AnnualReport201617

JudicialConductInvestigationsOffice
RoyalCourtsofJustice
81&82QueensBuilding
Strand
London
WC2A2LL

Telephone: 02070734719
Email: inbox@jcio.gsi.gov.uk

Published:11September2017

Thispublicationisavailableathttp://judicialconduct.judiciary.gov.uk/
 Contents

Page

Introduction 1

Staffing,financesandperformance 3

Receipts 4

Breakdownofcomplaintsbyjudicialoffice 5

Breakdownofcomplaintoutcomes 6

Disciplinaryaction 7

JudicialAppointments&ConductOmbudsman 8

Introduction









Iampleasedtointroducethe2016/17reportoftheJudicialConductInvestiga
tionsOffice(JCIO).ThisismyfirstreportasheadoftheJCIO,aroleItookupin
November2016,andholdjointlywithmyjobsharepartner,JoannaOtterburn.

Thejudiciaryinthiscountryisregardedasaworldwidebenchmarkforintegrity,
excellenceandprofessionalism.Anumberoffactorscontributetothis,withthe
mostcentralbeingthatjudicialofficialholdersare,andareseentobe,independ
ent.Anotherfactoristhatmembersofthejudiciaryareexpectedtomaintainthe
higheststandardsofconductinboththeirprofessionalandprivatelives.Thisis
complementedbyadisciplinaryprocesswhichenablesallegationsofmisconduct
againstjudicialofficeholderstobedealtwithconsistently,fairlyandefficiently.

TheJCIOsroleistosupporttheLordChancellorandLordChiefJusticeintheir
jointstatutoryresponsibilityforjudicialdiscipline.TheJCIOisanadvisorybody.It
providesadvicetotheLordChancellorandLordChiefJusticeondisciplinaryis
sues,buthasnopowertomakeafindingthatajudicialofficeholderhascommit
tedmisconductortoimposeadisciplinarysanction.ItisfortheLordChancellor
andLordChiefJusticetodecidejointlywhetherajudicialofficeholdersactions
amountedtomisconductand,ifso,todeterminetheappropriatesanction.

1
Thejudiciarycomprisesapproximately26,000individualsservingacrossarangeofjuris
dictions.TheJCIOreceived2,126complaintsin2016/17,comparedto2,609in2015/16.
Theteamalsodealtwith526writtenenquiries,comparedto662in2015/16.Itisatesta
menttothehighstandardsofconductmaintainedbyjudicialofficeholdersthat,in
2016/17,only42investigationsresultedintheLordChancellorandLordChiefJusticetak
ingdisciplinaryaction.

TheJCIOcanonlyconsidercomplaintsaboutmisconduct;itcannotdealwithcomplaints
abouttheoutcomeofacase.Asignificantpartofourdaytodayworkthereforeinvolves
explainingtocomplainantsthatthedisciplinaryprocesscannotbeusedtochallenge
thesesortsofdecisions.Inadditiontodealingwithcomplaintsandenquiries,theJCIO
providessupporttootherbodieswhichhavearoleinthedisciplinaryprocess.In
2016/17,forexample,theteamprovidedtrainingtotribunalspresidentsteamsonin
vestigativeproceduresandworkedwithofficialsinHerMajestysCourtsandTribunals
Servicetodeveloptrainingforadvisorycommitteesoninvestigatingcomplaintsagainst
magistrates.

IamverygratefultotheJCIOteamforitshardworkandprofessionalismduringachal
lengingyear.JCIOstaffcarriedouttheirworkduringaperiodofsignificantvacancies;
nonethelesstheJCIOmetallofitskeyperformanceindicators.ClareFarren,whohas
actedasjointheadoftheJCIOduringJoannaOtterburnsmaternityleave,deservespar
ticularthanksforherefforts.IwouldalsoliketothankmypredecessorJudithAnckorn
whomovedontoanewrolelastyear.Judithwashighlyregardedforherknowledge,ex
pertiseandleadership.IamverygratefulforJudithsexcellentworkinthisrole.

Lookingahead,Iamcommittedtoensurethatwecontinuetomeetourtargetswhile
improvingourprocessesandenhancingthequalityofourwork.Ialsowanttolookat
waystopromoteunderstandingofourrolewithinthejudiciaryandelsewhere.

StephanieHack
Joint Head of the Judicial Conduct Investigations Office

2
Staffing

TheJCIOhasastaffingcomplementof15.Itwasoperatingwithtwovacantpostsatthe
endof2016/17.

Finances

TheJCIOisnotrequiredtoproduceitsownaccounts,asitsexpenditureis
partoftheJudicialOfficesresourceaccounts,whicharesubjecttoaudit.TheJCIOis
committedtoresponsibleuseofpublicfundingandissubjecttothesamefinancialgov
ernancerequirementsastheJudicialOfficeingeneral.

Performance

Inadditiontofollowingthestatutoryrulesandregulationsapplicabletothejudicialdis
ciplinaryprocess,theJCIOhastheekeyperformanceindicators(KPIs)intendedtopro
motetheefficientprocessingofcomplaints,andtoenablemonitoringandreportingon
levelsofservice.ThetablebelowshowstheJCIOsperformanceagainstthoseKPIsdur
ing2016/17.

Action Target Performance

Respondtocomplaintswithin 95% 98%
twodaysofreceipt
Issuefirstsubstantiveresponse 85% 93%
tocomplaintswithin15work
ingdaysofreceipt
Providemonthlyupdatesto 85% 88%
partiesinongoing
investigations

3
Receipts

ThetablebelowdetailsthevariouscategoriesofcomplaintsandenquiriestheJCIOre
ceivedin2016/17.

ComplaintCategory NumberofComplaints

CivilProceedings 2

ConflictofInterest 13
CriminalConvictions 6

Failuretomeetsittingre 13
quirements
Generalenquiries 526

Financialfraud 5

Inappropriatebehaviour/ 427
comments

Judicialdecision/caseman 1,220

agement

Judicialdelay 9
MisuseofJudicialStatus 4

MotoringOffences 5
Notspecified 420

Other 2

Total 2,652

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Breakdownofcomplaintsbyjudicialoffice

Thetablebelowcontainsthenumberofcomplaintsreceivedaboutdifferenttypesofju
dicialofficeholderin2016/17(wherethetypeofofficeholderwasidentifiable).Forcon
text,thenumberofofficeholdersinpostat31March2016isincludedbelowthetable.

JudicialOffice Numberofcomplaints

CourtofAppeal 63

HighCourt&others* 122

CourtofProtection 1

CircuitBench(includingRecord 590
ers)

DistrictBench 944

Coroners 70
Tribunals** 12
Magistrates** 47
NotDefined*** 277

Total 2,126

Judicialofficeholdersinpostat31March2016bycategorywere:44CourtofAppeal,
106HighCourt,1,661Circuitbench(includingRecorders),1,291districtbench(including
associateddeputies),380coroners,5,442tribunalsand17,552magistrates.
*HighCourtandothersincludesHighCourtJudgesandvariousotherjudicialoffices
includingmasters,registrars,andcostsjudges(andassociateddeputies).
**Complaintsaboutmagistratesandtribunalsjudiciary(excepttribunalpresidents)are
investigatedbytherelevantlocaladvisorycommitteeortribunalpresident.Casesare
onlyreferredtotheJCIO,andthereforeincludedinthetableabove,whereaninvestiga
tionresultsinarecommendationthatmisconducthasoccurred.
***NotdefinedreferstocomplaintsoutsidetheJCIOsremit,forexamplecomplaints
aboutjudicialdecisions,wherethecomplainanthasnotspecifiedthetypeofoffice
holder.

5

Breakdownofcomplaintoutcomes

Thetablebelowcontainsabreakdownofcomplaintoutcomes.Thethreemaincatego
riesarerejected,dismissedorupheld.

Disposals Number

NotacceptedforInvestigation
RejectedComplaintdoesnotcontainanallegationofmisconductonthepartofa 1,193
namedoridentifiablepersonholdingjudicialoffice
RejectedRule11(Complaintismadeoutoftime) 46
RejectedOther 18
Dismissed
21(a)Complaintnotadequatelyparticularised 99
21(b)Itisaboutajudicialdecisionorjudicialcasemanagement,andraisesnoques 79
tionofmisconduct
21(c)Theactioncomplainedofwasnotdoneorcausedtobedonebyapersonhold 29
inganoffice
21(d)Complaintisvexatious 10
21(e)Complaintiswithoutsubstanceorifsubstantiatedwouldnotrequirediscipli 16
naryaction
21(f)Eveniftrue,itwouldnotrequireanydisciplinaryactiontobetaken 231
21(g)Itisuntrue,mistakenormisconceived 128
21(h)Itraisesamatterwhichhasalreadybeendealtwith,whetherundertheseRules 24
orotherwise,anddoesnotpresentanymaterialnewevidence
21(i)Itisaboutapersonwhonolongerholdsanoffice 13
21(j)Complaintisabouttheprivatelifeofajudicialofficeholderandcouldnotrea 2
sonablybeconsideredtoaffectsuitabilitytoholdjudicialoffice
21(k)Complaintisaboutprofessionalconduct,inanonjudicialcapacity,ofajudicial 6
officeholderandcouldnotreasonablybeconsideredtoaffect
suitabilitytoholdjudicialoffice
21(l)Foranyotherreasonitdoesnotrelatetomisconductbyapersonholdingoffice 3

ComplaintnotupheldbytheLordChancellorandLordChiefJusticefollowinganinves 20
tigation
Miscellaneous(e.g.complaintwithdrawnbycomplainant) 119
Upheld 42
Total 2,078

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Disciplinaryaction

Thetablebelowshowsthetotalnumberofcases,finalisedin2016/17,wheretheLord
ChancellorandLordChiefJustice(orhisdelegate)tookdisciplinaryaction.At42,theto
talnumberofsuchcasesrepresentslessthan0.2%ofthe26,000orsojudicialoffice
holders.

Ofthe19removalsfromoffice,10weredealtwithunderthesummaryprocess.This
processenablestheLordChancellorandLordChiefJusticetoconsiderremovingajudi
cialofficeholderfromofficewithoutfurtherinvestigationinalimitednumberofcircum
stancesincludingcriminalconviction,bankruptcy,failuretodiscloseinformationcon
cerningsuitabilitytoholdofficeandfailuretofulfilsittingrequirements.

Courts Tribunals Magistrates Coroners Total

judiciary
Formal 1 9 1 11
Advice
Warning 4 4
Reprimand 1 1 5 1 8
Suspended
Removed 3 1 15 19
Total 4 3 33 2 42

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JudicialAppointmentsandConductOmbudsman

TheJudicialAppointmentsandConductOmbudsmansremitincludesconsideringcom
plaintsabouthowtheJCIO,atribunalpresidentoranadvisorycommitteehasinvesti
gatedacomplaintaboutajudicialofficeholder.

TheOmbudsmanhasnopowertoinvestigatetheoriginalcomplaint,butifhedecides
thattheJCIOhasmishandledthecomplainthecansetasidethedecisionandreferthe
complaintbacktotheJCIOforreinvestigationand/orhemayrecommendredress.

In2016/17,theOmbudsmandetermined165complaintsabouttheJCIOshandlingof
complaints.Heupheld,orpartiallyupheld,ninecomplaints.Thisequatestolessthan1%
ofthecomplaintshandledbytheJCIOduringthisperiod.

FurtherdetailsoftheworkoftheOmbudsmanandhislatestannualreportcanbefound
ontheOmbudsmanswebsite:http://www.justice.gov.uk/about/jaco