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Fact finding in the Court of Protection
The President’s view: in the matter of AG [2015] EWCOP 78
AG is a 30 year old lady diagnosed as having a moderate learning disability, an autistic
spectrum disorder and depression. Following allegations of abuse AG left home to reside in
a property with a 24 hour care package. This package broke down, and on 16 November
2011 AG was moved to a new placement. An urgent DOLS authorisation was granted,
followed by a standard authorisation on 22 November 2011.
The local authority applied to the Court of Protection, and a hearing in front of HHJ Rogers
took place on 2 November 2012. It was determined that AG lacked the capacity to litigate, or
to make decisions about residence, care, contact and her finances. The local authority’s
care plan, which included provisions for AG to move to a supported living placement, was
also sanctioned.
On 3 September 2013 HHJ Rogers made final declarations regarding AG’s best interests,
including decisions relating to contact with her mother, residence, and her care package.
This order was appealed by DG. The following grounds of appeal were dismissed by the
President, Sir James Munby:
Ground 1: the Judge had erred in not requiring a reassessment of capacity
The court was not required to revisit the issue of capacity at the final hearing where there
was no evidence to suggest that AG’s capacity had changed. The judge was entitled to rely
on the unchallenged opinions given by professionals, neither of whose reports had given any
support to the proposition that AG might develop capacity:
[15] ...Ms Khalique QC submit[s] that DG’s attempt before Judge Rogers in September 2013
to re-open the issue of AG’s capacity was not merely contrary to the unchallenged opinions
of Dr Carpenter and Mr Luck considered by Judge Rogers in November 2012, neither of
whose reports had given any support to the proposition that AG might develop capacity, but
was, moreover, unsupported by any new evidence…..As Ms Khalique correctly points out,
there was no evidence to suggest that AG’s capacity was fluctuating, dynamic or likely to
alter in the future.
The President concluded at [17] that “the task of a judge sitting in the Court of Protection is
to concentrate on the issues that really need to be resolved rather than addressing every
conceivable legal or factual issue”, and that whilst “there are cases where expert opinion or
observable events will point to the need to keep the question of capacity under review…This
was not such a case.”
Ground 2: the Judge failed to make relevant findings of fact
The thrust of this allegation was that it was necessary for the Judge to make findings of fact
in relation to the events that had triggered the proceedings in 2011. Sir James Munby
reviewed an established line of authorities including A County Council v DP, RS, BS (By the
Children’s Guardian) [2005] EWHC 1593 (Fam), Re W (Care Proceedings) [2008] EWHC
1118 (Fam), [2010] and the decision of Cobb J in LBX v TT (By the Official Solicitor as her
Litigation Friend), MJ, WT, LT [2014] EWCOP 24.!!
!
At [29] of his judgment, the President said this:
First, as Ms Khalique points out, by reference to the decision of Wall J, as he then was, in
Re S (Adult’s Lack of Capacity: Care and Residence) [2003] EWHC 1909 (Fam), [2003] 2
FLR 1235, para 13, it is important to remember that, unlike in the case of care proceedings
in relation to a child, there is no requirement to establish ‘threshold’ in the case of
proceedings in relation to an adult, whether the proceedings are brought in the High Court
under the inherent jurisdiction or, as here, in the Court of Protection.
He agreed with the analysis given in Re S (Adult’s Lack of Capacity: Care and Residence)
[2003] EWHC 1909 (Fam) where Wall J stated: “It does not follow, in my judgment, that the
proceedings must be dismissed simply because the factual basis upon which the local
authority instituted them turns out to be mistaken, or because it cannot be established on the
balance of probabilities. What matters…is which outcome will be in S’s best interests.”
Further, it was necessary to look at the decision not to have a fact finding hearing in context
[34]: “As Ms Khalique puts it, although the proceedings had been issued against the
background of the safeguarding concerns arising out of the various allegations, matters had
progressed and the court was faced with a different landscape.”
The Judge’s decision as to where AG should live which was a fait accompli;
The President also rejected DG’s submission that the order providing for AG to move to a
new placement left her in an impossible position, having to face, in effect, a fait accompli.
There was a breach of Article 8 in that contact should be ‘heavily’ supervised
The President dismissed this ground:
[51] “Ms Lattimer and!Ms Khalique submit that the approach adopted by Judge Rogers was
entirely appropriate, securely founded in the evidence and appropriately directed to the early
implementation of a regime of more frequent and less stringently supervised contact. His
decision, they say, was neither wrong nor unjust. Whatever interference with family life his
approach entailed, was, in all the circumstances, they say, necessary and proportionate.
There was, they submit, no breach of anyone’s rights under Article 8. They point in support
of this contention to the principles articulated by the Court of Appeal in K v LBX and Others
[2012] EWCA Civ 79, [2012] COPLR 411.
[52] I agree with Ms Lattimer and Ms Khalique.
As a final observation, the President said this:
[56] “Ms Khalique submits, and I am inclined to agree, that the local authority acted
unlawfully in removing AG from OG in November 2011 and placing her at HH without having
first obtained judicial sanction. Local authorities must seek and obtain appropriate judicial
authority before moving an incapacitous adult from their home into other accommodation.
Local authorities do not themselves have power to do this.”
Conclusions
It is clear that the President supports the approach developed through the authorities in the
family jurisdiction. The guidance has been adopted and the principles articulated by the
Court of Appeal in K v LBX and Others [2012] EWCA Civ 79, and should be applied to fact
finding in the Court of Protection. Where there are disputed issues of fact, the court may
need to resolve them if they lie at the heart of the decision as to what is in P’s best interests
and the court must decide whether the degree of enquiry undertaken is sufficient to inform
the decisions in respect of future planning that the court is tasked with making.
Nageena Khalique QC
(Counsel instructed by the Official Solicitor on behalf of AG)
Rachel Thomas (Pupil)
25 November 2015

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Fact Finding in the Court of Protection 2

  • 1. Fact finding in the Court of Protection The President’s view: in the matter of AG [2015] EWCOP 78 AG is a 30 year old lady diagnosed as having a moderate learning disability, an autistic spectrum disorder and depression. Following allegations of abuse AG left home to reside in a property with a 24 hour care package. This package broke down, and on 16 November 2011 AG was moved to a new placement. An urgent DOLS authorisation was granted, followed by a standard authorisation on 22 November 2011. The local authority applied to the Court of Protection, and a hearing in front of HHJ Rogers took place on 2 November 2012. It was determined that AG lacked the capacity to litigate, or to make decisions about residence, care, contact and her finances. The local authority’s care plan, which included provisions for AG to move to a supported living placement, was also sanctioned. On 3 September 2013 HHJ Rogers made final declarations regarding AG’s best interests, including decisions relating to contact with her mother, residence, and her care package. This order was appealed by DG. The following grounds of appeal were dismissed by the President, Sir James Munby: Ground 1: the Judge had erred in not requiring a reassessment of capacity The court was not required to revisit the issue of capacity at the final hearing where there was no evidence to suggest that AG’s capacity had changed. The judge was entitled to rely on the unchallenged opinions given by professionals, neither of whose reports had given any support to the proposition that AG might develop capacity: [15] ...Ms Khalique QC submit[s] that DG’s attempt before Judge Rogers in September 2013 to re-open the issue of AG’s capacity was not merely contrary to the unchallenged opinions of Dr Carpenter and Mr Luck considered by Judge Rogers in November 2012, neither of whose reports had given any support to the proposition that AG might develop capacity, but was, moreover, unsupported by any new evidence…..As Ms Khalique correctly points out, there was no evidence to suggest that AG’s capacity was fluctuating, dynamic or likely to alter in the future.
  • 2. The President concluded at [17] that “the task of a judge sitting in the Court of Protection is to concentrate on the issues that really need to be resolved rather than addressing every conceivable legal or factual issue”, and that whilst “there are cases where expert opinion or observable events will point to the need to keep the question of capacity under review…This was not such a case.” Ground 2: the Judge failed to make relevant findings of fact The thrust of this allegation was that it was necessary for the Judge to make findings of fact in relation to the events that had triggered the proceedings in 2011. Sir James Munby reviewed an established line of authorities including A County Council v DP, RS, BS (By the Children’s Guardian) [2005] EWHC 1593 (Fam), Re W (Care Proceedings) [2008] EWHC 1118 (Fam), [2010] and the decision of Cobb J in LBX v TT (By the Official Solicitor as her Litigation Friend), MJ, WT, LT [2014] EWCOP 24.!! ! At [29] of his judgment, the President said this: First, as Ms Khalique points out, by reference to the decision of Wall J, as he then was, in Re S (Adult’s Lack of Capacity: Care and Residence) [2003] EWHC 1909 (Fam), [2003] 2 FLR 1235, para 13, it is important to remember that, unlike in the case of care proceedings in relation to a child, there is no requirement to establish ‘threshold’ in the case of proceedings in relation to an adult, whether the proceedings are brought in the High Court under the inherent jurisdiction or, as here, in the Court of Protection. He agreed with the analysis given in Re S (Adult’s Lack of Capacity: Care and Residence) [2003] EWHC 1909 (Fam) where Wall J stated: “It does not follow, in my judgment, that the proceedings must be dismissed simply because the factual basis upon which the local authority instituted them turns out to be mistaken, or because it cannot be established on the balance of probabilities. What matters…is which outcome will be in S’s best interests.” Further, it was necessary to look at the decision not to have a fact finding hearing in context [34]: “As Ms Khalique puts it, although the proceedings had been issued against the background of the safeguarding concerns arising out of the various allegations, matters had progressed and the court was faced with a different landscape.” The Judge’s decision as to where AG should live which was a fait accompli; The President also rejected DG’s submission that the order providing for AG to move to a new placement left her in an impossible position, having to face, in effect, a fait accompli.
  • 3. There was a breach of Article 8 in that contact should be ‘heavily’ supervised The President dismissed this ground: [51] “Ms Lattimer and!Ms Khalique submit that the approach adopted by Judge Rogers was entirely appropriate, securely founded in the evidence and appropriately directed to the early implementation of a regime of more frequent and less stringently supervised contact. His decision, they say, was neither wrong nor unjust. Whatever interference with family life his approach entailed, was, in all the circumstances, they say, necessary and proportionate. There was, they submit, no breach of anyone’s rights under Article 8. They point in support of this contention to the principles articulated by the Court of Appeal in K v LBX and Others [2012] EWCA Civ 79, [2012] COPLR 411. [52] I agree with Ms Lattimer and Ms Khalique. As a final observation, the President said this: [56] “Ms Khalique submits, and I am inclined to agree, that the local authority acted unlawfully in removing AG from OG in November 2011 and placing her at HH without having first obtained judicial sanction. Local authorities must seek and obtain appropriate judicial authority before moving an incapacitous adult from their home into other accommodation. Local authorities do not themselves have power to do this.” Conclusions It is clear that the President supports the approach developed through the authorities in the family jurisdiction. The guidance has been adopted and the principles articulated by the Court of Appeal in K v LBX and Others [2012] EWCA Civ 79, and should be applied to fact finding in the Court of Protection. Where there are disputed issues of fact, the court may need to resolve them if they lie at the heart of the decision as to what is in P’s best interests and the court must decide whether the degree of enquiry undertaken is sufficient to inform the decisions in respect of future planning that the court is tasked with making. Nageena Khalique QC (Counsel instructed by the Official Solicitor on behalf of AG) Rachel Thomas (Pupil) 25 November 2015