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You are here: BAILII >> Databases >> England and Wales Court of Appeal (Civil Division) Decisions >> B (Children) (Abduction: Consent: Oral Evidence) (Article 13(B)) (Rev1) [2022] EWCA Civ 1171 (19 August 2022) URL: http://www.bailii.org/ew/cases/EWCA/Civ/2022/1171.html Cite as: [2022] WLR(D) 359, [2023] Fam 77, [2022] EWCA Civ 1171, [2022] 3 WLR 1315 |
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ON APPEAL FROM HIGH COURT OF JUSTICE
FAMILY DIVISION
MR G KINGSCOTE QC sitting as a DEPUTY HIGH COURT JUDGE
FD22P00140
Strand, London, WC2A 2LL |
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B e f o r e :
LORD JUSTICE MOYLAN
and
LADY JUSTICE ANDREWS
____________________
Re:- B (Children) | ||
(Abduction: Consent: Oral Evidence) (Article 13(b)) |
____________________
James Turner QC and Edward Bennett (instructed by Dawson Cornwell Solicitors) for the Respondent Father
Henry Setright QC and Anita Guha (instructed by Goodman Ray Solicitors) for the Intervener
Hearing date : 4 August 2022
____________________
Crown Copyright ©
This judgment was handed down by the Judge remotely by circulation to the parties' representatives by email and release to The National Archives. The date and time for hand-down is deemed to be 10:30am on 19th August 2022.
Lord Justice Moylan:
Background
Proceedings
"(the parents) have been looking for a way to earn an income in order to be able to secure housing that would allow them to start all the necessary procedures to regularise their documentation (a tenancy agreement was urgently needed) as well as to be able to establish their residence definitively in search of stability."
There was then reference to the family having been "granted social emergency financial aid to help them pay their rent" and to the parents being assisted with processing documentation for residence permits and the registration of the children. It is clear that social services were still engaging with the family up to the date of the children's departure to England. They had continued "to provide (the parents) with information and guidance on access to resources, services and/or social benefits". The father collected "the last cheque of the social emergency aid that he had been granted by social services" in October 2021.
"The support which the family could access would depend on its administrative situation in Spain and its economic situation. Social emergency support from municipal Social Services is temporary, limited to a few months, based on the assessment of the family situation, as indicated above.
If the family does not have accommodation with the basic conditions of habitability and equipment, social services could respond for the children/minors, if it is considered that they are in a situation of possible vulnerability, having to adopt child protection measures foster care in juvenile centres." (emphasis in original)
It can be seen that the entitlement to support would depend on the family's "administrative situation". It was also said that registering with "the municipal social services of the town hall is fundamental for access to any type of assistance " (emphasis in original). The second paragraph quoted above makes clear that, if the children's basic needs were not being met, they could be placed in "foster care in juvenile centres".
Judgment
"The proceedings are summary and oral evidence is very much the exception, rather than the rule. He observed that there was no obvious reason why Art 13(b) defences should not include oral evidence but defences of consent and acquiescence under Art 13(a) should be heard with oral evidence."
The judge then noted that "Peel J agreed with the views of Mostyn J in" Re IK (A Child) [2022] EWHC 396 (Fam) and said that, after the hearing, counsel had sent him MacDonald J's decision in E v D [2022] EWHC 1216 (Fam) in which an application to hear oral evidence in relation to consent had been refused.
"I did not consider that I needed oral evidence to determine the issue of consent justly."
"112. The mother's case is that there is a grave risk of the children being exposed to physical or emotional harm on their return for the following reasons:
i) She has suffered domestic abuse and coercive control from the father including a threat to kill her made on 11 May 2022 and the children would be exposed to that abuse.
ii) She and the children have uncertain immigration status and can only remain in Spain for 90 days out of 180.
iii) She and the children would lack basic necessities and would have insufficient financial support. She says that was one of the reasons why the children were taken into care in August 2020. The children faced going back into care.
iv) The children would face the prospect of being separated from their mother if she were arrested.
v) The children might be abducted to Morocco."
The last of these was no longer relied on for the purposes of this appeal.
"I consider all five reasons below. In doing so I bear firmly in mind that under the checklist in Re IG at para 47(4) where the allegations are disputed, I should first establish whether, if true, there would be a grave risk that the children would be exposed to physical or psychological harm or otherwise placed in an intolerable situation. If so, the court must then establish how the child can be protected from the risk. In essence, I have to take these allegations at their highest on the evidence before me."
The judge then separately analysed each of the matters relied on by the mother under (i), (ii), (iii) and (iv) (as set out above) in turn. He did not consider or analyse their potential collective effect. Rather, at the end of each he said words to the effect that the mother's allegations did not reach the Article 13(b) threshold.
"The mother's case is that:
i) The father was controlling throughout the relationship.
ii) He was verbally abusive and would threaten her and try to hit her.
iii) He would lock her in the house.
iv) He was controlling with the children too and would lock them in.
v) He became physically abusive when the children were taken into care and would 'hit her' and 'chuck' her around when she was pregnant with B after he had been drinking.
vi) When the children were returned to them by social services, the father would be controlling and abusive and continued to hit her. He would lock the mother and the children in the house.
vii) He has continued to send abusive messages, but she does not have any record of these because she got a new phone as he was so abusive.
viii) The father threatened to kill the mother on 11 May 2022 during a video call, if he lost the case."
"121. I have to consider in concrete terms the situation that would face the children on return. In taking the allegations at their highest I do not consider that they reach the high test of grave risk that is required for Art 13(b). In reaching that conclusion I bear in mind the following."
The matters which followed comprised a number of factors which included that the parents would not be living together, that the father had given undertakings (not to threaten the mother or subject her to any violence and not to go to her place of residence) and that there is a bespoke Domestic Violence Court in Spain. In addition, he said that the mother "has not made allegations that the father has been physically violent or abusive to the children"; that the mother had "invited the father to move close to her in England and have regular contact with the children"; that the father "was identified as the protective factor in the family and concerns were not expressed about domestic violence by Spain in the lengthy period of time that they (Spanish Social Services) worked with the family".
Submissions
"where the allegations are disputed, I should first establish whether, if true, there would be a grave risk that the children would be exposed to physical or psychological harm or otherwise placed in an intolerable situation. If so, the court must then establish how the child can be protected from the risk. In essence, I have to take these allegations at their highest on the evidence before me."
He submitted, however, that the judge did not undertake an analysis which was consistent with that approach and, as a result, had failed properly to evaluate the risks to the children on a return to Spain. He submitted, adopting what I had said in In re A (Children) (Abduction: Article 13(b)) [2021] 4 WLR 99 ("Re A"), that the judge had fallen "between two stools" in that he had not considered the nature of the risks if the mother's allegations were true nor had he been in a position confidently to discount the possibility that the allegations gave risk to an Article 13(b) risk. As a result, the judge had also been "distracted" from considering what effective protective measures were available if the allegations were true.
"the courts have relatively often permitted oral evidence where the defences of consent or acquiescence are advanced (and occasionally, more in the past than in contemporary practice where habitual residence is disputed). Where that course is permitted, normally there is an assiduous approach to the limiting of oral evidence to the issue, and to the areas of evidence for which it is essentially needed."
Like Mr Turner, he pointed to the difference between Article 13(b) and consent. The latter is a fact-finding exercise while the former is not. The former is not, because to embark on such an exercise when determining a case under Article 13 (b) would encroach "on both the summary aspect of the jurisdiction, and on the welfare jurisdiction of the requesting state, and which can be a difficult exercise on balanced written evidence if the parties are not heard orally". The latter is a fact-finding exercise and one in respect of an issue which, Mr Setright submitted, goes to the "heart of the case" when consent is relied upon.
Legal Framework
Consent
"9. The court is fully accustomed to determining a risk of harm defence under article 13(b) summarily and without oral evidence. When raised, that defence is almost invariably hotly contested. Notwithstanding the existence of disputes of fact, and the presence of much controversy about the availability of safeguards, the court always determines the availability of that defence, and, where it arises, how the consequential discretion should be exercised, summarily and without oral evidence. In my judgment that process should, in principle, apply to all available defences. I do not understand why the factual and discretionary issues which arise on a settlement defence routinely warrant the confrontation of witnesses in cross-examination, whereas the factual and discretionary issues which arise on a risk of harm defence do not. It is not as if the factual and discretionary issues arising under a settlement defence have some kind of special quality which is absent from a risk of harm defence. Nor do I think that because some of the evidence about settlement, or about the existence and quality of the children's objections, comes from an FCA an entitlement to cross-examine her inevitably arises.
10. It might be said, because aspects of these defences fall within the professional remit of an FCA, that the court will place greater weight on such evidence than on evidence given by a party to the proceedings, and therefore there arises a right to confront the FCA in cross-examination. I categorically reject that argument. I repeat, these are summary, procedural, interim proceedings. I can see that procedural fairness will generally insist that in substantive proceedings concerning the welfare of children, a party should be entitled to confront in cross-examination an FCA who has given evidence adverse to that party. But no such right arises on interim procedural applications.
11. In my judgment, whenever it is suggested that oral evidence should be given in an outward return case under the 1980 Hague Convention, whether by a party or by an FCA, the court should strictly apply paragraph 3.8 of the Practice Guidance. The court will have in mind that to permit oral evidence is highly exceptional. It will need to be satisfied that oral evidence is "necessary" to resolve the proceedings justly. In my judgment the criterion of necessity should be interpreted and applied in accordance with In re H-L (A Child) (Care Proceedings: Expert Evidence) [2013] EWCA Civ 655, [2014] 1 WLR 1160, para 3, where Sir James Munby P held that the meaning of "necessary" in FPR r 25.4(3) (and, by extension, in section 13(6) of the Children and Families Act 2014), had the connotation of the imperative, of what is demanded rather than what is merely optional or reasonable or desirable.
12. In my judgment, that definition should apply to cases governed by paragraph 3.8 of the Practice Guidance. The court should allow oral evidence only where it is demanded to resolve the case justly. It should not allow oral evidence where it is merely reasonable or desirable to have it."
"8. Counsel flagged up in their Opening Notes that I might be expected to receive oral evidence from no fewer than 4 witnesses; in the end I heard from 3 (M, F and F's wife), somewhat against my better judgment. In ES v LS [2021] EWHC 2758 (Fam) Mostyn J deplored the tendency to adduce oral evidence in almost every 1980 Hague Convention case, and outlined why ordinarily there should be no oral evidence given. I understand that the decision has attracted some controversy, but I agree with Mostyn J. Conventionally, no oral evidence is received in cases where Article 13(b) is pleaded. As Mostyn J said, there is no obvious reason why that defence generally proceeds without oral evidence, but other defences, including consent, proceed with oral evidence. Nowadays, there is usually placed before the court a plethora of emails, text messages, WhatsApps and the like which enable the judge to see real-time documentation, in chronological form. When the court is required to exercise its summary jurisdiction within the set criteria of the Hague Convention, it seems to me that usually such material (and any other written evidence supplied) will enable the court to do so. Contemporaneous documentation of this nature is likely to be the most valuable evidence for the court. I am confident that in this case, had I not received oral evidence but confined myself to the written narrative evidence, documentation, and oral submissions, I would have reached the same decision."
Neither of these authorities referred to earlier decisions addressing the issue of oral evidence in 1980 Convention cases.
"There is a real danger that if oral evidence is generally admitted in Convention cases, it would become impossible for them to be dealt with expeditiously and the purpose of the Convention might be frustrated the admission of oral evidence in Convention cases should be allowed sparingly."
However, contrary to the approach proposed in both ES v LS and Re IK, it has also long been established that, in respect of the issue of consent, that threshold will more often be crossed.
"[13] Now there are a number of cardinal case management rules that seem to me to have been disregarded on 23 September. First of all oral evidence in Hague cases is very seldom ordered. We have been told by Mr Scott-Manderson that there is an increasing tendency for applications for oral evidence to be advanced at the case management stage. There should be no departure from the well-recognised proposition that Hague applications are for peremptory orders to be decided on written evidence amplified by oral submissions.
[14] There are, of course, rare cases which demand the opportunity for the judge to hear from the parties on a narrow issue that is in contention. Classically oral evidence will be limited to those cases where the issue for the court is whether or not an agreement was reached between the parents sufficient to establish the defence of consent. I would accept Mr Scott-Manderson's submission that there is not the same requirement for oral evidence in a case in which the defence asserted is not consent but acquiescence. Although those two defences have much in common, in the sense that they are divided by the time line of the removal, as Mr Scott-Manderson correctly submits, the concept of acquiescence is altogether more nebulous and there will seldom be one distinct conflict of evidence for the determination of which the judge would be dependent upon hearing from the parties orally.
[15] Not only should orders for oral evidence be extremely rare but, in my judgment, they should never be made in advance of the filing of written statements on the point in issue. Here His Honour Judge Jenkins found himself obliged to reach a decision whether or not to order oral evidence without having seen how the parties put their cases in written statements.
[16] Finally, if there were to be the exceptional provision for oral evidence, it should have been more strongly expressed to ensure that the parties understood that this was not an opportunity to express their cases on the generality. It was strictly limited in its ambit and should have been equally limited in its duration, so that the preparation for the trial from the point of the last case management order and the trial itself should have been disciplined by the clearest restrictions in the order of 23 September." (emphasis added)
The words I have emphasised make clear that Thorpe LJ, whose very considerable experience in this area does not need repeating, clearly recognised that the court is more likely to permit oral evidence for the purposes of fairly determining whether the left-behind parent consented to the removal/retention.
"[27] The written messages on social media, in emails and texts allow a straightforward analysis of parental attitudes at various stages. Although it is customary to permit oral evidence at summary return hearings where consent and acquiescence are in issue, the reality is that the extant written material permits a far more reliable assessment than the oral accounts particularly where, as here, the parties have such a strong investment in winning the arguments as to what the past comprised."
This passage, as well as referring to oral evidence as being "customary", also made the sound observation that contemporaneous written materials provide a "more reliable" foundation for determining whether the left-behind parent consented.
"[3] At the outset of the hearing, the father applied through Ms Kandal for the court to hear oral evidence on the issue of consent. The court has before it extensive written evidence. At a time when he was a litigant in person, the father filed and served a statement running to some three hundred pages including exhibits. That statement sets out in intricate detail the basis on which the father contends that the mother consented to the retention of V in the jurisdiction of England and Wales on or around 4 January 2022. In her statement in reply, the mother provides a point by point rebuttal of the father's case. Within this context, and having regard to the rarity with which the court will accede to applications to permit oral evidence in summary proceedings under the 1980 Convention, I declined to permit oral evidence, satisfied as I was that the court had sufficient documentary evidence to determine summarily the issues before it fairly."
"The normal procedure is that proceedings pursuant to the Hague Convention are heard on affidavit. This accords with the spirit and intendment of the Convention and the Revised Regulation. Order 133, rule 5 of the Rules of the Superior Courts accords with that approach. However it is clear that where there are irreconcilable differences emerging between the parties on the affidavit evidence pertaining to matters of crucial importance which are not otherwise capable of resolution without the hearing of oral evidence then if the court considers it necessary to do so and remains otherwise unable to resolve the issue the trial judge is entitled in her discretion, contrary to the normal convention, to hear oral evidence to determine a specific narrow issue such as whether or not the child in question was moved abroad by reason of and in reliance upon a true and informed consent of the left behind parent to a permanent removal of the child which consent was unequivocal and positive and continued to be operative as of the date of the removal such that the removing parent was entitled to and did actively and directly place reliance upon it for the purpose of effectuating the said removal "
Ms Justice Maire Whelan went on to say, at [62], that "it is incumbent on the court to keep oral hearings to a minimum".
"(d) Oral Evidence
3.8. The court will rarely make a direction for oral evidence to be given. Any party seeking such direction for oral evidence will need to demonstrate to the satisfaction of the court that oral evidence is necessary to assist the court to resolve the proceedings justly. Any party seeking to rely on oral evidence should raise the issue at the earliest available opportunity and no later than the pre-hearing review."
The Practice Guidance is in the process of being reviewed and updated.
Article 13(b)
" the judicial or administrative authority of the requested State is not bound to order the return of the child if the person, institution or other body which opposes its return establishes that there is a grave risk that his or her return would expose the child to physical or psychological harm or otherwise place the child in an intolerable situation."
Given the extensive analysis of this provision in many authorities including, in particular Re E, I propose to deal with this briefly.
"There is obviously a tension between the inability of the court to resolve factual disputes between the parties and the risks that the child will face if the allegations are in fact true. Mr Turner submits that there is a sensible and pragmatic solution. Where allegations of domestic abuse are made, the court should first ask whether, if they are true, there would be a grave risk that the child would be exposed to physical or psychological harm or otherwise placed in an intolerable situation. If so, the court must then ask how the child can be protected against the risk. The appropriate protective measures and their efficacy will obviously vary from case to case and from country to country."
This was repeated by Baker LJ in Re IG when he said, at (47):
"(4) When the allegations on which the abducting parent relies to establish grave risk are disputed, the court should first establish whether, if they are true, there would be a grave risk that the child would be exposed to physical or psychological harm or otherwise placed in an intolerable situation. If so, the court must then establish how the child can be protected from the risk
(7) If the judge concludes that the allegations would potentially establish the existence of an Article 13(b) risk, he or she must then carefully consider whether and how the risk can be addressed or sufficiently ameliorated so that the child will not be exposed to the risk."
"The question of whether article 13(b) has been established requires a consideration of all the relevant matters, including protective measures "
However, as that case also demonstrated, quoting from Black LJ, as she then was, in Re K [2015] EWCA Civ 720 at [53], absent the court being able "confidently to discount the possibility that the allegations give rise to an article 13(b) risk", conflating the process set out in Re E creates the risk that the judge will fail properly to evaluate the nature and level of the risk(s) if the allegations are true and/or will fail properly to evaluate the sufficiency and efficacy of any protective measures.
Determination
(a) "I therefore do not find that the allegations of domestic violence reach the threshold for Art 13(b)":
(b) "I do not consider that the children will be exposed to a grave risk under Art 13 (b) of being placed in an intolerable situation on return as a result of their immigration status. I consider that the judicial system will be in a position to deal with that issue in any proceedings. I further consider that Spanish social services have, and will continue, to assist the parents on this issue";
(c) "I do not consider that the mother's concerns about lacking financial necessities reach the threshold required by Art 13 (b) that the children would be placed in an intolerable situation"; and "The mother expressed concern that the children would likely be placed back in care. The children would not be returned to foster care. They would be returned with their mother"; and
(d) "I am not satisfied that a removal from their mother would potentially expose the children to a grave risk under Art 13 (b)"
Conclusion
Lady Justice Andrews:
Lord Justice Bean: