PH v Independent Safeguarding Authority [2012] UKUT 91 (AAC)

UKUT-AAC
PH v Independent Safeguarding Authority
[2012] UKUT 91 (AAC) · 2012-03-20
[25]The important paragraphs of his judgement are paragraphs [103] and [104]. The Judge said: [103] In light of the fact that the Upper Tribunal can put right any errors of law and any material errors of fact and, further, can do so at an oral hearing if that is necessary for the fair and just disposition of the appeal I have reached the conclusion that the absence of a right to an oral hearing before the Interested Party and the absence of a full merits based appeal to the Upper Tribunal does not infringe Article 6 EHCR. To repeat, an oral hearing before the Interested Party is permissible under the statutory scheme and there is no reason to suppose that in an appropriate case the Interested Party would not hold such a hearing as Ms Hunter asserts would be the case. I do not accept that this possibility is illusory as suggested on behalf of the Claimants. Indeed, a failure or refusal to conduct an oral hearing in circumstances which would allow of an argument that the failure or refusal was unreasonable or irrational would itself raise the prospect of an appeal to the Upper Tribunal on a point of law. Further, any other error of law and relevant errors of fact made by the Interested Party can be put right on an appeal which, itself, may be conducted by way of oral hearing in an appropriate case.[104][104] I am more troubled by the absence of a full merits based appeal but I am persuaded that its absence does not render the scheme as a whole in breach of Article 6 for the following reasons. First, the Interested Party is a body which is independent of the executive agencies which will have referred individuals for inclusion/possible inclusion upon the barred lists. It is an expert body consisting of a board of individuals appointed under regulations governing public appointments and a team of highly-trained case workers. Paragraph 1(2)(b) of Schedule 1 to the 2006 Act specifies that the chairman and members "must appear to the Secretary of State to have knowledge or experience of any aspect of child protection or the protection of vulnerable adults." The Interested Party is in the best position to make a reasoned judgment as to when it is appropriate to include an individual's name on a barred list or remove an individual from the barred list. In the absence of an error of law or fact it is difficult to envisage a situation in which an appeal against the judgment of the Interested Party would have any realistic prospect of success. Second, if the Interested Party reached a decision that it was appropriate for an individual to be included in a barred list or appropriate to refuse to remove an individual from a barred list yet that conclusion was unreasonable or irrational that would constitute an error of law. I do not read section 4(3) of the Act as precluding a challenge to the ultimate decision on grounds that a decision to include an individual upon a barred list or to refuse to remove him from a list was unreasonable or irrational or, as Mr. Grodzinski submits, disproportionate. In my judgment all that section 4(3) precludes is an appeal against the ultimate decision when that decision is not flawed by any error of law or fact. 25. This case was considered by the Upper Tribunal in SB v ISA [2011] UKUT 404 (AAC) . The Chairman of the current panel chaired that hearing. Counsel for the ISA in that case had submitted to the Tribunal that s 4(3) prevents the Tribunal from considering issues relating to the weight that ISA attached to individual issues. Counsel for the ISA had submitted that the amount of weight the Respondent attached to a particular issue is not for the Tribunal to re-determine, and that when one particular issue is one of many factors, this goes to appropriateness expressly excluded by s 4(3). The Tribunal in SB were not able to agree with that submission and said the following:40. We are not able to agree with this submission. We are mindful that we must read section 4(3) in a way that is compatible with the Human Rights Act 1998, and the approach adopted by Wyn Williams J, in our view, is the correct way to proceed. If a decision taken by ISA to place a person on a list, or not to remove him from the list, is disproportionate to the facts as presented to the Respondent, then there is an error of law, and the Tribunal on appeal is entitled, indeed obliged, to direct ISA to remove the person from the list, or remit the matter to ISA for a new decision.41. The only way in which a Tribunal can form a view as to whether a decision of the Respondent is disproportionate is to engage in “a weighing of evidence exercise”, not so as to ascertain whether the decision is or is not appropriate (that is a matter solely for the Respondent) but so as to ascertain whether it is disproportionate and therefore outwith the lawful decision making exercise of the Respondent. It is therefore the totality of the evidence that the Tribunal must concern itself with. In considering the totality of the evidence, it is in our view necessary to look carefully at individual aspects to that evidence and to form a view whether the conclusion that the Respondent has placed on the totality of the evidence is disproportionate.42. We gain support for this analysis from a consideration of the case law dealing with disclosure of information in enhanced Criminal Records Certificates provided under s 115(7) of the Police Act 1997. The issue arose in R(X) v Chief Constable of West Midlands Police [2005] 1 WLR 65 , where Lord Woolfe said:
“It is possible that there could be cases where the information should not be included in a certificate because it is disproportionate to do so.” 43. The Chief Constable has the responsibility to decide whether it is relevant to include so-called ‘soft material’, but such disclosure is subject to judicial scrutiny by way of judicial review. Lord Woolfe provides examples of information which should not be disclosed, such as information of a trifling nature. It seems to us that whether such information is of a trifling nature is a question that goes to weight, and the court is entitled to take a view different to the Chief Constable. The Chief Constable might think the information is highly relevant, but it is open to the Court to form a different view and to decide that disclosure of that material is disproportionate to the need to disclose; which is of course to alert potential employers to perceived risks. 44. The Supreme Court considered the issue in R(L) v Metropolitan Police Commissioner [2009] UKSC 3 . The Supreme Court upheld the right of the Police to disclose information in an enhanced CRC about allegations that had not been tested in a court, and held that such disclosure was compatible with art 8 EConHR. The key test must always be proportionality, and the Supreme Court decided that on the facts of the case before it, the Police had addressed their minds to the proportionality question. Indeed the Police had withheld certain information which they thought was insufficiently robust to justify disclosure, but that the other information which was the subject of the challenge was relevant to the reason for the disclosure; namely the risk to children. Lord Hope set out the test in following way at [para 42]: “So the issue is essentially one of proportionality. On the one hand there is pressing social need that children and vulnerable adults should be protected against the risk of harm. On the other there is the applicant’s right to respect for her private life. It is of the greatest importance that the balance between these two considerations is struck in the right place”. 45. We believe that exactly the same test should be applied when considering the SVGA regime. On an appeal, the Tribunal is entitled to examine the evidence and to allocate weight to it and to decide whether the balance has been struck in the right place. 26. Ms Leventhal informed us that the decision in SB v ISA is the subject of an appeal to the Court of Appeal, and that the hearing has been set for a date in May 2012. We were informed that the ISA will seek to argue that the Upper Tribunal erred in its approach to the question of proportionality. 27. ISA’s position in this case is as set out in paragraphs 10-12 of the Amended Skeleton argument, as follows: (10) the ISA’s submission is that, by virtue of section 4(2) SVGA, the Upper Tribunal is considering whether there is an error of law in its decision, not undertaking a full re-hearing of whether or not it is appropriate (including proportionality) for PH to be included on the Adults’ Barred List. Section 4(3) SVGA makes it clear that this question is for the ISA in the first instance and should not be interfered with absent an error of law. (11) as to whether or not there is an error of law, the Upper Tribunal should accord significant weight to the expert judgment reached by the ISA and ought not to interfere with the ISA’s detailed balancing exercise…unless it can objectively conclude that its ultimate conclusion is necessarily disproportionate. This is not, and cannot as a matter of law, be the same as the Upper Tribunal considering whether or not it would have reached the same view on the evidence. (12) It is plain from the ultimate decision of the ISA in the circumstances of this case that its judgement on proportionality does not constitute an error of law, particularly when one considers the painstaking assessment of the evidence in this case and the careful way in which the balancing exercise was undertaken. Given the level and nature of the risk (serious physical harm) which the ISA properly concluded exists to vulnerable adults, the limitation on PH’s right to pursue his employment when weighed against this plainly cannot be objectively considered as disproportionate. 28. In her closing submissions, Ms Leventhal reiterated the proposition that the Tribunal should give the decision of the ISA ‘significant weight’. She submitted that that is what the statutory scheme under section 4(3) envisages, that ISA has undertaken a detailed balancing exercise and that it has applied the correct legal approach. 29. In contrast, Mr Broach submitted that the approach to proportionality adopted by the Tribunal in SB is correct. It is submitted by Mr Broach in his Amended Grounds that “proportionality requires that the means used to impair the right in question are ‘no more than necessary’ and that a ‘fair balance’ is struck between the interests of the individual and the wider interest, in this case protecting vulnerable adults from unsuitable individuals. By virtue of Human Rights Act section 6 the question of whether the decision to place the Appellant on the Adults Barred List was proportionate is one for the Court to decide, weighing all relevant factors into account.” 30. Given that the legal arguments surrounding the approach that should be adopted in these cases was argued before us, both in the written skeleton arguments and in oral submissions, it is only correct for the Tribunal to set out its approach in this case to the legal issue, notwithstanding that the matter will be considered by the Court of Appeal in the near future. 31. It is our view that the approach that should be adopted to the principle of proportionality is as set out both in the authorities cited in the extract from SB v ISA quoted earlier in this Decision and in the three leading authorities, namely Huang v SSHD [2007] UKHL 11 ; Belfast City Council v Miss Behavin’ Ltd [2007] UKHL 19 , and Regina (Quila and another) v SSHD [2011] 3 WLR 836 . 32. Only if in some way the legislative framework established under the Safeguarding Vulnerable Groups Act 2006 (in particular s 4(3) of that Act) demands that these cases be distinguished can it be said that Mr Broach’s submission is incorrect and that we should depart from the approach advanced in SB and adopt Ms Leventhal’s submission. We say this because all of the authorities set out the law on proportionality very clearly and leave no room for doubt. 33. In Huang v SSHD [2007] UKHL 11 , Lord Bingham specifically referred to the need to balance the interests of society with those of interests and groups. Lord Bingham quoted R (Razgar) v SSHD [2004] 2 AC 368 where the House said that the judgement on proportionality “must always involve the striking of a fair balance between the rights of the individual and the interests of the community which is inherent in the whole of the Convention. The severity and consequences of the interference will call for careful assessment at this stage.” 34. Mr Broach drew our attention to observation by Lord Bingham at para 15 that “in any event, particularly where the applicant has not been interviewed, the authority [referring to the Immigration Appellate Authority; the predecessor to the Immigration Tribunals] will be much better placed to investigate the facts, test the evidence, assess the sincerity of the applicant’s evidence and the genuineness of his or her concerns…” 35. It is our opinion that this observation is particularly pertinent in this area, given that the ISA has not had the opportunity of hearing PH give evidence, whereas this Tribunal (with two experienced specialist members) has been able to hear PH give evidence and test his evidence in some detail. 36. In Belfast City Council v Miss Behavin’ Ltd [2007] UKHL 19 , Baroness Hale asked the question: who decides whether or not a claimant’s Convention rights have been infringed? She answered the question by stating that it is the court before which the issue is raised. 37. At para [31] Baroness Hale said: “In human rights adjudication, the court is concerned with whether the human rights of the claimant have in fact been infringed, not with whether the administrative decision-maker properly took them into account.” 38. Baroness Hale then goes on to discuss the weight to be accorded to the views of the various public authorities involved in making the decision which is alleged to have infringed Convention rights. 39. Lord Mance expressly observed that the existence of a discretionary area of judgment means that there may be decisions which a court could regard as proportionate, whichever way they went, but that the decision maker may be forced to strike the balance for itself if the decision maker has not addressed his or her mind at all to the existence of values or interests which are relevant under the Convention. 40. Regina (Qila and another) v SSHD [2011] 3 WLR 836 is also of considerable importance. Baroness Hale said: “…this court will treat with appropriate respect the views taken by those whose primary responsibility it is to make the judgments in question. But those views cannot be decisive. Ultimately, it is for the court to decide whether or not the Convention rights have been breached”. 41. Mr Broach in his Skeleton Argument makes four points. First, that the Upper Tribunal in SB directed itself correctly as to the proper approach to proportionality. Secondly, the conclusion as to whether or not ISA’s decision is proportionate can only properly be reached by the Tribunal after it has conducted its own balancing exercise, weighing all the evidence as it deems appropriate. Thirdly, it is not for the Tribunal to reach its own view on the merits, but rather to ask the four questions identified by Lord Bingham in Huang : (i) is the legislative objective sufficiently important to justify limiting a fundamental right? (ii) are the measures which have been designed to meet it rationally connected to it? (iii) are they no more than necessary to accomplish it? (iv) do they strike a fair balance between the rights of the individual and the interests of the community? 42. The fourth submission by Mr Broach is that the Tribunal, on the facts, will be invited to find that there is no evidence of any significant risk to vulnerable adults posed by the Appellant, and that the limitation on the Appellant’s rights encompassed within the barring decision is disproportionate when viewed against any risk that the Tribunal concludes he does pose. 43. We have to say that we agree with Mr Broach. We can answer each of the first three questions posed by Lord Bingham in the affirmative, and state that it is the fourth of Lord Bingham’s questions which is of importance in this case. 44. We can find no basis for agreeing with the submission by Ms Leventhal that the cases, all of which with the exception of course of SB being binding on us, are all to be distinguished because of the existence of s 4(3). It is our view that s 4(3) is concerned with the issues relating to any particular factual framework to the original conduct, whereas proportionality, as the Appendix 5 to the caseworker Guidance correctly states, focuses on the nature and level of future risk. Put another way, given the facts of a particular case, is it appropriate to place this particular person on the Barred List? “Appropriateness” is a judgement call, and is not subject to any right of appeal. “Proportionality” is a question of law, and is subject to a challenge based on an error of law. The evidence of Dr Medley . 45. We turn now to consider the evidence of Dr Medley whose medical report is dated 3 rd October 2011. Dr Medley is a Consultant Psychiatrist in adult mental health at the Highbury Hospital, Nottingham. He interviewed PH at the Priory Clinic on 20 th September 2011, and he has had access to the Nottingham Health Care psychiatric reports of the Nottinghamshire Health care Trust, in particular Dr Taylor, and the GP records. This is Dr Medley’s second Report, the earlier Report being dated 10 th November 2010. 46. Dr Medley’s conclusion is as follows: “I remain of the view that the overall diagnosis with PH is of recurrent depressive disorder and, as a result of depression, and considerable work stress, there was an index offence in 2009 in which he assaulted a pupil in his class. Subsequently, he has been followed up by the community forensic services. His presentation now is very different. There is no evidence of depression. Indeed this seems to have lifted over the last year. He has worked on his thoughts and feelings and behaviour around the time of the index offence, in psychotherapy. The incident itself remains out of character; there is no history of any previous aggression or violence and none subsequently. No particular abnormal thought processes were revealed during the course of his therapy or follow up with the community psychiatric nurse. In terms of future risk, now that he has retired as a teacher, it is highly unlikely that he would be in a situation where the same factors would operate. He has considerable insight, not only in handling stress but also into how to avoid being in a similar situation in the future. It is difficult therefore to see how he could pose a risk to adults, certainly in the kind of charitable work that he is interested in. I therefore see no reason for him to be barred from working with vulnerable adults, although some basic safeguards would seem prudent, which he himself recognises. Firstly, he is aware that he should not work again with children. Secondly, I would suggest a basic risk assessment of any post that he is interested in. This might for example identify if he were likely to be subject to any particular degree of threat or provocation. Thirdly, he recognises that he would not work alone. Fourthly, he has become aware of the need to identify if his mental state is in any way changing, in particular becoming depressed. Now that he is away from the particular sensitive and stressful area of teaching, although he may still suffer depressed mood, he is unlikely to become stressed by the situation again. Lastly, he should remain in contact with his GP and, for the moment, the community forensic services.” 47. The Review by the ISA dated 11 th November 2011, signed by the ISA Caseworker, and endorsed by Ms A Hunter, the Director of Operations, deals with Dr Medley’s Report in the following way. It notes that since the incident, PH has taken significant steps to address his long-term issues with depression, through psychiatric support, psychotherapy and GP support which has included a change of medication. The Review by ISA states that whilst acknowledging the significant progress that PH has made, it is “also important to highlight the relatively short period of time which has elapsed since this marked improvement.”
The Report goes on to say that Dr Medley’s Report is compelling, but that it is also apparent from Dr Medley’s report that he believes that “some basic safeguards would seem prudent” to mitigate against future risk. It then states that Dr Medley’s report serves to strengthen its view that there continues to be an unacceptable risk. It says that ISA has no scope to impose a ‘partial bar’ or any type of restriction on PH which would allow the recommendations made by Dr Medley to be incorporated into any future employment and as such, the ISA must balance the level and nature of the risk identified against the impact on PH of continued inclusion on the Adults’ Barred List. 48. We have formed the view that ISA has fundamentally misconstrued Dr Medley’s Report. We fail to see how his Report can strengthen the view expressed by ISA that there continues to be an unacceptable risk. Dr Medley refers to PH as having considerable insight, and we have to say that this was our view on the basis of PH’s evidence to us, and his answers to the detailed questions put to him both by Ms Leventhal in her cross examination and by the specialist panel members. Both Dr Medley and the panel members have had opportunities, in different contexts, to question PH and to analyse his answers. The ISA Caseworker has relied solely on paperwork. 49. The suggestion by Dr Medley that there be a basic risk assessment before he is engaged in work with vulnerable adults is in our view a very sensible suggestion which we understand would be provided in any event by the Church authorities were PH to seek voluntary work in the Beacon Project (a Church based project working with homeless people often with drug problems) or any other project of that kind. We understand from the evidence given to us by both PH and Mr Harding that work that PH might be engaged in would in any event be supervised and he would not work on his own. But the thrust of Dr Medley’s Report is very clear, namely “it is difficult to see how he could pose a risk to vulnerable adults.” PH’s evidence 50. PH told us that he would like to work at the Beacon Project again and to speak at the Men’s meetings associated with the Church. When he last worked in the project he was mainly in the kitchen preparing food, clearing tables, and cutting grass in the church. He said that if he were to work again in the Project and he found himself in sole charge of a group and his stress levels rose, then he would simply walk away. He accepts Dr Medley’s diagnosis, but he believes that he would recognise a recurrence. In answer to detailed questions from panel members, PH said that he had in the past taken responsibility for other people’s problems and would try to solve them without seeking help. His mindset has now changed, and now, for example if his wife became ill again, he would go to his GP and he would not try to handle the issues alone. He described his previous state as a “bulldog spirit” and told the Tribunal that this had definitely gone. His home environment has clearly improved; his wife is well at present and she is completing a degree, and his daughter is much better. 51. In analysing PH’s evidence we have formed the view that he has now developed insight, that his depressive disorder is under control, and that he now has confidence in himself. He is obviously a very different person to the person who assaulted the school boy in 2009. Mr Harding’s evidence 52. Mr Harding’s evidence was helpful to us primarily in his description of the Beacon Project, but also in the fact that he has known PH for many years. Having seen PH give evidence to us, we would agree with Mr Harding’s assessment of PH as a man who has good personal skills which could be used to provide basic support for those who are utilising the Beacon Project. Conclusion 53. There will be cases where it will follow that a decision to place a person on one list will inevitably result in placing him or her on the other list, based on the assessments of the risk involved. The assessment however must be made on an analysis of the evidence and on reasoned inferences, not on mere assertions. 54. In this case, it is our view that the ISA has not given any detailed thought to the reasons for placing PH on the Vulnerable Adults’ List. Indeed, we are inclined to adopt the phrase used by Mr Broach that in this case ISA has been “worryingly myopic.” This is particularly the case because it has adopted the various safeguards identified as prudent by Dr Medley, and indeed by Mr Harding as well, as a reason for the Barring on the Vulnerable Adults’ List. These safeguards are suggested by Dr Medley, for a different reason, namely to support his opinion that PH represents a low risk. Given that these safeguards will be in place, an absolute bar is in our view disproportionate. 55. Ms Leventhal’s concluding submissions were a valiant attempt to support ISA’s decision. She acknowledged however that PH was open and straight forward in his evidence to us about his illness. We have no medical evidence relating to risks of reoccurrence, and Ms Leventhal is merely speculating when she submitted that it is difficult for someone who is depressed to recognise warning signs. PH told us that he had confidence that he would recognise any warning signs of reoccurrence, and that he would act accordingly. We were impressed by this evidence. 56. Ms Leventhal submitted also that his unfortunate home circumstances are still present. Again, however, the evidence from PH, Mr Harding, and Dr Medley would appear to contradict this submission, and the circumstances that PH faced in 2009 are no longer central in his life; he is not working in a difficult school, his wife is much better, his children are near independence and his daughter’s health is much improved, he himself takes medication, and he has insight into his illness. He no longer takes on the problems of others. 57. Ms Leventhal submitted to us that ISA conducted a detailed balancing exercise, considered all of the evidence, and made a decision that was proportionate. We are unable to agree with her. The exercise ISA conducted was not a balancing exercise, and in particular ISA misconstrued the evidence of Dr Medley, the only medical evidence that was before them. The decision that they made was disproportionate, and accordingly constituted an error of law, and must be quashed. 58. Both Mr Broach and Ms Leventhal were in agreement that if the Tribunal were to conclude that the decision of the ISA was a decision marred by an error of law, the remedy that the Tribunal should apply is to quash the decision, and direct the Respondent to remove the name of the Appellant from the Adults’ Barred List. We so direct. (Signed on the Original) His Honour Judge David Pearl Mr Michael Flynn Mr Peter Sarll 20 March 2012

Cited in 2 later judgments