QUEEN'S BENCH DIVISION
ADMINISTRATIVE COURT
Strand, London, WC2A 2LL |
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B e f o r e :
Mrs Justice Nicola Davies, DBE
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THE QUEEN on the application of LINDSAY SANDIFORD |
Claimant |
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- and - |
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THE SECRETARY OF STATE FOR FOREIGN AND COMMONWEALTH AFFAIRS |
Defendant |
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(instructed by Leigh Day & Co) for the Claimant
Martin Chamberlain Esq & Malcolm Birdling Esq
(instructed by The Treasury Solicitor's Department) for the Defendant
Hearing dates: 31st January 2013
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Crown Copyright ©
Mrs Justice Gloster:
Introduction
"A mandatory order requiring the defendant to make arrangements forthwith for the provision of an adequate lawyer to represent the claimant's interests"; and
"Such further declaratory or other relief as the Court may consider appropriate."
i) the claimant is a vulnerable individual, suffering from physical and mental health problems, a mother of two children one of whom suffers from learning difficulties;ii) the claimant has not had adequate legal assistance at any stage of the proceedings, having had three different Indonesian lawyers, none of whom (it was alleged) have provided her with effective legal representation;
iii) the claimant was currently without any legal representation, and her family, in particular her sister Hilary Parsons, had exhausted all of their available resources in paying for her legal representation to date;
iv) despite efforts to secure pro bono representation, there was currently no prospect that competent counsel, with the relevant experience, could be retained to act without the provision of some funding;
v) Reprieve and the Foreign and Commonwealth Office ("FCO") approached three capital defence lawyers to ask whether they would be prepared to represent the claimant free of charge; one, Fadillah Agus ("Mr. Agus"), the Honorary Legal Adviser to the British Ambassador to Indonesia, informed the FCO on 23 January 2013 that he would be willing to represent the claimant on a pro bono basis, but only if his operational costs of approximately £2500 were covered;
vi) the claimant had asked the FCO to fund such costs, but it had refused to do so;
vii) without the provision of some funding, there was no prospect that competent counsel could be appointed to represent the claimant.
i) The UK Government's position has been clear from the start. The Government opposes the death penalty in all circumstances as a matter of principle. It supports initiatives designed to encourage States which retain the death penalty to change their position; it makes grants to charities such as Reprieve, which assist individuals who are charged with capital offences; and, in appropriate cases, it makes State to State representations both in the form of diplomatic representations and, exceptionally, in the form of amicus curiae briefs where local law permits.ii) But it does not operate a legal aid scheme to cover legal expenses for British nationals involved in criminal proceedings abroad. Its published policy on consular assistance, Support for British Nationals Abroad: a Guide ("the Guide"), provides:
"Although we cannot give legal advice, start legal proceedings, or investigate a crime, we can offer basic information about the local legal system, including whether a legal aid scheme is available. We can give you a list of local interpreters and local lawyers if you want, although we cannot pay for either." (Emphasis added.)iii) The policy applies in this case. It is important that it be applied consistently. If the Government were to start making payments to British nationals involved in foreign criminal proceedings, it would have to establish a scheme akin to the legal aid scheme for domestic proceedings, so as to ensure consistency of treatment. There is no statutory authority for any such scheme. Establishing one would give rise to serious practical difficulties, as described in Ms Proudlove's witness statement. These difficulties would include the following:
a) whether the government could rationally stop at death penalty cases; consideration would need to be given as to whether assistance should be provided where punishments might be imposed that, if carried out in a Contracting State, would violate article 3 of the European Convention on Human Rights;b) consideration as to whether representation should be provided for trial as well as for appeal; this might lead to a potentially open-ended financial liability for legal fees at trial;c) difficulties about obtaining assurance about the adequacy of the local lawyer;d) consistency would demand some kind of system for assessing the ability of a British National to pay or that of his family;e) consideration as to whether the Government would be required to assess whether a particular step was justified in the context of the case and whether the fees sought were justified; it would be unclear how the government or its consular officials could perform any supervisory function in the context of a foreign legal system in which they were not experts.
"This matter has a wider public interest. Reprieve is aware of at least two other cases within the last year in which the defendant failed to work to ensure the EU standards were met at all stages, including the case of Gareth Cashmore."
The claimant's grounds of challenge
i) Ground 1: Breach of rights guaranteed by (i) the European Convention on Human Rights and (ii) the Charter of Fundamental Rights of the European Union[1]:
i) the European Convention on Human Rights ("the Convention"), including: Article 2 (right to life and prohibition of the death penalty); Article 3 (prohibition on torture and inhuman and degrading treatment) and Article 6 (right to a fair trial and respect for the rights of the defence);[2] andii) the Charter of Fundamental Rights of the European Union ("the Charter"), including Article 1 (respect for human dignity); Article 2 (right to life and prohibition of the death penalty); Article 3 (right to the integrity of the person); Article 4 (prohibition on torture and inhuman and degrading treatment); Article 47 (right to a fair trial); Article 48 (respect for the rights of the defence to anyone charged with a criminal offence); and Article 49 (principle of proportionality of criminal offences and penalties).
ii) Ground 2: Unjustified departure from the Strategy:
iii) Ground 3: Unlawful fettering of discretion by adopting the blanket policy as set out in the Strategy[3]:
"HMG does not provide legal representation for British nationals overseas. However, we assist British nationals in identifying potential legal representation, including by working closely with NGOs."
Such a blanket ban or policy unlawfully prevented the defendant from considering each case on its facts, making an exception when appropriate, and from taking into account relevant considerations.
Ground 1: Breach of rights guaranteed by (i) the Convention and (ii) the Charter:
(i) The Convention
"The High Contracting Parties shall secure to everyone within their jurisdiction the rights and freedoms defined in section 1 of this Convention" (emphasis added).
"First, it is clear that the acts of diplomatic and consular agents, who are present on foreign territory in accordance with provisions of international law, may amount to an exercise of jurisdiction when these agents exert authority and control over others (Bankoviæ, cited above, paragraph 73; see also X v Federal Republic of Germany, No. 1611/62, Commission decision of 25 September 1965, Yearbook of the European Convention on Human Rights, vol. 8, pp. 158 and 169; X v the United Kingdom, no. 7547/76, Commission decision of 15 December 1977; WM v Denmark, no. 17392/90, Commission decision of 14 October 1993)."
"… in certain respects, the nationals of a Contracting State are within its "jurisdiction" even when domiciled or resident abroad; whereas, in particular, the diplomatic and consular representatives of their country of origin perform certain duties with regard to them which may, in certain circumstances, make that country liable in respect of that Convention;"
He submitted that, similarly, in X v the United Kingdom, No. 7547/76, (1977) 12 DR 73 the Commission held:
"The applicant's complaints are directed mainly against the British consular authorities in Jordan. It is clear, in this respect, from the constant jurisprudence of the Commission that authorized agents of a State including diplomatic or consular agents bring other persons or property within the jurisdiction of that State to the extent that they exercise authority over such persons or property. Insofar as they affect such persons or property by their acts or omissions, the responsibility of the State is engaged (cf. Applications No. 1611/62, Yearbook 8, p.158 (168); Nos 6780/74, 6950/75, Cyprus v Turkey, Decisions and Reports 2, p. 125 (137)). Therefore, in the present case the Commission is satisfied that even though the alleged failure of the consular authorities to do all in their power to help the applicant occurred outside the territory of the United Kingdom, it was still "within the jurisdiction" within the meaning of Article 1 of the Convention." (Emphasis added.)
"(b) The Court's assessment
(i) General principles relevant to jurisdiction under art 1 of the Convention
130. Article 1 of the Convention reads as follows:
'The High Contracting Parties shall secure to everyone within their jurisdiction the rights and freedoms defined in Section I of [the] Convention.'
As provided by this Article, the engagement undertaken by a Contracting State is confined to 'securing' ('reconnaître' in the French text) the listed rights and freedoms to persons within its own 'jurisdiction' (see Soering v UK [1989] ECHR 14038/88, paragraph 86; Bankovic v Belgium [2001] ECHR 52207/99, paragraph 66). 'Jurisdiction' under art 1 is a threshold criterion. The exercise of jurisdiction is a necessary condition for a Contracting State to be able to be held responsible for acts or omissions imputable to it which give rise to an allegation of the infringement of rights and freedoms set forth in the Convention (see Ilascu v Moldova and Russia [2004] ECHR 48787/99, paragraph 311).
(a) The territorial principle
131. A State's jurisdictional competence under art 1 is primarily territorial (see Soering, cited above, paragraph 86; Bankovic, cited above, paragraphs 61 and 67; Ilascu, cited above, paragraph 312). Jurisdiction is presumed to be exercised normally throughout the State's territory (Ilascu, cited above, paragraph 312; Assanidze v Georgia [2004] ECHR 71503/01, paragraph 139). Conversely, acts of the Contracting States performed, or producing effects, outside their territories can constitute an exercise of jurisdiction within the meaning of art 1 only in exceptional cases (Bankovic, cited above, paragraph 67).
132. To date, the Court in its case-law has recognised a number of exceptional circumstances capable of giving rise to the exercise of jurisdiction by a Contracting State outside its own territorial boundaries. In each case, the question whether exceptional circumstances exist which require and justify a finding by the Court that the State was exercising jurisdiction extra-territorially must be determined with reference to the particular facts.
(ß) State agent authority and control
133. The Court has recognised in its case-law that, as an exception to the principle of territoriality, a Contracting State's jurisdiction under art 1 may extend to acts of its authorities which produce effects outside its own territory (see Drozd v France and Spain, paragraph 91; Loizidou v Turkey (preliminary objections), 23 March 1995, paragraph 62, Series A No. 310; Loizidou v Turkey (merits), 18 December 1996, paragraph 52, Reports of Judgments and Decisions 1996-VI; and Bankovic, cited above, 69). The statement of principle, as it appears in Drozd and Janousek and the other cases just cited, is very broad: the Court states merely that the Contracting Party's responsibility 'can be involved' in these circumstances. It is necessary to examine the Court's case-law to identify the defining principles.
134. First, it is clear that the acts of diplomatic and consular agents, who are present on foreign territory in accordance with provisions of international law, may amount to an exercise of jurisdiction when these agents exert authority and control over others (Bankovic, cited above, paragraph 73; see also X v Federal Republic of Germany App no 1611/62, Commission decision of 25 September 1965, Yearbook of the European Convention on Human Rights, vol. 8, pp. 158 and 169; X v UK App no 7547/76, Commission decision of 15 December 1977; WM v Denmark App no 17392/90, Commission decision of 14 October 1993).
135. Secondly, the Court has recognised the exercise of extra-territorial jurisdiction by a Contracting State when, through the consent, invitation or acquiescence of the Government of that territory, it exercises all or some of the public powers normally to be exercised by that Government (Bankovic, cited above, paragraph 71). Thus where, in accordance with custom, treaty or other agreement, authorities of the Contracting State carry out executive or judicial functions on the territory of another State, the Contracting State may be responsible for breaches of the Convention thereby incurred, as long as the acts in question are attributable to it rather than to the territorial State (see Drozd and Janousek, cited above; Gentilhomme v France [2002] ECHR 48205/99, 48207/99 and 48209/99, judgment of 14 May 2002; and also X and Y v Switzerland, nos. 7289/75 and 7349/76, Commission's admissibility decision of 14 July 1977, DR 9, p. 57).
136. In addition, the Court's case-law demonstrates that, in certain circumstances, the use of force by a State's agents operating outside its territory may bring the individual thereby brought under the control of the State's authorities into the State's art 1 jurisdiction. This principle has been applied where an individual is taken into the custody of State agents abroad. For example, in Öcalan v Turkey [2005] ECHR 46221/99, paragraph 91, the Court held that 'directly after being handed over to the Turkish officials by the Kenyan officials, the applicant was effectively under Turkish authority and therefore within the 'jurisdiction' of that State for the purposes of art 1 of the Convention, even though in this instance Turkey exercised its authority outside its territory'. In Issa v Turkey [2004] ECHR 31821/96, 16 November 2004, the Court indicated that, had it been established that Turkish soldiers had taken the applicants' relatives into custody in Northern Iraq, taken them to a nearby cave and executed them, the deceased would have been within Turkish jurisdiction by virtue of the soldiers' authority and control over them. In Al-Saadoon and Mufdhi v UK [2009] ECHR 61498/08, paragraphs 86-89, 30 June 2009, the Court held that two Iraqi nationals detained in British-controlled military prisons in Iraq fell within the jurisdiction of the United Kingdom, since the United Kingdom exercised total and exclusive control over the prisons and the individuals detained in them. Finally, in Medvedyev v France [2010] ECHR 3394/03, paragraph 67 the Court held that the applicants were within French jurisdiction by virtue of the exercise by French agents of full and exclusive control over a ship and its crew from the time of its interception in international waters. The Court does not consider that jurisdiction in the above cases arose solely from the control exercised by the Contracting State over the buildings, aircraft or ship in which the individuals were held. What is decisive in such cases is the exercise of physical power and control over the person in question.
137. It is clear that, whenever the State through its agents exercises control and authority over an individual, and thus jurisdiction, the State is under an obligation under art 1 to secure to that individual the rights and freedoms under Section 1 of the Convention that are relevant to the situation of that individual. In this sense, therefore, the Convention rights can be 'divided and tailored' (compare Bankovic, cited above, paragraph 75)." [Emphasis added]
"(iii) Conclusion as regards jurisdiction
149. It can be seen, therefore, that following the removal from power of the Ba'ath regime and until the accession of the Interim Government, the United Kingdom (together with the United States) assumed in Iraq the exercise of some of the public powers normally to be exercised by a sovereign government. In particular, the United Kingdom assumed authority and responsibility for the maintenance of security in South East Iraq. In these exceptional circumstances, the Court considers that the United Kingdom, through its soldiers engaged in security operations in Basrah during the period in question, exercised authority and control over individuals killed in the course of such security operations, so as to establish a jurisdictional link between the deceased and the United Kingdom for the purposes of Article 1 of the Convention."
"... the nationals of a contracting state are within its 'jurisdiction' even when domiciled or resident abroad; whereas, in particular, the diplomatic and consular representatives of their country of origin perform certain duties with regard to them which may, in certain circumstances, make that country liable in respect of the Convention..." (Emphasis added.)
is far too generalised (particularly in its factual context) to support the proposition that in every case where diplomatic and consular authorities offer assistance to a person they are exerting authority or control over him, or affecting his person, in a manner sufficient to bring him within the jurisdiction of the relevant Contracting State for the purposes of Article 1 of the Convention. In any event, in my judgment such a wide formulation would be inconsistent with the identification of the principle in Al Skeini v United Kingdom.
"The applicant's complaints are directed mainly against the British consular authorities in Jordan. It is clear, in this respect, from the constant jurisprudence of the Commission that authorised agents of a State, including diplomatic or consular agents bring other persons or property within the jurisdiction of that State to the extent that they exercise authority over such persons or property. Insofar as they affect such persons or property by their acts or omissions, the responsibility of the State is engaged cf Applications No. 1611/62, Yearbook 8, p. 158 (168); Nos. 6780/74, 6950/75, Cyprus v Turkey, Decisions and Reports 2, p. 125 (137). Therefore, in the present case the Commission is satisfied that even though the alleged failure of the consular authorities to do all in their power to help the applicant occurred outside the territory of the United Kingdom, it was still "within the jurisdiction" within the meaning of Article I of the Convention." (Emphasis added.)
"... Turkish armed forces have entered the island of Cyprus, operating solely under the direction of the Turkish Government and under established rules governing the structure and command of these armed forces.... It follows that these armed forces are authorised agents of Turkey and that they bring any other persons in Cyprus 'within the jurisdiction' of Turkey, in the sense of Art 1 of the Convention, to the extent that they exercise control over such persons or property. Therefore, in so far as these armed forces, by their acts or omissions, affect such persons' rights or freedoms under the Convention, the responsibility of Turkey is engaged." (Emphasis added)
As Mr. Chamberlain submitted, that is a perfectly orthodox reading of the term "jurisdiction". The Turkish soldiers brought those in the areas they were occupying within the "jurisdiction" of Turkey for the purposes of Article 1 ECHR because people in those areas were – as the ECHR later put it in Al Skeini – under the "control and authority" of the Turkish soldiers and, therefore, the Turkish Government.
i) The relevant test for determining whether an individual is within the jurisdiction of a Contracting State for the purposes of Article 1 ECHR is whether he or she is in the "authority and control" of its agents: see Al Skeini, at [134], [137] and [149]; see also Cyprus v Turkey, at p. 137.ii) Individuals may be within the "authority and control" of diplomatic and consular staff when they are on the premises of an embassy or consulate which has assumed responsibility for their protection (although even this point the Court of Appeal declined to decide definitively): see WM and B's case, at [66] (above).
iii) If, contrary to my view, on a proper analysis of the Commission's language in its judgment in X and the United Kingdom (supra), at page 74, the Commission actually purported in that case to decide that a State's responsibility might be engaged simply by virtue of the fact that the actions or omissions of their consular staff might "affect" persons or property (even when those persons or property are not within the "authority and control" of the relevant staff), it travelled beyond the "constant jurisprudence" of the ECHR and is inconsistent with the definitive articulation of the principle by the ECHR in Al Skeini v United Kingdom. As Lord Collins noted in Smith v Oxfordshire Assistant Deputy Coroner [2011] 1 AC 1 at [251], the Commission's formulation in X v United Kingdom was:
"… inconsistent with the text of article 1, which is about persons within the jurisdiction, and not about acts or omissions within the jurisdiction."
"In so far as any liability under the Convention is or may be incurred, it isliability incurred by the extraditing Contracting State by reason of its having taken action which has as a direct consequence the exposure of an individual to proscribed ill-treatment." (Emphasis added.)
The above passage was repeated by the Grand Chamber of the ECHR in Mamatkulov and Askarov v Turkey (2005) 41 EHRR 25, at paragraph 67, in a passage describing the "settled case law of the Court".
The Charter
i) By virtue of Article 6(1) of the Treaty on European Union ("the TEU") the Charter has the same legal value as the Treaties and accordingly forms part of the primary law of the European Union. It follows from the above Treaty provisions that not only the EU and its institutions, but also the Member States when acting within the ambit of EU law, will be bound by the Charter.ii) Unlike the Convention, the Charter contains no express jurisdictional limitation akin to that of article 1 of the ECHR. The Court of Justice of the European Union ("CJEU") has expressly recognised that the provisions of the EU Treaties do not preclude the application of EU law outside the territory of the Union. In C-214/94 Boukhalfa v Germany [1996] ECR I-2253 ("Boukhalfa") at paragraph 14, the CJEU observed that:
"…the geographical application of the Treaty is defined in Article 227 [of the Treaty of Rome, now, after amendment Article 52 of the Treaty on European Union ("TEU") and Article 52 of the Treaty on the Functioning of the European Union ('TFEU')]. That article does not, however, preclude Community rules from having effects outside the territory of the Community." (Emphasis added by Mr. O'Neill).iii) Accordingly, the provisions of EU Treaties and the Charter are applicable to the Member States wherever they exercise their sovereignty or their jurisdiction, even in international spheres, in relation to a subject-matter within the substantive scope of EU law.
iv) This more extensive application of EU law reflects the principle outlined at Article 3(5) TEU that:
"In its relations with the wider world, the Union shall uphold and promote its values and interests and contribute to the protection of its citizens. It shall contribute to peace, security, the sustainable development of the Earth, solidarity and mutual respect among peoples, free and fair trade, eradication of poverty and the protection of human rights, in particular the rights of the child, as well as to the strict observance and the development of international law, including respect for the principles of the United Nations Charter."v) In contrast to the Council of Europe, the European Union has explicitly resolved to implement a common foreign and security policy ("CFSP") with the aim, as outlined in the preamble of the TEU, of "reinforcing the European identity and its independence in order to promote peace, security and progress in Europe and in the world". Article 21 TEU confirms that:
"The Union's action on the international scene shall be guided by the principles which have inspired its own creation, development and enlargement, and which it seeks to advance in the wider world: democracy, the rule of law, the universality and indivisibility of human rights and fundamental freedoms, respect for human dignity, the principles of equality and solidarity, and respect for the principles of the United Nations Charter and international law." (Emphasis added by Mr. O'Neill)vi) Article 24(3) TEU specifies that:
"The Member States shall support the Union's external and security policy actively and unreservedly in a spirit of loyalty and mutual solidarity and shall comply with the Union's action in this area."vii) Member States are also required actively to promote the decisions and actions adopted in relation to the Union's CFSP through their consular and diplomatic missions as provided by Article 35 TEU:
"The diplomatic and consular missions of the Member States and the Union delegations in third countries and international conferences, and their representations to international organisations, shall cooperate in ensuring that decisions defining Union positions and actions adopted pursuant to this Chapter are complied with and implemented.They shall step up cooperation by exchanging information and carrying out joint assessments.They shall contribute to the implementation of the right of citizens of the Union to protection in the territory of third countries as referred to in Article 20(2)(c) of the Treaty on the Functioning of the European Union and of the measures adopted pursuant to Article 23 of that Treaty."viii) It is unambiguous that the abolition of the death penalty is a key objective of the EU's human rights policy, promoted by the European Union External Action Service ("EEAS"). That can be demonstrated by reference to the "Council Conclusions on the tenth anniversary of the EU Guidelines on the Death Penalty and adoption of the revised and updated version of the EU Guidelines on the Death Penalty".
ix) The circumstances of this case are materially different from those in R(Zagorski) v Secretary of State for Business, Innovation and Skills [2011] HRLR 6, [2010] EWHC 3110 (Admin) ("Zagorski") and would not result in the effects alluded to by Lloyd Jones J:
"If the claimants were correct in their submission that the Charter recognises Convention Rights without the limitation imposed by art.1 ECHR, the result would be very radical indeed. Whereas States party to the Convention undertake to secure Convention rights to persons within their jurisdiction (in the sense explained in Bankovic) the Charter would confer such rights on anyone, anywhere in the world, regardless of whether they have any connection with the European Union. That such a result should be brought about without any express reference to the massive extension which was being effected would be most surprising." [At paragraph 73(5)]x) The claimants in Zagorski were United States citizens with no connection with the EU. By contrast, in the present case the claimant is a British national and an EU citizen resident in the UK. EU citizenship is automatically afforded to and supplements the national citizenship of every person holding the nationality of a Member State, as confirmed by Article 20(1) of the Treaty on the Functioning of the European Union ("TFEU") which provides:
"Citizenship of the Union is hereby established. Every person holding the nationality of a Member State shall be a citizen of the Union. Citizenship of the Union shall be additional to and not replace national citizenship."xi) Article 20(2) TFEU sets out a number of rights owed to all EU citizens, by virtue of their EU citizenship. The rights specified in this Treaty provision include consular protection for EU citizens in third-party (i.e. non-EU) states in which the Member State of which they are nationals is not represented:
"Citizens of the Union shall enjoy the rights and be subject to the duties provided for in the Treaties. They shall have, inter alia:…(c) the right to enjoy, in the territory of a third country in which the Member State of which they are nationals is not represented, the protection of the diplomatic and consular authorities of any Member State on the same conditions as the nationals of that State;These rights shall be exercised in accordance with the conditions and limits defined by the Treaties and by the measures adopted thereunder." [4]xii) The preamble to the Charter observes, inter alia, as follows:
"Conscious of its spiritual and moral heritage, the Union is founded on the indivisible, universal values of human dignity, freedom, equality and solidarity; it is based on the principles of democracy and the rule of law. It places the individual at the heart of its activities, by establishing the citizenship of the Union and by creating an area of freedom, security and justice." [Emphasis added]xiii) The fact of the claimant's EU citizenship is sufficient to establish a connection ratione personae with the provisions of the Charter. She does not lose her Charter rights when she travels, whether within the European Union or outside the European Union. The emanations of the Member States, including the defendant, accordingly remain bound to respect the claimant's Charter rights in their dealings with her.
xiv) Article 51(1) of the Charter provides that the provisions of the Charter bind the Member States when they are implementing EU law. When a provision of EU law (whether primary EU law in the Treaties or secondary provisions of EU law in directives or regulations) expressly allows for the exercise of a discretionary power by a Member State, the Member State must exercise that power in accordance with EU law: see among other decisions C-5/88 Wachauf v Germany [1989] ECR 2609. Consequently, as the Grand Chamber of the CJEU confirmed in Joined Cases C-411/10 and C-493/10 NS v Home Office 21 December [2011] ECR I-nyr, [2012] 3 WLR 1374:
"… a Member State which exercises that discretionary power must be considered as implementing EU law within the meaning of art.51(1) of the Charter." [At paragraph 68]xv) Similarly, a Member State is implementing EU law for the purposes of Article 51(1) if it exercises a power of derogation from a provision of EU law: C-260/89 Elleniki Radiophonia Tileorassi (ERT) v Dimotiki Eatairia Pliroforissis [1993] ECR I-2925 ("ERT") as applied in R (Zagorski) at paragraph paragraph 68-71.
xvi) The crimes with which the claimant has been charged fall within the ambit of EU law, namely Framework Decision 2004/757/JHA ("the Framework Decision") laying down the minimum provisions on the constituent elements of criminal acts and penalties in the field of illicit drug trafficking. The provisions of the Framework Decision have to be interpreted in such a way that fundamental rights set out in the Charter are respected: see C-105/03 Criminal Proceedings against Maria Pupino [2005] ECR I-5285 at paragraph 59 and Joined cases C-483/09 and C-1/10 Criminal proceedings against Magatte Gueye and Valentín Salmerón Sánchez 15 September [2011] ECR I-nyr, [2012] 1 WLR 2672 at paragraph 55.
xvii) Framework Decision 2004/757/JHA is an instrument of EU secondary law. It regulates Member States' actions, amongst others, with respect to criminal sanctions associated with drug trafficking into, and within, the European Union. It is intended to have extra-territorial effect, as evidenced by Article 2(1)(a) which provides that it applies to
"the production, manufacture, extraction, preparation, offering, offering for sale, distribution, sale, delivery on any terms whatsoever, brokerage, dispatch, dispatch in transit, transport, importation or exportation of drugs" [Emphasis added].xviii) Articles 2 and 3 relate, respectively, to crimes linked to trafficking in drugs and incitement, aiding and abetting and attempt in relation to drug trafficking. Most importantly, Article 8 provides:
"Article 8: Jurisdiction and prosecution1. Each Member State shall take the necessary measures to establish its jurisdiction over the offences referred to in Articles 2 and 3 where:(a) the offence is committed in whole or in part within its territory;(b) the offender is one of its nationals; or(c) the offence is committed for the benefit of a legal person established in the territory of that Member State. [Emphasis added].Article 8(2) states that:
"A Member State may decide that it will not apply, or that it will apply only in specific cases or circumstances, the jurisdiction rules set out in paragraphs 1(b) and 1(c) where the offence is committed outside its territory."xix) The effect of these jurisdictional provisions is that the United Kingdom may act in a manner which would ensure the protection of the Convention and Charter rights (for example, say freedom from the death penalty, fair trial, right to a proportionate penalty in respect of the offence for which convicted) of any of its nationals charged with drug-trafficking offences in two possible ways. In the first instance it can – under Article 8(1)(b) – decide to take the necessary measures to establish its own jurisdiction in such a case (and so by seeking the extradition of any of its nationals where the offence in question is committed outside its territory). Alternatively if – by reference to Article 8(2) - it decides not to establish or seek to exercise its jurisdiction over its own nationals where the drug-trafficking offence in question is committed outside its territory, it still must do all in its power to ensure that this offender's Convention and Charter rights (for example, say freedom from the death penalty, fair trial, right to a proportionate penalty in respect of the offence for which convicted) are respected in any trial for these offences which proceeds outside its territory. Both decisions – to take, and not to take, the necessary measures to establish jurisdiction – fall within the ambit of EU law and hence of the Charter.
xx) Thus, if and insofar as the UK has decided in the circumstances of the present case not to take the necessary measures to establish (or exercise) its own as jurisdiction over this matter (as provided for under Article 8(1)(b) of the Framework Decision) it is exercising the derogation allowed for under Article 8(2). The exercise of this derogation has to be done in a manner which is in conformity with the general principles of EU law, and in particular the protection of the Convention and Charter rights of the individual who is directly affected by that decision.
xxi) But it is not the responsibility of that individual - the claimant in the present case - to establish that "the decision not to pay for a lawyer is one that falls within the material scope of EU law", as argued in the defendant's Detailed Grounds at paragraph 11.1. This is to conflate two different considerations. Instead, the proper analysis requires the Court to determine whether or not the claimant's situation falls within the material scope of EU law. Thereafter, the actions of the defendant should be assessed for compatibility with her Charter rights. The UK is bound in the present case to have regard to, and act in accordance with, the provisions of the Charter and the general principles of EU law: see ERT. It can only lawfully decide not to take the necessary measures to establish its jurisdiction in relation to drugs offences committed outside its territory by one of its nationals if it can properly make a judgment that he/she is not thereby "deprived… of the genuine enjoyment of the substance of his or her rights as EU citizen": see C-135/08 Rottmann v Freistaat Bayern [2010] ECR I-1449 and C-34/09 Zambrano v Office National de L'Emploi [2012] QB 265.
xxii) In exercising its consular functions in a third party non-EU state in relation to the claimant (who is also an EU citizen), the defendant is bound both by the Convention and by the Charter to do so in a manner which is compatible with Lindsay's fundamental rights (both as set out in the ECHR and as expressed in the Charter).
xxiii) This does not result in a general positive obligation to establish a "scheme to pay the legal expenses of its nationals subject to criminal proceedings in other jurisdictions" as suggested in the defendant's Detailed Grounds at paragraph 23. A Member State is obliged to assess in each case what actions are required, and would be proportionate and reasonable, in order to fulfil its obligations under the Convention and the Charter when those rights are engaged. In the present case, where the defendant concedes that "the claimant is plainly at risk of suffering treatment which, if she were subjected to it in a Contracting State, would constitute a serious violation of her Convention that rights" (see the defendant's Detailed Grounds at paragraph 20), it is both proportionate and reasonable to expect the defendant to provide £2500 to ensure adequate legal representation.
i) EU law can apply extra-territorially;ii) the claimant is an EU citizen and therefore within the personal scope of EU law (or, as the CJEU sometimes puts it, she is within scope ratione personae);
iii) because the offences with which the claimant has been charged (drug trafficking offences) are the subject of Framework Decision 2004/757/JHA ("the Framework Decision"), which has extra-territorial effect, the claimant's situation is within the material scope of EU law;
iv) the defendant is implementing (or derogating from ) EU law in not seeking the claimant's extradition for such offences; therefore the Charter applies and it requires the FCO to fund a lawyer for the claimant in this case;
v) further or alternatively the claimant's situation is within the material scope of EU law because the effect of Articles 21, 24(3) and 35 TEU is to create an obligation on the diplomatic and consular missions of Member States to implement decisions defining EU positions made under the Common Foreign and Security Policy ("CFSP").
"the imposition of prohibitions on exports is an area subject to close and detailed regulation by the European Union. The power of Member States to act is closely circumscribed by EU rules"
and that, accordingly, in deciding whether or not to exercise the power of derogation, the Secretary of State was implementing EU law in the sense of applying it or giving effect to it; therefore he was acting within the material scope of EU law and was bound to do so in accordance with the fundamental principles and rights which formed part of EU law. But that was not enough. The claimants also had to show that they fell within scope ratione personae: see at paragraphs 73-74. Because they were US nationals in prison in the US, they were not.
ii) Unjustified departure from the Strategy:
iii) Unlawful fettering of discretion by adopting the blanket policy as set out in the Strategy
The claimant's submissions
"Our Goals are:
…
ii) further restrictions on the use of the death penalty in retentionist countries and reductions in the numbers of executions; and
iii) to ensure EU minimum standards are met in countries which retain the death penalty …
We will work to achieve these objectives through three main channels- bilateral initiatives, the EU, and the UN. Bilaterally, we continue to work hard to lobby governments to establish moratoriums or abolish the death penalty, raise individual cases of British Nationals, use political dialogue and fund projects to further our objectives." (page 3)
"Promoting human rights and democracy overseas is a priority for HMG. It is the longstanding policy of the UK to oppose the death penalty in all circumstances as a matter of principle…
where the death penalty is retained, we will continue to lobby for it to be used within the EU's Minimum Standards, the UN Safeguards Guaranteeing Protection of the Rights of those facing the Death Penalty, and other internationally recognised standards on restricting the death penalty…
cases of British nationals facing the death penalty … clearly … remain an extremely high priority.
Therefore our overarching goals are:…Reduction in the numbers of executions and further restrictions on the use of the death penalty in retentionist countries". (pages 4-5)
"HMG policy is to use all appropriate influence to prevent the execution of any British national." (page 6). [Emphasis added]
"v) Capital punishment must only be carried out pursuant to a final judgment rendered by an independent and impartial competent Court after legal proceedings, including those before special tribunals or jurisdictions, which gives all possible safeguards to ensure a fair trial, at least equal to those contained in Article 14 of the International Covenant on Civil and Political Rights, including the right of anyone suspected of or charged with a crime for which capital punishment may be imposed to adequate legal assistance at all stages of the proceedings …"[Emphasis added]
"Our past interventions have included submitting amicus curiae briefs… We work in partnership with the NGO Reprieve and the detainees' local lawyers to seek to prevent British nationals receiving a death sentence; or where such sentences have been imposed, to seek their review or commutation."
In circumstances where the defendant was prepared to expend funds on amicus briefs, he submitted that it was incomprehensible that the defendant was not prepared to spend a relatively small sum on funding the claimant's appeal.
i) the fact that exception could not be limited to death penalty cases as consistency would require it to be extended to other British nationals facing serious criminal sanctions abroad;ii) the money required for a lawyer may not be small;
iii) the Government may not know if the local lawyer is adequate;
iv) it may be difficult to assess whether the individual and her family have low enough means to deserve public funding;
v) the lawyer may not fix his fees in advance.
i) She has been sentenced to death.ii) The money for Mr. Agus is small.
iii) The defendant thinks Mr. Agus is adequate: Mr. Agus is the British Ambassador's Honorary Legal Advisor. The defendant confirms he has experience in death penalty cases.
iv) It is clear that Lindsay and her family have low enough means to justify public funding, because the Legal Services Commission have decided she satisfies the means test.
v) Mr. Agus has fixed his fees in advance.
i) The defendant must follow his published policy unless he gives a good and clear reason for not doing so: R (Lumba) v Secretary of State for the Home Department [2012] 1 AC 245 at paragraph 26. On the other hand, a policy should not be a blanket policy that prevents the decision maker from taking into account considerations that may be relevant: paragraphs 20 and 21. The presumption against the lawfulness of a blanket policy also applies within the context of Convention rights: see for example R(T) v Chief Constable of Great Manchester [2013] EWCA Civ 25 and Hirst v United Kingdom (No.2) (2006) 42 EHRR 41 at paragraph 82.ii) In R(Abbasi) v Secretary of State for Foreign and Commonwealth Affairs [2003] UKHRR 76 the claimant British national, who was detained in Guantanamo Bay, argued that the defendant ought to have made representations to the United States Government in support of his case. The defendant's policy at the time was to "consider making representations … where fundamental violations of the British national's human rights had demonstrably altered the course of justice": paragraphs 90-92. The Court of Appeal decided that judicial review would lie if the defendant were to depart from the policy and to refuse to consider making representations: paragraph 80, paragraphs 99 and 104. This meant properly forming a judgment as to the nature and gravity of the breach: paragraph 100. Whether to make representations, however, was a matter for the Secretary of State.
iii) The defendant's current policy on executions is broader than the policy on detention at issue in Abbasi. For example, the current policy commits the defendant to work to ensure the EU Minimum Standards are met. Further, Abbasi concerned detention. Lindsay's case involves an even more serious matter: her life. That makes it even more important that the defendant follows his policy properly, or puts forward a good reason for not doing so.
iv) The case of R (Elias) v Secretary of State for Defence [2006] 1 WLR 3213 could be distinguished from the instant case. Elias considered whether an ex gratia scheme to compensate people for internment by the Japanese should be extended to cover those born abroad. The question was whether the defendant was obliged to extend the power to compensate so that it may be exercised in those additional cases; that is "the extent to which the power is to be exercised" (paragraph 191). There was no existing common law discretion that extended to such cases, and so: "The Secretary of State has not unlawfully fettered an existing relevant ordinary common law power": paragraph 193.
v) By contrast, as Lord Phillips said in Abbasi, there is an existing common law power under which the defendant may decide to provide funding to those facing the death penalty. That is, "the Foreign Office has discretion whether to exercise the right, which it undoubtedly has, to protect British citizens" Abbasi paragraph 106(iii). That means, unlike in Elias, if the defendant adopts a blanket policy which prevents him from taking into account considerations that may be determinative, that will be an unlawful fetter to the existing common law power (as in Lumba).
i) The defendant's policy, set out in HMG Strategy for Abolition of the Death Penalty 2010-2015, commits the defendant to work to ensure that a British national facing the death penalty has adequate legal assistance. It commits him to use all appropriate influence to prevent a British national from being executed. The purpose behind the policy is to reduce the number of executions of British nationals.ii) The defendant has not provided £2,500 to cover the operational costs of the Indonesia lawyer Mr. Agus. Granting £2,500 is the only means by which the EU Minimum Standards will be met. The claimant is currently unrepresented, and there is no guarantee that representation will be found by other means. There is no alternative adequate option the defendant can choose which will satisfy his policy, which will ensure Lindsay has adequate legal assistance, or which will satisfy the purpose of reducing the number of executions of British nationals.
iii) The result is that the defendant's decision not to provide £2,500 has frustrated the purposes behind the policy that are described above. By applying the blanket policy, the defendant has excluded potentially decisive considerations that the context and stated purpose of the policy indicates are relevant. For the reasons in R (Limbu) v Secretary of State for the Home Department [2008] HRLR 1219 at paragraphs 56, 65 and 69, in which the application of express criteria frustrated the purpose behind the policy, that is unlawful. The defendant has not said there is any reason, apart from the need to maintain a blanket policy, for not providing the £2,500 funding to Mr. Agus. Indeed, he has simply not considered the specific circumstances of the claimant's case.
iv) None of the specific circumstances of the claimant's case provide a rational basis for the defendant's decision. None of the practical concerns raised by the defendant apply in the specific circumstances of the claimant's case. All of the relevant factors weigh in favour of covering Mr. Agus' operational costs. In particular: (a) there is no alternative means of providing representation and of satisfying the policy's purpose; (b) the £2,500 is very small and is fixed in advance; (c) the lawyer is adequate; and (d) the Legal Services Commission has determined that the claimant's means are low enough to justify public funding in the present judicial review proceedings.
v) The defendant's reason for this result, namely that changing the blanket policy will have practical problems, was neither a good reason nor a lawful one.
vi) The defendant' s decision to adopt the blanket policy was unlawful, for one or more of the following reasons:
a) The first was that it was a blanket approach that admits of no exceptions and prevents the defendant from taking into account considerations that may be determinative (Lumba). It would prevent the defendant from providing funding in exceptional cases where that is the only means of ensuring the EU Minimum Standards are met, where the cost is small and where there are no practical difficulties in doing so. That is an unlawful fetter on the defendant's common law discretion to provide protection (Abbasi).b) Second, the decision to adopt the policy was founded on the view that if the defendant were to make an exception in the claimant's case, the public law principle of consistency would require him to fund many other cases where British nationals face serious criminal sanctions abroad. But the spectre of floodgates can be set at rest by the defendant providing funding only in very exceptional cases which satisfy strict, clear criteria.c) The defendant will have a broad discretion as to whether to fund an individual case. The public law principle of consistency will not require him to fund cases other than the very exceptional ones he defines, providing he sets out sensible criteria for distinguishing them. The requirement of consistency is a legal matter that this Court is well placed to assess. It follows that the defendant took into account an irrelevant consideration: the defendant wrongly thought consistency would require him to fund many criminal proceedings for British nationals.d) Public authorities normally have to provide exceptions to their policies – there is nothing unusual about doing so in this case. It is important for the Court carefully to review the defendant's policy because of the fundamental importance of the issue at stake: namely the claimant's life. The defendant's decision to provide no exception to the policy is an illogical or irrational one, for the reasons set out above.
Discussion and decision in relation to the allegations of unjustified departure from the Strategy and unlawful fettering of discretion by adopting the blanket policy
i) making diplomatic (i.e. State to State) representations where it considers it appropriate to do so;ii) filing amicus curiae briefs where it considers it appropriate to do so (the legal equivalent of a State to State representation);
iii) funding NGOs both to lobby on individual cases and to work on individual cases; providing information to British nationals about English speaking lawyers and interpreters; but
iv) not by providing funding for legal fees or expenses.
"it is within the power of the decision-maker to decide on the extent to which the power is to be exercised in, for example, setting up a scheme. He can decide on broad and clear criteria either that there are to be no exceptions to the criteria in the scheme or, if there are exceptions in the scheme, what they should be";
see R (Elias) v Secretary of State for Defence [2006] EWCA Civ 1293, [2006] 1 WLR 3213, at [191]. In this case, as in Elias, it is ''necessary to formulate ... 'bright line' criteria for determining who is entitled to receive payments from public funds": ibid at paragraph 192. The "bright line" in this case is the rule that the Government does not pay legal expenses of British nationals involved in criminal proceedings abroad. There is no requirement as a matter of law to consider whether an exception should be made to the policy in the circumstances of an individual case.
Conclusion
Mrs Justice Nicola Davies:
Note 2 This ground was relied upon for the first time in the claimant’s skeleton argument. Permission was given at the hearing to amend her original grounds to plead the new point. [Back] Note 3 This ground was also an additional ground relied upon by the claimant. It was first indicated in an e-mail from the claimant’s instructing solicitors dated 29 January 2013 and appeared in the claimant’s skeleton argument. Permission was given at the hearing to amend her original grounds to plead the new point. [Back] Note 4 This EU law right to consular protection for EU nationals when outside the EU is included in similar terms at Article 23 TFEU and Article 46 of the Charter. [Back]