How to sue an ex-king

Lois and I have in recent weeks observed that the blog posts that prove most popular are those that provide practical advice to our readership on matters that are likely to arise in their own lives. For this reason, I hope that you will enjoy my short presentation of the decision of the High Court on a preliminary issue in Corinna Zu Sayn-Wittgenstein-Sayn v His Majesty Juan Carlos Alfonso Víctor María De Borbón Y Borbón [2022] EWHC 668 (QB). The case is indispensable for anyone considering bringing a civil claim against a former head of state.

The background

His Majesty Juan Carlos Alfonso Víctor María de Borbón y Borbón-Dos Sicilias reigned as Juan Carlos I, King of Spain, from the death of the dictator Francisco Franco in 1975 until his abdication on 18 June 2014. Since then, his son has ruled as King Felipe VI of Spain, and he himself has been referred to as Rei Emérito, or King Emeritus. He retired from public life in June 2019, and in 2020 he moved from Spain to the United Arab Emirates. He has been married to Princess Sofía of Greece and Denmark, who during her husband’s reign was Queen of Spain, since 1962.

Corinna zu Sayn-Wittgenstein-Sayn met His Majesty in 2004. Her job, at that time, was to organise hunting trips, and His Majesty availed himself of her services. They also began a romantic relationship at about the same time. This lasted until 2009, when, according to Ms zu Sayn-Wittgenstein-Sayn, she refused a proposal of marriage made by His Majesty.

Readers who would like to know more about the relationship between these two individuals can find juicy content all over the Internet: for example, here, here and here.  

If you are wondering why we, legal bloggers, are writing about these individuals, it is because, on 16 October 2020, Ms zu Sayn-Wittgenstein-Sayn filed a claim form in England by which she claimed damages and an injunction on the basis of a course of conduct pursued by His Majesty that amounted to harassment of her, contrary to section 1 of the Protection from Harassment Act 1997.

In December 2020, Ms zu Sayn-Wittgenstein-Sayn particularised her claim, alleging that the course of conduct had begun in April 2012 and was still ongoing. The gist of the allegations as set out in the Particulars of Claim is that Ms zu Sayn-Wittgenstein-Sayn was surveilled by the Spanish national intelligence agency and her property searched by them on behalf of His Majesty; that she was threatened and blackmailed by the head of that agency, General Félix Sanz Roldán, on behalf of his Majesty, and made to fear for her and her family’s safety; and that His Majesty spread malicious rumours about her, including to the media, in an attempt to damage her personal and commercial relationships. It is alleged that Ms zu Sayn-Wittgenstein-Sayn was harassed both before and after His Majesty’s abdication in June 2014.

The usual next step in a claim following service of Particulars of Claim is the filing of a Defence, in which the defendant’s response to the substantive claim is set out. However, His Majesty has not filed a Defence. Rather, he has applied for an order declaring that the court has no jurisdiction to try the claim because His Majesty benefits from immunity under sections 1(1), 14 and 20 of the State Immunity Act 1978.

Although there are additional preliminary grounds on which His Majesty challenges the claim, the issue of state immunity was isolated and tried in the High Court before Nicklin J at hearings on 6 and 7 December 2021. Judgment was handed down on 24 March 2022.  

The issues and submissions

His Majesty claimed immunity on two bases. First, he claimed that section 14 of the State Immunity Act rendered him immune from suit in respect of any act in his public capacity while he was head of state. This kind of immunity is called immunity ratione materiae, which means immunity by reason of subject-matter. It is immunity that attaches to qualifying acts. Second, His Majesty claimed that section 20 rendered him immune from any suit because he is a sovereign, a member of the King of Spain’s family and household. This kind of immunity is called immunity ratione personae, which means immunity by reason of personality. It is immunity that attaches to a qualifying person. His Majesty therefore made two arguments. First, as a person covered by section 20, he is completely immune from suit in respect of any acts whatsoever. Second, if that is incorrect, section 14 means that he is immune from any acts done in his public capacity as head of state, that is before his abdication. If the first argument succeeded, His Majesty would be immune in respect of Ms zu Sayn-Wittgenstein-Sayn’s entire claim. If the first argument failed but the second succeeded, His Majesty would only be immune in respect of the part of the claim relating to conduct during his reign.

The question in relation to section 20 was whether His Majesty is a “sovereign” or, alternatively, a member of the family of King Felipe “forming part of his household”.

On behalf of His Majesty, Sir Daniel Bethlehem QC submitted that a state may have more than one “sovereign”, and that His Majesty’s unique status as King Emeritus meant that both he and his son were sovereigns. Sir Daniel relied on the travaux préparatoires (preparatory works) to the Vienna Convention on Diplomatic Relations of 1961, to which the State Immunity Act gives effect, to argue for a broad conceptual interpretation of “household”. As a member of the Spanish royal family, His Majesty is part of King Felipe’s household even though he lives abroad and is largely financially independent.

On behalf of Ms zu Sayn-Wittgenstein-Sayn, James Lewis QC submitted that the wording “sovereign or other head of state” in section 20 made it clear that a sovereign is a head of state. If, like His Majesty, one is not a head of state, one is not a sovereign. There is no exception or special category for former heads of state. On the family point, the Court of Appeal in HRH Prince Abdulaziz Bin Mishal Bin Abdulaziz Al Saud and HRH Prince Mishal Bin Abdulaziz Al Saud v Apex Global Management Ltd [2013] EWCA Civ 642, [2014] 1 WLR 492 made clear that the group of “members of [the head of state’s] family forming part of his household” envisioned by section 20 was limited to dependant family members. Since His Majesty is not dependent upon King Felipe, he does not benefit from immunity under section 20.

The question in relation to section 14 was whether any of the alleged acts done in His Majesty’s reign had been done in his official capacity. (It is important to note that, for the purposes of these arguments, the parties treated the allegations as true.)

Sir Daniel relied on Jones v Ministry of the Interior of the Kingdom of Saudi Arabia and another ]2006] UKHL 26, [2007] 1 AC 270 and R (Pinochet Ugarte) v Bow Street Metropolitan Stipendiary Magistrate (No.3) [1999] UKHL 17, [2000] 1 AC 147 in his submission that even a heinous and unlawful act, and even one done to advance a personal agenda, could attract immunity if it was done in the purported discharge of official duties. It was submitted that the alleged acts of His Majesty through General Sanz Roldán and the Spanish national intelligence agency were done in the discharge or purported discharge of His Majesty’s official duties as king.

Mr Lewis relied on a large number of authorities, including Playa Larga (Owners of Cargo lately laden on board) v I Congresso del Partido [1983] 1 AC 244, Kuwait Airways v Iraqi Airways [1995] 1 WLR 1147, Holland v Lampen-Wolfe [2000] UKHL 40, [2000] 1 WLR 1573 and Surkis and others v Poroshenko and another [2021] EWHC 2512 (Comm), in submitting that, when deciding whether an act is done in an official capacity, the judge must ask whether the act, in its context, has the character of a private act, meaning an act that a private person could have performed. Further, the purpose for which the act was performed is not relevant. It was submitted that the alleged acts were in the context of the breakdown of a romantic relationship, which was a private matter, and that any wealthy person could have performed.

The decision

Nicklin J adopted Mr Lewis’s submissions about immunity under section 20 more or less completely. King Felipe is the only sovereign of Spain. The judge noted that, if Sir Daniel were correct that His Majesty continued as a sovereign after his abdication, he would have complete life-long immunity. If he were “to walk into a jewellers’ shop in Hatton Garden and steal a diamond ring, he could face no civil or criminal proceedings in this jurisdiction” [60]. Such a conclusion had no basis in any relevant principles. In respect of the family and household argument, the judge held that he was bound by the Court of Appeal’s decision in Apex to hold that dependence is the key factor in deciding whether someone is part of the head of state’s household. Since his Majesty is not dependent on King Felipe, he is not part of his household.

The section 14 issue was more finely balanced. On the one hand, harassment is not a public act, but an act that any private citizen can perform. On this basis, His Majesty would enjoy no immunity under section 14 in respect of the pleaded course of conduct amounting to harassment. On the other hand, individual acts alleged by Ms zu Sayn-Wittgenstein-Sayn as comprising a course of conduct amounting to harassment could be analysed as official acts attracting immunity. The parties seemed to agree about this. The judge therefore asked which individual acts could be considered as official acts. He singled out the alleged acts involving surveillance of Ms zu Sayn-Wittgenstein-Sayn and interference with her home. However, these allegations presented the problem that it was not clear whether it was Spanish state security agents or private contractors who performed the surveillance. If it was private contractors, there could be no successful immunity argument. If it was Spanish state security agents, immunity would be more arguable. The judge concluded that the pleadings and evidence before him were not clear enough to enable him to decide this question with satisfactory certainty. The burden of proof for establishing immunity being on His Majesty, the present position was that the judge was “very far from convinced that there could be any claim to functional immunity” [72]. On the basis that his decision about section 20 immunity meant that the claim would be proceeding anyway, he held that there was no immunity under section 14, but that, if the Spanish state wished to step forward later in the proceedings and take responsibility for the surveillance of Ms zu Sayn-Wittgenstein-Sayn, the position could be revisited.

The result of all this was that none of His Majesty’s claims of immunity succeeded.

Conclusion: practical take-aways

What can you and I learn from this case as prospective litigants against former heads of state?

First, and most importantly, a former head of state does not benefit from personal immunity under section 20 of the State Immunity Act, no matter their current title. They are not a sovereign. So look at the detail of what your potential defendant has done.

Second, identify ways in which the former head of state acted both unlawfully and in a way accessible, at least in theory, to a private individual. If they felt that their conduct could be perceived as dodgy, they might have tried to pursue it outside official channels. This is good news for you.  

Third, engage two silks and two juniors for preliminary issue hearings.  

And what about our readers who are former heads of state or considering retirement from that position and who expect to defend proceedings in this country?

First, ideally, stay in post.

Second, possibly counter-intuitively, make sure to use your official resources to conduct any potentially unlawful activity. Acts that no private person could have performed are likely to attract immunity under section 14.

Third, even the best lawyers cannot guarantee victory.

What I’ve been watching this week

From the ridiculous to the sublime. I have been watching Peep Show, which is all on Netflix, and which might be the best sit-com of the noughties

The Supreme Court giveth, and the Supreme Court taketh away: How to terminate a fixed-term tenancy

At the start of a bumpy road, there is a checkpoint. At the checkpoint, there is a sign, which reads: IF YOU HAVE A VEHICLE, YOU CAN PASS. Does this mean that you have to use your vehicle to pass the checkpoint? Or do you only have to bring the vehicle with you to the checkpoint, and then you can pass on foot? Or is not even that required, and you only need to own a vehicle, wherever it is, in order to pass?

This is my extremely clumsy attempt to analogise the questions that were before the United Kingdom Supreme Court in Croydon London Borough Council v Kalonga [2022] UKSC 7. This case was not about road use, but about the circumstances and ways in which a public-sector landlord can terminate a fixed-term secure tenancy before its natural conclusion. Given the number of fixed-term secure tenancies granted by local authorities in England, and in particular the popularity since its introduction in 2012 of a kind of fixed-term tenancy called a flexible tenancy, it is surprising that this issue was uncertain. But now that, as of last week, the Supreme Court has had its say, the position is settled, and if it is not crystal-clear, that is all the more reason for us to take a moment to wrap our heads around it. I have tried to make this post accessible to those with no knowledge of social housing law, so I hope that specialists will forgive any over-explanation or over-simplification and skip over those parts.

The case in the Supreme Court was the second appeal against the decision of the High Court on a preliminary issue. This means that the legal arguments were made on the basis of assumed facts, before a proper trial. The detailed facts or assumed facts of the case are not material but the procedural history is as follows. Ms Kalonga had a five-year flexible tenancy with Croydon Borough Council. Two years into the tenancy, Croydon served a notice on Ms Kalonga seeking to terminate the tenancy and to recover possession of the property. Croydon relied on grounds 1 and 2 of Schedule 2 to the Housing Act 1985, which are rent arrears and anti-social behaviour respectively. Later in the proceedings, Croydon emphasised that it did not rely on forfeiture. Ms Kalonga challenged the possession claim on the basis that the only way in which a flexible tenancy can be terminated early is by way of a forfeiture clause included in the tenancy agreement. A preliminary issue was identified: “How does a landlord under a secure flexible tenancy obtain possession during the fixed term?”. The County Court transferred the trial of this issue to the High Court. The High Court’s decision was appealed to the Court of Appeal and from there to the Supreme Court. There was a second issue, namely whether Ms Kalonga’s tenancy agreement did in fact contain a forfeiture clause. For the sake of focussing on the broader issue, I am not going to discuss this here.

The disagreement is rooted in section 82 of the Housing Act 1985. This section provides for the termination of a fixed-term tenancy such as a flexible tenancy (a “tenancy for a term certain”, in the language of the Act). Any tenancy is primarily a contractual relationship between a landlord and a tenant, giving rise to contractual and proprietary rights as specified in the written agreement. The Housing Acts add to this legal position in the cases of certain kinds of tenancies, usually those granted by public-sector landlords. One important way in which they do this is by providing for security of tenure by specifying the ways in which a tenancy can be brought to an end beyond what is generally possible using a tenancy agreement. This is what section 82 does. The full wording of section 82 is as follows:

82 Security of tenure.

(1) A secure tenancy which is either—
(a) a weekly or other periodic tenancy, or
(b) a tenancy for a term certain but subject to termination by the landlord,
cannot be brought to an end by the landlord except as mentioned in subsection (1A).

(1A) The tenancy may be brought to an end by the landlord—
(a) obtaining—
(i) an order of the court for the possession of the dwelling-house, and
(ii) the execution of the order,
(b) obtaining an order under subsection (3), or
(c) obtaining a demotion order under section 82A.

(2) In the case mentioned in subsection (1A)(a), the tenancy ends when the order is executed.

(3) Where a secure tenancy is a tenancy for a term certain but with a provision for re-entry or forfeiture, the court shall not order possession of the dwelling-house in pursuance of that provision, but in a case where the court would have made such an order it shall instead make an order terminating the tenancy on a date specified in the order and section 86 (periodic tenancy arising on termination of fixed term) shall apply.

(4) Section 146 of the Law of Property Act 1925 (restriction on and relief against forfeiture), except subsection (4) (vesting in under-lessee), and any other enactment or rule of law relating to forfeiture, shall apply in relation to proceedings for an order under subsection (3) of this section as if they were proceedings to enforce a right of re-entry or forfeiture.

This section is not very easy to understand, which is why it took so much litigation to establish what it means. An important distinction to be borne in mind when tackling the section is between the three remedies under subsections (1A)(a), (1A)(b) and (1A)(c). These are the three different ways in which a secure tenancy can be brought to an end.

Subsection (1A)(a) provides for a possession order. This is a procedurally relatively straightforward remedy, which requires the landlord to show that one of the grounds for possession listed in Schedule 2 to the 1985 Act is made out (for example, rent arrears), and, sometimes, that it is reasonable for the court to make a possession order.

Subsection (1A)(b), which refers to subsection (3) provides for cases in which there is a forfeiture clause in the tenancy agreement. A forfeiture clause is basically a written clause that provides for the tenancy to be terminated early if the tenant breaches a term of the agreement. If a landlord seeks to rely on a forfeiture clause to terminate the tenancy because a tenant has breached an obligation under the tenancy, the tenant will have the opportunity to ask the court to grant relief from forfeiture, and not terminate the tenancy. The court will usually do so if the tenant can remedy their breach and undertakes to abide by the terms of the tenancy from then on. Subsection (3) explains that, if the court reaches the end of this process and would ordinarily make a forfeiture order, it will make a different kind of order effectively replacing the fixed-term tenancy with a periodic tenancy.

Subsection (1A)(c) refers to a demotion order, which can be made in cases of anti-social behaviour or unlawful use of the property. A demotion order does not terminate the tenancy, but reduces the tenant’s security of tenure for a period of a year or more, making it much easier for the landlord to recover possession at any time during that period.

The main takeaway is that, for landlords wishing to terminate a tenancy, the subsection (1A)(a) route, leading to a possession order, is generally preferable to the subsection (1A)(b) route, leading to an order in lieu of forfeiture, because the subsection (1A)(a) route is much more likely to lead to the timely vacation of the property by the tenant.  

With this in mind, we can contemplate the first major question in section 82: subsection (1)(b). What is “a tenancy for a term certain but subject to termination by the landlord”? A tenancy for a term certain is a fixed-term tenancy. But is a tenancy only “subject to termination by the landlord” when there is a forfeiture clause in the tenancy, which can provide a route to termination? Or is a tenancy “subject to termination by the landlord” if there is any way in which a landlord can bring it to an end, such as a break clause or an applicable Schedule 2 ground?

Zooming out to view the whole section, including subsection (3), a second question occurs to us. If a tenancy is “subject to termination by the landlord” when there is a forfeiture clause in the tenancy, can it only be terminated by using that clause to obtain an order in lieu of forfeiture? Or, if there is a forfeiture clause, meaning that the tenancy is “subject to termination by the landlord”, can the landlord simply pursue a possession claim?

These questions have high stakes. On the one hand, if a fixed-term tenancy can only be terminated by the landlord by relying on a forfeiture clause in the tenancy agreement, tenants’ security of tenure would be excellent and landlords’ flexibility small, because, first, not all tenancy agreements contain a forfeiture clause, and, second, the forfeiture process is more tenant-friendly than the possession claim process. On the other hand, if a fixed-term tenancy can be terminated by the landlord using the possession claim process as long as there is any provision in the tenancy agreement for early termination, such as a break clause, tenants’ security of tenure would be limited and landlords’ flexibility excellent, since possession could, in appropriate circumstances, be sought on the basis of a no-fault ground in Schedule 2, such as intention to redevelop the property.

What did the courts make of these questions? The judge in the High Court, Tipples J, decided the first question in favour of Ms Kalonga and the second in favour of Croydon ([2020] EWHC 1353 (QB); [2020] 1 WLR 4809). A fixed-term tenancy could only be terminated early if it contained a forfeiture clause: that was what “subject to termination by the landlord” meant. But, if it contained such a clause, the landlord did not need to use it to terminate the tenancy, but could choose to pursue a possession claim. On Croydon’s appeal, the Court of Appeal affirmed Tipples J’s decision on the first question but disagreed on the second question ([2021] EWCA Civ 77; [2021] 2 WLR 1069). For Arnold LJ, with whom King and Asplin LJJ agreed, not only did there need to be a forfeiture clause in the tenancy agreement for a tenancy to be “subject to termination by the landlord”, but the landlord was also obliged to rely on this clause if it sought to terminate the tenancy. In other words, the Court of Appeal held that a fixed-term tenancy could only ever be brought to an end by an order in lieu of forfeiture, and that the regular possession claim process was never an option.

Croydon appealed again to the Supreme Court. Writing for the court, Lord Briggs considered that both of the cases presented by the parties were too extreme. On Croydon’s case, a model tenant would have their contractual and proprietary rights severely diminished by the Housing Act 1985, because possession could be sought in circumstances not contemplated in the tenancy agreement. On Ms Kalonga’s case, what appeared to be menu of options for landlords provided by subsection (1A) was ignored, and fixed-term tenancies could only be terminated by an order in lieu of forfeiture, which did not appear to be a natural meaning of the provisions.

Lord Briggs found what he considered to be the way between Scylla and Charybdis by paying close attention to the statutory language and by being guided by the central purpose of the Housing Acts 1980 and 1985. In his view, this was to add to, and not take away from, tenants’ contractual security of tenure. The words “cannot be brought to an end by the landlord except” in subsection (1) did not add any means of termination, but limit the means of termination from among those already available to the landlord. And when is a means of termination available to the landlord? A tenancy is only “subject to termination by the landlord” when a provision such as a break clause or a forfeiture clause is exercisable, that is, when the tenancy has obtained for the length of time required before a break clause can be used, or when the tenant falls foul of a forfeiture clause by breaching the tenancy agreement. It is not enough for such a clause to be in the tenancy agreement. The conditions must be such that landlord has the right to use it. 

The upshot of this is that, if a tenancy agreement contains a provision for early termination based on anything other than the fault of the tenant, the landlord may rely on that provision to apply for a standard possession order. If the only provision for early termination is a forfeiture clause, requiring the fault of the tenant, the landlord will have to obtain an order in lieu of forfeiture in order to recover possession, giving the tenant the opportunity to apply for relief from forfeiture. If there is no provision at all for early termination, the tenancy cannot be terminated before the end of the term.  

When the Supreme Court’s judgment was handed down last week, this issue had long since ceased to be material to Ms Kalonga’s situation. Her five-year flexible tenancy had expired and she continued to reside at the property under a follow-on periodic tenancy. But this judgment will help local authority landlords and tenants across England. Landlords can have confidence, based on the terms of their tenancy agreements, in which fixed-term secure tenancies are capable of being terminated early for property management purposes and can, for example, plan redevelopments accordingly. Tenants can rely on the terms of their agreements without having to worry about their being undercut by statute. The Supreme Court seems to have found a solution that is fair to all parties. Maybe next time the legislation will be drafted so that the courts are not put in the position of having to make these difficult judgements the best part of forty years after enactment.

What I’ve been watching this week

For violent, multilingual spies; for eerie opening credits sequences; for patterns of allegiance you will need to write down somewhere; for improbable sentimentality about America; for racist portrayals of other countries; for the emotional intensity of Claire Danes and Damian Lewis and the beard of Mandy Patinkin; it has to be Homeland.

Pupillage interviews: What to expect and how to make the most of them

As pupillage interview season gets underway in earnest, we share our experiences of the process in previous cycles, and ten tips for making the most out of your interviews.

Sam:

I made three rounds of applications for pupillage. During that time, I was very lucky, or unlucky, to experience more pupillage interviews than I now care to recall. In my first year, I had one first-round interview and one assessed mini-pupillage. As my CV and confidence improved and my number of applications increased over the next two years, so did my number of interviews. The more interviews I did, the more at ease I became and the more reliably (though not perfectly) I was able to do my best. We hope to accelerate this process for you so that, if you are blessed with your first interview, you are not held back by inexperience. We have listed any pieces of advice best framed as action-points under ten tips below. Here are my broad impressions of the process.  

First: Most sets of chambers hold two rounds of interviews before making offers of pupillage. There are thus three filter-points. Which applicants will be selected for a first-round interview on the basis of their form? Which first-round interviewees will be selected for a second-round interview? And which second-round interviewees will be offered pupillage or placed on the reserve list? Some sets of chambers invite applicants for an assessed mini-pupillage as part of the process. This results in a process with more filter-points. Between form, first interview, mini-pupillage, second interview and offers, there are five opportunities to assess an applicant.

Of these points, the first is usually numerically the most challenging. Most sets of chambers invite a small minority of applicants for an interview, perhaps 10%. So, in a sense, if you are invited to an interview, you have cleared the highest hurdle, and deserve to be proud of yourself for that. But your competition will be stiffer at the interview stage.

At the first round, applicants will typically be interviewed by between two and four members of chambers, usually junior barristers. At the second round, it is more common to have a larger panel, maybe as large as seven, and for it to include a silk or two. Sometimes a single panel interviews all the interviewees, but sometimes different barristers interview different applicants.  

What happens in a pupillage interview? Unhelpfully, it varies. As a general rule, a first-round interview is a short, conversational, competency-based interview, while a second interview involves an advocacy or legal analysis exercise prepared shortly before the interview. However, every set has its own procedure. Here are some kinds of questions or exercises that might arise in a pupillage interview.

1. Competency question. This will usually address relatively directly a criterion or sub-criterion from the list that the set uses to assess applicants. Some sets helpfully publish this list on their website so that applicants can assess their own prospects and complete their form and interview preparation with the benefit of knowing how they will be assessed. Examples of such questions: “When have you used advocacy skills to persuade someone of something?” or “Tell us about a time you showed integrity.” Motivational questions and questions about an applicant’s knowledge of the set and the bar fall under this category: “Why do you want to be a barrister?” or “Why have you applied to Shoe Lane Chambers?” or “What would you like your practice to be like in ten years’ time?”   

2. CV- or form-based question. The panel might want you to expand on some work experience that you mentioned on your application form by asking you what you learned from it, or ask you what your most valuable piece of experience has been. They might ask you to explain why a certain thing is missing from your CV, such as mooting experience, or, if they are feeling mean, they might ask why your exam marks during one year at university were not as good as they could have been.

3. Prepared exercise. You could be sent a question or topic to prepare to discuss shortly before your interview. You might have between 15 and 30 minutes to prepare. Sometimes you are given a choice of topics and sometimes not. This could be a legal problem question, or it might be a law-related discussion subject, e.g. “Should jury verdicts be appealable?” or “Should remedies be discretionary in public law?” or “Should the UK forbid the development of any new airports or runways?” Alternatively, you might be sent a judgment and asked to prepare to summarise it and give your opinion about it.

4. On-the-spot advocacy exercise. Similar to the above, except that you might be given thirty seconds in the interview room to sit with the topic and gather your thoughts, or no time at all.

5. Curveball. Not all sets do this, but sometimes you will be asked something about your personal life or opinions that apparently has nothing to do with working as a barrister. E.g. “What new show would you pitch to Netflix if you had the opportunity?” or “Who is your favourite fictional villain?” Such a question may just be a chance for the barristers to see you in a relaxed state (if only), but usually there will be a quality that they are looking to measure, such as advocacy skills or articulacy while thinking on the spot.

6. Do you have any questions for us? Applicants will very often be asked this question at the end of the interview. Opinions differ as to whether you should make sure to have a question ready, but it is definitely preferable to say no than to ask a question to which the answer is available online.

Lois:

I was extremely lucky to get a pupillage offer at my first attempt. I applied during my GDL year, having taken a rather circuitous route into law. After completing a PhD on medieval bishops, I spent three years working as a policy officer in the non-profit sector. It was only when I was working from home during the first lockdown and contemplating the fact that I would be turning 30 the next year that I decided to take the plunge and pursue a career at the Bar.

I knew from my time working in policy that I had a broad interest in public law and a particular interest in planning and environmental work. I applied to nine sets, each of which specialised in this area to a greater or lesser extent, and received six invitations to first-round interview. The interview invitations were spread over quite a long period, so don’t panic if you haven’t yet heard back from your favourite sets. They may just be taking their time to shortlist. I ended up being called back for second rounds at some sets before I’d even had my first-round interviews at others.

The first round

My first-round interviews were all with panels of two or three mostly junior barristers. They were each around 20 to 30 minutes long, but the interviewing styles varied widely, as did the type and number of questions I was asked.

My first interview comprised a mixture of competency questions, looking for examples of skills that the chambers had not asked about on its application form, and questions testing candidates’ awareness of current affairs and legal news. I was also asked to talk about a time when I had had to apply a complex area of law and then explain said area of law to the panel. The most disconcerting aspect of this interview was how inscrutable the panel were. I emerged with absolutely no idea how I had done.

Another set filled the time with a ten-minute presentation and follow-up questions on one of a choice of five topics sent to candidates 30 minutes before the interview, followed by only three other questions. The interviewers were extremely friendly and provided lots of positive reinforcement. In fact, the whole thing felt more like having a conversation than doing an interview.

At a third chambers, a panel of three (who had obviously read my form carefully) kicked things off by asking me a charmingly whimsical question about whether I thought eleventh-century bishops would like the modern planning system, before firing tricky questions at me for twenty minutes and pushing back hard on many of my answers. The aim of this interview was clearly to see how candidates coped under pressure, more than trying to elicit any particular ‘right answers’.

Finally, there was the set which asked a series of disarming questions designed to elicit information about what candidates were like as people beyond what they had written on their application forms. They closed the interview by asking me to talk about a book I found emotionally meaningful, so of course every book I had ever read immediately fled my brain. I somehow found myself talking about my love of Lord of the Rings and emerged feeling very glad that I would never have to be cross-examined by the interview panel!

Perhaps unsurprisingly, the two sets where I felt that I had given my most predictable, generic and rehearsed answers were also the two that did not call me back for a second round. (Is completing my PhD really the achievement I am most proud of? To be honest, I am still not sure). I guess the moral of the story is to let your personality show a bit. And to talk about hobbits where possible…

The second round

Second round interviews tend to be longer than first rounds, though this isn’t always the case. At the chambers from which I eventually received an offer I was in and out in 20 minutes and convinced I had blown it because I had been told in advance that they were 40-minute slots. It is definitely wise not to second-guess how you have done from the length of the interview.

All four of my second rounds involved some form of advance preparation. Mostly this entailed reading a case or a problem question shortly in advance of the interview and then responding to questions about it, but one set required candidates to carry out a pre-prepared advocacy exercise on an unfamiliar area of law and submit a skeleton argument several days ahead of the interview.

The interview panels stayed fairly small for three of my second rounds, but at one set a panel of nine had the privilege of watching me spectacularly screw up my answer to a legal ethics question. If you are applying before you start the Bar course, I would highly recommend finding someone to practice ethics questions with ahead of time.

On the whole, my second-round interviews involved a lot more legal analysis than my first rounds and also more practical advocacy. Even at sets where I wasn’t asked to prepare for a formal ‘advocacy exercise’ I ended up having to do something akin to one, whether it was presenting submissions for a hypothetical appeal against a judgment given to me ahead of the interview, summarising the argument of my PhD thesis in two minutes, or responding to the question “what is the point of the National Housing Federation?” (my former employer) in one. All these were, in their various ways, testing candidates’ ability to think on their feet and prioritise their strongest arguments.

Across both first and second rounds I also received a number of questions aimed at testing candidates’ understanding of what barristers actually do, from how I would feel about acting for clients whose views and interests did not align with my own or those of my previous employers, to whether I would rather do more court or inquiry work, to what I would find most difficult about a career at the Bar. As Sam mentioned above, it is definitely not essential to ask a question at the end. I didn’t in any of my interviews and I certainly wouldn’t recommend trying to come up with a question just for the sake of it.

Overall, I enjoyed the interview process much more than I expected to. The intellectual challenge and variety of pupillage interviews made a nice change of pace after several years of more conventional job interviews and my interviewers were mostly lovely. I feel that coming to the process as a mature student definitely helped me to feel more at ease and I was relieved to find that my slightly unconventional CV and relative lack of legal work experience didn’t count against me.

Image from the excellent Defending the Guilty.

Ten tips:

  • Structure your answers. Barristers are in general obsessed with the number three. Not all answers will lend themselves to this kind of structure, but if you can divide your answer into two, three or four parts, begin your answer by saying “I have two/three/four points”, then say “my first point is” or “firstly” before each one, your answer will not only be much easier for the panel to understand than otherwise, but you will also sound more like the panel’s idea of a barrister yourself. If this becomes a lifelong habit that wins over judges and loses you friends, so be it.
  • Keep your answers short and sweet. Applicants’ answers are often too long. You may have a lot of worthwhile things to say, but if you wait to be interrupted by the panel, you may never finish speaking. This is especially the case if it is an unexpected question and you are building the road in front of you as you speak, but even a question like “Why do you want to be a barrister?” only wants a few snappy points or an easy-to-follow narrative. A little practice with a friend or listening back to your own recorded answers can help you to identify when you could be more concise. 
  • Re-read and annotate your form. Link the achievements you have included on your form to as many competencies as you can think of. You may be asked for examples of times you’ve demonstrated skills which are not explicitly addressed in the questions on the form. Identify anything particularly interesting or unusual that is likely to elicit a question. If you are an expert on eleventh-century bishops or keen on animal law, you are likely to get a lot of questions about this, so it pays to decide in advance how you can best pitch what makes you unique.
  • Plan answers to likely questions. You may get some curveball questions (as Sam discussed above) but a lot of questions will be predictable. You will be asked why you want to be a barrister, why a particular area of law, why a particular set? You don’t need to script answers to these questions word for word, but make sure you have clearly identified the key points you will make in response to each. Consider practicing with friends and family members, so that your responses will seem considered without seeming scripted. It’s also well worth writing down what questions you were asked immediately after each interview. It will help you prepare should you encounter them again.
  • All experience is useful experience. You may find yourself competing against people with significantly more legal work experience than you, or who have come top of their year on the Bar course, or won a whole host of moots. Try not to panic about this. An unconventional CV is not necessarily a disadvantage. It may help to make you stand out. Apparently unrelated jobs and hobbies can also provide a wealth of relevant examples of times you have demonstrated the skills needed to become a successful barrister. Teaching a class of 30 students means you can work under pressure, convey complex information clearly, and think on your feet. Running your own jewellery-making business on the side shows that you are self-motivated and know how to market yourself effectively. Volunteering at a local homeless shelter demonstrates your integrity and emotional intelligence.
  • Present yourself professionally. Expressions like this are laden with cultural assumptions. You should not try to be someone you aren’t or to fit what you think, or what you think others think, is the model of a barrister. Every aspect of your character that distinguishes you from the historically average barrister is something for you and the bar to embrace. What I mean is that you should treat the panel with respect, as in any job interview. This includes dressing as you would on a mini-pupillage or on work experience with solicitors. Suits are essential, unless you are specifically informed otherwise, and should be worn with a shirt and tie, a white blouse, or a dark dress underneath. 
  • Remember that interviewers are human too. They may have a particularly stressful case coming up next week. They may be relatively junior juniors interviewing for the first time alongside more senior members of chambers and anxious to make a good impression. Many pupillage interviews take place outside of ordinary working hours and that means that the panel are giving up some of their limited free time to interview you. Be polite, appreciative and empathetic. Remember that these will be your future colleagues if you are successful.
  • Try to relax. If this is not possible, try to appear relaxed, and you may find that you forget to feel nervous a few minutes in. There is no point pretending that there isn’t a power imbalance in the interview room, but the panel will be trying to identify applicants who could, in a couple of years, inspire confidence in professional and lay clients and hold their own in front of a grumpy judge. Be polite and respectful, but not meek. 
  • Do not worry if you have a difficult interview. If the panel pushes you to or beyond your limit, it is because they think you are worth pushing. If you spend the whole interview in your comfort zone, you may not have the opportunity to show your best. So if you feel out of your depth at any point, calm yourself by remembering that it is part of the process for everyone who eventually succeeds.
  • Give yourself credit. Many sets get hundreds of applications every year. To have got to the interview stage at all is a huge achievement. The interview process can be gruelling and it’s important to take time to celebrate your successes. Similarly, try not to take rejections at any stage too personally. There is always an element of chance. Sometimes a panel has to make a call between two apparently equal applicants, for example on the basis that one of them fits the culture of chambers better, which is very hard for applicants to gauge. It also only takes one super-applicant (an experienced solicitor or well-known academic in a relevant field) to change everyone’s prospects in a given year.

Animals in constitutions around the world

Animal lives are shaped by human laws, though they do not elect or lobby or stand as lawmakers. And animals may benefit from those laws, though they do not draft pleadings or instruct counsel or make choices about the use of litigation in broader social change strategies. In terms of prevailing constitutional theory and practice, they are subjects, but not citizens; beneficiaries, but not enforcers, of law. They think, and feel, and communicate, but not in ways that allow them to speak for themselves in the languages of formal law.

Jessica Eisen, ‘Animals in the Constitutional State’, I•CON (International Journal of Constitutional Law) (2017), Vol. 15 No. 4, 909, p. 941

Animals occupy an interesting position within legal systems. Animals have traditionally been considered property or things in law, but there have always been laws designed to deal with animals’ unique character within that class. For one thing, animals have minds of their own, autonomous physical mobility, and the ability to reproduce. The same laws that govern chairs could not completely suit such creatures, so special laws for animals are required. For another thing, humans are sometimes sufficiently morally concerned about the treatment of animals or their well-being to seek to rebut the usual presumption that one may do whatever one wishes with one’s property. Animals are not unique in this respect – ask anyone who owns a listed building – but the nature of the legal protection that animals receive, when they do receive it, is different from the nature of protection granted to inanimate property because of the different kinds of harms that animals suffer. (I discussed this phenomenon in my first post on this blog.)

Above, Eisen identifies a third way in which animals might need to be treated as a special category. This is by constitutional law. If you are not a lawyer: roughly, constitutional law is the body of law setting out how the state is constituted: its component parts, their relations with one another, and their powers and duties towards individuals, often expressed in the form of a bill of rights. Constitutional law is usually some combination of a written constitutional document (a Constitution with a big C) and unwritten constitutional principles or values, which are developed and applied in judicial decisions. A written constitutional document is usually adopted by a process that at least claims to be democratic and derives its legitimacy from that fact. If animals are part of the community of beings whose lives are governed by law, how can a constitution validated only by humans legitimately apply to animals? How could a constitution be legitimate with respect to animals? And how could, or should, a constitution recognise the status of animals as worthy of protection if the law treats them as property?

These questions assume that animals are part of the community of beings whose lives are governed by law and that animals are worthy of protection. The first assumption is a not-widely-held answer to a difficult question of legal theory. However, the second assumption is a widely-held view. It is not universal, and the nature and scope of the legal protection that animals deserve are controversial. But, without entering heavily-contested territory or getting into legal-theoretical weeds, we can quite safely ask: How can animals be protected by constitutions?

I hope to write a number of blog posts addressing this question. This post is a short survey of the countries that have explicitly mentioned the protection of animals in their constitutional documents. There are nine such countries: Austria, Brazil, Egypt, Germany, India, Italy, Luxembourg, Slovenia and Switzerland. Without dwelling on every example, we can see the range of approaches that have been adopted so far and their effects.

Constitutional provisions protecting animals have been classified in a number of ways, but no one ever got rich using someone else’s analytical framework. I think that a helpful way to divide up these provisions is between subject-matter duties, vague substantive duties and specific substantive duties. A subject-matter duty arises when a state is obliged to make laws concerning a particular subject, but the constitution does not guide or limit the state as to the content of those laws. A vague substantive duty arises when a state is obliged to undertake a particular activity or respect a particular value but is not obliged to achieve a particular result. A specific substantive duty arises when a state is obliged to achieve a particular result. We can classify our provisions along these lines by taking their text at face-value, but the interpretation of a provision will depend on legal doctrines and culture in the country.

We can start with the subject-matter duties. Article 72 of the Constitution of the Republic of Slovenia provides as follows (I have emphasised the crucial words for our purposes):

Zdravo življenjsko okolje
Vsakdo ima v skladu z zakonom pravico do zdravega življenjskega okolja. Država skrbi za zdravo življenjsko okolje. V ta namen zakon določa pogoje in načine za opravljanje gospodarskih in drugih dejavnosti.
Zakon določa, ob katerih pogojih in v kakšnem obsegu je povzročitelj škode v življenjskem okolju dolžan poravnati škodo.
Varstvo živali pred mučenjem ureja zakon.

Healthy living environment
Everyone has the right in accordance with the law to a healthy living environment. The state shall promote a healthy living environment. To this end, the conditions and manner in which economic and other activities are pursued shall be established by law.
The law shall establish under which conditions and to what extent a person who has damaged the living environment is obliged to provide compensation.
The protection of animals from cruelty shall be regulated by law.

The reason that this is only a subject-matter duty is that the fact that animal protection “regulated by law” does not guarantee any substantive level of animal protection. While it is arguable whether this provision would be satisfied if a law stated animals shall not be protected from cruelty (is this the regulation of the protection of animals from cruelty?), it is hard to interpret the provision as requiring the state to prohibit any specific acts.

Very recently, the Italian Chamber of Deputies approved a constitutional amendment that will, among other things, brings animals into the Constitution of the Italian Republic. Article 9 will now say as follows:

La Repubblica promuove lo sviluppo della cultura e la ricerca scientifica e tecnica. Tutela il paesaggio e il patrimonio storico e artistico della Nazione. Tutela l’ambiente, la biodiversità e gli ecosistemi, anche nell’interesse delle future generazioni. La legge dello stato disciplina i modi e le forme di tutela degli animali.

The Republic promotes the development of culture and scientific and technical research. It protects the landscape and the historical and artistic heritage of the nation. It protects the environment, biodiversity and ecosystems, also in the interest of future generations. The law of the state regulates the ways and forms of animal protection.

We can call this a subject-matter duty for the same reasons as apply to Slovenia.

Do these provisions have any value with respect to protecting animals? Even if they do not set a minimum standard of animal protection, they require the state to pass some kind of law relating to animal protection. Unless the legislature (or the executive, depending on the national system) can devise and pass a law unnoticed, there will have to be a national conversation of some sort about appropriate standards of protection for animals. Constitutional provisions imposing subject-matter duties are therefore of political value with respect to protecting animals.

Next we have vague substantive duties. Article 11 bis of the Constitution of the Grand Duchy of Luxembourg provides as follows:

L’Etat garantit la protection de l’environnement humain et naturel, en œuvrant à l’établissement d’un équilibre durable entre la conservation de la nature, en particulier sa capacité de renouvellement, et la satisfaction des besoins des générations présentes et futures. Il promeut la protection et le bien-être des animaux.

The State guarantees the protection of the human and cultural environment, and works for the establishment of a durable equilibrium between the conservation of nature, in particular its capacity for renewal, and the satisfaction of the needs of present and future generations. It promotes the protection and well-being of animals.

Similarly, Austrian constitutional law no. 111/2013 on sustainability, animal welfare etc, provides at paragraph 2, as follows:

Die Republik Österreich (Bund, Länder und Gemeinden) bekennt sich zum Tierschutz.

The Republic of Austria (at the federal, state and local levels) commits itself to the protection of animals.

These provisions commit the state to a substantive position on the issue of animal welfare. It cannot neglect or choose to attach no importance to the protection and well-being of animals. It must promote them. But this is such a high-level duty that it is difficult to see how it would be enforced by a court or applied to a particular context.

A further example can enlighten us. Article 20a of the Basic Law (Grundgesetz) for the Federal Republic of Germany, which is the German constitution, provides as follows:

Der Staat schützt auch in Verantwortung für die künftigen Generationen die natürlichen Lebensgrundlagen und die Tiere im Rahmen der verfassungsmäßigen Ordnung durch die Gesetzgebung und nach Maßgabe von Gesetz und Recht durch die vollziehende Gewalt und die Rechtsprechung.

Mindful also of its responsibility toward future generations, the state shall protect the natural foundations of life and animals by legislation and, in accordance with law and justice, by executive and judicial action, all within the framework of the constitutional order.

This is another vague substantive duty. The state is committed to protecting animals, but what does this mean? Elien Verniers argues that this provision has both political and legal effects. Legally speaking, it allows fundamental constitutional rights to be limited on the basis of the protection of animals, which is a constitutional value of equal status. This has resulted in little change in judicial decisions involving the rights to freedom of research and freedom of religion, but it has had an impact on the scope of the rights to freedom of artistic expression and freedom of teaching. While before the adoption of this constitutional provision, constitutional freedom of artistic expression or teaching could not be limited on the basis of animal protection, now that can happen, because animal protection is a constitutionally-protected value. This led the Cologne Administrative Court to forbid educational experiments on mice when they could instead learn by watching videos (Verwaltungsgericht Köln, 22.08.2018 – 21 K 11572/17). This example shows that vague substantive duties can have an effect in practice, which will depend on how the constitutional law works in a given country.1

Now we have specific substantive duties. Article 45 of the Constitution of the Arab Republic of Egypt provides as follows:

.تلتزم الدولة بحماية بحارها وشواطئها وبحيراتها وممراتها المائية ومحمياتها الطبيعية
ويحظر التعدى عليها، أوتلويثها، أواستخدامها فيما يتنافى مع طبيعتها، وحق كل مواطن فى التمتع بها مكفول، كما تكفل الدولة حماية وتنمية المساحة الخضراء في الحضر، والحفاظ على الثروة النباتية والحيوانية والسمكية، وحماية المعرض منها للانقراض أو الخطر، والرفق بالحيوان، وذلك كله على النحو الذى ينظمه القانون

The State shall protect its seas, shores, lakes, waterways and natural protectorates.
Trespassing, polluting or misusing any of them is prohibited. Every citizen is guaranteed the right of enjoying them. The State shall protect and develop the green space in the urban areas; preserve plant, animal and fish resources and protect those under the threat of extinction or danger; guarantee humane treatment of animals, all according to the law.

This provision requires the state to guarantee “al-rifq bil-hayawan” (the humane treatment of animals or animal welfare). This is a specific substantive duty because, if the state fails to guarantee animal welfare, for example by allowing cruel practices, the state can be said to be in breach of the duty. The state must make laws that guarantee the welfare of animals and enforce them effectively.

Another specific substantive duty is to be found in Brazil. Article 255 of the Constitution of Brazil provides, in relevant part, as follows:

Todos têm direito ao meio ambiente ecologicamente equilibrado, bem de uso comum do povo e essencial à sadia qualidade de vida, impondo-se ao Poder Público e à coletividade o dever de defendê-lo e preservá- lo para as presentes e futuras gerações.
§ 1º Para assegurar a efetividade desse direito, incumbe ao Poder Público:
[…]
VII – proteger a fauna e a flora, vedadas, na forma da lei, as práticas que coloquem em risco sua função ecológica, provoquem a extinção de espécies ou submetam os animais a crueldade.

All have the right to an ecologically balanced environment, which is an asset of common use and essential to a healthy quality of life, and both the Government and the community shall have the duty to defend and preserve it for present and future generations.
Paragraph 1 – In order to ensure the effectiveness of this right, it is incumbent upon the Government to:
[…]
VII. protect the fauna and the flora, with prohibition, in the manner prescribed by law, of all practices which represent a risk to their ecological function, cause the extinction of species or subject animals to cruelty.

The provision is quite clear that the government must prohibit “as práticas” (literally the practices, but translatable as all practices, as in the official translation) that subject animals to cruelty. The value of this provision is illustrated by judicial decisions striking down laws that permit such practices. One such case concerned the practice of vaquejada (STF, ADI No. 4983, Relator: Min. Marco Aurélio, 06.10.2016, Diário Da Justiça Eletrônico [D.J.E.], 10.10.2016, 215). This is a traditional sport in north-east Brazil, involving two horse-riders who between them try to direct a bull into a marked area before knocking the bull over. In 2016, the Supreme Federal Court of Brazil (Supremo Tribunal Federal), sitting en banc, ruled, by a majority of 6 to 5, that the law passed by the State of Ceará permitting vaquejada was unconstitutional and void because it permitted the infliction of unnecessary suffering on animals. This case shows the force of a specific substantive constitutional duty, but it also shows a danger inherent in overturning democratically-approved laws. The decision was very controversial, and resulted not only in the passing by other states in Brazil of similar laws in protest (which were presumably also unconstitutional), but also in the adoption of a constitutional amendment creating a specific exception from the constitutional prohibition of cruel practices for traditional cultural practices (meaning that the new laws now comply with the constitution). It is a topic for another time, but one step forwards can be followed by two steps back when legal developments are far removed from popular opinion.

Now we have seen three kinds of constitutional provision protecting animals: subject-matter duties, vague substantive duties and specific substantive duties. We have two more countries to visit, one that combines several kinds of duties and another that has an unusual constitutional provision.

Switzerland is regarded as a progressive country when it comes to laws protecting animals. Although the electorate of the canton of Basel recently voted not to extend fundamental rights to primates in a long-awaited referendum, Switzerland has a reputation for legally innovative animal welfare laws. This is reflected in its constitutional law. Four articles of the Federal Constitution of the Swiss Federation are of interest to us. They provide as follows:

Art. 78 Natur- und Heimatschutz
1 Für den Natur- und Heimatschutz sind die Kantone zuständig.
2 Der Bund nimmt bei der Erfüllung seiner Aufgaben Rücksicht auf die Anliegen des Natur- und Heimatschutzes. Er schont Landschaften, Ortsbilder, geschichtliche Stätten sowie Natur- und Kulturdenkmäler; er erhält sie ungeschmälert, wenn das öffentliche Interesse es gebietet.
3 Er kann Bestrebungen des Natur- und Heimatschutzes unterstützen und Objekte von gesamtschweizerischer Bedeutung vertraglich oder durch Enteignung erwerben oder sichern.
4 Er erlässt Vorschriften zum Schutz der Tier- und Pflanzenwelt und zur Erhaltung ihrer Lebensräume in der natürlichen Vielfalt. Er schützt bedrohte Arten vor Ausrottung.
5 Moore und Moorlandschaften von besonderer Schönheit und gesamtschweizerischer Bedeutung sind geschützt. Es dürfen darin weder Anlagen gebaut noch Bodenveränderungen vorgenommen werden. Ausgenommen sind Einrichtungen, die dem Schutz oder der bisherigen landwirtschaftlichen Nutzung der Moore und Moorlandschaften dienen.

Art. 78 Protection of natural and cultural heritage
1 The protection of natural and cultural heritage is the responsibility of the Cantons.
2 In the fulfilment of its duties, the Confederation shall take account of concerns for the protection of natural and cultural heritage. It shall protect the countryside and places of architectural, historical, natural or cultural interest; it shall preserve such places intact if required to do so in the public interest.
3 It may support efforts made for the protection of natural and cultural heritage and acquire or preserve properties of national importance by contract or through compulsory purchase.
4 It shall legislate on the protection of animal and plant life and on the preservation of their natural habitats and their diversity. It shall protect endangered species from extinction.
5 Moors and wetlands of special beauty and national importance shall be preserved. No buildings may be built on them and no changes may be made to the land, except for the construction of facilities that serve the protection of the moors or wetlands or their continued use for agricultural purposes.

Art. 79 Fischerei und Jagd
Der Bund legt Grundsätze fest über die Ausübung der Fischerei und der Jagd, insbesondere zur Erhaltung der Artenvielfalt der Fische, der wild lebenden Säugetiere und der Vögel.

Art. 79 Fishing and hunting
The Confederation shall lay down principles on fishing and hunting and in particular on the preservation of the diversity of fish species, wild mammals and birds.

Art. 80 Tierschutz
1 Der Bund erlässt Vorschriften über den Schutz der Tiere.
2 Er regelt insbesondere:
a. die Tierhaltung und die Tierpflege;
b. die Tierversuche und die Eingriffe am lebenden Tier;
c. die Verwendung von Tieren;
d. die Einfuhr von Tieren und tierischen Erzeugnissen;
e. den Tierhandel und die Tiertransporte;
f. das Töten von Tieren.
3 Für den Vollzug der Vorschriften sind die Kantone zuständig, soweit das Gesetz ihn nicht dem Bund vorbehält.

Art. 80 Protection of animals
1 The Confederation shall legislate on the protection of animals.
2 It shall in particular regulate:
a. the keeping and care of animals;
b. experiments on animals and procedures carried out on living animals;
c. the use of animals;
d. the import of animals and animal products;
e. the trade in animals and the transport of animals;
f. the killing of animals.
3 The enforcement of the regulations is the responsibility of the Cantons, except where the law reserves this to the Confederation.

Art. 120 Gentechnologie im Ausserhumanbereich
1 Der Mensch und seine Umwelt sind vor Missbräuchen der Gentechnologie geschützt.
2 Der Bund erlässt Vorschriften über den Umgang mit Keim- und Erbgut von Tieren, Pflanzen und anderen Organismen. Er trägt dabei der Würde der Kreatur sowie der Sicherheit von Mensch, Tier und Umwelt Rechnung und schützt die genetische Vielfalt der Tier- und Pflanzenarten.

Art. 120 Non-human gene technology
1 Human beings and their environment shall be protected against the misuse of gene technology.
2 The Confederation shall legislate on the use of reproductive and genetic material from animals, plants and other organisms. In doing so, it shall take account of the dignity of living beings as well as the safety of human beings, animals and the environment, and shall protect the genetic diversity of animal and plant species.

We can see our three kinds of provision concerning animals here. First, and mostly, we have subject-matter duties. The first sentence of Article 78(4) and all of Article 79 and Article 80 set out domains in which the state is obliged to pass laws without specifying what those laws should achieve. Second, the commitment in Article 120 to take account of the dignity of living beings is a vague substantive duty. It is an interesting provision because it recognises at a constitutional level the distinctively Swiss legal value of animal dignity, but it is not hard-edged and it is unclear whether it applies in any way outside the direct context of genetic technology. Third, the second sentence of Article 78(4) is a specific substantive duty. The state must pass laws that protect endangered species from extinction.

Our last country is India, and it is unique because the constitutional provision we are looking at imposes a duty not on the state but on the individual citizen. Article 51A of the Constitution of India provides, in relevant part, as follows:

Fundamental duties
It shall be the duty of every citizen of India

[…]
(g) to protect and improve the natural environment including forests, lakes, rivers and wild life, and to have compassion for living creatures;
[…]

As written, this would not grant animals any real protection at all. Not only does not concern the law-making power of the state, but it only requires citizens to “have compassion”, not to act with compassion. However, it has been interpreted expansively. This is, in the first place, because the constitutional role of fundamental duties has been expanded beyond what is obvious in the text. This was established in AIIMS Students’ Union vs All India Institute of Medical Sciences & others (2002) 1 SCC 428, in which R. C. Lahoti J said as follows:

Fundamental duties, though not enforceable by a writ of the court, yet provide a valuable guide and aid to interpretation of constitutional and legal issues. […] Constitutional enactment of fundamental duties, if it has to have any meaning, must be used by courts as a tool to tab, even a taboo, on State action drifting away from constitutional values

In Indian constitutional law, the values underlying fundamental duties can serve as aids to statutory interpretation and can ground limitations on state power. This was seen in the context of Article 51A(g) of the Constitution in Animal Welfare Board of India v Nagaraja and others (2014) 7 SCC 547. In this case, the Supreme Court of India considered the compatibility of state legislation permitting jallikattu, a traditional form of entertainment involving bulls, with the federal Prevention of Cruelty to Animals Act 1960. The court (K. S. Panicker Radhakrishnan J) concluded that jallikattu violated the Act and that laws permitting it were invalid. It did so by using Article 51A(g) of the Constitution to read new content into the Act and to give the protections in the act the normative force of constitutional rights. The judgment takes some time to expose fully but these three paragraphs show how the

32. Sections 3 and 11, as already indicated, therefore, confer no right on the organisers of Jallikattu or bullock-cart race, but only duties, responsibilities and obligations, but confer corresponding rights on animals. Sections 3, 11(1)(a) & (o) and other related provisions have to be understood and read along with Article 51A(g) of the Constitution which cast fundamental duties on every citizen to have “compassion for living creatures”. Parliament, by incorporating Article 51A(g), has again reiterated and re-emphasised the fundamental duties on human beings towards every living creature, which evidently takes in bulls as well. All living creatures have inherent dignity and a right to live peacefully and right to protect their well-being which encompasses protection from beating, kicking, over-driving, over-loading, tortures, pain and suffering etc. Human life, we often say, is not like animal existence, a view having anthropocentric bias, forgetting the fact that animals have also got intrinsic worth and value. Section 3 of the PCA Act has acknowledged those rights and the said section along with Section 11 cast a duty on persons having charge or care of animals to take reasonable measures to ensure well-being of the animals and to prevent infliction of unnecessary pain and suffering.

54. […] These five freedoms, as already indicated, are considered to be the fundamental principles of animal welfare and we can say that these freedoms find a place in Sections 3 and 11 of PCA Act and they are for animals like the rights guaranteed to the citizens of this country under Part III of the Constitution of India.

56. Rights guaranteed to the animals Under Sections 3, 11, etc. are only statutory rights. The same have to be elevated to the status of fundamental rights, as has been done by few countries around the world, so as to secure their honour and dignity. Rights and freedoms guaranteed to the animals Under Sections 3 and 11 have to be read along with Article 51A(g)(h) of the Constitution, which is the magna carta of animal rights.

The point of producing these paragraphs is not to show you exactly how the Indian constitution protects animals. That would require several blog posts. The point is that textually vague and unpromising constitutional provisions can have a profound legal effect when the system of constitutional law enables an underlying value to be identified and applied independently. Does this mean that our analysis of subject-matter duties, vague substantive duties and specific substantive duties is worthless, because the effect of a constitutional provision depends more on the constitutional context than on the words of the provision?

I think not, for two reasons. First, words do matter. India’s muscular constitutional jurisprudence makes it an outlier, at least among the countries we have looked at, with respect to how far from the literal meaning of the text courts are willing to go. In most countries, the precise formulation of a constitutional provision determines its effect, so it is useful to understand the possible formulations. Second, a country that wishes to add a provision concerning animal protection to its constitution may have one of a wide range of intentions. Maybe the population and the legislators are overwhelmingly pro-animal-rights, or maybe a constitutional amendment is the controversial result of a coalition agreement. Democratic considerations require a variety of options to be available to constitutional drafters. And, relatedly, if law-makers understand that the possibilities are more nuanced than having fundamental rights for animals on the one hand or no protection for animals on the other, it is more likely that animals will end up appearing in constitutions at all.

1Verniers’ full analysis of the effect of the German constitutional provision can be read at: Elien Verniers, ‘The impact of including animals in the constitution – Lessons learned from the German animal welfare state objective’, Global Journal of Animal Law (2020) 8.

What I’ve been watching this week

I have returned to, and finished, North Square, the 2000 barrister drama series by Peter Moffat. It’s not as polished as Silk but it is fantastic entertainment, held together by Phil Davis as the terrifying senior clerk. And it’s available to watch for free on All 4.

Trespassers and will-be-trespassers: Anti-encampment injunctions and the recent Court of Appeal decision

Two weeks ago, I wrote about the provisions in Part 4 of the Police, Crime, Sentencing and Courts Bill that would criminalise unauthorised encampments and empower police officers to confiscate property, including mobile homes, on suspicion of such activity. Three days later, the Court of Appeal handed down its decision in London Borough of Barking and Dagenham and others v Persons Unknown and others [2022] EWCA Civ 13. This decision is the second Court of Appeal decision dealing with anti-encampment injunctions. The term anti-encampment injunctions refers to the phenomenon, now about seven years old, of local authorities applying for interim or final injunctions to forbid encampment in any of the public spaces in the local authority area. Anti-encampment injunctions are sought with members of the Gypsy, Roma and Traveller (GRT) communities in mind. For some information about the relevant characteristics of those communities, please see my last post here.

The recent decision by the Court of Appeal, which I will call Barking, is an important development in the law relating to injunctions generally. It is particularly important with respect to anti-encampment injunctions and anti-protestor injunctions. Interesting lines of case-law have developed around these two subjects. Legal issues have arisen when injunctions have been sought against individuals whose names are unknown to the applicant (described in claim forms, application notices and judgment titles as persons unknown), and in particular when injunctions have been sought not only against a fixed group of unidentified individuals but also against a individuals who may join the group after the grant of the injunction (described in the cases as newcomers). Issues arise because injunctions are powerful coercive tools that are generally only granted against individuals that are on notice of the injunction or can be put on notice. The Master of the Rolls, Sir Geoffrey Vos, took the opportunity in Barking to survey all the cases he considered relevant and clarify the law.

The decision in Barking is of far-reaching importance. In this blog post I am only trying to explain its relevance in the original context of the proceedings, which is anti-encampment injunctions. The effect of Barking on local authorities’ ability to restrain protest or other activities, and the secondary issues decided in the case, are not explored here.

I will first summarise two cases concerning anti-encampment injunctions that pre-date Barking. I will then explain the proceedings that gave rise to the High Court’s decision in Barking, the High Court’s decision itself, the Court of Appeal’s decision, and finally my view on the impact this will have on the practice of anti-encampment injunctions.

The first case we should look at is called Harlow District Council and another v Stokes and others [2015] EWHC 953 (QB) (I will call it Harlow). This decision was handed down on 3 March 2015, and it is short enough to be worth reading in full. In this case, Harlow District Council and Essex County Council (the second claimant) applied for an interim injunction to forbid encampment on any of the public spaces in the district of Harlow in Essex. The defendants to the action, who were the subject of the injunction sought by the councils, were 64 named defendants and “Persons Unknown being members of the traveller community who have unlawfully encamped within the borough of Barking and Dagenham”. The defendants were not represented in court.

The judgment tells the story of the antisocial behaviour of “certain traveller families”, “predominantly […] members of the McGinley and Stokes family”, since their arrival in October 2013 [2]. That time had seen encampments on 109 sites in Harlow, none of which had planning permission [3]. No application for planning permission had been made in respect of any of those sites, but Harlow council had failed to provide any suitable suites for encampment. As the judge, the late Mrs Justice Patterson DBE, a planning specialist, said delicately at [4]: “the council is required to make provision for gypsy and traveller accommodation within the district, but at present there is a policy void on that particular issue.” The judge went on to say that the encampments had been on “highway verges, grass verges, schools, enterprise zone land or public amenity land” [7], before setting out at length at [10] the negative consequences of the encampments that had been reported by the two authorities. These included deposits of human excrement, piles of rubbish left on vacated sites, damage to land by fires and tyres and the removal of bollards erected by Harlow council to prevent access to sites. Further, the defendants had been accused of antisocial behaviour consisting of “the presence of loose, untethered and aggressive dogs, abandoned horses, noise from generators, loud music and nuisance caused by children, vans driving and parking on public footpaths, cycle tracks and public open space” [11]. These problems had provoked anti-GRT prejudice in the area (characterised by the judge as “community tension”) and caused temporary school closures. The judge described efforts to engage with the defendants, which had failed.

The authorities sought “a district wide injunction” [16]. It is not explicit in the judgment exactly what such an injunction would forbid, but it can be inferred that it is the establishment of any encampments by the defendants on public land. The judge said at [17]:

It is, of course, a matter of fact and degree as to whether a district wide order, as is sought, is proportionate. I have no doubt, as a result of the circumstances which I have set out, that the order sought is both necessary and proportionate. First, there has been a clear breach of planning control for some 17 months and it is reasonable to apprehend further breaches should no further action be taken. Second, persistent efforts by the public authorities to deal with the problem by other means have failed. Third, the approach of the local authority hitherto has been expensive to the public purse, both in terms of money, but more significantly in terms of time spent without any visible change to the behaviour on behalf of the defendants. Third [sic], the consequences of the unlawful behaviour and breach of planning control are not conducive to the best interest of the other law abiding residents within the district.

She went on to say that the balance of convenience was “heavily” in favour of granting the injunction. She made the order, effectively requiring the defendants to leave Harlow.

Three points emerge from this case that are of broader relevance. First, the defendants were not represented. Although counsel for the authorities would under such circumstances be under a duty to raise any facts or legal principles required to enable the court to reach a just decision, there was no one to tell the local GRT community’s side of the story. Second, Harlow council was in the position of having to deal with the symptoms of a systemic problem: the “policy void” where Essex’s provision of sites for GRT encampments should have been. While antisocial behaviour of the kind described in the judgment cannot be excused, the proximity of encampments to schools and public amenity land appeared to be a result of there being nowhere more suitable to stop. Third, relatedly, in as much as the presence of unauthorised encampments represented a problem for Harlow council, requiring the campers to leave Harlow did not so much solve that problem as move it on to another local authority area, unless and until that authority either applied for and secured its own district-wide injunction or had sufficient sites on which GRT families could legitimately stop.

The second case I think we should look at is called London Borough of Bromley v Persons Unknown [2020] EWCA Civ 12; [2020] PTSR 1043 (I will call it Bromley). This judgment of the Court of Appeal was handed down on 12 January 2020, nearly five years after Harlow. The judgment of Lord Justice Coulson, with whom the Senior President of Tribunals (Sir Ernest Ryder) and Lord Justice Haddon-Cave agreed, is long, but once again it is worth reading in full because it is an accessible and detailed treatment of some important and complex issues. The history of this case is that Bromley council applied for a borough-wide injunction, similar to that successfully sought in Harlow, prohibiting encampment on any public spaces in Bromley. The council was successful in securing an interim injunction. Nine months later, it sought to convert this into a final injunction that would last for five years. The High Court (Leigh-Ann Mulcahy QC, sitting as a Deputy High Court Judge) declined to do so: [2019] EWHC 1675 (QB). The transcript of the ex parte judgment in the High Court can be read here. With the benefit of submissions from London Gypsies and Travellers, a charity that intervened in the proceedings, the judge found that an injunction prohibiting encampment would be disproportionate, but she did order an injunction prohibiting fly-tipping. Bromley appealed to the Court of Appeal, and a number of interested local authorities intervened, as well as Liberty, the civil liberties charity, and once again London Gypsies and Travellers.

Coulson LJ reported that, since the Harlow decision, there had been something of a “feeding frenzy” of local authorities applying for borough-wide injunctions against encampment. At the start of 2020, there were 38 such injunctions in place [10]–[11]. However, the hearing before Ms Mulcahy had been the first at which the GRT community had been represented (by a lawyer or otherwise). This gave her, and now gave the Court of Appeal, the opportunity to take a step back and assess the new phenomenon.

Coulson LJ set out the relevant law, dealt with the appeal before the court, and then gave general guidance on the issue. As to the first point, among other matters, he highlighted at [40]–[48] the House of Lords decision in South Bucks District Council v Porter and another [2003] UKHL 26; [2003] 2 AC 558 and the decisions of the European Court of Human Rights in Chapman v United Kingdom (2001) 33 EHRR 399, Connors v United Kingdom (2005) 40 EHRR 9 and Buckland v United Kingdom (2013) 56 EHRR 16. These cases, together, set out the level of protection that GRT individuals enjoy as a result of Article 8 of the European Convention on Human Rights in respect of their homes and their cultural traditions. As to the second point, the appeal was dismissed. Coulson LJ considered that there had been no error in Ms Mulcahy’s approach to the proportionality exercise and that she had been entitled to reach the conclusion that she had reached.

As to the third point, Coulson LJ made some general statements about the law in this area, avowedly reluctantly, at the request of the parties [99]. These statements can easily be read in full at [100]–[109] but can be summarised as follows:

  • The lack of designated transit sites has prevented local authorities from solving their problems. The provision of such sites is the only way to resolve the tension between the Article 8 rights of the GRT community and the common law of trespass [100].
  • Local authorities need to engage with their local GRT community, certainly before applying for a borough-wide injunction. If the local authority cannot demonstrate such engagement, for example in the form of an equality impact assessment for a proposed injunction, an application is likely to be refused [102]–[103] [108(d)].
  • Injunctions against persons unknown are exceptional measures because of the onerous burden they place on individuals not present or represented in the courtroom [104(a)].
  • Local authorities should understand and respect GRT culture, traditions and practices [104(b)].
  • When considering an application for an injunction, a court will take into account the status of the GRT community as a vulnerable protected minority, the local authority’s efforts to provide suitable accommodation, and the cumulative effect of injunctions elsewhere [104(c)–(e)].
  • Borough-wide injunctions, and injunctions for longer than a year, are unlikely to be granted [105]–[106].
  • Evidence of criminal conduct or of risks to health and safety supports an application for a wide injunction [107].
  • Applications for injunctions should evidence alternative suitable encampment sites, or run the risk of being disproportionate [108(a)–(c)].

The judgment concludes at [109] with these sweeping words: “Finally, it must be recognised that the cases referred to above make plain that the Gypsy and Traveller community have an enshrined freedom not to stay in one place but to move from one place to another. An injunction which prevents them from stopping at all in a defined part of the UK comprises a potential breach of both the Convention and the Equality Act, and in future should only be sought when, having taken all the steps noted above, a local authority reaches the considered view that there is no other solution to the particular problems that have arisen or are imminently likely to arise.”

Bromley represented a recognition of the unsustainability of the widespread adoption by local authorities of anti-encampment injunctions. If one accepts the narrative that unauthorised encampments on public land cause unavoidable problems, moving those encampments from one local authority area to another only moves the problems elsewhere and unsettles the displaced GRT community. Yet if a local authority area becomes disproportionately affected by unauthorised encampments because GRT individuals have been pushed out of other areas by injunctions, applying for a similar injunction itself appears to be the simplest solution.

This brings us to the Barking case. These proceedings began when the Enfield council applied for an anti-encampment injunction: London Borough of Enfield v Persons Unknown [2020] EWHC 2717 (QB). Mr Justice Nicklin declined to order an injunction and adjourned the application to enable the issues arising in the case and others to be properly considered. That was on 2 October 2020. Two weeks later, it was decided to join all the claims in which anti-encampment injunctions had been granted. This means that dozens of local authorities were parties to the proceedings (they can be identified in Appendix 1 of the High Court judgment). In late January 2021, there was a hearing before Nicklin J in order to review existing injunctions against new developments in the law relating to injunctions against persons unknown. These conjoined proceedings are the Barking proceedings. One of the key issues that had to be decided was whether a final (that is, not interim) anti-encampment injunction could bind newcomers. Newcomers are individuals who at the date of the judgment do not fall within the definition of those affected by the injunction, but who by their actions later come within that definition. For example, if an injunction is granted on 1 April 2021 against persons unknown forming unauthorised encampments in the borough, a newcomer is someone who forms an unauthorised encampment in the borough after 1 April 2021. The question was whether such individuals could be bound by a final injunction. This is important because interim injunctions are generally limited in time by a return date on which the court reviews the injunction, and operate in principle only until the court resolves the dispute between the parties, while final injunctions are generally in place for longer and are a substantive remedy.

On 12 May 2021, Nicklin J produced a long judgment ([2021] EWHC 1201 (QB)). On the key issue that we are concerned with, namely whether final anti-encampment injunctions bound newcomers, Nicklin J gave the answer no. Nicklin J considered that two authorities, Attorney General v Times Newspapers Ltd (No. 3) [1992] 1 AC 191 and Canada Goose UK Retail Ltd v Persons Unknown [2020] EWCA Civ 303; [2020] 1 WLR 2802, established the principle that a final injunction operates only between parties to proceedings. Anti-encampment injunctions did not fall within an exception to that principle. See the judgment in summary at [121]–[124], and in detail at [161]–[189]. In the light of this and other decisions on legal points in the judgment, Nicklin J discharged a number of existing anti-encampment injunctions that he had decided were impermissible [244]. Finally, he set out, at [248], rules for claims against persons unknown generally.

The local authorities appealed to the Court of Appeal. The court was asked to deal with a number of issues, but principally the question whether final anti-encampment injunctions could bind newcomers. In a word, Sir Geoffrey Vos MR, with whom Lord Justice Lewison and Lady Justice Elisabeth Laing agreed, decided that the answer was yes. Nicklin J had been wrong to decide otherwise.

Sir Geoffrey Vos summarised a number of recent authorities at [21]–[58]. He then summarised and analysed Nicklin J’s judgment. Among other things, he said that Nicklin J had drawn a “fundamental difference” between interim and final injunctions that was not supported by the cases [74]. Rather, “there is no meaningful distinction between an interim and a final injunction” [77]. He also said that Nicklin J’s proposition that it was a fundamental principle that a court could not grant a final order against someone not party to proceedings had no basis in authority [75]. As far as the Court of Appeal’s decision in Canada Goose meant that, it was wrong. Instead, the Court of Appeal’s decisions in South Cambridgeshire District Council v Gammell [2006] 1 WLR 658 and Ineos Upstream Ltd v Persons Unknown and others [2019] EWCA Civ 515; [2019] 4 WLR 100 made clear that final injunctions could be granted against newcomers, and Nicklin J should have followed those cases [99]. The guidance that Nicklin J gave at [248] “requires reconsideration” as a result [108].

That was the main point established in the judgment. Of the rest of the judgment, the most relevant passage to us is at [102]–[108], where Sir Geoffrey Vos addressed the broad terms of the guidance given by Coulson LJ in Bromley with some scepticism. He said at [105] that it is GRT individuals, and not any community, that has Article 8 rights, and that those rights do not lead to an automatic conclusion in any application for an injunction, but must be balanced against other rights in the circumstances of the specific case, such as a landowner’s right under Article 1 of Protocol 1 to the peaceful enjoyment of their property. The same goes for Coulson LJ’s statement at [109] that “the gipsy and traveller community have an enshrined freedom not to stay in one place but to move from one place to another”. That right, protected by Article 8, is qualified, not absolute, and must be balanced against the rights of others and the public interest in each case [106].

What are we to make of this? First, given the contradictory judgments by the Court of Appeal, this authoritative decision by the Master of the Rolls is to be welcomed at least for the certainty that it brings to local authorities and others (notwithstanding any application for permission to appeal to the Supreme Court). Second, the emphasis on everything-depends-on-the-circumstances is legally sound but little practical guidance is offered to help courts considering applications for injunctions to balance the rights of GRT individuals in encampments with the rights of other local residents that are violated by unauthorised encampments. Even if everything depends on the circumstances, an authoritative judgment can set out a useful starting-point, a list of factors to consider and how to weigh them. Third, it is now clear that anti-encampment injunctions can apply to newcomers, meaning that their reach is not limited to those who have already unlawfully encamped on public land. Anti-encampment injunctions have not lost their sting. Although the decision in Bromley may have encouraged courts to take a more measured approach, local authorities may return to their use of these injunctions as a key tool to oppose any antisocial behaviour associated with unauthorised encampments. Between this phenomenon and Part 4 of the Police, Crime, Sentencing and Courts Bill (if passed), GRT individuals leading a traditional itinerant lifestyle will find the number of spaces on which they can safely stop continue to shrink. A real solution to this problem on a strategic level, or even a desire among policymakers to look for one, is nowhere in sight.

What I’ve been doing this week

I hope it doesn’t give too much away about my character (that readers haven’t already gleaned) if I say that I have fallen in love with Frasier. The simple stories, screamingly funny lines and loving skewering of pretentiousness is just what I need after, before or during a day of law. I’m on season 5. I have no idea how the reboot will work but I will be there for it.

Part 4 of the Police, Crime, Sentencing and Courts Bill and Article 14 of the ECHR

The Police, Crime, Sentencing and Courts Bill (which I will simply call the bill) is nearing the end of the Parliamentary ping-pong process. It is at the report stage in the House of Lords, having had its three readings in the House of Commons. Although there is still time for further amendments, it is highly likely that the bill will be passed in something resembling its current form. Many aspects of the bill have been seriously controversial and experts have commented at length on the merit or otherwise of the proposed legislation. I would like to ask an analytical question. How would Part 4 of the bill, if enacted, be interpreted by courts? In particular, is it compatible with Article 14 of the European Convention on Human Rights, which guarantees freedom from discrimination?

Part 4 is entitled “Unauthorised encampments”. The long title of the bill appears to allude to Part 4 somewhat euphemistically as aiming “to make provision about the removal, storage and disposal of vehicles”. The aim of Part 4 is to address the perceived problem of members of the Gypsy, Roma and Traveller communities moving their homes onto land without the permission of the landowner and causing nuisance and distress to the landowner and others in the area. (I will use GRT as shorthand for Gypsy, Roma and/or Traveller, without wishing to elide the differences between distinct cultures.) Part 4 seeks to achieve this aim by creating a new offence, which is again named euphemistically the “offence relating to residing on land without consent in or with a vehicle”, and by creating associated powers for the police to confiscate property, including vehicles, belonging to anyone suspected of committing an offence.

The formal history of these proposals, in brief, is that the government consulted from April to June 2018 on proposed powers to deal with unauthorised development and encampments. The then Secretary of State for Housing, Communities and Local Government, the late James Brokenshire, published a consultation response in February 2019. This did not propose the creation of a new offence. Later in the year, a second consultation was launched, this time by the Home Office. This consultation ran from November 2019 to March 2020. This consultation proposed the criminalisation of unauthorised encampments. The Home Secretary, Priti Patel, published a response in March 2021. This coincided with the publication of the bill. Interested readers can compare the responses to the 2019 consultation questions with the 2021 government response and the proposals in Part 4 of the bill.

Part 4 of the bill comprises three clauses. They were originally numbered 61 to 63 but are now numbered 63 to 65, which is how I will refer to them. The bill can be read in its current form here. It is mainly clause 63 (that is the original clause 61) with which we must concern ourselves.

Clause 63 inserts a new offence at section 60C of the Criminal Justice and Public Order Act 1994, entitled the “Offence relating to residing on land without consent in or with a vehicle”. I will simply call this the offence. Clause 63 also adds sections 60D and 60E to the CJPOA. Section 60D creates powers for police to seize and retain property involved in the suspected commission of the offence. Section 60E provides for forfeiture orders in cases of conviction of the offence.

The new offence created by the proposed section 60C is a little fiddly, but the main part of it, which is formed by clause 63(1)–(4) at pp. 58–59 of the bill, can be summarised as follows:

A person P, who is over 18, commits an offence if:

  1. P resides, or intends to reside, on land without the consent of the occupier, O, and
  2. P has, or intends to have, a vehicle with them on the land, and
  3. O or a police officer requests P to leave the land and/or remove P’s property from the land, and
  4. Either
    1. P fails to comply with the request, or
    2. P enters the land within 12 months of the request with the intention of residing there with O’s consent and with a vehicle on the land, and
  5. Either
    1. P’s residence on the land has caused or is likely to cause significant damage or disruption, or
    2. P’s offensive conduct on the land has caused or is likely to cause significant distress.

In summary, the proposed section 60D means that, if a police officer reasonably suspects that the offence has been committed, they may seize any relevant property, including any relevant vehicle, to be retained for three months. If notice is given that no prosecution will be brought, the property must be released, but if a prosecution is brought, the property may be retained until the conclusion of proceedings.

In summary, the proposed section 60E means that, if someone is convicted of the offence, any property that was seized under the proposed section 60D may be subject to a forfeiture order. Forfeiture means that the property is permanently taken from the offender.

As I have already said, the aim of these proposed provisions is to address the perceived problem of members of the GRT communities moving their homes onto land without the permission of the landowner and causing nuisance and distress to the landowner and others in the area. GRT communities are culturally distinct groups which share some traditions, primarily a nomadic lifestyle that is nowadays predominantly maintained in caravans (although not all GRT individuals lead a nomadic lifestyle). GRT communities are the subject of a high level of racism in the UK, which is more widely socially accepted than most forms of racism and which is in large part based on a prejudiced association between GRT individuals and crime and antisocial behaviour. The situation of GRT families is complicated by a long-standing shortage of allocated sites for encampment, following the abolition (by section 80 of the Criminal Justice and Public Order Act 1994) of the statutory duty (in section 6 of the Caravan Sites Act 1968) on local authorities to provide such sites. 

That is the context of the proposals. Their effect at face value is that, if a traveller family were to move their home onto a patch of land, and a police officer reasonably suspected that they had been asked to go away and had refused to do so, and they also suspected that the family’s presence was causing significant disruption, the officer could seize the family’s home and all its contents and hold onto it for three months, or until it was certified that no one in the family was to be prosecuted, or until the conclusion of proceedings if they were prosecuted and acquitted, or potentially forever if they were prosecuted and convicted.  

The context is relevant because it might inform how a court would interpret the proposed provisions. The offence, while applying to everyone, targets a specific group of racial and cultural communities. This raises the question whether there is anything in the United Kingdom constitution that could influence the interpretation of the offence in order to avoid a discriminatory effect.

The UK constitution is famously characterised by Parliamentary sovereignty. There is no written bill of rights that limits legislative power. The orthodox view is that primary legislation that tramples on fundamental rights, any way conceived, remains legally valid, with possible exceptions around institutional questions such as attempted abolition of courts. However, there is one well-established constitutional safeguard against discriminatory legislation. It is provided by section 3 of the Human Rights Act 1998, which requires courts to interpret legislation as far as possible so that it is compliant with the rights contained in the ECHR, which, at Article 14, include the right to non-discrimination in the enjoyment of the other protected rights. There is a second, more speculative, constitutional protection from discrimination. This is the constitutional principle of equality to be found in the common law. It is controversial whether such a principle exists, and, if it exists, what are its content and nature. Even if its existence were accepted, it would be unlikely to produce a different outcome in this case from Article 14 of the ECHR. Analysis of it is best left for another day.

In the recent Court of Appeal decision of R (Kaitey) v Home Secretary [2021] EWCA Civ 1875 at paragraph [91], Singh LJ summarised the process to be followed when section 3 of the Human Rights Act might come into play as follows.

91. I would summarise the approach which needs to be adopted in the following order:

(1) First, ascertain the ordinary meaning of legislation, having regard to all the usual aids to interpretation. This is not a purely linguistic exercise but seeks to give effect to the purpose of the legislation. The aids to interpretation include the presumption that Parliament does not intend to put the UK in breach of its international obligations, including those under the ECHR.

(2) If – but only if – that ordinary interpretation would give rise to an incompatibility with the Convention rights, section 3 requires a different interpretation so far as possible. This is a strong form of interpretation, which is not the same as ordinary interpretation.

(3) If, even then, it is not possible to give the legislation a meaning which is compatible with Convention rights, the court has a discretion to make a declaration of incompatibility under section 4 of the HRA (if it is one of the courts specified in that section).

So the first stage is to find the ordinary meaning of the legislation. This we have done. The second stage is to see whether that meaning is incompatible with Article 14. The Joint Committee on Human Rights of the House of Commons and the House of Lords published a report on 2 July 2021, which states, at paragraph 39, that it is “likely” that the proposed provisions would contravene Article 14. (The report also raises the possibility of  incompatibility with other Articles of the ECHR, but we will not discuss that today.) The report does not contain any structured analysis of Article 14, which would be necessary to establish incompatibility. We can do this ourselves. The relevant four-stage test was given by Lady Black in R (Stott) v Secretary of State for Justice [2018] UKSC 59; [2020] AC 51 at [8] as follows:

In order to establish that different treatment amounts to a violation of article 14, it is necessary to establish four elements. First, the circumstances must fall within the ambit of a Convention right. Secondly, the difference in treatment must have been on the ground of one of the characteristics listed in article 14 or “other status”. Thirdly, the claimant and the person who has been treated differently must be in analogous situations. Fourthly, objective justification for the different treatment will be lacking.

Before addressing the four-stage test, we need to identify precisely the different treatment or difference in treatment, the hypothetical claimant, and their comparator. This is stage zero.

The European Court of Human Rights has held that Article 14 prohibits indirect discrimination, that is a general measure that has a disproportionately prejudicial effect on a particular group: DH v Czech Republic (2008) 47 EHRR 3 at [175]. This means that we do not need to frame the different treatment clumsily as: GRT individuals are subject to criminalisation and the confiscation of property for pursuing their traditional way of living, that is nomadism, to a greater extent than other individuals are penalised for pursuing their traditional way of living, that is permanently in settled accommodation. Instead, we can say: The offence has a disproportionately prejudicial effect on GRT individuals because it criminalises behaviour associated with their traditional way of living, that is nomadism. Our hypothetical claimant is a GRT individual who commits the offence, because they must be demonstrably affected by the impugned measure: Buckley v United Kingdom (1997) 23 EHRR 101. Their comparator is an individual who occupies or intends to occupy another’s land without a vehicle and who causes or is likely to cause significant disruption. For the sake of example, a wild camper in a tent. The vehicular element is the distinguishing feature of the offence and of the way of living threatened by the offence.

Does the offence fall within the ambit of a Convention right? Yes. This is a low hurdle. The ambit of a Convention right consists of both the rights protected by an Article of the Convention and any additional rights falling within the scope of an Article that a state decides to protect: Fábián v Hungary (2018) 66 EHRR 26 at [112]. It is established that Article 8 (right to private life) protects the right of GRT individuals to practise their itinerant cultural tradition: Chapman v United Kingdom [2001] 33 EHRR 399 at [96]. The offence makes it more difficult for GRT families to do so, and it interferes with their use of their homes. So it seems that the offence falls within the ambit of both Article 8 and Article 1 of Protocol 1 (right to peaceful enjoyment of possessions) of the ECHR.

Is the difference in treatment on the ground of a characteristic listed in Article 14? Yes. The difference in treatment is on the ground of “association with a national minority”, because GRT individuals are members of a minority group in the UK, and the criminalised behaviour is associated with that minority group.

Are the hypothetical claimant and their comparator in analogous situations? Yes. Again, this is a low hurdle. Unless there are obvious relevant differences between the (hypothetical) claimant and the comparator, we should proceed to the fourth stage of the test: AL (Serbia) v Home Secretary [2008] UKHL 42; [2008] 1 WLR 1434 at [25]. There are no obvious relevant differences between a GRT individual who occupies another’s land with a vehicle and causes or is likely to cause significant disruption and a camper who causes or is likely to cause significant disruption. It cannot be argued that the presence of a vehicle makes a difference because that is more disruptive, since both hypotheticals involve actual or likely significant disruption.

Is the difference in treatment objectively justified? Then burden now passes to the state to show that the difference in treatment is objectively justified. This involves the application of well-trodden proportionality analysis. The relevant four-stage test was given by Lord Reed in in Bank Mellat v HM Treasury (No. 2) [2013] UKSC 39; [2014] AC 700 at [74] as follows:

(1) whether the objective of the measure is sufficiently important to justify the limitation of a protected right, (2) whether the measure is rationally connected to the objective, (3) whether a less intrusive measure could have been used without unacceptably compromising the right, and (4) whether, balancing the severity of the measure’s effects on the rights of the persons to whom is applies against the importance of the objective, to the extent that the measure will contribute to its achievement, the former outweighs the latter.

In an Article 14 case, it is not the measure as a whole, that is the offence, that must be justified. Rather, the different treatment itself has to be justified: A and others v Home Secretary [2004] UKHL 56; [2005] 2 AC 68 at [68].

Finally, the state enjoys a margin of appreciation with respect to justification, which means that its decisions about when differences justify different treatment must be accorded a level of respect that depends on the circumstances: Carson v United Kingdom (2010) 51 EHRR 13 at [61]. Different factors within the whole set of circumstances may pull in different directions in this regard: R (SC, CB and eight children) v Secretary of State for Work and Pensions [2021] UKSC 26; [2021] 3 WLR 428 at [130].

With these points established, we can undertake the four-stage proportionality analysis.

Is the objective of the measure sufficiently important to justify the limitation of a protected right? The government’s March 2021 consultation response, referred to above, introduced “the case for action” as follows:

Unauthorised Encampments can, in some cases, cause harm and misery to those affected by them and it can be time-consuming and costly for local communities to have them removed.

Some of the harms and problems that are caused can include:

  • interference with electricity, water or gas supplies
  • animals out of control or attacking people using the land or passing nearby
  • animals defecating on the land without owners subsequently clearing up
  • excessive noise pollution as a result of behaviour such as playing loud music or revving the engines of motor vehicles
  • improper deposit of human waste or sewage (such as bath water)
  • failure to remove excessive litter
  • disposal of clinical waste

The response also refers to the costs incurred by local authorities and private individuals in addressing the enumerated harms and problems.

The objective of addressing these problems, which can collectively be described as antisocial behaviour associated with unauthorised encampments, at first appears to be sufficiently important to justify the limitation of the right to non-discrimination. However, it would have to be demonstrated by evidence that these problems are in fact associated with unauthorised encampments, that is with trespassers with vehicles, as opposed to those without vehicles: Re A (Children) (Contact: Ultra-Orthodox Judaism: Transgender Parent) [2017] EWCA Civ 2164; [2018] 4 WLR 60 at [109]. Analysis of such evidence is beyond the scope of this blog post, but it would be necessary for a state seeking to discharge the burden of justification to base its case on evidence. The association of unauthorised encampments with antisocial behaviour of the kinds described by the government, if based on anything less than indisputable evidence, would simply constitute racial prejudice against GRT individuals. The aim of addressing the problems associated with unauthorised encampments would then not be legitimate. We can proceed with the analysis, not assuming that such evidence exists, but in order to know what the answer to our question would be if it did exist.

Is the measure rationally connected to the objective? The measure intends to dissuade the establishment of unauthorised encampments and to quickly bring to an end any that are established. This would contribute to the achievement of the objective of preventing antisocial behaviour associated with unauthorised encampments. Again, if and only if the state can show based on evidence that unauthorised encampments are associated with the problems it describes, there would be a rational connection.

Could a less intrusive measure have been used? Three alternative approaches to addressing the problem present themselves. First, if the police powers associated with the offence were less harsh, for example if pre-conviction or even pre-charge confiscation were not available, the effect on GRT families would be reduced. Those who would temporarily lose their homes could, in theory, be limited to those genuinely causing significant disruption. This would be less intrusive, although still seriously intrusive. However, it is arguable that the deterrent effect of the offence would then be reduced. Second, the perceived problem of unauthorised encampments is capable of being addressed through the planning process rather than through the criminal law. If local planning authorities allocated sufficient sites for GRT encampments, there would be no need for unauthorised encampments. Third, the requirement of being on land with a vehicle could be removed. This would still criminalise being seriously disruptive on another’s land, but it would not target GRT individuals in any way. This would significantly reduce, if not eliminate, the discriminatory effect of the proposed provisions. However, it is unclear if this would qualify as a suitable substitute measure, since the objective of the provisions is to address the antisocial behaviour associated with unauthorised encampments specifically. Given the complexity of this issue, it is likely that a court would refrain from putting itself into the place of the legislative decision-maker by deciding that an alternative measure would have been equally effective. But this is uncertain.

Has a fair balance been struck between the offence’s effects on GRT individuals’ rights and the importance of the objective? We have reached the crux of the proportionality exercise, where the margin of appreciation is relevant. The greater the margin of appreciation, the less convincing must be the objective justification of the measure. In cases involving general economic or social policy, such as welfare benefits cases, the court applies a manifestly without reasonable foundation standard. This is a wide margin of appreciation, where a measure will only be held to be disproportionate if it is manifestly without reasonable foundation: R (SG) v Secretary of State for Work and Pensions [2015] UKSC 16; [2015] 1 WLR 1449 at [92]–[93]. This is not such a case. On the contrary, this case concerns discrimination on the basis of ethnic origin, which is considered a form of racial discrimination, and which, whether direct or indirect, requires a very narrow margin of appreciation to be accorded to the state: Biao v Denmark (2017) 64 EHRR 1 at [94], [131] and [138]. Very weighty reasons unrelated to ethnic origin must be shown to justify the discriminatory effect of the offence.

How severe are the effects of the measure on GRT individuals’ right to non-discrimination? They are severe indeed: GRT individuals can lose their homes because a police officer suspects that they intend to reside on another’s land without the occupier’s consent and that this would cause significant disruption. GRT individuals can suffer life-changing consequences as a result of a police officer’s suspicion. That suspicion could be informed by anti-GRT prejudice. Even if a decision by a police officer to confiscate property were later shown to be flawed because it was based on prejudice and so not on reasonable suspicion, serious damage would already have been done to the family whose home was confiscated. This harm applies overwhelmingly to GRT individuals because the requirements of the offence apply overwhelmingly to those who lead a nomadic lifestyle that is part of GRT communities’ cultural heritage. In short, the discrimination is very grave.

How important is the objective to the extent that the difference in treatment will achieve it? The harm that persistent antisocial behaviour can cause should not be underestimated. Addressing that is an important objective. However, it is the choice to specifically criminalise GRT individuals that must be justified. Given the level of justification the state must show in a case of discrimination on the basis of ethnic origin because of the inherently unacceptable nature of such discrimination, and the gravity of the effects of the discrimination in this case, the objective of addressing antisocial behaviour associated with unauthorised encampments is not sufficiently important to justify the discrimination at hand. In other words, the discrimination is disproportionate.

That is the end of the Article 14 analysis. Since we have concluded that a court is likely to find that the proposed provisions are incompatible with Article 14, we can move on to Singh LJ’s stage 2 of statutory interpretation (see Kaitey above). We apply section 3 of the Human Rights Act to interpret the provisions to avoid incompatibility, if this is possible.

There is a lot of case-law on what kind of interpretation is considered possible under section 3. In Blackwood v Birmingham and Solihull Mental Health NHS Foundation Trust [2016] EWCA Civ 607; [2016] ICR 903, Underhill LJ quoted Sir Andrew Morritt C’s summary of the law from Vodafone 2 v Her Majesty’s Commissioners of Revenue and Customs [2009] EWCA Civ 446; [2010] Ch 77 at [37]–[38]. In short, a section 3 interpretation can depart from the literal meaning of legislative words and can read in additional words. However, a section 3 interpretation must be compatible with the underlying thrust of the legislation. Nor can it require the court to make decisions which it is unequipped to make. 

How could the proposed provisions be interpreted in order to avoid the discrimination that we have found? The problem is that the provisions are directly, although not explicitly, targeted at GRT individuals. The discrimination is not a side-effect of the legislation. It is a fundamental feature. This means that a section 3 interpretation is unlikely to be possible. Interpretive amendment of the provisions would need to create some kind of exception for GRT individuals, which would entirely defeat the purpose of the legislation. It would go against the grain because the grain is discriminatory.

This means that a court’s only remedy would be to make a declaration of incompatibility under section 4 of the Human Rights Act. This would not have the effect of striking down the provisions or otherwise rendering them ineffective. Under the UK constitution as predominantly understood, that is not possible. It would send a message to the government, to Parliament, and to the public about the non-compliance of the legislation with human rights.

As we have seen, the discrimination against ethnic minority individuals inherent in this legislation is remarkable. It may be that it prompts the courts to take an unusual step in the defence of the constitutional value of equality, which is at least arguably ambient in the common law as well as crystallised in Article 14 of the ECHR. However, the law as we understand it would permit the proposed offence and the attached police powers to be effective. The constitutional function of section 4 of the Human Rights Act in such a situation is to encourage the legislature to think carefully about whether it wishes to legislate contrary to human rights. Analyses such as this, if they are sufficiently rigorous, can pre-emptively serve a similar purpose in an informal way. It remains to be seen whether this Parliament is susceptible to such encouragement.

Image from Friends, Families & Travellers.

What I’ve been doing over the holidays…

My new year’s project is to learn to play chess properly. This is proving to be harder than I thought it would be and probably much harder than if I had taken it seriously ten or fifteen years ago. I have made a start on Fundamental Chess Openings by Paul van der Sterren, which is very engaging so far. Recommendations of books, strategies or states of mind are most welcome.

For the birds? Judicial review challenges to protect hen harriers and other animals

This week I learned that some 7% of the United Kingdom consists of moorland cultivated for the sport of grouse shooting. The area of land used for grouse shooting within national parks alone is more than twice the size of Greater London. The sport of grouse shooting involves trying to kill red grouse with a shotgun. It is practised in two forms. In a driven grouse shoot, the more common and more prestigious form, beaters sweep across the moor in a line, driving grouse towards a stationary parallel line of shooters, who aim at the oncoming birds. In a walked-up shoot, which provides more physical exercise for the shooters, a line of shooters and beaters walks across the moor, causing the disturbed grouse to fly away from them and be shot at from behind. In both cases, the speed and low flight of a grouse presents a challenge to those wealthy enough to participate. 

The shooting of grouse and other birds for sport does not attract the same scale of public condemnation as fox hunting. This could be because mammals earn our compassion more easily than other animals, because shooting a bird is perceived as delivering a quick death not comparable to the suffering of a hunted fox, or because shooters tend to wear less ostentatious costumes than hunters. Nevertheless, grouse shooting is controversial. On the one hand, it involves the annual burning of vegetation on carbon-storing peat bogs, the culling of animals thought to threaten the health of grouse, and, of course, the killing of birds for fun. The Royal Society for the Protection of Birds campaigns, not for the end of grouse shooting, but for more sustainable practices. On the other hand, the British Association for Shooting and Conservation, a membership organisation that lobbies for the “interests of shooting”, claims that grouse shooting delivers local economic benefits and preserves unique moorland habitats at a low cost to the taxpayer.

Gamekeepers are responsible for ensuring that there is sufficient wildlife (or game) on an estate to provide good sport. In the context of grouse shooting, this primarily involves the elimination of animals considered to threaten the population of grouse. One of these animals is the hen harrier. Hen harriers are birds of prey that can be found across Europe and Asia. In the United Kingdom, hen harriers nest in moorland heather and feed grouse chicks to their young. Nesting hen harriers are often killed and their nests destroyed. It is suspected that this is done by gamekeepers, because the presence of this predator is not conducive to the aim of a large population of shootable grouse. Although such treatment of hen harriers is criminal, the law is not well enforced, due in part to the inherent difficulty of monitoring activity on vast expanses of moorland, and also due, it could be thought, to the political power of those running and visiting the estates. But the persecution of hen harriers cannot be allowed to continue without accepting the disappearance of the species from this country, because their numbers are extremely low. Birds of Conservation Concern 4: the Red List for Birds, published in 2015 by the British Trust for Ornithology, lists hen harriers as a species of conservation concern. In 2017, it was reported that only four breeding pairs remained in England. For this reason, it has been considered necessary to find ways of protecting and promoting the propagation of hen harriers while preventing or disincentivising their deliberate destruction on grouse moors.

Natural England, the public body charged with protecting and promoting the natural environment in England, has grappled with this problem. One potential solution has been the licensing of diversionary feeding. Diversionary feeding involves providing hen harriers will food so that they do not need to eat grouse chicks. Although this practice has succeeded in Scotland, landowners in England have not embraced it because it is claimed to be costly, ineffective, and liable to interfere with the suppression of other predator species.

Another potential solution is known by its proponents as brood management and by its detractors as brood meddling. These euphemistic terms refer to the practice of removing hen harrier chicks from their nests, raising them in captivity and releasing them as adults into the wild. BM, as one can neutrally say, is controversial. It is generally supported by those associated with grouse shooting and opposed by conservationists. However, such is the nature of the hen harrier problem that some find it difficult to imagine any successful solution without the buy-in of the landowners and shooters.

We now have to interrupt this narrative for a brief but important exposition of some relevant law.

Section 1(1) of the Wildlife and Countryside Act 1981 makes it a criminal offence to intentionally kill, injure or take any wild bird; to intentionally take, damage or destroy the nest of a wild bird while that nest is in use or being built; or to intentionally take or destroy the egg of any wild bird. Further, in respect of those species of birds listed in schedule 1 of the Act, section 1(5) makes it an offence to disturb a bird while the bird is building a nest or is in, on or near a nest containing eggs or young, or to disturb the bird’s dependent young. Hen harriers are listed in schedule 1.

It can be seen that section 1 of the Wildlife and Countryside Act makes unlawful practices including BM. However, under section 16 of the Act, the Secretary of State (who delegates this power to Natural England) may grant licences to permit an activity that would otherwise fall foul of section 1. In order to be so permitted, an activity must be for one of a fixed list of purposes set out in section 16(1). These include (section 16(1)(a)) “scientific, research, or educational purposes”, and (section 16(1)(c)) “the purpose of conserving wild birds”. Section 16(1A)(a) provides that Natural England may only grant a licence for any of these purposes if “it is satisfied that, as regards that purpose, there is no other satisfactory solution”.

Further to this, hen harriers are listed as a threatened species in annex 1 of the EU Birds Directive (2009/147/EC). This means that EU member states are required to take special conservation measures to ensure the survival and reproduction of hen harriers and to designate “special protection areas” for them. There are two special protection areas in England relevant to hen harriers: the Bowland Fells and the North Pennines Moors. Most hen harrier nesting activity in England takes place in these areas.

Section 8(1)(d) of the Conservation of Habitats and Species Regulations 2017 provides that a special protection area under the Birds Directive is a “European site” for the purposes of those Regulations. Under regulation 63 of the Regulations, if Natural England is considering authorising a plan or project that is likely to have a significant effect on a European site (for example when it is considering an application for a licence under section 16 of the Wildlife and Countryside Act), it must make an assessment of the implications of the plan or project for the site in view of the site’s conservation objectives. Having made that assessment, Natural England can only agree to the plan or project (that is, grant the licence) if it is satisfied that it will not affect the integrity of the European site.

In practical terms, the legal provisions explained above have the following effect. If you want to undertake BM or another conservation practice in England that would involve committing an offence under section 1 of the Act and that is likely to have a significant effect on a special protection area, you must apply to Natural England for a licence. In order for a licence to be granted to you, (a) the practice you wish to undertake must be for a specified purpose, (b) there must be no other satisfactory solution to achieving that purpose, and (c) the practice must not affect the integrity of the special protection area.

Back to our regularly scheduled programming. In 2015, Natural England’s Science Advisory Committee advised the Board of Natural England to initiate a scientific trial of BM in England. The Board accepted the advice and passed it to the Secretary of State for the Environment, Food and Rural Affairs (then Liz Truss MP). published a document called the Joint Action Plan which proposed, among other things, diversionary feeding and a BM trial. Such a trial would, it was proposed, need to be licensed under section 16(1)(a) of the Wildlife and Countryside Act 1981. In 2017, an application was made to Natural England for a licence under that section to carry out activities to obtain evidence of the effectiveness or otherwise of BM. The trial would examine the effect of BM on the moorland community as well as whether released hen harriers would go on to become successful breeding adults in the wild. The licence would cover the first two years of a five-year trial.

Considering the application, Natural England completed two assessments. One, the Technical Assessment, assessed the merits of the proposed trial generally. The other, the Habitats Regulations Assessment, assessed the implications of the proposed trial in view of the conservation objectives of the two relevant special protection areas (the Bowland Fells and the North Pennines Moors), as required by regulation 63 of the Conservation of Habitats and Species Regulations. In 2018, the Chief Operating Officer of Natural England accepted the application and approved the grant of a licence.

Natural England’s decision to grant this licence was met with disagreement by those who consider that brood management is an ineffective way to protect hen harriers that prioritises the concerns of the shooting lobby. Both the RSPB and Dr Mark Avery applied for permission to apply for judicial review the grant of the licence. Dr Avery is a scientist, a conservation activist and a former International Director of the RSPB. Permission was granted and the applications were heard together in the High Court by Mrs Justice Lang in December 2018 and January 2019. In March 2019, judgment was handed down dismissing the applications: R (RSPB) v Natural England; R (Mark Avery) v Natural England [2019] EWHC 585 (Admin). In October 2019, Lord Justice Newey granted both claimants permission to appeal to the Court of Appeal. The appeals began to be heard together in March 2020, but the hearings were interrupted by the illness of one of the judges. In May 2020, Natural England granted a second licence, in similar but not identical terms to those of the first licence, to enable the BM trial to continue until 30 September 2021. The appeals were re-listed and finally fully heard by Lords Justices Underhill (VP), Newey and Phillips in January 2021. Now, the parties made arguments about the second licence, and not the first licence, which had expired but which remained technically the subject of the legal challenge. Judgment was handed down dismissing the appeals on 9 November 2021: R (RSPB) v Natural England; R (Mark Avery) v Natural England [2021] EWCA Civ 1637.


There was no point in my creating suspense about the outcome of these proceedings. Judicial review challenges concerning animals tend to fail. It is more interesting to try to ask why this might be.

There were eight separate grounds of challenge before Lang J. They were clearly set out and dealt with at paragraphs [52] to [124] of the High Court judgment. The most interesting are the two in respect of which permission to appeal was granted. They are, first, that Natural England misapplied section 16(1) of the Wildlife and Countryside Act 1981, and, second, that it was unlawful to permit BM in the two special protection areas.

The claimants’ primary argument on the first issue was that it was a mistake to characterise the relevant purpose as that under section 16(1)(a), a “scientific, research, or educational” purpose. What had to be assessed was not the direct purpose of the proposed trial but the ultimate purpose of the activity, which was conservation (section 16(1)(c)). Once this was understood, it was clearly not the case that there was no other satisfactory solution to achieving the relevant purpose. Namely, either diversionary feeding or the effective enforcement of the offences under section 1 would be a satisfactory solution in respect of conservation. As such, if Natural England had identified the correct purpose, it should not have granted the licence. The Court of Appeal disagreed about the identification of the purpose. The appropriate purpose is the specific purpose for which the licence is sought. If it were necessary or possible to identify a higher-level purpose, which could often be conservation, the extended list in section 16(1) would be pointless. Natural England was right to consider that this trial had a research purpose, namely to gather evidence about the conservation and social science impacts of BM in England, and as such that there was no other satisfactory solution to achieving this purpose.

On the second issue, the claimants argued that the concept of BM was fundamentally incompatible with the integrity of the special protection areas. Even if the displacement of hen harriers took place within a single area, the birds were still removed from their habitat. The Court of Appeal considered that both the trial and BM more generally should be seen in the long term. On this view, any displacement was temporary, while the real purpose of the activity was the preservation and promotion of the hen harrier population in the area.

These issues, and those dispensed with in the High Court, are relatively pedestrian public-law issues. Can the fact that they were relied upon, and the fact that they failed, tell us anything about the use of the judicial review procedure to challenge decisions affecting the welfare of animals?

First, judicial review generally attacks procedural defects. Unless a decision is vitiated because it is ultra vires (outside the powers of) the public body altogether, or so unreasonable that no reasonable decision-maker could have made it, both of which are rare, an application for judicial review will usually have to identify a material consideration that was not taken into account, or a consultation requirement that was not met, or a principle of natural justice that was neglected (we have all heard enough about that recently). It is really only in the realms of fundamental rights that substantive review grows any teeth by way of proportionality analysis. And, as we all know, animals have no fundamental rights. If a public body makes a decision that is harmful to animals, the law is such that that in itself will usually provide no basis for a judicial review. If the decision is vulnerable, it will be by accident, because there happens to have been a legally significant error besides the contended moral wrongness of the decision. Until animals are granted or recognised as having meaningful rights in public law, or until more weighty duties are placed on the public bodies charged with making decisions affecting them, judicial review will be an unreliable technique for animal activists.

Second, judicial review is a powerful but blunt instrument. It can nullify a decision whatever the consequences if that decision is vitiated by a legal error. This is because the courts, in this field at least, are concerned with absolute rights and wrongs. A public body may never act contrary to procedural fairness or beyond its legal powers, regardless of any countervailing reasons for doing so in a particular case. In the same way, if a public body is within its rights to act in a certain way, a court will not weigh that against any reasons why it should not do so. The law’s dealing in such absolute terms is to be contrasted with politics and the balancing-acts and trade-offs between incommensurable interests that are conducted in that field. (These are the two moralities described by John Laws in The Constitutional Balance.) This situation puts animals at a disadvantage under the law because the law, like our society, generally takes the view described by Robert Nozick as utilitarianism for animals and Kantianism for people (by which he meant humans). This means that, while humans are recognised as possessing some absolute rights that can never be overridden, animal interests are only relative, always susceptible to submission to another goal. To succeed in a judicial review, you need a trump card, and animals have no trump cards.  

These two considerations do not mean that animal activists cannot usefully use the judicial review procedure. There will be times when an unpopular decision is vitiated by a procedural error unrelated to the merits of the decision, and a campaigning organisation could legitimately challenge that decision. The rule of law requires that unlawfully-made decisions be open to challenge regardless of litigants’ motivation. There will also be times when, even under the current law, a decision is unlawful for reasons genuinely related to the consideration of or impact on animal interests. The Humane League’s litigation about inherently unhealthy breeds of chicken could be one such case. Finally, the common law develops through litigation, and each application for judicial review presents the court with an opportunity, of varying significance, to do things differently.

These potential benefits have to be balanced against the significant financial cost of taking cases like this to court. Money is sometimes raised from individuals who have not been presented with a sober and objective assessments of the legal merits of the case. Might animal activists not do better to bring fewer speculative judicial review challenges, and spend the time and money building up their own voices on the political field, so that they do not have to complain after every decision that the shooting lobby, the farming lobby, or the development lobby has captured the public institutions? That way, they could set their sights higher than the dozens of UK-resident hen harriers, and aim to protect the thousands of red grouse that are killed for fun every year. If it could be done for foxes through political means, why not for birds?

This intersects with a further issue for animal activists. Should the guiding principle be conservation, that is the protection and promotion of species, or animal rights or welfare, where the focus is on individual living beings? My background, as can probably be seen by reading this post, is in the latter approach. I have not rehearsed the arguments here. It is fundamentally a moral question, not a legal or a tactical one. However, it is interesting to wonder whether one approach lends itself more readily than the other to legal enforceability against the state. If the aim is to lift certain debates outside the realm of politics and situate them in the courtroom, a campaigning organisation, or the movement in favour of animals generally, could cynically adopt the moral position that would most readily achieve this. Whether there is indeed a difference here, and if so in whose favour, is a question for another day.

What I’ve been listening to this week…

It is so nearly Advent. I have been sustaining myself with this incredible recording of César Franck’s Violin Sonata, performed live in Moscow by David Oistrakh and Sviatoslav Richter in 1968. I don’t think I am projecting an Advent feeling onto it: The first three movements have searching qualities, sometimes lost, sometimes frenzied and sometimes in deep despair. The final movement feels like Christmas.

Photo by Mark Hamblin.

Over my dead body: Privacy rights of the deceased under the ECHR

Most people are dead. Nevertheless, dead people have little in the way of legal rights. They are (probably) not eligible for many of the common important rights: the right to bodily integrity and physical liberty; political, social and economic rights. In a striking exception, the wishes of the deceased in respect of their property are protected by the well-developed process of probate. That branch of the law aside, it may generally be said that, once a person passes away, the law washes its hands of them. Inquests deal with the dead, of course, but they are primarily concerned with rights that the subject had in life, rather than with any rights that they retain. The same goes for litigants whose estates can be represented in proceedings after their demise.

So I sat up when this Tweet by Andrew Tettenborn crossed my desk:

The decision referred to in the Tweet was ML v Slovakia [2021] ECHR 821 (application number 34159/17), which had been handed down by the European Court of Human Rights that day, 14 October 2021. The case provoked a small amount of displeasure on the platform, including on the part of the well-loved anonymous legal commentator SpinningHugo, who described the decision as “a disgrace”.

How did we get here? How did the European Convention on Human Rights reach a point where (in Professor Tettenborn’s words) it “may require the reputation of the dead to be protected”? In this blog post, I will follow the lines of authority that lead the Court to the decision in ML v Slovakia in order to clarify exactly what it stands for. Luckily for us, the cases are generally interesting and varied in their subject-matter. But I should say, for the benefit of anyone who would rather not read about such topics, that one of them, Hadri-Vionnet v Switzerland, discusses the consequences of a stillbirth, and another, ML itself, mentions sexual abuse by a Catholic priest.

I intend to stick to the expository side of legal analysis and not give my opinion on what the law should be. But it would be remiss of me to fail to contextualise the discussion. That is why I included the opening paragraph, and why I note that the field of information law in the UK generally excludes the dead too. Recital 27 of the GDPR, which has been incorporated into UK law, provides that “this Regulation does not apply to the personal data of deceased persons”. And section 1(1) of the Law Reform (Miscellaneous Provisions) Act 1934 provides that, in contrast to most claims, defamation claims may not be maintained on behalf of the estate of a deceased person. This context is what makes ML v Slovakia interesting.

Before we explore the cases, it is worth briefly reminding ourselves about Articles 8 and 10 of the ECHR and the relationship between them. Article 8 provides as follows:

(1) Everyone has the right to respect for his private and family life, his home and his correspondence.

(2) There shall be no interference by a public authority with the exercise of this right except such as is in accordance with the law and is necessary in a democratic society in the interests of national security, public safety or the economic well-being of the country, for the prevention of disorder or crime, for the protection of health or morals, or for the protection of the rights and freedoms of others.

And Article 10 provides as follows:

(1) Everyone has the right to freedom of expression. This right shall include freedom to hold opinions and to receive and impart information and ideas without interference by public authority and regardless of frontiers. This Article shall not prevent States from requiring the licensing of broadcasting, television or cinema enterprises.

(2) The exercise of these freedoms, since it carries with it duties and responsibilities, may be subject to such formalities, conditions, restrictions or penalties as are prescribed by law and are necessary in a democratic society, in the interests of national security, territorial integrity or public safety, for the prevention of disorder or crime, for the protection of health or morals, for the protection of the reputation or rights of others, for preventing the disclosure of information received in confidence, or for maintaining the authority and impartiality of the judiciary.

A qualified ECHR right such as Article 8 or 10 generally has a certain structure. The purpose of the right is primarily to restrain state action. In certain circumstances, the Articles place the state under a positive obligation to take action, but this is less common. An Article makes it unlawful for the state to do A, or requires it to do A as the case may be, but carves out an area B, described by its paragraph (2), that is not encompassed by A. A is the state’s zone of obligation and B is its zone of freedom. Article 8 prevents the state from doing 8A (interfering with privacy etc generally), but permits it to do 8B (interfering with privacy etc in accordance with law when necessary in a democratic society and for a purpose listed in paragraph (2)). Article 10 prevents the state from doing 10A (interfering with the freedom of expression generally), but permits it to do 10B (interfering with the freedom of expression as prescribed by law, necessary in a democratic society and for a listed purpose).

This is possibly an overcomplication of a familiar mechanism, but it is worth spelling it out in this way to make a preliminary point. Frits Hondius said in 1983: “Article 8 and 10 are each other’s reflection in the mirror”. One person’s right to privacy often has to be weighed against another person’s right to freely express information. This is structurally possible because Article 8(2) provides that “the protection of the rights and freedoms of others” is a justification for interfering with privacy, and Article 10(2) provides that “the protection of the reputation or rights of others” is a justification for interfering with the freedom of expression. The state is permitted to interfere with a person’s right to privacy in order to protect the freedom of expression in circumstances that put the interference within 8B. But that does not mean that that interference, which constitutes protection of the freedom of expression, will itself be required under Article 10. 10A does not begin where 8B ends. And, similarly, 8A does not begin when 10B ends. A state may be free to limit privacy to protect the freedom of expression where that protection goes beyond its obligations under Article 10. And a state may be free to limit the freedom of expression to protect privacy beyond what Article 8 requires.

The point to take away from this is that it matters whether the court is deciding a case under Article 8 or 10 ECHR, even if issues of both privacy and the freedom of expression are at stake. A court’s decision in an Article 8 case about balancing privacy and the freedom of expression may well not be seamlessly transferable to an Article 10 case. If you think this point is obvious, please join me on my journey through cases in which that does not appear to be the universal position.

Our starting-point is Editions Plon v France (application number 58148/00), which was decided in 2004. This case revolved around the death of François Mitterrand. Mitterrand was President of the French Republic from 1981 until 1995. In 1981, shortly after his first election as President, Mitterrand was diagnosed with prostate cancer, and it was from this illness that he died on 8 January 1996. The cancer was not revealed to the French public until a surgical operation took place on 11 September 1992. Even then, it was not public knowledge that the President had been diagnosed long before.

On 8 November 1995, Editions Plon, a French publishing company, signed a contract to acquire the rights to Le Grand Secret, a book co-written by a journalist and Mitterrand’s former doctor, Claude Gubler. The big secret to which the title referred was the concealment of the French President’s illness for longer than ten years. The publication of the book, originally scheduled for mid-January 1006, was postponed upon Mitterrand’s death. However, this decision was reversed because of what were perceived to be public slights upon Dr Gubler’s professional reputation. Publication was set for 17 January 1996. The Mitterrand family sought and were granted in urgent proceedings an injunction prohibiting distribution of the book on 18 January 1996. The injunction was subsequently made permanent in standard civil proceedings and upheld on appeal, not on the ground of interference with the privacy of Mitterrand or his family, but on the ground of the breach by Dr Gubler of his duty of medical confidentiality towards the late President. The publisher, its managing director and Dr Gubler were each ordered to pay damages to the Mitterrand family. Further, Dr Gubler was convicted of the crime of breaching professional confidence and given a suspended sentence.

The publisher made a claim against France before the European Court of Human Rights for breach of its Article 10 rights. It claimed that the injunction was not prescribed by law, did not pursue a legitimate aim, and was not necessary in a democratic society. It further claimed that the fine it had to pay was disproportionate to the aim it pursued.

The Court allowed the publisher’s claim in part. It held that the interference with the publisher’s Article 10 rights was prescribed by law and pursued a legitimate aim. The urgent injunction had been necessary in a democratic society, but the permanent injunction had not been. As a result, the publisher’s Article 10 rights had been violated. The Court did not make a finding about the damages the publisher had been ordered to pay.

For our purposes, the interesting part of the judgment is at paragraph [34]. Here, the Court is deciding whether the injunction against distributing Le Grand Secret pursued a legitimate aim. The Court said as follows (emphasis added):

It is apparent both from the reasoning of the judgments of the domestic courts, in particular the Court of Appeal’s judgment of 27 May 1997, and from the Government’s submissions before the Court that the judicial authorities based their decisions on a combination of two of the “legitimate aims” listed in paragraph 2 of Article 10 of the Convention, namely “preventing the disclosure of information received in confidence” (information covered under the national legislation by the rules of medical confidentiality) and protecting the “rights of others” (those of the President, and of his widow and children, to whom they were transferred on his death).

It is not for the Court to determine whether the civil liability incurred on account of the breach of medical confidentiality comes, in abstract terms, under the first of these legitimate aims, the second or both at once. It is sufficient for it to note that in the instant case the measures complained of, namely the interim injunction and the decision on the merits to keep the ban in force, were intended to protect the late President’s honour, reputation and privacy, and that the national courts’ assessment that these “rights of others” were passed on to his family on his death does not appear in any way unreasonable or arbitrary. Moreover, it is precisely because much of the information disclosed in the book was classified in law as secret, and was therefore a fortiori received in confidence, that it was capable in practical terms of infringing the rights of others, the protection of which is deemed legitimate in paragraph 2 of Article 10.

Accordingly, the interference in issue pursued at least one of the “legitimate aims” set out in the second paragraph of Article 10 of the Convention.

It is important to see what the Court says here in the context of the Article 10 analysis. The Court is saying that France was free to restrict the publisher’s freedom of expression in order to “protect the late President’s honour, reputation and privacy”. It is not saying anything about what Article 8 requires. In 2004, there was no indication that Article 8 required the protection of the reputation of the dead.

Our next case is Hadri-Vionnet v Switzerland (application number 55525/00), in which judgment was handed down in 2008. In 1996, Dalila Hadri-Vionnet, an Algerian national, sought asylum in Switzerland. On 4 April 1997, Ms Hadri-Vionnet gave birth to a stillborn baby. When asked immediately after the birth, the baby’s mother and father said that they did not want to see the body. The local civil service proceeded to transfer the baby’s body to a communal grave for stillborn babies, where the body was buried without a ceremony. Ms Hadri-Vionnet’s criminal complaints against the authorities for misuse of official authority, disturbing the repose of the dead, unlawful removal of property, and violation of her personal freedom under the Swiss Federal Constitution. The last complaint was made in the light of a decision of the Swiss Federal Court that the constitutional right to personal freedom encompassed the right of parents to object to any unjustified intervention in relation to the remains of a deceased child. All of Ms Hadri-Vionnet’s complaints were dismissed by the Swiss courts. She applied to the European Court of Human Rights in December 1999, complaining that her not having been able to attend her child’s funeral and the body’s transportation in an ordinary delivery van violated her rights under Article 8 ECHR.

The Court held that Article 8 had been violated. Having established that Ms Hadri-Vionnet’s Article 8 rights were engaged and interfered with in the circumstances, the Court was quickly able to decide that there had been no legal basis for the interference. Of interest are paragraphs [50] to [52] of the judgment, where the Court said as follows (emphasis added):

50.  The Government did not contest the applicability of Article 8 to the instant case.

51.  The Court reiterates that the concepts of private and family life are broad terms not susceptible to exhaustive definition (see, for example, Pretty v. United Kingdom, no. 2346/02, § 61, ECHR 2002‑III). Thus the former Commission had considered that the wish to have one’s ashes scattered on one’s own land was covered by the first concept (see X v. Germany, decision of 10 March 1981, no. 8741/79, Decisions and Reports 24, p. 137). Later, in the case of Znamenskaya v. Russia (no. 77785/01, § 27, 2 June 2005), the Court considered the “private life” aspect of Article 8 to be applicable to the question of whether a mother had the right to change the family name on the tombstone of her stillborn child. In the case of Pannullo and Forte v. France (no. 37794/97, § 36, ECHR 2001‑X), the Court considered the excessive delay by the French authorities in returning the body of their child following an autopsy to be interference with the private and family life of the applicants. Lastly, in the case of Elli Poluhas Dödsbo v. Sweden (no. 61564/00, § 24, ECHR 2006‑…), the Court considered that the refusal to authorise the transfer of the urn containing the applicant’s husband’s ashes was a matter falling within the scope of Article 8, without however stating whether the interference found related to the concept of private life or family life.

52.  In the light of that case-law, the Court considers Article 8 to be applicable to the question of whether or not the applicant was entitled to attend the burial of her child, possibly accompanied by a ceremony, and to have the child’s remains transported in an appropriate vehicle.

There are two points to note in these paragraphs. First, Switzerland did not contest the applicability of Article 8, so although the Court stated that its conclusion was supported by its previous decisions it would not have heard full argument on the point. Second, the decision is focussed on the wishes and feelings of the living applicant, Ms Hadri-Vionnet. Both the Court’s conclusion and the decisions cited concern the impact of state action or inaction on a living person. Paragraph [52] puts within the scope of Article 8 whether “the applicant was entitled to attend the burial” and “to have the child’s remains transported in an appropriate vehicle”,with Ms Hadri-Vionnet as the grammatical subject despite the second component concerning the treatment of the body, not of the mother. It was emphatically Ms Hadri-Vionnet’s Article 8 rights, as a matter of both substance and form, that had been violated.

The Court decided some relevant cases between 2008 and 2011, including Palade v Romania (application number 37441/05), Hachette Filipacchi Associés v France [2007] ECHR 5567 (application number 71111/01) and John Anthony Mizzi v Malta [2011] ECHR 1960 (application number 17320/10). However, none of these contributed anything new after Editions Plon and Hadri-Vionnet. The next case worth examining in detail is Putistin v Ukraine [2013] ECHR 1154 (application number 168882/03), decided in 2013. The applicant, Vladlen Mikhaylovich Putistin, was the son of Mikhail Putistin, a professional footballer who had taken part in the “Death Match”, a notorious football match between Ukrainian and German players during World War Two. When the Ukrainian side lost, at least eight of its members were sent to concentration camps and at least three, which were executed. Fast forward to 2001, by which time Mikhail Putistin had died, not by execution of the Nazis. A newspaper published an article that essentially alleged that the Ukrainian players who had not been executed after the match had been collaborators with the Gestapo. The article did not mention Mikhail Putistin’s name. But his son applied to the Ukrainian courts for rectification of untrue information and damages. He had no success. He applied to the European Court of Human Rights to complain of a breach of his right to the protection of his reputation under Article 10 ECHR, but the Court decided that the application should be considered under Article 8. The Court decided that Article 8 was applicable to the application before dismissing it on the basis that that the interference with the applicant’s Article 8 rights had been minimal and the Ukrainian courts had struck an appropriate balance between the competing rights of the applicant, the newspaper and the journalist. Paragraph [33] is the interesting part, where the Court considered the applicability of Article 8. The Court said as follows:

33.  The question of whether the damage to the reputation of an applicant’s family can be considered an interference with the right to respect for the applicant’s private life was raised, but not finally decided, in Palade v. Romania ((dec.), no. 37441/05, § 25, 31 August 2012). The Court can accept, as do the Government, that the reputation of a deceased member of a person’s family may, in certain circumstances, affect that person’s private life and identity, and thus come within the scope of Article 8.

Three points to note. First, again, Ukraine accepted the applicability of Article 8 to the situation, limiting the precedential value of the decision on this point and perhaps contributing to the terseness of its expression. Second, while still formally directed to the applicant and not to his late father, the formulation of what falls within the scope of Article 8 is more protective of the deceased individual than Hadri-Vionnet. In that case, what mattered was the protection of the applicant’s agency in respect of her child and her feelings consequent to the denial of that agency. In this case, the applicant’s relationship with his late father was not in any way interfered with. It was simply the impact on the applicant of the impact on the father’s reputation that mattered. This seems to be different. Third, the “certain circumstances” are not fleshed out at all. Especially in the light of the novelty of the conclusion, the Court does not give any guidance as to how, or how often, it will apply.

The decision in Putistin was considered in an interesting 2014 decision, Yevgeniy Yakovlevich Dzhugashvili v Russia (application number 41123/10). This case related to a complaint by the grandson of Joseph Stalin that the Russian state was failing to protect the reputation of the latter against attacks in newspapers. The Court essentially rejected the application on the basis that legitimate criticism of public figures was to be distinguished from defamatory attacks on private persons. Part of the Court’s reasoning, in paragraphs [21] to [27], is worth reading in full. The Court said as follows (emphasis added):

21.  The complaint is twofold. In so far as the applicant can be understood to be complaining of a violation of the Convention rights of his grandfather, the Court will first examine the applicant’s locus standi in this respect.

22.  In the case of Sanles Sanles v. Spain ((dec.), no. 48335/99, ECHR 2000-XI) the applicant, as the heir of a deceased person, was complaining on behalf of the latter in respect of his claims for recognition of the right to die in dignity. The Court considered that the right claimed under Article 8 of the Convention, even assuming that such a right existed, was of an eminently personal nature and belonged to the category of non‑transferable rights.

23.  The Court confirmed the principle that Article 8 rights were non‑transferable when it refused a universal legatee to pursue an application lodged by the immediate victim in the case of Thevenon v. France ((dec.), no. 2476/02, 28 June 2006).

24.  The Court does not find sufficient reasons to depart from its established case-law in the instant case. It follows that the applicant does not have the legal standing to rely on his grandfather’s rights under Article 8 of the Convention because of their non-transferable nature.

25.  It follows that this part of the complaint is to be rejected under Article 34 as being incompatible ratione personae with the provisions of the Convention.

26.  As to whether the applicant’s own right to respect for his private and family life are at stake in the instant case, the Court will proceed with the examination of whether the two above-mentioned disputes and the way in which they were resolved by the domestic courts affected the applicant’s own private and family life and, if so, whether the State took such measures as to secure effective respect of the latter.

27.  In its recent case-law the Court has accepted that the reputation of a deceased member of a person’s family may, in certain circumstances, affect that person’s private life and identity, and thus come within the scope of Article 8 (see Putistin v. Ukraine, no. 16882/03, §§ 33, 39, 21 November 2013, where a publication in the mass media allegedly provoked the presupposition that the applicant’s father had been a Gestapo collaborator).

This is worth reading for two reasons. First, it is authority, if any were needed, for the proposition that, as a formal matter, a family member cannot apply to the Court to vindicate a deceased person’s Article 8 rights. Any rights protected must belong to a living person. Second, the Court accepted in principle the decision in Putistin, although it said at [28] that it was “not ready to draw a parallel with the Putistin case” because of the different subject matter of the application. Although it is not clear, this indicates that the Court did not reject the application on the basis of justification for interference, but on the basis that the “certain circumstances” did not extend to Yevgeniy Yakovlevich’s situation, meaning that no Article 8 rights were interfered with at all. So we have a small indication of how the “certain circumstances” are to be drawn.

For our next case, we leave the terrain of Article 8 and return to Article 10. In Genner v Austria [2016] ECHR 36 (application number 55495/08), Michael Genner had written a piece for publication on the website of an organisation supporting asylum seekers and refugees that celebrated the death of the Austrian Interior Minister, Liese Prokop (referred to as “L.P.” in the judgment). Mr Genner was convicted of the crime of defaming Ms Prokop, partly due to the association of the late Ms Prokop with Nazi ideology. His conviction was upheld on appeal and he complained to the European Court of Human Rights that his Article 10 rights had been violated. The Court dismissed the application, since the interference with Mr Genner’s Article 10 rights was prescribed by law, pursued the legitimate aim of protecting the reputation and rights of both Ms Prokop and the members of her family, and was proportionate.

Two short passages stand out. First, when discussing the relevant principles, the Court said at [35] as follows:

35. Dealing appropriately with the dead out of respect for the feelings of the deceased’s relatives falls within the scope of Article 8 (see with further references Hadri-Vionnet v. Switzerland, no. 55525/00, § 51, 14 February 2008, Editions Plon v. France, cited above § 46 and Putistin v. Ukraine, no. 16882/03, § 33, 21 November 2013). […]

It may be said that this is a pedantic point, but to say that the action described here simply “falls within the scope of Article 8”, with no mention of the “certain circumstances” from Putistin, is striking. Perhaps this is part of a trend of moving the whole battle into the justification stage from the earlier interference stage. Or perhaps, because this is not strictly an Article 8 case, the Court did not feel the need to express itself precisely on this point. Whatever is the fair judgment on that point, it is concerning that the Court cites Editions Plon, an Article 10 decision that does not mention Article 8 once, to support a proposition about Article 8. It is unclear why it was thought relevant to explain this Article 8 principle at all, when any balancing exercise between Articles 8 and 10 is far from explicit in this case. It is all the harder to work out when paragraph [46], to which the reader is referred, does not appear to be relevant and it may have been an error to cite it.

Second, when applying the principles to the facts of the case, the Court said at [41] as follows (emphasis added):

41.  The Court further agrees with the government that the interference did pursue the aim of the protection of “the reputation or rights of others”, namely those of L.P. and the close members of her family ‒ in particular her husband ‒ which constitutes a legitimate aim within the meaning of paragraph 2 of Article 10 (see, Editions Plon v. France, cited above, § 34).

What we remarked upon at the start of our journey in Editions Plon is referenced and repeated: as a matter of justification for interfering with Article 10 rights, a state is free to consider that the rights of a deceased person continue to be capable and worthy of protection. This is in marked contrast to the formal position under Article 8, as expressed in Dzhugashvili at [24]. The fact that the principles in these two classes of case need to be carefully distinguished is what makes it problematic that the Court cited Editions Plon in the way it did at [35].

This brings us to our recent case: ML v Slovakia [2021] ECHR 821 (application number 34159/17). We come back to Article 8. The son of the anonymous applicant had been a Roman Catholic priest and a convicted sex offender before dying in 2006. In 2008, newspapers ran articles about the deceased man that, in the applicant’s view, alleged more than had been proved in court, interfering with both his and her privacy rights and contributing to a deterioration in her health. Although partly successful at first instance in her attempt to secure apologies and damages through the Slovakian courts, the applicant failed following all possible appeals. The applicant applied to the European Court of Human Rights, arguing that her Article 8 rights had been violated. The Court agreed. The applicant’s Article 8 rights had been interfered with; the deceased’s lack of prominence, the sensationalism of the articles, and their lack of any contribution to a debate of general interest should have led the Slovakian courts to conclude the balancing exercise in favour of the applicant.

Two passages demand remarks. First, the Court said at [23] about the applicability of Article 8 as follows:

23. It is clear from the Court’s case-law (see Hadri-Vionnet v. Switzerland, no. 55525/00, § 51, 14 February 2008, with further references; Editions Plon v. France, no. 58148/00, § 46, ECHR 2004‑IV; and Putistin v. Ukraine, no. 16882/03, § 33, 21 November 2013), and the Government accepted, that dealing appropriately with the dead out of respect for the feelings of the deceased’s relatives falls within the scope of Article 8 of the Convention.

This is basically a repeat of paragraph [35] of Genner, with the garnish of Slovakia’s acceptance of the principle. Notably, the same authorities, with the same apparently erroneous or at least unhelpful paragraph reference to Editions Plon, appear to have been copied and pasted in. But Genner itself is not even cited in this case, which is no wonder, because it is an Article 10 case, not an Article 8 case. So why is it the source of such an important principle in this decision?

Second, the Court said at [48] in the context of the balancing exercise as follows:

48.  Lastly, the Court is ready to accept that the distorted facts and the expressions used must have been upsetting for the applicant and that they were of such a nature as to be capable of considerably and directly affecting her feelings as a mother of a deceased son as well as her private life and identity, the reputation of her deceased son being a part and parcel thereof (see Putistin, cited above, § 33, and Dzhugashvili v. Russia (dec.), no. 41123/10, §§ 27 and 30, 9 December 2014).

This paragraph seems to be doing nothing more than reassuring the reader that it is substantively as well as formally the rights of the applicant that are at stake, not any rights of her deceased son. But it does so in a fascinating way absent from the other cases. It does not say that the impugned articles were upsetting for the applicant, but that they “must have been upsetting” for her, because they were “capable of” affecting her feelings by reason of her relationship to the dead man. The justification for including the protection of the reputation of family members within the scope of Article 8 is not the real impact on the applicant in this case, but the principled point that the reputation of a deceased family member is “a part and parcel” of one’s private life and identity. This is the opposite of Putistin’s “certain circumstances”, and we have left the applicant-focussed reasoning of Hadri-Vionnet. The reasoning, if not the conclusion, in Dzhugashvili is difficult to maintain in this light. The Court is no longer hesitant to include the protection of the reputation of family members within the scope of Article 8, accepting arguments on a case-by-case basis. It now does so on principle.

It is easy to understand why ML provokes strong feelings. Pre-existing concern with a perceived excessive extension of ECHR rights allies with a distaste for the substance of the claim brought by the applicant in this case. But if hard cases make bad law, it would not have made ML a better decision if it had been decided differently simply because the applicant’s son was a sexually abusive priest. What makes ML a bad decision is that it is built on insecure foundations. We have seen in these cases that states routinely fail to argue arguable points, resulting in thinly-reasoned conclusions; principles are passed between the contexts of Article 8 and Article 10 analysis with insufficient distinction; infelicities in language that are of little importance in one case are carried over into another in which the change is substantial; and the important anchor of the applicant’s own experiences of their private life in Article 8 cases has left the jurisprudential seabed. It is no exaggeration to say that paragraph [48] of ML suggests that deceased persons have a right to the protection of their reputation via the Article 8 rights of their living relatives, in substance if not in form. Seemingly throwaway statements like it in the earlier cases have had serious consequences down the line.

What I’ve been listening to this week…

I’ve been to a marvellous party. Specifically, Shefali and I celebrated our engagement surrounded by as many of our loved ones as circumstances allowed. Not a natural dancer, I approached that aspect of the event with (unnecessary) trepidation. So, of course, I have been listening to You Never Can Tell by Chuck Berry, on a loop, to get my practice in.  

Saint George on a bicycle: Why we should repeal the Human Rights Act

Ever since its introduction by the last Labour government, the Conservative party has railed against the Human Rights Act 1998. This has been primarily for two reasons. (David Allen Green, who is twice as clever as I am, puts it at four.) First, the Human Rights Act represents the imposition of foreign values on the United Kingdom. The elision of the European Court of Human Rights and the European Court of Justice is not (or not always) a mistake: both are used in the press to exacerbate a general Europhobia. This is what motivates the desire for a British Bill of Rights, promised in the 2015 Conservative manifesto and then again after the party’s surprise general election victory. With Brexit dominating the constitutional agenda from the next year, human rights reform never materialised. Second, the Human Rights Act frustrates the state’s maintenance of public order by, for example, prohibiting the deportation of foreign criminals. As Home Secretary, Theresa May gave a speech to the Conservative party conference on Tuesday 4 October 2011, in which she described, among the absurd cases that the Human Rights Act had brought about, “The violent drug dealer who cannot be sent home because his daughter – for whom he pays no maintenance – lives here.” There is a third reason for the unpopularity of the Human Rights Act, although this cannot really be associated with the Conservative party and is probably limited to scholarly circles. It is that the Human Rights Act is constitutionally inappropriate. In a Parliamentary sovereignty, judges should not twist the words of elected representatives, but should allow laws to mean what they say, especially those passed before the Human Rights Act. The Human Rights Act also imports the illegitimate jurisprudence of the European Court of Human Rights.

None of these criticisms withstands serious scrutiny. On the first point, the Human Rights Act makes enforceable in domestic courts the rights and freedoms guaranteed by the European Convention on Human Rights, which was ratified by the member states of the newly-formed Council of Europe in 1953. Winston Churchill was an early proponent of the Council of Europe and Sir David Maxwell Fyfe, later Lord Chancellor, led the drafting of the Convention. Since then, the UK has had as much influence as any other country on the interpretation of the Convention by nominating judges to sit on the European Court of Human Rights. Critics of the Convention rights cannot convincingly point to any individual articles or lines of authority that are continental or un-British in nature. It is a pretty British project. On the second point, the Convention rights are crafted in such a way as to enable the state to govern properly. The right to respect for one’s private and family life, for example, is qualified so that it can be interfered with if a public good such as public safety justifies interference. In respect of the deportation of foreign criminals, the law changed in 2014, showing that Parliament is capable of pursuing what it considers to be the public good. Today, the case referred to by Theresa May, decided in 2009 and upheld by the Court of Appeal in 2011, would probably be decided differently. On the third point, as liberal lawyers never tire of pointing out, the Human Rights Act was passed by Parliament, and, by applying it, judges are doing nothing more than enforcing the will of Parliament. Squeezing primary legislation into conformity with Convention rights under section 3, or striking down secondary legislation made by a minister under section 6, is exactly what Parliament has decided it would like judges to do. That is Parliamentary sovereignty.

Nevertheless, complaints about the Human Rights Act continue to emerge from the Conservative party. The newly-appointed Lord Chancellor, Dominic Raab, spoke about “overhauling” the Human Rights Act at the party conference in Manchester on 5 October 2021. The 2009 case reappeared, although whether it forms part of a legitimate case against the Human Rights Act since the 2014 amendment is unclear. Raab’s demotion (or promotion, depending on your perspective) provoked fears because he has a track-record of antipathy towards the Human Rights Act. However, the choice of the strong but vague word “overhaul” might suggest that a full repeal is not on the cards.

I will not say that this is a bad thing. Especially in the context of the present government, the loss of an opportunity to vindicate Convention rights in UK courts, by way of judicial review or a claim directly under the Human Rights Act, would have a disastrous human impact. However, on a level of constitutional principle and for the protection of rights in the long term, there is a case for repealing the Human Rights Act.  

Parliamentary sovereignty was the primary constitutional principle to emerge from the tumult of seventeenth-century England. At that time, the emphasis was on Parliamentary sovereignty as opposed to sovereignty of the Crown. However, at least since A. V. Dicey’s 1885 work, Introduction to the Study of the Law of the Constitution, the English legal establishment has considered that the emphasis is on the sovereignty of Parliament, as opposed to a Parliament with limited power to legislate. Professor Dicey wrote at pp. 3–4 (eighth edition, 1915, reprinted by the Liberty Fund, 1982):

The principle of Parliamentary sovereignty means neither more or less than this, namely, that Parliament thus defined has, under the English constitution, the right to make or unmake any law whatsoever; and further, no person or body is recognised by the law as having a right to override or set aside the legislation of Parliament.

Wade and Forsyth’s Administrative Law (eleventh edition, Oxford University Press 2014) states at p. 21:

The power of an Act of the sovereign Parliament, howsoever enacted, is boundless.

During the UK’s membership of the European Union, the single important exception to this principle was that primary legislation passed by Parliament would be invalid to the extent that it conflicted with EU law.[1] However, since it was Parliament, by the European Communities Act 1972, that authorised this state of affairs, and Parliament could put an end to it if it wished, as it eventually did, Parliament remained in principle sovereign.[2] And now that the UK has left the EU, no higher law exists than primary legislation on the domestic legal plane, according to orthodox constitutional theory.

The UK is unusual in this regard. In few other developed democracies is the legislature able to pass whatever law it wants by a simple majority, unlimited by fundamental rights or other constitutional restrictions on legislation. That is because an elective dictatorship, as Lord Hailsham called the UK system of Parliamentary sovereignty combined with executive dominance of Parliament, is illiberal in that it offers no protection to individuals or groups that fall into disfavour with the majority. Every person’s fundamental rights and freedoms demand protection, from the courts as a matter of justice and from the state as a matter of justification for its existence. Absolute Parliamentary supremacy is not an acceptable constitutional principle.

UK constitutional law is creeping towards acceptance of this reality. This can be seen on two levels.

On a structural level, senior judges have held, usually obiter and hypothetically, that the courts might not enforce a law enacted by Parliament that violated fundamental constitutional values. In Jackson v Attorney General [2005] UKHL 56; [2006] 1 AC 262, Lord Nicholls of Birkenhead said at [102]:

The classic account given by Dicey of the doctrine of the supremacy of Parliament, pure and absolute as it was, can now be seen to be out of place in the modern United Kingdom. Nevertheless, the supremacy of Parliament is still the general principle of our constitution. It is a construct of the common law. The judges created this principle. If that is so, it is not unthinkable that circumstances could arise where the courts may have to qualify a principle established on a different hypothesis of constitutionalism. In exceptional circumstances involving an attempt to abolish judicial review or the ordinary role of the courts, the Appellate Committee of the House of Lords or a new Supreme Court may have to consider whether this is a constitutional fundamental which even a sovereign Parliament acting at the behest of a complaisant House of Commons cannot abolish.

And Lord Hope of Craighead said at [104], at the start of a whole speech on this topic:

Our constitution is dominated by the sovereignty of Parliament. But Parliamentary sovereignty is no longer, if it ever was, absolute. It is not uncontrolled in the sense referred to by Lord Birkenhead LC in McCawley v The King [1920] AC 691, 720. It is no longer right to say that its freedom to legislate admits of no qualification whatever. Step by step, gradually but surely, the English principle of the absolute legislative sovereignty of Parliament which Dicey derived from Coke and Blackstone is being qualified.

In Hartian terms, the rule of recognition in English law is up for grabs. Alternatively, in the terms of T. R. S. Allan, who rejects the idea of a positivist rule of recognition, judges are beginning to recognise that a statute that flouted “the essentials of justice and good governance” would not be legitimate, and would therefore not “qualify as law”.[3] Whatever constitutional-theoretical model one prefers, the cases show that it is no longer clear that judges will unfailingly accept primary legislation as valid law.[4] Two weeks ago, Abella J, writing for the minority of four justices in the Supreme Court of Canada, cited Jackson, AXA and Privacy International (see [4]) as well as R (Miller) v Prime Minister [2019] UKSC 41; [2020] AC 373 to support the proposition that unwritten constitutional principles have full legal force and can serve as substantive limitations on all branches of government (Toronto (City) v. Ontario (Attorney General) 2021 SCC 34 at [166]).

On the level of rights, the courts have developed the doctrine of common-law constitutional rights, whose enumeration is determined by constitutional values such as the rule of law. As Lord Hope said in Jackson at [107], “The rule of law enforced by the courts is the ultimate controlling factor on which our constitution is based.”[5]

But what role can constitutional rights or the rule of law have under Parliamentary sovereignty? The courts have tried have it both ways. Their main tool in this respect is called the principle of legality. Lord Hoffmann’s explanation of the principle of legality in R (Simms) v Secretary of State for the Home Department [2000] 2 AC 115 has become the standard account. He said at 131:

Parliamentary sovereignty means that Parliament can, if it chooses, legislate contrary to fundamental principles of human rights. The Human Rights Act 1998 will not detract from this power. The constraints upon its exercise by Parliament are ultimately political, not legal. But the principle of legality means that Parliament must squarely confront what it is doing and accept the political cost. Fundamental rights cannot be overridden by general or ambiguous words. This is because there is too great a risk that the full implications of their unqualified meaning may have passed unnoticed in the democratic process. In the absence of express language or necessary implication to the contrary, the courts therefore presume that even the most general words were intended to be subject to the basic rights of the individual. In this way the courts of the United Kingdom, though acknowledging the sovereignty of Parliament, apply principles of constitutionality little different from those which exist in countries where the power of the legislature is expressly limited by a constitutional document.

The principle of legality allows the courts to uphold and apply constitutional values while not only paying lip-service to, but in substance maintaining, Parliamentary sovereignty.

The result is that the protection of constitutional rights is weak for two reasons. First, the principle of legality is half-hearted in its application because of its subservient relationship with the principle of Parliamentary sovereignty. Second, the courts have been hesitant to recognise a wide range of individual rights as constitutionally guaranteed. The common-law constitution, in both structure and substance, is small and struggling to grow.

Why? Because of the Human Rights Act.

The legal mechanics of the Human Rights Act are similar to what the courts currently accept is their role in protecting constitutional rights. Section 3 of the Human Rights Act mirrors the principle of legality, in that it requires courts to interpret legislation in line with Convention rights wherever possible. Lord Hoffmann drew this parallel in Simms at 132: “the principle of legality will be expressly enacted as a rule of constriction in section 3 [of the Human Rights Act]. Section 4, which provides for declarations of incompatibility with Convention rights, has no practical effect.[6] The Human Rights Act’s chief virtue over the common law is its explicit enumeration of rights. As is inevitable, there remains debate over the scope of each right, but there are clear starting-points. The Human Rights Act provides effective protection or redress in countless situations, including state surveillance, protest, welfare policy and inquests.

That all sounds wonderful. What’s the problem? The problem is that the Human Rights Act has arrested the development of the common-law constitution. It removes any incentive for the common law to develop, while providing only moderate protection against the abuse of state power. The Human Rights Act is no substitute for fully-developed constitutionalism, but the constitution cannot fully develop while the Human Rights Act remains. To borrow David Allen Green’s image, the Human Rights Act is a set of constitutional stabilisers, and they need to come off.

There are two ways in which common-law constitutional doctrine needs to evolve. The first is structural: What do constitutional principles such as the rule of law and fundamental rights mean in practice, and what is their relationship with Parliamentary sovereignty? The second is elaborative: What are the rights that the constitution guarantees? These are difficult, controversial questions. Litigants will not build their cases on uncertain foundations unless they have no choice. If you were at risk of deportation, and you could ask the court to prevent your deportation on the basis of either the settled law of the Human Rights Act, or some untested constitutional theory, what would choose? The same goes for most judges, who are not attracted to controversy. There is no reason – arguably no way – for the common-law constitution to develop while the Human Rights Act is squatting on top of it.

This matters because the Human Rights Act only achieves a fraction of what the common-law constitution could and should become if given a chance to flourish. The Human Rights Act respects and affirms Parliamentary sovereignty. It purports to fulfil the role of guardian of rights while permitting Parliament to pass laws that expressly and seriously violate fundamental rights. It would not have been passed otherwise: Parliament would not willingly give up its sovereignty. But the protection that fundamental rights require is both from government and from Parliament, as the framers of written constitutions around the world knew. Until it is repealed to enable the constitution to develop rightly, so that the rule of law, and no longer Parliamentary sovereignty, is the master constitutional principle,[7] the Human Rights Act will remain the tapeworm in the belly of the constitution. Dicey called the British constitution “the most flexible polity in existence” (p. 39). Constitutional law must be permitted to flex in the only way the common law knows how to develop, through litigation, so that the normative basis of the constitution can be reflected in doctrine. 

During the previous decade, aware of the Conservative party’s unkind intentions towards the Human Rights Act, the courts have prodded the doctrine of common-law constitutional rights awake. In R (Osborn) v Parole Board [2013] UKSC 61; [2014] AC 1115, Lord Reed said at [57]:

The importance of the [Human Rights] Act is unquestionable. It does not however supersede the protection of human rights under the common law or statute, or create a discrete body of law based on the judgments of the European court. Human rights continue to be protected by our domestic law, interpreted and developed in accordance with the Act when appropriate.

And in Kennedy v Charity Commission [2014] UKSC 20; [2015] AC 455 at [46], Lord Mance said:

Since the passing of the Human Rights Act 1998, there has too often been a tendency to see the law in areas touched on by the Convention solely in terms of the Convention rights. But the Convention rights represent a threshold protection; and, especially in view of the contribution which common lawyers made to the Convention’s inception, they may be expected, at least generally even if not always, to reflect and to find their homologue in the common or domestic statute law.

And at [133] Lord Toulson said:

The analysis set out above is based on common law principles and not on article 10, which in my view adds nothing to the common law in the present context. This is not surprising. What we now term human rights law and public law has developed through our common law over a long period of time. The process has quickened since the end of World War II in response to the growth of bureaucratic powers on the part of the state and the creation of multitudinous administrative agencies affecting many aspects of the citizen’s daily life. The growth of the state has presented the courts with new challenges to which they have responded by a process of gradual adaption and development of the common law to meet current needs. This has always been the way of the common law and it has not ceased on the enactment of the Human Rights Act 1998, although since then there has sometimes been a baleful and unnecessary tendency to overlook the common law. It needs to be emphasised that it was not the purpose of the Human Rights Act that the common law should become an ossuary.

The subtext is that, if the Human Rights Act is repealed, we will need another means of preventing the abuse by the state of fundamental rights. And we have such a means. But while we in fact do have the protections of the Human Rights Act, the common law will not have the opportunity to fully flesh out constitutional principles. As the essays in Mark Elliott and Kirsty Hughes’ book show, the only rights that have been seriously developed during this period are those related to the institutions of justice, such as the right of access to the courts or the right to have justice done in public.[8] The courts have cleaved to the core of the rule of law and have been hesitant to explore the full range of protections that the constitution guarantees.

Maybe this is all wishful thinking. Maybe it is a risk whose costs are too high. Under the Human Rights Act, we have some kind of guarantee of fundamental rights enforceable in domestic courts, which is better than we have had for most of our history. But the 1970s and 1980s showed us that the courts are capable of using the constitutional means at their disposal, even if they have been neglected, to address the problems of the day the according to what are recognised as the pressing demands of justice. Further, do we want to wait for Parliament to pass a flagrantly oppressive law that the Human Rights Act is powerless to touch before asking the courts for a definitive answer to the question raised in Jackson? It will happen one day. The courts have started to deal with the reality that politicians don’t play by the rules anymore (R (Miller) v Prime Minister). They must take the full implications of that realisation seriously. The common-law constitution needs to evolve beyond Parliamentary sovereignty. It needs to regain its confidence and mature. If one more metaphor will not break the camel’s back, we have been sending villagers to appease the dragon since 1688. Do we have to wait until the princess is chosen as tribute before summoning Saint George? When he comes, he can’t be riding with stabilisers. We have to repeal the Human Rights Act.

What I’ve been doing this week…

I moved to Cambridge! So almost all of my reading has been prescribed. But Cambridge means walking which means podcasts. I’ve returned to Talking Politics: HISTORY OF IDEAS, hypnotically delivered by David Runciman. And I’ve started the wonderful Borderline Jurisprudence with Başak Etkin and Kostia Gorobets, which as an international law amateur I struggle to keep up with sometimes but it’s fascinating and imbued with humanity and a sense of humour. In other news I have continued my struggle to make tofu crispy.


[1] R (Factortame Ltd) v Secretary of State for Transport [1990] 2 Lloyd’s Rep 365 and [1991] 1 AC 603.

[2] R (Miller) v Secretary of State for Exiting the European Union [2017] UKSC 5; [2018] AC 61 at [60].

[3] T. R. S. Allan, The Sovereignty of Law: Freedom, Constitution, and Common Law (Oxford University Press 2013), p. 167.

[4] See also Lord Hope’s words in AXA General Insurance Ltd v Lord Advocate [2011] UKSC 46; [2012] HRLR 3 at [50] to [51], and, more recently, Lord Carnwath’s words in R (Privacy International) v Investigatory Powers Tribunal [2019] UKSC 22; [2019] HRLR 13 at [144].

[5] For examples of common-law constitutional rights in action, see, R (UNISON) v Lord Chancellor [2017] UKSC 51; [2017] ICR 1037 at [66] to [85] and R (Bugdaycay) v Secretary of State for the Home Department [1987] AC 514 at 531. Mark Elliott and Kirsty Hughes’ volume Common Law Constitutional Rights (Bloomsbury 2020) attests to this developing area of the law.

[6] Notwithstanding Lord Reed’s challenging comment this week in the Scottish UNCRC case [2021] UKSC 42 at [50].

[7] Lord Hope in Jackson at [107].

[8] Mark Elliott and Kirsty Hughes (eds), Common Law Constitutional Rights (Bloomsbury 2020); UNISON; A v BBC [2014] UKSC 25; [2015] AC 588.

The Kingsland Cup 2021… Or How I Learned to Stop Worrying and Love the Moot

Last Thursday, after a year of virtual advocacy exercises, I took part in my first ever in-person moot. The Kingsland Cup and Prize Moot is run annually by Francis Taylor Building. Named in honour of Lord Kingsland QC, it covers a wide range of public, environmental and European law topics. Participants tackle two moot problems over the course of three rounds, with a paper sift of skeleton arguments followed by two ‘live’ rounds.

The 2021 final took place last week and my teammate, Tom Lambert, and I were fortunate enough to be declared the winners after a closely matched competition with an excellent team from the University of Oxford. It was judged by Sir Keith Lindblom, Senior President of Tribunals, and Professor Alison Young, Sir David Williams Professor of Public Law at the University of Cambridge. I am extremely grateful to both of them for giving up their time and to Esther Drabkin-Reiter and Michael Brendan Brett from FTB for organising this year’s competition and setting two fascinating and finely balanced moot problems.

The first round and semi-final involved a highly technical planning law problem, focusing on whether a Lawful Development Certificate (LDC) can be granted under s. 191 Town and Country Planning Act 1990 (“the 1990 Act”) to certify that a site has ‘nil’ planning use, and the circumstances in which a previous use may be said to have been abandoned. The claimant was a local authority, which had refused to grant an LDC to a multiplex cinema chain to certify that a recently acquired site had nil use. That refusal had been overturned on appeal by a planning inspector, who decided that s. 191 gave him the power to grant an LDC for nil use and that he was justified in granting one in the present circumstances, on the basis that the previous use of the site as an independent cinema had been abandoned. The multiplex chain appeared in the proceedings as an interested party but was not represented by counsel.

The claimant brought a judicial review on two grounds:

  1. The Decision by the Inspector was unlawful on the basis that there was no power to grant a Lawful Development Certificate under s. 191(1)(a) of the 1990 Act for a ‘nil’ use.

  1. The Inspector erred in law in concluding that the use had been abandoned.

For the first round, teams had to submit two skeleton arguments, one for the claimant and one for the defendant. Four teams were then selected to go forward to the semi-final, which took place on Zoom in April this year, with the claimant and defendant roles in each semi-final being assigned at random. Tom and I were representing the claimant local authority. Alongside a team from the Inns of Court College of Advocacy, we battled our way through some significant technical difficulties to present our submissions.

On Ground 1, which I took, the case ultimately turned on the somewhat esoteric semantic question of whether the phrase “any existing use of buildings or other land” in s. 191(1)(a) of the 1990 Act extended to cover nil use. Could “any” also encompass “none” or did it have to refer to a positive use? I was both gratified and slightly disappointed when Sir Keith Lindblom, who also judged our semi-final, beat me to the King Lear quote I had planned to include in my summing up (“nothing will come of nothing”) in one of his interventions. One of our central submissions was that, since planning enforcement action cannot be taken against a site that truly has nil use, the only possible reason the interested party could have had for wishing to obtain an LDC was to circumvent the ordinary planning process and the policies in the Local Plan designed to prevent the loss of grassroots leisure and entertainment venues.

Ultimately, although he reserved judgment, Sir Keith indicated that he was inclined to agree with the claimant’s position that the provisions of s.191 did not extend to nil use. This was primarily due to the plain meaning of the words in the statute but also because of the impossibility of enforcement action against a site that has truly been abandoned and has no planning use. 

We advanced to the final and out of my comfort zone. Having previously worked in housing policy, I was at least somewhat familiar with planning legislation and policy, even if the provisions around Lawful Development Certificates were new to me. The problem for the final, however, involved a range of legal issues with which I was less familiar, including the relationship between Article 8 and Article 10 of the European Convention on Human Rights, the nature of proportionality review and whether or not consistency should be accepted as a freestanding ground of judicial review. Perhaps inspired by a certain viral parish council meeting earlier this year, it was an appeal to the Supreme Court concerning the decision by a District Council Monitoring Officer to sanction a parish councillor for breaking the parish council Code of Conduct with an unruly outburst in an online meeting.

Though clearly inspired in part by the Jackie Weaver saga, the facts of the case and the legal issues raised were actually most similar to those in R (on the application of Robinson) v Buckinghamshire Council [2021] EWHC 2014 (Admin), where the High Court quashed the decision of a Deputy Monitoring Officer to sanction Cllr Clive Robinson over comments he had made about fellow councillors, which were said to be in breach of the PC Code. The court in Robinson held that the sanction represented a disproportionate infringement on Mr Robinson’s right to freedom of Expression under Article 10 ECHR, and therefore a violation of s. 6 of the Human Rights Act 1998.

The case in the Kingsland final centred on whether or not the decision to uphold a complaint against a councillor for saying “You do not have the authority to do this, Alice Tinker! You can’t just expel them from the meeting, face up to the accusations of incompetence, you big girl’s blouse!” was a similarly disproportionate interference with his Article 10 rights, and whether it mattered that a similar complaint against Ms Tinker had been decided differently. The grounds of appeal were:

  1. The judge at first instance erred in finding that the speech in question was not supported by case law on protection of political speech and/or that the decision to uphold the complaint was proportionate.
  1. The judge erred in finding that she could not consider consistency as a freestanding ground of review.

As the final was in person, each team was required to bring two hard copies of the bundle, one for ourselves and one for the judges. With nearly 500 pages of authorities between us, this meant that each team arrived with around 1000 neatly tabulated pages, which certainly helped add to the illusion that we were taking part in a real hearing. 

This time, Tom and I were acting for the respondent and again I took Ground 1. I submitted that the Monitoring Officer was correct to decide that the quoted portion of Cllr Trott’s outburst was not political speech and should not therefore be afforded enhanced protection under Article 10, drawing heavily on the judgment in Heesom v Public Service Ombudsman for Wales [2014] EWHC 1504 (Admin), [2014] 4 All E.R. 269, which distinguished between “matters of public administration and public concern including comments about the adequacy or inadequacy of performance of public duties by others” on the one hand and “gratuitous personal comments” on the other, and held that the former would be classed as political speech, while the latter would not [38(v)]. I characterised Cllr Trott calling Cllr Tinker a “big girl’s blouse” as a gratuitous personal comment.

I also submitted that the sanction was justified on the basis of the qualifications to the right to free expression in Article 10(2) ECHR, in light of the need to balance Cllr Trott’s Article 10 rights against Cllr Tinker’s right to a reputation under Article 8.  Finally, I submitted that proportionality is not a substitutionary review, and an appellate court should therefore uphold the decision of a lower court, provided it is satisfied that the lower court carried out the balancing exercise correctly, even if it might itself have come to a different conclusion on the facts. On this last point, I deployed a cricketing analogy, likening the process of proportionality review in an appellate court to a scenario in which hawk-eye indicates that a DRS review of an LBW decision remains “umpire’s call”.

Our opponents, Daniil Ukhorskiy and Amy Gregg, made some excellent arguments drawing on the jurisprudence of the European Court of Human Rights, about the difficulty and undesirability of disaggregating comments made in the heat of the moment and separating them into categories of political and non-political speech. Tom was extremely patient with me as I dealt with numerous judicial interventions on the plausibility of such disaggregation and overran my allotted time, leaving him with only ten minutes or so to make his submissions on whether consistency should be accepted as a freestanding ground of judicial review.

On Ground 2 the key questions were whether or not the case law indicates that consistent administration can be viewed separately from the doctrines of irrationality and legitimate expectation, and whether it would be desirable for it to stand alone as a ground of review in its own right. Counsel for the appellant submitted that the Supreme Court’s judgment in R (on the application of Gallaher Group Ltd and ors) v The Competition and Markets Authority [2018] UKSC 25, [2019] A.C. 96 was only authority for the fact that equal treatment is not a distinct principle of administrative law. It did not address the issue of consistent administration — that is the obligation for public authorities to apply their policies in a consistent way. Tom submitted in response that such a fine distinction would create unnecessary confusion in the law and that there was, in any event, no need to draw it. Decisions which might fall foul of a doctrine of consistent administration would probably be overturned anyway on the basis of irrationality or the frustration of legitimate expectations.

The judges deliberated for around fifteen minutes and, while they again reserved their judgment, they suggested on Ground 1 that the appellant’s position on the disaggregation of intermingled comments would likely be accepted, though they agreed that the role of the court in a proportionality review was not to remake the decision. On Ground 2, Sir Keith questioned whether it really mattered if consistency was officially accepted as a freestanding ground of review or not, since the facts of the case clearly indicated that Cllr Trott was not treated fairly by the Monitoring Officer and the decision might therefore have been deemed to be unsound on that basis. However, he did conclude by suggesting that the law should not be like mushrooms (a running theme throughout counsel’s submissions) and multiply grounds of review excessively.

Had this been a real case, we likely would have lost, since the judges indicated that they probably would have allowed the appeal, at least on Ground 1. Fortunately for us, however, mooting is not real life and we were declared the winners by an extremely narrow margin. Competing in this year’s Kingsland Cup has been a wonderful experience. It has taught me a great deal, both about the relevant areas of law and about online and in-person advocacy. I would highly recommend the competition to anyone with an interest in public law.