High Court of Justice in Northern Ireland Queen's Bench Division Decisions
You are here:
BAILII >>
Databases >>
High Court of Justice in Northern Ireland Queen's Bench Division Decisions >>
Phillips (A Minor), In the Matter of [2000] NIQB 38 (30th September, 2000)
URL: http://www.bailii.org/nie/cases/NIHC/QB/2000/38.html
Cite as:
[2000] NIQB 38
[
New search]
[
Printable RTF version]
[
Help]
JISCBAILII_CASE_ NI_Legal_System
Phillips (A Minor), In the Matter of [2000] NIQB 38 (30th September, 2000)
CARC3252
IN THE HIGH COURT OF JUSTICE IN
NORTHERN IRELAND
QUEEN’S BENCH DIVISION (CROWN
SIDE)
______
IN THE MATTER OF AN APPLICATION
BY KEVIN PHILLIPS A MINOR
FOR JUDICIAL REVIEW
______
CARSWELL LCJ
Introduction
1. In this application the applicant, who is now aged 16
years, seeks judicial review of a decision by the Secretary of State to place
him in Lisnevin Juvenile Justice Centre, a secure centre located near Millisle,
Co Down. He was in fact released from detention in that centre a fairly short
time after the decision in question, but the parties nevertheless asked the
court to consider the issues involved in the application and make any necessary
declaration, on the ground that it would clarify the law and would be likely to
settle the issue in respect of future cases. Acting upon the principles set out
by Lord Slynn of Hadley in R v Secretary of State for the Home Department, ex
parte Salem [1999] 1 AC 450 at
456-7, I agreed to take this course.
The Factual Background
2. On 20 October 1999 the applicant appeared before Belfast
Youth Court, charged with burglary, driving a motor vehicle while disqualified,
using a motor vehicle without insurance and three counts of taking a motor
vehicle without consent. He was legally represented and pleaded guilty to the
charges. The court remanded him in custody for a week under the power contained
in Article 13 of the Criminal Justice (Children) (Northern Ireland) Order 1998
(the 1998 Order), being satisfied under Article 12 that it was necessary to do
so to protect the public and that the requisite conditions were fulfilled. He
was placed in Lisnevin, which is the only secure juvenile justice centre in
Northern Ireland.
3. It then became the duty of the Secretary of State under
paragraph 1(1) of Schedule 2 to the 1998 Order to determine in which centre the
applicant was to be detained. The Secretary of State follows a policy whereby,
as a general rule, male children remanded in custody by a court under Article 13
of the 1998 Order will be detained in Lisnevin. He has power, however, to have a
child transferred from one juvenile justice centre to another, and accordingly
he sought advice from the non-statutory group constituted by him to consider
such matters in order to determine whether the applicant should be transferred
from Lisnevin. This group is comprised of representatives from the Juvenile
Justice Branch of the Northern Ireland Office, from each of the three juvenile
justice centres in which male children may be accommodated, members of the
Social Services Inspectorate and a psychologist employed by the Juvenile Justice
Board who specialises in the treatment of children in custody. The function and
method of operation of the group are set out in paragraphs 12 to 14 of the
affidavit sworn by Mr John McCartney, head of the Juvenile Justice Branch in the
Criminal Justice Services Division of the Northern Ireland Office:
“12. The function of this
non-statutory group is to advise the Secretary of State and his officials. In
doing so, the group takes into account such information as is available relating
to the alleged criminal conduct of the detained person; any criminal record, the
conduct of the detained person during previous periods of remand or sentenced
custody; and any other information of relevance to the risk of the detained
person absconding and/or re-offending if accommodated in either of the two
non-secure Juvenile Justice Centres.
13. Advice from the non-statutory
group, by virtue of its collective experience and expertise and the nature of
the information which it considers, is influential in decisions made on behalf
of the Secretary of State under paragraph 1 of Schedule 2 to the 1998
Order. The advice of the group is accepted in a large percentage of cases.
14. Children detained in Lisnevin and
those representing them are at liberty to make representations and to furnish
reports or other information to the Secretary of State’s officials
during the decision-making processes described in the preceding paragraphs
hereof. Any such representations, reports or other information will in all cases
be considered by the Secretary of State’s officials in making
decisions under paragraph 1 of Schedule 2.”
4. The group considered the applicant’s case on 26 October
1999. The members had before them the warrant of commitment, which detailed his
offences, and an initial assessment completed by the worker assigned to the
applicant by Lisnevin management. The group recommended that he should continue
to be accommodated in Lisnevin. The Secretary of State accepted this
recommendation.
5. When the applicant appeared again before Belfast Youth
Court on 27 October 1999, it remanded him in custody for a further
period of 28 days. In accordance with the Secretary of State’s decision
concerning his accommodation, he continued to be detained in Lisnevin. When he
appeared on 24 November 1999 before Belfast Youth Court, the court on this
occasion granted him bail and he was released.
6. The applicant’s solicitors wrote to the Juvenile Justice
Branch on 1 November 1999 asking for information on a number of
matters, including reasons why he had been remanded to Lisnevin instead of St
Patrick’s or Rathgael. The Northern Ireland Office replied by letter dated 9
November 1999 as follows:
“Thank you for your letter dated
1/11/99 concerning your client Kevin Phillips who was remanded in custody
by the Magistrates’ Court. The sole option in such cases is a remand in custody
to Lisnevin Juvenile Justice Centre.
Under the new legislation, (The
Criminal Justice (Children) (Northern Ireland) Order 1998), there is an
underlying presumption of bail and the general thrust of the legislation is to
restrict the use of custody for those deemed by the courts to be serious or
persistent offenders.
When a child is remanded into custody
it is for the Secretary of State for Northern Ireland to
determine where each child should be placed within the juvenile justice system.
However, the Secretary of State is informed by recommendations from a Placement
Panel (comprising, amongst others, representatives from each of the juvenile
justice centres,) but the final decision concerning placement in each case rests
with the Secretary of State alone.
In your client’s case the decision to
remand in custody was taken by Belfast Youth Court on 19 th
October 1999. His case was considered by the Placement Panel on 26
th October, but in view of his previous behaviour while in the
care of the social services and the serious charges he faces now it was
unanimously concluded that he should remain in custody in Lisnevin Juvenile
Justice Centre. That recommendation was endorsed by the Department.”
The Issues
7. The grounds put forward by Mr Larkin on behalf of the
applicant were the following:
- The Northern Ireland Office had failed to comply
with the requirement of procedural fairness that an opportunity be given for
representations to be made on his behalf in respect of the centre in which he
was to be placed, and that sufficient information be furnished to enable
proper representations to be made.
- The reasons given by the Northern Ireland Office
for the decision to place the applicant in Lisnevin were insufficient.
- The Secretary of State failed to take into
account the provisions of the United Nations Convention on the Rights of the
Child.
- The applicant had a legitimate expectation that
the Secretary of State would act in accordance with that Convention.
Opportunity for Representations
8. In support of his major argument that the respondent was
obliged to give an opportunity to make representations Mr Larkin relied upon the
general duty of fairness imposed upon a person or body making an administrative
decision. He did not attempt to argue that the applicant had a specific
legitimate expectation of consultation. In this I think that he was correct, for
there is nothing in the facts which might be regarded as a representation or
conduct giving rise to any such expectation.
9. The principles to be applied in determining the content
of fairness in the exercise of a statutory power were set out by Lord Mustill in
R v Secretary of State for the Home Department, ex parte Doody [1994] 1 AC 531 at
560, in a passage which has been cited and followed in many subsequent cases,
but which still bears repetition:
“What does fairness require in the
present case? My Lords, I think it unnecessary to refer by name or to quote
from, any of the often-cited authorities in which the courts have explained what
is essentially an intuitive judgment. They are far too well known. From them, I
derive that (1) where an Act of Parliament confers an administrative power there
is a presumption that it will be exercised in a manner which is fair in all the
circumstances. (2) The standards of fairness are not immutable. They may change
with the passage of time, both in the general and in their application to
decisions of a particular type. (3) The principles of fairness are not to be
applied by rote identically in every situation. What fairness demands is
dependent on the context of the decision, and this is to be taken into account
in all its aspects. (4) An essential feature of the context is the statute which
creates the discretion, as regards both its language and the shape of the legal
and administrative system within which the decision is taken. (5) Fairness will
very often require that a person who may be adversely affected by the decision
will have an opportunity to make representations on his own behalf either before
the decision is taken with a view to producing a favourable result; or after it
is taken, with a view to procuring its modification; or both. (6) Since the
person affected usually cannot make worthwhile representations without knowing
what factors may weigh against his interests fairness will very often require
that he is informed of the gist of the case which he has to answer.”
10. It appears from a number of decisions in which these
principles have been worked out in the field of prison administration that
several factors have to be taken into consideration in determining whether a
duty to consult will arise at any stage:
- There must a sufficiently substantial interest
to require such protection.
- It is necessary to have regard to the practical
difficulties which would be involved in carrying out consultation.
- Where there is a procedure which involves two or
more stages the court looks to see whether overall fairness is shown to be
established.
- In some circumstances a later procedural stage
may cure a defect in an earlier one.
11. The first of these factors is founded upon the same
principle as that expressed by Megaw LJ in R v Hull Prison Board of Visitors,
ex parte St Germain [1979] QB 425 at 450-1, that the courts would interfere
in the case of a breach of a procedural rule by a board of visitors only if –
“there were some failure to act
fairly, having regard to all relevant circumstances, and such unfairness could
reasonably be regarded as having caused a substantial, as distinct from a
trivial or merely technical, injustice which was capable of remedy.”
In Ex parte Doody the procedure
for fixing the tariff in mandatory life sentences was clearly regarded as
sufficiently important to the applicant to give him an interest requiring
protection. Similarly, the consequences to the applicant of a decision whether
he should be transferred from category A to a lower category were such that he
had such an interest: R v Secretary of State for the Home Department, ex
parte Duggan [1994] 3 All ER 277. Conversely, in R v Secretary of State
for the Home Department, ex parte Shaw (The Times, 10 February 2000)
Richards J held a decision not to place the applicant on a Sex Offender
Treatment Programme was not such that the applicant had to have the opportunity
to make representations. An intermediate stage may perhaps be seen in R v
Secretary of State for the Home Department, ex parte Allen (The Times,
21 March 2000), where the decision was whether the applicant should be given
early release on Home Detention Curfew (the “electronic tagging” scheme). The
Court of Appeal held that although this involved significant consequences for
the applicant, it did not require that he be afforded the right to make
representations at the assessment stage, so long as he had the opportunity at
some point in the process. The court would look at the procedure as it operated
at its various stages to see whether overall fairness was shown to have been
established. In doing so it would have regard to the practicalities of the case,
as Lord Woolf MR observed in R v Secretary of State for the Home Department,
ex parte McAvoy [1998] 1 WLR 790 at 798-9:
“For my part, I accept that it is
desirable, when something has the impact which being placed in category A has on
a prisoner, that the approach should be to ensure, so far as practical, that
fairness is achieved. However, in considering whether in any particular
situation the procedure which is adopted is fair or unfair, one has to reach a
decision not only in the light of the situation of the prisoner, but also in the
light of the practical considerations which must apply to the proper running of
a prison.”
12. The applicant’s solicitors did not advance in
correspondence any ground on which the applicant suffered any disadvantage from
being placed in Lisnevin rather than in St Patrick’s Juvenile Justice Centre,
nor was any evidence put before the court which tended to establish that such
disadvantage might exist. The applicant put in evidence an inspection report in
which the Social Services Inspectorate made a number of criticisms of the
physical facilities and the management of Lisnevin. I have considered the
content of these criticisms, and no doubt improvements were required – Mr
McCartney states in paragraph 18 that some physical improvements have been made
since the Inspectorate produced their report. The faults which they found with
Lisnevin, however, even if many are still uncorrected, are not in my judgment
sufficient to found the argument that the applicant was substantially worse off
by being placed there than if he were accommodated in St Patrick’s. In the
course of argument Mr Larkin suggested that because of the greater distance of
Lisnevin from his home as against St Patrick’s his family could not visit him so
frequently. This was not established by means of any evidence, and I should be
slow to accept that it was a factor of great consequence, bearing in mind the
location of each institution.
13. In the circumstances of this case I consider that
consultation was not required at all, because of the relatively slight impact
that the decision regarding his placement had upon the applicant’s interests.
If, contrary to my opinion, it was necessary to afford the opportunity to make
representations in some fashion in order to comply with the requirements of
fairness, I am satisfied that it was made sufficiently available to the
applicant and his family and solicitors, as Mr McCartney sets out in his
affidavit. There would have been considerable practical difficulties in
consulting them before the initial consideration of the applicant’s placement by
the non-statutory group and the Secretary of State. Representations could have
been made at any stage, and the Secretary of State could have altered his
decision on placement at any time and transferred the applicant to another
centre.
Reasons for the Decision
14. The second limb of the applicant’s first argument
seems to me more apposite than his second argument. Applying the principles laid
down in Ex parte Doody and usefully discussed in de Smith, Woolf &
Jowell, Principles of Judicial Review , paras 8-047 and 8-048, I
should not regard it as necessary in the first instance for the Secretary of
State to furnish reasons to the applicant for his decision regarding his
placement. When his solicitors questioned the decision, however, I consider that
some obligation arose to give an explanation for the decision, in order to allow
them to put forward effective representations if they so wished: cf the
discussion of the content of the common law obligation to furnish reasons for a
decision contained in pages 8 to 9 of my judgment in Re Ferris’ Application
(2000, unreported). That was done in the letter of 9 November 1999 from the
Northern Ireland Office to the solicitors, in which reference was made to the
applicant’s “previous behaviour while in the care of the social services and the
serious charges he faces now”. These matters would have been within the
knowledge of the applicant and his family, and I do not consider that it was
required that they should be spelt out with any greater particularity at that
stage, though such a requirement might have arisen if the correctness of the
matters relied upon by the NIO had been challenged. I accordingly do not
consider that the applicant can rely successfully on either of the first two
grounds advanced on his behalf.
The UN Convention
15. The applicant relied on Articles 3, 12 and 27 of the
United Nations Convention on the Rights of the child, which provide as follows:
“Article 3
1. In all actions concerning children,
whether undertaken by public or private social welfare institutions, courts of
law, administrative authorities or legislative bodies, the best interests of the
child shall be a primary consideration.
2. States Parties undertake to ensure
the child such protection and care as is necessary for his or her well-being,
taking into account the rights and duties of his or her parents, legal
guardians, or other individuals legally responsible for him or her, and, to this
end, shall take all appropriate legislative and administrative measures.
3. States Parties shall ensure that
the institutions, services and facilities responsible for the care or protection
of children shall conform with the standards established by competent
authorities, particularly in the areas of safety, health, in the number and
suitability of their staff, as well as competent supervision.
...
Article 12
1. States Parties shall assure to the
child who is capable of forming his or her own views the right to express those
views freely in all matters affecting the child, the views of the child being
given due weight in accordance with the age and maturity of the child.
2. For this purpose, the child shall
in particular be provided the opportunity to be heard in any judicial and
administrative proceedings affecting the child, either directly, or through a
representative or an appropriate body, in a manner consistent with the
procedural rules of national law.
...
Article 27
1. States Parties recognize the right
of every child to a standard of living adequate for the child’s physical,
mental, spiritual, moral and social development.
2. The parent(s) or others responsible
for the child have the primary responsibility to secure, within their abilities
and financial capacities, the conditions of living necessary for the child’s
development.
3. States Parties, in accordance with
national conditions and within their means, shall take appropriate measures to
assist parents and others responsible for the child to implement this right and
shall in case of need provide material assistance and support programmes,
particularly with regard to nutrition, clothing and housing.
4. States Parties shall take all
appropriate measures to secure the recovery of maintenance for the child from
the parents or other persons having financial responsibility for the child, both
within the State Party and from abroad. In particular, where the person having
financial responsibility for the child lives in a State different from that of
the child, States Parties shall promote the accession to international
agreements or the conclusion of such agreements, as well as the making of other
appropriate arrangements.”
16. Mr Larkin argued that the decision of the Secretary of
State relating to the placing of the applicant in Lisnevin was in breach of
these provisions. He submitted that the Secretary of State was obliged to have
regard to the provisions, and in the alternative, that the applicant had a
legitimate expectation that he would observe them in reaching his decision.
17. In my judgment it cannot be said that the Secretary of
State acted in breach of any of these provisions. The court took the view that
it was necessary for the applicant’s well-being to prevent him from absconding
and committing more offences, which would have further imperilled his future. In
order to comply with its ruling, it was proper for the Secretary of State to
direct that he be placed in Lisnevin. That decision could be contrary to his
well-being only if the conditions at Lisnevin were such as to be positively
detrimental to him. Criticism may have been directed at the conditions and
regimen at Lisnevin, but even if these had been uncorrected they were far from
being such as to constitute a breach of Article 3. Similarly, it cannot in my
view be said that the applicant was deprived of a standard of living adequate
for his physical, mental, spiritual, moral and social development to a degree
which would constitute a breach of Article 27.
18. The argument for the applicant under the UN Convention
was based mainly on Article 12, which assures to children the right to express
their views freely in all matters affecting it and an opportunity to be heard in
any judicial and administrative proceedings affecting them. The object of this
provision appears to be to ensure that children do not have to remain
unrepresented or without a voice when their interests are affected by judicial
or administrative decisions being taken. It is clearly important that if their
interests may diverge from those of their parents, family members or guardians
the children themselves must be given the chance to express a separate view.
Even if there is not a material divergence of interests, the provisions of
Article 12 appear to require that children be given an opportunity to express
their own views and parents or family members cannot have the exclusive right to
speak on their behalf. The focus of Article 12 is accordingly on the right to
separate representation and expression of views, and it does not confer any
greater entitlement to be consulted or to make representations than exists under
the general law. For the reasons which I have given I consider that sufficient
opportunity was given under the general law to the applicant to make
representations about the institution in which he was placed. The solicitors who
communicated with the Northern Ireland Office were instructed on his behalf, and
the present application has been brought in his name. I therefore consider that
the provisions of the UN Convention have all been observed.
Legitimate Expectation
19. This conclusion is sufficient to dispose of the
application, but since the issues of the extent to which the Secretary of State
was bound to have regard to the UN Convention and of the applicant’s legitimate
expectation were fully argued before me, I shall express my opinion upon them.
Mr Larkin argued that the decision of the Secretary of State relating to the
placing of the applicant in Lisnevin was in breach of the provisions of the UN
Convention which I have quoted. He submitted that the Secretary of State was
obliged to have regard to these provisions, and in the alternative, that the
applicant had a legitimate expectation that he would observe them in reaching
his decision.
20. The first of these arguments is not in my opinion
sustainable. The juridical status of international conventions in domestic law
was reaffirmed by the Privy Council in Thomas v Baptiste [2000] 2 AC 1,
where Lord Millett said at page 23, in the course of giving the majority
judgment:
“Their Lordships recognise the
constitutional importance of the principle that international conventions do not
alter domestic law except to the extent that they are incorporated into domestic
law by legislation. The making of a treaty, in Trinidad and Tobago as in
England, is an act of the executive government, not of the legislature. It
follows that the terms of a treaty cannot effect any alteration to domestic law
or deprive the subject of existing legal rights unless and until enacted into
domestic law by or under authority of the legislature. When so enacted, the
courts give effect to the domestic legislation, not to the terms of the treaty.
The many authoritative statements to this effect are too well known to need
citation. It is sometimes argued that human rights treaties form an exception to
this principle. It is also sometimes argued that a principle which is intended
to afford the subject constitutional protection against the exercise of
executive power cannot be invoked by the executive itself to escape from
obligations which it has entered into for his protection. Their Lordships
mention these arguments for completeness. They do not find it necessary to
examine them further in the present case.”
21. The issue in that case was decided by the conclusion
that by ratifying the American Convention on Human Rights and making provision
for individual access to an international body the government of Trinidad and
Tobago had made the process part of domestic law. The judgments did, however,
contain some discussion of the topic of legitimate expectation, to which I shall
return in a moment.
22. It follows from the basic proposition set out by Lord
Millett that if the Secretary of State did not have regard to the UN Convention
or take into account its provisions, that is not in itself a valid ground of
attack on his decision. As Sir Thomas Bingham MR observed in R v Ministry of
Defence ex parte Smith [1996] QB 517 at
558:
“The fact that a decision maker failed
to take account of Convention obligations when exercising an administrative
discretion is not of itself a ground for impugning that exercise of discretion.”
23. Were the law otherwise, the consequence would be, as
Lord Ackner pointed out in R v Secretary of State for the Home Department, ex
parte Brind [1991] 1 AC 696 at
761-2, that such conventions would be incorporated into domestic law by the back
door. The European Convention on Human Rights may now have been admitted by the
front door through the enactment of the Human Rights Act
1998, but the
UN Convention with which we are concerned has not been incorporated into
domestic law and cannot therefore be a source of rights and obligations.
24. Mr Larkin’s alternative argument was that since the
government has adhered to the UN Convention, an international treaty, persons in
the position of the applicant must have a legitimate expectation that the
Secretary of State would observe its terms. It does not follow, if this argument
is correct, that failure to do so ipso facto invalidates his decisions,
for provision may be made for a procedure which does not comply with the terms
of the convention, which will be valid so long as the decision maker acts
fairly: see Thomas v Baptiste [2000] 2 AC 1 at 25, per Lord Millett and
cf de Smith, Woolf & Jowell, Principles of Judicial Review , para
7-019. Mr Larkin did not spell out the nature and extent of the expectation to
which the applicant was entitled, but his argument was directed mainly to the
provisions of Article 12 of the UN Convention. The nature of these provisions is
such that any expectation may properly be described as one of procedural rather
than substantive benefit – ie a claim to be entitled to the benefit of a
specified procedure rather than to have the decision maker reach a specified
conclusion – but the arguments advanced by counsel were addressed to legitimate
expectations of both kinds. For convenience and economy of language I shall
refer to the latter kind as substantive legitimate expectations.
25. Three questions arise for consideration:
1. Can the government’s adherence to
the UN Convention give rise to a legitimate expectation of procedural
protection?
2. Can that adherence give rise to a
substantive legitimate expectation?
3. Can a substantive legitimate
expectation exist at all?
In R v Secretary of State for the
Home Department, ex parte Ahmed [1999] Imm AR 22 Lord Woolf MR was prepared
to answer the first two questions in the affirmative. The applications failed
because the Home Secretary had validly adopted certain policies that were in
conflict with the legitimate expectations which the Court of Appeal held could
arise from adherence to the European Convention on Human Rights (not then part
of domestic law). But in the course of his judgment Lord Woolf MR accepted that
both a procedural and a substantive legitimate expectation might arise:
“I will accept that the entering into
a treaty by the Secretary of State could give rise to a legitimate
expectation on which the public in general are entitled to rely. Subject to any
indication to the contrary, it could be a representation that the Secretary of
State would act in accordance with any obligations which he accepted under the
Treaty. This legitimate expectation could give rise to a right to relief, as
well as additional obligations of fairness, if the Secretary of State, without
reason, acted inconsistently with the obligations which this country had
undertaken.”
26. In reaching this conclusion Lord Woolf expressed
agreement with the judgments of Mason CJ and Deane J in the Australian case of
Minister of State for Immigration and Ethnic Affairs v Teoh (1995) 183 CLR
273 at 291:
“Moreover, ratification by Australia
of an international convention is not to be dismissed as a merely platitudinous
or ineffectual act 45, particularly when the instrument evidences
internationally accepted standards to be applied by courts and administrative
authorities in dealing with basic human rights affecting the family and
children. Rather, ratification of a convention is a positive statement by the
executive government of this country to the world and to the Australian people
that the executive government and its agencies will act in accordance with the
Convention. That positive statement is an adequate foundation for a legitimate
expectation, absent statutory or executive indications to the contrary, that
administrative decision-makers will act in conformity with the Convention 46 and
treat the best interests of the children as ‘a primary consideration’. It is not
necessary that a person seeking to set up such a legitimate expectation should
be aware of the Convention or should personally entertain the expectation; it is
enough that the expectation is reasonable in the sense that there are adequate
materials to support it ...
The existence of a legitimate
expectation that a decision-maker will act in a particular way does not
necessarily compel him or her to act in that way. That is the difference between
a legitimate expectation and a binding rule of law. To regard a legitimate
expectation as requiring the decision-maker to act in a particular way is
tantamount to treating it as a rule of law. It incorporates the provisions of
the unincorporated convention into our municipal law by the back door.”
In Thomas v Baptiste [2000] 2 AC 1 Lord Millett was rather more circumspect, when he stated at page 25:
“Even if a legitimate expectation
founded on the provisions of an unincorporated treaty may give procedural
protection, it cannot by itself, that is to say unsupported by other
constitutional safeguards, give substantive protection, for this would be
tantamount to the indirect enforcement of the treaty: see Minister for
Immigration and Ethnic Affairs v. Teoh (1995) 183 C.L.R
273. In this sense legitimate expectations do not create binding rules of
law: see Fisher v. Minister of Public Safety and Immigration (No. 2)
[2000] 1 AC 434 446G-447A. The result is that a decision-maker is free to
act inconsistently with the expectation in any particular case provided that he
acts fairly towards those likely to be affected.”
27. Debate has continued for some time on the question
whether there can be a legitimate expectation, whose fulfilment will be enforced
by judicial review, that a substantive right will be upheld. The scale has been
tipped towards recognition of substantive legitimate expectation by the decision
of the Court of Appeal in R v North and East Devon Health Authority, ex parte
Coughlan [2000] 3 All ER 850, in which the court declared unlawful a
decision to close a nursing home in which the applicant was a resident, contrary
to a firm promise given to her that it would be her home for life. It held on
the facts that Miss Coughlan had a legitimate expectation of continued residence
there, frustration of which would be so unfair as to amount to an abuse of
power. The authority’s decision to close the home and transfer the applicant
could only be justified if there was an overriding public interest, which had
not been established. In the course of his judgment Lord Woolf MR set out the
limits of the application of the doctrine of substantive legitimate expectation
at pages 871-2:
“Where the court considers that a
lawful promise or practice has induced a legitimate expectation of a benefit
which is substantive , not simply procedural, authority now establishes that
here too the court will in a proper case decide whether to frustrate the
expectation is so unfair that to take a new and different course will amount to
an abuse of power. Here, once the legitimacy of the expectation is established,
the court will have the task of weighing the requirements of fairness against
any overriding interest relied upon for the change of policy.”
28. At page 878 Lord Woolf MR defined more closely the
circumstances which will make it a proper case for the court to declare a
decision unlawful on this ground. Referring to R v Secretary of State for the
Home Department, ex parte Hargreaves [1997] 1 All ER 397, in which Hirst LJ
had condemned the doctrine of substantive legitimate expectation as a heresy, he
stated:
“76. Ex p Hargreaves can, in
any event, be distinguished from the present case. Mr Gordon has sought to
distinguish it on the ground that the present case involves an abuse of power.
On one view all cases where proper effect is not given to a legitimate
expectation involve an abuse of power. Abuse of power can be said to be but
another name for acting contrary to law. But the real distinction between Ex
p Hargreaves and this case is that in this case it is contended that
fairness in the statutory context required more of the decision-maker than in
Ex p Hargreaves where the sole legitimate expectation possessed
by the prisoners had been met. It required the health authority, as a matter of
fairness, not to resile from their promise unless there was an overriding
justification for doing so. Another way of expressing the same thing is to talk
of the unwarranted frustration of a legitimate expectation and thus an abuse of
power or a failure of substantive fairness. Again the labels are not important
except that they all distinguish the issue here from that in
Ex p Hargreaves. They identify a different task for the court
from that where what is in issue is a conventional application of policy or
exercise of discretion. Here the decision can only be justified if there is an
overriding public interest. Whether there is an overriding public interest is a
question for the court.”
In R v Secretary of State for the
Home Department, ex parte Begbie [2000] 1 WLR 1115 Laws LJ sought to define
with more particularity the circumstances in which the court would intervene on
the ground of an abuse of power. At pages 1130-1 he expressed the view:
“As it seems to me the first and third
categories explained in the Coughlan case [2000] 2 WLR 622 are not
hermetically sealed. The facts of the case, viewed always in their statutory
context, will steer the court to a more or less intrusive quality of review. In
some cases a change of tack by a public authority, though unfair from the
applicant’s stance, may involve questions of general policy affecting the public
at large or a significant section of it (including interests not represented
before the court); here the judges may well be in no position to adjudicate save
at most on a bare Wednesbury basis, without themselves donning the garb
of policy-maker, which they cannot wear. The local government finance cases,
such as Reg. v. Secretary of State for the Environment, Ex parte Hammersmith
and Fulham London Borough Council [1991] 1 A.C. 521, exemplify this. As Wade
and Forsyth observe ( Administrative Law, 7 th ed. (1994), p.
404):
‘Ministers’ decisions on important
matters of policy are not on that account sacrosanct against the
unreasonableness doctrine, though the court must take special care, for
constitutional reasons, not to pass judgment on action which is essentially
political.’
29. In other cases the act or omission complained of may
take place on a much smaller stage, with far fewer players. Here, with respect,
lies the importance of the fact in the Coughlan case [2000] 2 WLR 622
that few individuals were affected by the promise in question. The case’s facts
may be discrete and limited, having no implications for an innominate class of
persons. There may be no wide-ranging issues of general policy, or none with
multi-layered effects, upon whose merits the court is asked to embark. The court
may be able to envisage clearly and with sufficient certainty what the full
consequences will be of any order it makes. In such a case the court’s
condemnation of what is done as an abuse of power, justifiable (or rather,
falling to be relieved of its character as abusive) only if an overriding public
interest is shown of which the court is the judge, offers no offence to the
claims of democratic power.
30. There will of course be a multitude of cases falling
within these extremes, or sharing the characteristics of one or other. The more
the decision challenged lies in what may inelegantly be called the
macro-political field, the less intrusive will be the court’s supervision. More
than this: in that field, true abuse of power is less likely to be found, since
within it changes of policy, fuelled by broad conceptions of the public
interest, may more readily be accepted as taking precedence over the interests
of groups which enjoyed expectations generated by an earlier policy.”
31. I would refer also to the useful discussion of the
topic in Kerr J’s judgment in Re Treacy’s Application [2000] NI 330 at
360-4.
32. No doubt the debate will continue and the law will be
further developed as cases come before the courts for decision, but for the
moment at least it would seem that the doctrine of substantive legitimate
expectation has been accepted in England as a ground for invalidating an
administrative decision in circumstances where it amounts to an abuse of power
for which there is no justification based on overriding public interest. There
has been criticism of the decision in Ex parte Coughlan , notably in the
March 2000 issue of JR, but it represents binding authority in England
and was accepted as such in Ex parte Begbie . In these circumstances I
would, if it fell to be decided in the present application, accept when sitting
at first instance that that view of the law ought to be adopted, and regard the
dispute to which I referred in Re Croft’s Application [1997] NI 1 at
18-19 as having been resolved in this manner. I would also hold, if this issue
had not been determined by my conclusion that the actions of the Secretary of
State were not in breach of the UN Convention, that in the circumstances of the
present case there was no abuse of power on his part.
33. The applicant has accordingly failed to make out a
case for a declaration on any of the grounds on which he relied, and the
application must be dismissed.
IN THE HIGH COURT OF JUSTICE IN NORTHERN IRELAND
QUEEN’S BENCH DIVISION (CROWN
SIDE)
______
IN THE MATTER OF AN APPLICATION
BY KEVIN PHILLIPS A MINOR FOR JUDICIAL REVIEW
___
JUDGMENT
OF
CARSWELL LCJ
______