QUEEN'S BENCH DIVISION
ADMINISTRATIVE COURT
Strand, London, WC2A 2LL |
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B e f o r e :
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The Queen on the Application of LAWRENCE WILLOUGHBY |
Claimant |
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- and - |
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CATEGORY A REVIEW TEAM |
Defendant |
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Mr Matthew Slater (instructed by Treasury Solicitors Department) for the Defendant
Hearing dates: Thursday 15 December 2011
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Crown Copyright ©
Mr Justice Edwards-Stuart:
"2. CART is concerned with evaluating the risks to the public in the event of an escape of particular prisoners who are classified as "Category A" prisoners. Category A prisoners are defined as those "whose escape would be highly dangerous to the public or the police or the security of the State and for whom the aim must be to make escape impossible". In 2009 and 2010 approximately 950 inmates of prisons in England and Wales were placed in Category A. This figure has remained about the same for many years. A Category A prisoner is, inevitably, subject to a more restrictive regime and higher conditions of security than prisoners in lower Categories. Moreover, a Category A prisoner who remains as such will have no prospect of being released on parole.
3. Each Category A prisoner is entitled to have his categorisation reviewed at least once a year. This process permits the prisoner and his legal representatives to submit representations, including reports from independent specialists such as psychologists, in support of a request that the prisoner should be removed from Category A and re-categorised in a lower Category. These representations must be addressed to the Local Category A Advisory Panel ("LAP") which will consider them together with a report from the prison. The LAP's consideration will lead to a "Governors Recommendation". That is then considered by CART, which is the central body for reviewing all Category A prisoners categorisation. CART will examine all the material submitted by the prisoner or his representatives and all other material before it, including the Governors Recommendation. It will then make a decision either that the Category A status remains or, if it thinks the prisoner should be re-categorised, it makes a recommendation to a more senior committee, call the Category A Committee. Any final decision to downgrade is made by the Deputy Director General of the Prison Service.
4. Normally, a decision on the Category A prisoner's future categorisation is taken by CART on the papers before it without an oral hearing. However, it is well established that in certain circumstances there should be an oral hearing at which the prisoner's representatives can make submissions and, if appropriate, witnesses or experts can give oral evidence.
5. The courts have considered the circumstances in which oral hearings should be held by CART before reaching a decision. The basic rule is that CART will be required to convene an oral hearing when the common-law standards of procedural fairness require one. Each case will depend on its facts. However, oral hearings are not the general rule; they will be rare.
In relation to the test to be applied on an application for judicial review, Aikens LJ said, paragraph 7:
"If CART refuses to hold an oral hearing before making its decision and that refusal is challenged in the courts by a judicial review, the issue on that review is whether the refusal to permit an oral hearing was wrong. It is not whether the refusal was unreasonable or irrational."
The facts
1977 Gross indecency involving a 10 year old child
1987 Kidnap, indecent assault, assault occasioning actual bodily harm (x 3), attempted kidnap and false imprisonment.
1989 assault occasioning actual bodily harm and indecent assault.
I should say at once that the 1987 convictions were the subject of a successful appeal. The issue was identification and the Court of Appeal held that the trial judge had failed to give a proper direction to the jury on the question of corroboration. The court was not satisfied that with a proper direction the jury would have reached the same conclusion and so the convictions were quashed.
"The Review Team accepted that your denial of guilt of the present offences should not on its own be a bar to your downgrading. It however had to proceed on the basis that you had been lawfully convicted of these offences. It also had to proceed on the basis that, until there was convincing information to show otherwise, the high risk indicated by your offending remained undiminished to an appropriate level.
The Review Team noted you had an extensive history of violent sexual offences against female victims. It also noted you had committed a number of your serious offences within a short period of release from custody. It considered that your offending indicated a high level of potential dangerousness.
The Review Team considered that a downgrading of your security category could not be approved until there was convincing evidence of a significant reduction in your risk of reoffending in a similar way if unlawfully at large.
While the Review Team acknowledged your participation in recommended programmes to help you address your serious offending, it was satisfied that evidence of a necessary significant reduction in your risk was not yet available, and that you should therefore remain in the category A at this time."
". . . did not accept that your category A status prevented you from further addressing your offending and showing evidence of significant risk reduction. In any case it considered that an appropriate reduction in your risk should precede your downgrading, and that your downgrading could not be justified solely to allow you access to programmes in less secure conditions. It also understood the recommended CALM programme was available, or soon will be available, to category A prisoners in vulnerable conditions.
The Category A Team did not accept that your compliant behaviour could alone provide necessary evidence of significant risk reduction. It also noted OASys assessments were not intended to be used in isolation from more dynamic forms of risk assessment, such as those provided following offending behaviour programmes. It noted that they were specifically not intended to determine a prisoner's risk if unlawfully at large.
The Category A Team considered that your lack of progression was the result of your limited disclosure and success in addressing the risk factors relating to your offending, and that no impasse to your progression had been created from outside.
The Category A Team also considered that the evidence of your custodial behaviour and the results of your progress in addressing your offending were clearly explained and open to consideration through the normal process of review. It considered there were no compelling grounds for an exceptional oral review of the available information."
"The Category A Team accepts that an oral hearing may be the fairest means of determining a prisoners security category review in some special cases. It considers however that there must be exceptional grounds for considering these issues can only be resolved through an oral hearing, and not the usual means of written reports and representation.
The Category A Team is satisfied there are no exceptional issues in [the Claimant's] case that can not be explored, responded to and resolved through the normal means of review. It considers [the Claimant] has been fully able to make comprehensive representations on the current reports through the normal means. It also considers that neither his expired tariff nor your view of the competence of the psychologist in this case in themselves oblige an oral hearing of his review."
The SARN report
"In reviewing the evidence for progress on identified risk factors I have encountered difficulties in formulating [the Claimant's] case. There are a number of issues that remain unclear. This is not to suggest [the Claimant] has made no progress, rather it would suggest that there may be obstacles or barriers in the way of [the Claimant] being able to discuss his life and offending, and therefore impact upon his ability to engage meaningfully within treatment interventions."
A little later, on page 9, she said this:
"[The Claimant] has been open about his grievance style thinking, which he believes underpins his offending."
And in the same section, on pages 11-12, she said this:
"I do not yet fully understand how the role of power, revenge and grievance interplayed in order to lead to him offending sexually. In my opinion, [the Claimant] still would benefit from exploring why he used sex in his offences rather than violence. This might assist in clarifying his sexual interests (as discussed in the sections above). However, regardless of [the Claimant's] motivation for his offending, he needs to develop effective coping strategies to manage this type of thinking in order to reduce the risk of this resulting in further sexual offending in the future. As such this remains an outstanding area of risk and treatment need.
. . . In interview, [the Claimant] acknowledged he becomes annoyed when his requests to staff are not dealt with and so now he "ties" staff up with complaints and paperwork. It is encouraging that [the Claimant] is aware of these behaviours. It is now important for him to look at what he achieves from this type of behaviour and develops more effective, pro-social methods of interacting with staff working with him."
The need for an oral hearing
(1) There was a factual dispute about the Claimant's use of the grievance procedure and whether or not his use of it was inappropriate.(2) The Claimant's response to the Healthy Sexual Functioning ("HSF") programme, some parts of which he did not complete because he thought they were inappropriate in his case, was a matter which was better suited to investigation at an oral hearing.
(3) The question raised by Miss Woodward about whether or not further participation in treatment programmes would be beneficial for the Claimant in the light of "his response", was a matter that ought to be investigated at an oral hearing.
(4) The fact that CART found that the Claimant should remain in Category A conflicted with the level of risk of harm identified by OASys, namely that he presented a Medium risk of harm within the community and children in particular, in conclusion with which Ms Woodward agreed, was a matter that should have been explored at an oral hearing.
"[The Claimant] showed a good ability to link antecedents together identifying that being in situations where he was alone with a woman when feeling vengeful would be risky."
In short, I think that Mr Field's submissions amounted to saying that there was sufficient question as to whether the Claimant's continuing denial of the index offences really made any difference, given his ability to discuss and analyse his behaviour in the context of the previous sexual offences, such as to justify this important issue being explored at an oral hearing.
27. Thirdly, reference has already been made to the concerns occasioned by the impasse capable of arising in the case of a prisoner who maintains a denial that he committed the offences of which he has been convicted. On the one hand, he may need to complete various courses to satisfy CART that the risk to the public has been significantly reduced were he to be unlawfully at large; on the other hand, he may be ineligible or unsuitable for participation in such courses while he continues to deny guilt. While, plainly, continued denial of guilt cannot of itself preclude re-categorisation, a matter which would compound injustice in the case of anyone wrongly convicted of (necessarily in this context) grave offending, denial of guilt will very likely be relevant as undermining any acceptance of responsibility for the harm done. Moreover, the CART's starting point can only be the correctness of the jury's verdict. Still further and realistically, there will be "very, very, many more occasions" where prisoners "deny guilt for offences which they have in fact committed": see, Elias J (as he then was), in R (Roberts) v Secretary of State for the Home Department [2004] EWHC 679 (Admin), at [42], in the course of a most valuable discussion of this particular concern, at [39] – [42]. As it seems to me, it is necessary to be alert to the possibility of injustice occasioned by an impasse of this nature; but, it must be accepted that on occasions such impasses will, unavoidably, occur – given the important public interest in risk reduction before an offender is released on a controlled basis into the community or a re-categorisation decision is taken increasing the risk of an escape. As Elias J observed in Roberts, again at [42]:
" … by being in denial they [i.e., prisoners] limit – and in many cases severely limit – the practical opportunity of demonstrating that the risk has diminished. Indeed, their denial demonstrates that they have not accepted that the risk was ever present."
28. Fourthly, the common law duty of procedural fairness will sometimes require CART to convene an oral hearing when considering whether or not to downgrade a Category A prisoner. As Bean J rightly observed (at [27] of the Judgment), it is for the court to decide what fairness requires, so that the issue on judicial review is whether the refusal of an oral hearing was wrong; not whether it was unreasonable or irrational. Whether an oral hearing is required in an individual case will be fact specific. Given the rationale of procedural fairness, there is no requirement that exceptional circumstances should be demonstrated – there will be occasions when procedural fairness will require an oral hearing regardless of the absence of exceptional circumstances. But oral hearings are plainly not required in all cases; indeed, oral hearings will be few and far between. Advantages may be improved decision-making, bringing CART into contact with those who have direct dealings with the offender and the offender himself; an oral hearing may also assist in the resolution of disputed issues. Conversely, considerations of cost and efficiency may well tell against an oral hearing. There can be no single or even general rule, save, perhaps, for the recognition that oral hearings will be rare. By way of brief amplification:
i) As to the common law duty of procedural fairness and the holding of an oral hearing, Lord Bingham of Cornhill said this in the distinct if not altogether unrelated context of the recall to prison of a prisoner on licence:
"35. The common law duty of procedural fairness does not….. require the board to hold an oral hearing in every case where a determinate sentence prisoner resists recall, if he does not decline the offer of such a hearing. But I do not think the duty is as constricted as has hitherto been held and assumed. Even if important facts are not in dispute, they may be open to explanation or mitigation, or may lose some of their significance in the light of other new facts. While the board's task certainly is to assess risk, it may well be greatly assisted in discharging it (one way or the other) by exposure to the prisoner or the questioning of those who have dealt with him. It may often be very difficult to address effective representations without knowing the points which are troubling the decision-maker. The prisoner should have the benefit of a procedure which fairly reflects, on the facts of his particular case, the importance of what is at stake for him, as for society."
R (West) v Parole Board [2005] UKHL 1; [2005] 1 WLR 350, at [35].
In helpful observations on this passage, Cranston J, in R (H) v Sec of State for Justice [2008] EWHC 2590 (Admin), said this, at [21]:
"Lord Bingham's statement of principle makes clear that common law standards of procedural fairness affecting an oral hearing are flexible, may change over time, and in general terms depend on the circumstances of the case. Clearly oral hearings are not required in all or even most cases, but importantly the context in which procedural fairness is being considered is determinative. There is no test of exceptionality. One considers the interests at stake and also the extent to which an oral hearing will guarantee better decision-making in terms of uncovering of facts, the resolution of issues, and the concerns of the decision-maker. Cost and efficiency must also be considered, often on the other side of the balance."
Earlier in the same judgment, at [1], Cranston J had remarked on the "greater confidence" given by an oral hearing that the "relevant standards" had been properly applied; he also observed:
"It is clear that procedural fairness does not impose the straitjacket of a quasi-judicial process and more informal procedures than what one expects before the courts or even tribunals may be acceptable. An oral hearing does not necessarily imply the adversarial process."
ii) By way of examples from the field of categorisation decisions, in Williams (supra), this Court held that an oral hearing was required. The Parole Board had made a clear recommendation in favour of the prisoner – a post-tariff discretionary life prisoner - but CART had decided to maintain his security classification. CART had available to it reports which had not been before the Parole Board and had declined to disclose the reports to the prisoner or his representatives, although the gist of those reports had been made available. In H (supra), Cranston J held that an oral hearing was required, in circumstances which included an inconsistency between the local prison review panel (which recommended downgrading the prisoner's categorisation) and CART (which decided in favour of maintaining his categorisation). For completeness, the Secretary of State appealed from the judgment of Cranston J but, by the time the case of H reached this Court, subsequent events had rendered the appeal academic: see, [2009] EWCA Civ 83.
iii) The impasse capable of arising when a prisoner continues to deny the commission of the offence/s in question has already been discussed. A potential impasse may also arise where a prisoner needs access to opportunities to demonstrate that he can be trusted in a lower category, as otherwise he will have an almost impossible task in persuading the Parole Board that he should be released; see: Roberts (supra), at [54]. However, keeping him as a Category A prisoner may mean that he does not have access to such opportunities - and, for its part, CART (rather as it observed in the present case), with its own particular interest in the risk of escape, may be unwilling to risk downgrading the prisoner's security categorisation without prior evidence of significant risk reduction.
iv) Although the existence of an impasse or inconsistency (for example, between the Parole Board and CART) may increase the likelihood of an oral hearing being required, it should not be thought that the mere existence of an impasse or inconsistency means that an oral hearing will be warranted. Moreover, for my part, the Court should not be too ready to conclude that there is an impasse or even an inconsistency when there may be no more than a difference of view, perhaps for very good reasons: see, Cranston J, in H (supra), at [23]."
"The question is not whether the case ultimately turns on a disputed issue of fact when the decision is taken. It is whether, when the papers are first looked at, it is likely to do so."
Afternote