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COURT OF APPEAL (CIVIL DIVISION)
ON APPEAL FROM LIVERPOOL COUNTY COURT
(Her Hon. Judge Downey)
Strand, London, WC2A 2LL |
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B e f o r e :
LORD JUSTICE CLARKE
and
SIR MARTIN NOURSE
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O & N (CHILDREN) |
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Smith Bernal Reporting Limited, 190 Fleet Street
London EC4A 2AG
Tel No: 020 7421 4040, Fax No: 020 7831 8838
Official Shorthand Writers to the Court)
Miss M. de Haas Q.C. (instructed by Messrs Hogans, Liverpool) appeared on behalf of the Guardian and Litem with Mr K Reede and on behalf of the Local Authority with Mr M Sharp
Mr M. Sellers appeared on behalf of the Father
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Crown Copyright ©
Lord Justice Ward :
What is this appeal about?
"1. A transcript of the judgment given today be prepared at public expense and served on all parties.
2. …
3. The mother LN do file a statement in response to today's judgment by 1 May 2002.
4. The guardian do arrange for Dr. Alvin to file an addendum to his report of 7th November 2001 dealing with today's judgment and LN's reaction to it by 8 May 2002.
5. The local authority do file a statement and care plan by 22.5.2001.
6. LN and LOS do file their statements in response to the care plan and local authority statement by 5 June 2002.
7. The guardian do file her report by 19.6.2002."
One would not know from the form of order that the judge had in fact embarked on a hearing to find facts relating to serious injury suffered by L. The notice of appeal asks for the order (all of it) to be set aside and for the application, presumably for the care order, to be dismissed.
The sad factual background.
i) A complex comminuted fracture of the left parietal bone and an acute subdural haematoma frontally which was caused by very severe impact to the head, either a punch or a falling to the ground with considerable force between 1-7 days before admission to hospital, that is to say between 5th and 11th May.
ii) An undisplaced fracture of the mid-shaft of the left clavicle which was caused by dropping the child onto her shoulder or, alternatively, direct pressure by a thumb at the site of the fracture some 7-10 days before 14th May when the x-rays revealed the injury, so dating it between 4th and 7th May.
iii) Fractures to the 7th and 8th left ribs and the 5th and 6th right ribs which were caused by a squeezing injury to the chest, compression of the rib cage with force far greater than that generated in normal handling which occurred 2-3 weeks before 14th May and so were caused between 23rd April and 6th May.
iv) A fracture to the 10th right rib again caused by forceful squeezing to the chest, again due to force far greater than that occurring in normal handling which happened within a week of attendance at the hospital, that is to say between 6th and 12th May.
v) A bucket-handled fracture of the lower shaft of the left tibia which was caused by twisting shearing force being applied to the ankle or by the child being roughly pulled and twisted by the limb sometime between 9th and 11th May.
The medical evidence was agreed and the doctors were satisfied that there were at least two separate occasions of non-accidental injury to this unfortunate child.
Directions for the fact-finding hearing.
"The final hearing presently listed for 14th and 15th March 2001 be listed for a further day 13th March 2002 … before [her]."
There was to be a further directions hearing before the judge on 30th January "to further consider any directions required and the listing of the final hearing". That further directions appointment was adjourned to 28th February when His Hon. Judge Brown made an order by consent, again after hearing counsel and solicitors, that the hearing date listed, acccording to the order, "for 13th-18th March" be reduced to 2 days reserved to Her Hon. Judge Downey. The order then directed:-
"By 4 p.m. on 4th March 2002 the local authority shall file with the court and serve on all parties:-
a) A statement of case in relation to the findings sought at the finding of fact hearing listed for 14th March 2002.
b) Draft threshold conditions in respect of the applications for section 31 orders for each child."
This is the first mention in the orders of a "finding of fact hearing".
"1. That the child L sustained the following injuries:-
(a) a complex comminuted fracture of the left parietal bone;
(b) an undisplaced fracture of the midshaft of the left clavicle;
(c) fractures to the left 7th and 8th ribs;
(d) fractures to the right 5th, 6th and 10th ribs;
(e) a bucket-handled fracture of the lower shaft of the left tibia.
2. That those injuries were caused on different occasions.
3. That the fracture to the left parietal bone was caused:-
(a) by [the second respondent, the father];
(b) on 9th May;
(c) through the deliberate infliction of a single blow;
(d) caused by a loss of temper.
4. That the remaining injuries are incapable of being accounted for by this incident.
5. That the only other explanation proffered by either parent for the remaining injuries (a single assault to the face of the mother in mid/late April 2001 while she was holding the child) fails to account for them for the following reasons:-
(a) in respect of the left tibia and the right 10th rib, it is outside the chronological estimate according to the agreed medical evidence;
(b) the rib injuries were caused by two separate assaults to the chest, the account provides for one incident;
(c) the clavicle injury was likely to be caused by:-
(i) the child being dropped, or
(ii) pressure being exerted upon the clavicle.
neither of which are asserted within the explanation provided.
(d) The tibia injury was likely to be caused by a twisting, shearing injury which is inconsistent with the explanation provided.
6. In the absence of any other explanation provided by either parent which is accepted by the experts and capable of fitting with the agreed medical evidence neither parent is exculpated from responsibility for the injury sustained by the child."
"1. The child L has suffered non-accidental injuries of a multi-site nature caused on different occasions.
2. The father caused the child to suffer a complex comminuted fracture of the left tibia parietal bone.
3. The remaining injuries remain unaccounted for and neither parent accepts responsibility for the same.
4. Those injuries were either:-
(a) caused by either or both of the parents; or
(b) occurred whilst the child was in the care of the parents and the parents whether individually or jointly failed to protect the child; or
(c) caused by persons unknown over a period not exceeding 3 weeks prior to 11th May 2001 and were neither observed nor acted upon by either parent.
5. In the absence of accepted admissions and/or clear findings concerning the assaults upon the child L there is an unascertained and therefore unassessed risk posed by each of the parents to the child C."
The issues actually considered at the fact-finding hearing
"It is not disputed that the threshold criteria are met for the making of care orders. By reason of the father's admissions and his now incarceration, it is not suggested that rehabilitation with the father could be contemplated. The question does remain, can the children safely be rehabilitated with the mother?"
She noted that:-
"Counsel for the mother and the guardian urged that I should hear evidence with a view to identifying the perpetrator, if it were possible to do so. It would obviously be of great assistance to the local authority in making plans for the future of these two children. … Because of the urging upon me I decided that I would hear evidence. I have heard evidence, in particular, from both the mother and the father."
"She [the mother] said she could remember nothing about Wednesday, 9th May. That, of course, was the evening upon which it is established that the father had punched this child so severely as to fracture her skull."
Later in her judgment she said:-
"As to the Wednesday evening when the skull fracture occurred, the father says that he came downstairs to the mother and that the child was screaming. I find it difficult to accept that the mother could not be aware of something amiss. That child had been struck so hard that it fractured the skull. She is telling me that she cannot recall anything of that evening at all, nor did she bring it to mind when at the hospital so soon after that had occurred."
Where matters went wrong.
The judgment in this case.
"Neither parent has pursued any suggestion that either the mother's parents or [the neighbour] were responsible for these injuries. I find that these injuries, on the balance of probabilities, were caused whilst L was in the care of the parents."
"That case makes it clear that the same standard of proof should be applied in seeking to identify the perpetrator as in deciding whether non-accidental injury has occurred. The test is on the balance of probabilities as set out by Lord Nicholls in H and R (Minors) (Sexual Abuse: Standard of Proof) (1996) 1 FLR 80. To find a parent guilty of non-accidental injury, a very serious allegation, requires there to be sufficient evidence on which the court can rely. … That evidence cannot be trivial or unreliable."
"I find, on the balance of probabilities, that the rib fractures were not caused during the course of this incident as it has been described to the court by the parents," [i.e. the incident on 25th April when the second respondent struck the mother]. "I place no reliance on the father's plea of guilty to section 20 as constituting an admission of being responsible for the injuries other than the fractured skull. … there is no explanation by either parent to account for these injuries. In respect of the injuries to the left tibia and the right 10th rib, they are outside the chronological estimates, according to the agreed medical evidence, for them to have happened on 25th April. The rib injuries were caused by two separate assaults to the chest. The clavicle injury to the child was either a dropping injury or an application of pressure to the shoulders. The tibia injury, a twisting, shearing injury. In the absence of any other explanation provided by either parent which is accepted by the experts as being capable of fitting the agreed medical evidence, neither parent is exculpated. As the local authority put it, the injuries were caused by either of them or both of them …"
"At the conclusion of their evidence, no explanation for any injuries other than the fractured skull emerged. The court has given this case very anxious consideration. I realise that the father admits causing one very serious injury. The question, it seems to me, that I go on to ask myself, because on his admission I am clearly satisfied that he did that, can I be satisfied he also caused the remaining injuries? There are, it seems to me, concerns about the situation. … The father says the mother has got a bad temper, that she has lifted a knife, she had thrown a glass, she has got angry with him. The father admittedly violent, aggressive and a liar. …
Whilst I might have suspicions about which of the parties caused the injuries, I am not in a position to say when the various injuries were sustained with precision and in what circumstances. I am not in a position to say with clarity which of the two parents inflicted the injuries. … I recognise the convenience of coming to a clear conclusion as to the perpetrator, but I have come to the conclusion that the evidence is not sufficient to exclude the mother and positively to identify the father as the perpetrator of the injuries other than the fractured skull."
The appellant's criticisms.
"That it is wrong in law for the burden of proof of innocence to be placed upon the respondent to an application for a care order: to do so is a breach of Article 6(2) of the European Convention of Human Rights: the presumption is of innocence."
"The legal burden of establishing the existence of these conditions [the s. 31 criteria] rests on the applicant for a care order. The general principle is that he who asserts must prove. Generally, although there are exceptions, a plaintiff or applicant must establish the existence of all the pre-conditions and other facts entitling him to the order he seeks. There is nothing in the language or context of s. 31(2) to suggest that the normal principle should not apply to the threshold conditions." (p.586A).
"It would be odd if, in respect of the selfsame none-proven allegations, the selfsame insufficient evidence could nonetheless be regarded as a sufficient factual basis for satisfying the court there is a real possibility of harm to the child in the future. … if indeed this were the position, this would effectively reverse the burden of proof in an important respect. It would mean that once apparently credible evidence of misconduct has been given, those against whom the allegations are made must disprove them. Otherwise it would be open to a court to hold that, although the misconduct has not been proved, it has not been disproved and there is a real possibility that the misconduct did occur. Accordingly there is a real possibility that the child will suffer harm in the future and, hence, the threshold criteria are met. I do not believe Parliament intended that s. 31(2) should work in this way." (p.591B-D).
"In the absence of any other explanation provided by either parent which is accepted by the experts and capable of fitting with the agreed medical evidence neither parent is exculpated from responsibility for the injuries sustained by the child."
It is not for the parent to exculpate himself or herself. Of course Miss de Haas Q.C. for the local authority is correct in submitting that there is an evidential burden on the parents to provide some explanation for the injuries to their child which must have happened whilst the child was in the care of either or both of them, but that is not a legal burden of proof. Mr Ryder is correct to complain that a finding which the judge seems to have made to that effect is meaningless. The correct finding, and the only finding open to the judge to have made on the evidence she accepted was that the local authority had not established on a balance of probabilities that the mother had inflicted any harm at all. She said as much in arriving at her conclusion:-
"That the evidence is not sufficient to exclude the mother and positively to identify the father as the perpetrator of the injuries other than the fractured skull."
"There must be facts, proved to the court's satisfaction if disputed, on which the court can properly conclude that the child is suffering harm. An alleged but non-proven fact is not a fact for this purpose," and at p. 591(E),
"… a court's conclusion that the threshold conditions are satisfied must have a factual base, and that an alleged but unproved fact, serious or trivial, is not a fact for this purpose. Nor is judicial suspicion, because that is no more than a judicial state of uncertainty about whether or not an event happened."
"If there is a dispute as to whether the child has suffered or is at risk of suffering harm the task of the judge, when considering whether to make any order whether it be a care or supervision order under s. 31 or a s. 8 order, must be to resolve that dispute. Unless this is done, it will remain in doubt whether or not the child has suffered harm or is at risk of suffering harm and thus it will remain in doubt whether or not there exist factors which Parliament expressly considered to be of particular importance to be taken into account. The question is how such a dispute is to be resolved.
To our minds there can be only one answer to this question, namely the same answer as that given by the majority in In Re H and R (above). The court must reach a conclusion based on facts, not on suspicion or mere doubt. If, as in the present case, the court concludes that the evidence is insufficient to prove sexual abuse in the past, and if the fact of sexual abuse in the past is the only basis for asserting a risk of sexual abuse in the future, then it follows that there is nothing (except suspicion or mere doubts) to show a risk of future sexual abuse."
Applied to this case which is different in the sense that harm has been established, nevertheless the finding of the court is that the case against the mother cannot be elevated beyond suspicion that she may have harmed her baby. As I have indicated that does not establish that she did. On the facts of this case the fact of her harming the child in the past could be the only basis for asserting a risk of her harming the child in the future. The suspicions and doubts do not establish a risk of future harm by her. In my judgment, this case must proceed henceforth upon the clear basis and understanding by all concerned, lawyers, social workers and experts, that L was not harmed by her mother and there is no risk that either L or C is at risk of suffering physical harm from her.
The result.
"Upon the preliminary issue of finding facts material to the applications for care orders, the court finds and declares that:-
1. On 9th May 2001 the second respondent caused a comminuted fracture to L's left parietal bone through the deliberate infliction of a single blow struck in temper.
2. In consequence thereof L has suffered and C is likely to suffer significant harm attributable to the care given to L and likely to be given to C if the order were not made, not being what it would be reasonable to expect a parent to give her and him within the meaning of s. 31(2) of the Children Act 1989.
3. Furthermore L has suffered harm and C is at risk of suffering physical harm from the second respondent.
4. L sustained further injury caused on different occasions namely:-
(i) an undisplaced fracture of the midshaft of the left clavicle;
(ii) fractures of the left 7th and 8th ribs;
(iii) fractures to the right 5th, 6th and 10th ribs; and
(iv) a bucket-handle fracture of the lower shaft of the left tibia.
5. It is not established upon a balance of probabilities that any one or more of these further injuries were caused by either the first or second respondent.
6. Accordingly the first respondent must be treated as if she did not cause L to suffer any significant harm and as if C is not likely to suffer significant harm within the meaning of s. 31(2) of the Act. Moreover she is to be treated as if she has not caused L to suffer any physical harm or caused L or C to be at risk of suffering physical harm from her within the meaning of s. 1(3)(e) of the Act.
7. The first respondent has caused L harm by failing to protect her from injury by the second respondent."