The ex parte application was made pursuant to a letter of request from a tribunal of inquiry established by resolution of the Irish Parliament to investigate payments by a company and its owner to members of the Parliament over a 10-year period. The application was opposed by a witness from whom evidence was sought.
The applicant submitted that (a) for the purposes of the exercise of the court’s discretion under the 1978 Order, the Irish tribunal of inquiry was a “court or tribunal” within the meaning of s.1(a) of the Schedule to the Order since (i) that question was to be determined in accordance with the laws of the requesting country, namely those of the United Kingdom, whose Parliament had originally passed the 1921 Tribunals of Inquiry (Evidence) Act giving the Irish Parliament power to establish such tribunals, and there could be no conflict between the laws of the United Kingdom and the Cayman Islands; (ii) the English Evidence (Proceedings in Other Jurisdictions) Act 1975, the provisions of which were applied to the Cayman Islands by the 1978 Order, should be construed in accordance with the 1921 Act and bearing in mind the scheme of legislation in place at that time for the obtaining of assistance from foreign courts; and (iii) the 1921 Act conferred on tribunals of inquiry the power of the High Court, inter alia, to issue a letter of request, with the clear intention that such requests should be complied with; and (b) the request also satisfied the requirement in s.1(b) of the Schedule to the 1978 Order that civil proceedings should have been or were to be commenced in the requesting court, since the inquiry (not being a criminal proceeding) constituted “proceedings in any civil or commercial matter” as defined in s.9(1).
The witness submitted in reply that (a) the tribunal of inquiry did not constitute a court or tribunal for the purposes of s.1(a) of the Schedule since (i) although its status was to be determined according to the law of the requesting country, it must in any event be an adjudicatory body recognized by Cayman law; (ii) whilst the tribunal had power to compel the attendance of witnesses and the production of documents, it had no power of its own to punish non-compliance, its findings would not be legally binding and it could take no action based on them; and (iii) in any event, whatever were the powers conferred by the 1921 Act on the tribunal, neither that Act nor the Order of the Irish Prime Minister by which this tribunal had been set up had extra-territorial power to ensure that letters of request were acceded to; and (b) since the tribunal of inquiry was not a “court or tribunal” within the meaning of s.1(a), the matter before it could not amount to “civil proceedings.”
Held, dismissing the application:
(1) The court could not comply with the letter of request from the tribunal of inquiry unless it were satisfied not only that the tribunal was a recognized adjudicatory body under the law of Ireland, but also that it was a “court or tribunal” within the meaning of s.1(a) of the Schedule to the Evidence (Proceedings in Other Jurisdictions) (Cayman Islands)
|
PATTERSON, Ag. J.: This is an ex parte application with notice for |
|
an order for evidence to be obtained in the Cayman Islands for the |
15 |
purpose of giving effect to a request from a tribunal of inquiry appointed |
|
by instrument of An Taoiseach of Ireland on February 7th, 1997 (“the |
|
tribunal”). The request is directed to the Grand Court of the Cayman |
|
Islands, British West Indies, and is under the hand of “The Honourable |
|
Mr. Justice Brian McCracken, Judge of the High Court of Ireland and sole |
20 |
member of the above-mentioned tribunal” on May 12th, 1997. The |
|
request is authorized by the tribunal’s order made on the same day and it |
|
seeks the assistance of the Grand Court in obtaining evidence from a |
|
number of witnesses named therein, including John Furze, who is the |
|
only person opposing the application (“the opposer”). |
25 |
I understand that each of the other witnesses mentioned in the letter of |
|
request has been served with notice of this application and that they are |
|
all represented by the law firm of Maples & Calder. Mr. Bueno, Q.C. |
|
states that the tribunal will abide by the final result as opposed by the |
|
witness Furze alone and whatever order is made, all parties will consider |
30 |
themselves bound by it. |
|
|
|
Background |
|
On February 6th, 1997 the Dáil Éireann and the Seanad Éireann (the |
|
lower and upper Houses of Parliament of the Republic of Ireland) |
35 |
resolved to set up a tribunal of inquiry in the following terms: |
|
“Bearing in mind serious public concern about alleged payments |
|
made and benefits conferred by, or on behalf of, Dunnes Holding |
|
Co., other associated companies or entities and/or Mr. Ben Dunne |
|
and/or companies or trusts controlled directly or indirectly by |
40 |
members of the Dunne Family between January 1st, 1986 and |
|
December 31st, 1996, to persons who were members of the Houses |
|
of the Oireachtas during that period, or relatives or connected |
|
persons as defined in the Ethics in Public Office Act, 1995, to |
|
political parties or to other public representatives or public |
45 |
servants. |
|
And noting the interim report of the independent person |
|
appointed pursuant to an agreement dated December 9th, 1996, |
|
made between the Government and Dunnes Holding Co. |
|
Resolves that it is expedient that a tribunal be established, under |
5 |
the Tribunals of Inquiry (Evidence) Act 1921, as adapted by or |
|
under subsequent enactments, and the Tribunals of Inquiry |
|
(Evidence) (Amendment) Act, 1979, to inquire urgently into, and |
|
report to the Clerk of the Dáil and make such findings and |
|
recommendations as it sees fit, in relation to the following definite |
10 |
matters of urgent public importance: |
|
(a) All payments in cash or in kind directly or indirectly |
|
whether authorized or unauthorized within or without the |
|
State which were made to or received by |
|
(i) persons who were between January 1st, 1986 and December |
15 |
31st, 1996, members of the Houses of the Oireachtas, |
|
(ii) their relatives or connected persons as defined in the |
|
Ethics in Public Office Act, 1995, |
|
(iii) political parties, |
|
from Dunnes Holding Co. and/or any associated enterprises |
20 |
as defined in the Schedule hereto and/or Mr. Ben Dunne or |
|
any person on his behalf or any companies, trusts or other |
|
entities controlled directly or indirectly by Mr. Ben Dunne |
|
between January 1st, 1986 and December 31st, 1996, and |
|
the considerations, motives and circumstances therefor; |
25 |
(b) Such further matters as Dáil Éireann and Seanad Éireann |
|
might by further resolution consider appropriate to refer to |
|
the tribunal because they require further investigation, |
|
relating to other payments made to ‘relevant persons or |
|
entities’ within the meaning of the agreement dated |
30 |
December 9th, 1996, made between the Government and |
|
Dunnes Holding Co., following receipt by the Ceann |
|
Comhairle and the Cathoirleach of Seanad Éireann of any |
|
further report from the independent person appointed |
|
pursuant to the said agreement whereupon such report shall |
35 |
be laid before both Houses of the Oireachtas immediately |
|
on its receipt.” |
|
The schedule follows, in which “associated enterprises,” as used in the |
|
text of the resolutions, is defined, but that is not germane to the outcome |
|
of this application, and I need not set it out. |
40 |
In pursuance of these resolutions and in exercise of the powers |
|
conferred on An Taoiseach by s.1 (as adapted by or under subsequent |
|
enactment) of the Tribunals of Inquiry (Evidence) Act 1921, the |
|
following Order was made: |
|
“1. This Order may be cited as the Tribunals of Inquiry |
45 |
(Evidence) Acts 1921 and 1979, Order, 1997. |
|
2. A tribunal is hereby appointed to enquire urgently into and |
|
report and make such findings and recommendations as it sees fit to |
|
the Clerk of the Dáil on the definite matters or urgent public |
|
importance set out at paras. (a) and (b) of the resolutions passed by |
5 |
Dáil Éireann and Seanad Éireann on February 6th, 1997. |
|
3. The Honourable Mr. Justice Brian McCracken, a Judge of the |
|
High Court, is hereby nominated to be the sole member of the |
|
tribunal. |
|
4. The Tribunals of Inquiry (Evidence) Act 1921 (as adapted by or |
10 |
under subsequent enactments) and the Tribunals of Inquiry |
|
(Evidence) (Amendment) Act, 1979, shall apply to the Tribunal. |
|
GIVEN under my Official Seal, this February 7th, 1997. |
|
TAOISEACH.” |
|
It is important to note that the Order has three distinct functions. First, it |
15 |
is this Order that appoints the tribunal, thus giving effect to the |
|
resolutions of the Houses of Parliament. Secondly, it nominates the sole |
|
member of the tribunal. Thirdly and most importantly, it provides that |
|
“the Tribunal of Inquiry (Evidence) Act 1921 (as adapted by or under |
|
subsequent enactments) (‘the 1921 Act’) and the Tribunals of Inquiry |
20 |
(Evidence) (Amendment) Act 1979 shall apply to the tribunal.” |
|
The 1921 Act “makes provision with respect to the taking of evidence |
|
before and the procedure and powers of certain Tribunals of Inquiry.” The |
|
Act (with its adaptations and amendments) is in force in Ireland today and |
|
Mr. Bueno, Q.C. has relied on it to a very large extent in putting forth his |
25 |
arguments in support of the application. |
|
It is interesting to trace the history of the legislation relevant to this |
|
application and in particular the 1921 Act, and I can do no better than to |
|
adopt and quote the evidence contained in the affidavit in support of the |
|
application, sworn by Gerald William Hogan, Barrister-at-Law, on May |
30 |
16th, 1997. This is how he puts it: |
|
“(1) After the passing by both the Parliament of Great Britain and |
|
the Parliament of Ireland of the Act of Union 1800, the then |
|
Kingdoms of Great Britain and the Kingdom of Ireland were united |
|
into one kingdom under the name of the Kingdom of Great Britain |
35 |
and Ireland. By the third article of the Act of Union it was enacted |
|
that the United Kingdom ‘be represented in one and the same |
|
Parliament to be styled the Parliament of the United Kingdom of |
|
Great Britain and Ireland.’ |
|
(2) Following the Act of Union (which came into force in 1801) |
40 |
until the establishment of the Irish Free State on December 6th, |
|
1922, the Parliament of the United Kingdom was the sole legislature |
|
for the entirety of Ireland. During this period all legislation enacted |
|
by the Parliament of the United Kingdom applied to Ireland, save |
|
where this was expressly excluded by the terms of the legislation |
45 |
itself. The 1921 Act not only contains no such express exclusion for |
|
Ireland, but from its terms it was clearly intended to apply to |
|
Ireland. There is, in my opinion, no question but that the 1921 Act |
|
applied to Ireland as much as to anywhere else in the United |
|
Kingdom. |
5 |
(3) The 1921 Act received the Royal Assent and came into force |
|
on March 24th, 1921. |
|
(4) In December 1921, the Government of the United Kingdom |
|
reached an accommodation with the representatives of the Irish |
|
people whereby as a result of that treaty, the then British |
10 |
Government and the (Irish) Provisional Government took steps to |
|
establish the Irish Free State. Legislative effect was given to that |
|
treaty by the Irish Free State (Agreement) Act 1922 by the British |
|
Parliament and this Act received Royal Assent on March 31st, 1922. |
|
(5) The ratification in Ireland was more complex. The treaty was |
15 |
approved by Dáil Éireann on January 7th, 1922 (which was, |
|
however, at that stage regarded by the British as an illegal assembly) |
|
and by the House of Commons of Southern Ireland on January 14th, |
|
1922 (as was required by art. 18 of the treaty). The House of |
|
Commons for Southern Ireland had been created by the Government |
20 |
of Ireland Act, 1920 and had been vested with certain legislative |
|
powers. In fact, this body met only once (namely to approve the |
|
treaty) and was later dissolved by proclamation of the Lord |
|
Lieutenant on May 27th, 1922. It never exercised any of its |
|
legislative powers. |
25 |
(6) Following elections held in June 1922, Dáil Éireann (the Irish |
|
Parliament) sitting as a constituent assembly passed the Constitution |
|
of the Irish Free State (Saorstát Éireann) Act, 1922. Parallel |
|
legislation was enacted by the British Parliament to give effect to |
|
these changes: Irish Free State Constitution Act 1922. |
30 |
(7) Article 73 of the Constitution provided that— |
|
‘subject to this Constitution and to the extent that they are not |
|
inconsistent therewith, the laws in force in the Irish Free State |
|
(Saorstát Éireann) at the date of the coming into operation of |
|
this Constitution shall continue to be of full force and effect |
35 |
until the same or any of them shall have been repealed or |
|
amended by enactment of the Oireachtas.’ |
|
(8) The passing and adoption of the Constitution by Dáil Éireann |
|
sitting as a constituent assembly and by the British Parliament was |
|
announced on December 6th, 1922 by proclamation of His Late |
40 |
Britannic Majesty King George V. In accordance with art. 83 of the |
|
said Constitution, the Constitution itself came into force on that day. |
|
(9) The 1921 Act was in force on the said date and was, therefore, |
|
continued in full force and effect by virtue of art. 73 of the said |
|
Constitution. |
45 |
(10) In 1937, in a plebiscite held under the provisions of the |
|
Plebiscite (Draft Constitution) Act, 1937, the people of the then Irish |
|
Free State (Saorstát Éireann) approved a new Constitution which |
|
had been approved by Dáil Éireann. The said Constitution was |
|
approved by vote of the people on July 1st, 1937 and by virtue of |
5 |
art. 62(1) thereof came into operation on December 27th, 1937. The |
|
Irish Free State ceased to exist on the coming into force of the new |
|
Constitution. |
|
(11) The Constitution of 1937 is and remains the fundamental law |
|
of Ireland. Article 50 thereof provides that— |
10 |
‘subject to this Constitution and to the extent that they are not |
|
inconsistent therewith, the laws in force in Saorstát Éireann |
|
immediately prior to the date of the coming into operation of |
|
this Constitution shall continue to be of full force and effect |
|
until the same or any of them shall have been repealed or |
15 |
amended by enactment of the Oireachtas.’ |
|
The 1921 Act was in force immediately prior to December 27th, |
|
1937 and, accordingly, continued to be of full force and effect after |
|
the coming into force of the said Constitution of 1937. |
|
(12) The 1921 Act is not and has not been inconsistent with either |
20 |
the Constitution of 1922 or the Constitution of 1937 and has not been |
|
repealed. The 1979 Act, which amended the 1921 Act in respects |
|
which are not material, clearly reflects this. The 1921 Act (as |
|
amended) therefore continued and continues in full force and effect.” |
|
|
25 |
The powers of the tribunal |
|
Undoubtedly the tribunal has been appointed in accordance with the |
|
laws of Ireland. Its mandate is to inquire into a definite matter described |
|
as of urgent public importance, the details of which I have already stated. |
|
The order appointing the tribunal clearly stipulates that the 1921 Act shall |
30 |
apply. For the purposes of this application, s.1(1) of the 1921 Act is |
|
material, and it reads as follows: |
|
“Where it has been resolved (whether before or after the |
|
commencement of this Act) by both Houses of Parliament that it is |
|
expedient that a tribunal be established for inquiring into a definite |
35 |
matter described in the Resolution as of urgent public importance, |
|
and in pursuance of the Resolution a tribunal is appointed for the |
|
purpose either by His Majesty or a Secretary of State, the instrument |
|
by which the tribunal is appointed or any instrument supplemental |
|
thereto may provide that this Act shall apply, and in such case the |
40 |
tribunal shall have all such powers, rights, and privileges as are |
|
vested in the High Court, or in Scotland the Court of Session, or a |
|
judge of either such court, on the occasion of an action in respect of |
|
the following matters:- |
|
(a) The enforcing the attendance of witnesses and examining |
45 |
them on oath, affirmation, or otherwise; |
|
(b) The compelling the production of documents; |
|
(c) Subject to the rules of court, the issuing of a commission or |
|
request to examine witnesses abroad; |
|
and a summons signed by one or more of the members of the |
5 |
tribunal may be substituted for and shall be equivalent to any formal |
|
process capable of being issued in any action for enforcing the |
|
attendance of witnesses and compelling the production of |
|
documents.” |
|
Section 4 of the Tribunals of Inquiry (Evidence) (Amendment) Act, 1979 |
10 |
is of some relevance also. It reads as follows: |
|
“A tribunal may make such orders as it considers necessary for |
|
the purposes of its functions, and it shall have, in relation to their |
|
making, all such powers, rights and privileges as are vested in the |
|
High Court or a judge of that Court in respect of the making of |
15 |
orders.” |
|
What then are the powers of the tribunal under the provisions of the 1921 |
|
Act with respect to its function of taking evidence? The tribunal has |
|
power to issue subpoenae for witnesses to attend and give evidence and to |
|
produce documents. On their attendance, the tribunal has the power to |
20 |
examine them on oath, affirmation or otherwise (s.1(1)(a) and (b)). But |
|
unlike the powers vested in the High Court or a judge thereof, the tribunal |
|
has no statutory or inherent power to punish anyone who disobeys its |
|
subpoena or other process lawfully issued. The power to punish any such |
|
person rests in the District Court and the only power that the tribunal has |
25 |
in that regard is that it may bring the matter to the attention of the District |
|
Court. Section 1(2) of the Act as amended by the 1979 Act, s.3, provides |
|
as follows: |
|
“If a person— |
|
(a) on being duly summoned as a witness before a tribunal |
30 |
makes default in attending; or |
|
(b) being in attendance as a witness refuses to take an oath or |
|
to make an affirmation when legally required by the |
|
tribunal to do so, or to produce any documents…in his |
|
power or control legally required by the tribunal to be |
35 |
produced by him, or to answer any question to which the |
|
tribunal may legally require an answer; or |
|
… |
|
(f) does or omits to do any other thing and if such doing or |
|
omission would, if the tribunal had been the High Court, |
40 |
have been contempt of that Court; |
|
the person shall be guilty of an offence.” |
|
Section 1(2A)(b) reads: “A justice of the District Court shall have |
|
jurisdiction to try summarily an offence under this section….” |
|
The power that is most material to this application, however, is that set |
45 |
out at s.1(1)(c): “Subject to rules of court, the issuing of a commission or |
|
request to examine witnesses abroad.” It is in the exercise of this power |
|
that the tribunal ordered, on May 12th, 1997, that “a letter of request do |
|
issue addressed to the Grand Court of the Cayman Islands, British West |
|
Indies, to make such provision as shall appear to that court to be fit and |
5 |
proper for the purpose of examining under oath” certain specified |
|
persons, and for the production of documents by them. On that day the |
|
letter of request was duly issued and the ex parte application with notice |
|
supported by affidavit was filed in the Grand Court. |
|
|
10 |
The jurisdiction of the Grand Court |
|
The jurisdiction of the Grand Court to consider a request from a |
|
foreign court or tribunal and to make an order for persons within the |
|
jurisdiction to assist the foreign court or tribunal by giving oral or |
|
documentary evidence for proceedings before it is statutory. The relevant |
15 |
legislation is: First, the Evidence (Proceedings in Other Jurisdictions) |
|
(Cayman Islands) Order 1978 which, by s.3, extends to the Cayman |
|
Islands the provisions of “ss. 1-3 and 5-10 of, and Schedule 2 to, the |
|
Evidence (Proceedings in Other Jurisdictions) Act 1975, with the |
|
exceptions, adaptations and modifications specified in the Schedule” to |
20 |
the said Order (“the 1978 Order”). Secondly, O.70 of the Grand Court |
|
Rules, which is mainly procedural in content. |
|
The 1978 Order came into operation on January 10th, 1979, and |
|
together with O.70 of the Grand Court Rules, they now provide the law |
|
and procedure in connection with the obtaining of evidence in the |
25 |
Cayman Islands for use in proceedings in a foreign court. For the |
|
purposes of this application, the material legislation is set out in s.1 of |
|
the Schedule to the 1978 Order, which reads: |
|
“Where an application is made to the Grand Court for an order for |
|
evidence to be obtained in the Cayman Islands, and the court is |
30 |
satisfied— |
|
(a) that the application is made in pursuance of a request |
|
issued by or on behalf of a court or tribunal (‘the |
|
requesting court’) exercising jurisdiction in a country or |
|
territory outside the Cayman Islands; and |
35 |
(b) that the evidence to which the application relates is to be |
|
obtained for the purposes of civil proceedings which either |
|
have been instituted before the requesting court or whose |
|
institution before that court is contemplated, |
|
the Grand Court shall have the powers conferred on it by the |
40 |
following provisions of this Act.” |
|
These provisions make it clear that there are two conditions precedent |
|
that must be fulfilled before the court can exercise its jurisdiction to grant |
|
an application for an order for evidence to be obtained in the Cayman |
|
Islands. The existence of the conditions precedent are not in dispute. Both |
45 |
parties agree that both conditions in s.1 must be satisfied. But beyond |
|
this, the battle-lines are drawn. The central issues are twofold. First, |
|
whether the request is made by a tribunal within the meaning of the words |
|
“court or tribunal” in s.1(a) of the Schedule to the 1978 Order. And |
|
secondly, whether the requested evidence is for the purposes of “civil |
5 |
proceedings” (defined in s.9(1) as “proceedings in any civil or |
|
commercial matter”) within the meaning of s.1(b) of the Schedule. I will |
|
consider the issues in turn. |
|
|
|
The first issue: Meaning of “court or tribunal” |
10 |
Mr. Bueno, Q.C. submits that “ineluctable logic and common sense |
|
dictate that a tribunal such as that established under the 1921 Act is to be |
|
treated as a ‘tribunal’ for the purposes of s.1(a) of the 1975 Act.” He |
|
contends that the 1921 Act, which is common to the United Kingdom and |
|
Ireland, is in no way concerned with and has no application to tribunals of |
15 |
inquiry, other than those expressly appointed following resolution “of |
|
both Houses of Parliament that a tribunal be established for inquiring into |
|
a definite matter described in the Resolution as of urgent public |
|
importance.” |
|
He concedes that the proceedings before the tribunal are not concerned |
20 |
with the resolution of private rights in the context of litigation or |
|
analogous dispute resolution. Nevertheless, he contends that its role is |
|
very closely connected with matters of great importance the resolution of |
|
which is of vital public interest. Parliament has endowed the tribunal with |
|
the powers of a superior court of law, including the power to enforce the |
25 |
attendance of witnesses, for them to be examined on oath, to compel the |
|
production of documents and to issue a “commission or request to |
|
examine witnesses abroad.” Without such powers the activities of the |
|
tribunal could be rendered sterile. He concludes, therefore, that— |
|
“it was the manifest intention of Parliament that a tribunal appointed |
30 |
under the 1921 Act, although not a court, should be placed on the |
|
footing of the High Court of Justice for the purpose of conducting its |
|
proceedings. And, in the context of the legislation which preceded |
|
and succeeded its passing, which gave statutory jurisdiction to |
|
courts to give effect to letters of request, it can only have been |
35 |
Parliament’s intention that such a tribunal was (and is) to be |
|
regarded as a relevant ‘tribunal.”’ |
|
Mr. Bueno refers to the Foreign Tribunals Evidence Act 1856, the |
|
Evidence by Commission Act 1859, the Evidence by Commission Act |
|
1885 and the Evidence (Proceedings in Other Jurisdictions) Act 1975. |
40 |
The substance or pith of his argument seems to be that by referring to a |
|
“tribunal” in the 1975 Act—which has been made to apply to the Cayman |
|
Islands—Parliament must have contemplated that “tribunal” in that Act, |
|
and in the legislation that it replaced, would encompass the type of |
|
tribunal which could be set up under the 1921 Act. |
45 |
Furthermore, the 1921 Act empowers the tribunal to issue letters of |
|
request, and so, Mr. Bueno argued, the legislature must have expected |
|
foreign courts to accede to such requests. He urged that in the interest of |
|
comity the application should be granted. He adopted the words of Lord |
|
Denning, M.R. in the Court of Appeal in Rio Tinto Zinc Corp. v. |
5 |
Westinghouse Elec. Corp. (5) ([1977] 3 All E.R. at 708), and said that it |
|
should be “our duty and our pleasure to do all we can to assist [the Irish] |
|
court, just as we would expect the [Irish] court to help us in like circum |
|
stances.” |
|
Before moving on, I must say that I think it is misleading to hold that |
10 |
the tribunal is established or set up under the 1921 Act. The 1921 Act |
|
made provisions with respect to the taking of evidence before and the |
|
procedure and powers of certain tribunals of inquiry. The Act may be |
|
applied to certain tribunals established by resolution of both Houses of |
|
Parliament for inquiring into certain matters of urgent public importance |
15 |
and when applied, it empowers the tribunal to issue a commission or |
|
request to examine witnesses abroad, subject to rules of court. But that |
|
does not mean that the foreign court must accede to or comply with the |
|
request. |
|
The 1921 Act confers no extra-territorial powers. In fact, the decision |
20 |
whether to accede to or refuse the request will depend on the extant |
|
statutory provisions in the foreign court (in the instant case, the Grand |
|
Court). As Lord Diplock pointed out in the House of Lords in Rio Tinto |
|
Zinc Corp. v. Westinghouse Elec. Corp. ([1977] 1 All E.R. at 461): |
|
“The jurisdiction of English courts to order persons within its |
25 |
jurisdiction to provide oral or documentary evidence in aid of |
|
proceedings in foreign courts has always been exclusively statutory. |
|
There is no presumption that Parliament, in repealing one statute |
|
and substituting another in different terms, intended to make the |
|
minimum changes in the previous law that it is possible to reconcile |
30 |
with the actual wording of the new statute, particularly where, as in |
|
the instant case, the new statute is passed to give effect to a new |
|
international convention.” |
|
Lord Diplock was here referring to the Evidence (Proceedings in Other |
|
Jurisdictions) Act 1975, which repealed the 1856, 1859 and 1885 Acts |
35 |
mentioned above and which has been extended to the Cayman Islands by |
|
the 1978 Order. It seems clear that in the instant case, the jurisdiction of |
|
this court to entertain the application is to be found in the actual terms of |
|
s.1 of the Schedule to the 1978 Order and in particular, the construction to |
|
be placed on the words “court or tribunal” and “civil proceedings” used |
40 |
therein. |
|
Mr. Alberga, Q.C. submits that whatever may be the name or label |
|
given to a requesting body, that requesting body does not fall under the |
|
umbrella of the words “court or tribunal,” which are used in s.1(a) of the |
|
Schedule, unless that body is in reality adjudicatory. Any requesting body |
45 |
which is in reality investigatory cannot fall within the definition of the |
|
words “court or tribunal.” He contends that the requesting body in this |
|
case is investigatory and not adjudicatory and that because of that, this |
|
court has no jurisdiction to grant the request which has been made to it. In |
|
support, he relies on the sage words of Lord Fraser in the Westinghouse |
5 |
case (5) (ibid., at 476): “The English courts have no power under the |
|
1975 Act, or otherwise, to make orders for giving effect to requests for |
|
evidence to be used for such investigatory purposes.” But His Lordship, |
|
in my view, was here referring to the use of evidence for the investigatory |
|
procedure before a grand jury in the United States and I doubt that the |
10 |
principle enunciated was intended to be of universal application. |
|
The question of whether the foreign requesting body is a “court or |
|
tribunal” for the purposes of s.1(a) of the Schedule to the 1978 Order |
|
must primarily be decided on the evidence of the laws of the requesting |
|
country. This is common ground between the applicant and the opposer. |
15 |
But the applicant contends that the instant case is peculiar in that there |
|
can be no conflict of law between the requesting country and the |
|
requested country. The 1975 Act, for all purposes material to this |
|
application, is the law of the Cayman Islands and must be construed by |
|
the Grand Court in precisely the same way as the Act is construed by the |
20 |
United Kingdom. I must examine this contention in the light of the |
|
authorities. |
|
Mr. Alberga, Q.C. places reliance on the case of In re Imacu Ltd. (2), a |
|
case decided by the Royal Court of Jersey. The Evidence (Proceedings in |
|
Other Jurisdictions) Act 1975 was extended to Jersey by the Evidence |
25 |
(Proceedings in Other Jurisdictions) (Jersey) Order 1983, and is similar in |
|
all respects to the 1978 Order. In the Imacu case, a request was issued by |
|
a “juge d’instruction” in Belgium and an order was made by the Royal |
|
Court in Jersey in response thereto. Imacu Ltd. sought to set aside the |
|
order on the ground, inter alia, that the order was invalid in that the “juge |
30 |
d’instruction” was not a “court or tribunal,” as required by s.1(a) of the |
|
1975 Act (as extended to Jersey), since his role was merely that of an |
|
investigating officer. The order was discharged for the following reasons, |
|
taken from the headnote to the case in the Jersey Law Reports (1989 JLR |
|
at 18): |
35 |
“(1) The relevant Belgian law, as was the case with all foreign |
|
law, could not be judicially noticed by the Jersey court but had to be |
|
proved as fact by expert witnesses tendering authorities as evidence |
|
of that law. In the event of conflict or confusion arising from the |
|
evidence, the court could itself examine and interpret the authorities |
40 |
cited to reach a satisfactory conclusion…. |
|
(2) Since the phrase ‘court or tribunal’ in s.1(a) of the Evidence |
|
(Proceedings in Other Jurisdictions) Act 1975 had not an |
|
immediately ascertainable meaning in Jersey law, the court had |
|
primarily to inquire whether the juge d’instruction constituted a |
45 |
‘court or tribunal’ under Belgian law but would then only comply |
|
with the request if it were satisfied that he was also recognized as |
|
such under Jersey law…. |
|
(3) The juge d’instruction did not constitute a ‘court or tribunal’ |
|
within the meaning of s.1(a), these words being construed as |
5 |
meaning a ‘court or similar tribunal,’ i.e. a tribunal acting in a |
|
manner similar to that in which courts of justice act in respect of an |
|
inquiry before it, because (a) at the time he made the request his role |
|
was wholly investigatory and not adjudicatory, since he was obliged |
|
to pass on the results of his preliminary investigations to the |
10 |
chambre du conseil and could only sit as a member of a ‘tribunal’ |
|
(the tribunal correctionel) once the chambre du conseil had |
|
committed the suspect for trial by it; (b) he was not an independent |
|
adjudicatory authority but had to report regularly to his superior, the |
|
Procureur du Roi, on the progress of his investigations; and (c) his |
15 |
investigations were in respect of unknown persons, a concept |
|
unknown in Jersey courts and were always conducted in camera, |
|
without examination or cross-examination of the suspect in |
|
accordance with rules of evidence. The order granting assistance to |
|
the juge d’instruction had therefore been made without jurisdiction |
20 |
and would be discharged….” |
|
In my view, the important point in that case is the construction it places |
|
on the word “tribunal” in s.1(a) as being “a tribunal acting in a manner |
|
similar to that in which courts of justice act in respect of an inquiry before |
|
it.” The court in Jersey considered the evidence as to the status of the juge |
25 |
d’instruction according to the laws of Belgium, and concluded that he did |
|
not constitute either a court or similar tribunal. |
|
The 1921 Act is not applicable to Belgium as it is to Ireland and, |
|
therefore, the Imacu case (2) did not address the question of whether a |
|
tribunal, endowed with the powers of the 1921 Act, inevitably falls within |
30 |
the meaning of “tribunal” in s.1(a) of the Schedule to the 1978 Order. It |
|
does, however, provide guidelines as to the manner in which this court |
|
should approach the question of construction. |
|
The next case that Mr. Alberga, Q.C. refers to is one decided by the |
|
Court of Appeal for the Cayman Islands: Worldwide Fin. Holding v. |
35 |
CITEL (6). That case is not unlike the instant case. Allegations of |
|
corruption were made against high-ranking Peruvian Government |
|
officials. The Peruvian Congress appointed a special investigative |
|
commission, CITEL, in accordance with the provisions of art. 97 of the |
|
Constitution and arts. 25 and 35 of the Regulations of the Democratic |
40 |
Constitutional Congress. Article 97 empowers the Congress to commence |
|
investigation on any matter of public interest. Article 25 of the |
|
Regulations provides for permanent and temporary commissions which |
|
may be (a) investigative commissions or (b) special commissions. Article |
|
35 of the regulations empowers Congress in plenary session to appoint |
45 |
investigative commissions for important matters. |
|
The President of an investigative commission requested the assistance |
|
of the Grand Court and, on an ex parte application, an order was made for |
|
the examination of certain persons within the jurisdiction. Worldwide |
|
Financial Holding was affected by the Order and applied unsuccessfully |
5 |
to have it set aside. The central issue on appeal was whether CITEL |
|
constituted a “court or tribunal” within the meaning of s.1(a) of the |
|
Schedule to the Evidence (Proceedings in Other Jurisdictions) (Cayman |
|
Islands) Order 1978, so as to bestow jurisdiction on the Grand Court to |
|
grant the Order. |
10 |
Article 97 of the Constitution states in part that the resolutions of an |
|
investigative commission do not bind the judicial organs. An |
|
investigative commission investigates and submits reports to the |
|
Congress in plenary session. Its conclusions, if approved by Congress, |
|
neither bind the judiciary nor affect the ordinary course of the judicial |
15 |
process. The result of the investigation is communicated to the office of |
|
the Attorney-General for the relevant purposes. Zacca, P., who delivered |
|
the judgment of the court, said (1994-95 CILR at 400): |
|
“CITEL cannot make any binding decisions. It is in reality a |
|
commission mandated to make enquiries which are preliminary to |
20 |
administrative or judicial decision. In our view, the Investigative |
|
Commission cannot be regarded as a tribunal to bring it within |
|
s.1(a) of the 1975 Act. The Grand Court of the Cayman Islands |
|
cannot, in these circumstances, entertain an application from such an |
|
Investigative Commission.” |
25 |
It appears that the Court of Appeal, in arriving at its decision, placed |
|
some reliance on the textbook of Professor Sir William Wade, |
|
Administrative Law, 6th ed., at 900-901 (1988) which distinguished |
|
tribunals from ordinary enquiries. The text reads: |
|
“In principle there is a clear contrast between the function of a |
30 |
statutory tribunal and that of a statutory inquiry of the kind |
|
discussed in the next chapter. The typical tribunal finds facts and |
|
decides the case by applying legal rules laid down by statute or |
|
regulation. The typical inquiry hears evidence and finds facts, but |
|
the person conducting it finally makes a recommendation to a |
35 |
minister as to how the minister should act on some question of |
|
policy, e.g. whether he should grant planning permission for some |
|
development scheme. The tribunal need look no further than the |
|
facts and the law, for the issue before it is self-contained. The |
|
inquiry is concerned with the local aspects of what will usually be a |
40 |
large issue involving public policy which cannot, when it comes to |
|
the final decision, be resolved merely by applying law. Tribunals are |
|
normally employed where cases can be decided according to rules |
|
and there is no reason for the minister to be responsible for the |
|
decision. Inquiries are employed where the decision will turn upon |
45 |
what the minister thinks is in the public interest, but where the |
|
minister, before he decides, needs to be fully informed and to give |
|
fair consideration to objections. In other words, tribunals make |
|
judicial decisions, but inquiries are preliminary to administrative or |
|
political decisions, often described as quasi-judicial decisions.” |
5 |
[Emphasis supplied.] |
|
The views expressed in Wade may be contrasted with those of Morgan & |
|
Hogan, Administrative Law in Ireland, 2nd ed., at 256-257 (1991). Two |
|
types of inquiry are described, but it is this type that is germane to the |
|
issues at hand: |
10 |
“The second type of inquiry is, in effect, a post mortem: the |
|
inquiry is given the task of investigating the causes of accidents, |
|
natural disasters or other matters of general public concern. The |
|
terms of reference of this type of inquiry—which usually involves |
|
fact-finding as to the causes of (say) a shipping collision and |
15 |
recommendations as to improvements for the future—will usually |
|
be ‘at large,’ simply because the conclusions of the inquiry cannot |
|
be anticipated in advance. The most dignified and high-powered |
|
example of this latter type of inquiry is one which is constituted |
|
under the Tribunals of Inquiry (Evidence) Acts 1921-1979. |
20 |
However, there is also specialised legislation regulating accidents |
|
involving railways, shipping and aeroplanes. |
|
Both types of statutory inquiry may be regarded as having many |
|
of the characteristics of a tribunal for the procedures adopted before |
|
an inquiry and a tribunal are similar in that each of them approx |
25 |
imates to that of a court. However, there are three differences |
|
between a tribunal and an inquiry. First, the latter’s conclusions do |
|
not bind the Minister or other responsible decision-making |
|
authority, though in practice it would be rare for the Minister to |
|
depart from the conclusions of at any rate, the first type of inquiry. |
30 |
Secondly, an inquiry is set up ad hoc for each episode examined; |
|
whereas a tribunal enjoys a continuous existence. Finally whilst a |
|
tribunal is a decision-making body, an inquiry may be regarded as |
|
an instrument of participation in government.” |
|
The Supreme Court of Ireland considered the status of a tribunal of |
35 |
inquiry in the case of Goodman Intl. v. Hamilton (1). The Dáil Éireann |
|
and Seanad Éireann, by resolutions, established a tribunal of inquiry to |
|
inquire into certain matters of urgent public importance which consisted |
|
of allegations of illegal activities, fraud and malpractice in and in |
|
connection with the beef-processing industry. The Order which |
40 |
established the tribunal of inquiry also appointed the President of the |
|
High Court as the sole member of the tribunal of inquiry, and it provided |
|
that the provisions of the Tribunals of Inquiry (Evidence) Act 1921, as |
|
adapted, and the Tribunals of Inquiry (Evidence) (Amendment) Act, |
|
1979, should apply to the tribunal. It should be noticed that the tribunal of |
45 |
inquiry established in that case was similar in all respects to that in the |
|
instant case. In considering the constitutionality of such a tribunal, the |
|
Irish court took into account the status of the tribunal. In his judgment, |
|
Findlay, C.J. said ([1992] 2 I.R. at 590): |
|
“My conclusion is that the activities of the Inquiry are not in any |
5 |
way the exercise of a judicial power or function, it being no part of a |
|
judicial function, nor part of the judicial domain, to ascertain the |
|
truth or falsity of facts and report them to Parliament.” |
|
The learned Chief Justice categorized the activities of such tribunals as “a |
|
simple fact-finding operation, reporting to the legislature.” He adopted as |
10 |
being appropriate the test set out in the judgment of Kenny, J. in |
|
McDonald v. Bord na gCon (3) as to the meaning of the constitutional |
|
concept of the administration of justice in Ireland. This is what was stated |
|
(ibid., at 589-590): |
|
“‘It seems to me that the administration of justice has these |
15 |
characteristic features: |
|
. A dispute or controversy as to the existence of legal rights |
|
or a violation of the law; |
|
. The determination or ascertainment of the rights of parties |
|
or the imposition of liabilities or the infliction of a penalty; |
20 |
. The final determination (subject to appeal) of legal rights |
|
and liabilities or the imposition of penalties; |
|
. The enforcement of those rights or liabilities or the |
|
imposition of a penalty by the Court or by the executive |
|
power of the State, which is called in by the Court to |
25 |
enforce its judgment; |
|
. The making of an order by the Court, which as a matter |
|
of history, is an order characteristic of courts in this |
|
country.’ |
|
I am satisfied that with the possible exception of the first clause in |
30 |
this statement of the characteristics of the administration of justice, |
|
where it speaks of a controversy as to the existence of a violation of |
|
the law, the activities of this Tribunal of Inquiry fulfils none of the |
|
other fundamental conditions or characteristics of the administration |
|
of justice as laid down in this case. It can be argued, I suppose, that |
35 |
by reason of the inquisitorial nature of the Tribunal that it is not |
|
accurate to speak of a controversy concerning the violation of the |
|
law, but even if it is, and I would incline to the view that it would |
|
come within that category, that fact alone could not conceivably |
|
make the proceedings of this Tribunal an administration of justice |
40 |
within the meaning of Article 34 of the Constitution.” |
|
These cases, in my view, clearly establish that a tribunal, such as that in |
|
question, although endowed with powers under the 1921 Act, is not a |
|
“court or tribunal” for the purposes of s.1(a) of the Schedule to the 1978 |
|
Order. The mandate itself undoubtedly suggests that an inquisitorial and |
45 |
not an adjudicatory body has been established. The resolutions of the |
|
Parliament are not directed at the establishment of a tribunal that is to |
|
exercise judicial functions. It is a tribunal of inquiry. As Hederman, J. |
|
opined in the Goodman case (1) ([1992] 2 I.R. at 601-602): “The fact that |
|
powers similar to those exercised by the High Court are conferred on a |
5 |
particular administrative tribunal or tribunal of inquiry, does not |
|
constitute such bodies courts,” or, I may add, tribunals, for the purposes |
|
of s.1(a) of the Schedule to the 1978 Order. I accept as correct in law the |
|
meaning placed on the words “court or tribunal” in the Imacu and the |
|
CITEL cases as “court or similar tribunal.” |
10 |
The concept of statutory tribunals that are similar to courts of law has |
|
long been established in the English legal system. By Magna Carta, |
|
medieval traders were assured the right to trade freely throughout |
|
England. The consuetudo mercatorum was enforced in the “Piepowder |
|
Courts” held in the fairs and market towns. But in the boroughs and |
15 |
the staple towns were tribunals, of greater prestige, which also heard the |
|
causes of merchants by summary process and in accordance with the |
|
consuetudo mercatorum (see Windeyer, Legal History, 2nd ed. (revised), |
|
at 176-177 (1957)). The law merchant was administered by those special |
|
courts until the 18th century, when Lord Mansfield, C.J. made it a part of |
20 |
the common law of England. But other statutory tribunals, similar to |
|
courts, have been established by Parliament from time to time, e.g. the |
|
Rent Tribunals, the Mental Health Review Tribunal, the Agricultural |
|
Land Tribunals, the Industrial Disputes Tribunal and numerous others. |
|
Such tribunals “find facts and decide the case by applying legal rules laid |
25 |
down by statute or legislation.” Their decisions are final (subject to |
|
appeal) in the sense that they do not report to anyone. |
|
The functions of the tribunal in question are to enquire urgently into, |
|
and report to the Clerk of the Dáil and make such findings and |
|
recommendations as it sees fit, in relation to definite matters of urgent |
30 |
public importance. The findings of fact that it arrives at are not legally |
|
binding. Its function involves an investigatory process, and its |
|
conclusions do not bind Parliament, which is entrusted with the ultimate |
|
decision in the matter. On the evidence and on the authorities, I am |
|
satisfied that the tribunal in question is not similar to a court, either |
35 |
according to the laws of Ireland or the laws of the Cayman Islands. |
|
It is my judgment that the Tribunal of Inquiry (Dunne’s Payments) |
|
appointed by instrument of An Taoiseach of Ireland on February 7th, |
|
1997, is not a “court or tribunal” for the purposes of s.1(a) of the |
|
Schedule to the 1978 Order. Accordingly, this Grand Court has no |
40 |
jurisdiction to make the Order sought in the application pursuant to the |
|
request from the foreign tribunal. |
|
My decision, which I have just expressed, is sufficient to dispose of the |
|
application, but it is incumbent on me to consider the other important |
|
issue that was fully argued, in the event that my decision on the first issue |
45 |
is wrong. |
|
The second issue: Meaning of “civil proceedings” |
|
The second condition precedent to the jurisdiction of the Grand Court |
|
to grant the request is set out in s.1(b) of the Schedule to the 1978 Order. |
|
The court must be satisfied: |
5 |
“(b) that the evidence to which the application relates is to be |
|
obtained for the purposes of civil proceedings which |
|
either have been instituted before the requesting court or |
|
whose institution before that court is contemplated.” |
|
Section 9(1) of the Schedule to the 1978 Order provides that civil |
10 |
proceedings, in relation to the requesting court, means “proceedings in |
|
any civil or commercial matter.” |
|
Mr. Bueno, Q.C. submits that the expression “civil proceedings,” for |
|
the purposes of both s.1 of the 1975 Act and the 1856 Act, is not a term of |
|
art. He says that whilst it plainly includes proceedings before a judicial or |
15 |
quasi-judicial tribunal with jurisdiction to determine or resolve private |
|
rights, a meaning restricted to litigation or the like would do violence to |
|
the intention of the 1921 Act. |
|
The construction to be placed on s.9(1) of the 1975 Act (which is in |
|
pari materia to s.9(1) of the Schedule to the 1978 Order) was considered |
20 |
by the House of Lords in Re State of Norway’s Applications (Nos. 1 & 2) |
|
(4). Lord Goff of Chieveley, who delivered the leading opinion of their |
|
Lordships’ House, after tracing the relevant legislation before the 1975 |
|
Act, concluded that the words “civil or commercial matter” in the 1975 |
|
Act cannot be construed with reference to any internationally accepted |
25 |
meaning. The relevant section of the headnote in the All England Law |
|
Reports reads as follows ([1989] 1 All E.R. at 746): |
|
“On the true construction of s.9 of the 1975 Act the question |
|
whether proceedings were a ‘civil or commercial matter’ depended |
|
on the classification of those proceedings according to the law of the |
30 |
requesting court and the law of the court to which the request was |
|
made (i.e. English law), since the classification could not be made |
|
by reference to any internationally acceptable classification. In |
|
answering that question the English court was required to determine |
|
according to the law of the requesting court how the proceedings |
35 |
would be classified under the law and practice of that state, having |
|
regard to the manner in which classification was ordinarily made in |
|
that country, and then to determine according to English law |
|
whether the proceedings were civil proceedings on the basis that |
|
all proceedings other than criminal proceedings were civil |
40 |
proceedings.” |
|
The principles enunciated by their Lordships in In re State of Norway’s |
|
Applications cannot be faulted. But it seems to me that they are only |
|
applicable where the requesting body is found to be a “court or tribunal” |
|
within the meaning of s.1(a). The classification of the proceedings as |
45 |
either civil or criminal would then be unnecessary. If the proceedings are |
|
classified as “criminal,” then the court would not have jurisdiction to |
|
grant the request unless proceedings have been instituted. The order, if |
|
made, is limited to the examination of witnesses, either orally or in |
|
writing, and for the production of documents (s.5(1)). |
5 |
The court would have jurisdiction to grant the order where it is shown |
|
that the proceedings are ‘civil,’ which either have been instituted before |
|
the requesting court or whose institution before that court is contemplated |
|
(s.1(b)). However, my decision on the first issue renders this secondary |
|
issue otiose. It is only if I am wrong on the first issue that it would be |
10 |
necessary to decide this issue. In such an unlikely event, I would be |
|
prepared to decide this issue on the wide interpretation suggested by their |
|
Lordships in In re State of Norway’s Applications. I have considered the |
|
relevant evidence contained in the affidavits of Gerard Hogan and John |
|
O’Donnell, and I am satisfied that if the requesting body is classified as a |
15 |
“court or tribunal” within the meaning of s.1(a), then the proceedings |
|
before it, on the broad interpretation, would not be criminal but civil |
|
proceedings. |
|
The application is refused, with costs to the opposer to be taxed if not |
|
agreed. |