentation from which I have quoted, made the point that the defendant did not overlook the possibility of providing drivers with ear protectors”, and that therefore this was not “a case of a possible precaution being ignored”. It is perfectly true that the defendant did not ignore the problem, but the fact that it was considered is scarcely enough to avoid liability. Indeed, the Judge appears to have accepted that, when he concluded his brief consideration of the documentary evidence with this observation:
“Given the seriousness with which the noise problem was dealt with over the years, I infer that the matter was considered with a sense of responsibility and that there appeared to be adequate reasons for not adopting the precaution.”
63. With all respect to the Judge, I do not think that that will do. In the absence of any other explanation from a representative of the defendant, and subject, of course, to the expert evidence and literature, it seems to me that one has to draw such inferences as one fairly can from the British Rail documentary evidence dealing with its consideration of the matter.
64. When one considers that documentary evidence, and in particular the passages I have quoted from it, I am of the view that it indicates that the defendant did consider the matter in some detail, but either wholly overlooked the need or desirability of actually doing anything about it, or took the view that it would be easier for the defendant simply to do nothing and to take the risk of claims such as that which was ultimately brought by Mr. Harris in these proceedings. It was quite clear to the defendant, at least by 1980 that it was “knowingly exposing people to a situation which would make them deaf” at a meeting where the Chairman “stated he believed that it should be possible to reduce exposure to noise through the use of earplugs”. Yet nothing was done about it. It is true that certain problems were identified at the same meeting, but it was after those problems were identified that the Chairman made that statement.
65. Furthermore, in so far as the problems were operational problems it appears to have been agreed that they would not arise (because detonators would be able to be heard). As to the problems based on resistance from individual employees to the use of earplugs, there were a number of answers. First, they were required to use earplugs in certain circumstances; secondly, disciplinary proceedings were apparently considered to be appropriate; thirdly, there was no reason whatever why earplugs could not be provided to those working in cabs with advice that they should be used without any requirement to that effect.
66. In other words, it seems to me that, as not infrequently happens in many areas of human activity, the defendant, having been aware of the problem and of the possible solution, either failed to translate words and thoughts into action, or took the view that to do so would be more trouble than it was worth, and that it would be better to run the risk of facing the possibility of future claims.
67. The Judge also relied on the literature, and I briefly have referred to the three papers which were before him. To my mind, they really do not take matters any further, not least because, they are, not unreasonably, expressed in pretty general terms. Inevitably, the problems of using ear protectors will depend on the precise nature of the ear protectors involved, the level and nature of the sound involved, and the nature of the job, including the types and importance of warning sounds.
68. However, what can be said about the literature is that it does give some, if limited support to Mr. Hill’s evidence, which the Judge said “amounted to little more than unreasoned assertion, with the objection to ear protectors being cavalierly dismissed as ‘myths’.” In my judgment, the Judge was harsher than he should have been on Mr. Hill.
69. First, as already mentioned, until very shortly indeed before the hearing, Mr. Hill was unaware and reasonably unaware, that he would be giving evidence in a case where it was being alleged that the use of ear protectors by employees would be inconvenient or unacceptable. No allowance appears to have been made by the Judge for the fact that Mr. Hill was, somewhat unfairly from his point of view, having to give evidence virtually “on the hoof” on this issue. Secondly, although it is fair to say that the articles from which I have briefly quoted are not all one way on this issue, it is clear that many of the concerns about the use of ear protection can fairly be characterised as “myths”. The point is reinforced by the fact that the Judge considered that Mr. Hill’s view in this connection was undermined by the evidence of Mr. Harris and Mr. Smart, but it appears to me that, with all due respect, that observation involves pulling up his conclusion by its own boot straps. Given that Mr. Harris and Mr. Smart had no experience of using ear protection in the cab, their views on the point could equally well have been treated as being supportive of Mr. Hill’s opinion that such views were “myths”, as calling that opinion into question.
70. An appellate court should be slow to interfere with a conclusion of the trial Judge that the use of a particular precaution suggested by a claimant would not in fact have been appropriate, and all the more so when the decision is contained in a judgment prepared with such conspicuous care. However, in this case, it appears to me that, having written a faultless analysis of the facts and come to faultless conclusions on the first two issues, the Judge did go wrong on this issue. I reach this conclusion with perhaps more confidence that I would otherwise had been able to do because my principal ground is based on the defendant’s own contemporaneous documents, which an appellate court is as well able to assess as the trial Judge.
Breach of Statutory Duty
71. The Noise at Work Regulations 1989 (“the 1989 Regulations”) came into force on 1st January 1990, and, as the Judge pointed out, they “could therefore only apply to such part of the claimant’s noise – induced hearing loss as was attributable to injury sustained between that date and 1999”. In paragraph 2 of the 1989 Regulations, the expression “the first action level” and “the second action level” are defined as “daily personal noise exposure” of 85 dB(A) and 90 dB(A) respectively.
72. The relevant duties of an employer for present purposes, are set out in Paragraph 8 (i) and 11 of the 1989 Regulations, which are in the following terms:
“8 Ear protectors

(1) Every employer shall ensure, so far as practicable, that when any of his employees is likely to be exposed to the first action level or above in circumstances where the daily noise exposure of that employee is likely to be less than 90d(B)(A), that employee is provided, at his request, with suitable and efficient personal ear protectors…

11 Provision of information to employees

Every employer shall, in respect of any premises under his control, provide each of his employees who is likely to be exposed to the first action level or above… with adequate information, instruction and training on -

(a) the risk of damage to that employee's hearing that such exposure may cause;
(b) what steps the employee may take to minimise that risk;
(c) the steps that that employee must take in order to obtain the personal ear protectors referred to in regulation 8(1)….”
73. The case for Mr Harris is, as it was below, very simple. The defendant was in breach of its obligations under paragraph 11 of the 1989 Regulations because of its failure to provide Mr Harris with any, and therefore with “adequate”, or indeed any, “information, instructions and training” on any of the three matters identified in sub paragraphs (a) to (c), at least so far as working in train cabs was concerned. In particular, there was a failure on the part of the defendant to give Mr Harris advice as to the risk of damage to his hearing as a result of his exposure “to the first action level or above”, the appropriate steps being to use personal ear protectors, and what he could do in order to obtain such protectors. If he had been given that advice, runs the argument, Mr Harris would have asked for ear protectors (and that was accepted by the Judge, as I have mentioned), and accordingly there was a breach of paragraph 8 (1) because no such ear protectors were provided, and had they been provided, they would have been worn, and accordingly Mr Harris would not have suffered any deterioration in his hearing from January 1990.
74. In my judgment, there was, on this argument, a breach of the defendant’s obligations under paragraph 11, but no direct breach under paragraph 8. A breach under paragraph 8 only arises where the employer fails to provide ear protectors after a “request from the employee”, and no request was made by or on behalf of Mr Harris in the present case. However, that would not itself be enough to enable to defendant to avoid liability in this case, because the reason that there was no request, was because there was a breach of the defendant’s duty under paragraph 11, in that no “adequate information, instruction (and training)” as required by that paragraph was given to Mr Harris. Had paragraph 11 been compiled with, so that he had received the “adequate information, instruction (and training)”, then, as I have mentioned, he would have asked to be provided with ear protectors, to which he would have been entitled, at least provided it was “practicable”, and therefore the breach would be established.
75. The Judge identified two grounds for rejecting Mr Harris’s case on breach of statutory duty. The first, which does not, with respect, seem to me to be a good reason, even on the face of it, was that “the parties concentrated on the common law claim and gave less attention to the alternative claim which thus came to be dealt with almost as a footnote”. That, of itself, is not enough to justify dismissing the claim for breach of statutory duty, any more than it is a reason for accepting it. Of course, given that the onus on a claimant to make out his case on breach of statutory duty, the fact that the issue has been dealt with cursorily, can be said to put his case more at risk than that of the defendant, because the overlooking of an issue is, albeit little more than on balance, more likely to result in a claim being dismissed than a claim being allowed.
76. The second, and more substantial reason the Judge dismissed Mr Harris’s claim for breach of statutory duty rested on the qualification in paragraph 8 of the 1989 Regulations embodied in the word “so far as practicable”. The Judge said this in paragraph 72 of his judgment:
“This raises the question, whether ear plugs or ear muffs could be used by a driver consistently with his safe operation of the train. The best which I can do on the evidence available is to conclude, on the basis of what was said both by the claimant and by Mr Smart, that this question must be answered in the negative.”
77. At first sight, this conclusion is not an answer to the claim based on statutory duty, because, as I mentioned, there was, on the face of it, a plain breach of paragraph 11, rather than paragraph 8, of those regulations. However, on analysis, it seems to me to be a fair point in principle. Although the defendant’s primary breach was of its duty under paragraph 11, a claim for damages can only succeed if Mr Harris can show that the breach did indeed result in some loss of hearing. His case is that such breach did lead to loss of hearing, because, had the defendant complied with its obligations under paragraph 11, he would have been properly informed, and accordingly he would have asked the defendant to supply him with ear protectors which he would have used. The defendant’s answer to this is that there would have been no duty to provide him with ear protectors, because that duty could only have arisen under paragraph 8, and such a duty was not absolute, but was “so far as practicable”, and that the Judge was right to conclude on the evidence that the provision of ear protectors was not “practicable”. That line of reasoning appears to me to be right in principle; accordingly the central question is whether the Judge was right to conclude that the provision of ear protection was not “practicable”.
78. In reaching that conclusion, the Judge appears pretty clearly to have been proceeding on the basis that it was not practicable for employees in cabs to wear ear protection because of the risk that they would not be able to hear warning sounds, including detonators and the like. His main reason for reaching that conclusion appears to have been the evidence that Mr Harris and Mr Smart gave, which as I have said, appears to me to be of very little, if any, value on this topic. Of far more significance, in my judgment, were the other factors to which I have already referred when discussing what the Judge characterised as the third issue on common law liability, namely the British Rail documents, the lack of any action at all by the defendant, Mr Hill’s evidence, and the published papers.
79. As I have also explained, the strength of Mr Harris’s case on this issue is reinforced by various factors. First, the onus is on the defendant to establish lack of practicability. Secondly, the defendant had not raised the issue of practicability on the pleadings, or, indeed, in any way until less a week from trial, so that Mr Hill’s evidence must not be judged too rigorously. Thirdly, the Judge was satisfied that, had the defendant complied with paragraph 11 of the 1989 regulations, then, as Mr Harris would have asked to have been supplied with the ear protectors, the defendant would have been obliged to provide him with them.
80. Although it may involve covering substantially the same ground as that involved in the third question raised by the common law claim, I should briefly reconsider the evidence in relation to the claim based on breach of statutory duty. This is partly because it is a separate and distinct claim, and partly because I am disposed to come to a different conclusion from the Judge.
81. The evidence of Mr Hill indicated that there were no good reasons for not permitting, indeed encouraging, the use of ear protection in cabs. The only ground upon which the Judge criticised his evidence in relation to the provision of ear protectors was that he “cavalierly” dismissed the disadvantages as “myths”. The Judge’s first reason for this view was based on the Rice and Coles paper. So far as this identified disadvantages other than the risk of not hearing warning sounds, it seems to me to take matters no further. All those disadvantages related to discomfort and the like which individuals suspect they will feel if they wear ear protection: none of this would have applied to Mr Harris, because as the Judge accepted, he would have worn ear protectors. So far as the risk of not hearing warning sounds is concerned, one cannot, as Rice and Coles make clear, be dogmatic: each case turns on its own facts.
82. In the present case, it would be hard to criticise Mr Hill’s dismissal of any problems in this connection, bearing in mind the contents of the defendant’s (or, more accurately, British Rail’s) own records. As I have indicated, these suggest that there should probably be no concern about ear protection preventing the wearer hearing warning and danger signals; they also suggest that disciplinary procedures could be imposed on those who refused to wear protectors in the cab. These records also refer to the compulsory use of ear protectors in the engine rooms, and leave open, indeed wholly fail to explain, why the defendant did nothing in the way of giving employees the option of using ear protectors in the cab, at least on an experimental basis. On the contrary, the defendant appears simply to have maintained an absolute ban on the use of ear protectors in cabs.
83. Not surprisingly, the Judge rejected Mr Harris’s statutory duty claim on effectively the same ground as he dismissed the common law claim. It is therefore scarcely surprising that my conclusion that he should be reversed on the latter decision means that he should also be reversed on the former decision.
A further point on damages
84. Mr Leighton Williams rightly points out, even in light of the conclusions I have reached, namely that the defendant should be liable for breach both of its common law duty and of its statutory duty, it should not follow, as a matter of logic, that Mr. Harris should recover damages in respect of all the deafness he has suffered. Although the Judge concluded, and was plainly right to conclude, in the absence of any evidence to the contrary, that the impairment of hearing in respect of which Mr. Harris claimed was caused by his exposure to noise when employed by the defendant, he is only entitled to damages in respect of the damage caused by the exposure to noise in excess of a level of 85dB(A)leq. It is clear from the evidence that exposure to sound at a level lower than that carries with it some risk of impairment of hearing, albeit a lower risk than the approximately 7% risk in relation to exposure to noise between 85-90dB(A)leq.
85. In principle, it appears to me that is a perfectly fair point. The court has been frequently called upon to assess damages in circumstances where, on the balance of probabilities, damage to health during the course of employment has been caused by exposure to a risk, some of which exposure can be characterised as negligent and some of which cannot. Indeed, in relation to deafness caused by exposure to sound, part of which was negligent and part of which was not-negligent that issue was considered by Mustill J in Thompson –v- Smiths Shiprepairers (North Shields) Ltd [1984] QB 405. More recent discussion of this problem in this court may be found in Holtby v Brigham & Cowan (Hull) Ltd [2000] 3 All ER 421 (and see also Allen and others v British Rail Engineering Ltd [2001] EWCA Civ 242 and Whitfield v Rugby Joinery Ltd [2005] EWCA Civ 561).
86. However, it seems to me that the problem facing Mr. Leighton Williams’s argument in this connection in the present case is that it was raised for the first time in this court. The case below was fought by both sides on what one might call an “all or nothing” basis, and, indeed, it was on that basis that the appeal notice, cross-appeal notice, and each parties’ skeleton arguments were prepared. In those circumstances, I think it is simply too late for that problem to be raised. There was no evidence from either expert or from any other party upon which the Judge could have reached a sensible basis upon which he could have decided how to apportion the damages which should be awarded to Mr. Harris in light of his exposure to noise below 85dB(A)leq which was non-negligent, in addition to his exposure to noise above 85dB(A)leq, which would have been negligent.
87. In addition, if this point had been taken, it may be that Mr. Hillier would have been able to establish on the evidence that, had he been supplied with ear muffs, as he should have been, while working in the cabs, Mr. Harris would have used the ear protectors all the time, and not merely when he was exposed to what one might call the negligent level of sound, but also when he was being exposed to the non-negligent level.
Conclusion
88. In these circumstances, I would allow Mr. Harris’s appeal and dismiss the defendant’s cross-appeal. It follows that, in place of the present order dismissing the claim, I would substitute an award of damages of £10,000 in favour of Mr Harris.
Lord Justice Rix
89. I agree.