Select Committee on Constitutional Affairs Written Evidence


Evidence submitted by The Honourable Mr Justice Ouseley, President, Immigration Appeal Tribunal (AIA 3A)

CONSTITUTIONAL AFFAIRS COMMITTEE: ASYLUM & IMMIGRATION BILL

  You will have seen the short submission which I made before the announcement of the single tier proposal and the later longer submission from AMIAT which deals with the Tribunal's operation. I enclose as an update of our views on the new Bill, our representations to the IND Legislation Unit (Annex A). We do not regard these as private or confidential, nor this letter.

  You will see that we regard the question of whether there should be one or two tiers as a matter of policy for the Government, and would not wish to be drawn into a debate on its merits, or its merits compared with the present system. We have made some comments on other aspects to which you refer.

  However, we would add two points in relation to the new Bill. First, it is essential for the fair and effective hearing and disposal of asylum appeals, not just that the Home Office interview and decision be thorough and fair, but also that the appellant have legal assistance and advice in the preparation and presentation of his case. The evidence needs to be coherent and orderly, potential witnesses or documentary support identified and the whole case needs to be placed in the legal context for both asylum and immigration cases. The latter are often the more complex legally. The proposed Tribunal's task of getting decisions right first time would need the parties' material to be presented to it fully and coherently. In particular, the real issues for decisions would need to be identified and addressed. This would necessitate proper legal advice and representation for both parties, by whatever mechanism it is delivered.

  The ouster clause is not specifically referred to in our submissions. It is plainly a politically very controversial provision. What is not, I believe, genuinely controversial is that so extensive an ouster clause is without precedent: it seeks to oust the High Court's supervisory role not just over decisions of a lower Tribunal, even those made unfairly or without jurisdiction; it also seeks to oust the High Court's control over the legality of certain executive acts and decisions, and to do so in an area where life and liberty may be at stake. Such an ouster clause is unprecedented because, and again this is not controversial, the United Kingdom's conventional constitutional framework, albeit unwritten, is predicated on the allocation of different but equally necessary functions to Parliament, the Courts and the executive. To the Courts is allocated the necessary task of reviewing the lawfulness of the decisions of lower Tribunals and the lawfulness of the executive's acts and decisions. An unwritten constitution only works on the basis of an acceptance by each component of the differing and important roles of the others. The ouster clause is inconsistent with those constitutional conventions. As a matter of constitutional principle, higher judicial oversight of lower Tribunals and even more so of executive decisions should be retained.

  However, the precise form of judicial oversight can vary from area to area. In asylum and immigration, the system of statutory review, newly devised in the 2002 Nationality, Immigration and Asylum Act and only in effect for a few months, represents the current system of review tailored to that area; an application dealt with on the papers without oral argument and with finality on dismissal of the application. Applications run at about 25-30 per week currently and are dealt with by the Administrative Court generally within a week. There is at present an overlap with Judicial Review for older cases and this is a more time-consuming process than Statutory Review. But the justification for this unprecedented ouster clause has not been tested against any long-run experience of Statutory Review as an expeditious, paper-based system of judicial oversight.

Sir Duncan Ouseley

President

Immigration Appeal Tribunal

19 December2003

Annex A

NEW LEGISLATIVE PROPOSALS ON ASYLUM REFORM: RESPONSE OF THE IMMIGRATION APPEAL TRIBUNAL

INTRODUCTION

  1.  In responding to the Ministers' letter, we wish to make it clear that we do not seek to persuade the Government either to abolish or to retain any features of the present decision and appellate system. We have only two concerns. The first is that whatever decision is made as to the future of the system, it should be made on a basis of proper and accurate evidence. The second is that a change in the system should not create unrealistic expectations as to the speed or quality of judicial output. The comments which we make are derived from our judicial experience of the systems as they operate at present and our expertise in the areas of law which they involve. We aim solely to inform and to assist the process of the development of policy which is now being undertaken by the Government.

  2.  As members of the judiciary we have a prime concern not to enter the political arena. That is why we have begun this response in the way that we have. But we share other difficulties with all other respondents. The first of these difficulties is the obvious one that it is hard to make a detailed response to proposals expressed at such a level of generality. In what follows we have done our best to envisage what might be proposed and when we cite individual matters we have to do so on a basis of pure supposition as to what will in fact be relevant to any specific proposals. Secondly, nobody yet has any real knowledge of the operation of the system in existence at present. The proposed changes will be the third major set of reforms in this issue in the last few years. The most recent predecessor is the Nationality, Immigration & Asylum Act 2002. From the point of view of the judicial process, one of the most important reforms introduced by that Act is the introduction of a speedy and inexpensive process of Statutory Review of refusals of permission to appeal to the Immigration Appeal Tribunal. Because of the way in which the provisions were brought into effect (by Statutory Instrument under the hand of a Home Office Minister) the outcome of those reforms is largely unknown. They apply in general only to cases where the decision of the adjudicator was after 9th June 2003, and, as a result, at present there is a mixture of Judicial Review and reviews under the new statutory process within the system. First indications of the operation of the new process are encouraging: but nobody can say any more than that. Even in other areas of recent reform, the available information is severely limited. The "non-suspensive appeals" process, under which certain Claimants are removed from the United Kingdom and can appeal only from abroad, has been in operation for a whole year. We understand, however, that the number of individuals who have been removed under these procedures is still only about, or rather under, 1,000 in total. (To put that into context, it would appear that the total number of removals by this system for the year in which it has been in operation is about the same as the number of cases received by the Immigration Appeal Tribunal in every week.) The Non-Suspensive Appeals process has generated a not insignificant number of Judicial Reviews, to which need to be added the cases where the threat of Judicial Review has caused the Secretary of State to revoke the certificate under which claims were assigned to the non-suspensive appeal process. Similarly, a "super fast track" system has been in operation for a number of months. The judicial process has been efficient and very speedy. But the numbers have been small, and it is very far from clear that, as a whole, this system has led to an increase in the proportion of unsuccessful claimants who are speedily removed from the United Kingdom.

  3.  For the foregoing reasons we make our observations with judicial caution, but largely in the dark.

ASYLUM AND IMMIGRATION APPEALS SYSTEM

  4.  We naturally share concerns about the abuse of any judicial system, particularly one in which we are involved. We also share the desire to have a system which is as fast and firm and final as possible, provided that fairness and quality are not compromised. There is in our view no reason at all to suppose that the present system is either the only system or the best. If the present members of the Immigration Appeal Tribunal judiciary are to be a part of the new system, we can say without reservation that we shall devote ourselves to achieving those ends.

  5.  We have to say, however, that we are surprised to note the justifications for change that are cited in the proposal. Those justifications are limited to the following: (a) "a single tier would simplify the appeals system and reduce the risk of people seeking to play the system by making unfounded appeals to frustrate the final resolution of their case"; and (b) [the current appeals system] "provides people with opportunities to abuse the system in order to cause delay or abscond".

  6. It may assist thinking about the way forward if we offer some figures. Because we are in a period of change, the figures are bound to be approximate but we believe that as approximations they are entirely accurate.

      (i)  The Tribunal receives rather under 1,000 applications for permission to appeal in every week.

      (ii)  Rather over 10% of those applications are made by the Government. The number of Government applications has risen in recent years and there is a perception that it is still rising.

      (iii)  About 2/3 of applications for permission to appeal are refused. That so far as the statutory Appellate process is concerned, is the end of the matter for those cases.

  The grant of permission to appeal depends on a reasonable argument relating to a defect of quality in the adjudicator's decision. We do not feel able to comment on the motive of the applicant in cases where there is such a defect, whether the defect is alleged by the claimant or by the Government. But cases where there is no defect, and where the claimant is seeking only to prolong a stay or defer a conclusion, are likely to be dealt with swiftly and summarily by the refusal of permission to appeal. Until the introduction of the provisions in the 2002 Act to which we have already made reference, there might have been Judicial Review of that refusal—an expensive and time-consuming process which, for reasons connected to the development of the Judicial Review jurisdiction, was likely to be conducted without specific reference to the underlying merits of the case. That risk should, to all intents and purposes, have now ceased.

  7.  The time limits are short. A person who makes an application for permission to appeal to the Tribunal has to do so within 10 days (or five days if he is in custody). We think it is unlikely in the extreme that it is that process which enables those with no colourable ground of appeal to delay or abscond: certainly it does not enable anyone to delay substantially the outcome of their case. On the other hand, there are very often substantial delays between initial claim and interview, and between interview and decision by the Secretary of State. We understand that there are still very substantial delays following judicial rejection of a claim, before the unsuccessful claimant is removed. Indeed, although removal figures have been historically somewhat difficult to obtain, it is clear that even now only a small proportion of unsuccessful claimants are removed. The Tribunal alone refuses permission to appeal to over 500 claimants a week on average, so finally determining the appellate processes in their case. So even this process, without taking into account substantive appeals to the Tribunal, adjudicator determinations that are not appealed, and Home Office decisions that are not appealed, generates over 2,000 removable claimants, plus their families, in each calendar month. In short, although the abuses referred to in the Ministers' letter are abuses that genuinely do exist, they are not to any great extent the product of the present appellate system. We emphasise that we say this not in an attempt to preserve that system, but because the way forward must be properly informed.

  8.  We turn now to our principal concern as judges: that no unrealistic expectations are engendered by the current proposal. We have to say that we think that it is unlikely in the extreme that abolition of a tier of appeal can, without more, deliver both increases in end-to-end speed and improvements in the quality of judicial decisions. Under the current system, cases are dealt with speedy and economically when they come before adjudicators: that is appropriate because any concerns about quality can be the subject of review by the Tribunal. That review does not take place unless it is sought by one party or the other and (as we have said) the party seeking review will make no progress unless there is an arguable defect in the adjudicator's determination. Without a second tier two things are clear. The first is that the single judge will not be able to rely on any errors of law or procedure or approach being put right elsewhere. Secondly, all decisions will need to be liable to intensive review, whether or not the parties would have sought it, and without any assistance from the parties indicating alleged defects in the decision. If quality is to be maintained, speed is certain to suffer. If speed (that is to say throughput in judicial decisions in the vast majority of cases) is to be maintained, there will be no opportunity for the improvements in quality whose necessity arises from the removal of the possibility of correction of errors by the upper tier.

  9.  We do not think these difficulties are insuperable but we emphasise the phrase which we used in paragraph 8 above that because of them the introduction of a single tier appellate system without more cannot be expected to deliver improvements in both speed and quality. It may well be suggested that improvements in training will assist in increasing the quality of decisions by the single judges. That may well be so, but such a proposal needs to be seen in the following context. Over the last few years the provision of training for adjudicators has increased enormously. A survey conducted on behalf of the Judicial Studies Board nearly one year ago showed that the budget for training adjudicators in the year then current was £1,159,660, giving an average per capita expenditure of £1,864. It is not entirely easy to make comparisons, because of the difference in balance in various Tribunals between legal and lay members and between full and part-time members. We therefore do not seek to draw any direct comparison with the expenditure on training in other Tribunals. What is clear is that immigration adjudicators have, in the several years past, had the benefit of a considerable amount of training. There is also a developed appraisal system in force for all part-time adjudicators. It is unlikely that the effect of training can be very greatly increased: the possibility of further training cannot, we think, properly be invoked as a panacea for quality defects in decisions by the single judge. Our own experience does suggest that rationality and quality in appellate decision making in the Appellate Authority might well be improved if the Home Office (who make the original decision) wrote decision letters that were clearer in indicating issues of contest between the claimant and the Government, and if a representative of the Home Office always attended hearings in cases where the Home Office continued to contest the appellant's claim. So far as the latter point is concerned, we understand that some 30% of appeals before adjudicators are not attended by Presenting Officers. We regard the practice revealed by that figure as entirely unacceptable. We understand also that recent research commissioned, sponsored and approved by the Home Office indicates that letters of refusal are rarely at fault in the way we indicated at the beginning of this paragraph. We are bound to say that that is not our experience. The implication of the Home Office's conclusion is that no improvement in letters of refusal is necessary. We find that rather depressing.

  10.  If a single tier system is to work it will be necessary to concentrate effort and funds on preventing error. But it is a tall order in which judges are responsible for ensuring the correctness and finality of every decision without any assistance from the parties and whatever powers are given to judges by statute they cannot do the impossible.

  11.  It will of course be necessary to secure the complete independence of a single tier Tribunal from any link, actual or perceived, formal or informal, with the Executive who make the decisions against whom the appeal is brought and who are a party to every appeal. Exactly how that is secured in terms of presidency and so on is a matter of policy. There is one particular feature of the need for independence to which we should draw attention. At present, an appeal is made by serving a notice of appeal on the relevant Government officer, who has a duty to transmit it to the Appellate Authority for determination. Intake of cases to the Appellate Authority is governed by an agreement between the Chief Adjudicator and the Home Office. Under this agreement, the Chief Adjudicator fixes the number of cases which can be disposed of by adjudicators in any month, and the Home Office sends that number of cases to the Chief adjudicator for determination. A considerable backlog has built up in recent years, although it is now beginning to be reduced again. The number currently in the backlog is irrelevant for present purposes. Three features of the arrangement are, however, of some importance. The first is that, without any second tier with the jurisdiction to investigate any claim of injustice it may be necessary to enquire whether an arrangement of the sort that has been entered into in the past without objection is in principle one which should be allowed at all. The second feature is that, whenever there is a backlog, the arrangement allows the Home Office to select which cases go forward for determination by adjudicators. It is well known that in recent years the Home Office have selected in-country appeals in asylum and immigration cases to the exclusion of out-of-country entry clearance cases. As a result, the latter have often had to wait an unacceptable time. The Appellants in such cases have their access to the independent adjudicator delayed by the respondent acting within the terms of the agreement that he has with the Chief Adjudicator. We do not think that that can be right. On the other hand—and this is the third feature—it is the existence of the agreement which has enabled adjudicator throughput to be so accurately planned in previous years. The Tribunal, which is genuinely independent of the Executive, and can have no such agreement, is, in terms of workload, constantly at the mercy of numbers. The provision for increased numbers can only be reactive. If the present agreement between the Appellate Authority and the Home Office is to cease (as, for a single tier to have credibility, we think it must) then the single tier will itself be one which is at the mercy of numbers of appellants from time to time and the neat planning which has been possible in the past will cease to be possible in the future. That has implications for speed of decision. Under the present arrangements, backlogs may be built up amongst cases waiting for Home Office decision, or amongst cases waiting to be sent to the Appellate Authority. Backlogs also build up amongst cases waiting for Tribunal hearings. There is no excuse for any backlogs at adjudicator level and there rarely are any. Without the agreement, the single tier will immediately become responsible for the whole of the second of these backlogs. That will pose acute problems for the management and funding of the single tier, as well as for the judicial appointments process.

  12.  The last point we make under this head is one of importance stretching well beyond the limited field of immigration and asylum appeals. The proposals in this area are being carried forward at the same time as the Government promotes, in its Tribunals for Users project, a unified Tribunal system with a clearly independent Tribunal judiciary. The original proposals for that system included a second tier of appeal for all Tribunals—even those that did not currently have one. We note the assertion that immigration is different, particularly because it is a field in which in some cases there is an incentive to delay the making of a final decision.

  13.  We must, however, emphasise that in other cases the consequences of a wrong decision may be disastrous. We shall work to ensure that no such wrong decision is ever made. But that has implications for the Tribunal system as a whole. If a single tier can be made to work in this most sensitive of areas where the consequences of a wrong decision are so extreme, it would appear that the current proposals may act as a pilot for single tier Tribunals in areas such as social security and possibly even employment. If one tier will work, why waste money on two?

UNDOCUMENTED PASSENGERS

  14.  The concern about passengers arriving without documentation is one which we share: it is a difficulty in the administration of immigration and asylum claims systems throughout the world. From the point of view of the administration of justice, we are glad (and somewhat surprised) to note that so far as French and Belgian ports are concerned, the arrival of undocumented passengers is already being prevented. Nevertheless, we would not dispute the assertion that much more needs to be done, and we would welcome proposals such as that relating to the recording of passengers' documents on embarkation at airports abroad.

  15.  The absence of documentation poses three particular difficulties which are shared by the judicial and the administrative processes. First, a person who arrives without documents may be able to assert a false nationality. This is crucial in the case of claimants to refugee status, because such status has to be determined by reference to the individual claimant's nationality. Much energy is devoted to deciding whether undocumented Pushtu speakers are of Pakistani or Afghan nationality, similar difficulties arise with Kenyans who claim to be Somali; Nigerians may claim to be Liberian, and it is sometimes stated that the majority of undocumented Tamils claiming to be from Sri Lanka are in fact from Southern Indian. Secondly, the absence of a passport may make it difficult to establish the claimant's history, particularly where that history is said to involve a fear of persecution. Further, it may make it difficult to establish how old the claimant is and what his family relationships are. These are all matters which have an impact on the credibility of his claim and the way it is treated. Thirdly, the absence of documentation may make it difficult to remove the claimant if his claim is unsuccessful. He may genuinely come from a country which resists the return of undocumented nationals; if his country of nationality is itself doubtful, it may be difficult to return him anywhere.

  16.  These difficulties are all well known; all of them operate in favour of spurious claims; all of them are no doubt exploited by spurious claimants and their agents. It is, however, always necessary to remember that some claimants are not spurious and the purpose of the system is primarily to protect the real claimants, not primarily to detect the spurious ones.

  17.  The Government's proposals are under two heads: first, a formal requirement to take lack of documentation into account when assessing credibility, and secondly, the introduction of criminal offences.

  18. So far as concerns the first of these, we have to say that we do not entirely understand it. An adjudicator (or the Tribunal) must, in assessing credibility, take into account all available material. To do otherwise would be to err in law. A claimant who appears not to be telling the truth about his journey may well not be believed when he embarks on more controversial and difficult areas of his account.

  19.  We assume that the proposal is to introduce a formal requirement that the credibility of a person arriving without documents should be doubted. In a broad sense, that would, as we have explained, add nothing to the present situation so far as the determination of the claim is concerned. We do, however, envisage a difficulty arising subsequently. A formal or obligatory rejection of the claimant's credibility in these circumstances would run the risk of destroying any possibility of his removal from the United Kingdom. This is because his assertion of nationality could not be relied upon. As a result, we would urge caution in adopting anything other than (if thought appropriate) a statement of the present procedure.

  20. We have considerably more concerns about the proposals to introduce criminal offences in this area. Article 31 of the Refugee Convention reads as follows:

ARTICLE 31: REFUGEES UNLAWFULLY IN THE COUNTRY OF REFUGE

  "The Contracting States shall not impose penalties, on account of their illegal entry or presence, on refugees who, coming directly from a territory where their life or freedom was threatened in the sense of Article 1, enter or are present in their territory without authorisation, provided they present themselves without delay to the authorities and show good cause for their illegal entry or presence.

  The Contracting States shall not apply to the movements of such refugees restrictions other than those which are necessary and such restrictions shall only be applied until their status in the country is regularised or they obtain admission into another country. The Contracting States shall allow such refugees a reasonable period and all the necessary facilities to obtain admission into another country."

  21.  Suppose a person comes directly from an overseas country and presents himself at Heathrow without documents and claims asylum. As we understand it, the illegality of his position at that point lies solely in his lack of documents. The impact of Article 31 is this: if he is a refugee, he cannot be penalised for the lack of documents. (If he is not a refugee, of course, neither Article 31 nor any other part of the Convention protects or applies to him.) It follows that in the case of an offence of arriving without documents, there would either have to be a "refugee defence", or proceedings could not be commenced until after refugee status determination was concluded. The first option would pose considerable difficulties for formulation, relating in particular to the standard (and perhaps the burden) of proof. The second option raises difficulties which would also arise in relation to the second offence, that of "failing to co-operate with re-documentation". These are broadly speaking difficulties of policy. We appreciate that (unlike the meaning and operation of Article 31) this is not a matter which we can claim to be within our expertise, but we are nevertheless entitled to express our puzzlement. If the individual in question is not a refugee, he should normally be removed. As we understand it, the proposal is that if he arrived undocumented, or if he resists re-documentation, he should be charged with a criminal offence and, no doubt, if convicted will be penalised. What form is the penalty to take? No indication is given in the proposal. It seems highly unlikely that fines will be enforceable or that community penalties will be appropriate. On the other hand, an immediate sentence of imprisonment may seem rather extreme for these offences. We do understand that the possibility of imprisonment will enable detention in circumstances where an unremovable unsuccessful claimant's detention would otherwise contravene Article 3 of the European Convention on Human Rights. But unless the legislation is to be drafted in such a way that an immediate sentence of imprisonment is the only available penalty, the sentencing court would have to be satisfied that the offence itself was of such a serious nature that only imprisonment could be justified.

  22.  Although it is clearly open to the Government to take a severe view of those arriving without documentation (provided that they are not refugees) or hindering re-documentation, the proposal to create criminal offences appears more likely to delay removal and increase cost than to promote removal and reduce cost.

SAFE THIRD COUNTRY

  23.  The United Kingdom's obligation under the European Convention on Human Rights is not to do any act which will expose a person presently within the jurisdiction of the United Kingdom to a real risk of treatment contrary to Article 3 of the Convention. As we understand it, the right under Article 3 is a right which individuals have separately and are entitled to assert individually. The mere fact that the United Kingdom Government thinks (the wording of the letter is "where we are satisfied") that the individual will not be treated in breach of his human rights is not, we would have thought, sufficient to deprive him of them. If section 3 of the Human Rights Act 1998 is to remain in force, no public authority (including Courts and Tribunals, as well as Government officials) can make, affirm or allow a decision which breaches the Scheduled human rights. However good a country's human rights record may be, it is difficult to see that there could not be scope for an individual to show that he or she is, individually, at risk. No doubt provisions could properly be adopted, which would have the effect of preventing spurious points from being raised in individual cases. We have grave doubts, however, whether it can be lawful (either under the Convention or the 1998 Act) to remove the right to invoke Article 3.

RESTRICTING FAMILY SUPPORT

  24.  We have no comments on the proposals under this head, which fall outside our areas of experience and expertise.

THE OFFICE OF THE IMMIGRATION SERVICES COMMISSIONER

  25. We would warmly welcome any effective proposals to raise the standard of legal advice and representation in the immigration and asylum sphere. The difficulty to which the Commissioner refers in his last annual report arises in part from his dual role as licensing authority and enforcer: not unreasonably, he has attempted to bring unlicensed practitioners "within the fold", rather than turn immediately to the criminal law. There have been very few prosecutions under Part 5 of the 1999 Act despite what appears to us to be widespread flouting of it. As the proposals imply, there are also ways in which firms of solicitors and others can enable practitioners (whether reputable or not) to escape the Commissioner's surveillance.

  26.  We are content with the proposal that the Commissioner should be given greater powers, although we note that unless he has sufficient staff at a sufficiently high grade he is unlikely to be able to use them, which will lead to further frustration. We wonder whether the criminal penalties are sufficiently high: after all, the operation of an unlicensed practice is the gateway to frauds on the judicial system and on clients, who themselves are the victims of what in many cases amounts to an abuse of a position of informal trust.

  27.  Much more needs to be done also to supervise practitioners' conduct which is not unlicensed but is incompetent. Our own experience is that cases which do often appear to be unmeritorious are delayed by being incompetently dealt with. The higher courts appear to be developing a jurisprudence which moves away (in asylum cases at least) from the principle that a party's representative acts on his behalf. As a result, we see many cases where the claim is that time should be extended, or the appeal process should be started again, or leave to appeal should be granted, solely because a previous representative (or sometimes the present representative) failed to do what he should have done, or failed to do it in the proper time. While the courts regularly allow that type of argument to succeed, a truly efficient judicial process is impossible. Further, although it is not a matter specifically for us, we are concerned at the fact that it appears to be possible to draw public funding for admittedly incompetent legal work, and for further public funding to be available, sometimes to the same firm, to put it right.

  28.  One difficulty, which is alluded to in the Government's proposals, is the distribution of supervision amongst the DPB's as well as the Commissioner. But, in our view, many of the concerns about practitioners who are not unlicensed are, in principle, financial concerns. It is too easy to obtain money either from clients or from community legal services funding for bad work and for work which fails to promote a speedy conclusion to a claimant's claim. The only solution to this widespread and growing problem is likely to be found in a major increase in the practice of recovery and repayment of fees charged for such work.

  29.  In brief, we agree that the Commissioner's powers need to be extended so that he has an effective jurisdiction over the whole of legal practice insofar as it relates to immigration and asylum: we do not think such a jurisdiction will be effective unless there are sufficient powers to order penalties or restitution as well as those related to authorisation and regulation.

Sir Duncan Ouseley

17 November 2003





 
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