HESC 中的聽證會錄音和錄音轉(zhuǎn)錄 （英）

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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