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Mitchell v Attorney-General [2023] NZCA 605 (29 November 2023)

Last Updated: 4 December 2023

IN THE COURT OF APPEAL OF NEW ZEALAND

I TE KŌTI PĪRA O AOTEAROA
CA732/2021
[2023] NZCA 605



BETWEEN

KERRYN MITCHELL
Appellant


AND

ATTORNEY-GENERAL (ON BEHALF OF THE CHIEF EXECUTIVE OF THE DEPARTMENT OF CORRECTIONS)
Respondent

Hearing:

21 November 2022 (further submissions received 2 December 2022)

Court:

Katz, Mander and Downs JJ

Counsel:

Appellant in person
D P Neild and V M Rea for Respondent

Judgment:

29 November 2023 at 10.30 am


JUDGMENT OF THE COURT

  1. Leave to adduce further evidence is granted.
  2. The appeal is dismissed.

____________________________________________________________________

REASONS OF THE COURT

(Given by Katz J)

Introduction

Application for leave to adduce further evidence

The process for assigning security classifications to prisoners

[7] ... The classification is intended to reflect the level of risk posed by the prisoner while inside or outside prison (for example while on a release to work programme) including the risks that would pose to the public. This is also to enable Corrections to appropriately manage prisoners within a prison environment. That security classification of each prisoner must be undertaken and reviewed “in the prescribed manner”.

[8] The Act and the Corrections Regulations 2004 (the Regulations) provide some guidance as to the correct process. Further guidance is contained in internal Corrections guidelines and other documents.

Ms Mitchell’s security classifications

Ms Roberts described Ms Mitchell’s behaviour towards and her interactions with prison staff and other prisoners as demonstrably negative and often aggressive given too that they included multiple allegations of abuse and threats to staff, unlawful activating of the sprinkler system, property damage, abusing the prison intercom system, assaulting staff, smearing faeces on walls and refusing to engage with health staff for a Covid-19 assessment.

(a) First security classification. In May 2021 Ms Mitchell was assigned her first security classification. The ultimate classification was “low”. There were three stages to the assignment of Ms Mitchell’s first classification: the Preliminary Score, the Override Decision, and the Reconsideration Decision. Her Preliminary Score, generated by the IOMS, suggested a security classification of “minimum”. This was manually overridden to “low-medium” to take into account Ms Mitchell’s conduct while she was a remand prisoner, based on the incident reports referred to above (the Override Decision). Ms Mitchell then applied for an internal reconsideration of the Override Decision by Corrections. This application was determined by Ms Roberts, and resulted in her classification being reduced from “low-medium” to “low” (the Reconsideration Decision).

(b) Judgment under appeal. Ms Mitchell applied for judicial review of the Reconsideration Decision in the High Court, on the basis that her classification should have been reduced to “minimum” rather than “low”. Gendall J dismissed Ms Mitchell’s application.[15]

(c) Second security classification. In November 2021, the first six‑monthly review of Ms Mitchell’s security classification took place. This time, her Preliminary Score generated a recommended security classification of “low-medium”. On 15 November 2021 that was overridden to “low”, on the basis that Ms Mitchell could be appropriately managed at that level.

(d) Third security classification. In May 2022 the second six-monthly review of Ms Mitchell’s security classification took place. Again, her Preliminary Score generated a recommended security classification of “low-medium”. That decision was again overridden to “low” on the basis that Ms Mitchell could be appropriately managed at that level.

(e) Release from prison. On 16 June 2022 Ms Mitchell was released from prison on parole.

The High Court decision

(a) The Preliminary Score is “only a preliminary or indicative security classification”. It “is not determinative of the ultimate outcome and can be overridden when appropriate”.[16] This recognises that the inputs into the Preliminary Score “may not capture all matters that are relevant to the risk assessment of a particular prisoner”.[17]

(b) Prisoners do not have a legitimate expectation that no override will be applied or that the Preliminary Score will be the final outcome of any security classification decision.[18]

(c) The relevant guidelines used by Corrections include specific factors which might provide the basis for a manual override, but those factors are not in any way restrictive. Rather, the guidelines “provide a broad discretion to manually override a Preliminary Score so long as that override is not based on a factor that has already been incorporated in the initial assessment itself”.[19]

(d) Convictions or formal misconduct charges are not required for a behavioural incident to be considered as relevant to a security classification decision.[20]

(e) Here, Ms Mitchell’s Preliminary Score failed to take into account her behaviour while on remand. It was appropriate for such behaviour to be considered, however, given that at least one incident was the subject of police consideration at the time Ms Mitchell’s judicial review application was heard and there was sufficient evidence of the other incidents, which the Judge considered had involved “what might be seen as lower level violence by a prisoner in custody”. The safety of both prison staff and other inmates is relevant to classification questions.[21]

(f) Ms Mitchell’s right to natural justice was appropriately addressed through the reconsideration process, which was partially successful and resulted in Ms Mitchell’s classification being reduced from “low‑medium” to “low”.[22]

[48] I accept that [the Reconsideration Decision] was a proper one in line with the statutory and regulatory regime and the requirements for an override as set out in the Guidelines. [The Reconsideration Decision] as I see it was one to assign to Ms Mitchell the lowest level of security classification at which she could be safely and securely managed given the level of risk she posed. In making [the Reconsideration Decision] Ms Roberts took into account all relevant information readily available, she recorded her decision in writing and she provided this with reasons to Ms Mitchell on 13 May 2021. The incident reports which she had taken into account were not information that was previously considered during the automatic points-based calculation of Ms Mitchell’s security classification and therefore no double counting occurred here.

Is the appeal moot?

  1. Proceedings will be “moot” or “academic” if there is no live dispute between the parties or, as the Supreme Court put it in R v Gordon-Smith, “where the substratum of the ... litigation between the parties has gone and there is no matter remaining in actual controversy and requiring decision”.[23]

Should this Court determine the appeal, despite it being moot?

Approach to moot appeals — legal principles

In general, appellate courts do not decide appeals where the decision will have no practical effect on the rights of parties before the court, in relation to what has been at issue between them in lower courts. ... But in circumstances warranting an exception to that policy, provided the court has jurisdiction, it may exercise its discretion and hear an appeal on a moot question.

The Court referred to three primary reasons for the appellate courts’ “general policy of restraint ... in addressing moot questions”, as identified by the Supreme Court of Canada in Borowski v Canada (Attorney General):[26]

... first, the importance of the adversarial nature of the appellate process in the determination of appeals, secondly, the need for economy in the use of limited resources of the appellate courts and, thirdly, the responsibility of the courts to show proper sensitivity to their role in our system of government. In general advisory opinions are not appropriate.

(a) The importance of the adversarial nature of the appellate process in the determination of appeals.[33]

(b) The strength of the grounds of appeal.[34]

(c) The need for economy in the use of limited resources of the appellate courts.[35] This may include consideration of whether the nature of the order which could be made by the court justifies the expenditure of limited judicial (or court) resources to resolve a moot appeal.[36]

(d) Whether continuing the appeal “would go beyond the judicial function of resolving concrete disputes and involve the court in free-standing, legislative-type pronouncements more properly left to the legislature itself”.[37] Courts must “show proper sensitivity to their role in our system of government” and “[i]n general advisory opinions are not appropriate.”[38]

(e) Whether an appeal raises an issue of “significant public importance which is highly likely to come before the court again at some point”.[39] It is relevant whether the issue is “otherwise evasive of appellate review”.[40] It is also relevant whether the appeal raises “a systemic issue related to the administration of justice”.[41]

The strength of the appeal

It is tolerably clear that the override option exists precisely because filling out the review form and applying the points system is intended largely to be a mechanical (and therefore objective and consistent) exercise. The possibility of an override recognises the reality that the guidelines and the form may not capture all matters that are relevant to the risk assessment required by s 44 [of the Act] in relation to a particular prisoner. It contemplates that there may be a departure from policy but ... requires clear reasons for that to be given. The guidelines also make it clear that there cannot be a departure from policy (an override) simply because an application of the points system does not result in adequate weight being given to one of the matters expressly required to be considered.

Here, behavioural incident reports were not included as part of the automated matrix of factors Ms Fili [the assessing officer] properly applied in carrying out the initial security classification using the IOMS form. This is precisely what led to [the recommending officer] Ms Reedy’s override of Ms Mitchell’s Preliminary Score, given that it failed to take into account her conduct while on remand, conduct which according to Ms Roberts was repeated and significantly troubling.

The misconduct regime and security classification decisions are separate matters. Charges of misconduct are subject to the prosecution and hearing regime specified in sch 7 of the Corrections Regulations. Misconduct must be proved beyond reasonable doubt. In contrast, security classification decisions are inherently about risk.

This argument equates the prison’s essentially judicial inmates disciplinary offence process ... with the prison’s day-to-day administration, including decisions on security classification ... Taken to its logical extreme, the argument would preclude the prison ... from taking any administrative action unless and until appropriate disciplinary offences were proved against the inmate.

Other relevant factors

Conclusion

Result






Solicitors:
Luke Cunningham Clere, Wellington for Respondent


[1] Corrections Act 2004, s 47.

[2] Mitchell v Attorney-General [2021] NZHC 2946 [Judgment under appeal].

[3] Corrections Act, s 47(3).

[4] Court of Appeal (Civil) Rules 2005, r 45.

[5] Rae v International Insurance Brokers (Nelson Marlborough) Ltd [1998] 3 NZLR 190 (CA) at 192; and Paper Reclaim Ltd v Aotearoa International Ltd (Further Evidence) (No 1) [2006] NZSC 59, [2007] 2 NZLR 1 at [6].

[6] See for example Gorges v Chief Executive of the Department of Corrections [2017] NZHC 2518; Taylor v Chief Executive of the Department of Corrections [2015] NZHC 2196; Genge v Chief Executive of the Department of Corrections [2018] NZHC 1302; Smith v Attorney‑General [2017] NZHC 136, [2017] NZAR 331; and Bell v Chief Executive of the Department of Corrections [2021] NZHC 413.

[7] Judgment under appeal, above n 2 (footnotes omitted).

[8] See [7]–[24].

[9] Corrections Regulations 2005, reg 44(1).

[10] Corrections Act, s 47(3)(b).

[11] Section 48(2); and Corrections Regulations, reg 51.

[12] Judgment under appeal, above n 2, at [27] and [43].

[13] At [27].

[14] At [43].

[15] Judgment under appeal, above n 2, at [69]–[71].

[16] At [16].

[17] At [17], citing Smith v Attorney-General, above n 6, and Taylor v Chief Executive of the Department of Corrections, above n 6.

[18] At [19].

[19] At [35].

[20] At [44]–[46], citing Newton v Superintendent of Rimutaka Prison HC Wellington CIV‑2003‑485‑1778, 5 September 2003 at [35].

[21] At [37]–[38].

[22] At [41] and [52].

  1. [23] R v Gordon-Smith [2008] NZSC 56, [2009] 1 NZLR 721 at [14] (footnote omitted), quoting Finnigan v New Zealand Rugby Football Union Inc (No 3) [1985] NZCA 111; [1985] 2 NZLR 190 (CA) at 199 per Richardson J. The Court also cited the principle referred to by Viscount Simon LC in Sun Life Assurance Co of Canada v Jervis [1944] AC 111 (HL) at 114 that “it is an essential quality of an appeal fit to be disposed of by this House that there should exist between the parties a matter in actual controversy which the House undertakes to decide as a living issue”.

[24] R v Gordon-Smith, above n 23, at [16], citing R v Secretary of State for the Home Department, ex parte Salem [1999] UKHL 8; [1999] 1 AC 450 (HL) at 456–457.

[25] At [16] (footnote omitted), citing Borowski v Canada (Attorney General) [1989] 1 SCR 342 at 353.

[26] At [18], citing Borowski v Canada (Attorney General), above n 25, at 358–363. The Court also referred to R v Smith [2004] 1 SCR 385.

[27] Baker v Hodder [2018] NZSC 78, [2019] 1 NZLR 94 at [33].

[28] At [32]–[33].

[29] At [33].

[30] Ellis v R (Continuance) [2022] NZSC 114, [2022] 1 NZLR 239.

[31] At [48] and [57] per Glazebrook J, [152] per Winkelmann CJ, [233] per Williams J and [294] per O’Regan and Arnold JJ.

[32] At [57]–[58] and [144] per Glazebrook J and [278] and [292]–[293] per O’Regan and Arnold JJ.

[33] R v Gordon-Smith, above n 23, at [18] and [20]. The Supreme Court elaborated in R v Gordon‑Smith that “having a stake in the outcome fosters full argument on the questions before the court”; and that “[t]he need for legal principles to be applied to particular facts is ... a valuable discipline for the courts in determining those principles.” See also Ellis v R, above n 30, at [57(a)] per Glazebrook J and [278] and [292] per O’Regan and Arnold JJ.

[34] Ellis v R, above n 30, at [57(b)] per Glazebrook J and [278] and [292] per O’Regan and Arnold JJ.

[35] R v Gordon-Smith, above n 23, at [18], citing Borowski v Canada (Attorney General), above n 25, at 358–363.

[36] Ellis v R, above n 30, at [57(f)] per Glazebrook J and [278] and [292] per O’Regan and Arnold JJ.

[37] At [57(g)] per Glazebrook J and [278] and [292] per O’Regan and Arnold JJ.

[38] R v Gordon-Smith, above n 23, at [18].

[39] At [24].

[40] Ellis v R, above n 30, at [57(e)(i)] per Glazebrook J and [278] and [292] per O’Regan and Arnold JJ.

[41] At [57(e)(ii)] per Glazebrook J and [278] and [292] per O’Regan and Arnold JJ.

[42] Judgment under appeal, above n 2, at [19], [21] and [52].

[43] Smith v Attorney‑General, above n 6.

[44] Taylor v Chief Executive of the Department of Corrections, above n 6.

[45] At [88] (footnote omitted). See also Smith v Attorney‑General, above n 6, at [47].

[46] Judgment under appeal, above n 2, at [37], and see also [48] in the context of the Reconsideration Decision.

[47] At [37]–[39], and see also [48]–[51].

[48] See [38], [44]–[45] and [48].

[49] Bell v Chief Executive of the Department of Corrections, above n 6, at [77] (footnote omitted), citing Genge v Chief Executive of the Department of Corrections, above n 6, at [12].

[50] Judgment under appeal, above n 2, at [45].

[51] Newton v Superintendent of Rimutaka Prison, above n 20, at [35].

[52] R v Gordon-Smith, above n 23, at [24].

[53] At [18].

[54] Ellis v R, above n 30, at [57(f)] per Glazebrook J and [278] and [292] per O’Regan and Arnold JJ.

[55] See for example Gorges v Chief Executive of the Department of Corrections, above n 6; Taylor v Chief Executive of the Department of Corrections, above n 6; Genge v Chief Executive of the Department of Corrections, above n 6; Smith v Attorney-General, above n 6; and Bell v Chief Executive of the Department of Corrections, above n 6.


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