Scandinavian Civil Law

Introduction to Scandinavian Civil Law

Scandinavian civil law applies to the five Scandinavian countries, namely Denmark, Sweden, Iceland, Finland and Norway. Historically, it has it roots set in Germanic law, but Scandinavian civil law is now more closely akin to the civil law of the common law countries such as the UK and Australia.

History of Scandinavian Civil Law

Scandinavian civil law has not always been recognised as a unified system of law for the five Scandinavian countries. Until the early 9th century, Scandinavian civil law did not exist as a concept at all; instead, the five nations all had their own independent legal and administrative systems. Despite the five countries having their own systems, legally, they were all based on similar theories and it was not long until they started to merge into one body of Scandinavian civil law.

Initially, Scandinavian civil law was entirely unwritten; it was based on customs and social development that gradually became a codified system. The customary type of Scandinavian civil law was managed by group meetings which could be attended by all men. This system of Scandinavian civil law worked well until the 11th century when the rules became too difficult to manage and some basic laws were codified into a written text. Generally, Scandinavian civil law was put together by private individuals, although increasingly the king became involved. By the 13th century, the body of Scandinavian law was largely complete in its current form.

Scandinavian civil law became much more unified across the five countries, over the centuries. However, there were still differences regarding where the laws originated from. For example, the Gulathing Law originated from Norway, in the 11th century, whereas the Law of Uppland came from Sweden, in the 13th century.

These early laws formed the basis of future Scandinavian civil law; however, they were not in the same format as modern Scandinavian civil law. The first codification of Scandinavian civil law started with the areas of matrimony, property, inheritance and contract, although gradually this extended to cover the areas of administrative and criminal law. Religious law was dealt with entirely separately, with its own court and justice decisions.

Despite the early shift towards codifying Scandinavian civil law, the first common law system that was centrally arranged was actually criminal law, particularly in the area of manslaughter and blood feuds. Religious law also started to become intertwined into the Scandinavian civil law, primarily in order to ensure that assisting the poor was something written down in law.

Power also shifted towards the king, with King Magnus’s Swedish code of 1350 being the first of its kind, placing power on the King’s officials to manage the commencement of criminal proceedings. Although this only dealt with the criminal law element of the legal system, it was, nevertheless, the beginning of the Scandinavian civil system as we know it today.

By 1380, Denmark and Norway had come under the rule of one king, although the legal systems remained independent. This unification was the first step towards the Scandinavian civil law becoming one system. Over the next three hundred years, the Scandinavian civil law system gradually gained codification and unification across the two countries, influences of which filtered into the neighbouring countries.

The codes that were developed by the two Scandinavian countries were extremely well written and the envy of many of other countries. The wording in this code of Scandinavian civil law was both simple and easy to understand. Sweden was one of the first countries to accept the new code, actively, and it became clear that this was set to be the widely accepted Scandinavian civil law code.

Scandinavian Civil Law Today

Whilst the historic codes were both popular and widely accepted, the complexity of modern life has meant that Scandinavian civil law has more recently become regulated by more and more statutes. During this modern development, the five Scandinavian countries have all largely followed the same basic theories, yet have generated their own legal standards. Essentially, all Scandinavian civil law is based on the Swedish laws of the early 18th century.

Although there is a degree of separation in terms of legal structures in the Scandinavian countries, there is still the agreement between the states to cooperate on matters of legislation. This agreement was entered into in 1872 and has become more and more important and the foundation of Scandinavian civil law as we know it today. Typically, areas such as commerce and contracts have always ensured that there is conformity amongst the Scandinavian states. One of the main benefits of having a largely uniform Scandinavian civil law is that trade and movement of both people and commerce is much more fluently achieved across the Scandinavian countries.

Scandinavian civil law is a unique blend of many different legal systems, although most notably German and French laws. This influence is primarily down to the way in which the law is taught in Scandinavia, with many Scandinavian based lawyers studying in France and Germany before returning to practise in Scandinavia. Despite the unique format of the Scandinavian civil law, it does largely follow in line with other European countries when it comes to matters of international trade and shipping.

Although it has been necessary for Scandinavian civil law to become suitably in line with other European states, the Scandinavian states have opted to stay as straightforward and close to real life practicalities, as possible. This is particularly evident when it comes to welfare law. In a similar way to the English law courts, the judges are largely responsible for making the law, although in a different way to the English courts. For example, there is no principle of binding precedent, which makes Scandinavian civil law particularly flexible and able to deal with changes is social needs as and when they arise.

Scandinavian civil law is very flexible, yet sufficiently structured to allow the Scandinavian states to compete on an entirely level footing with other European states for the purposes of commercial contracts. Many legal theorists believe that Scandinavian civil law is, in fact, a model code which should be considered by many other modern countries across the world.

Sale of Goods/Consumer Protection Question

Brief 187810

Sale of Goods/Consumer Protection question

To:Mr Supervisor

From: Richard Ross

Re: Graham Marshall – The Pine Tree

I met with Mr Marshall of The Pine Tree on 28th February 2006.

Mr Marshall explained that he was being pursued for a claim by The Wine Imporium in respect of 3 items that he had ordered on 2nd February 2006.

Mr Marshall ordered the following items:

A bottle of vintage port, priced at ?1,500
2 dozen bottles of Eldorado sherry at ?800
5 litres of Shangri-La wine at ?900

The Wine was to be purchased for Mr Marshall’s business, which is a restaurant.

It was agreed that the port and sherry would be delivered on 8th February; but the goods were destroyed in a fire at the Imporium’s premises, and the goods were therefore not delivered. Despite this, the Imporium have issued an invoice dated 10th February 2006, and are seeking payment of ?3,200. He is now being pressed for payment and has received a letter from solicitors acting for the Emporium (a copy is attached to this report).

Mr Marshall also purchased 5 dozen wine glasses, again for his restaurant at a cost of ?60. These items collected by Mr Marshall.

My view of the legal position is as follows:

There is a distinction between ownership and possession. Clearly, at the time of the fire, the Emporium were still in possession of the goods, but who owned them at that time is a different and more complex question.

The transfer of ownership has important legal consequences. It is of significance when considering who is liable when goods are damaged. The general rule is that risk of loss normally passes from seller to buyer at the same time as property legally passes. Therefore, if property has passed to Mr Marshall as at 7th February 2006, he will bear the loss, and have to meet the Emporium’s claim.

The Sale of Goods Act 1979 (“SOGA”) contains detailed rules governing various aspects of transfer. The time when property is transferred is dealt with by Ss 16-19.

Section 20(1) SOGA deals with risk and provides that:

“Unless otherwise agreed, the goods remain at the seller’s risk until the property in them is transferred to the buyer, but when the property therein is transferred to the buyer, the goods are at the buyer’s risk whether delivery has been made or not.”

If Mr Marshall dealt as a consumer, this position would be varied by the Sale and Supply of Goods to Consumers Regulations 2002 (“The Regulations”).

S4 of the Regulations amends S20 SOGA. It provides that after subsection (3) there is inserted-

In a case where the buyer deals as consumer …, subsections (1) to (3) above must be ignored and the goods remain at the seller’s risk until they are delivered to the consumer.”.

A “consumer” is defined in the Regulations as “any natural person who, in the contracts covered by these Regulations, is acting for purposes which are outside his trade, business or profession

Mr Marshall was however buying the wine for his restaurant, and therefore will not fall within the definition of consumer. In that case, the general rule in S20(1) SOGA will apply.

The relevant question is therefore whether as at 7th February the goods had transferred to Mr Marshall. The basic rule is that property passes when the parties intend it to pass. This is reflected in S17 SOGA. However, this is subject to the overriding provision of S18 SOGA which provides separate rules for unascertained goods.

Therefore, whether goods have transferred will depend on whether the goods are specific, or unascertained goods.

Are the goods specific goods?

Specific goods are defined at S16 SOGA as “goods identified and agreed on at the time a contract of sale is made”. Goods can only be classified as “specific” if it is possible to identify the precise subject matter of the sale at the time when the contract is made. Any goods purchased as a self service purchase (as most consumer items in supermarkets are) will be for specific goods.

Unascertained goods are not defined by the SOGA, but will comprise of goods that are not specific. This will cover any generic goods, or goods that form part of a larger consignment, or come from a source which is specified in the contract.

The Shangri-La was to be taken from a case in the cellar of the Emporium, and therefore this is clearly unascertained, since it comes from part of a larger consignment.

The Eldorado sherry is specified by description, but it is a purely generic description, and again will be for unascertained goods. It is different to the example above of self service purchases, since the specific bottles had not been selected by Mr Marshall.

The situation with regard to the vintage port is more complex. Mr Smith of the Emporium told our client at the time of the sale that he thought that this bottle was the last remaining bottle. If that is indeed the case, then the purchase was for a specific bottle of port. It is my view that this is a contract for a specific item.

Specified goods

S17 SOGA reflects the common law rule that property in specified goods, such as the port, passes when the parties intend it to pass. This means that if there is a clause in the contract, such as a retention of title clause, property passes under the terms of that clause. It is also possible that this may be implied from the parties’ conduct, trade practice or custom, or any other relevant circumstances.

There is no express provision, and no relevant trade practice. A term may however be implied if, eg, payment is deferred – this may imply that property passes on payment. Payment in this case was not due on delivery, and therefore it is possible to argue that in the case of the vintage port, if it is indeed for specific goods, there was an implied agreement that the property; and risk; did not pass until delivery. (confirmed in Dobson v General Accident co Ltd[1]

Diplock LJ indicated in R V Ward Ltd v Bignall[2] that the courts will be very ready to infer an intention that property will not pass until delivery; thereby ousting the statutory rule.

If this argument fails, the point will be governed by S18 SOGA. This sets out five rules, which govern the situation. The first three relate to specific goods, and the first is the basic rule.

The first rule states:-

where there is an unconditional contract for the sale of specific goods in a deliverable state, the property passes to the buyer when the contract is made, and it is immaterial whether the time of payment or the time of delivery, or both, be postponed.

“Unconditional” means that there is no term in the contract postponing transfer until one of the parties performs a specified act.[3]

In Underwood v Burgh Castle Brick and Cement Syndicate[4] it was held that an engine which was cemented to the sellers floor at the time the contract was made was not in a deliverable state until it was dismantled and ready for transport.

There is nothing however in Mr Marshall’s case to render the contract conditional, and therefore the contract is unconditional.

Therefore, if the port is specified, with no express or implied condition, then risk passed to Mr Marshall on 2nd February 2006. It is however my view that, because payment is delayed, a court would infer a term that property (and risk) did not pass.

(The remaining three rules are not relevant to Mr Marshall’s case, and only apply to goods not in a deliverable state at time of contract; or where the seller needs to do something to ascertain the price (eg weigh the goods) or where goods are bought on approval.)

I would also comment that the statutory rule will only apply if the damage was accidental. S20(3) SOGA provides that “nothing in this section shall affect the duties and liabilities of either seller or buyer as a bailee of the goods for the other party”.

There is however no evidence to suggest that the fire was not accidental.

Unspecified goods

In the case of unascertained goods, no property in the goods is transferred to the buyer unless and until the goods are ascertained.[5]

Rule 5 of S18 SOGA will therefore apply to unascertained goods. This applies where no contrary intention appears, as in this case. The rule states:

“1.Where there is a contract for the sale of unascertained or future goods by description, and goods of that description and in a deliverable state are unconditionally appropriated to the contract, either by the seller with the assent of the buyer, or by the buyer with the assent of the seller, te property in the goods then passes to the buyer and the assent may be express or implied and may be given either before or after the appropriation is made.

2.Whether in pursuance of the contract, the seller delivers the goods to the buyer or to a carrier or other bailee…for the purpose of transmission to the buyer, and does not reserve the right of disposal, he is to be taken to have unconditionally appropriated the goods to the contract.”

This means that the goods remain unascertained, and risk remains with the seller until the goods are:

in a deliverable condition, and
unconditionally appropriated (ie irrevocably earmarked),

Pearson J stated in Carlos Federspiel & Co SA v Twigg (Charles) Ltd[6] that to be unconditionally appropriated, “the parties must have had, or be reasonably supposed to have had an intention to attach the contract irrevocably to those goods so that those goods and no others are the subject of the sale and become the property of the buyer”.

In that case, bicycles were packed up and labelled, and shipping arrangements had been made by the seller. The goods had also be paid for by the buyer, when the seller went bankrupt. It was held that at the time the seller went bankrupt, the goods had not been appropriated, and the buyer had no title. This is because the seller could have changed his mind before he handed the goods over to the shipper.

0

In Hendy Lennox v Graham Puttick[7] it was held that appropriation took place once the sellers had assembled the generators and the buyers received invoices and delivery notes indicating the serial numbers.

Therefore, the seller must perform an act which puts the goods out of his control, so that he cannot use them to perform another contract.

We do not know whether the goods had been selected ready to be delivered to Mr Marshall. However, there is no evidence to support the fact that the goods have been irrevocably attached to the contract; certainly there is no consent to such an attachment by Mr Marshall. (In order to pass property, the appropriation must be made with the express or implied consent of each party).

Goods purchased from a bulk source may however become ascertained by exhaustion. This will be relevant to the Shangri La wine, which was to be purchased from a cask in the cellar of the Emporium. If that cask only had 5 litres left in that case, that wine would have been unconditionally appropriated to the contract.[8] This is however unlikely.

I therefore conclude that as at 7th February 2006, the goods had not been appropriated to the contract, and therefore at the time of the fire, the goods remained unascertained. Risk in the unascertained goods remains with the Emporium.

(I would mention for completeness that The Sale of Goods (Amendment) Act 1995 creates an exception to the rule relating to goods where the bulk is identified in contracts; but only applies where the buyer has paid for some or all of the goods. Its aim was to protect buyers who have paid for goods, and the seller subsequently becomes insolvent. It will not be relevant here).

Overview

It is my view that in all probability, the vintage port will be a specified item. Since payment is delayed until after delivery, I believe that risk will have not have passed at 7th February 2006.

The wine will have been ascertained if it was the last 5 litres in the cask, but this seems unlikely. Therefore, both the sherry and wine were unascertained goods, not unconditionally appropriated to the contract as at 7th February. Under S16 SOGA, no property passes until goods are ascertained, therefore risk again remained with the Emporium.

Frustrated contracts

Where goods perish whilst still at the sellers risk, he is not able to perform the contract – he cannot insist on the buyer accepting other goods without the buyers consent. Common law rules of frustration and mistake may excuse a seller from liability if performance becomes impossible.

Ss 6 and 7 SOGA contains rules that are broadly analogous to the common law rules of frustration. Where they apply, the common law rules are displaced.

S6 SOGA provides “where there is a contract for the sale of specific goods, and the goods without the knowledge of the seller have perished at the time when a contract is made, the contract is void.

(S6 is equivalent to the common law rule of mistake)

In Mr Marshall’s case, the contract was made on 2nd February, and the goods destroyed on 7th February. This will therefore not apply.

S7 SOGA provides “Where there is an agreement to sell specific goods and subsequently the goods, without any fault on the part of the seller or buyer, perish before the risk passes to the buyer, the agreement is avoided.”

This is equivalent to the common law rule on frustration, and displaces the impact of the Law Reform (Frustrated Contracts) Act 1943 (the “43 Act”). Therefore, this Act does not apply to the perishing of specific goods, and therefore the contract is not frustrated.

I therefore conclude that, for any specific goods, which on the balance of probability will in this case be the bottle of vintage port, the bottle has been damaged after the contract is concluded, and S7 SOGA will therefore apply.

An item perishes if it has “so changed s to become an unmerchantable thing that no honest seller would sell” (Asfar & Co v Bludnell[9]– a case where dates impregnated with river water and sewage were found to have perished)

The port has clearly perished. Therefore, the contract is avoided, and the Emporium cannot sue for the price.

Unascertained goods

The statutory rules only apply to specific goods that have perished. The wine and sherry do not fall into this category, since they are for unascertained goods.

The sherry is purely generic. This means that other sherry of the same description can be purchased and supplied (assuming they are still available). Therefore the Emporium must source more sherry from another source – or pay damages to Mr Marshall for non-delivery. There is certainly no requirement for Mr Marshall to pay for these goods before they are delivered.

With regard to the wine, the source has been specified in the contract. It is therefore impossible for the Emporium to supply the wine. S7 will not apply, because it is not for the sale of specific goods. The contract will therefore be frustrated under the 43 Act. This means that adjustments for expenses incurred, and benefits received are possible. However, in this case, there does not appear to be any such expenses or benefits.

Therefore, the Emporium must supply the sherry – or face a claim for damages for non-delivery. However, there is no obligation on either party with regard to the port, or the wine.

Wine Glasses

Property in the wine glasses has clearly passed, as has risk. Whether Mr Marshall can reclaim his money will depend on when the glasses were broken.

S14 SOGA contains implied terms about quality and fitness.

If the glasses were broken before Mr Marshall paid and took delivery of them, they were not goods of satisfactory quality[10] and he will be entitled to a refund.

If the glasses were broken at a later date, it will be a question of whether the glasses were broken because they were faulty or whether Mr Marshall mishandled them. If the goods contained an inherent fault, it can be argued that they were not fit for purpose. S 14(2b) SOGA provides that to be of satisfactory quality, goods must be fit for all purposes for which the goods are commonly supplied. It goes on to state that goods should be free from minor defects, be safe and durable.

Therefore, if the goods were not safe and durable (to the extent that glasses should be expected to be) Mr Marshall would be entitled to a refund.

Conclusion

Mr Marshall has no obligation to pay any money to the Emporium at this stage. If the Emporium does deliver the sherry, he will then be obliged to pay the price; but not before.

Indeed, Mr Marshall may have a claim against the Emporium if they fail to deliver replacement sherry to him; and if the wine glasses were indeed defective.

Bibliography

Consumer Law and Practice, fifth edition – Robert Lowe and Geoffrey Woodruff, Sweet & Maxwell 1999

Law Reform (Frustrated Contracts) Act 1943

The Sale of Goods Act 1979

The Sale and Supply of Goods to Consumers Regulations 2002

The Sale of Goods (Amendment) Act 1995

Asfar & Co v Bludnell [1886] 1QB 123

Carlos Federspiel & Co SA v Twigg (Charles) Ltd [1957] 1 Lloyd’s Rep 241

Dobson v General Accident co Ltd [990] 1 QB 274

Hendy Lennox v Graham Puttick [1984] 2 All ER 152

R V Ward Ltd v Bignall [1967] 1 QB 534

Underwood v Burgh Castle Brick and Cement Syndicate [1922] 1 KB 343

1

Research on the Defence of Diminished Responsibility

Research Proposal

Provocation, diminished responsibility and the reasonable (wo)man; the implications of the Law Reform Commission’s recommendations.

Introduction

The crime of murder is one defined by the common law as the intention to unlawfully kill another human being with malice afore thought. Currently, in England and Wales the legal system does not differentiate between different ‘types’ of murder, such as first and second degree.[1] There are however, defences available to defendants, which could enable either an acquittal (some general defences), or a conviction of some lesser offence (specific defences). Under the Homicide Act 1957 an individual can plead the defences of provocation, diminished responsibility or claim that he or she was involved in a suicide pact. If such defences are successful, this will have the result of bringing a charge of murder down to one of manslaughter and thus, termed ‘voluntary manslaughter’. The first of the two defences have developed a considerable amount of case law and many of these decisions have related to abusive relationships where the abused has killed the alleged abuser.

The law relating to the defence of provocation has held that an individual must have been provoked (by either words or actions), resulting in a total loss of self control,[2] and that a reasonable person in the same situation would have acted in the same manner. The first two aspects of the defence have been referred to as the ‘subjective’ elements and the third part as ‘objective’. The so-called objective element has become more and more subjective in nature. In R v Camplin, Lord Diplock acknowledged that the test was not ‘wholly objective’[3] and in the case of R v Smith (Morgan James)[4] it was asserted that the characteristics of the defendant should be attributed to the ‘reasonable person’ and this includes not only characteristics that had bearing on the actual provocation, but also on the ability of an individual to maintain his or her self control. In context of the so-called ‘battered wife’ cases, the judiciary have also applied this principle.[5]

The specific defences outlined above are justified on the basis that in some circumstances, the law should recognise that there are reasons as to why an individual should not be convicted of the more serious offence of murder and thus, subject to a mandatory life sentence. The issue with the provocation defence relating to an individual who has suffered long-term abuse, is that such individuals will not always be able to rely on it as there may be some aspect of pre-meditation. The law has also recognised that such individuals suffering from some ‘abnormality of mind’ may not be fully responsible for his or her conduct and therefore should be convicted of manslaughter instead of murder. The effect of abuse on an individual’s mental state can in certain circumstances, amount to an ‘abnormality of mind’ and thus satisfy the defence of diminished responsibility.[6]

The purpose of the proposed research is to examine the current state of the law and look at the way in which abused women are dealt with when charged with murder. In line with the Law Commission’s proposals to reform the law of homicide, the research will also examine the extent to which the proposed change in the law will impact on this area. It is submitted that the current state of the law is not adequate in dealing with such individuals and it remains to be answered as to whether the proposals will make any real difference.

The Law Commission’s Consultation Paper proposes to maintain the defence of diminished responsibility and comments that there are no grounds for abolishing the defence based upon arguments that it gender discriminatory. The paper comments at one point:

“Was the abnormality of mental functioning really a substantial cause of the defendant’s conduct if other factors were at work? Or, were the other factors, jealousy, anger, a desire to dominate or punish, the real or predominant explanation, with the abnormality of mind being a minor background factor of inadequate moral significance to affect the verdict?”[7]

The research will examine the defence of provocation and the so-called objective element in order to determine how this fits with the nature of a long term build up of abuse suffered by some women. Is there a true ‘loss of control’ in such circumstances and is it appropriate to attribute the full characteristics of such people to the reasonable (wo)man? Furthermore, by also enabling such individuals to plead the defence of diminished responsibility, as the above quote would seem to suggest, is the law simply ‘categorising’ these people to as their conduct is not viewed quite as seriously as a person who commits murder? Thus, the term ‘abnormality of mind’ is not one used in psychiatric terminology and the courts have been left to establish exactly what the phrase means on a case-by-case basis. It seems doubtful as to whether this is a sufficient approach for the law to take.

Objectives

Analyse the current law relating to the defences of provocation and diminished responsibility and establish how these apply to women in long-term abusive relationships.
Present the justifications for the defences and apply them in context of the proposed research theme.
Establish the proposed reforms in the area.
Critically analyse the proposed reforms in line with the research topic in order to determine whether they are sufficient.

Value of the Research

Add to the current academic debate in this field.
Establish the appropriateness of the Law Commission’s reforms.
Personal interest to the researcher.

Theoretical research based on literature search and critical analysis.

Sources:

Domestic legislation, cases in domestic and international jurisdictions
Books and periodical articles.
Law Commission Reports.
Statistics from the Home Office (relating to domestic violence/fatal offences from domestic relationships).
Preliminary Plan (Chapters)
Abstract
Introduction and overview of the topic
Analysis of the existing law on provocation/diminished responsibility
Analysis of the Law Commission’s proposals for reform
Conclusion (including any further suggestions for the direction the law should take for the future).

Essential Reading:

(As well as the most current academic text books on the subject)

Legislation:

Homicide Act 1957

Family Law Act 1996 – see Part IV relating to domestic violence provisions

Protection From Harassment Act 1997

See also the Law Reform’s paper: The Law Commission Consultation Paper No 177, A New Homicide Act For England And Wales?

At http://www.lawcom.gov.uk/docs/cp177_web.pdf

Cases:

Jersey v Holley [2005] UKPC 23 R v Mohammed [2005] EWCA Crim 180 R v Ahluwalia (1992) 4 All.E.R 889 R v Bedder (1954) 2All.E.R. 801 DPP v Camplin (1978) A.C. 705 R v Duffy [1949] 1 All.E.R 932 R v Newell (1980) 71 Cr.App.R. 331 R v Roberts [1990] Crim.L.R 122 R v Thornton (No.2) (1996) 2 All.E.R 1023 R v Richens (1993) 4 All.E.R 877 R v Humphreys (1995) 4 All E.R 1008 R v Morhall (1995) 3 All E.R 659 R v Luc Thiet Thuan (1996) 2 All E.R 1033 R v Smith (Morgan James) (2000) 4 All. E.R. 289 R v Keaveney (2004) LTL 22.04.04 Extempore – unreported – find it on Lawtel

Journals:

Toczek, ‘The action of the reasonable man’, (1996) N.L.J. 146, 835 Toczek, ‘Self-control and the Reasonable Man’ (2000) NLJ 150, 1222 Oliver, ‘Provocation and non-violent homosexual advances’ (1999) J.Crim.L. 63(6) 586-592 Thomas, ‘Sentencing: manslaughter – manslaughter by reason of provocation – manslaughter of spouse of partner’ (2003) Crim.L.R. June 414-417 Neal & Bagaric, ‘Provocation: the ongoing subservience of principle to tradition’, (2003) J.Crim.L 67(3) 237-256 Gardner, ‘The mark of responsibility’ (2003) O.J.L.S 23(2) 157-171

{N.B – Some psychology literature may be relevant on this topic – search the online journals for killing stemming from domestic violence.

Further research will also be needed to obtain further literature – search www.ingenta.com and your university library should be able to order any articles of relevance that they do not have on site/access to online journal. Also search for any recent reviews of the Law Commission’s proposals

You may also need to add to this proposal and include a timescale and any further information you wish to add – such as the length of the research (this is obviously information not available)}

1

Acupuncture for Chronic Headache in Primary Care

Research Critique

Introduction

Research involves the use of systematic procedures to answer an inquiry. It involves data collection, synthesis and analysis in the light of the question or inquiry; and formulation of conclusions and recommendations, (Badke, 2004). General types of research include experimental studies which “are used to test the effect of a treatment or intervention”, (Peat, 2001, p. 16). Clinical trails fall under the broad category of experimental trials. Clinical trials are controlled experiments with patients, which range from “studies to prevent, detect, diagnose, control and treat health problems to studies of the psychological impact of a health problem and ways to improve people’s health, comfort, functioning, and quality of life”, (Brooten, 2006, p.86). Generally, clinical trials can be categorised into either randomised trials or non-randomised trials.

This paper will try to evaluate the scientific research conducted by Vickers and colleagues (2004), entitled: Acupuncture for chronic headache in primary care: large, pragmatic, randomised trial, which was published on 15 March 2004 at the British Medical Journal. This particular topic was selected due to its relevance to this field of study. Numerous insights from this field of study and valuable best practice information in quantitative research methods can be gained from undertaking this critiquing task. This critique will be carried out using the research framework for critiquing health research formulated by Caldwell and co-workers (2005), which provides a comprehensive set of criteria against which the elements of the research article by Vickers and colleagues (2004) can be appropriately measured. This paper will first evaluate the overview of the study, including the abstract, literature review and the methodology used. Next, it will critically analyse issues concerning research ethics, data protection and research funding. Then, it will evaluate the reliability, validity of the research results, including the sampling methods employed. It will then identify the specific strengths and weaknesses of the research article. Finally, the concluding judgement about the research article will be presented.

Below are the definitions of selected important terms used in the research article:

Acupuncture – pertains to the “technique of traditional Chinese medicine, in which a number of very fine metal needles are inserted into the skin at specially designated points”, (“Acupuncture”, 2007).
ANCOVA – stands for ‘analysis of covariance’ which is a statistical treatment that combines analysis of variance (ANOVA) and regression; whereby “the predictable component of the individual differences can be removed with regression analysis”, (Anderson, 2001, p. 283).
Chronic – “all impairments or deviations from normal that have one or more of the following characteristics: are permanent; leave residual disability; are caused by nonreversible pathological alteration; require special training of the patient for rehabilitation; or may be expected to require a long period of supervision, observation or care”, (Sidell, 1997, p. 1)
Negative binomial regression – “is one of a class of mixed Poisson models that mix a second source of variance with the Poisson variance to account for overdispersion”, (Cohen, et al., 2003, p. 531).
Outcome measures – “reflect patient health status at either the individual or the aggregate (population) level”, (Stommel & Wills, 2004, p. 234).
Randomised trial – A randomised trial is a clinical trial that pertains to “an experiment in which therapies under investigation are allocated by a chance mechanism”, (Brooten, 2006, p.86).
Sham Treatment – is the experimental treatment that “has no effect and which subjects cannot distinguish from the active treatment “(Peat, 2001, p. 20).

Critical Analysis

In March 15, 2004, the BMJ Publishing Group Ltd, a wholly owned subsidiary of the British Medical Association, published the research article in its medical journal, the British Medical Journal (BMJ). Its “print BMJ has been published continuously since 1840, and now appears in four weekly editions, varying only in their advertising content. Together, their circulation totals about 122 000 copies, of which 10 000 are distributed outside Britain”, (BMJ, undated). Its website provides “the full text of everything published in the print journal since 1994, as well as much material unique to the web”, (BMJ, undated).These make the BMJ Publishing Group Ltd. an influential and authoritative source of medical articles.

The authors are recognized medical practitioners with different fields of specialisations. Andrew Vickers is an assistant attending research methodologist at the Integrative Medicine Service, Biostatistics Service, Memorial Sloan-Kettering Cancer Center in New York; Rebecca Rees is a research officer at the Evidence for Policy and Practice Information and Co-ordinating Centre (EPPI-Centre), Social Science Research Unit in London; Catherine E Zollman is a general medical practitioner from Montpelier Health Centre in Bristol; Rob McCarney is a research officer at the Department of Psychological Medicine, Imperial College in London; Nadia Ellis is lecturer Department of Health and Social Sciences, Coventry University in Coventry; and both Peter Fisher, who is the director of research and Robbert Van Haselen who works as the deputy director of research are from Royal London Homeopathic Hospital. Thus, based on their qualifications, the authors have the credibility, needed knowledge and expertise to engage in an extensive scientific study such as the article being evaluated.

The article is appropriately titled as Acupuncture for chronic headache in primary care: large, pragmatic, randomised trial, since it essentially focussed on the effectiveness of the use of acupuncture to relieve chronic headache. Moreover, the title expressly implies that the methodology utilizes a large sample in the randomised trial. The abstract appears to be concise and complete. In a few paragraphs, the essential research components were summarised in the abstract, namely: (1) the research objective; (2) setting; (3) participants; (4) interventions; (5) main outcome measures; (6) results; and (7) conclusions. The abstract provides the complete key information that the readers need to fully understand the article. The introduction explained the health costs related to headache, which is the main topic of the article, including the need to apply other approaches in its treatment, particularly, acupuncture. The introduction also provides the main aim or rationale of the study, which was: “to estimate the effects of acupuncture in practice” in general; and “to determine the effects of a policy of ‘use acupuncture’ on headache, health status, days off sick, and use of resources in patients with chronic headache compared with a policy of “avoid acupuncture”, in particular, (Vickers et al., 2004). However, the literature review was limited to only one source of published work – the Cochrane review of 26 randomised trials. This would be very insufficient in terms of the extent of evaluating available sources of information related to the topic of the study. Moreover, it does not provide a comprehensive evaluation of scholarly work from which the rationale of the study could be based.

The study is a quantitative research, since the data obtained are represented in the form of numbers and statistical treatment was employed to interpret the data gathered (Grinnell & Unrau, 2005, p. 62). Despite the lack of implicit statement of the hypothesis, the audience or reader can obtain a general notion or idea of what is being tested (the effectiveness of acupuncture in the treatment of chronic headache). However, the variables were not clearly defined. Nevertheless, the procedures employed in the methodology were intricate and systematic. The participants were clearly identified and adequately described in the study. In the accrual of patients, several stages were established to facilitate the flow and recruitment of participants. Figure 1 in the appendix illustrates the flow of participants in the study. Moreover, ethical principles were upheld during the conduct of participant recruitment. Since most legal instruments expressly prohibit the use of human subjects for medical research, the researchers obtained written informed consent from the participants.

The researchers implemented a system to ensure randomization of the study through a ‘password protected database’, thereby eliminating the potential for bias and subsequently improving the quality of the results. As Peat (2001, p. 28), explains: “ in randomised controlled trials, the quality of the evidence is improved if measurement bias, such as observer or reporting bias, is reduced by using objective outcome measurements and if observers are blinded to the group status of the subjects. The method of data collection proves to be valid and reliable, as evidenced by the relatively high number of treatments (12 treatments) employed over a sufficient length of time (3 months). Moreover, a follow-up procedure was implemented to generate “a global estimate of current and baseline headache severity”, (Vickers, et al., 2004). This further enhanced the validity of the results. The large sample size helped ensure the reliability of the results. Additionally, the use of measurable outcomes such as the Likert scale of headache severity helped eliminate bias by extending common measurement criteria for the respondents. The article correlated its results with the findings in “prior literature on acupuncture”, (Vickers, et al., 2004), suggesting a high degree of validity of results generated.

The presentation of results was systematic and at the same time, clear and comprehensive. The results portion explained the process of participant recruitment including the flow of participants through the trial, patient compliance and dropout rate and their characteristics. It also provided a clear explanation of data that were obtained with accompanying tables and graphs. Thus, the audience can easily comprehend the results obtained. In the discussion, the results generated were translated into the main findings of the study which were stated in a clear, yet simple manner. Moreover, the strengths and the limitations were identified and discussed clearly.

The strengths of the research article are anchored on its methodology, such as in the recruitment of participants with a large sample size, the implementation of a system to conceal the randomization and the meticulous follow-up procedure one year after the experiment. Such procedures helped ensure that the research findings are reliable and valid. On the other hand, one of the limitations of the study is the absence of sham acupuncture for the participants, thereby failing to consider the potential placebo effects. Additionally, the participants were not blinded in the study; thereby raising the possibility of bias in terms of the participants’ assessments of their headache scores. In terms of the literature review, the article failed to provide an objective evaluation of a sufficient body of literature related to the topic of the research. Thus, it failed to address the gaps in knowledge related to acupuncture and chronic headache due to the lack of an extensive evaluation of available literature.

Conclusion

In the final analysis, the research article serves as an additional source of authoritative and credible information regarding the use of acupuncture for the relief of chronic headache. The findings of the study strongly support available scientific evidence. The weaknesses of the research article discussed above can serve as important considerations for researchers who are planning to engage in a similar undertaking – they must evaluate a substantial body of literature to gain insight into the currently available information and subsequently identify knowledge gaps. Moreover, future randomised clinical studies in acupuncture should include a sham treatment to be able to consider potential placebo effects; and blinding of participants must be observed to eliminate bias.

Bibliography

Acupuncture. (2007). In The Columbia Encyclopedia (6th ed.). New York: Columbia University Press.
Anderson, N.H., 2001. Empirical Direction in Design and Analysis. Mahwah, NJ: Lawrence Erlbaum Associates.
Badke, W.B., 2004. Research strategies: Finding your way through the information fog. (Second Edition). New York: iUniverse, Inc.
British Medical Journal. Undated. Available from: http://resources.bmj.com/bmj/about-bmj. [Accessed: 18 April, 2008].
Brooten, D., 2006. Clinical Trails. In: Encyclopedia of Nursing Research (Second Edition). Joyce Fitzpatrick and Wallace, J.J., (Eds). New York: Springer Publishing Company.
Caldwell, K., Henshaw, L., Taylor, G., 2005. Developing a framework for critiquing health research. Journal of Health, Social and Environmental Issues, 6(1), 45-54.
Cohen, J., Cohen, P., West, S.G. and Aiken, L.S., 2003. Applied Multiple Regression / Correlation Analysis for the Behavioral Sciences. Hillsdale, NJ: Erlbaum.
Grinnell, R. M., Unrau, Y. A., (Eds.), 2005. Social Work Research and Evaluation: Quantitative and Qualitative Approaches (7th ed.). New York: Oxford University Press.
Peat, J. K. (Ed.), 2001. Health Science Research: A Handbook of Quantitative Methods. Crows Nest, N.S.W.: Allen & Unwin.
Sidell, N. L. , 1997. Adult Adjustment to Chronic Illness: A Review of the Literature. Health and Social Work, 22(1), 5+.
Stommels, M., Wills, C.E., 2004. Clinical Research: Concepts and Principles for Advanced Practice Nurses. Philadelphia: Lippincott Williams and Wilkins
Vickers, A.J., Rees, R., Zollman, C.E., McCarney, R., Smith, C.M., Ellis, N., Fisher, P., 2004. Acupuncture for chronic headache in primary care: large, pragmatic, randomised trial. Available from: http://www.bmj.com/cgi/content/full/328/7442/744. [Accessed: 15 April 2008].

Appendix

Figure 1Flow of Participants Through the Trial

Source: Vickers, et al., 2004

Analysis of the Public and Private Sports Industry

Public, private and voluntary sectors in the sports industry, advantages and disadvantages of the leisure centre being in the public sector, how the local leisure centre can meet the aim of getting more local clubs to use its facilities.

Introduction

“Since the opportunity to participate in sport or recreation requires facilities, the central task of organisations, and associated individuals, is to provide a service which focuses on people and which satisfies that need.”[1]

The sports industry has changed beyond all recognition since the beginning of the 1990’s in each of the public, private and voluntary sectors. The impetus has come from top level government policy with the creation of the UK Sports Council and the formation of the chief sporting bodies such as Sport England offering both funding and structure to the previously ad hoc nature of leisure and recreation in modern Britain. Moreover, the lure of professional sport has also irrevocably changed in tandem with the structural changes in amateur sport with the result that there is, at the dawn of the twenty first century, more people are taking an active part in sport, which has further increased the pressure on local services such as leisure centres. There are though vast differences between the way that the public and private sector sports providers are run and funded as shall now become apparent.

The Private Sector

With regards to the sports industry, the private sector refers to those leisure services that are funded by private capital and open only to private membership. This can mean anything from specialist professional sports clubs to health and fitness clubs to local sports teams that have been established and sponsored by local and national businesses alike. The advantages of this kind of sporting industry are predominantly economic with the funding of private sports clubs historically far outstripping the economic resources available to equivalent public sector sports services. Certainly in the 1970’s and 1980’s, private sector sports industries were far more popular and productive than their public sector counterparts mirrored in the elevated sporting achievements of private school sporting institutions as opposed to the relative failings of the same public (comprehensive) school sports bodies. There are, however, inherent disadvantages to sports and leisure services that rely exclusively on the private sector for funding. First and foremost, there are no guarantees that the source of that funding will remain constant for any fixed length of time. Benefactors are subject to the ups and downs of the free market economy, which can result in sharp reductions – as well as rises – in the level of funding provided. In addition, any leisure service that is inexorably tied to the private sector also inevitably suffers from the lack of community spirit that can only be adequately garnered through association with the local public authorities. Thus, while the advantages to sports services in the private sector appear on the surface to be all encompassing, the reality is that the lack of stability that characterises all facets of the private sector economy hampers the sustained growth and popularity.

The Public Sector

“We know that sport can make a positive contribution to national morale, health and the economy. We believe that it can enhance community spirit, equality of opportunity, personal development and social integration.”[2]

As the above quotation from the UK Sports Council in 1992 attests, the government has radically altered the way in which it views sport and the national leisure industry. The leisure industry is no longer seen as a vehicle through which to achieve solely sporting success; rather, sport – within the corridors of power in Westminster – is now seen as a way of combating such issues as obesity, social exclusion and perceived self?competence.

“Sports are vehicles of identity, providing people with a sense of difference and a way of classifying themselves and others.”[3]

As a direct result, funding within the public sector has seen a sharp, unprecedented rise since the early 1990’s with the government acting as the focal point behind this increase in official spending. An investment of ?1.5 billion over the next five years by way of state sponsored assistance has been promised by Westminster to further increase the organisational structures and performance levels of adult and child athletes who train and practice within the public sector. This money, bolstered by funding generated from institutions such as the National Lottery, is delegated to local sports authorities within Sport England, Sport Wales, Sport Scotland or Sport Northern Ireland and injected into the local community. Furthermore, local government spends approximately ?1 billion per year on sport and leisure, which is more than 50% of the total resources available to sport. This financial injection is far beyond any investment proposed by private capital; in fact, because of this large economic discrepancy, the private sector has increasingly sought to form a partnership with the public sector in order to be associated with the vast increase in interest in sport as witnessed in recent years.

Moreover, public sector sports services also get to reap the rewards of the government’s efforts at placing the country on the international sporting map. The 2002 Commonwealth Games in Manchester and, more significantly, the 2012 Olympic Games to be held in London will prove to be long term sources of investment for all those with an active interest in public sector sporting services. Not only has funding vastly increased (with the cost to the government estimated to be in excess of ?1 billion for the 2012 Games), the facilities that have been and are being constructed are open to the public after the completion of the official competition. In Manchester this has served to open up a city centre swimming pool, an athletics track and a football stadium for use within the public sector. The results for London are likely to be much more wholesale than in Manchester. Moreover, as the new facilities and funding increase, so the burgeoning association between national identity, local and central government and sport is further cemented. This has helped to push people into participating in public as opposed to private sports services, representing a significant turnaround from previous decades.

Like private sector sporting institutions, public sector services are similarly riddled with pros and cons. The most obvious advantage at the present time is the aforementioned increase in public authority funding and facilities open to the public sector, exacerbated by a media that constantly underlines the partnership taking place between local government and sport. This is, however, a double edged sword as the major disadvantage to public sector sports services concerns the very nature of government. Ultimately, just because it has suited New Labour to promote participation in recreation and sport is not to state that the Tories would necessarily feel the same. Thus, public sector sports are subject to the same ups and down and insecurities that beset the private sector.

The Voluntary Sector

Voluntary organisations rely heavily upon both the community and private enterprises for funding; they therefore straddle the boundaries that have traditionally separated the public and private sectors. Once more, though, it is the unprecedented rise in government funding that has been the voluntary sector’s greatest asset. The revamped Department for Culture, Media and Sport set up the Community Club Development Programme (CCDP) specifically to deal with the funding problems regarding the facilities and personnel required for the successful operation of volunteer sports clubs. The CCDP will provide ?100 million to National Sports Governing Bodies by March 2008 for the construction and continuation of community based sports clubs. Advantages to this kind of sporting authority centre upon the lack of reliance solely upon the public or the private sector, while conversely, at the same time, the lack of constant source of funding makes the voluntary sector the most vulnerable within the current social and political climate.

Conclusion

There are vast disparities between the public and private sectors with the local voluntary leisure centre enjoying the benefits of both worlds. For as long as the current climate favours the sports and recreation industry, the community leisure centre will continue to reap the rewards of a society renewing a relationship with exercise that had previously become stale. At present there is an excess of people interested in taking part in leisure and sport that is wholly to the benefit of local leisure centres that are able to charge admission fees that are significantly less than those on offer in the private sector. In addition, excessive government funding signals that the economic means at the public and voluntary sectors are currently vastly superior to those of the private sector. However, in the final analysis, one should not presume that the imbalance in favour of the public sector will remain as it is indefinitely. Should leisure and sport once again find themselves on the periphery of popular culture, we would surely see a reversal of contemporary trends with the balance tipped heavily in the private sector’s favour as is the case with health and education services. Politics, like economics, is subject to sweeping changes in a very short space of time.

References

Biddle, S., Sallis, J. and Cavill, N. (Eds.) (1998), Young and Active? Young People and Health Enhancing Physical Activity: Evidence and Implications London: Health Education Authority

Elvin, I.T. (1990), Sport and Physical Recreation London: Longman

Horne, J., Tomlinson, A. and Whannel, G. (2000), Understanding Sport: An Introduction to the Sociological and Cultural Analysis of Sport London: E & FN SPON

Hylton, K. (Ed.) (2001) Sports Development: Policy, Process and Practice London: Routledge

MacClancey, J. (1996) Sport, Identity and Ethnicity Oxford: Berg

Sport in the Nineties – New Horizons: a Draft Consultation (1992) London: UK Sports Council

‘Promissory estoppel is now a mature doctrine

“Promissory estoppel is now a mature doctrine. Its role is to mitigate some of the harshness of the doctrine of consideration by protecting those who reasonably rely on promises. Its full potential can only be reached if the court permits its use not merely as a shield, but as a sword, where appropriate. The decision of the Court of Appeal in Baird Textile Holdings Ltd v Marks and Spencer plc [2001] therefore represents a missed opportunity to clarify and modernise the law.”

Promissory estoppel is an important tool in equity to create fairness within contract law. It deals specifically with consideration, which as a doctrine holds the parties that have entered into a contract to which they both intend to be bound. Therefore the parties must have the capacity to be bound to the contract; as well as the intention to be bound by the contract. There must be a value to amount to consideration, which does not necessarily have to be monetary[1]. Consideration can be a right, interest, service, benefit to one party and sufficient detriment to the other party. [2] Consideration does not have to be equal on both sides; one party may only leave a nominal amount of consideration[3] As long as there is sufficient intention and the terms are not vague then the law will not get involved in business dealings; therefore the courts will infer intention[4]; as long as the consideration for that particular business dealing illustrates that there is sufficient consideration.[5] Insufficient consideration is any act where the duty is already imposed by law or a valid contractual duty. However, there are exceptions to the rules, because consideration at times can be deemed as far too harsh.

The case of Williams v Roffey Bros[6] held that consideration could be inferred in a pre-existing contractual duty if there was further consideration that could be inferred. For example this case recognized that the contractor would be subject to a significant late charge, if he did not re-negotiate his contract with the subcontractor to finish on time. Therefore the renegotiation of the pre-existing duty saved the contractor a loss of money, which the courts held as sufficient consideration. However, in the case of paying a partial debt there can never be consideration. The rule in Pinnel’s Case[7] was confirmed in the case of Foakes v Beer[8] where it was held that part payment of a debt could be held as consideration because there was an existing contractual duty. The rule in Pinnel’s Case is that promissory estoppel is an invalid action when it comes to the part payment of debt, unless it is paid in full and benefits both parties. The reasoning behind this is that part payment of debt is inequitable because the person who is supposed to benefit from the consideration is put at a detriment and therefore defeats on of the central tenants of consideration, which one party is at a sufficient benefit whilst the other party is at a sufficient detriment. There are circumstances where promissory estoppel is possible in regards to a reduced payment of a price or fee. The case of Central London Property Trust v High Trees House Ltd[9] is such a case, because the political and social environment was drastically changed. The two parties where a property owner and a business tenant, who then leased the property as flats to other individuals residentially. An agreed business tenancy price came into question during WWII, because of the bombings in London the situation made it impossible for the renter to pay the whole rent due to the bombing and lack of tenants. Here equity stepped and promissory estoppel was used, because it would be unfair to make the renter pay the whole rental amount due to the circumstances. In addition the agreement by the property owner to accept less due to the WWII inferred intention, because otherwise the landlord would receive no rent because the renter would have vacated the premises; and no other businesses would have taken up the tenancy during the war. This is a very specific scenario, where WWII could have amounted to frustration of the contract, because the war would have made it impossible for the renter to satisfy the contract and an act of war is outside his ambit of control. After the High Trees case the courts extended the doctrine of promissory estoppel in the case partial full partial payment of a debt; however if it were revealed that the re-negotiation was due was an action of duress that forced the creditor to agree to the new credit agreement then equity could not step in with the doctrine of promissory estoppel. One such case that illustrates that equity will only aid those with clean hands is the case of D & C Builders v Rees[10] where Rees discerned that the building company was in financial distress and tried to use this to her advantage by offering a smaller payment in full or nothing. This amounted to duress, because the knowledge that Rees had of the problems that D & C Builders were facing was used as a sword against a fair and equitable outcome. The key factor that surrounds the doctrine of Promissory Estoppel is that it originates out of equity and aims to create a just outcome, as in the High Trees Case. In the case of D & C Builders the use of Promissory Estoppel was for unjust purposes and equity could not aid Rees, because an injustice would occur.

High Trees is the case that the modern doctrine of Promissory Estoppel has developed from; however it was the Hughes Case that the doctrine originated from, where a landlord’s actions gave the tenant contrary belief in the events surrounding a notice to repair. Tool Metal Manufacturing Co Ltd v Tungsten Electric Co Ltd[11] case allows for suspension of payment to be reverted back to active payment as long as reasonable notice is given. This also means with the reasonable notice that the creditor can also receive compensation for the suspended payments; therefore ensuring that there is not a case of part payment of debt, because the interest can keep running. The only exception to this is an agreement of an early settlement, with a lump sum that is considered reasonable by both parties.

The Tool Metal Case and the Hughes Case point to the doctrine of promissory estoppel being a shield and not a sword of equitable justice, because it believes that consideration plays an essential part of contract law. To eradicate the harshness of consideration may allow individual like Rees in the D & C Builders Case to use Promissory Estoppel for unfair and unjust purposes. However, the High Trees Case that is the key case for the modern doctrine of Promissory Estoppel seems to be pointing in a different direction, i.e. that the doctrine is a sword against the harshness of consideration. In this case WWII made it impossible for the original contract to be kept to, hence the parties re-negotiated during this period. The case of Coombe v Coombe[12] argued that the doctrine in High Trees could not be identified as a sword against the doctrine of consideration; rather it can only be used as a defense to an action and in the interests of justice. The cases of Re Wyven Developments[13] and Evenden v Guildford City AFC[14] argued that Coombe v Coombe was incorrect and that the doctrine of Promissory Estoppel could be used as a sword; as well as a shield if justice and equity dictated.

The Coombe approach makes sense by ensuring that the rules surrounding contract law are upheld and ensuring that certainty in contracts remain; otherwise there would be a mass confusion where courts could get too involved in business contracts. English law is based on a laissez faire system, where business dealings should be free from the ministrations of parliament and the courts; as long as just and both parties were capable to enter the contract. As Mitchell argues, parties enter a contract with specific expectations and to turn these upside down would be a breach a fundamental principle of contract law:

While we could dismiss this as assimilating reasonable expectation with contractual rights, and therefore making the appeal to reasonable expectation redundant, it is clear that many appeals to reasonable expectation rely upon an institutional or contract law-based source for such expectations. Reiter and Swan, for example, write that ‘[t]he assumption is that the fundamental purpose of contract law is the protection and promotion of expectations reasonably created by contract’. If ‘contract’ here is taken in a legal, rather than a social sense, then the utility of reasonable expectations as a counter-contractual reference point is in danger of disappearing.[15]

Therefore in the light of the essential principles of contract law and the doctrine of consideration the decision of Baird v M&S[16] would have been the correct decision, otherwise there would be a free for all for parties to argue that the contract is unjust and flagrant actions of Promissory Estoppel would occur. However, Promissory Estoppel would still remain as a defense in cases where the situation dictated that there would be an unjust outcome if the contract was upheld in its present form. The case of Baird v M & S, Baird used Promissory Estoppel as an action to enforce what Baird classed as an unwritten contract. In other words Baird was arguing that the long term relationship between the two created a reasonable expectation that there was an ongoing business relationship, which could only be altered or terminated with reasonable notice; as per the Tool Metal Case. The Court of Appeal however decided against this approach, because the reason that M & S did not enter a written contractual agreement was for flexibility and the option of changing suppliers if market forces dictated this route. Also the Court of Appeal stated that the lack of a (legal) contract was determinative for the court. The estoppel claim was also thought likely to fail, since estoppel cannot be used to create a cause of action. It was remarked that, despite the close relationship between the parties, ‘businessmen must be taken to be aware that, without specific contractual protection, their business may suffer in consequence.[17] However, this argument seems to be very one-sided, because as with the High Trees Case the situation in Baird v M & S does indicate that there was intention to create some form of business and contractual relationship that benefited both parties. In fact the long history of Baird supplying the goods could be inferred as terms and conditions of the contract; however the lack of a written contract seems to be an excuse for the Court of Appeal to open up Promissory Estoppel as an action; as opposed to just a defense. Therefore, as Mitchell argues the decision in Baird v M & S could be taken either way because both sides were arguing certainty of contracts and reasonable expectation; however the determining factor not to find a contract was because of public policy reasons NOT to make Promissory Estoppel a cause of action (a Sword) and open the floodgates to further actions:

One can see how a ‘reasonable expectations’ argument can be used to support Baird or M & S, but each relies on a different basis for the reasonable expectation. Baird will have non-contractual reasonable expectations concerning the parties’ mutual obligations, based upon their experience of the previous thirty years. M & S, on the other hand, have reasonable expectations based on their strict legal rights, and supported in the judgement, that there is no contract and hence the relationship can be terminated at will-an institutional interpretation of reasonable expectation… This result does not support the attempt to make contract law more sensitive to the social dimension of agreement-making, but undermines it by privileging the legal framework in the resolution of the dispute.[18]

Bibliography:

J. Beatson (2002) Anson’s Law of Contract 28th Edition, Oxford University Press

Hooley (1991) Consideration and Existing Duty JBL 19-35

David Kelly, Ann Holmes & Ruth Hayward (2002) Business Law 4th Edition, Cavendish

Ewan McIntyre, (2004) Business Law, Longman

McKendrick, 2005, Contract law, text, cases and materials, second edition, Oxford University Press

Mitchell, 2003, Leading a Life of its own? The Roles of Reasonable Expectation in Contract Law, OJLS 23 639

Stallworthy (1994) Case Comment: Variation of Contracts, ICCR 5(7)

Chris Turner (2004) Unlocking Contract Law, Hodder Arnold

Procedural Fairness in Unfair Dismissal

Repeal of the Employment Act 2002 (Dispute Resolution) Regulations 2004: A report

—————————————————————————————————————————————-

In October 2004 the government introduced a statutory minimum disciplinary and grievance procedure dealing with disputes in the workplace. These procedures and related rules are set out in the Employment Act 2002 (Dispute Resolution) Regulations 2004 and state that employers must follow a minimum dismissal and disciplinary procedure in the workplace or otherwise dismissal will be automatically unfair. When bringing a claim at the Employment Tribunal for unfair dismissal, employees are also entitled to additional compensation if these disciplinary and dismissal procedures are not adhered to. Although the aim of the Regulations was to encourage informal resolution of disputes, many employers felt that they were too complicated and did not achieve the desired aim. Gibbons (2007 pg.24)[1] sums up this view,

‘The procedures are seen as a prelude to employment tribunals, rather than a way of resolving problems in the workplace’

The Employment Bill 2007 therefore recommends a repeal of the Regulations for what is hoped will be a more straightforward regime likely to come into force in April 2009.

The Regulations

A standard dismissal procedure as per the Regulations involves the following three steps. The first is a letter which must be sent to the employee setting out the reason for dismissal and inviting them to a meeting at a convenient time and place. The employee must be given time in which to consider the letter and then has a duty having done so to take all reasonable steps to attend the meeting. The second step involves the actual meeting which has to be conducted in a manner which enables both employer and the employee to explain their case. After the meeting the employee must be notified of the decision and provided a right of appeal. The third step would be the appeal process and if the employee wishes to appeal, they must inform the employer who will then invite them to an appeal meeting. The onus is on the employee to take all reasonable steps to attend this appeal meeting and as far as is practicable a more senior manager from the organisation should attend the appeal meeting.

The appeal meeting must be conducted in the manner in which enables both the employer and the employee to explain their case. After the meeting the employee must be notified of the final decision. During every meeting in the process, the employee has a right to be accompanied by a work colleague or a trade union official. This companion may address the hearing, confer with the employee during the hearing and may also sum up the employees case but must not answer questions on behalf of the employee.

In the case of a grievance against an employer the same steps must be followed with the letter sent from employee to employer stating the nature of the grievance and asking for a meeting to be held. Where the employee has already left employment the Regulations provide for a modified procedure that does not require the Step 2 meeting.

The problems created by the Regulations

When the Regulations came into force on the 1st October 2004 the government resolved to revisit them after two years. The Department of Trade and Industry confirmed this in its Success at Work Report (2007 pg. 8)[2]

‘This is a key part of DTI’s work to simplify regulation, by removing compliance costs and complexity, and addressing irritants for business and others affected by employment law, while ensuring that employee rights are protected.’

The government then commissioned an independent report on the 12th December 2006 written by Michael Gibbons who was asked to assess all employment dispute resolution procedures including suggestions for adapting the Regulations if he found them not to be fit for purpose. He interviewed over 60 employers, employees and intermediaries involved in dispute resolution. Gibbons in his report entitled Better Dispute Resolution (2007 pg.5) states[3],

‘In conducting the Review I was struck by the overwhelming consensus that the intentions of the 2004 Regulations were sound and that there had been a genuine attempt to keep them simple, and yet …as formal legislation they have failed to produce the desired policy outcome. This is perhaps a classic case of good policy, but inappropriately inflexible and prescriptive regulation.’

It became apparent that the regulations did not state clearly what a written grievance was or what it was to contain. With no specific guidance on this, parties called for procedural hearings at the ET to establish whether the claimant actually put their grievance in writing and whether all of the claims that were found in their Claim Form had previously been evidenced in the grievance letter. The respondents were claiming that this was not the case and therefore there was no case to answer. Therefore although the procedures were clear as to the steps to follow in bringing a dispute insufficient guidance was given about each stage leaving Tribunals with an increase in the number and length of proceedings. Gibbons explains the difficulty with identifying what constitutes a grievance letter (2007 pg.8),

‘…comments in resignation letters and in 360-degree feedback forms have been held to meet the requirements, so some employers feel it is necessary to check closely and investigate any written communication that might be construed as a grievance’

Although the intention of the regulations was for early informal resolution of disputes, the drafting of the Step 1 letter and consequent meetings in practice escalate many issues taking up management time and proving stressful for employees. Also the three step process as outlined above was not always adequate in all circumstances. Small businesses in particular have complained about the formal, ‘one size fits all’ approach of the regulations. Gibbons explains (2007 pg. 8),

‘…the appeal stage is an unnecessary burden, especially for small businesses. The appeal will often be to the same person who made the original decision. It can also be difficult in cases where employees have left the workplace. One business felt it necessary to follow the three-step procedures for each of their Christmas temporary staff before they left –

a process which added no value.’

The main thrust of the opposition to the current regime is that it has created an unhealthy overlap between the resolution of disputes and the litigation procedure which should as far as possible be kept separate. For example the regulations stipulate that before a claim is lodged at the Employment Tribunal (ET) a grievance letter must be sent to the employer within three months of the alleged dismissal or conduct. Any breach of the procedure would allow the Tribunal to grant up to 50% increase if the fault was that of the employer or 50% reduction in the award depending on whether the fault was that of the employee. Of course apart from the fact that it is not always easy to ascertain whose fault led to a breach of procedure such stipulations and penalties mean that litigation has to be considered at an early stage when resolution of the dispute should be paramount. Gibbon states (2007 pg.25),

‘Both large and small businesses have reported that the number of formal disputes has risen. The Review has heard that 30 to 40% increases have been typical in the retail sector.’

Further complications arise where there are multiple claims for example in an equal pay case and the three step process has to be repeated many times creating an unnecessary administrative burden. The same burden is also felt where and employer seeks to follow the disciplinary steps and at the same time the employee also seeks to pursue a grievance.

‘It is not always clear how the two strands of the Regulations should operate in such circumstances, and employers can feel compelled to hold excessive numbers of meetings and write excessive numbers of formal letters to be sure of fulfilling the procedural requirements’[4]

The proposed reforms

As a result of the Gibbons Review, the Government held a consultation and the responses received formed the basis of the present reform proposals published in the Employment Bill 2007 which has received royal assent and is now the Employment Act 2008.

The first major reform is for the Regulations to be repealed in their entirety in April 2009 and replaced with a revised ACAS Code of Practice (the Code) which has been agreed in draft form. There will also be non statutory guidance also provided by ACAS. ACAS stands for the Advisory Conciliation and Arbitration Service and currently offers employees an arbitration service as an alternative to resorting to proceedings. Also it has always provided a Code for resolving disputes but it is only now being adapted and incorporated into statute. In actual fact the revised ACAS code provides for the same three step procedure but does not incorporate the same penalties and conditions as the Regulations. There have also been some additional requirements which seem to lean towards ensuring that employees behave ‘reasonably’. The draft Code is designed to provide basic practical guidance for disciplinary and grievance procedures but is limited as it will not apply to dismissals as a result of redundancy[5] or expiration of a fixed term contract.The Code describes the remit it covers[6],

‘Disciplinary situations include misconduct and/or poor performance…Grievances are concerns, problems or complaints that employees raise with their Employers’

It suggests in the Foreword of the Code[7] that employers and employees should try to resolve disputes between them. However if they cannot, they should seek the help of an independent third party inside or outside the organisation. The Code provides that where the Employment Tribunal must ascertain compliance with the Code it will do this on a case by case basis taking into account the size and resources of the employer. Therefore unlike the Regulations there is no expectation that all business will comply with every provision in the Code providing greater flexibility for employers.

In relation to disciplinary procedures the first step is to establish the facts of each case by collating evidence and holding an investigatory meeting if necessary. The Code then states[8],

‘If it is decided that there is a disciplinary case to answer, the employee should be notified of this in writing. This notification should contain sufficient information about the alleged misconduct or poor performance and its possible consequences to enable the employee to prepare to answer the case at a disciplinary meeting’

New provisions provide for evidence collated including witness statements to be provided by the employer with the letter requesting a disciplinary meeting. Also an employee may call their own witnesses. The statutory right to be accompanied to this meeting still stands however the Code’s emphasis on ‘reasonableness’ is evidenced where it states[9],

‘However, it would not normally be reasonable for workers to insist on being accompanied by a companion whose presence would not prejudice the hearing nor would it be reasonable for a worker to ask to be accompanied by a companion from a remote geographical location if someone suitable and willing was available on site.’

The dispute Regulations had provided that on appeal the employer only had to make one attempt to reconvene the meeting however under the Code the employer has to show that the employee has persistently been unable or unwilling to attend before a decision can be made in their absence.[10] If the employee decides to appeal, grounds of appeal in writing must be submitted to the employer.[11] This requirement was not found in the Regulations and the idea behind it is to ensure that further time is not spent discussing issues that have already been covered in the first meeting.

In a case of a grievance for example instead of the emphasis on a Step 1 grievance letter, the revised Code states[12],

‘If it is not possible to resolve a grievance informally employees should raise the matter formally and without unreasonable delay’

The employee should inform the employer of the grievance preferably in writing and the letter should be addressed to the line manager. Unlike the Regulations, a claim would not be barred in absence of a grievance letter although a failure to send this letter would be a breach of the Code and may lead to a reduction in the award.

The Code states that a meeting must be heard pursuant to the letter and that the employee must have the right to be accompanied by a colleague or trade union official. As with the disciplinary procedure, the requirement here is that the right to be accompanied is reasonable. During the meeting the employer can ask for an adjournment in order to carry out an investigation. There is also a right of appeal and subsequently the employee can decide to take the matter further and pursue the case in the Employment Tribunal.

The new regime will not hold a dismissal to be automatically unfair if there has been a breach in procedure. Employment Tribunals will have to decide cases on what is fair and reasonable and will have discretionary powers to adjust awards of up to 25% if either employer or employee has not followed the ACAS code. In relation to this provision the government report Resolving Disputes in the Workplace Consultation (May 2008 pg.16) it states,

‘This will be a power rather than a duty in order to allow the employment tribunals discretion to apply it in the interests of justice and equity’

It is hoped that these reforms will give a higher level of flexibility in resolving work place disputes and various businesses can tailor the new regime to their specific needs. The Government has also agreed as part of the reform to invest ?37M into the ACAS helpline system in order to provide early mediation for workplace disputes that would otherwise result in tribunal claims. Resolving Disputes in the Workplace Consultation (May 2008 pg.16)[13] states,

‘The government considers the way forward should be a short non prescriptive Statutory Code setting out the principles of what and employer and employee must do supported by fuller statutory guidance’

The idea is that the new statutory code will provide guidance for employment tribunals and the non statutory guidance will be used by employers and employees. Where a grievance arises during a disciplinary process, the disciplinary may be suspended or both can be dealt with concurrently if related. The Code does not cover collective grievances which must be dealt with under the agreed collective grievances procedures agreed with trade unions.

The likely effect of these reforms on employers and employees

It is unlikely that the Code will have a major change on the dispute resolution process in the work place. The code incorporates the same three steps that were found in the Regulations. There is still a penalty of an increase or decrease in the award up to 25% depending on whether the employer or employee is at fault.

Because the employee is likely to suffer a reduction in compensation of up to 25 % the pressure to ensure a grievance letter is sent still remains. Although unlike the Regulations, the claim is not barred due to failure to lodge a grievance, the number of grievances brought by employees is not likely to be reduced for so long as there remains a penalty, albeit the employee at the grievance stage may not have considered litigation. So arguably there may not necessarily be reduction of time spent on hearing and processing grievances in the workplace.

Also with the repeal of the Regulations there is no automatically unfair dismissal because of non compliance. Many have argued that this places fewer restrictions on unscrupulous employers therefore increasing the likelihood of litigation. There would need to be clear communication by the government and business to their employees as to how the new regime will work and arrangements need to be put in place for the transition between the old and new procedures.

As far as practical points flowing from the provisions of the ACAS Code, the following would ensure that employers are taking the right steps to ensure compliance although there still remains areas of uncertainty that will only be made clear once the Code is put into practice.

Mediation training should be provided for Human Resources staff to act as internal mediators and consider compiling a list of good mediators outside the organisation.
In the Introduction of the Code, it states that employees should be involved where appropriate in the development of rules and procedures so to this end it would be prudent if employers hold consultation meetings with employees and their Trade Union Representatives during the transition period between the Regulations and the Code.
Guidelines should be provided as to how to provide a ‘reasonable opportunity’ to call witnesses (Clause 12) and establish in policy that that the right to be accompanied is subject to considerations as to reasonableness (Clause 15). These issues are clearly subjective and would vary on a case by case basis and are therefore likely to prove controversial or even problematic
Guidelines should be drafted as to when and under what circumstances the employee has shown inability or unwillingness to attend a disciplinary meeting without good cause.
Different people should oversee the investigatory and later the disciplinary process.

In order to facilitate early resolution of disputes as well as implementing the Code the government also intends for ACAS to provide a helpline where simple disputes can be dealt with over the phone or by internet. This extends the existing right to mitigation that parties must be notified of in any dispute. However the issue is ensuring that ACS has the necessary funds and staff to successfully fulfil this role. Staff must be well trained in providing employment advice and negotiating settlement between parties. Another proposal is that the Employment Tribunal Application process should happen via the helpline giving claimants access to advice on their claim and alternatives to litigation.

Not all involved in the dispute resolution process favour these reforms. In the government report Resolving Disputes in the Workplace Consultation[14] it states

‘Opponents of repeal included a number of Trade Unions, representatives of vulnerable workers and individuals. Many cited the benefits of having a standard required procedure in all workplaces which operated to the benefit of workers in all types of organisations and encouraged good practice.’

From the point of view of an employee, the fear is that the new regime and its emphasis on ‘reasonableness’ leaves too much to the discretion of the employer. This coupled with the removal of the automatically unfair provision has left the issue of unfairness to the Employment Tribunal who will access the situation based on many factors other than breaches in the code including the size and resources of the employer. There is therefore an element of uncertainty in the new provisions certainly for the employee but for the employer as well. In the Legal Action Group’s response to the government consultation (June 2007) it states,[15]

‘Repeal of the Employment Act 2002 (Dispute Resolution) Regulations 2004 (the ‘regulations’), will not improve the poor position of the many, low paid, non-unionised, workers in the labour market. The government should act to protect the most vulnerable by encouraging trade union organisation and by other legislative measures.’

The concern of the Group is that the government’s emphasis on mediation could lead to vulnerable employees losing their right to a formal hearing to resolve disputes. In order for alternatives to litigation to be properly considered good quality advice needs to be available to all however only a third of the working population are trade union members. A lack of access to legal aid will mean that non members will not have proper recourse to legal advice. It seems unlikely that the ACAS helpline proposal will cater for all workplace disputes.

The Code has also been seen as unfair towards employees as it does not take into account that in reality there is rarely a balance of power between employer and employee. Employers have more resources and employees tend to already feel intimidated when bringing a grievance. A simple dispute could still have as its underlying cause a long term abusive policy against workers which of course cannot be resolved through a telephone conversation with an ACAS mediator. Indeed there are many categories of workers including the elderly and disabled or those with language difficulties who would need face to face advice. The LAG report states,[16]

‘We have to question whether the DTI is taking an even-handed approach to the resolution of work-related disputes or whether it has bowed to pressure from the powerful employers lobby.’

The overall view therefore of those acting for employees is that although the Regulations were unnecessarily complex they could have been simplified without being repealed as they provided minimum protection for all workers, whether or not they were trade union members. The principal reason for issuing the Regulations was because it was found that many employers did not have any procedures in place for resolving dispute and a repeal of the regulations could mean a return to this situation. There are also potential problems with the right of employees to bring claims being infringed where it is proposed that the Tribunal application system should also be processed through the ACAS helpline. LAG notes[17],

‘It would be inappropriate for a service point that had an aim of providing advice and guidance to also act in a ‘gatekeeping’ role for potential ET claims. Combined with the suggestion that the new advice service should be able to over-ride or contradict the advice given by a representative11, this would damage any integrity generated for

such a service.’

Conclusion

Clearly the repeal of the Dispute Resolution Regulations 2004 and the implementation of the ACAS Code due to take effect in April 2009 is not without its difficulties. The Government’s aim is to reduce the amount of claims being taken to the Tribunal although it recognises that dispute resolution is in itself only one strand. The other is revising the law in relation to unfair dismissal and making the Tribunal processes itself more efficient.

The Code is similar to the Regulations in that it mirrors a three step process. However the onus is often put on the employer to determine what is reasonable which has the effect of the Tribunal later claiming breach of the regulations or the employee claiming that their rights have been infringed. The employer therefore has a burden to act reasonably and the vagueness of this term although creates more flexibility to employers will produce greater uncertainty. Only time will tell whether the Code will in fact encourage a ‘conflict resolution culture’ and reduce the administrative burden on employers as its drafters intended.

BIBLIOGRAPHY

ACAS: Draft for Consultation: Draft Code of Practice on Discipline and Grievance (Nov 2008) http://www.acas.org.uk/CHttpHandler.ashx?id=961&p=0
BERR -Resolving Disputes in the Workplace Consultation Government Response (May 2008)
DTI-Better Dispute Resolution: A Review of Employment Dispute Resolution in Great Britain- Michael Gibbons (March 2007)-http://www.berr.gov.uk/files/file38516.pdf
DTI-Success at work resolving disputes in the workplace: A consultation- (March 2007)
DTI-Success at work resolving disputes in the workplace: A consultation- Response of the Legal Action Group (2007)
Is it the end of the road for Statutory Minimum Dispute resolution Procedures– Nick Hine May 2008)http://www.tcii.co.uk/images/upload/guest_article_pdfs/11ganick_hine2ddpdf_2173.pdf
United Kingdom: New Acas Code Of Practice on Disciplinary And Grievances Article by Val Dougan Dundas and Wilson Solicitors 28 November 2008
www.personneltoday.com

1

Privity of Contract Reform

“It is important to emphasise that, while our proposed reforms will give some third parties the right to enforce contracts, there will remain many contracts where a third party stands to benefit and yet will not have a right of enforceability”

In 1996, the Law Commission published Privity of Contract: Contract for the Benefit of Third Parties. The proposals set out in this report were later legislated on the basis of, in the Contracts (Rights of Third Parties) Act 1999. The aim of this legislation was fundamentally to alter the law in relation to the concept of privity of contract, in order to grant third parties who were not parties to the original contract certain rights. The doctrine of privity of contract will be considered, and the effect on this of the C(RTP)A will be analysed. Finally, some consideration will be given to the question of whether the legislation has gone far enough in reforming the law of privity.

It has historically been a fundamental and central principle of contract law in England and Wales that only the actual parties to a contract can have either contractual rights or duties conferred upon them. This was established at common law in the case of Tweddle v Atkinson (1861). The doctrine was confirmed in the early twentieth century in the case of Dunlop Pneumatic Tyre Co Ltd v Selfridge and Co Ltd (1915). It is important at the outset to distinguish the doctrine of privity of contract from the possibility of a third party enforcing a collateral contract. These are quite distinct scenarios. Under the first (historically), the third party had no right to claim rights, nor to be held liable for the performance of contractual duties. In the second scenario, as was established at common law in the case of Shanklin Pier v Detel Products Ltd (1951), an actual contract might be found to exist between the third party and one of the parties to the contract. It is the former of the two situations with which the C(RTP)A 1999 is concerned. The two interests (as defined by McKendrick) which a third party can have in a contract to which he is not a party are both whether or not he can acquire rights under that contract, and whether or not the contract in question can impose any liabilities or obligations on him.[1] The most significant impact on this area was that of the C(RTP)A, which Trietel describes as ‘the most significant doctrinal development in English contract law in the twentieth century.’[2]

What, then, is the purpose of privity of contract? It is, rather obviously, to do with the perceived injustice of imposing rights or obligations as between two parties who have had no dealing, at least no contractual dealing. It is clear that if X and Y enter a contractually binding agreement, Y has not made any agreement with Z, and therefore there is no rationale for entitling Z to take enforcement action against Y. The justification for the doctrine flows from the fact that contractual obligations, unlike tortious ones, are voluntary.[3] As Ibbetson states, the ‘rule that a third party could not enforce rights arising under a contract has been a feature of English law since at least the thirteenth century.’[4] The distinction between the acquisition of third party rights and obligations in contracts and other exceptions to privity of contract has already been mentioned. These exceptions can be expanded beyond collateral contracts (as seen in Shanklin Pier v Detel Products Ltd (1951)), to include a trust of a contractual right, whereby a ‘right may be transferred by way of property, as, for example, under a trust’[5]; the assignment of contractual rights to a third party (as in, for example, Linden Gardens Trust Ltd v Lenesta Sludge Disposals Ltd (1994)); in cases of agency, where the agent is acting on his principal’s behalf, with the full authority of that principle, and concludes a contract (following Wakefield v Duckworth (1915), where the agent was operating within his authority, he ‘drops out of the picture and the contract is between the principal and the other contracting party); and cases where a claimant who is a third party suffers loss because of the negligent performance of the contract by a contracting party, as in the classic case Donoghue v Stevenson (1932).

The doctrine of privity, then, was a foundational principle of English contract law until the advent of the Law Commission’s report in 1996. The opening quotation, taken from that report, explicitly seeks to limit the implications of the reforms that would later find their way into the C(RTP)A 1999, and the consideration above of the centrality of the doctrine of privity to contract law generally, shows why these limitations were considered necessary. What is the impact on this doctrine of the C(RTP)A, and does this do enough to reform the law on privity?

The C(RTP)A states that ‘subject to the provisions of this Act, a person who is not a party to a contract may in his own right enforce a term of the contract if the contract expressly provides that he may … or the term purports to confer a benefit on him.’ Furthermore, ‘the third party must be expressly identified in the contract by name, of a member of a class or as answering to a particular description but need not be in existence when the contract is entered into.’[6] There are, then, two separate tests for enforceability. The first test is described by Burrows as the ‘simplest’, and so it is; it is a simple question of fact whether the contract expresses the third party may enforce a term of it.[7] An example of this explicit authorisation of the third party to enforce a term of the contract is where the contract states ‘X [the third party] shall have the right to enforce the following terms of the contract…’ The provision under this section is less restrictive than it might be because of the implications of section 1(3) which complements it, stating that the third party does not need to be named; it is sufficient for the third party to be the member of an identified class.

The second test of enforceability under the Act is, again in the words of Burrows, is concerned with the ‘implied’ conferral of rights on third parties (as opposed to the express conferral discussed above).[8] The reasoning behind including this second test for enforceability can be broken down into 3 key areas. The first concerns the issue of implied rights in contracts, brought into the contract by implied terms. It is considered that to limit third party rights is akin to restricting implied terms. In other words, the parties’ intentions are not always their express intentions. The same can apply to third parties. The second area of justification for implied third party rights revolves around the uselessness of a reform confined to an express conferral of rights, unless the contracting parties included some ‘magic formula’ in the agreement so as to fall within the scope of the first test.[9] Cases where third parties would be unaffected by the C(RTP)A 1999 if the reform was confined to expressly mentioned third parties include Beswick v Beswick (1968), in which A contracted with B to pay money to C; and Trident General Insurance Co Ltd v McNiece Bro (1988), in which liability insurance was taken out to protect third parties to the contract. Finally, the implied conferral of rights on third parties has been justified by the fact that the aforementioned ‘magic formula’ will only be used in informed, well drafted contracts, which many will not be, particularly in the consumer sphere where good legal advice is not affordable.

Do these two tests reflect the spirit of the opening quotation? It can certainly be seen how these two tests of enforceability have altered the doctrine of privity substantially, and in particular the second test of enforceability relating to implied third party rights. The Law Commission’s statement, however, suggests a balance, between maintaining privity for many contracts, and allowing third party rights in others. This balance can be seen to be aimed for by the existence of a rebuttable presumption of intention inherent in the second test of enforceability. This rebuttable presumption attains a further balance, between a sufficient degree of certainty between contracting parties, and sufficient flexibility. This flexibility was required in order for the C(RTP)A 1999 to apply to the potentially huge range of contracts for which it was intended. The presumption is set up by asking the question ‘when are the parties likely to have intended to confer a right on a third party to confer a term?’ If the answer is ‘where the term purports to confer a benefit on the expressly identified third party’, then the presumption is raised.[10] This, of course, can be rebutted by the ordinary contractual interpretation of an indication that the parties did not intend this. The balance can be seen to have been aimed for, at least, in the two tests of enforceability in the C(RTP)A 1999.

An illustration of how the tests would be applied to decided cases is offered by Trietel, who identifies the case of Jackson v Horizon Holidays (1975) as falling within the scope of the second test under section 1(1)(b). He observes that ‘if the person making the booking [for a holiday on behalf of a third party] supplied the names of the other members of the family when the contract was made, those other members would probably acquire rights under subsection 1(1).; but no such rights are likely to be acquired if a person simply rented a holiday cottage without giving any information as to the number or names of the persons with whom he proposed to share the accommodation.’[11] This, then, can be seen to be a limitation to the effect of the reform legislation. It is suggested by McKendrick that section 1 simply gives the contracting parties an incentive to make their intention clear, which, again, returns to the issue mentioned above about the need for well-drafted contracts.[12]

The C(RTP)A 1999 is a highly significant piece of reform legislation, which fundamentally alters a central doctrine of English contract law. It can be seen to represent the superiority of the doctrine of freedom of contract over that of privity of contract. The significance of the Act is that while it maintains the previous exceptions to privity of contract, contracting parties will probably make increasing use of the Act rather than these, as a matter of certainty. The effect of the Act is somewhat limited, however, by the continuing requirement of clarity in the construction of the contract, whereby a presumption of an intention to confer rights on a third party can be rebutted. The effect of this, however, is simply to encourage a clarity of intention on the part of the contracting parties.

BIBLIOGRAPHY

Statutes

Contracts (Rights of Third Parties) Act 1999

Cases

Beswick v Beswick [1968] AC 58

Donoghue v Stevenson [1932] AC 562

Dunlop Pneumatic Tyre Co Ltd v Selfridge and Co Ltd [1915] AC 847

Jackson v Horizon Holidays [1975] 1 WLR 1468

Linden Gardens Trust Ltd v Lenesta Sludge Disposals Ltd [1994] 1 AC 85

Shanklin Pier v Detel Products Ltd [1951] 2 All ER 471

Trident General Insurance Co Ltd v McNiece Bro (1988) 165 CLR 107

Tweddle v Atkinson [1861 – 1873] All ER Rep 369

Wakefield v Duckworth [1915] 1 KB 218

Secondary sources

Burrows, A. (2000) ‘The Contracts (Rights of Third Parties) Act and its Implications for Commercial Contracts (LMCLQ 540)

Ibbetson, D. (1999) A Historical Introduction to the Law of Obligations (Oxford: OUP)

Law Commission (1996) Privity of Contract: Contract for the Benefit of Third Parties (Law Comm 242)

McKendrick, E. (2003) Contract Law: Text, Cases and Materials (Oxford: OUP)

Smith, S.A. (1997) ‘Contracts for the Benefit of Third Parties: In Defence of the Third-Party Rule’, 7 OJLS 643

Trietel, G.H. (1999) The Law of Contract, 10th Edition (London: Sweet & Maxwell)

Trietel, G.H. (2002) Some Landmarks of Twentieth Century Contract Law (Oxford: OUP)

Predicting Individual differences in Mindfulness

Predicting Individual differences in Mindfulness: The role of Trait Anxiety, Openness and Parental Nurturance

­­­­

Abstract

Mindfulness is a way of paying attention, intentionally and without judgement to the present moment. Mindfulness training has shown impressive outcomes in a number of areas such as depression and pain reduction; however, the literature has failed to account for natural, individual differences in levels of mindfulness. This research provides an exploration of the variables: Trait Anxiety, Openness to Experience and Parental Nurturance and their ability to predict individual differences in Mindfulness. 123 participants each completed four questionnaires: The State-Trait Anxiety Inventory (STAI) was used to assess Trait Anxiety, the NEO-FFI was used to measure Openness to Experience, the Parental Nurturance Inventory was used to measure Parental Nurturance, and Mindfulness was assessed using the Freiburg Mindfulness Inventory (FMI). Partially consistent with the predictions, Trait Anxiety was shown to negatively predict Mindfulness, Openness to Experience and Parental Nurturance where not as strong predictors of Mindfulness.

Key Terms: Mindfulness, Trait Anxiety, Openness, Parental Nurturance.

Introduction

Mindfulness is a way of paying attention, intentionally and without judgement to the present moment. The practice of Mindfulness originated in East India and is at the heart of Buddhist meditation. According to Kabat-Zinn (1994, 4) ‘This kind of attention nurtures greater awareness, clarity, and acceptance of present-moment reality’. A lack of or reduced awareness to the present-moment, however, has the opposite affect which results in fear driven ‘unconscious and automatic actions and behaviours’. Continuing in this pattern of diminished awareness results in erosion to ones confidence and hinders the possibility of a life of satisfaction, health and happiness (Kabat-Zinn, 1994). Traditionally, Mindfulness was viewed as a spiritual practice, heavily steeped in Buddhism; however, more recently this practice has been widely encouraged in the western society (Baer, 2003).

According to Baer (2003) there are two main Mindfulness training programmes namely the Mindfulness-Based Stress Reduction Programme and Mindfulness-Based Cognitive Therapy. Other therapies such as Dialectical Behaviour Therapy, Acceptance and Commitment Therapy and Relapse Prevention incorporate principles of Mindfulness into the programme. Most Mindfulness training programmes run for a serious of 8-10 weeks, with a one day a week group meeting which is held for approximately 2 hours. Clients are also required to do homework session including 45 minutes per day, 6 days a week.

Evidence suggests that Mindfulness-based training intervention is effective. Research indicates that Mindfulness-based training is effective in working with borderline personality disorder, mood disorders, pain, generalised anxiety disorder, stress, alcohol and substance abuse, and eating disorders (Baer, 2003; Roemer, 2002; Williams, Teasdale, Segal, & Soulsby, 2000; Witkiewitz, Marlatt, & Walker, 2005; Woodman, Noyes, Black, Schlosser, & Yagia, 1999; Zettle & Rains, 1989).

Without any way of accurately, and objectively measuring levels of Mindfulness, positive findings were attributed to the training alone. Brown and Ryan (2003), however, proposed that individual differences may account for differences in levels of Mindfulness. The introduction of a measure for Mindfulness has made room for researchers to explore this proposal in greater depth. The present study attempts to explore a question: to what extent do individual differences influence levels of Mindfulness. The literature highlights three such individual differences that may be of interest: Trait Anxiety, Openness to Experience and Parental Nurturance.

The experience of anxiety is one that is familiar to most people; and Kaplan and Sadock (1998) describe the related symptoms as including an uneasy feeling followed by automatic responses such as headaches, perspiring and tightness in the chest. Trait anxiety, as apposed to state anxiety, is a persistent and does not wane in less stressful times. These researchers identify anxiety as having two components, namely awareness to the physiological sensations and awareness to being afraid. These experiences often lead to feelings of embarrassment, and in order to feel justified for the anxiety, people tend to focus on certain, conforming aspects of the environment and overlooking others. As a result of this bias to attention, a person is unable to experience the presence as a whole. Trait Anxiety is therefore expected to have an inverse relationship with Mindfulness.

Openness to Experience is one of the five main personality domains and is described by McCrae and John (1992) as encompassing such things as imagination, aesthetic sensitivity, awareness of inner feelings, an inclination towards variety, and intellectual curiosity. Individuals who score high on this scale tend to be motivated to discover their environment, ask questions and have a readiness to question authority. As such, it is hypothesized that a high level of Openness to Experience would be a positive predictor of Mindfulness, since these individuals approach their environment with awareness, which is not clouded by judgment.

The manner in which a parent responds to their child in the first years of his or her life has a far reaching impact on their adult life, affecting their relationships, both intimate, social and professional, how they interpret information given to them from the environment and whether or not they view the world as a safe place, and whether or not people are trust worthy (Fonagy, Gergely, Jurist, & Target, 2005). According to this theory of attachment, Parental Nurturance is also an important factor in determining an individual’s ability to contain his or her own emotions. From this, it is hypothesised that positive Parental Nurturance will be a good predictor of Mindfulness as individuals are able to be present in their environment in a trusting, non-judgmental way.

The present study explores the predictive value of these variables for increased levels of Mindfulness. In light of the literature, it is thought that a low level of Trait Anxiety will have an inverse relationship with Mindfulness, and that Openness to Experience and Parental Nurturance will be positive predictors of Mindfulness.

Method
Design and Measures

For the purpose of the present research study, a cross-sectional, correlational design was adopted. Information was thereby elicited from people in a number of different conditions, namely Trait Anxiety, Openness to Experience and Parental Nurturance (independent variables), and the dependent variable of Mindfulness. The following measures where used:

Spielberger’s (1983) State-Trait Anxiety Inventory (STAI) was used to assess Trait component of Anxiety. The STAI is designed to measure and distinguish between anxiety as a trait or as a state. Trait anxiety is a relatively stable personality trait and is marked by feelings of apprehension and tension, which is heightened in times of perceived threat. State anxiety, however, fluctuates and is heightened at times of stress and low in less stressful periods. This is a self-report, four-point rating scale, including 20 statements that ask people to describe how they feel at a particular moment. A high score is indicative of a high level of Trait Anxiety.

Costa and McCrae’s (1991) NEO-FFI was used to assess Openness to Experience. This is a 60-item version of the NEO PI-R, which measures only the five factors of adult personality, however for the purpose of this study, only the twelve-item scale assessing Openness was employed. This is measure makes use of a five-point rating scale, where participants demonstrated the degree of agreement with given statements. A high score on this scale is indicative of a high level of Openness.

Buri’s (1989) Parental Nurturance scale was used to assess this component of the study. This is a self-report, five-point Likert scale, where participants are required to describe positive and negative aspects of the parental nurturance they received. This is repeated twice, once for information pertaining to the mother and the second time for information relating to the father’s nurturance. An average of these combined scores is used as a final result, with a high score indicative of elevated levels of Parental Nurturance.

Mindfulness was measured using the FMI (Walach, Buchheld, Buttenmuller, Kleinknecht, & Schmidt, 2006). This is a short scale, 14-item, self-report measure, requiring participants to indicate their degree of agreement with a given, mindfulness direct statement. A high score on this measure is indicative of elevated levels of Mindfulness.

Procedures, Participants and Ethics

Participants were purposively sampled and personally invited by written invitation to participate in this study. Of the initial 153 participants, 123 were included in the present study. A detailed outline of the nature and details of the study, including a description of what would be required of them was provided in the initial invitation. Participants were assigned to one of three separated testing groups. On receiving consent, participants were handed a package of four questionnaires (STAI, NEO-FFI, Parental-Nurturance Inventory, FMI). Each questionnaire was marked with separate instructions for completion. Each participant completed the pack of questionnaires in the same order.

Results
Reliability of Measures

A reliability analysis of the questionnaires was conducted, yielding satisfactory results indicating that the participants responded in a consistent manner to the questionnaires. The reliability coefficients were as follows: Mindfulness (? = .78); Trait Anxiety (? = .88); Openness (? = .73); Parental Nurturance – mother (? = .96); Parental Nurturance – father (? = .96).

Descriptive Statistics

A descriptive analysis of the data obtained across the variables of Mindfulness, Trait Anxiety, Openness and Parental Nurturance is given in Table 1. As shown, the mean score for openness was 3.62, with a standard deviation (SD) of .55. The total results on the measure of Trait Anxiety yielded a mean score of 2.19, with a SD of .59. The mean score for Parental Nurturance was 3.71, with a SD of .79, and the Mindfulness mean is indicated at 2.69, with a SD of .46.

Table 1: Presentation of Mean Scores and Standard Deviations from the Measures Employed to assess Openness to Experience, Trait Anxiety, Parental Nurturance and Mindfulness.

N

Minimum

Maximum

Mean

Std. Deviation

Openness mean

123

2.25

4.75

3.62

.55

Trait Anxiety mean

123

1.10

3.60

2.19

.59

Parental Nurturance mean

123

1.29

5.00

3.71

.79

Mindfulness mean

123

1.71

3.79

2.69

.46

Valid N (listwise)

123

Inferential Statistics

The correlational analysis undertaken to explore the relationship between the dependent variable, Mindfulness, and the independent variables, Openness, Trait Anxiety and Parental Nurturance. These results are presented in Table 2. A significant, positive correlation was found between Mindfulness and Openness (r = .02, df = 3, p<.05). A negative relationship was found between Trait Anxiety and Mindfulness (r = -.56, df = 3). No significant, positive relationship was found between Parental Nurturance and Mindfulness (r = .14, df = 3, p<.05), however, it may be interesting to note that this correlation borders on significant.

Table 2. Correlational Analysis Presenting the Relationship between Mindfulness and the Variables: Openness, Trait Anxiety and Parental Nurturance.

Mindfulness mean

Openness mean

Trait Anxiety mean

Parental Nurturance mean

Mindfulness mean

Pearson Correlation

1

.19

-.56

.140

Sig. (1-tailed)

.

.02

.00

.06

N

123

123

123

123

Openness mean

Pearson Correlation

.19

1

-.11

-.04

Sig. (1-tailed)

.02*

.

.11

.350

N

123

123

123

123

Trait Anxiety mean

Pearson Correlation

-.56

-.11

1

-.33

Sig. (1-tailed)

.000

.11

.

.000

N

123

123

123

123

Parental Nurturance mean

Pearson Correlation

.14

-.04

-.33

1

Sig. (1-tailed)

.06

.35

.00

.

N

123

123

123

123

* Correlation is significant at the 0.05 level (1-tailed).

** Correlation is significant at the 0.01 level (1-tailed).

An analysis of the degree of variance (ANOVA) yielded F=19.496, which is indicative of a statistically insignificant effect. Therefore, there is no relationship between the constant and the independent variables as a group. With this information in hand, a regression was undertaken to see what differences exist in each group. These results are given in Table 3.

Table 3. Presentation of the Individual Differences between Variables.

Unstandardized Coefficients

Standardized Coefficients

T

Sig.

Model

B

Std. Error

Beta

1

(Constant)

3.4

.37

9.12

.00

Openness mean

.11

.06

.13

1.66

.10

Trait Anxiety mean

-.44

.06

-.56

-6.94

.00

Parental Nurturance mean

-2.274E-02

.05

-.04

-.49

.63

From this it is clear that Trait Anxiety has the strongest, inverse relationship with Mindfulness, which is a negative relationship. Therefore, lower levels of Trait Anxiety are a strong predictor for Mindfulness. Openness is shown to be an insignificant predictor of Mindfulness, and Parental Nurturance is approaching significance.

4. Discussion

The results of this study partially meet the predictions made. Openness to Experience and Parental Nurturance were not demonstrated as positive predictors of Mindfulness, although Parental Nurturance bordered on significance. Trait Anxiety was found to be a negative predictor of Mindfulness, where the lower the level of Trait Anxiety, the higher the level of Mindfulness. These results can be explained in terms of awareness to the environment. Individuals having a high level of Trait Anxiety are unable to be present in the moment since they are subject to cognitive bias, which inhibits the information they are able to process. According to Harvey, Watkins, Mansell and Shafran (2004) individuals with high levels of anxiety have explicit memory bias for concern-relative information. These authors make further reference to the Cognitive Avoidance Theory of Worry, and describe how people who worry excessively have, as a result reduced their awareness of aversive imagery, as well as physiological and emotional responses, which inhibits emotional processes. Since individuals with high levels of Trait Anxiety are working hard at suppressing unpleasant experiences in terms of physiological, emotional and psychological responses, they are reducing their ability to be Mindful. A key component of Mindfulness is the ability to absorb the environment as a whole, without judgement and being completely present in the moment. Individuals with low levels of Trait Anxiety are able to process their environment without bias, they are not fearful and ashamed, and are not required to be vigilant and suspicious of the environment and others. The qualities are similar to those describe in the description of Mindfulness, and should therefore yield similar outcomes of ‘greater awareness, clarity, and acceptance of present-moment reality’ Kabat-Zinn (1994, 4).

From this study, it can be said that the variable of Trait Anxiety is a good predictor of the individual differences in Mindfulness. Further research into the predictive value of other personality variables may aid in the understanding of this phenomenon.

Bibliography

Baer, R.A. (2003). Mindfulness training as a clinical intervention: A conceptual and empirical review. Clinical Psychology: Science and Practice, 10(2), 125-143.

Brown, K.W. & Ryan, R.M. (2003). The benefits of being present: Mindfulness and its role in psychological well-being. Journal of Personality and Social Psychology, 84(4), 822-848.

Buri, J. R. (1989). Self-esteem and appraisals of parental behavior. Journal of Adolescent Research, 4, 33-49.

** Costa, P. & McCrae, R. (1991). The NEO-Five Factor Inventory – Form S. Odessa, Florida: Psychological Assessment Resources.

Fonagy, P., Gergely, G., Jurist, E.L. & Targer, M. (2005). Affect Regulation, Mentalization, and the Development of the Self. London: Karnac.

Harvey, A., Watkins, E., Mansell, W. & Shafran, R. (2004). Cognitive Behavioural Processes Across Psychological Disorders: A transdiagnostic approach to research and treatment. Oxford University Press.

Kabat-Zinn, J. (1994). Wherever You Go, There You Are: Mindfulness meditation for everyday life. NY: Piatkus.

McCrae, R.R. & John, O.P. (1992). An introduction to the five-factor model and its implications. Journal of Personality, 60, 175-215.

Roemer, L. (2002). Expanding our conceptualization of and treatment for generalized anxiety disorder: Integrating mindfulness/acceptance-based approaches with existing cognitive-behavioral models. Clinical Psychology: Science and Practice, 9(1), 54-68.

** Spielberger, C. (1983). State-Trait Anxiety Inventory for adults. Redwood City, California: Mind Garden

Walach, H., Buchheld, N., Buttenmuller V., Kleinknecht, N. & Schmidt, S. (2006). Measuring mindfulness – the Freiburg Mindfulness Inventory (FMI). Personality and Individual Differences, 40, 1543-1555.

Williams, J.M.G., Teasdale, J.D., Segal, Z.V. & Soulsby, J. (2000). Mindfulness-based cognitive therapy reduces over-general autobiographical memory in formerly depressed patients. Journal of Abnormal Psychology, 109, 150-155.

Witkiewitz, K., Marlatt, G.A. & Walker, D. (2005). Mindfulness-Based relapse prevention for alcohol and substance use disorders. Journal of Cognitive Psychotherapy: An International Quarterly, 19(3), 211-228.

Woodman, C.L., Noyes, R., Black, D.W., Schlosser, S. & Yagia, S.J. (1999). A five year follow-up study of generalized anxiety disorder and panic disorder. Journal of Nervous and Mental Disease, 187, 3-9.

Zeattle, R.D. & Rains, J.C. (1989). Group cognitive and contextual therapies in treatment for depression. Journal of Clinical Psychology, 45, 436-445.

** References borrowed from given notes.

One of the principle aims of the Children Act

One of the principle aims of the Children Act 1989 was to ensure that more attention was paid to the child’s voice.

Critically examine to extent to which this aim has been achieved.

Introduction:

Bridgeman and Monk argue that the development of child law is becoming progressively more distinct from family law. In their view this development can be understood as a reflection of the influence of children’s rights and feminist views of the law that have encouraged a child centred focus where children are not simply seen as family persons but as individuals in their own right (Bridgeman and Monk, 2000, p. 1), a point reiterated by Muncie et al. who point to the recognition of rights of children as now being considered as distinct from the rights of the family as a whole (Muncie at al., 2005).

The Children Act 1989 which came in to force on 14th October 1991 was heralded as the most important legislation pertaining to children in living memory. Lord Mackay called it:

“the most comprehensive and far reaching form of child law which has come before Parliament in living memory.”

Prior to the Act the law relating to children in the UK had been driven by a plethora of different pieces of legislation, leading to considerable complexity and inconsistency. Although European law has come to an increasing level of prominence in domestic law, in practice the Children Act remains the single document most referred to (Prest and Wildblood, 2005, p. 311).

The strength and scope of the Act have been reflected by the considerable body of case law that evolved in a relatively short period of time.

The Act fulfilled two functions as highlighted by Allen:

It brought together all the existing law under the umbrella of one piece of legislation;
The Act acknowledged the limits of the law in family relations. While it was seen as a land mark piece of legislation, it did not contain a magic formula to deal with family problems.

(Allen, 2005, p.1).

The main thrust of the Act was to enable all those involved with the care of children to further their best interests whether living with their families, in local authority care or in respect of protection from abuse.

Private and Public Law:

The private legislation relating to children’s law does not concern public bodies. It refers to issues that are between individuals, usually family members.

The public law relating to children concerns legislation pertaining to intervention by public authorities. This encompasses voluntary agencies as well as social services. The State is typically a party to proceedings.

Purpose of the Act:

It was also hoped that through the Act children would become more central to proceedings concerning their welfare and would be given a considerably stronger voice. Feminist analysts have questioned the effectiveness of this, arguing that the law is often better at protecting the interests of adults than children.

Common Law Before the Act:

Historically, in common law parental rights were traditionally with the father in the case of legitimate children. It was not until 1886 that mothers were given guardianship under the Guardianship of Infants Act and the welfare of the child was to be taken into account when hearing any claim.

Developments in this area of the law saw an increasingly important regard given to the welfare of the child. This evolved into the modern idea of paramnountcy, enshrined in the 1989 Act.

The Law Leading to the Act:

Before the Act there were a number of different aspects of children’s law, described by Allen as chaotic in its nature (Allen, 2005, p.3). The law relating to children had evolved in a somewhat haphazard way, and was becoming increasingly difficult for professionals to interpret. In 1984 a comprehensive review was undertaken in an attempt to integrate the law.

The White Paper published in 1987, The Law on Child care and Family Services, stated that government proposals would involve “ a major overhaul of child care law intended to provide a clearer and fairer framework for the provision of child care services for families and for the protection of children at risk.”[1]

Scope of the Act:

The Act covers many areas including pre-school day care, child protection, local authority provision for children, the care of children in independent schools, children involved in divorce or custody proceedings, children with disabilities, child patients in long stay hospitals and children with learning difficulties (Hendrick, 2003, p.196-107).

Intrinsic to the legislation were four main principles:

(1)The paramountcy principle – this was not really a new idea but added considerable weight to ideas about child welfare, making it clear that this was always to be paramount in any decisions. This guiding principle has, however, been criticised in some quarters because of its vagueness.

The child’s welfare is the paramount consideration in respect of:

(a)the upbringing of the child;

(b) the administration of a child’s property or any income arising from it (s 1 (1)).[2]

(2) A checklist was introduced to assist courts in applying the welfare principle when considering certain categories of order.

(3)The delay principle which states that proceedings should be expedited with minimum delay as any such delay is regarded as being to the child’s disadvantage unless proven otherwise (s 1 (2))[3].

(4) Intervention by the State in the life of the child or the child’s family should only occur when it could be shown that “on balance the bringing of proceedings is likely to be in the best interest of children.” This is the no order principle where no order shall be made unless it is considered to be better for the child than making no order at all.[4]

Some new concepts were introduced. One of the main ones was “parental responsibility”. This emphasised the rights of parents in the context of their parental responsibility. If parents exercise their responsibility with the necessary level of diligence, certain rights in law are afforded, in effect promoting parents as authority figures. The Act also saw something of a swing back in emphasis to parents as opposed to the state being responsible for their children. Parents could only relinquish their responsibility to their children through formal, legal adoption. The term “accommodation” replaced “voluntary care” meaning, in effect that local authorities would care for children on their parents’ behalf only until such times as they could resume their proper role (Eekelaar and Dingwall, 1989, p.26).

Parental Responsibilities:

The Children Act gave courts wide ranging and flexible powers to regulate the exercise of parental responsibility, introducing some sweeping changes in this area.

The Child’s Wishes:

One of the central ideas was that the child’s wishes be taken into consideration, to a degree which was appropriate in any proceedings. The issue has arisen in relation to care proceedings, medical treatment and so on. In the case of local authority accommodation, there is a clear distinction in law between children over and under sixteen years old. The Children Act provides that neither the parental right of objection not the parental right of removal applies where a child of sixteen agrees to being provided with accommodation.[5]

This was tested in Re T (Accomodation by Local Authority)[6]. A seventeen year old girl had been informally accommodated by friends, an arrangement which she sought to formalise so that both parties would be eligible for benefits under section 24 of the Act which would stop when she reached age 18 otherwise. The director of social services refused this request taking the view that her welfare was not likely to be seriously prejudiced if she were not accommodated. This decision was quashed at court, the judge taking the view that social services had no way of ascertaining her future needs and there was no way of establishing whether the local authority would continue to exert the discretionary power it had done up to this point.

The issue of the child’s wishes is a much more contentious area when younger children are involved. Some very emotive case law, particularly in respect of medical arrangements and treatments, has developed in this area.

The child’s age should be taken into consideration when making any decision, but this is dependent on the individual child concerned . It is well recognised that children have the capacity to engage in acts and make decisions which can be dependent on chronological age or the attainment of a level of maturity beyond the chronological age. Precedent concerning a child’s age was first established in the land mark case of Gillick v. West Norfolk and Wisbech Health Authority[7].

The Gillick Case:

In 1980 The Department of Health and Social Security asserted that, while it would be most unusual, it would be lawful in some circumstances for a doctor to give contraceptive advice to a girl under sixteen without prior consultation with her parents. Victoria Gillick, a parent with strongly held religious views, sought assurances that none of her daughters would receive such advice.

Her claim was eventually rejected by the House of Lords, the decision coming to be known as ‘Gillick competence’. Lord Scarman proposed that a high level of understanding would be required, extending beyond the medical issues.

Lord Scarman noted:

“It is not enough that she should understand the nature of the advice which she is being given: she must have sufficient maturity to understand what is involved.”

Critical was the question in respect of whether, once a child has reached a certain level of maturity, whether in chronological or maturational terms, the rights of the patents to be involved, should be terminated or should co-exist with the child’s.

The Gillick decision was contrary to popular opinion and controversial. When faced with the dilemma of Gillick competence again, the courts adopted a somewhat different view. Later case law served to muddy the waters and adolescents were not given clear advice over their right to reach decisions for themselves in the event of family disputes or other issues.

Re R[8] concerned the competence of adolescents to refuse medical treatment.

R was a fifteen year old girl who had been suffering from mental illness which had caused her to be hospitalised under the Mental Health Act. At various times during the course of her treatment she was regarded as being a suicide risk. The unit in which she was hospitalised used sedatives as a last resort as part of the treatment regime. The hospital said that they would not retain R in hospital unless she were prepared to engage in treatment, including taking sedatives.

They put this to the local authority who had parental responsibility for R. The local authority initially agreed to the hospital’s request but, following conversation between R. and a social worker, withdrew its consent. R indicated to the social worker that the hospital were trying to give her drugs which she neither wanted nor needed. The social worker’s opinion was that R. was lucid and rational during the conversation, an assessment subsequently confirmed by psychiatric evaluation. The authority made R. a ward of court to resolve the argument. This is demonstrative of the responsibility to make the child’s voice heard, through the consultation process, a responsibility placed on local authorities by the Act.

The solicitor acting as guardian ad litem argued that, where a child has capacity to withhold consent to treatment based on sufficient understanding, any parental right to give or withdraw consent terminated.

Lord Donaldson reopened the whole discussion in respect of the relationship between a competent minor’s capacity and a parent’s right to consent on a minor’s behalf.

The Court of Appeal upheld the decision of Waite J., that R. failed the test of competence and that, in her best interests, the treatment should be authorised.

The most significant issue was whether the court had the power to over rule the decision of a competent minor. The court held that such an ability existed because the Gillick principles did not have effect in wardship proceedings. It was argued that the court had wider powers than those of normal parents, being derived from the Crown. The court saw no reason not to override the wishes of a competent minor if it believed that to be in the child’s best interests.

The judgement demonstrated that the application of the ‘welfare’ and the ‘Gillick’ tests could lead to different results.

The court’s power to override the decision of a minor were again illustrated in Re M. (Medical Treatment : Consent)[9]. A fifteen year old girl needed a heart transplant to save her life but refused to give her consent. Her reasoning was that she did not want to have some one else’s heart and did not want to have to take medication for the rest of her life.

In the solicitors notes taken at interview, it could be clearly seen that she had considered carefully her decision:

“Death is final – I know I can’t change my mind. I don’t want to die but I would rather die than have the transplant and have someone else’s heart, I would rather die with fifteen years of my own heart.”

While acknowledging the gravity of overriding M.’s decision, and the associated health risks, the operation was authorised.

Children in Court:

English law has not traditionally given minors right of representation in legal proceedings, but this was one of the main issues that the Children Act 1989 sought to address. The usual procedure has been for courts to require welfare reports in respect of children rather than to elicit the views of children themselves or of other interested parties or representatives.

The Children Act considerably changed that nature of representation for children in public proceedings in court. In care proceedings the Act created the presumption of the appointment of a guardian ad litem (Children’s guardian). The child will also automatically be party to the proceedings.

Children’s guardians are individuals who are required to have a thorough knowledge of both social work and child law. Their role is to ensure ‘that the court is fully informed of the relevant facts which relate to the child’s welfare and that the wishes and feelings of the child are clearly established.[10] Their role is to be proactive in its nature and ensure that the wishes of the child are given their due weight in the proceedings.

The issue in respect of private law is markedly different with children rarely being represented in this context. These are generally in relation to divorce and while welfare reports are submitted on occasion, this is not often the case, simply because of the volume of these types of proceedings.

Harm to children:

One of the main purposes of the Children Act was to ensure that children be protected from harm.

Newham London Borough Council v. AG[11]. reflects the difficult choice with which the courts are often faced regarding whether it is better for a child to stay with members of his/ her extended family or other, outside carers. In Newham the Court of Appeal held that placing the child with grandparents would be unsatisfactory as they would be unable to protect the child from the serious risk that was posed by the child’s mother who suffered from severe schizophrenia which manifested itself in her inability to look after the child and to neglect her.

The test case for the risk of significant harm is Re M. (A minor)(Care Order: Threshold Conditions).[12] A father had murdered the children’s mother in front of them, after which they were taken into emergency protection. The father was convicted of the mother’s murder and was sentenced to life imprisonment with a recommendation that he be deported to Nigeria, his home country, on release. Three of the four children were placed with Mrs W., the mother’s cousin, but she felt unable to cope with the youngest child, M. who was placed with a temporary foster mother. Eventually Mrs W. wanted to offer M. a home with his siblings. The father sought to influence the decision from prison, as he was M.’s biological father. The local authority, the guardian ad litem for M., and the father all wanted a care order to be made for M. outside the extended birth family.

Bracewell J. made the care order in the first instance but the Court of Appeal favoured Mrs W., substituting a care order in her favour. The question for the courts was whether, in considering if a child ‘is suffering from significant harm’, is it permissible to consider the situation when protective measures were introduced, or does this test have to be satisfied at the time of the hearing at which the application is being considered. At the time of the hearing M. was no longer suffering, nor was he likely to suffer ‘significant harm because, by this time, he was being properly looked after and the danger had passed.

The House of Lords held that there was jurisdiction to make a care order in these circumstances. Lord Mackay argued that the court was entitled to have regard to the full length from the protection to the disposal of the case. Brackwell had been entitled to, and indeed correct, to look back to the time when the emergency protection was taken. She had been entitled to infer that, at that time, M. had been permanently deprived of the love and care of his mother which constituted significant harm. The care given by the father was not what could reasonably have been expected from a parent, although it could reasonably be argued that the anger and violence was directed to the mother rather than M. The only limitation in the process of looking back was that the initial protective arrangements had remained continuously in place. Lords Templeman and Nolan pointed out that to restrict evidence to that which was available at the hearing could mean that any temporary measures which removed the risk could preclude the court from making a final care order which could not have been Parliament’s intention.

Separated Families:

Contact:

A great deal of case law relates to families where divorce or separation is a factor. Section 8 of the Act deals with the contact order:

“an order requiring the person with whom a child lives, or is to live, to allow the child to visit or stay with the person named in the order, or for that person and the child otherwise to have contact with each other.”[13]

The contact order has become very important in the sphere of children’s law as it is the most common type of order made. Men, who tend not to be the residential parent in cases of divorce, are increasingly applying for contact orders with their children.

Payne v. Payne is one of the leading cases in respect of contact. The mother, originally from New Zealand wanted to return there with the couple’s four year old child following her divorce. Mr Payne argued that, to allow the mother to remove the child from the country, would infringe his right to contact, and that this infringement would be contrary to the principles of the Children Act 1989. The Court of Appeal argued that the child’s happiness was bound up in the happiness of the mother , the primary carer, and any move to separate them might be that her “unhappiness, sense of isolation and depression would be exacerbated to a degree that could well be damaging to the child.”

The judgement in Payne v. Payne was not a denial that the father had a right to contact. It was a demonstration of the application of the welfare principle, protecting the best interests of the child which were, in the courts opinion, inextricably linked to the mother. The decision makes clear that contact is a qualified right which will always be superseded by the welfare of the child.

Paternity:

The paramountcy principle has been criticised as being too limited in its scope. Where the issue of paternity has come before the courts it has been held that this only has an indirect impact upon the child’s upbringing and so falls outside the scope of the test. Freeman has argued that since maternity is rarely in doubt, this stance in respect of paternity allows men to shirk to some degree their paternity in the English Legal system (Freeman, 2000, p.33).

Foster Parents:

While the law relating to children has always had scope in respect of biological families, this is clearly extended to foster parents by the Children Act. The term ‘foster parents’ covers a variety of care arrangements, but is most usually thought of as parents who look after children to whom they are not related. The main distinctions in foster care arrangements are in private or local authority arrangements and short and long term fostering arrangements.

Arrangements and case law have shown that foster carers will not automatically be afforded parental responsibility, legal steps must be taken before this can happen.

In Gloucestershire County Council v. P[14] the child’s guardian ad litem persuaded the court that a residence order in favour of the foster parents, rather than an order freeing the child for adoption or residence order in favour of the extended family, would be appropriate. A majority of the Court of Appeal held that the Court did, in fact, have the power to do this even though the foster parents had cared for the child for less than three years.

More than one child:

Problems with the paramountcy principle have occurred when there is more than one child and their interests appear to be at odds. In Birmingham CC v. H[15] the case concerned a mother, herself a minor, and her child. It was believed to be in the mother’s best interests to maintain some contact with her baby as she may self harm otherwise. It was not held to be in the best interests of her baby. The law said that the interests of both was paramount. The House of Lords held that it was necessary to identify the child who was the subject of the application and make their welfare paramount, in this case the baby. This logic has been applied in subsequent cases on this matter when the interests of siblings have been thought to be in conflict.

Conclusion:

It is generally agreed that the Children Act represents a consensus among interested parties, except of course for children, who were not consulted (Hendrick, 2003, p.198). The concept of welfare or best interests of children reflects a desire to protect children. Some theorists have argued that because the input of children into changes in the law has been neglected, the law may be ineffective in protecting them from harm which may be very different from the harm and pain felt by adults (Bridgeman and Monk, 2000, p.7).

Some aspects of the Act have been problematic. The paramountcy principle has been very difficult in both a practical and an ethical respect. There is considerable tension between a child’s welfare and a child’s voice. The weight of the law is given to the former but many argue that the child’s opinion and wishes should carry more weight than they do at the moment. There are also, as has been seen, questions concerning when the child’s wishes should supersede those of his/ her parents and be respected as valid in their own right.

The law in relation to children has seen more change in recent years but the Children Act still has considerable force in practice. While there has been increasing emphasis placed on children’s individualism, autonomy, capacity and competence (Hallett, 2000, p.389), it has been seen that it is often the case that no matter how lucid or mature a child appears to be, the courts have been reluctant to allow the child to have a full voice in issues of a serious and life changing nature. The complex nature of families and their increasingly diverse nature in society means that these difficult issues will probably become more, rather than less complex in their nature and present themselves with a greater degree of frequency.

References:

Allen, N. (2005) Making Sense of the Children Act 1989. Chichester: John Wiley and Sons.

Bainham, A. (1990) Children : The New Law. Bristol: Jordan Publishing Ltd.

Bainham, A. (2005) Children: The Modern Law. Bristol: Jordan Publishing Ltd.

Bainham, A., Day-Sclater, S. & Richards, M. (Eds)(1999) What is a Parent? A Socio-Legal Analysis. Oxford: Oxford University Press.

Bridgeman, J. & Monk, D. (2000) Reflection on the relationship between feminism and child law in J. Bridgeman & D. Monk (Eds) Feminist Perspective on Child Law. London: Cavendish Publishing.

Corby, B. (2002) Child Abuse and Child Protection in B. Goldson, M. Lavalette and E. McKenchie (Eds) Children, Welfare and the State. London: Sage.

Eekelaar, J. (1991) Parental Responsibility: State of nature or nature of state? Journal of Welfare and Family Law, 1, 37-50.

Eekelaar, J. and Dingwall, R. (1989) The Reform of Child Care Law: A practical Guide to the Children Act. London: Routledge.

Farson, R. (1978) Birthrights. London: Penguin.

Fortin, J. (2003) Children’s Rights and the Developing Law. London: Reed Elsevier.

Freeman, M. (2000) Feminism and Child Law in J. Bridgeman & D. Monk (Eds) Feminist Perspective on Child Law. London: Cavendish Publishing.

Gibson, C., Grice, J., James, R. & Mulholland, S. (2001) The Children Act Explained. London: The Stationery Office.

Hallett, C. (2000) Children’s Rights: Child Abuse Review, 9, 389-393.

Harris, P.M. & Scanlan, D.E. (1991) Children Act 1989: A Procedural Handbook. London: Butterworths.

Hendrick, H. (2003) Child Welfare: Historical Dimensions, Contemporary Debate. Bristol. The Policy Press.

Herring, J. (2004) Family Law. London: Pearson.

Hoggett, B.M. (1987) Parents and Children: The Law of Parental Responsibility. London: Sweet and Maxwell.

Horwarth, J. (Ed)(2001) The Child’s World: Assessing Children in Need. London: Jessica Kingsley Publishers.

Masson, J. (1990) The Children Act 1989: Current Law Statutes Annotated. London: Sweet and Maxwell.

Muncie, J. Wetherall, M., Dallos, R. & Cochrane, A. (Eds)(1995) Understanding the Family. London: Sage.

Prest, C. & Wildblood, S. (2005) Children Law: An Interdisciplinary Approach. Bristol: Jordan Publishing Ltd.

White, R., Carr, P. & Lowe, N. (1995) The Children Act in Practice. London: Butterworths.

Wyld, N. (2000) The Human Rights Act and the Law Relating to Children. Legal Action, September, 17-18.

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