The office of Lord Chancellor - Constitution Committee Contents


CHAPTER 2: THE RULE OF LAW AND JUDICIAL INDEPENDENCE


15.  As we stated in our 2007 report, "the role of Lord Chancellor is of central importance to the maintenance of judicial independence and the rule of law".[17] The Lord Chancellor's duties and responsibilities with respect to the rule of law and judicial independence are set out in sections 1 and 3 of the Constitutional Reform Act 2005, and combined in the oath of office, in section 17 (see Box 1). The oath is unique to the Lord Chancellor and is made in addition to the privy councillor's oath of allegiance taken by other Cabinet Ministers.

What is the rule of law?

16.  The Constitutional Reform Act 2005 does not define the "existing constitutional principle of the rule of law", nor "the Lord Chancellor's existing constitutional role in relation to that principle". If the officeholder is to carry out that role, he or she must have a sense of what both the principle and the role mean in practice.

17.  Yet the rule of law "is not readily defined or readily understood."[18] Not all lawyers will agree on what the rule of law entails; differences of opinion will undoubtedly also occur between different Lord Chancellors. As this Committee has previously stated, "the rule of law remains a complex and in some respects uncertain concept".[19]

18.  Mr Grayling told us that the rule of law meant "an independent justice system, free from interference from outside, free from corruption, free from influence, that is respected and treated as independent by those in Government and those in Parliament, and that ultimately … we respect the ability of the courts and the responsibility of the courts to take decisions according to their best judgment about what the law of the land requires".[20]

19.  That judicial independence is a core feature of the rule of law is not contested. Likewise, compliance with the law as it stands is a key element, ensuring a stable and predictable, rather than arbitrary, exercise of powers. These two elements alone, however, comprise too narrow a definition. The rule of law goes beyond judicial independence and compliance with extant law, particularly as regards the Government which can, through Parliament, change the law.

Box 1: Key provisions of the Constitutional Reform Act 2005
Section 1, 'The rule of law', states:

"This Act does not adversely affect—

(a)  the existing constitutional principle of the rule of law, or

(b)  the Lord Chancellor's existing constitutional role in relation to that principle."

Section 3, 'Guarantee of continued judicial independence', includes the following provisions:

(1)  "The Lord Chancellor, other Ministers of the Crown and all with responsibility for matters relating to the judiciary or otherwise to the administration of justice must uphold the continued independence of the judiciary …

(4)  The following particular duties are imposed for the purpose of upholding that independence.

(5)  The Lord Chancellor and other Ministers of the Crown must not seek to influence particular judicial decisions through any special access to the judiciary.

(6)  The Lord Chancellor must have regard to—

(a)  the need to defend that independence;

(b)  the need for the judiciary to have the support necessary to enable them to exercise their functions;

(c)  the need for the public interest in regard to matters relating to the judiciary or otherwise to the administration of justice to be properly represented in decisions affecting those matters."

The Lord Chancellor's oath, inserted into the Promissory Oaths Act 1868 by section 17(2) of the Constitutional Reform Act, is:

"I, , do swear that in the office of Lord High Chancellor of Great Britain I will respect the rule of law, defend the independence of the judiciary and discharge my duty to ensure the provision of resources for the efficient and effective support of the courts for which I am responsible. So help me God."

20.  During our 2007 inquiry into relations between the executive, the judiciary and Parliament, Professor Paul Craig, Professor of English Law at the University of Oxford, set out the complexity of the principle of the rule of law. In our report we summarised and quoted from his submission as follows:

    "First, 'a core idea of the rule of law … is that the government must be able to point to some basis for its actions that is regarded as valid by the relevant legal system'. This is, however, too limited so, secondly, the rule of law requires that legal rules 'should be capable of guiding one's conduct in order that one can plan one's life'. In other words, legal rules should meet a variety of criteria, including that they should be prospective, not retrospective; that they should be relatively stable; and that there should be an independent judiciary. … some commentators regard these 'formal' attributes of law to be necessary but not sufficient. So a third meaning of the rule of law held by some is that it encompasses substantive rights, thought to be fundamental, which can be 'used to evaluate the quality of the laws produced by the legislature and the courts'."[21]

21.  The late Lord Bingham of Cornhill, Lord Chief Justice from 1996-2000 and senior Law Lord from 2000-08, set out eight principles of the rule of law in his book on the subject; these are the most recent widely accepted articulation of it (see Box 2). When we asked Former Attorneys General the Rt Hon. Dominic Grieve QC MP and the Rt Hon. the Baroness Scotland of Asthal QC for their view, they endorsed the Bingham principles, as did former Lord Chancellor Mr Straw.[22]

Box 2: Lord Bingham of Cornhill's eight principles of the rule of law
1.  The Accessibility of the Law: The law must be accessible and so far as possible intelligible, clear and predictable.

2.  Law not Discretion: Questions of legal right and liability should ordinarily be resolved by application of the law and not the exercise of discretion.

3.  Equality before the Law: The laws of the land should apply equally to all, save to the extent that objective differences justify differentiation.

4.  The Exercise of Power: Ministers and public officers at all levels must exercise the powers conferred on them in good faith, fairly, for the purpose for which the powers were conferred, without exceeding the limits of such powers and not unreasonably.

5.  Human Rights: The law must afford adequate protection of fundamental human rights.

6.  Dispute Resolution: Means must be provided for resolving, without prohibitive cost or inordinate delay, bona fide civil disputes which the parties themselves are unable to resolve.

7.  A Fair Trial: Adjudicative procedures provided by the state should be fair.

8.  The Rule of Law in the International Legal Order: The rule of law requires compliance by the state with its obligations in international law as in national law.

Source: Tom Bingham, The Rule of Law (Allen Lane, London, 2010)

22.  Lord Bingham of Cornhill argued in his book that observance of current statute law was not necessarily the same as governing in accordance with the rule of law. He stated that "a state which savagely represses or persecutes sections of its people cannot in my view be regarded as observing the rule of law" even if these transgressions were "the subject of detailed laws duly enacted and scrupulously observed."[23]

23.  In many countries, the principles underlying the rule of law are provided by a written constitution. In the UK, domestic statutes such as the English Bill of Rights and Scottish Claim of Right of 1689 and international obligations such as the European Convention on Human Rights[24] play a part, but the roots of the rule of law lie in common law principles.[25] Lord Falconer told this Committee during an earlier inquiry that "there are certain constitutional principles which if Parliament sought to offend would be contrary to the rule of law as well. To take an extreme example simply to demonstrate the point, if Parliament sought to abolish all elections that would be so contrary to our constitutional principles that that would seem to me to be contrary to the rule of law."[26] This has now been recognised in case law at the highest level. In AXA General Insurance v Lord Advocate in 2011, the Rt Hon. the Lord Hope of Craighead, then Deputy President of the Supreme Court, said in a powerful statement that "the rule of law requires that judges must retain the power to insist that legislation of that extreme kind is not law which the courts will recognise".[27]

24.  It is particularly important that there is an understanding in Government of this wider conception of the rule of law, including common law. This provides a constitutional constraint on their power, through Parliament, to change laws in any ways they see fit. This is an important balance in a country where the Government usually has a majority in the House of Commons and can, through the use of the Parliament Acts, legislate without the consent of Parliament as a whole.[28] As Lord Bingham of Cornhill noted: "it is on the observance of the rule of law that the quality of government depends."[29]

25.  It is clear to us that the rule of law goes beyond "simply … complying with the law"[30] as set out in statute. We are reluctant to attempt to define the rule of law, although we note that Lord Bingham of Cornhill's principles are a useful articulation of core constitutional principles. We invite the Government to agree that the rule of law extends beyond judicial independence and compliance with domestic and international law. It includes the tenet that the Government should seek to govern in accordance with constitutional principles, as well as the letter of the law.

The Lord Chancellor's responsibilities in relation to the rule of law

JUDICIAL INDEPENDENCE

26.  The independence of the judiciary is a core element of the rule of law and of the United Kingdom constitution more broadly. All ministers are required, under section 3(1) of the Constitutional Reform Act to "uphold the continued independence of the judiciary." The Lord Chancellor has an additional duty, expressed in the oath of office, to "defend" that independence. As the rest of section 3 sets out (see Box 1), this defence includes preventing undue Government influence on judicial decisions (including undue ministerial criticism of judicial decisions), ensuring adequate resources for the judiciary to exercise their functions and having regard to the public interest.

27.  Former Lord Chief Justice and President of the Supreme Court the Rt Hon. the Lord Phillips of Worth Matravers told us that "judicial independence describes the position of a judge upon whom no outside influences are brought to bear, direct or indirect, in relation to the performance of his judicial duties". Former Lord Chancellor the Rt Hon. the Lord Mackay of Clashfern added that it "also implies respect for the authority of the judge exercising his responsibility as a judge in court. That respect has to be both in word and in action … the idea of respecting independence also carries with it the responsibility of carrying out the judgment [of both domestic and international courts], subject to appeal."[31]

28.  The requirement for the Lord Chancellor to have regard to the public interest reflects a tension between judicial independence and the need for proper scrutiny. It also requires efficient use of public funds in supporting the justice system, which highlights the need for judicial independence to be balanced with accountability. As Professor Andrew Le Sueur, Professor of Constitutional Justice at the University of Essex, told us, "On the one hand you want public accountability for the expenditure of public money and public interest in the administration of justice, while on the other hand you want a system that acknowledges the importance of judicial independence and the autonomy of the judiciary."[32] The public interest provision, Graham Gee, Senior Lecturer in Law at the University of Birmingham, told us, allows the Lord Chancellor "to challenge the senior judiciary on the robustness of the arguments that may be made with regard to judicial independence", for example on grounds of value for money and efficiency, or "to disentangle legitimate concerns about judicial independence from more spurious claims driven by judicial self-interest".[33]

29.  The result is a Lord Chancellor as the minister responsible for the judiciary, with an "intricate network of institutions" designed to maintain the balance of these competing demands.[34] This role entails a number of duties, powers and responsibilities as set out in Chapter 1, many of them performed in conjunction with the Lord Chief Justice as the head of the judiciary.

30.  The Lord Chancellor's position is often described as that of a 'link' or 'buffer' between the judiciary and the executive.[35] While the pre-reform Lord Chancellor, as a judge and a member of the Cabinet, had a foot in each camp, the post-reform officeholder is likely to maintain less close but still frequent contact with the judiciary. However, the Lord Chancellor remains a "conduit" for the concerns of the judiciary and has regular meetings with the senior judiciary.[36]

31.  It is clear from the evidence of the current Lord Chancellor and of the Ministry of Justice, as well as of former Lord Chancellors, that the importance of judicial independence and the Lord Chancellor's central role in upholding it are well understood in Government.[37]

32.  Judicial independence is a vital element of the United Kingdom's uncodified constitution. That its defence is a core part of the Lord Chancellor's role is uncontested. The Lord Chancellor must ensure that the judiciary are free to act without undue pressure from the executive, that the executive respects the outcome of court judgments, and that the legal system is adequately resourced.

BEYOND JUDICIAL INDEPENDENCE

33.  Like the precise meaning of the rule of law, the Lord Chancellor's statutory duty in respect of it is contested and ill-defined. Section 1 of the Constitutional Reform Act simply states that the "existing constitutional principle" of the rule of law and the Lord Chancellor's "existing constitutional role" are not "adversely affected" by the Act.[38] A key element of this role is defending the independence of the judiciary and in this respect the Lord Chancellor's duties are clear; they are articulated in Section 3 of the Act. Beyond a defence of judicial independence, however, it is unclear what is covered by the Lord Chancellor's duty regarding the rule of law.

34.  Mr Grayling told us that he had "a stewardship role over the judiciary and over the justice system." Beyond that, he regarded the "task of upholding the rule of law as not being something that simply resides with the Lord Chancellor," but with every minister and parliamentarian.[39] He argued that under the Ministerial Code "it is absolutely fundamental on any one of Her Majesty's Ministers to uphold the rule of law".[40] The Code states "the overarching duty on [all] Ministers to comply with the law including international law and treaty obligations".[41]

35.  Mr Grayling's description of his role differs from that of pre-reform Lord Chancellors, who acted as what Dr Patrick O'Brien, Research Associate at University College London, called a "special constitutional guardian of the principles of judicial independence and the rule of law within cabinet."[42] Sir Hayden Phillips stated that debates in Parliament during the passage of the Constitutional Reform Act reflected "a view that the Lord Chancellor had a special responsibility in Government to encourage and underpin the rule of law, to uphold the independence of the judiciary and to be a focus for the resolution of constitutional issues more broadly."[43] It was this role that the Constitutional Reform Act sought to maintain in section 1.

36.  Yet some witnesses felt that the post has already evolved to the point where the Lord Chancellor could no longer claim any such role. Dr O'Brien told us that "it seems clear that post-2003 Lord Chancellors are not 'special' guardians in this sense. Since 2003 the office has gradually come to mean little more than the name that is given to the Secretary of State for Justice when he exercises his functions in relation to courts and the judiciary".[44] As a result, he argued that the Lord Chancellor's role in relation to the rule of law was not, nor should be, unique:

    "It is … possible that the continuing existence of the Lord Chancellor distracts ministers from their own responsibility to respect judicial independence and the rule of law … Making the duty to defend judicial independence and the rule of law common to all ministers, through amendments to the ministerial code or to section 3 of the Constitutional Reform Act 2005, would enhance general awareness amongst ministers of the importance of these principles."[45]

37.  Similarly, Colin Murray, Senior Lecturer in Law at Newcastle University, told us that placing a specific duty on the Lord Chancellor was not effective. He suggested that the rule of law would be better served by placing increased emphasis on the existing ministerial duty to comply with the law and uphold judicial independence, to inculcate a wider appreciation of the rule of law.[46] Mr Grayling's predecessor as Lord Chancellor, Mr Clarke, stated that while he hoped he had upheld the rule of law while in office, he had never felt that a "statutory duty was compelling me to do this".[47]

38.  The majority of our witnesses, however, felt that notwithstanding the changes to the role, the Lord Chancellor still had a particular duty to the rule of law which went beyond an obligation under the Ministerial Code to "comply with the law". Former Attorney General Mr Grieve stated that "if any Lord Chancellor were to ask me whether his oath of office is merely compliance with the ministerial code, I would tell him that I think it goes beyond that".[48] Lord Falconer firmly disagreed with Mr Grayling's assertion that the Lord Chancellor did not have a wider rule of law guardianship role beyond that of other ministers. He argued that the Lord Chancellor had a "special role" to protect the rule of law, and that to think otherwise was "to undermine what the Constitutional Reform Act had sought to do."[49]

39.  Sir Thomas Legg QC, former Permanent Secretary of the Lord Chancellor's Department, told us that "of course, every person holding public office in our democracy has a responsibility to uphold the rule of law. Of course that must be right. But … some Ministers and officials perhaps have a greater responsibility, because that is an inevitable result of the distribution of functions."[50]

40.  The Law Officers are clearly among those who have a greater responsibility to uphold the rule of law. We discuss their role in more detail later in this chapter (paragraphs 69-77). While it is clear that they have a role supporting the Lord Chancellor in his duty, they do not duplicate or supplant it.

41.  The Constitutional Reform Act explicitly refers to the Lord Chancellor's "existing constitutional role" regarding the rule of law. It does not clarify what this duty is, but in the oath of office the Lord Chancellor promises specifically to "respect the rule of law".

42.  All ministers have a duty, reflected in the Ministerial Code, to comply with the law. The Lord Chancellor continues to have an additional responsibility in this regard.

THE SCOPE OF THE LORD CHANCELLOR'S DUTY TO THE RULE OF LAW

43.  Our witnesses were divided as to whether the Lord Chancellor's oath applied simply to his dealings with the justice system in the discharge of his departmental duties, or whether it required him to play a wider role, as a guardian of the rule of law across Government.

44.  As we have noted, the current Lord Chancellor does not believe that he has a wider guardianship role in Government beyond upholding the independence of the judiciary and the integrity of the justice system.[51] Mr Grieve said that the Lord Chancellor's duty was currently considered to relate to his or her department, rather than an overarching guardianship role. Whereas the pre-reform Lord Chancellors "might have been a second focus within Cabinet for general guidance [on the rule of law], now it is much more specific to his own departmental responsibilities but it is going to vary from one Lord Chancellor to another according to their interests and according, probably, to their legal qualifications."[52] The implication is that it is up to individual Lord Chancellors, depending on their interests and expertise, to decide the extent to which they pursue their duty in relation to the rule of law beyond their department.

45.  There are certainly aspects of the rule of law that are centred upon the Ministry of Justice. The public interest in the administration of justice, set out in section 3(6)(c) of the Constitutional Reform Act, includes adequate resourcing of the justice system, having regard both to the use of public funds and to access to justice. This is an important part of the rule of law: as Lord Bingham's principle puts it (see Box 2), dispute resolution through the courts should be available "without prohibitive cost or inordinate delay", where such resolution is necessary. The Lord Chancellor's responsibility for legal aid means that he or she will have to take significant decisions about the funding of the justice system that could affect access to justice.[53]

46.  Other witnesses were clear that the Lord Chancellor's duty should not be restricted to the work or interests of his or her department. Sir Hayden Phillips said that the office of Lord Chancellor was retained "to provide singular leadership in relation to the rule of law, the protection of judicial independence, and in taking responsibility for constitutional issues in the broadest sense".[54] Although the wording of the Constitutional Reform Act is not clear in this respect, Lord Falconer's assertion "there was absolutely no doubt"[55] that this wider function was intended by Parliament is borne out by the House of Commons Constitutional Affairs Committee's assessment that the Lord Chancellor was marked out as distinct from other ministers and "will continue to be the 'constitutional conscience' of Government", in respect of both judicial independence and the rule of law.[56]

47.  Dr Gabrielle Appleby, Deputy Director of the Public Law and Policy Research Unit at the University of Adelaide, described the Lord Chancellor's obligations to the rule of law "as 'responsibilities' to warn and advise on how proposed policies and actions may impact on the different aspects of the rule of law."[57] Sir Alex Allan, former Permanent Secretary of the Department for Constitutional Affairs, while recognising that it was "the responsibility of all Ministers to uphold the law and not to do things that are illegal," noted, that beyond that general duty, the Lord Chancellor has "a general fallback, oversight role."[58]

48.  Lord Phillips of Worth Matravers, giving evidence to this Committee as Lord Chief Justice in 2006, thought "there must be occasions in government where a question may arise as to whether the conduct that the Government is contemplating is or is not in accordance with the rule of law, and there, I would imagine, the Lord Chancellor would have a role to play in his capacity as a minister."[59]

49.  It is regrettable that the Ministerial Code and the Cabinet Manual do not address the Lord Chancellor's role in respect of the rule of law, beyond judicial independence. The Cabinet Manual refers to the Law Officers' role in "helping ministers to act lawfully and in accordance with the rule of law",[60] which we explore further in paragraphs 69-77, but makes no mention of the Lord Chancellor's duty in this respect.[61] The only mention of the Lord Chancellor in the Ministerial Code relates to the appointment of judges and legal officers to Royal Commissions and inquiries.[62] Mr Straw told us that the two documents "have not caught up with" the changed role of the Lord Chancellor.[63]

50.  The Lord Chancellor's duty to respect of the rule of law extends beyond the policy remit of his or her department; it requires him or her to seek to ensure that the rule of law is upheld within Cabinet and across Government. We recommend that the Ministerial Code and the Cabinet Manual be revised accordingly.

51.  The Lord Chancellor therefore has an oversight role with respect to the rule of law that is not adequately reflected in the current oath which requires him or her simply to "respect the rule of law". To clarify the scope of the Lord Chancellor's duty in relation to the rule of law, we recommend that the oath to "respect the rule of law" be amended to a promise to "respect and uphold the rule of law".

Upholding the rule of law and judicial independence in practice

52.  The Lord Chancellor's duty to the rule of law predates the Constitutional Reform Act, which states that that duty is not "adversely affected" by the changes to the role. The changed nature of the role has inevitably, however, affected how Lord Chancellors since 2005 have performed this duty compared with their predecessors.

53.  There have always been limitations on the capacity of a Lord Chancellor to be a guardian of the rule of law across Government.[64] In large part the Lord Chancellor's ability to uphold the rule of law across Government has depended on his or her membership of the Cabinet, of which the Lord Chancellor is a permanent member,[65] and its committees.[66] These provide a Lord Chancellor with the opportunity to monitor policy developments and proposals across Government for potential rule of law issues. Through Cabinet meetings and committee membership the Lord Chancellor (like other ministers) is able to monitor colleagues' policy proposals.

54.  Yet Professor Le Sueur told us that fulfilment of the duty is "premised on the idea that matters are discussed fully at Cabinet meetings or in Cabinet committees where the Lord Chancellor is present. If the Lord Chancellor does not know about issues because he is not at the relevant meetings or if key issues are not put on to the relevant agendas, that constitutional conscience role cannot operate effectively."[67] The Lord Chancellor cannot sit on all Cabinet committees, although he or she will be aided by the Law Officers who sit on many of the relevant committees (see paragraph 73). Even if the Lord Chancellor received all committee papers, this does not cover all the activities of Government. Cabinet committee clearance is not required for "Matters wholly within the responsibility of a single Minister and which do not significantly engage collective responsibility".[68]

55.  This limitation is even more acute for Lord Chancellors since 2010 because, unlike their predecessors, they have not been members of the Parliamentary Business and Legislation Committee.[69] All legislation must be cleared by this committee, and it represented an important route through which Lord Chancellors were kept informed about the Government's legislative and policy agenda.

56.  Different Lord Chancellors may also take different views on what constitutes a rule of law issue. Lord Falconer disagreed with many commentators who felt that the Asylum and Immigration (Treatment of Claimants, etc) Bill was "constitutionally problematic".[70] Mr Murray told us that, "differences in interpretation of the concept of the rule of law have seen opponents of various policies advanced by Chris Grayling level the charge against him that he is in breach of his duty regarding the rule of law."[71] Given the ill-defined nature of the rule of law, discussed above, it should not be surprising that different Lord Chancellors, and their critics, have differing views of what constitutes a threat.

57.  As a result, Professor Le Sueur told us that Lord Chancellors probably provided only, "at very best … sporadic and peripheral direction to the government's agenda" on constitutional propriety.[72] Dr O'Brien and Mr Murray both noted inconsistency in pre-reform Lord Chancellors' understanding and performance of this role.[73] Lord Phillips of Worth Matravers acknowledged that this may indeed be the reality of the situation, but argued that ideally "it should be a fundamental part of a minister's duty to look out for constitutional impropriety and draw attention to it."[74]

58.  Although pre-reform Lord Chancellors may have performed this duty in a variety of ways,[75] their actions were still valued. Lord Falconer stated that the Lord Chancellor's role did not "require him proactively to police every act of government".[76] 'Sporadic' intervention could still be effective: the Chartered Institute of Legal Executives told us "the evidence suggests that Lord Mackay [of Clashfern] spoke little but when he did speak, the Cabinet listened".[77] Yet many witnesses felt that post-reform Lord Chancellors were even more limited in their ability to play a cross-government guardianship role than their predecessors. In part, this was because the holder of the post no longer wields the authority that the Lord Chancellor once enjoyed as a senior lawyer and head of the judiciary.

59.  The pre-reform Lord Chancellors were, Lord Mackay of Clashfern told us, "quite high in the Cabinet hierarchy right back as far as I can remember just by virtue of being the Lord Chancellor and because of the importance then attached to the responsibilities that he carried."[78] Without the inherent status that the pre-reform post carried, it is vital that the modern post is filled by someone with the personal authority to defend the rule of law in Government. We address this issue in more detail in Chapter 4.

60.  The combination of the post with that of Secretary of State for Justice in 2007 has resulted in the office becoming more political in nature. While a pre-reform Lord Chancellor, such as Lord Mackay of Clashfern (Lord Chancellor from 1988-1997), could stay out of "the nitty-gritty of party politics",[79] a modern Lord Chancellor and Secretary of State cannot stay outside the political fray, particularly when holding responsibility for a contentious area of public policy such as the prison system. Whether the Lord Chancellor should also be a Secretary of State is something we address in Chapter 4, but it is undeniably the case that while holding such offices, the Lord Chancellor will be a more political figure.[80] It is true that a more political figure may be privy to policy ideas earlier in their formulation and so be able to monitor threats to the rule of law during policy development. However, he or she may also be more likely to prioritise the political objectives of their party over any rule of law issues that arise (and equally, not consider the latter to be serious issues if they conflict with political objectives).[81] As former Lord Chief Justice the Rt Hon. the Lord Woolf told us, "whereas a [pre-reform] Lord Chancellor could position himself outside the normal ministerial role in relation to political issues that are deeply contested, it is much more difficult for someone who is both Lord Chancellor and Minister of Justice."[82]

61.  In addition, although pre-reform Lord Chancellors could be (and were on occasion) dismissed from office,[83] it is felt to be a significantly greater risk for holders of the modern office with their more political position as Secretaries of State,[84] and who will, it seems likely, continue to be drawn from the House of Commons.[85] This may affect their ability or willingness to act independently and to stand up to Cabinet colleagues or the Prime Minister when necessary.[86]

62.  As a result of these changes, Mr Gee argued that post-reform Lord Chancellors were likely to be more 'reactive' guardians than their predecessors: "proactive guardianship is less likely to occur with Lord Chancellors today, but they can be effective reactive guardians." Pre-reform Lord Chancellors were senior lawyers or judges, closely attuned to issues of concern to the senior judiciary. The post-reform officeholder is the head of a substantial spending department, and less closely attuned to the judiciary's concerns. Mr Gee argued that a modern Lord Chancellor may spend "much less of his or her time on judiciary-related issues, which presumably makes it much more difficult to grasp the full weight of and respond proactively to judicial concerns. To exaggerate the point somewhat: the post-2003 [Lord Chancellor] might do 'the right thing' only after exhausting all other possibilities. Though messy and unedifying, this can still be effective."[87]

63.  In an ideal world, Lord Chancellors would pursue their duty to uphold the rule of law proactively across Government, scrutinising policy proposals for threats to the rule of law. That has never been the reality. Pre-reform Lord Chancellors faced many of the same practical and political limitations their successors face today. Yet current Lord Chancellors, with their wider policy responsibilities, their political position as Secretaries of State, and their reduced role in relation to the judiciary, have to contend with restrictions and obstacles that their predecessors did not. Whilst still central to the maintenance of the rule of law, they have become more reactive guardians. As a result, the roles of other individuals and institutions have taken on a greater importance in this respect.

Other guardians

64.  As the Lord Chancellor's ability to act as a guardian of the rule of law has diminished, the role of other guardians has increased in importance. Professor Robert Hazell, Professor of British Politics and Government at University College London, noted that the Lord Chancellor "is not the only guardian of judicial independence and the rule of law," and "should not be viewed in isolation".[88]

WITHIN GOVERNMENT

65.  All ministers are required to uphold judicial independence and consult the Law Officers on legal issues. Alongside the Lord Chancellor, the Law Officers thus have a key role in upholding the rule of law. We consider their role in more detail below.

66.  Civil servants also play an important role in upholding the rule of law.[89] We were told the civil service code includes a duty to "comply with the law and uphold the administration of justice".[90] Rosemary Davies, Legal Director at the Ministry of Justice, told us that in the department "there is a presumption always that the law must be complied with and in that sense the rule of law is central."[91] Mr Grayling added that this was true of all government departments.[92] Sir Alex Allen told us that issues of the rule of law were discussed at a permanent secretary level when appropriate, and that it was the role of the Permanent Secretary of the Ministry of Justice, as well as the Treasury Solicitor or First Parliamentary Counsel, to speak up on those issues.[93]

67.  Government lawyers have a particular role to play.[94] The Government Legal Service employs 2,000 lawyers,[95] including the Treasury Solicitor's Department and departmental lawyers. Along with the Attorney General, Parliamentary Counsel (Government lawyers specialising in drafting legislation) scrutinise draft Government bills to ensure that they comply with the Human Rights Act 1998 and "look at issues of propriety, [such as] unusual use of powers".[96] Government lawyers have a duty not only to their department but to the Law Officers,[97] to whom concerns over the rule of law can be referred (see paragraph 72).

68.  Former Lord Chief Justices the Rt Hon. the Lord Judge and Lord Woolf raised concerns about the level and expertise of legal support for the Lord Chancellor inside the Ministry of Justice.[98] Mr Gee and Sir Hayden Phillips referred to a loss of expertise as staff were transferred to organisations in the justice system outside the department.[99] Ms Davies assured the Committee that there was substantial and experienced legal support for the Lord Chancellor; Mr Grayling agreed with this, as did his predecessor Lord Falconer.[100] Some of the arm's-length bodies to which legal expertise from the Department might have gone (such as HM Courts and Tribunals Service, the Judicial Appointments Commission or the Judicial Office) are also organisations that can highlight rule of law concerns to the Lord Chancellor.[101]

THE LAW OFFICERS' ROLE

69.  The Law Officers have always played a key role upholding the rule of law within Government. Mr Grieve stated that "the law officers are there to make sure that the ministerial code is observed … [that] the United Kingdom, its Ministers, its civil servants, … obey the law, the rule of law and act in accordance with our international legal obligations."[102] As we stated in our 2008 report on the office of Attorney General, "the provision of legal advice to the Government is important in giving practical effect to the constitutional principle of the rule of law."[103]

70.  The Attorney General is the Government's principal adviser on legal matters, and the Solicitor General is his or her deputy. The Advocate General advises the UK Government on Scots law.[104] The Law Officers act as legal advisers to ministerial colleagues when potential rule of law issues arise. Lord Mackay of Clashfern referred to the Lord Chancellor's role in this respect which "is to ensure that, if there is a legal and constitutional issue on which it is necessary to take the Attorney General's advice, that is done."[105]

71.  While the Constitutional Reform Act 2005 dealt with the Lord Chancellor's ongoing, if undefined, role in relation to the rule of law, it did not address the position of others with a significant role, particularly the Law Officers.[106] Instead it is left to non-legislative documents to set out the position. The Ministerial Code requires all ministers to consult the Law Officers "in good time … [on] critical decisions involving legal considerations."[107] The Cabinet Manual, which does not mention the rule of law in relation to the Lord Chancellor, describes the Law Officers' role more explicitly as "helping ministers to act lawfully and in accordance with the rule of law."[108]

72.  The Attorney General is also the head of the Government Legal Service. Mr Grieve said that when issues arise that need the Law Officers' attention, he was confident that they were brought to his attention appropriately. Lady Scotland described Government lawyers as having a duty both to their own department and to the Attorney General, to whom they can and do refer issues of particular importance or complexity.[109]

73.  The Attorney General is a member of key Cabinet Committees at which rule of law issues may arise (and on which the Lord Chancellor does not sit).[110] These include the Parliamentary Business and Legislation Committee and the National Security Council.[111] These are important avenues through which potential rule of law issues can be noted and raised at an early stage. In addition, the Attorney General scrutinises all Government bills for their compliance with human rights law and legal propriety.[112]

74.  Sir Thomas Legg told us that the Law Officers have "an obligation to draw the attention of their fellow Ministers to substantial issues of legal values, as well as the precise law".[113] Mr Grieve stressed that Government lawyers were not, however, "spies in government departments telling me when ministerial colleagues might be on the point of going off the rails". With only a small number of staff in the Attorney General's Office, the Law Officers are "certainly not in a position to be overseers of the rule of law".[114]

75.  Another limit on the Attorney General's capacity to be a guardian of the rule of law is that he or she, although of cabinet rank, is not a full member of the Cabinet.[115] In recent years it has become standard practice for the Attorney General to attend all Cabinet meetings,[116] but unlike the Lord Chancellor they do so at the invitation of the Prime Minister, not as of right. Moreover, as the Government's legal adviser rather than a minister (as Lady Scotland described it "in government but not of government"),[117] the Attorney General may be privy to less of the policy discussions in which rule of law issues could arise.

76.  It is clear that the Law Officers have an important role as guardians of the rule of law, alongside the Lord Chancellor. To some extent they are complementary, upholding the rule of law in different ways. While the more political post-reform Lord Chancellor is in a better position to observe and intervene in the development of wider policy decisions that could affect the rule of law, the Law Officers scrutinise legislation for rule of law issues and can act when potential infringements arise—for example inappropriate Henry VIII clauses or retrospective legislation.

77.  With the post-reform Lord Chancellors playing a more limited and reactive guardianship role, the Law Officers have become ever more important in this respect. Although the Law Officers are not, as Mr Grieve told us, in a position to oversee the rule of law more generally across government, they do have a significant role supporting the Lord Chancellor in his duty to do so. This includes alerting the Lord Chancellor to potential rule of law issues, and working with him or her in Cabinet in uphold the rule of law, including defending judicial independence. As Lord Falconer told us: "the Attorney and the Lord Chancellor acting together are quite a powerful force in government."[118]

78.  The duty of Lord Chancellors to ensure that the rule of law is respected across Government has not changed as a result of the Constitutional Reform Act. Carrying out this duty has, however, become more difficult for post-reform Lord Chancellors and more directly dependent on the personal authority and attitude of the individual holding the office.

79.  The Law Officers' role in upholding the rule of law has always been important. The changes to the office of Lord Chancellor over the last decade have made it even more so. As a result, we consider that it is imperative the Attorney General continues to attend all Cabinet meetings, and that they are adequately resourced not only in their role as legal advisers to the Government, but in their capacity as guardians of the rule of law.

80.  We recommend that the Law Officers give due consideration to the more reactive role of modern Lord Chancellors and ensure that the holder of that office is kept informed of potential issues within Government relating to the rule of law.

81.  A commitment to the rule of law is an essential component of good government. The Government should ensure that the responsibilities of those charged with upholding the rule of law are clear and widely understood, and that they receive the support necessary to fulfil those duties.

OUTSIDE GOVERNMENT

82.  Outside Government, the judiciary play a pivotal role in upholding the rule of law. As Lord Phillips of Worth Matravers told us in 2006, "It is the role of the judiciary, in practice, to uphold the rule of law".[119] Judicial review provides an avenue through which the actions of the executive can be directly challenged and assessed in the light of the rule of law. In addition, the senior judiciary have a more direct role in ensuring that the Government is aware of concerns about the rule of law through discussions with the Lord Chancellor. The Lord Chancellor has monthly meetings with the Lord Chief Justice,[120] as well as less frequent but regular meetings with the President of the Supreme Court.[121] The Lord Chief Justice also has biannual meetings with the Prime Minister.[122] Judges are able to express their views publicly in extra-judicial speeches, although discretion is of course important in making speeches on controversial subjects.[123]

83.  Parliament's role in upholding the rule of law and judicial independence was stressed by witnesses.[124] Threats to the rule of law can be identified through legislative scrutiny and holding the Government to account for their actions. The work of parliamentary select committees was particularly noted, both in their scrutiny of policy and legislation and as a forum in which members of the senior judiciary might express any concerns they had.[125]

84.  The Constitutional Reform Act 2005 removed one channel of communication between the judiciary and Parliament by disqualifying holders of senior judicial office from membership of the House of Lords.[126] Former judges still take part in debates, but new Justices of the Supreme Court no longer automatically receive life peerages. Lord Woolf told us that as a result the need for judicial representation in Parliament would increase with time.[127]

85.  Without the right to take part in debates in the House of Lords, the Lord Chief Justice is restricted to making written representations to Parliament and speaking to select committees.[128] Lord Judge referred to making a written representation as a "nuclear option," but even so felt that it did not give the Lord Chief Justice "sufficient authority, in an age when the Lord Chancellor is no longer the head of the judiciary, to convey the views of the judiciary".[129] Other former judges were more relaxed about the use of written representations,[130] although Lord Hope of Craighead agreed that "one should exercise restraint in exercising the right."[131]

86.  While witnesses did not feel that serving judges should be able to speak in the House of Lords Chamber,[132] there was general agreement that addressing select committees was useful. There are several committees to which senior judges can and do give evidence, including this Committee and the House of Commons Justice Committee.[133] Lord Judge suggested that, as well as the regular evidence sessions already undertaken with senior judges, the Lord Chief Justice "should be able to say to [the Constitution Committee] or another committee, 'I would like to come and address you on these issues, which have been raised about pending legislation and whether the judges would be upset.'"[134] The current Lord Chancellor, Mr Grayling, told us that "I would not be hostile to a route of last resort … [for senior judges] if something is going badly wrong—the Government of the day are misbehaving, the Lord Chancellor is paying no attention—to have the ability to say to Parliament, 'Help'."[135] Both Lord Judge and Mr Grayling stressed that such action should be taken sparingly so as to avoid the judiciary being seen to take sides in political debates;[136] similarly, former Lord Chancellors Lord Falconer and Mr Clarke felt that it would be appropriate if used sparingly.[137]

87.  While the Lord Chancellor may "no longer [be] the pre-eminent guardian of constitutional values that pre-2003 Lord Chancellors might have been",[138] they still play a central role in this wider group of guardians of the rule of law. Professor Hazell told us that

    "The Lord Chancellor is no longer the sole defender of the rule of law. He is buttressed by all these other bodies, who can provide advice and support, and scrutiny. The institutional landscape may seem more complex and more fragmented; but reliance on multiple guardians rather than a single guardian is also more robust."[139]

88.  The Lord Chancellor has never been the sole guardian of the rule of law, either within Government or more broadly. The importance of other guardians has, however, increased in the light of the changes to the role since 2003. Parliament in particular should be aware of its crucial role as a body that can hold the Government to account to ensure that it governs in accordance with the rule of law.


17   Constitution Committee, Relations between the executive, the judiciary and Parliament, para 71 Back

18   Q 19 (Lord Phillips of Worth Matravers) Back

19   Constitution Committee, Relations between the executive, the judiciary and Parliament, para 24 Back

20   Q 49 Back

21   Constitution Committee, Relations between the executive, the judiciary and Parliament, para 24 Back

22   Q 91 (Dominic Grieve MP and Baroness Scotland of Asthal) and Q 96 (Jack Straw MP) Back

23   Tom Bingham, The Rule of Law (Allen Lane, London, 2010), p 67 Back

24   The Convention was ratified by the United Kingdom in 1951. Back

25   Written evidence from the Charter Institute of Legal Executives (OLC0017) Back

26   Constitution Committee, Relations between the executive, the judiciary and Parliament, para 25 Back

27   AXA General Insurance v Lord Advocate (2011) UKSC 46, para 51. The case concerned an Act of the Scottish Parliament, not an Act of the UK Parliament, but Lord Hope expressed his remarks about the rule of law as though they may apply to all legislation.  Back

28   Thus by-passing the House of Lords which some witnesses referred to as one of the key guardians of the United Kingdom's constitution. See, for example, written evidence from Lord Woolf (OLC0009). Back

29   Bingham, The Rule of Law, p 173 Back

30   Q 78 (Lord Falconer of Thoroton,) Back

31   Q 16 Back

32   Q 4  Back

33   Q 5 and written evidence from Graham Gee (OLC0006) Back

34   Written evidence from Professor Andrew Le Sueur (OLC0005) Back

35   See Q 94 (Dominic Grieve MP) and written evidence from Prof Dawn Oliver (OLC0001) and the Bar Council (OLC0026). Back

36   Q 61 (Chris Grayling MP), written evidence from the Ministry of Justice (OLC0028) Back

37   Written evidence from the Ministry of Justice (OLC0028), Q 43 (Chris Grayling MP), Q 77 (Lord Falconer and Ken Clarke MP). Back

38   Similarly, the Explanatory Notes do not expand on either the principle or the role (Explanatory Memorandum, Constitutional Reform Act 2005: Overview) Back

39   Q 43 Back

40   QQ 47-48 Back

41   Cabinet Office, Ministerial Code, (2010), para 1.2 Back

42   Written evidence from Dr Patrick O'Brien (OLC0012) Back

43   Written evidence from Sir Hayden Phillips (OLC0029) Back

44   Written evidence from Dr Patrick O'Brien (OLC0012) Back

45   Written evidence from Dr Patrick O'Brien (OLC0012) Back

46   Written evidence from Colin Murray (OLC0021) Back

47   Q 77 Back

48   Q 92 Back

49   Q 77 Back

50   Q 67 Back

51   QQ 47-48 Back

52   Q 89 Back

53   See Q 47 (Rosemary Davies), Q 56 (Chris Grayling MP) and Q 103 (Jack Straw MP) Back

54   Written evidence from Sir Hayden Phillips (OLC0029), see also written evidence from Dr Gabrielle Appleby (OLC0018) Back

55   Q 76 Back

56   Q 76 and House of Commons Constitutional Affairs Committee, Constitutional Reform Bill [Lords]: the Government's proposals (3rd Report, Session 2004-05, HC 275-I), paras 24 and 28 Back

57   Written evidence from Dr Gabrielle Appleby (OLC0018) Back

58    Q63 Back

59   Constitution Committee, Relations between the executive, the judiciary and Parliament, Appendix 8: Evidence by the Lord Chief Justice, 3 May 2006,  Q7 Back

60   The Cabinet Manual: A guide to laws, conventions and rules on the operation of government (October 2011), para 6.4 Back

61   Q 10 (Andrew Le Sueur) Back

62   Ministerial Code, para 4.10 Back

63   Q 96 Back

64   Written evidence from Professor Andrew Le Sueur (OLC0005) Back

65   The Lord Chancellor's salary is specifically listed in Section 1 of the Ministerial and other Salaries Act 1975, whereas other ministers are dealt with in Schedule 1. Back

66   Written evidence from the Bar Council (OLC0026) Back

67   Q 14 Back

68   Cabinet Office, Guide to Cabinet and Cabinet Committees (nd, [2010]), p 6 Back

69   Cabinet Committee Membership List (February 2014): https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/279220/Cabinet_Committee_Membership_Lists_12_Feb_2014.pdf  Back

70   Written evidence from Professor Andrew Le Sueur (OLC0005); the Bill became the Asylum and Immigration (Treatment of Claimants, etc) Act 2004. Back

71   Written evidence from Colin Murray (OLC0021) Back

72   Written evidence from Professor Andrew Le Sueur (OLC0005) Back

73   Written evidence from Dr Patrick O'Brien (OLC0012) and Colin Murray (OLC0021) Back

74   Q 21 Back

75   Written evidence from Colin Murray (OLC0021) Back

76   HL Deb, 20 Dec 2004, Column 1538 Back

77   Written evidence from the Chartered Institute of Legal Executives (OLC0017) Back

78   Q 22, see also Q 76 (Ken Clarke MP) Back

79   Q 23 and Q 76 (Ken Clarke MP), see also Q 35 (Lord Woolf) Back

80   Q 1 (Graham Gee) and Q 9 (Dr Patrick O'Brien) Back

81   Written evidence from Dr Gabrielle Appleby (OLC0018) Back

82   Q 39 Back

83   Q 9 (Andrew Le Sueur) Back

84   Q 8 (Graham Gee) and written evidence from the Bar Council (OLC0026) Back

85   Q 82 (Ken Clarke MP) and Q 7 (Professor Andrew Le Sueur), and written evidence from Graham Gee (OLC0006), Lord Woolf (OLC0009), the Bar Council (OLC0026) and the Law Society of England and Wales (OLC0025) Back

86   Q 9 (Graham Gee) and written evidence from the Bar Council (OLC0026) Back

87   Q 1 and written evidence from Graham Gee (OLC0006) Back

88   Written evidence from Professor Robert Hazell (OLC0014), see also written evidence from the Bingham Centre for the Rule of Law (OLC0022) Back

89   Written evidence from Professor Andrew Le Sueur (OLC0005) and the Bar Council (OLC0026) Back

90   The Civil Service Code, published 30 November 2010 https://www.gov.uk/government/publications/civil-service-code/the-civil-service-code [accessed 20 November 2014] Back

91   Q 47 Back

92   Q 47 Back

93   Q 69 Back

94   Q 9 (Graham Gee) Back

95   Q 86 Back

96   QQ 86 and 89 Back

97   Q 86 (Baroness Scotland) Back

98   Q 35 and written evidence from Lord Woolf (OLC0009) Back

99   Q 5 and written evidence from Sir Hayden Phillips (OLC00029) Back

100   Q 53 (Chris Grayling MP and Rosemary Davies) and Q 84 (Lord Falconer). Former permanent secretary Sir Alex Allan also said that he was content with the legal support during his time working for the Lord Chancellor (Q 68). Back

101   Q 9 (Graham Gee) and written evidence from Professor Andrew Le Sueur (OLC0005), Graham Gee (OLC0006), Dr Gabrielle Appleby (OLC0018) and Professor Robert Hazell (OLC0014) Back

102   Q 86 Back

103   Constitution Committee, Reform of the Office of Attorney General (7th Report, Session 2007-08, HL Paper 93), para 4 Back

104   Under the Justice (Northern Ireland) Act 2002, section 27, the Attorney-General of England and Wales also holds the office of Advocate General for Northern Ireland. Back

105   Q 86 (Dominic Grieve MP) and Q 28 (Lord Mackay of Clashfern) Back

106   Written evidence from the Chartered Institute of Legal Executives (OLC0017) Back

107   Cabinet Office, Ministerial Code (May 2010), para 2.10 Back

108   Cabinet Manual, para 6.4  Back

109   Q 86 Back

110   Q 54 (Chris Grayling MP) Back

111   Q 54 (Chris Grayling MP) and Q 93 (Dominic Grieve MP). The Attorney's attendance at National Security Council meetings is not acknowledged in the most recent (February 2014) list of Cabinet Committees and their membership. Back

112   For the Attorney General's wider role, see Constitution Committee, Reform of the Office of Attorney General (7th Report, Session 2007-08, HL Paper 93). Back

113   Q 72 Back

114   Q 86, see also written evidence from the Bar Council (OLC0026) Back

115   Written evidence from Dr Gabrielle Appleby (OLC0018) Back

116   See Q 54 (Chris Grayling MP) Back

117   Q 87 (Baroness Scotland of Asthal) Back

118   Q 80 Back

119   Constitution Committee, Relations between the executive, the judiciary and Parliament, Appendix 8: Evidence by the Lord Chief Justice, 3 May 2006, Q 7. This is echoed in Dr O'Brien's evidence for this inquiry (Q 8). Back

120   The regularity appears to vary: Lord Judge told us that he had monthly meetings with the Lord Chancellor, but Lord Woolf said that he did not have such regular meetings (Q 33) Back

121   Constitution Committee annual oral evidence from the President and Deputy President of the Supreme Court, 25 June 2014, Q 2 (Lord Neuberger of Abbotsbury) Back

122   Graham Gee, 'The Lord Chief Justice and Section 5 of the Constitutional Reform Act', U.K. Constitutional Law Blog, 14th April 2014: http://ukconstitutionallaw.org/2014/04/14/graham-gee-the-lord-chief-justice-and-section-5-of-the-constitutional-reform-act/ [accessed 9 July 2014] Back

123   Lord Neuberger Of Abbotsbury, 'Where Angels Fear To Tread' Holdsworth Club 2012 Presidential Address, 2 March 2012: http://www.judiciary.gov.uk/wp-content/uploads/JCO/Documents/Speeches/mr-speech-holdsworth-lecture-2012.pdf [accessed 7 November 2014] paras 53-54 Back

124   Q 1 (Graham Gee) and Q 14 (Patrick O'Brien) Back

125   For example, written evidence from Professor Andrew Le Sueur (OLC0005), the Bar Council (OLC0026) and Colin Murray (OLC0021) Back

126   Constitutional Reform Act 2005, section 137. The Lord Chief Justice is still made a life peer, but is disqualified from membership while in office. Back

127   Q 37. To date, all Justices who have left the court (other than to other disqualifying judicial offices) have been former Law Lords and been able to return to the House of Lords. Back

128   Constitutional Reform Act 2005, section 5, permits the Lord Chief Justices of England and Wales, or Northern Ireland, and the Lord President of the Court of Session in Scotland to make written representations to Parliament. This is due to be extended to the President of the Supreme Court under the Criminal Justice and Courts Bill. Back

129   Q 37 Back

130   For example written evidence from Lord Hamilton (OLC0016) Back

131   Q 37 Back

132   Written evidence from Professor Robert Hazell (OLC0014) Back

133   QQ 24, 36 and 85, see also written evidence from Professor Robert Hazell (OLC0014) Back

134   Q 36 Back

135   Q 62 Back

136   Q 36 (Lord Judge) Back

137   Q 85 Back

138   Q 1 (Graham Gee) Back

139   Written evidence from Professor Robert Hazell (OLC0014) Back


 
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