Category Archives: Open Justice

No right to anonymity in withdrawn proceedings

[reposted from LinkedIn]

The Upper Tribunal (Tax and Chancery) Chamber (UT) has declined to accept that, as a general rule, where a party bringing substantive proceedings has sought, and failed to get, an ancillary anonymity order, they should be able to withdraw their substantive application and maintain anonymity.

The applicant – “The Taxpayer” – was originally granted anonymity (i.e. that the hearing should be in private) by the First-tier Tribunal (FTT) in proceedings where he was appealing against the denial by HMRC of certain tax deductions which he had claimed.

In a decision from January this year the Upper Tribunal granted HMRC’s appeal and set aside the FTT’s direction. The Taxpayer then sought a direction from the UT that if he withdrew his substantive FTT appeal against HMRC’s denial of deductions, the UT proceedings would remain anonymised.

Counsel for The Taxpayer accepted that this would be a derogation from the open justice principle, but argued that it was one that – absent bad faith – would always be necessary in such withdrawal circumstances “in order to secure the administration of justice and to protect an applicant’s Article 8 rights”.

Not so, held the UT: “it would undermine [the open justice] principles for the Anonymity Application to be granted without any consideration of the degree of necessity, the facts and circumstances said to justify anonymity, or the proportionality of the derogation from the principle of open justice. An application such as the Anonymity Application is not to be refused or granted in every case, but stands or falls by a granular, fact-specific, assessment of those factors”.

Pending further appeal, the identity of The Taxpayer remains undisclosed, but once appeal has been refused, or deadline has passed, the judgment will be republished without anonymisation.

The views in this post (and indeed most posts on this blog) are my personal ones, and do not represent the views of any organisation I am involved with.

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Non-party access to court documents

The issue of non-party access to information from court cases, such as parties’ skeleton arguments and other case documents, continues to exercise the courts. In a recent judgment (Moss v The Upper Tribunal [2024] EWCA Civ 1414), the Court of Appeal has ruled that the president of the Administrative Appeals Chamber of the Upper Tribunal had been wrong to refuse an application for parties’ written submissions from a Freedom of Information Act case.

Following the Supreme Court’s judgment in Dring, it is clear that there is no presumptive right to such documents. Instead, as Baroness Hale put it, “it is for the person seeking access to explain why he seeks it and how granting him access will advance the open justice principle” (at para 45 of the SC judgment), and if that test is met, the court must consider any countervailing factors (at 46-47).

Here, the AAC President had rejected the applicant’s stated reason (“I am a campaigner and writer with a particular interest in information and rights law and certification/contempt proceedings, and I need copies of the skeleton arguments to see what arguments were deployed in these cases, to enable me to write about them from an informed point of view”) but did not explain why. This was an error of law, and Coulson LJ, reconsidering the material which had been before the President, decided instead that stated reason (just) met Baroness Hale’s first test. There were no countervailing factors, and so the appeal succeeded.

All three appeal court judges note that the Civil Procedure Rules Committee is in the process of considering how to deal with non-party information requests – something Baroness Hale had called for in a postscript to Dring.

However, as happened here, such requests are often made in relation to tribunal proceedings, which are not covered by the CPR. Tribunal rules are notably silent on such issues, and Underhill LJ wisely calls on the Tribunal Rules Committee also to consider the matter.

Aidan Wills of Matrix Chambers acted for the appellant, and Eric Metcalfe of Monckton Chambers for the Information Commissioner’s Office, as an interested party.

The views in this post (and indeed most posts on this blog) are my personal ones, and do not represent the views of any organisation I am involved with.

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Filed under access to information, Article 10, Freedom of Information, judgments, Open Justice

Data (Use and Access) Bill – some initial thoughts

By me, on the Mishcon de Reya website.

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Filed under Data Protection, Data Protection Bill, Information Commissioner, Open Justice, ROPA, subject access

Department for the Economy (Northern Ireland) v Information Commissioner and White (GIA/85/2021)

I wrote recently about the fact that a judgment in the Upper Tribunal, which the Information Commissioner cites in guidance, was not publicly available anywhere. The ICO had refused to disclose it in response to a Freedom of Information Act request and suggested the requester ask for a copy directly from the Tribunal.

I don’t know if the requester did, but I thought it would be helpful to do so, and upload it here. (Kudos to the Tribunal for the swift, helpful reply.)

I’m also going to contact Bailii, and see if they might host a copy as well.

The views in this post (and indeed most posts on this blog) are my personal ones, and do not represent the views of any organisation I am involved with.

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Filed under access to information, Environmental Information Regulations, FOIA, Freedom of Information, Information Commissioner, Open Justice, Upper Tribunal

Closed justice and the EIR

[reposted from LinkedIn]

The Upper Tribunal is an appellate court: its judgments create precedent, under the doctrine of stare decisis. For that reason, one might think that all of its judgments would be published – particularly ones that are cited by a regulator in its guidance. But that’s not the case.

The Information Commissioner’s Office (ICO) refers to an Upper Tribunal judgment – Department for the Economy (Northern Ireland) v Information Commissioner and White (GIA/85/2021) – in its guidance on the Environmental Information Regulations, but the judgment has never been openly published online (it’s possible one of the various paid-for online legal libraries has it – I haven’t checked).

The lack of easy access to judgments and other court documents in general (not just those in the Upper Tribunal) is one that has understandably exercised people for a number of years. Things have got much better in recent years, and the work of BAILII (British and Irish Legal Information Institute) and of people like Lucy Reed KC, Judith Townend and Paul Magrath at The Transparency Project has been key in advancing this core constituent of the principle of open justice. But there are still huge amounts of case law which are not readily available to the public.

For this reason I was struck by the ICO’s response to an FOI request for a copy of the judgment that they rely on to justify their own approach to the law. They point out to the requester that the only copy of the judgment they hold is a signed one from the court, and that it was “not intended for publication or wider disclosure”. They refuse to disclose it in reliance on the absolute exemption at section 32 of the Freedom of Information Act 2000 (FOIA) for information created by a court. What they don’t consider is – despite there being an exemption engaged – whether to exercise their discretion not to rely on it. In the circumstances, this would seem an obvious thing to do.

In fact, as the judgment is about the Environmental Information Regulations 2004, and it is used by the ICO to support its guidance on those regulations, it seems clear that the ICO should have dealt with the request also under the regulations. As they do not have an equivalent exemption to section 32 of FOIA, I cannot see the grounds for non-disclosure.

Instead, they suggest the requester asks for a copy from the Tribunal directly. Much better, and public-spirited, I would have thought – if they felt they shouldn’t or couldn’t directly disclose – would have been for the ICO to seek the permission of the Tribunal to disclose (or even better, to nudge the Tribunal to get it uploaded at https://www.gov.uk/administrative-appeals-tribunal-decisions).

The upshot of all this is that – regardless of whether the original requester does so – I’m going to contact the Upper Tribunal to ask for a copy, and when I get it, I’ll upload it to my personal blog. But I’m not convinced that’s really how open justice should operate.

The views in this post (and indeed most posts on this blog) are my personal ones, and do not represent the views of any organisation I am involved with.

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Filed under access to information, Environmental Information Regulations, FOIA, Freedom of Information, Information Commissioner, Open Justice, Upper Tribunal

Reporter uses FOI to lift anonymity order

Here’s a remarkable example of good use of Freedom of Information (FOI) law. Tanya Fowles, a reporter covering courts in Northern Ireland, has successfully applied to lift a reporting restriction order, originally made in the magistrates’ court, which prevented her naming a person convicted of causing a child to engage in sexual activity.

The court appears to have imposed the original order because of a perceived risk to the defendant’s safety, based on evidence given by a police officer, who is reported to have told the court that

It’s a small, rural community. The family would be well-known. I think he would be easily identified. I know of incidents recently where paedophile hunters have gone to houses and attacked individuals. I am aware that is prevalent within the area, or certainly was last year. They have turned up at houses and one was arrested for assault. After that there was a bit of a lull, but I believe they are still active in the area.

However, Fowles then made an FOI request to the Police Service of Northern Ireland, which revealed that, far from such incidents being prevalent, police had only attended seven incidents in the entire County Armagh area during 2019/20, resulting in a single report of assault but zero prosecutions. This evidence was accepted in the county court (to which the case had been transferred) and the reporting restriction order was lifted.

The views in this post (and indeed most posts on this blog) are my personal ones, and do not represent the views of any organisation I am involved with.

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What’s in a name?

For reasons which will become obvious I have replaced the names of two people referred to in this post to “John Doe” and “Jane Doe”: I’ve no wish to perpetuate a possible wrong.

Last night I was reading a recent judgment of the High Court in the matter of an appeal by a barrister from a decision of sanction by the Bar Tribunals and Adjudication Service. The judge, Mr Justice Warby, is one of the most senior media law judges in the country. Indeed, as judge in charge of the Media and Communications List, he is arguably the most senior such judge.

Mr Justice Warby knows a lot, then, about privacy, and data protection, and harm to reputation. As the judge who decided the landmark NT1 and NT2 cases, he also knows a lot about the concept of the “right to be forgotten” and how historic, outdated or inaccurate information on the internet has the potential to cause unwarranted harm in the future.

Yet in the case I will discuss here, I think he adopts a course of action in writing his judgment (one which he implies he may well repeat in future) which has the potential to cause great harm to wholly innocent individuals.

The facts of the case are not particularly relevant. Suffice to say that the barrister in question (named Khan) was suspended because it was found that he had engaged in serious misconduct in inter alia discussing in a robing room serious allegations of sexual offences made by a former client of his against another practising barrister.

In reading the description of the agreed facts I was perturbed, to say the least, to note that the names of the former client and the alleged offender were apparently given in full:

What Mr Khan did, in summary, was this. On two occasions, in the robing rooms of two Courts in the Midlands, he spoke words that suggested to those who were present and heard him that a fellow barrister, [John Doe], had (a) stalked and then (b) raped another, female, lawyer who had been Mr Khan’s client and, (c) when she complained of this, caused serious threats to her life to be made, in an attempt to cover up what had taken place. All the information that Mr Khan had about these matters came from his former client, [Jane Doe], who was the complainant.

The explanation for using apparent full names was given by Warby J in the following paragraph:

I have…changed the name of the complainant because, as someone who has alleged rape, she is entitled to lifetime anonymity (Sexual Offences (Amendment) Act 1992, s 1). To make anonymity effective in her case, I have also changed the name of the barrister she accused. [John Doe] is not his real name. I have used this method of anonymisation, in preference to the use of initials, as it is at least as effective, less artificial, and reduces the potential for confusion

This strikes me as, with respect to the learned judge, profoundly misguided. The use of initials (obviously not the person’s actual initials) does not just anonymise the person to whom they relate, but also avoids the risk of someone else inadvertently being associated.

Because – here’s the rub – there does appear (unsurprisingly) to be a former barrister (now solicitor) called “[John Doe]”. He is clearly not the [John Doe] Warby J refers to (not least because [John Doe] in the judgment is of course a pseudonym. But, as is all too obvious in the modern world, snippets of information can sometimes become separated from their context, and used, inadvertently, or even maliciously, to harmful effect.

It is by no means unlikely that the first paragraph I quote above could be later quoted, or extracted, and read in isolation, and that the practising barrister who is really called [John Doe], but who has no connection whatsoever to the events in the judgment, could be defamed or otherwise harmed as a result.

Put it this way – if I were the practising barrister who is really called [John Doe] I would be horrified, and greatly aggrieved, by paragraph 5 of Warby J’s judgment.

A while ago, my enjoyment of a silly internet game, whereby one Googles the phrase “X was convicted of” (where X is one’s own name), was swiftly replaced by abject dismay, when I found that someone sharing my name had been convicted of a horrific offence. This was pure, if unfortunate, coincidence. What Mr Justice Warby appears to have done in this judgment, and is – I fear – proposing to do in future judgments, is deliberately try to develop (for the best of reasons) a judicial naming convention which risks great harm to wholly innocent and unwitting individuals. I hope he rethinks.

The views in this post (and indeed all posts on this blog) are my personal ones, and do not represent the views of any organisation I am involved with.

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Filed under anonymisation, defamation, Open Justice, sexual offences amendment act

FOIA’s not the only route

News emerges of a potential judicial review attempt to force disclosure of government Brexit papers not under FOI but under common law and human rights to information

More than three years ago the Supreme Court handed down judgment in a long-running piece of litigation under the Freedom of Information Act 2000 (FOIA). Journalist Dominic Kennedy had attempted to get disclosure from the Charity Commission of information relating to inquiries into George Galloway’s “Mariam Appeal”. The Commission said, in effect, that the absolute exemption to disclosure at section 32(2) of FOIA was the end of the story, while Kennedy argued that Article 10 of the European Convention on Human Rights imposed a positive obligation of disclosure on public authorities, particularly when the requester was a “public watchdog” like the press, and that s32(2) should be read down accordingly to require disclosure in the circumstances (I paraphrase). In his leading opinion Lord Mance gave this stirring introduction:

Information is the key to sound decision-making, to accountability and development; it underpins democracy and assists in combatting poverty, oppression, corruption, prejudice and inefficiency. Administrators, judges, arbitrators, and persons conducting inquiries and investigations depend upon it; likewise the press, NGOs and individuals concerned to report on issues of public interest. Unwillingness to disclose information may arise through habits of secrecy or reasons of self-protection. But information can be genuinely private, confidential or sensitive, and these interests merit respect in their own right and, in the case of those who depend on information to fulfil their functions, because this may not otherwise be forthcoming. These competing considerations, and the balance between them, lie behind the issues on this appeal.

What was most interesting about the judgment in Kennedy, and, again, I disrespectfully heavily paraphrase, was that the Supreme Court basically said (as it has been wont to do in recent years) – “why harp on about your rights at European law, don’t you realise that our dear old domestic friend the common law gives you similar rights?”

the route by which [Mr Kennedy] may, after an appropriate balancing exercise, be entitled to disclosure, is not under or by virtue of some process of remodelling of section 32, but is under the Charities Act construed in the light of common law principles and/or in the light of article 10 of the Human Rights Convention, if and so far as that article may be engaged

This greatly excited those in the information rights field at the time, but since then, there has been little of prominence to advance the proposition that FOIA rights are not the only route [Ed. there’s a great/awful pun in there somewhere] but it did get a positive airing in R (Privacy International) v HMRC [2014] EWHC 1475 (Admin) (on which see Panopticon post here).

Yesterday (12 October) barrister Jolyon Maugham announced that his Good Law Project was seeking donors towards a judicial review application if the government refused to publish information and reports comparing the predicted economic harm of Brexit with the predicted economic benefits of alternative free trade agreements. Keen followers of information rights litigation will note that Tim Pitt-Payne  and Robin Hopkins are instructed: the potential respondents should quake in their boots.

Well worth watching this, and well worth – in my opinion – donating towards the cause.

The views in this post (and indeed all posts on this blog) are my personal ones, and do not represent the views of any organisation I am involved with.

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FOI, data protection and rogue landlords 

On 23rd July the Chartered Institute of Environmental Health (CIEH), in conjunction with the Guardian, published a database of landlords who have been convicted of offences under the Housing Act 2004. This showed, for example, that one landlord has been prosecuted seven times for issues relating to disrepair and poor state of properties rented out. It also showed apparent regional discrepancies regarding prosecutions, with some councils carrying out only one prosecution since 2006.

This public interest investigative journalism was, however not achieved without a fight: in September last year the information Commissioners office (ICO) issued a decision notice finding that the journalists request for this information had been correctly refused by the Ministry of Justice on the grounds that the information was sensitive personal data and disclosure under the Freedom of Information Act 2000 (FOIA) would contravene the MoJ’s obligations under the Data Protection Act 1998 (DPA). Section 40(2) of FOIA provides that information is exempt from disclosure under FOIA if disclosure would contravene any of the data protection principles in Schedule One of the DPA (it also provides that it would be exempt if disclosure would contravene section 10 of the DPA, but this is rarely invoked). The key data protection principle is the first, which says that personal data must be processed fairly and lawfully, and in particular that the processing must meet one of the conditions in Schedule Two, and also – for sensitive personal data – one of the conditions in Schedule Three.

The ICO, in its decision notice, after correctly determining that information about identifiable individuals (as opposed to companies) within the scope of the request was sensitive personal data (because it was about offences committed by those individuals) did not accept the requester’s submission that a Schedule Three condition existed which permitted disclosure. The only ones which could potentially apply – condition 1 (explicit consent) or condition 5 (information already made public by the individual) – were not engaged.

However, the ICO did not at the time consider the secondary legislation made under condition 10: the Data Protection (Processing of Sensitive Personal Data) Order 2000 provides further bases for processing of sensitive personal data, and, as the the First-tier Tribunal (Information Rights) (FTT) accepted upon appeal by the applicant, part 3 of the Schedule to that Order permits processing where the processing is “in the substantial public interest”, is in connection with “the commission by any person of any unlawful act” and is for journalistic purposes and is done with a “view to the publication of those data by any person and the data controller reasonably believes that such publication would be in the public interest”. In fairness to the ICO, this further condition was identified by them in their response to the appeal.

In this case, the information was clearly sought with a view to the future publication in the CIEH’s Magazine, “Environmental Health News” and the requester was the digital editor of the latter. This, the FTT decided, taken with the (objective) substantial public interest in the publication of the information, was sufficient to make disclosure under FOIA fair and lawful. In a passage (paras 28-30) worth quoting in full the FTT said

Unfit housing is a matter of major public concern and has a significant impact on the health of tenants.  The Housing Act is a key mechanism for local authorities to improve housing standards and protect the health of vulnerable tenants.  One mechanism for doing this is by means of prosecution, another is licensing schemes for landlords.  Local authorities place vulnerable families in accommodation outside their areas tenants seek accommodation, The publication of information about convictions under the Housing Act would be of considerable value to local authorities in discharge of their functions and assist prospective tenants and those assisting them in avoiding landlords with a history of breaches of the Housing Act.

The sanctions under the Housing Act are comparatively small and the  opprobrium of a conviction may well not rank with other forms of criminal misbehaviour, however the potential for harm to others from such activity is very great, the potential for financial benefit from the misbehaviour is also substantial.  Breaches of the Housing Act are economically motivated and what is proposed is a method of advancing the policy objective of the Housing Act by increasing the availability of relevant information to key actors in the rented housing market – the local authorities as regulator and purchaser and the tenants themselves.  Any impact on the data subjects will overwhelmingly be on their commercial reputations rather than more personal matters.

The Tribunal is therefore satisfied that not only is the disclosure of this information in the substantial public interest, but also any reasonably informed data controller with  knowledge of the social needs and the impact of such disclosure would so conclude.

It is relatively rare that sensitive personal data will be disclosed, or ordered to be disclosed, under FOIA, but it is well worth remembering the 2000 Order, particularly when it comes to publication or proposed publication of such data under public interest journalism.

The views in this post (and indeed all posts on this blog) are my personal ones, and do not represent the views of any organisation I am involved with..

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Filed under Data Protection, Freedom of Information, Information Commissioner, Information Tribunal, journalism, Open Justice

Naming and shaming the innocent

Around this time last year I wrote two blog posts about two separate police forces’ decision to tweet the names of drivers charged (but not – yet, at least – convicted) of drink driving offences. In the latter example Staffordshire police were actually using a hashtag #drinkdriversnamedontwitter, and I argued that

If someone has merely been charged with an offence, it is contrary to the ancient and fundamental presumption of innocence to shame them for that fact. Indeed, I struggle to understand how it doesn’t constitute contempt of court to do so, or to suggest that someone who has not been convicted of drink-driving is a drink driver. Being charged with an offence does not inevitably lead to conviction. I haven’t been able to find statistics relating to drink-driving acquittals, but in 2010 16% of all defendants dealt with by magistrates’ courts were either acquitted or not proceeded against

The Information Commissioner’s Office investigated whether there had been a breach of the first principle of Schedule One of the Data Protection Act 1998 (DPA), which requires that processing of personal data be “fair and lawful”, but decided to take no action after Staffs police agreed not to use the hashtag again, saying

Our concern was that naming people who have only been charged alongside the label ‘drink-driver’ strongly implies a presumption of guilt for the offence. We have received reassurances from Staffordshire Police the hashtag will no longer be used in this way and are happy with the procedures they have in place. As a result, we will be taking no further action.

But my first blog post had raised questions about whether the mere naming of those charged was in accordance with the same DPA principle. Newspaper articles talked of naming and “shaming”, but where is the shame in being charged with an offence? I wondered why Sussex police didn’t correct those newspapers who attributed the phrase to them.

And this year, Sussex police, as well as neighbouring Surrey, and Somerset and Avon are doing the same thing: naming drivers charged with drink driving offences on twitter or elsewhere online. The media happily describe this as a “naming and shaming” tactic, and I have not seen the police disabusing them, although Sussex police did at least enter into a dialogue with me and others on twitter, in which they assured us that their actions were in pursuit of open justice, and that they were not intending to shame people. However, this doesn’t appear to tally with the understanding of the Sussex Police and Crime Commissioner who said earlier this year

I am keen to find out if the naming and shaming tactic that Sussex Police has adopted is actually working

But I also continue to question whether the practice is in accordance with police forces’ obligations under the DPA. Information relating to the commission or alleged commission by a person of an offence is that person’s sensitive personal data, and for processing to be fair and lawful a condition in both of Schedule Two and, particularly, Schedule Three must be met. And I struggle to see which Schedule Three condition applies – the closest is probably

The processing is necessary…for the administration of justice
But “necessary”, in the DPA, imports a proportionality test of the kind required by human rights jurisprudence. The High Court, in the MPs’ expenses case cited the European Court of Human Rights, in The Sunday Times v United Kingdom (1979) 2 EHRR 245  to the effect that

while the adjective “necessary”, within the meaning of article 10(2) [of the European Convention on Human Rights] is not synonymous with “indispensable”, neither has it the flexibility of such expressions as “admissible”, “ordinary”, “useful”, “reasonable” or “desirable” and that it implies the existence of a “pressing social need.”
and went on to hold, therefore that “necessary” in the DPA

should reflect the meaning attributed to it by the European Court of Human Rights when justifying an interference with a recognised right, namely that there should be a pressing social need and that the interference was both proportionate as to means and fairly balanced as to ends
So is there a pressing social need to interfere with the rights of people charged with (and not convicted of) an offence, in circumstances where the media and others portray the charge as a source of shame? Is it proportionate and fairly balanced to do so? One consideration might be whether the same police forces name all people charged with an offence. If the intent is to promote open justice, then it is difficult to see why one charging decision should merit online naming, and others not.But is the intent really to promote open justice? Or is it to dissuade others from drink-driving? Supt Richard Corrigan of Avon and Somerset police says

This is another tool in our campaign to stop people driving while under the influence of drink or drugs. If just one person is persuaded not to take to the road as a result, then it is worthwhile as far as we are concerned.

and Sussex police’s Chief Inspector Natalie Moloney says

I hope identifying all those who are to appear in court because of drink or drug driving will act as a deterrent and make Sussex safer for all road users

which firstly fails to use the word “alleged” before “drink or drug driving”, and secondly – as Supt Corrigan – suggests the purpose of naming is not to promote open justice, but rather to deter drink drivers.

Deterring drink driving is certainly a worthy public aim (and I stress that I have no sympathy whatsoever with those convicted of such offences) but should the sensitive personal data of who have not been convicted of any offence be used to their detriment in pursuance of that aim?

I worry that unless such naming practices are scrutinised, and challenged when they are unlawful and unfair, the practice will spread, and social “shame” will be encouraged to be visited on the innocent. I hope the Information Commissioner investigates.

The views in this post (and indeed all posts on this blog) are my personal ones, and do not represent the views of any organisation I am involved with.

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Filed under Data Protection, human rights, Information Commissioner, Open Justice, police, social media