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JUDGEMSUTHERLANDWILLIAMS
PRESIDENT
HEALTH,EDUCATIONANDSOCIALCARECHAMBER
PRESIDENTIALGUIDANCENOTENo3of2023:
ThisPracticeGuidancerevisesandreplacesPresidentialGuidanceNote
No1of2023onRecordingofHearingsintheHealth,EducationandSocial
CareChamberandTranscriptionofRecordings,dated1February2023
RECORDINGOFHEARINGS
INTHE
HEALTH,EDUCATIONANDSOCIALCARECHAMBER
ANDTRANSCRIPTIONOFRECORDINGS
INDEXbyparagraphnumber
Makingofrecordings
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Prohibitiononotherrecordings 14
Transcriptsatpersonalexpense 20
Transcriptsatpublicexpense 31
ConsiderationsfortheTribunal 36
Useoftranscriptsandinformation 41
Accesstorecordings 49
Recordingoraljudgements 58
Thirdpartiesandinterestedpersons 60
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1.TheTribunals,CourtsandEnforcementAct2007Schedule4Part1paragraph7providesthattheChamberPresidentistomakearrangementsfortheissuingofguidanceonchangesinthelawandpracticeastheyrelatetotheChamber.
2.ThisguidancerelatestothearrangementsfortherecordingofhearingsandtranscriptionofrecordingsinHESC.
3.ThisPresidentialGuidancehaseffectfrom15January2024.
4.InthisPresidentialGuidance:
-referencesto“theRules”aretotheTribunalProcedure(First-tier
Tribunal)(Health,EducationandSocialCareChamber)Rules2008;
-“HESC”meansHealth,EducationandSocialCareChamber;
-“HMCTS”meansHisMajesty’sCourtsandTribunalsService;
-“party”means—
(a)inamentalhealthcase,thepatient,theresponsibleauthority,the
SecretaryofState(ifthepatientisarestrictedpatientorinareference
underrule32(8)(seekingapprovalundersection86oftheMentalHealthAct1983)),andanyotherpersonwhostartsamentalhealthcaseby
makinganapplication;
(b)inanyothercase,apersonwhoisanappellant,applicantor
respondentinproceedingsbeforetheTribunalor,iftheproceedingshavebeenconcluded,apersonwhowasanappellant,applicantorrespondentwhentheTribunalfinallydisposedofallissuesintheproceedings;
-“recording”meansanaudiorecordinginanymediumfromwhichanysoundmaybeproducedorreproduced,orthemakingofanysuch
recording,and“record”and“recorded”shallbeconstruedaccordingly;
-“preliminaryhearing”meansacaselistedforaninitialcasemanagementhearingandincludesahearingconductedinwholeorinpartbyvideolinkorbytelephone;
-“substantivehearing”meansacaselistedforafinaloralhearingandincludesafinalhearingconductedinwholeorinpartbyvideolink;
-“transcript”meansadocumentthatsetsoutinwriting,inwholeorinpart,whathas,orappearstohavebeensaid,ascapturedinarecording;
-“Tribunal”meansatribunalofanycompositionorjurisdictionsittingwithinHESC.
;
Makingofrecordings
5.UnlesstheTribunaldirectsotherwise,HMCTSshallusuallymakeaudiorecordingsofsubstantivehearingsinHESCwherethetechnicalfacilityexiststodosoand
wheresuchrecordingscanbesecurelyretained.Thisappliestoallsubstantivehearings,whethertheyareheldinpublicorprivate,andwhethertheyareheldinpersonorremotely.
6.Itshallbeatthediscretionofthejudgeconsideringthecase(eitheroftheTribunal’sownchoosingorwhereoneofthepartiesmakearequest)whethertheydirectthe
recordingofanypreliminary,casemanagementorotherformofhearing(where
suchfacilitiesexist).
7.Moreparticularly:
6.1Hearingsheldinpersoncanonlyberecordedwheresuitableequipmentisinstalledoravailableinthehearingroom.(Therearesomecourt
andtribunalvenuesinEnglandandWaleswhere,becauseofco-locationwithotherjurisdictions,theTribunalwillbeabletousetheDigitalAudioRecordingTranscriptionandStorage(‘Darts’)system
inthecourtroom.)Inthementalhealthjurisdiction,suitablerecordingequipmentisnotcurrentlyavailableinhospitals.
6.2ThefacilityexiststorecordhearingsheldremotelyviavideolinkusingtheHMCTSCloudVideoPlatform(oronceintroduced,theHMCTS
VideoHearingsService)andforthoserecordingstobesecurelyretainedbyHMCTS.Consequently,HMCTSshallusuallyrecordsubstantivehearingsheldremotely.
7.3Previousrecordingexperienceshowsthat,occasionally,therewillbeamalfunction,whichmeansthatarecordingcannotbemade.Ifarecordingcannotbemadeinrespectofahearingthatotherwise
wouldberecorded,thehearingwillbedelayedbynomorethan15minutestoallowHMCTStorestorerecordingfunctionality.Ifthat
functionalitycannotberestoredwithin15minutes,thehearingwillproceedforthatsession,andforanyfurthersessionduringwhich
themalfunctioncontinueswithoutarecordingbeingmade.Any
failureinconnectionwithaudiorecordingdoesnotaffectthevalidityofthehearing.
8.Deliberationsheldinprivatebetweenthejudgeandanynon-legalmembers/panelwillnotberecorded.Pre-hearingexaminationsinthementalhealthjurisdictionwillnotberecorded.
9.Partiesshould,inaccordancewithpreviouspractice,keepahandwrittenrecordoftheproceedings.
10.ThewrittendecisionremainstheexplanationandoutcomeinHESCcasesand
shouldformthebasisofanyapplicationforonwardappealorreview.
11.HMCTSwillnotmakeaudio-visualorvisualrecordingsofanyhearings.
12.AudiorecordingsareCrowncopyright.Theuse,capture,re-editingorredistributionofthematerialinanyformwithoutpermissioncouldattractliabilityforbreachof
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copyrightand/ordefamation,inadditiontothepossibilityofcontemptproceedings.
13.HMCTSisresponsibleforthestorage,retentionanddestructionofaudiorecordingsandanytranscriptsofaudiorecordingsthathavebeenmade,(otherthanaudio
recordingsauthorisedbytheTribunaltobemadebyapartyinexceptional
circumstances).HMCTSwillactinaccordancewiththetermsoftheRecordsRetentionandDispositionScheduleapplicabletoHESC:
.uk/media/62b47cfcd3bf7f0af821efef/health
-
education-social-care-chamber-rrds.pdf
Prohibitiononotherrecordings
14.Noparty,representative,witnessormemberofthepressorpublicmayrecorda
hearinginHESCwithoutthepermissionoftheTribunal.Makingarecordingwithoutpermissionhasalwaysbeenandremainsacontemptofcourtpunishableinlaw
(section9(1)(a)oftheContemptofCourtAct1981.)
15.Anypersonwhowishestomakearecordingofahearingasareasonable
adjustmentshouldmakeanapplicationtotheTribunalassoonaspossible,
followingtheguidancefoundhere:
Equalityanddiversity–HMCourts&Tribunals
Service–GOV.UK(.uk).
16.Permissionshallonlybegiveninexceptionalcircumstancesandwherethe
applicationhasprovidedsupportingevidenceandanexplanationfortheneed.
17.ItisenvisagedthoseexceptionalcircumstanceswillbewherethemakingofsucharecordingisnecessarytoupholdtheTribunal’soverridingobjectivetodealwith
casesfairlyandjustlyinordertoensuretheeffectiveparticipationofavulnerablepartyorwitnessorbywayofreasonableadjustmentforapersonwithadisability.
18.Ifsuchpermissionisgiven,theTribunalmayimposeanyconditions,includingastodeletionoftherecording,asitseesfit.
19.UnlesspermittedbytheTribunalunderparagraph16above,aTribunalwillnotpermitthepartiestorecordthehearingthemselvessimplybecausethetechnicalfacilityforHMCTStodosodoesnotexist.ThisisbecauseHMCTSmustretaincontrolofallarrangementsformakingandstoringrecordings.
Transcripts
Transcriptsatpersonalexpense
20.SubjecttothisGuidance,partiesshallhavetheopportunitytoobtainatranscriptoftherecordedhearingatpersonalexpense.TheymustcompleteFormEX107andfollowtheguidanceprovidedbyHMCTSonthegov.ukpagefoundhere:
Applyforatranscriptofacourtortribunalhearing-GOV.UK(.uk)
SeealsotheEX107GNguidancenotessettingouttheprocessandcostelementin
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moredetail.
21.OnreceiptofFormEX107,HMCTSwillsendtherequesttoajudgetoconsider.Thiswillnotnecessarilybethejudgewhoheardthecase.SuchadecisionwillgenerallybetakenonthepapersbyaDistrictTribunalJudgewithoutahearing.
22.Permissionisajudicialdecision,andsubjecttotheguidancegivenbelow.HearingsinbothSpecialEducationalNeedsandMentalHealthTribunalsaregenerallyheardinprivate(rule26(2)andrule38).TheHESCChamberhasgeneralpowersto:
.prohibitthedisclosureorpublicationofdocumentsorinformation'relatingtotheproceedings'(rule14(1));
.prohibitthedisclosureofadocumentorinformationtoapersoniftheTribunalissatisfiedthatsuchdisclosurewouldbelikelytocausethe
personorsomeotherpersonseriousharmandconsidersitproportionatetogivesuchadirection(rule14(2)).
23.GiventheTribunalhasadiscretiontoprohibitdisclosureorpublicationof
documentsandinformationunderrule14,thejudgemustweighrequestsforatranscriptwith,amongstotherthings,theopenjusticeprincipleandprovide
reasons.
24.Whetheradeparturefromtheprincipleofopenjusticeisjustifiedinanyparticularmatterwilldependonthefactsofthecase.TheTribunalmustconductabalancingexercisethatwillbefact-specific.Anyriskofharmthatthedisclosuremaycausetothemaintenanceofaneffectivejudicialprocessortotheproperadministrationof
justice(orthelegitimateinterestsofothers),mayamounttoreasonsforredactionorrefusal.Thisisfurtheraddressedunder‘ConsiderationsfortheTribunal’below.
25.Arequestforatranscriptwillnotbyitselfalteranytimelimitsset-outintheHESCRules,unlessajudgedirectsotherwise.
26.Ifpermissionisgivenforatranscripttobemade,therequestwillbesentbacktoHMCTSforthetranscriptionserviceprocesstobefollowed.ThetranscriberwillprovidethedrafttranscriptdirectlytotheTribunal/judgesothatthedraftcanbechecked,amendedandapproved.
27.Anytranscriptwhichisproducedwillnotincludeanyoraljudgmentorreasonsgivenatthehearing.
28.Whenreviewingthetranscript,thejudge(whomaybeaDistrictTribunalJudgeandnotthehearingjudge),shallhaveregardto:
1.Ensuringthatthetranscriptisofthehearingitselfandnotofpartsimmunefromdisclosure(suchasthedeliberationsinprivatebetweentheJudgeandnon-legalmembers;discussionsbetweenthepartiesinthehearingroombeforethe
hearinghascommenced,afterithasconcluded,orduringanyadjournment;oranyoraljudgmentandreasons);and
2.Whereappropriate,ensuringthatthetranscriptisincompliancewiththe
guidancegivenbelow.Tothatend,thepersonreviewingthetranscriptmayconsultthehearingjudgeifrequired.
29.Itisnottheroleofthereviewingjudgetocheckthetranscriptagainsttherecording.Theresponsibilityfortheaccuracyofthetranscriptlieswiththetranscription
service.
30.Theapprovedtranscriptwillthenbesentbacktothechosentranscriptioncompany
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andwillbesentdirectlytotherequestingpartyfromthetranscribers.
Transcriptsatpublicexpense
31.AtranscriptmustbepaidforunlesstheTribunalbelievesthereareexceptionalcircumstancesforittobeproducedatpublicexpense.
32.Havingregardtotheschemefortheproductionofwrittenreasonsunderrules30and41,andtherepresentativesandpartiesopportunitytotakehandwrittennotesduringthehearing,theTribunalwillonlyordertheprovisionofatranscriptatpublicexpense,inwholeorinpart,incircumstanceswhereaformalapplicationhasbeenmadeandsupportingreasonsandevidenceprovided,alongwiththecompleted
EX107transcriptrequestform.
33.Itisenvisagedthosecircumstanceswillbewheretheprovisionofatranscriptat
publicexpense,inwholeorinpart,isnecessarytoensuretheeffectiveparticipationofavulnerablepartyorwitnessorasareasonableadjustmentforapersonwitha
disability,andwhichcannototherwisebeaddressedbytheproductionofwritten
reasons,(or,exceptionally,bygivingthempermissiontomaketheirownrecordingortolistentoarecordingmadebyHMCTS).
34.Theresponsetoanapplicationforatranscriptatpublicexpenseisajudicial
decisionintheformofacasemanagementorder.Suchadecisionwillgenerallybetakenonthepapersandwithoutahearing.Similarconsiderationstothoseoutlinedaboveunder‘Transcriptsatpersonalexpense’shallapply.TheTribunalmayask
forsupportingevidencetobeprovided(e.g.,astoincomeormedicalevidence),andtheTribunalmayseekobservationsfromtheotherparty.
35.TheTribunalmaydecidethattheoverridingobjectiveandinterestsofjusticeareservedbyarrangingforaportionoftheaudiorecording,ratherthantheaudio
recordinginitsentirety,tobetranscribedatpublicexpense.
ConsiderationsfortheTribunalwhenanapplicationforatranscriptisreceived
36.Mostrequestsforatranscriptwillcomefrompartiesortheirrepresentativeswho
havealreadyheardthecontentofthehearingandseentheevidence(including,forexample,whereitcontainsprivatemedicalevidenceorthepersonaldataofthird
parties.)Arequestforatranscriptfromapartyatpersonalexpenseshouldtherefore,subjecttowhatfollows,usuallybegranted.
37.Indecidingwhetheratranscript(orpartthereof)shouldnotbeprovided,thejudgeshallhaveregardto,amongstotherthings:
(a)whetherreleaseofatranscriptmayhaveanadverseeffectonthehealthoranotherriskofharmintheshortorlongterm,toanyindividualconnectedtothecase;
(b)theneedtoprotectthepartiesoranother’sprivacy(whereapplicable);(c)thenatureoftheevidenceintheproceedings(whereapplicable);
(d)whetherthereareanyspecialfactorsthatwouldmilitateagainsttheprovisionofatranscript;
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(e)whetherthereisariskofdistributionofthetranscriptandanyundertakingsthathavebeengiven.
38.Inhearingsheldinprivate,thejudgeshallusuallyseektheotherparty’sviewsbeforeconsideringthematter.
39.Thejudgemayrequireanon-disclosureundertakingtobegivenbytherequestingparty.
40.Wherepermissionforatranscriptisrefused,thejudgemustgiveclearreasonsformakingthatdecision.Thesereasonsneednotbelengthy,butshoulddemonstratesuccinctlywhypermissionwasrefused.
Useoftranscriptsandinformation
41.Section12oftheAdministrationofJusticeAct1960providesthatwhereacourtissittinginprivate,asisnearlyalwaysthecaseinMentalHealthandSpecial
EducationalNeedsTribunalproceedings,publicationofinformationrelatingtoproceedingsshallbeacontemptofcourt(s12(1)(a)(iii)and12(1)(b).)
42.Thecopyofanytranscriptissuedisforthesoleuseofthepartiestothe
proceedings.Distribution,publicationorbroadcastingofthetranscript,includingbysocialmedia,tothirdpartieswhoarenotconnectedwiththeproceedingsmay
constituteacontemptundertheAdministrationofJusticeAct1960and/ortheContemptofCourtAct1981.
43.Thetranscriptmaycontainthepersonaldataofothersreferredtowithinthe
transcriptandunauthoriseddistributionorpublicationmayalsobeinbreachofdataprotectionlegislation.
44.Examplesofwhatmayconstitutemisuseincludethefollowing:
(a)aparty(orrepresentativeofaparty)whohasobtainedatranscriptofahearing(orpartthereof)thatwasheldinprivatethenforwardsittoanindividualwhowasnotentitledtobepresentatsuchahearing;
(b)aparty(orrepresentativeofaparty)whohasobtainedsuchatranscript
forwardsittoapersontherebyidentifyinganyindividualinrespectofwhomananonymisationorderhasbeenmade;and
(c)aparty(orrepresentativeofaparty)publishesanalteredormisleadingversionofthetranscript,includingbyplacingitonlineoronsocialmedia(whichmayalsoattractcivilliability.)
45.Partiesareremindedoftheprohibitionssetoutinrule14,namely:
(1)TheTribunalmaymakeanorderprohibitingthedisclosureorpublicationof—(a)specifieddocumentsorinformationrelatingtotheproceedings;or
(b)anymatterlikelytoleadmembersofthepublictoidentifyanyperson
whomtheTribunal
considersshouldnotbeidentified.
(2)TheTribunalmaygiveadirectionprohibitingthedisclosureofadocumentorinformationtoapersonif—
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(a)theTribunalissatisfiedthatsuchdisclosurewouldbelikelytocausethatpersonorsomeotherpersonseriousharm;and
(b)theTribunalissatisfied,havingregardtotheinterestsofjustice,thatitisproportionatetogivesuchadirection.
(3)Ifaparty(“thefirstparty”)considersthattheTribunalshouldgiveadirectionunderparagraph(2)prohibitingthedisclosureofadocumentorinformationtoanotherparty(“thesecondparty”),thefirstpartymust—
(a)excludetherelevantdocumentorinformationfromanydocumentsthatwillbeprovidedtothesecondparty;and
(b)providetotheTribunaltheexcludeddocumentorinformation,andthereasonforitsexclusion,
sothattheTribunalmaydecidewhetherthedocumentorinformationshouldbedisclosedtothesecondpartyorshouldbethesubjectofadirectionunder
paragraph(2).
(4)TheTribunalmustconductproceedingsasappropriateinordertogiveeffecttoadirectiongivenunderparagraph(2).
(5)IftheTribunalgivesadirectionunderparagraph(2)whichprevents
disclosuretoapartywhohasappointedarepresentative,theTribunalmaygiveadirectionthatthedocumentsorinformationbedisclosedtothatrepresentativeiftheTribunalissatisfiedthat—
(a)disclosuretotherepresentativewouldbeintheinterestsoftheparty;and(b)therepresentativewillactinaccordancewithparagraph(6).
(6)Documentsorinformationdisclosedtoarepresentativeinaccordancewith
adirectionunderparagraph(5)mustnotbedisclosedeitherdirectlyorindirectlytoanyotherpersonwithouttheTribunal’sconsent.
46.Importantly,underrule14(7):
(7)UnlesstheTribunalgivesadirectiontothecontrary,informationaboutmentalhealthcasesandthenamesofanypersonsconcernedinsuchcasesmustnotbemadepublic.
47.Anapplicationtopublishatranscriptmaybemadeseparatelytotherelevant
DeputyChamberPresidentinHESCandwillbedecidedonacase-by-casebasis.TheTribunalcanexerciseitsauthoritytodiscloseinformationmorepublicly,butthismustbeexercisedconsistentlywitharangeofconsiderations,includingtheopen
justiceprinciple,theArticle6and8rightsofthepartiesandothers,andwiththeoverridingobjectiveofrule2oftheProcedureRulesinmind.Thismayinvolvetakingrepresentationsfromtheotherparty.
48.Anybreachoftheaboverulesislikelytobeconsideredacontemptofcourtwithanyappropriatesanctionattaching.
Accesstorecordings
49.GiventhatthemajorityofhearingsheldinHESCareheldinprivateandthereexistsscopeforunauthorisedonwarddissemination,noparty,representative,witnessor
memberofthepressorpublicwillbeprovidedwithacopyofanyaudiorecording
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madebyHMCTS,savethatinexceptionalcircumstances,theTribunalmaygive
accesstoallorpartofanaudiorecordingofahearingforwhichanapplicationhasbeenmadewithsupportingevidenceandexplanation.
50.Partiesandrepresentativesshould,astheyhavepreviouslydone,keepa
handwrittenrecordoftheproceedings,andwillhavetheTribunal’sdecisiontoframeanyonwardapplicationorappeal.
51.Whileitisnotpossibletoprovideanexhaustivelist,itisenvisagedthe
circumstanceswhereitisnecessaryandintheinterestsofjusticetoallowaccesstoaudiorecordingswillbelimitedto,forexample,ensuringtheeffectiveparticipationofavulnerablepartyorwitnessorbywayofreasonableadjustmentforapersonwithaseriousdisability.Insuchcircumstances,theTribunalwillbeentitledtoconsiderwhetheratranscriptissufficientandifnot,whynot,andwhy(ifappropriate)an
applicationwasnotmadebeforethehearing,andwhatstepstheindividualtookinadvanceofthehearingtoensureahandwrittenrecordwaskept.(ByRule2(4)
partiesmustco-operatewiththeTribunalgenerally.)
52.ItwouldnotbeanexceptionalcircumstanceforapartyorrepresentativetoapplytolistentoanaudiorecordingtobetterunderstandwhytheTribunalreachedthe
decision,sincethatwillbeapparentfromthewrittenreasonsforitsdecision.
53.Accesstoaudiorecordingsmaybegiventothejudiciaryandcomplaintsinvestigationbodies.
54.ATribunalmaylistentoallorpartofanaudiorecordingduringthecourseofahearingorwhenpreparingitsjudgement.
55.NothinginthisPresidentialGuidancehasanybearingonhow,ifatall,theUpper
TribunalmakesuseofaudiorecordingsortranscriptsinUpperTribunalhearingsinthecontextofanappeal.ThatisexclusivelyamatterfortheUpperTribunal.
56.Intheexceptionalcircumstancesthatacopyoftheaudiorecordingisissued,itis
for
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