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You are here: BAILII >> Databases >> Scottish Court of Session Decisions >> DB, Re Application for Judicial Review [2007] ScotCS CSOH_73 (04 April 2007) URL: http://www.bailii.org/scot/cases/ScotCS/2006/CSOH_73.html Cite as: [2007] CSOH 73, [2007] ScotCS CSOH_73 |
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OUTER HOUSE, COURT OF SESSION [2007] CSOH 73 |
|
P694/07 |
OPINION OF LORD MALCOLM in the petition of D.B. Petitioner: for Judicial Review of
the decision taken by the Scottish Ministers on ________________ |
Petitioner: Carmichael, Barne; Balfour & Manson (for
Scottish Ministers: Cullen Q.C.; R
Advocate General for
[2] In these circumstances the issue concerning the lawfulness of the revocation of the petitioner's licence arises in this way. Section 3(1) of the Representation of the People Act 1983, as amended, ("the 1983 Act") provides:
"A convicted person during the time he is detained in a penal institution in pursuance of his sentence.... is legally incapable of voting at any parliamentary or local government elections."
The petitioner is registered to
vote, and if at liberty on
"The high contracting parties undertake to hold free elections at reasonable intervals by secret ballot, under conditions which will ensure the free expression of the opinion of the people in the choice of the legislature."
In Hirst it was decided that article 3 of the first protocol
guarantees individual rights, including the right to vote. Universal suffrage is the basic
principle. Prisoners do not
automatically forfeit their right to vote, and any restrictions applied to them
in pursuit of a state's margin of appreciation must be proportionate and
justified by a discernible and sufficient link between the sanction and the
conduct and circumstances of the individual concerned. However section 3(1) of the 1983 Act imposes
a blanket restriction which applies automatically to all prisoners,
irrespective of the length of their sentence and irrespective of the nature or
gravity of their offence and their individual circumstances, and thus falls
outside any acceptable margin of appreciation.
In Smith the
"Any member of the Scottish Executive has no power.... to do any ... act, so far as the ... act is incompatible with any of the Convention rights...."
A first hearing took place on 3 and
[4] For
the petitioner Miss Carmichael's submission was straightforward. The consequence of the revocation of the
petitioner's licence is that he is once again subject to disenfranchisement on
the basis of legislation which infringes his rights under article 3 of the
first protocol. It follows that the revocation
is incompatible with the Convention and thus, standing the terms of section
57(2) of the Scotland Act, it falls outside the powers of the respondents. The revocation is null, void and of no lawful
effect. She sought declarator, reduction
of the revocation, and liberation of the petitioner. There is an attractive simplicity and
apparent logic to Miss Carmichael's submission, but, as explained below, I am
satisfied that it is wrong. For the
respondents Mr Cullen, Q.C. submitted that the revocation was a link in the
chain of events leading to the petitioner's disenfranchisement, but it did not
follow that it was an act incompatible with the Convention rights granted in article
3 of the first protocol. The act of
revocation engaged only articles 5 and 8 of the Convention. Any connection between the revocation of the
petitioner's licence and the infringement of article 3 of the first protocol is
too tenuous. Relying on a recent
decision in
[5] The key question is whether the revocation was an act incompatible with article 3 of the first protocol. While there has been much discussion in the cases as to what is meant by "incompatible" in this context, I suspect that few, if any, relate to circumstances where there is such a disconnection between the nature of the act complained of and the content of the Convention right at issue. Section 17 of the 1993 Act provides a power to protect the public by returning potentially dangerous convicted persons to prison in order that they complete their sentence. Article 3 of the first protocol imposes an obligation on contracting states to ensure regular elections based on universal suffrage. There is no direct or even indirect inconsistency or conflict between the Scottish Ministers' powers under section 17 and article 3 of the first protocol. That article says nothing about when someone can and cannot be imprisoned, and section 17 says nothing about when someone can and cannot vote. It can only be argued that there is an inconsistency because re-imprisonment brings section 3(1) of the 1983 Act into operation. Is this causal link sufficient to create the kind of incompatibility aimed at by section 57(2) of the Scotland Act? Or is the true and only incompatibility that between section 3(1) of the 1983 Act and the Convention right to vote? As a matter of construction of section 57(2) I would expect that an incompatibility should be apparent from a comparison between the relevant act and the relevant Convention right. If the contravention of the Convention right flows directly from the operation of some other factor, which itself has been declared as being incompatible with that right, why should one look beyond that factor with a view to identifying other incompatible and thus unlawful acts? To my mind it would be surprising and undesirable that a decision might be unlawful because it is allied to what might be an unforeseen or at least unexpected independent factor, especially if that factor is outwith the control of the person making the decision. Should it be different if the decision maker can foresee that his act will create the conditions necessary for an infringement? These considerations are all the more important when the decision is made for good and perhaps overwhelming public safety reasons. Further, some of the cases suggest that the Court has no discretion once an incompatibility is identified, and that, however unpalatable the consequences might be, the result of the vires control in section 57(2) of the Scotland Act is that the unlawful act must be stopped or struck down. In these circumstances I consider that the court should be cautious when asked to adopt a broad approach to the identification of incompatibility under section 57(2). Is it not more likely that, consistent with its dictionary definition, "incompatible" was intended to connote a mutual intolerance or inherent inconsistency between the act and the Convention right when one is placed with or against the other? Miss Carmichael submitted that the present is a case equivalent to joint wrongdoing, where two persons are separately culpable and responsible for a detriment. However, if section 3(1) was repealed, revocation of a licence would become an entirely harmless event so far as article 3 of the first protocol is concerned. To my mind this suggests that true and sole responsibility for the incompatibility rests with the 1983 Act. While private law concepts may show that an act can be wrongful because it has foreseeably harmful consequences, I am not convinced that this is the correct approach when determining incompatibility in the context of either section 57(2) or the equivalent provision in section 6(1) of the Human Rights Act 1998 (HRA). In any event, even in the context of breach of private law obligations, there are many examples when neither foreseeability nor "but for" causation are sufficient to create legal liability. The matter often boils down to the identification of true or legal responsibility for the act or damage at issue. In my view something similar is in operation when addressing the question posed in this case.
[6] These are immediate or first impressions. I now turn to some of the cases where section 57(2) and its equivalent in HRA have been discussed. All counsel made reference to R v HMA 2003 SC (PC) 21. At paragraph 47 Lord Hope of Craighead agreed with the view expressed by Lord Millett in an earlier case that if a member of the Scottish Executive acts incompatibly with Convention rights, there is no discretion to withhold a remedy. At paragraph 50 he agreed with Lord Steyn that "incompatibility" conveys the idea of inconsistency. "It requires a comparison to be made between the act of the member of the Scottish Executive and the relevant Convention right....". There was a difference of view between their Lordships as to the nature and content of the Convention right at issue in R., but that is separate from how the Court should go about identifying an incompatibility in the first place. At paragraph 17 Lord Clyde said that the word "incompatible" simply requires that the act should be in conflict with the Convention right. Lord Rodger of Earlsferry referred to a public authority "violating" or "infringing" a Convention right. In the present case the petitioner can plausibly seek support from these passages by pointing out that but for the revocation of his licence he would be free to vote, and that the revocation has subjected him to the objectionable blanket ban under section 3(1) of the 1983 Act. However, I consider that, properly understood, incompatibility in terms of section 57(2) is based on a mutual irreconcilability between the relevant act and the relevant Convention right, as opposed to the causality approach contended for by Miss Carmichael.
[7] The
complication of the necessary involvement of another factor did not arise in R.
However, something similar was considered in the earlier case of
"identify the persons upon whom article 6(1) imposed a correlative obligation. Whom does it oblige to act in such a way as to ensure a fair and public hearing? If as a matter of construction of the article, no obligation is imposed on the Lord Advocate, then no complaint of an infringement of this particular Convention right can give rise to a devolution issue."
In the present case a similar
question can be asked as to whether article 3 of the first protocol imposes an
obligation on the Scottish Ministers to ensure that the petitioner can vote, or
at least not to exercise their otherwise lawful powers in a manner which,
because of electoral law, causes the petitioner to lose his opportunity to
vote. Article 3 of the first
protocol places an obligation on the
"The acts of the Lord Advocate in bringing and maintaining the prosecution, tendering evidence and so forth, are likewise in my opinion capable of creating the conditions for an unfair determination of the charge but they cannot in themselves cause such an event and therefore infringe the provisions of article 6(1)."
In my opinion similar reasoning can
be applied to the particular circumstances of this case. Such disagreement as there was in the Privy
Council related to the position of the Lord Advocate as "master of the
instance" in Scottish criminal procedure and thus whether he had direct
responsibility for the continuation of the trial, an issue peculiar to the
circumstances of
[9] I
recognise that my approach may not be wholly consistent with a passage in the judgment
of Lord Hope of Craighead at 18A-C in
[10] In R. at paragraphs 7 and 14 Lord Steyn asked whether the act complained of "automatically" or "by itself" triggered a breach of the Convention right relied on. Again this suggests a need for a direct link, not one dependent on the operation of a separate and independent factor, such as the blanket ban imposed by the 1983 Act. While the majority of their Lordships disagreed with Lord Steyn's view of the nature and content of the Convention right at issue in R., and thus with his answer to the ultimate question in the case, I do not detect any quarrel with his explanation of what, as a matter of generality, is needed to create the kind of incompatibility struck at by either section 57(2) of the Scotland Act or its equivalent in HRA.
[11] I was encouraged by all counsel to make a value judgement of the kind discussed by Lords Bingham and Nicholls in M. v The Secretary of State for Work and Pensions [2006] 2 WLR 637. In addition Mr Cullen asked me to decide the case by applying the reasoning of Lord Hope at paragraph 47 of his judgment in R.. However I am not persuaded that I should accept either of these invitations. M. required a decision as to whether a distinction based on sexual orientation when assessing the child support payable by a non-residential parent fell within the ambit of either discrimination under article 14 or the right to respect for family and private life under article 8. Lord Bingham indicated that one must first identify the core values which the article is intended to protect, and then judge whether there is any "meaningful connection" between the specific complaint and those core values, or whether any link is too tenuous or too remote, and thus outside the scope of the protection afforded by the Convention. Lord Nicholls said that one should assess how "seriously and directly the discriminating provision or conduct infringes upon the values underlying the particular substantive article" in order to decide whether it is within the ambit of that article. In R. at paragraph 47 Lord Hope addressed the exercise of judgment involved when determining whether a period of delay in the determination of a criminal charge amounted to undue delay, and thus was incompatible with article 6. (That this was the context of his discussion is confirmed by the explicit reference to the first of two passages quoted from the judgment of Cooke P. in Martin v Tauranga District Court [1995] NZLR 419). Lord Hope said: "It is at that stage that there is room for the flexibility which enables a balance to be struck between the competing interests of the individual and of society." However, once incompatibility is found "the result which section 57(2) requires follows .... automatically." Helpful though the guidance in M. and in Lord Hope's judgment in R. will be in many cases, I am not convinced that they apply in the perhaps unusual circumstances of this case. The incompatibility between the blanket ban contained in the 1983 Act and the rights granted by article 3 of the first protocol has been authoritatively determined. The issue before me is whether an act of the Scottish Ministers, which is otherwise unconnected to voting rights, lawful, and in the public interest, becomes incompatible with that article because one consequence is that the ban in the 1983 Act once again applies to the petitioner. While I can see the potential relevance of concepts such as remoteness and "meaningful connection", I think it important to recognise that this is a very different question raising separate issues from those considered in M. and at paragraph 47 of Lord Hope's judgment in R. In these circumstances I am content to base my decision on the reasoning set out above.
[12] Miss Carmichael sought to support her position by reference to
"the foreign cases" as explained in R.
(Ullah) v Special Adjudicator [2004] 2 AC 323. For her the relevance of cases of this type
was that they illustrate circumstances in which an act, which in itself is Convention
compliant, for example extradition or explusion, is struck down because it
leads to a breach of a Convention right by another party, namely a foreign
government not subject to the Convention, typically by conduct amounting to
inhuman or degrading treatment. Miss
Carmichael submitted that, by parity of reasoning, this indicates that the
Scottish Ministers revocation of the licence can be quashed as unlawful, even
if, when viewed on its own, it is harmless so far as the Convention is
concerned, and only creates the conditions required for an infringement by
operation of the 1983 Act. It is
therefore necessary to consider these cases as explained in Ullah in a little detail, especially
since my view is that, rather than support Miss Carmichael's argument,
they confirm that it is wrong.
Mr Ullah was an Ahmedi Preacher from
"Inherent in the whole of the Convention is a search for a fair balance between the demands of the general interest of the community and the requirements of the protection of the individual's fundamental rights." (Paragraph 89).
Thus a decision by a contracting state to extradite a fugitive may give rise to an issue under article 3 and hence engage the responsibility of that state under the Convention where substantial grounds have been shown for believing that the person concerned, if extradited, faces a real risk of being subjected to torture or to inhuman or degrading treatment in the requesting country (paragraph 91). Subsequently the Strasbourg court said in Bankovic v Belgium (2001) 11 BHRC 435, paragraph 67, that it is "only in exceptional cases" that acts of the contracting states performed, or producing effects, outside their territory can constitute an exercise of jurisdiction by them within the meaning of article 1 of the Convention. After a detailed review of the Strasbourg jurisprudence it was decided in Ullah that such exceptional cases are not restricted to article 3 but might arise where the circumstances reveal that expulsion or extradition would directly violate the principles of fundamental justice such that, in effect, the removing state would be participating in a flagrant denial or gross violation of fundamental rights. It was stressed by Lord Bingham at paragraph 24 that "successful reliance demands presentation of a very strong case". He continued:
"The lack of
success of applicants relying on articles 2, 5 and 6 before the
[13] If translated to the circumstances of the present case, this provides
some support for the submission that the Scottish Ministers must place
considerable importance on the need to protect the public from dangerous
convicted persons when considering their powers to revoke a release on licence
under section 17 of the 1993 Act, and that in any balancing exercise
deprivation of the right to vote will always be outweighed by the public
interest reasons necessary to justify revocation of the licence in the first
place. However, in my view the
importance of Ullah goes further, and suggests that
the "causation principle", as described and relied upon by the claimants'
counsel in Ullah, is an exception to
the general rule, and should be applied only in truly exceptional circumstances
when to do otherwise would flagrantly violate the very essence of a fundamental
right recognised by the Convention, sometimes called a "core value". Lord Steyn's analysis confirmed that there
may be wholly exceptional cases, such as D.
v UK 24 EHRR 423, where member states
come under a positive obligation to prevent harm from non-state actors and
where otherwise individuals would be exposed to "foreseeable flagrant risks of
violations of core guarantees" (paragraph 29). As the Court of Appeal said in Ullah, that would challenge "the
humanitarian principles that underlie the Convention." However, I consider it tolerably clear that
the circumstances of the present petition do not fall into the category of
cases which trigger the positive obligations discussed by Lord Steyn, nor do
they satisfy the stringent test discussed by Lord Bingham. I therefore conclude that Ullah does not demonstrate that the
question before me should be determined in favour of the petitioner by the
strict application of a "causation principle".
[14] Lord Carswell explained that "the foreign cases" are based
on the avoidance of conflict with the fundamental values of the democratic
societies making up the Council of Europe.
A consideration of the ruling in Hirst
confirms that it is not a fundamental value that all prisoners must be given
the vote, but rather that states have a wide margin of appreciation in this
area. Indeed it can be doubted that the
petitioner will enjoy the right to vote under new Convention compliant
restrictions on the franchise. Lord
Carswell cited a phrase adopted by the Supreme Court of Canada describing a
decision to expel an asylum claimant as one that would "shock the Canadian
conscience", again illustrating the exceptional nature of these cases. I doubt that my decision in this case will
shock the Scottish conscience. On the
contrary, to order the unrestricted liberation of a convicted person who has
still to complete his sentence and who is considered to be a danger to the
public, simply to allow him the opportunity to vote on 3 May, would be
likely to cause public consternation. Of
course, in itself such a consideration would not justify a decision to withhold
a valid remedy in law. However, if the
petitioner was held to be entitled to the remedies he seeks, in my view, and as
warned by Lord Steyn in R. at
paragraph 18, "the moral authority of human rights in the eyes of the
public" would be "undermined by allowing them to run riot in our justice
systems." In Attorney General's Reference (No. 2 of 2001) [2004] 2 AC 72 Lord Bingham observed at paragraph 9: "In the exercise of individual human rights
due regard must be paid to the rights of others, and the society of which each
individual forms part itself has interests deserving of respect". It is necessary to achieve "a fair balance
between the general interest of the community and the personal rights of the
individual, which have been described as inherent in the whole of the
Convention." Given that in Hirst the