(ADMINISTRATIVE APPEALS CHAMBER)
The ORDER of the Upper Tribunal is to vary the original reporting restriction dated 6 January 2015 in the following terms (original text in normal font, varied text in italicised font):
RULING
There is to be no publication of any matter likely to lead members of the public directly or indirectly to identify the Appellant, the complainant (a sensitive witness) or any other person who was a child at the time of any of the allegations referred to in this decision.
Notwithstanding the foregoing, this decision (including the identity of any person referred to in it) may be disclosed to the police, the relevant local authority and any statutory or other relevant body (e.g. the Crown Prosecution Service) for the purposes of investigating and/or prosecuting any criminal offences or for the purposes of protecting the welfare of any child or other vulnerable person.
This ruling is given under rules 2, 5, 6 and 14 of the Tribunal Procedure (Upper Tribunal) Rules 2008 (SI 2008/2685).
REASONS FOR DECISION
Introduction
1. The question that arises in these proceedings is whether a reporting restriction imposed by the Upper Tribunal in the course of making a decision dismissing an appeal against a decision by the Disclosure and Barring Service should be varied. I have decided that it should.
The background
2. The local authority dismissed one of its teachers (“Mr X”) for gross misconduct in relation to various matters. These included (but were not limited to) (i) inappropriate contact/sexual misconduct with a female (“Miss Y”) while she was still a school pupil; and (ii) inappropriate contact with the same pupil after she had left school. The local authority referred the matter to the Disclosure and Barring Service (the DBS). Before the local authority had completed its own disciplinary processes and made that referral, the police had investigated matters but decided to take no further action, principally because Miss Y’s evidence was uncorroborated and there was a lack of technical (IT) evidence to support her account of events.
3. The DBS, however, concluded that three allegations were made out. These were that (1) Mr X had inappropriate e-mail contact with Miss Y, including sexual contact, while Miss Y was still at school; (2) Mr X continued inappropriate sexual contact through Facebook after Miss Y left school; (3) Mr X had sexual contact with Miss Y on two occasions. The DBS put Mr X’s name on the Children’s Barred List. Mr X appealed to the Upper Tribunal against that barring listing.
4. The Upper Tribunal held an oral hearing on 19 and 20 November 2014. Both Mr X and Miss Y gave evidence and were questioned. As regards allegation (1), the Upper Tribunal concluded that there had been inappropriate contact between Mr X and Miss Y across a range of social media while she was still a pupil. This continued after she left school, so allegation (2) was also upheld. It should be noted that Mr X conceded that there had been inappropriate Facebook contact involving messages of a sexual nature after Miss Y had left school, but he denied that this was a continuation of a pattern of behaviour before she had left school. The Upper Tribunal did not accept that explanation. The Upper Tribunal also found that allegation (3), relating to two incidents of sexual contact after Miss Y had left school, was made out. In its decision dated 6 January 2015, the Upper Tribunal therefore dismissed Mr X’s appeal. There has been no appeal against that decision.
The effect of the reporting restriction in the Upper Tribunal decision
5. The Upper Tribunal’s decision of 6 January 2015 included the following reporting restriction:
“There is to be no publication of any matter likely to lead members of the public directly or indirectly to identify the Appellant, the complainant (a sensitive witness) or any other person who was a child at the time of any of the allegations referred to in this decision.”
6. The Upper Tribunal panel explained its reasoning in outline as follows:
“2. This is a case involving a sensitive witness. We recognise that including certain facts or types of information in this decision could lead members of the public, directly or indirectly, to identify that witness, who we consider should not be identified. We therefore also issue a ruling which is in effect a reporting restriction under rule 14(1)(b) of the Tribunal Procedure (Upper Tribunal) Rules 2008 (SI 2008/2865). To preserve the anonymity of various persons, we also refer to all individuals in this decision by initials which are not their true initials. This includes the Appellant, as we believe that even referring to him by his real initials creates a risk that some or all of those concerned may be identified. We return later in our closing comments to make further observations on the effect of this ruling.”
7. The Upper Tribunal also made the following observations in its decision on the effect of the reporting restriction ruling (Ms White appeared as counsel for the DBS):
“95. Ms White made some submissions relating to anonymity and confidentiality which suggest to us that we need to make the position perfectly clear as regards the status of this decision. She explained that as far as the DBS is concerned, the issue as to whether a particular individual is on a barred list is a confidential matter. The Children’s Barred List is not an open public register. Instead, the DBS will only release information about a named individual if a request is made through the proper channels. She also indicated that the DBS wished to have authority to share the Upper Tribunal’s decision in this case with Miss Y, rather than her simply being informed as to the outcome of this appeal. In that context Ms White drew our attention to the unreported case of W v DBS (file reference V/1270/2012), in which the Upper Tribunal made an anonymity ruling under rule 14(1)(b) in respect of a teacher and his former pupil, but expressed the following qualification (at paragraph 86):
“However, once this decision is released to the parties it becomes a public document whether or not it is eventually published on the Tribunal’s website. This decision may be shown by the parties to their witnesses and indeed to any other person, provided that the anonymity direction is brought to their attention.”
96. We agree with the qualification set out immediately above. It is important to go back to first principles. Openness is a fundamental principle of the justice system. The oral hearing of Mr X’s appeal against the DBS decision in his case was in principle a public hearing (albeit that no members of the public were actually in attendance). It was not (in legal terms) a private hearing. A court’s decision following a public hearing is a public document (see e.g. Hodgson v Imperial Tobacco [1998] 1 WLR 1056 at 1070). The circumstances in which the reasons for a court’s decision may be kept secret (e.g. in a closed annex) are very few and far between. A decision by the Upper Tribunal is no different. Once it has been issued to the parties, it is in principle available to all of the public. It follows that the DBS does not need the permission of this Tribunal to show a copy to e.g. Miss Y – all it must do is impress on her, as with any recipient of the decision, the importance of the anonymity direction.
97. In practice, the wider availability of this decision is likely to turn on whether a copy is placed on the Upper Tribunal’s website. Some courts and tribunals place all their decisions on their websites. The Upper Tribunal only posts a minority of its decisions on its public-facing website. This is partly because of the resource considerations and the capacity of the IT system involved. The criteria for a decision being placed on the Upper Tribunal website are somewhat opaque. Typically, however, a decision will be placed on the Upper Tribunal website if it deals with a point of law or an issue of practice or procedure that merits wider dissemination than simply circulation to the parties to the particular appeal. The present case turns entirely on its facts and we see no reason why a copy should be placed on the Upper Tribunal website.”
How the present proceedings arose
8. On 12 March 2015 the local authority wrote to the Upper Tribunal asking for permission to disclose the Upper Tribunal’s decision to the local police force and Crown Prosecution Service (CPS) “to enable them to consider whether there are grounds to reinvestigate any potential offence committed by [Mr X] or to seek further charging advice from the [CPS].” The local authority argued this was in the interests of justice given (i) the Upper Tribunal’s credibility findings (in particular preferring the evidence of Miss Y to Mr X) and (ii) Mr X’s admission, when being questioned at the Upper Tribunal hearing, that there had been one incident involving inappropriate sexual contact after Miss Y had left school.
9. On 20 March 2015 I made some preliminary Observations on the request and directed an oral hearing to take place on 11 June 2015. I also invited Mr X’s written representations on the local authority’s request.
The further Upper Tribunal hearing
10. I held the oral hearing on 11 June 2015 at 2 pm. This was held by video-link to accommodate both Mr X and the local authority.
11. I was sitting at Field House in London. Mr Simon Bell of the Government Legal Department, who had previously had conduct of the matter for the DBS, attended the hearing in London.
12. The local authority’s solicitor attended by video-link at a court venue local to him. I intend him no disservice by simply referring to him as “the local authority’s solicitor”, as even naming him may indirectly enable those members of the public who are aware of certain aspects of the case to identify the vulnerable witness.
13. Mr X had indicated he was unlikely to attend in person and indeed did not attend at either location. His written representations were considered.
A procedural point
14. The local authority’s solicitor very properly raised a procedural point at the outset of the video-link hearing. As matters stand the local authority is not a party to the proceedings in V 3508 2012. He therefore invited the Upper Tribunal either to make an order varying its reporting restriction of its own motion under rule 6(1) of the Tribunal Procedure (Upper Tribunal) Rules 2008 (SI 2008/2685) or to join the local authority as a party under rule 9(2) and make the order on its application. He had no preference either way.
15. It is true that joining the local authority as a party would give it certain further rights (e.g. the right of appeal) and responsibilities. However, it does not seem to me to be proportionate or necessary for the fair and just consideration of this matter to join the local authority formally as a party under rule 9(2). I therefore proceed to consider the local authority’s request of my own motion.
Mr X’s representations
16. Mr X provided representations by two e-mails dated 13 April 2015 and 1 June 2015. He strenuously objected to any information from the hearing being disclosed to the police and/or the CPS. He maintained his denial that he had been involved in the commission of any criminal offence. He repeated his claim that there was no forensic evidence from computers to support any allegation. He admitted to “inappropriate contact” with Miss Y after she had left school, but argued this was “between two consenting adults”. He contested the Upper Tribunal’s credibility findings. He contended that if the CPS were to pursue criminal charges then his defence case had been prejudiced by the hearing. He referred to the severe stress and strain any such further investigation would put on his wife and young family.
The principles governing any modification of the reporting restriction order
Introduction
17. The Upper Tribunal has had jurisdiction to hear appeals from DBS barring decisions since 3 November 2008. So far as I am aware this is the first occasion since then on which the Upper Tribunal has had to consider a request to modify a reporting restriction order.
18. The original restriction order prevented the disclosure or publication of “any matter likely to lead members of the public to identify any person whom the Upper Tribunal considers should not be identified” within the terms of rule 14(1)(b). That order can be modified by further direction under rule 6(1). The rules themselves provide no other guidance as to the exercise of that power other than the high level objective that the Upper Tribunal must seek to give effect to the overriding objective of dealing with cases fairly and justly (rule 2(1)-(3)).
The reason for imposing the reporting restriction order in the first place
19. It is important to start with the reason for imposing the reporting restriction order in the first place in the circumstances of this particular case. As a matter of first principle any decision of the Upper Tribunal is a public document (see [7] above). The reporting restriction order was imposed under rule 14(1)(b). Its purpose, as the local authority’s solicitor reminded me, was not to protect Mr X’s identity and anonymity. Rather, its purpose was to protect the identity and anonymity of the vulnerable people and children concerned and in particular Miss Y, who was a child at the time of the events in question and had been recognised as a vulnerable person by the Upper Tribunal, resulting in special arrangements being made for her to give her evidence.
21. The Table at paragraph 2.1 of Practice Direction 12G provides that any party may provide “the text or summary of the whole or part of a judgment given in the proceedings” to a police officer “for the purpose of a criminal investigation”. It likewise provides that any “party or any person lawfully in receipt of information” may provide the same information to “a member of the Crown Prosecution Service ... to enable the Crown Prosecution Service to discharge its functions under any enactment”.
22. The circumstances in which information relating to care proceedings may be disclosed to the police were considered by the Court of Appeal (under the version of the relevant rules then in force) in Re C (A Minor) (Care Proceedings: Disclosure) [1997 Fam 76 [1997] 2 WLR 322, sub nom Re EC (Disclosure of Material) [1996] 2 FLR 725. Swinton-Thomas L.J. referred to the following factors which a judge should consider when deciding whether to order disclosure (at 733B-733H):
“(1) The welfare and interests of the child or children concerned in the care proceedings. If the child is likely to be adversely affected by the order in any serious way, this will be a very important factor.
(2) The welfare and interests of other children generally.
(3) The maintenance of confidentiality in children cases.
(4) The importance of encouraging frankness in children’s cases. All parties to this appeal agree that this is a very important factor and is likely to be of particular importance in a case to which s.98(2) applies. The underlying purpose of s.98 is to encourage people to tell the truth in cases concerning children, and the incentive is that any admission will not be admissible in evidence in a criminal trial. Consequently, it is important in this case. However, the added incentive of guaranteed confidentiality is not given by the words of the section and cannot be given.
(5) The public interest in the administration of justice. Barriers should not be erected between one branch of the judicature and another because this may be inimical to the overall interests of justice.
(6) The public interest in the prosecution of serious crime and the punishment of offenders, including the public interest in convicting those who have been guilty of violent or sexual offences against children. There is a strong public interest in making available material to the police which is relevant to a criminal trial. In many cases, this is likely to be a very important factor.
(7) The gravity of the alleged offence and the relevance of the evidence to it. If the evidence has little or no bearing on the investigation or the trial, this will militate against a disclosure order.
(8) The desirability of co-operation between various agencies concerned with the welfare of children, including the social services departments, the police service, medical practitioners, health visitors, school, etc. This is particularly important in cases concerning children.
(9) In a case to which s.98(2) applies, the terms of the section itself, namely, that the witness was not excused from answering incriminating questions, and that any statement of admission would not be admissible against him in criminal proceedings. Fairness to the person who has incriminated himself and any others affected by the incriminating statement and any danger of oppression would also be relevant considerations.
(10) Any other material disclosure which has already taken place.”
Do the same principles apply in the Upper Tribunal?
24. There is no equivalent in the Tribunal Procedure (Upper Tribunal) Rules 2008 to FPR r.12.73 or Practice Direction 12G. There are also important differences between care proceedings in the family courts and safeguarding appeals in the Upper Tribunal. Two differences stand out. First, the presumption is that family court proceedings under the Children Act are held in private (FPR r.27.10) and the publication of information relating to such proceedings is a contempt of court (Administration of Justice Act 1960, section 12(1)(a)(ii)). In contrast, the presumption is that Upper Tribunal proceedings are in public (rule 37(1)). Second, a person cannot be excused from answering any question while giving evidence in care proceedings “on the ground that doing so might incriminate him or his spouse of an offence” (Children Act 1989, section 98(1)). However (perjury aside), any admission made in such proceedings “shall not be admissible in evidence” in any criminal proceedings (section 98(2)). Section 98 does not apply in Upper Tribunal proceedings, and of course there is a privilege against self-incrimination (Civil Evidence Act 1968, section 14(1) and see also rule 16(3)).
The application of those principles in this case
(a) The welfare and interests of Mr X’s family and children
26. This relates to the second factor in Swinton-Thomas L.J.’s checklist. In his representations Mr X emphasised that any re-opening of the earlier police investigation would place immense stress on both his wife and his young family. He argued that as a result of what he described as “this malicious allegation” they had suffered from depression, counselling and interference from social services. The consequence, he claimed, would be injustice to his wife and family.
(b) Fairness to a person who has incriminated himself
27. This concerns the ninth factor in the checklist in Re EC (Disclosure of Material). Mr X argued that in any future criminal proceedings his defence had been prejudiced by the Upper Tribunal hearing. He referred to the fact that when questioned by the police (and at the hearing) Miss Y had not referred to certain identifying features relating to his genitals. He also argued that some of the vocabulary used in Miss Y’s written witness statement for the Upper Tribunal was not language which she would have used herself.
28. This is an inquisitorial jurisdiction, which means that I can take a relevant point not advanced by one of the parties. If Mr X had the benefit of legal representation, his advocate would undoubtedly seek to argue that his Article 6 rights to a fair trial in any future criminal proceedings had been infringed by the admission he made in the course of the Upper Tribunal oral hearing that there had been one incident of inappropriate sexual contact between himself and Miss Y. Any such advocate would point out that the Upper Tribunal had not advised him, either before or at the oral hearing, of the privilege against self-incrimination and of his right not to answer questions. Furthermore, in the Upper Tribunal proceedings Mr X did not have the benefit of the protection of section 98(2) of the Children Act 1989.
Arguments in favour of disclosure
(a) The public interest in the administration of justice
29. This is the fifth of the factors identified by Swinton-Thomas L.J. in Re EC (Disclosure of Material), namely that barriers should not be erected between one branch of the judicature (the Upper Tribunal) and another (potentially the criminal courts) as this may damage the overall interests of justice. Always an important factor, this is arguably given greater weight by the fact that the Upper Tribunal proceedings were in principle public proceedings.
(b) Public interest in the prosecution of serious crime and the gravity of the offence(s)
30. These are the sixth and seventh of the factors identified by Swinton-Thomas L.J. in Re EC (Disclosure of Material). Mr X denies any criminal wrongdoing on his part. The Upper Tribunal, of course, is not a criminal court. The rules of evidence are very different, as is the standard of proof. The Upper Tribunal did not make a finding in terms that any criminal offence had been committed. It is certainly not for the Upper Tribunal to decide whether any further criminal investigation should take place let alone whether any prosecution should be started. However, it is important that the Upper Tribunal does not impede the police and the CPS from carrying out their statutory duties.
(c) Co-operation between various agencies
31. This relates to the eighth factor in the Re EC (Disclosure of Material) checklist. It was relied on heavily by the local authority’s solicitor. He referred, if authority be needed, to the council’s statutory duties under sections 17 and 47 of the Children Act 1989. The importance of statutory agencies working in partnership in child protection matters has long been recognised. This is a case in which the police had provided information both to the local authority and the DBS. As a matter of good practice, the Upper Tribunal should not restrain the local authority from disclosing the decision (and identifying the persons in the decision) that represented the outcome of the appellate process.
(d) Other material disclosure
32. This concerns the tenth and final factor in Swinton-Thomas L.J.’s checklist. The police are well aware of the allegations against Mr X. The police already know the identity of Mr X and Miss Y. On the basis of information they already hold, they may well be able to identify some, but probably not all, of the anonymised witnesses referred to in the Upper Tribunal’s decision. Given the nature of the allegations, the police’s current state of not entirely complete knowledge is unsatisfactory.
33. In deciding whether or not to modify the reporting restriction order so as to permit disclosure (to the police and the CPS) of the identity of all those persons referred to in the Upper Tribunal’s decision I have a discretion. The exercise of that discretion involves a balancing process in which I have to consider the respective weighting of the factors for and against disclosure.
34. For the purposes of this balancing exercise, and for the purposes of argument, I will assume that the onus is on the body seeking a modification of the reporting restriction order to show why that relaxation should take place. I have not heard any argument on the point, which may need to be resolved properly in a later case. However, placing the burden on the local authority “gives the benefit of the doubt” in procedural terms to Mr X in this regard.
35. That said, the starting point remains that the Upper Tribunal decision is a public document following proceedings held (at least nominally) in public. There is a general public interest in transparency in court and tribunal proceedings. This factor tilts the balance at the outset in terms of disclosure, especially given the limited nature of the disclosure sought by the local authority.
36. Mr X’s representations as to why disclosure should not take place essentially raise Article 6 (right to a fair trial) and Article 8 (right to privacy and family life) objections under human rights legislation.
37. So far as Mr X’s Article 6 rights are concerned, the local authority’s solicitor argues that Mr X cannot hide behind the reporting restrictions. He points to the paradox that Mr X vehemently protests his innocence and yet resists disclosure to the police and the CPS when, on his version of events, those agencies would be bound to decide not to press charges. He further argues that the admitted inappropriate contact with Miss Y only took place after she had left school, when this was “between two consenting adults”. However, whether or not Miss Y had left school, at all material times she was under the age of 18 and so a child for legal purposes. Mr X’s strongest point in Article 6 terms is that he was not given any advice as to the privilege against self-incrimination or any warning by the Upper Tribunal of his right not to answer questions. However, this had not been considered necessary as – subject to one limited concession – Mr X’s stance in the DBS appeal had all along been to deny any wrongdoing. His admission as to an incident of inappropriate sexual contact came out of the blue in the course of the hearing. Given the extra safeguards that exist in any future criminal proceedings, I do not consider there is any real risk to his right to a fair trial.
38. Mr X’s Article 8 rights, or more particularly those of his wife and young family, clearly carry some weight. A possible re-opening of the previously closed police investigation will obviously cause them further stress. However, Article 8 is a qualified rather than an absolute right. In particular, interference by public authorities in those rights is permitted under Article 8 e.g. “for the prevention of disorder or crime, for the protection of health and morals, or for the protection of the rights and freedoms of others”. Again, I take the view that there is no possible breach of the right to privacy and family life.
39. My conclusion is that the balance in this case clearly falls in favour of the disclosure of the identities of the persons referred to in the Upper Tribunal’s decision to the police and Crown Prosecution Service. The factors in favour of such disclosure are both more numerous and weightier than the counter arguments, which have limited purchase for the reasons identified above. In reaching this conclusion I also take into account the following further considerations.
40. First, as the local authority’s solicitor maintained, the Upper Tribunal made two specific findings which were potentially highly relevant to the police and CPS decision to close the previous investigation. These concerned the credibility of Miss Y as against Mr X and Mr X’s admission as to inappropriate conduct on one occasion.
41. Second, the mere fact that the Upper Tribunal’s decision is made available to the police and CPS with a modified reporting restriction order does not automatically render it admissible in any future criminal proceedings. Obviously the rules governing the admissibility of evidence in criminal proceedings are governed by the Criminal Procedure Rules.
42. Third, as well as considering the local authority’s submissions and Mr X’s counter arguments I have considered the position of others involved in these proceedings. Mr Bell’s instructions were that the DBS is “neutral” on the issue of any further disclosure. The position of Miss Y is not known. I have considered whether I should adjourn for her views to be obtained. I do not think that would be appropriate in the circumstances of this case. I say that as she was recognised to be a vulnerable witness, and it would be unfair to put her in the position of expressing a view either way. In any event, her wishes in the matter could only ever be a consideration, and could not be determinative. The scales in this case are weighed so heavily in favour of disclosure that even her objection to disclosure would not be conclusive. She will doubtless be advised by Mr Bell and if necessary by the DBS as regards the possible consequences of this ruling and any steps that she may wish to take.
43. Fourth, I have considered whether my ruling should be one that enables the various individuals’ identities to be disclosed to the police and the CPS but which precludes any further use of that information without the further permission of the Upper Tribunal. This was the approach taken by the High Court in Re X and Y (Children: Disclosure of Judgment to Police). In the present case I do not consider that it would be appropriate, fair or just for the Upper Tribunal to retain any ongoing “policing” role in this way. The position in care proceedings is very different, as in such cases the children in question may still be the subject of the courts’ jurisdiction in various ways. The purpose of the present ruling is to allow the local authority to disclose the Upper Tribunal’s decision and the identity of the individuals involved to the police and the CPS so they can decide whether or not to re-open their investigation. After that, it is a matter for the relevant authorities.
44. Fifth, and finally, I bear in mind that there is at least an argument that the police and the CPS are in any event not “members of the public” within the terms of rule 14(1)(b) for the purposes of the original reporting restriction order.
45. I therefore vary the Upper Tribunal’s original reporting restriction order in the terms set out at the head of these reasons. I make this Order of my own motion under rule 6(1) of the Tribunal Procedure (Upper Tribunal) Rules 2008 (SI 2008/2685).
Signed on the original Nicholas Wikeley
on 15 June 2015 Judge of the Upper Tribunal