Select Committee on Home Affairs First Report


FIRST REPORT

The Home Affairs Committee has agreed to the following Report:—

THE WORK OF THE CRIMINAL CASES REVIEW COMMISSION

A Background

Origin of the Criminal Cases Review Commission (CCRC)

1. The Criminal Cases Review Commission was established in response to calls for a new mechanism for redressing possible miscarriages of justice. Before it was established, the procedure for considering whether a particular conviction ought to be referred back to the Court of Appeal was that an application was made to the Home Office where it would be considered by officials and then put to the Home Secretary. This procedure was increasingly thought to be unacceptably slow, insufficiently independent, and to deliver too many wrong decisions.[1] As far back as 1976 Lord Devlin, in a Report[2] on Evidence of Identification in Criminal Cases, had raised the idea that there should be a new body, independent of the Home Secretary, which would take such decisions. In 1982, the then Home Affairs Committee made recommendations along similar lines;[3] these recommendations were not accepted by the then Government.[4]

2. During the1980s cases where persons might have been wrongly convicted continued to come to prominence. In March 1991, on the day that the Court of Appeal quashed convictions for murder in one high profile case (the case of the 'Birmingham Six'), the establishment of a Royal Commission on Criminal Justice, chaired by Lord Runciman, was announced. The Royal Commission was given wide-ranging terms of reference to examine the various stages of the criminal justice process, including "the arrangements for considering and investigating allegations of miscarriage of justice when appeal rights have been exhausted".

3. The Royal Commission reported in July 1993. Among many other proposed criminal justice reforms, it recommended the abolition of the Home Secretary's power to refer cases back to the Court of Appeal and the establishment of a new body, independent of government, which would be charged with receiving applications and considering whether they should be referred back to the Court of Appeal.[5] This recommendation was accepted by the then Government, and the new body was established under Part II of the Criminal Appeal Act 1995,[6] as the Criminal Cases Review Commission. Although the remit of the Royal Commission was limited to England and Wales, the Criminal cases Review Commission's remit covered Northern Ireland also; similar legislation establishing a separate body for Scotland followed in due course.[7]

4. A Chairman (Sir Frederick Crawford) was appointed in April 1996. Other members of the Commission, a Chief Executive, and other staff were appointed (and premises in central Birmingham acquired and fitted out) over the subsequent months, allowing the Commission to be formally established on 1 January 1997.

5. Cases outstanding in the Home Office and Northern Ireland Office at the end of March 1997 were transferred to the Commission, and applications after then were received directly by the Commission. Not all applications received are in fact eligible for review by the Commission. For those identified as eligible, the final decision required to be taken by the Commission is whether or not the case (which might involve a conviction or a sentence) should be referred back to the Court of Appeal. The Court can then either quash or uphold the conviction or sentence. The key statistics describing the activity of the Commission to the end of February 1999 are as follows:
APPLICATIONS RECEIVED:
Transferred to Commission at end Feb 97:
 from Home Office  270
 from Northern Ireland Office:   12
Received Apr 97-Feb 99: 2043
Total: 2325
ELIGIBILITY OF APPLICATIONS FOR REVIEW:
Identified as ineligible for review:  428
Eligibility awaiting assessment:  170
Eligible for review: 1727
Total: 2325
APPLICATIONS ELIGIBLE FOR REVIEW:
Applications still under consideration: 1428
Applications considered: application rejected:  259
referred to Court of Appeal:   40
Total: 1727
CASES REFERRED TO COURT OF APPEAL:[8]
Awaiting completion of consideration by the Court:   27
Cases considered:
 conviction or sentence quashed/reduced:   10 (8 convictions, 2 sentences)
 conviction or sentence upheld:    3 (2 convictions, 1 sentence)
Total:  40

This inquiry

6. This Committee took the view from an early stage that it was important for Parliament to maintain a close interest in the development of the new body. It took written and oral evidence from the Chairman and from the Chief Executive (Mrs Glenys Stacey) about its operations in October 1997,[9] while it was still in its very early days. The Committee returned to look at the subject a year later, taking written and oral evidence[10] both from the Commission and from a number of lawyers who had had dealings with it[11]. As a result of the issues raised, and in particular because of concern over the extent to which the Commission was failing to keep up with the rate of applications, the Committee decided to examine the Commission further and to prepare a short report. Members of the Committee accordingly visited the Commission's headquarters in Birmingham on 2 February 1999 and took oral evidence on the issue from the Home Secretary on 9 February.

7. With only 13 cases having yet been dealt with by the Court of Appeal, and with some of the original cases transferred from the Home Office still to be finally dealt with,[12] the Commission is still in the early days of its life. There are inevitably a number of issues on which it is too soon to form final judgements. Nevertheless our examination of its work so far has enabled some preliminary judgements to be made and some issues for possible concern to be identified.

The CCRC's procedures

8. Apart from the cases which were transferred from the Home Office and the Northern Ireland Office, the review process begins when an application is received. Most applicants—around 80%—are not legally represented at this point, and the application can come in in any form.[13]

*"stage 1": initial assessment

9. The application is then subjected to what the Commission terms a 'stage 1' examination by a small team of Commission staff specifically allocated to this role. This stage involves an initial assessment as to whether the application is eligible for review by the Commission: by February 1999, as already indicated, 428 cases had been rejected as ineligible. Often this was because the normal appeal process had not yet been exhausted. Eligible cases are then passed on to the Commission's 'stage 2', for substantive review.

10. During the stage 1 initial assessment, staff also take the necessary steps to obtain the basic required documentation and arrange for directions to be issued under s.17 or s.18 of the Act to ensure that papers relating to the case are preserved by the relevant authorities.[14] A preliminary assessment will also be made at this stage, for those cases which are eligible for review, of whether grounds exist for the case to be given any special priority (see paras 37-40 below). A judgement will also be made of whether the application appears to be one which, though eligible for review, contains no grounds on which it is likely to succeed even if the allegations contained in the application are found to be true; such cases will be passed on to stage 2, which is the stage at which the main review of all eligible applications takes place, but with a recommendation that it receive only an abbreviated review—the so-called 'short form of review'.[15]

*"stage 2": substantive review

11. At stage 2, a Case Review Manager (or 'caseworker')[16] and a Commission member are assigned to work on the case. The caseworker prepares a case action plan and discusses this with the assigned Commission member. The caseworker is in charge of going through all the documentation, making all the necessary inquiries (or arranging for them to be made), and—with the assigned Commission member—coming to a preliminary view on whether the case should be referred back to the Court of Appeal. When this process is judged to be complete, the case is put to a panel of three members of the Commission, who will decide whether the case should be referred back or the application rejected. If the application is one which has been assessed as suitable for the accelerated short form of review procedure, it will be subjected to a briefer review and put for decision for rejection by a single Commission member;[17] however, at any stage in this accelerated procedure a decision can be made that the case should after all be subjected to the full review process.[18]

*"stage 3": appointment of an 'Investigating Officer'

12. In a small number of cases (only 12 up to February 1999) a decision is taken that the inquiries which need to be made are such that there is a need for an outside investigation. The Commission can then appoint an 'investigating officer'—generally though not necessarily a police officer—under section 19 of the Act. The Commission refers to this part of the process as 'stage 3'.

The CCRC's resources

13. This work is carried out by 13 Commission members (excluding the Chairman), who serve mostly on a part-time basis. The Act establishing the Commission requires that at least one third of the members must be legally qualified and at least two thirds must have knowledge or experience of the criminal justice system.[19] At present, the Commission includes six people with specific qualifications as barristers or solicitors (as well as having other relevant experience), plus others from such fields as forensic psychiatry, the Serious Fraud Office, and the police.[20]

14. In addition to the senior management and advisory staff,[21] there are currently 29 Case Review Managers in post,[22] aged between 24 and 52 (with an average age of 32), appointed on 3 year contracts with—at present—the possibility of one renewal.[23] One of the reasons for the proposed limitation on the length of time a Case Review Manager might stay in post was to help to prevent any danger of the development of a "culture of disbelief" among caseworkers who had been in post for a long time. They have been appointed after very competitive recruitment exercises[24]; over half are barristers or solicitors and there are currently 3 former police officers. From the limited judgements we were able to make during our visit to Birmingham, and from the remarks made in the submissions we received from lawyers, we were impressed by the calibre of the people who had been recruited as Case Review Managers.[25] There are also over 20 other administrative and clerical staff.

15. The Commission has made a deliberate decision to make substantial use of opportunities provided by information technology to support its work. The Commission estimates that each case review generates around 2,000 pages of documentation.[26] In anticipation of a need for extensive electronic document storage and handling techniques, an integrated system was developed and introduced, in which the greater part of the voluminous documentation received by the Commission is scanned into the database, allowing much of it to be searched using 'data mining' techniques. The system is also designed to facilitate the generation of management information.

16. The Commission is funded by a Grant in Aid from within the Home Office programme of expenditure. The pattern of financing for the initial years was heavily influenced by start-up cost, including investment in information technology. Provisional funding levels were then set for the subsequent years under the Government's Comprehensive Spending Review. Rises in the figures were agreed by the Government in January 1999. The provision made or set down over the period 1996-2002 has been as follows:
£m (rounded)96-97 97-9898-99 99-0000-01 01-02
Pre-Jan 1999 figures: 0.5 3.8 4.4[27] 4.24.4 4.6
Increase in Jan 1999: 0.1 1.30.6 0.6
New totals: 4.5 5.55.0 5.2
Source: 1997-98 Annual Report (for 1996-98) and Home Office paper[28] (for 1998-2002)

17. The main problem brought to our attention, both by the Commission itself and by lawyers who have had dealings with the Commission, is that of delays in the consideration of cases. This raises issues of funding and resources, but it also raises issues about how the Commission approaches its work. It is helpful first of all to look at the role of the Commission, and the way it has approached its task, since this informs all the rest of the discussion.


1   See for example submissions from 'Justice' (Appendix 2) and Graysons (solicitors) (Appendix 5). Back

2   Report of the Departmental Committee on Evidence of Identification in Criminal Cases, April 1976, HC (1975-76) 338. Back

3   Miscarriages of Justice Sixth Report, session 1981-82, HC 421. Back

4   Cmnd. 8856. Back

5   Cm 2263, chapter 1. Back

6   Hereafter in this Report referred to as 'the Act'. Back

7   Crime and Punishment (Scotland) Act 1997 (section 25). Back

8   A full list of the cases referred to the Court of Appeal, with an indication of the outcome where the Court has completed its consideration, is at Annex A. Back

9   20 October 1997, HC (1997-98) 273. Back

10   15 December 1998, see Evidence p. 9. Back

11   Oral evidence was taken from Ms Kate Akester (Justice), Mr Adrian Clarke (Bindman & Partners), and Mrs Gareth Peirce (B M Birnberg & Co); written evidence was received from Justice, Bindmans (solicitors, London), Glaisyers (solicitors, Birmingham), Graysons (solicitors, Sheffield), Stephens & Scown (solicitors, Exeter). Written submissions were also received from Ms Tess Kingham MP and from 'Just Television' (producers of the TV series Trial and Error). Back

12   Over 100 of the cases originally referred from the Home Office and Northern Ireland Offices are still under review (information supplied by CCRC). Back

13   Q 112. Back

14   These will include, in particular, documents from the Court of Appeal, the police, and the prosecuting authority (CPS or Customs and Excise). Back

15   Sometimes abbreviated in the evidence to 'SFR'. Back

16   'Case Review Manager' is sometimes abbreviated in the evidence to 'CRM'. The term 'caseworker' is often used in place of Case Review Manager, although in practice 'caseworker' refers to any official (including a Commission member, who not infrequently acted as caseworkers in the early days of the Commission's operations) working on the case. Back

17   In practice, consideration of a case under the 'short form of review' procedure should involve no more than about a half day of a caseworker's time, following which a communication will be sent to the applicant indicating that the Commission is minded to reject the application and inviting the applicant to make further representations if wished. Back

18   In one case, exceptionally, it was identified during the accelerated short form of review procedure that a case not only had sufficient merit to justify a full review but that indeed a full review was not necessary because there was an element in the case which made it clearly appropriate for referral to the Court of Appeal; apart from such exceptional cases, the short form of review procedure is only applicable to applications which are to be rejected. Back

19   Criminal Appeal Act 1995, s. 8, which also lays down particular requirements to ensure that experience of the Northern Ireland law and criminal justice system is present on the Commission. Back

20   The full list of the present commissioners and their occupations is attached at Annex B to this Report. Lawyer witnesses suggested that the composition of the Commission could be improved in terms of the areas of expertise represented, with the desirability of defence solicitors and investigative journalists specifically mentioned (Q39). Back

21   Including 2 legal advisers and 1 police adviser. Back

22   As at March 1999. Back

23   Q53; we refer to this issue again at para 47 below. Back

24   Q148. Back

25   Though we note a submission from the television production company 'Just Television' suggesting that there was a need to ensure that the skills of individual caseworkers were matched to the right cases for those skills. Back

26   See CCRC Annual Report 1997-98 pp. 14-15. Back

27   This £4.4m includes £0.4m originally allocated for IT expenditure in 1997-98 later transferred to 1998-99. Back

28   See Appendix 10. Back


 
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