by Mark Henderson and Rowena Moffatt of Doughty Street Chambers
and Alison Pickup of the Public Law Project
~ Revised 2021 Edition ~
The HOPO's submissions
Your own submissions
Further submissions and evidence following the hearing
After the hearing
39.1 If there is no oral evidence, you will be asked to make opening submissions, followed by the HOPO's submissions, followed by your reply. (Note that as appellant, you are entitled to the last word.)
39.2 If oral evidence was heard, the HOPO will normally be invited to make his submissions first, and will not reply to your submissions. The disadvantage of this procedure is that it helps the HOPO to avoid facing up to the attack on his case. He should have received your skeleton argument, but is unlikely to engage much with the arguments contained in it. (Some judges have commented that a more sensible approach would be to start with your submissions: this would mean that the HOPO would see exactly how you put your case in the light of the oral evidence. It would also expose any failure to answer your case in his response.) However, the HOPO's silence on the key points you make is unlikely to assist the Home Office's case. You should draw the Judge's attention to the points on which the HOPO has made no submissions. If you have produced expert evidence since the decision under challenge and the Home Office has neither sought to attack it in its Review nor in oral submissions, it would be worthwhile pointing it out at the outset of your oral submissions.
39.3 The HOPO will nearly always start by 'relying' on the refusal letter, even where much of it has been overtaken by events. In cases started on or after 22 June 2020, the HOPO will be likely to rely, in addition, on any Home Office Review. He will usually make submissions on the oral evidence. He will often ignore the country evidence apart from the Home Office's own country reports.
39.4 His closing submissions ought not to raise new issues of which notice could have been given in advance. While the HOPO should not raise new points at the hearing at all, it is especially inappropriate to do so in closing submissions after the evidence has been completed. The obvious exception is where they arise out of oral evidence. However, any challenge to the evidence should have been made in cross-examination.
39.5 Take a full note of the HOPO's submissions. The judge may not record the submissions in his determination fully (or sometimes at all). It may be important on appeal (whether by you or the Home Office) to be able to show what submissions were and were not advanced. If the Home Office appeals, it will be particularly useful if you can demonstrate that the points that the judge is alleged to have failed to consider were actually not raised by the HOPO at the hearing. Obviously, this will be particularly important if the HOPO makes any express concession: in HA (Conduct of hearing: evidence required) Somalia  UKAIT 00018, the Tribunal emphasised the importance of providing evidence to support an allegation about what was said at the hearing, where that is contrary to the judge's determination, and suggested that any application for permission to appeal which relies on such an allegation should be supported by the representative's contemporaneous note. The need for evidence in an appropriate case was reiterated in BW (witness statements by advocates) Afghanistan  UKUT 00568 (IAC) and Sivapatham (Appearance of Bias)  UKUT 00293 (IAC). Remote proceedings are recorded and a copy of the recording can be requested from the Tribunal.
39.6 It is only occasionally appropriate to interrupt the HOPO's submissions: essentially to avoid wasting time while the HOPO develops an argument to which there is a fundamental objection. HOPOs (and indeed judges) are not used to their submissions being interrupted and may express surprise and even indignation, and it is not unusual to be told that you should keep your objections for your own submissions. Nonetheless, there are circumstances where it is more appropriate – and indeed helpful – to raise your objection in the course of the submissions, not least because it may enable the HOPO to indicate if he has a proper basis for maintaining the submission in the face of your objection. The circumstances where it may be helpful to interrupt are if the HOPO:
• embarks on a submission based on a mistake which is apparent from the documents, for example the date of an interview or the date the appellant entered the country;
• misquotes either the interview notes or the evidence given at the hearing;
• misrepresents your case, for example by claiming that you advance an argument that you do not, or accept something that you do not;
• raises an entirely new issue, or makes a point which is inconsistent with a concession or agreement made earlier;
• makes submissions 'for completeness' on a point that is not in issue (this is relatively common in respect of Article 3 health submissions made by the Home Office);
• disputes the credibility of a witness when he raised no challenge by cross-examination.
39.6A Rarely, the judge may indicate that he does not need to hear from the HOPO. In XS (Kosovo- Adjudicator's conduct - psychiatric report) Serbia and Montenegro  UKIAT 00093, the Tribunal said that
36. We do not consider that there was any unfairness in asking for the Appellant's submissions without asking for the Home Office Presenting Officers. It is quite possible for a fair provisional conclusion to have been reached, by the stage of speeches, as to the credibility of a witness. It is fair for the party against whom that conclusion has been provisionally reached to be asked to deal with the issues. Of course, and this case illustrates the point, that assumes that the Adjudicator is dealing with the Home Office Presenting Officer's case rather than his own. The Appellant's advocate must be in a position to know what the Home Office Presenting Officer's position is and importantly also an Adjudicator would benefit from knowing what points were still actively being pursued by the Home Office Presenting Officer. Although we do not see it as a separate head of apparent unfairness, it was unwise for the Adjudicator not to hear even briefly or in outline the main contentions of the Home Office Presenting Officer. That might have enabled the Adjudicator to avoid developing his own theory too far.
39.7 It is usually best to prepare notes rather than a full speech. That way your delivery will be much more natural and you will be able to make eye contact with the judge. More importantly, you will be better able to adapt your submissions to the issues that have arisen at the hearing if you are working from notes rather than a prepared speech.
39.8 Respond to each of the HOPO's arguments. It may help to note the HOPO's submissions down one page, and pointers to your counter arguments on the facing page. If you are working digitally, you will need to make sure that you are able to move with ease between your PDF case bundles and whatever software you use for note taking. It will often be useful to split your computer screen and/or to use a second screen for your bundles. You will not usually be offered any time to consider the HOPO's submissions before making your own, although you should not be afraid to ask for a short pause if you need to check page references or consider how to respond to points which have arisen from the evidence.
39.9 You should have checked at the start of the hearing whether the judge had read your skeleton and if not, you should have invited him to do so. To some extent, the nature of your submissions will depend upon the nature of your skeleton argument. If you have made detailed submissions in your skeleton on the country of origin evidence, and quoted the relevant passages, you will be able to move more quickly through these points in submissions.
39.10 Many judges (particularly if they did not have long to consider your skeleton) prefer you to go through the skeleton in closing so that they have an opportunity to raise any point which occurs to them. Others will ask you not to repeat these points in closing. They may take time to consider the skeleton argument immediately before your closing submissions so that it is fresh in their mind in the light of the evidence that they have just heard.
39.11 A judge should never refuse to listen to oral submissions unless they are plainly irrelevant. In particular, he should not limit oral submissions on the basis that you have submitted a skeleton argument. On the contrary, the Tribunal stated in SSHD v Klajic  UKIAT 03452 that:
Practitioners should not rely on [skeleton arguments] as a substitute for dealing with any significant feature of their case in oral argument.
39.11A A judge may, however, though rarely in asylum appeals, indicate after hearing the Home Office's submissions that he has read your skeleton argument and does not need to hear from you. You should object unless his reason for so doing is to immediately allow the appeal with reasons to follow.
• summary of the appellant's evidence;
• any corroborating evidence;
• summary of factors establishing present risk;
• country and expert evidence;
• how the case engages the UK's obligations and other legal arguments;
• rebuttal of refusal letter and HOPO's oral submissions;
• any human rights issues not embraced by the above submissions (e.g. family life in the UK).
39.13 Some advocates prefer to start by responding point by point to the HOPO's oral submissions as these will be fresh in the judge's mind. The additional advantage of this is that you can finish on a positive note stressing your own case. You must deal at some stage with each point in the HOPO's submissions, showing how they are either wrong or irrelevant.
39.14 Where the HOPO has relied upon the refusal letter without addressing the flaws identified in your skeleton, you should point that out. Highlight other points in the skeleton that the HOPO has been unable to answer in his submissions. Invite the Tribunal to draw an appropriate inference. Remind the Tribunal of evidence that the HOPO did not challenge. If the HOPO's submissions on credibility are unsustainable in light of his failure to challenge a corroborating witness, point this out; similarly where his submissions on risk are inconsistent with a witness's unchallenged evidence of continuing interest in the appellant. If the HOPO has questioned the credibility of a witness called to give evidence when he raised no challenge in cross-examination, you should object in the strongest terms (if you did not interrupt his submissions to do so).
39.15 You do not normally need to refer to basic authorities in closing submissions, any more than in your skeleton. However, you should ensure that your submissions on the facts reflect the basic caselaw (e.g. following Karanakaran vSSHD  EWCA Civ 11  Imm AR 271, the judge cannot reject the appellant's evidence unless he can exclude any real doubt that it is true).
39.16 Remember that judges hear cases day after day, and see the same allegations put forward day after day by the Home Office, often without serious challenge. You need to engage the judge's attention and explain forcefully why a case built on allegations without evidence (or even explanation) should be rejected by any court. Attack the Home Office presumptions about the reasonable refugee individually, discrediting where appropriate by demonstrating the 'Damned if you do, damned if you don't' philosophy which lies behind them. Point out the alternative standard allegation that the Home Office would have deployed had your client acted differently.
39.17 Make your submissions at a speed which allows the judge to make a proper note. Issues may arise because the judge does not accurately record your submissions in the determination. If you have not given him a chance to make a proper note, you have yourself to blame. If the judge does not appear to have made a note of a submission which is central to your case, there is nothing wrong with asking the judge politely whether he has a note or whether he would like you to pause while he notes the submission. In KD (Inattentive Judges) Afghanistan  UKUT 261 (IAC), the Tribunal emphasised that the parties are entitled to expect the judge to pay attention throughout the hearing, and that a failure to do so may give grounds for setting aside the determination, but that it is preferable for any concerns to be raised at the hearing.
39.17A The Court of Appeal has commented on the "increasing tendency for First-Tier judgments to be overly long and to contain unnecessary detail": R (PA (Iran)) v Upper Tribunal (IAC)  EWCA Civ 2495. The Court continued to say that:
[t]his can, itself, cause problems of consistency and cogency. Laborious recitation of every piece of evidence is not necessary or desirable and simply adds to the already heavy burden on First-Tier judges. It is only necessary to refer to evidence that is relevant to the issue or issues for determination. Length is no substitute for analysis.
This guidance is primarily directed at the Tribunal, however, it is advice that advocates would be well advised to be alive to in framing submissions.
39.18 Always conclude by asking the judge whether there is any matter of concern upon which you have not already addressed him. The Tribunal has made clear that the practice of judges expressing provisional views is permissible. In Sivapatham (Appearance of Bias)  UKUT 00293 (IAC) the Tribunal summarised the relevant principles and caselaw:
16…The judicial duty of impartiality, one aspect whereof is the maintenance of an open mind, does not preclude the formation of tentative, provisional views in advance of adjudication. In AM (Fair Hearing) Sudan  UKUT 656 (IAC), this Tribunal stated, at (iii):
"The assiduous judge who has invested time and effort in reading all of the documentary materials in advance of the hearing is entitled to form provisional views. Provided that such views are provisional only and the judge conscientiously maintains an open mind, no unfairness arises."
In Arab Monetary Fund v Hashim  6 Admin LR 348, Sir Thomas Bingham MR stated at page 356:
"But on the whole the English tradition sanctions and even encourages a measure of disclosure by the Judge of his current thinking …. A judge does not act amiss if, in relation to some feature of a party's case which strikes him as inherently improbable, he indicates the need for unusually compelling evidence to persuade him of the fact."
On the other hand, the English tradition –
"… certainly does not sanction the premature expression of factual conclusions or anything which may prematurely indicate a closed mind ….
An expression of scepticism is not suggestive of bias unless the judge conveys an unwillingness to be persuaded of a factual proposition whatever the evidence may be."
More recently, in Singh v SSHD  EWCA Civ 492 the Court of Appeal added, at :
"Indeed, such statements sometimes can positively assist the advocate or litigant in knowing where particular efforts may need to be pointed ….
In fact, sometimes robust expression may be positively necessary in order to displace a presumption or misapprehension, whether wilful or otherwise, on the part of an advocate or litigant on a point which has the potential to be highly material to the case."
39.18A In PA (protection claim: respondent's enquiries; bias) Bangladesh  UKUT 0337 (IAC), the Tribunal stressed that if a representative concludes during a hearing that a judge is behaving inappropriately, he has a duty to raise this with the judge. If this cannot be done during the hearing, you should make a contemporaneous record of what happened and it should be raised as soon as possible thereafter: see para 39.23A.
39.19 As an alternative to going part heard at the end of the court day, it may on occasion be suggested that submissions be completed in writing. This may also be proposed where an unforeseen issue has arisen upon which submissions and/or documentary evidence are required. (You can also suggest this course as an alternative to adjournment where a discrete piece of documentary evidence is not yet available – see para 8.42).
39.20 However, the Tribunal's administrative systems have often failed to transfer further submissions or evidence to the judge in time, and it has indicated that judges should accept post-hearing submissions or documents only in exceptional circumstances (Adjudicator Guidance Note No 4, which is one of the 'Guidance Notes for the former AIT that are now relevant to FTTIAC').
That note sets out the procedure to ensure that post-hearing material reaches the judge, namely that there should be a formal written direction which should include a requirement that submissions are marked urgent and for prompt transfer to the named judge. If your appeal was heard remotely, you might ask for the judge's – or his clerk's email address - so that you can email any additional materials directly to him, copying the HOPO. Alternatively, if you are using myHMCTS, you might be able to upload the materials directly.
39.20A In EG (post-hearing internet research) Nigeria  UKAIT 00015, the Tribunal said that it is general inappropriate for a judge to conduct any post-hearing research of his own. If he relied on any material identified in this way without affording the parties the opportunity to make submissions on it by reconvening the hearing, that would be unfair. This conclusion was repeated by the Tribunal in AM (Fair hearing) Sudan  UKUT 656 (IAC) where it said:
If a judge has concerns or reservations about the evidence adduced by either party which have not been ventilated by the parties or their representatives, these may require to be ventilated in fulfilment of the "audi alteram partem" duty, namely the obligation to ensure that each party has a reasonable opportunity to put its case fully. This duty may extend beyond the date of hearing, in certain contexts (para 7).
39.20B The Procedure Rules at 29(1) permit the First-tier Tribunal to give an oral decision at the hearing. In PAA (FtT: Oral decision – written reasons) Iraq  UKUT 00013 (IAC) the Upper Tribunal held that there is no power to revise or revoke the decision later. In respect of the requirement to give written reasons, the Tribunal confirmed that "it does not mean that reasons are required in order to perfect the decision." The Tribunal also found that in cases where the written decision is inconsistent with the oral decision:
both decisions, being decisions of the Tribunal, stand until set aside by a court of competent jurisdiction; but neither party is entitled to enforce either decision until the matter has been sorted out on appeal.
39.21 Few people can take a note of what they say as they speak. But you will need to know what your submissions were if you are called upon – maybe months down the line – to draft grounds or make submissions on appeal or respond to a Home Office appeal.
39.22 You need not note points contained in your skeleton. If you are dealing with arguments which you have prepared earlier, then you need only tick off each submission in your notes as you make it. Otherwise, unless you are accompanied by someone who has made a note of your submissions, you should make your own note after the hearing. It need not be verbatim. But the summary should enable you to identify whether the judge has misunderstood or failed to address any of your submissions. It is, of course, crucial that you have a legible and comprehensible note of the evidence that was given at the hearing. You should also note any other point which may be important later (e.g. if an objection was over-ruled, or any indication by the judge or the HOPO on which you relied). The Upper Tribunal has emphasised that allegations about the conduct of the hearing in the First-tier Tribunal must be supported by evidence, and that it will expect that evidence to include the contemporaneous notes of the advocate, to which it will attach more weight than evidence from others present at the hearing who did not make notes (Azia (proof of misconduct by judge)  UKUT 00096 (IAC); KD (Inattentive Judges) Afghanistan  UKUT 261 (IAC); BW (witness statements by advocates) Afghanistan  UKUT 00568 (IAC); Sivapatham (Appearance of Bias)  UKUT 00293 (IAC) and Ortega (remittal; bias; parental relationship)  UKUT 00298 (IAC)).
39.23 Once the judge has risen, ask your client and any other witnesses whether they have any comments about how the hearing went, and about the evidence they gave. It may transpire that there were misunderstandings or concerns about the interpreting which you had not picked up during the hearing. Ask about any evidence that appears to contradict the information the witness gave you in interview or conference. If it transpires that there was some very significant misunderstanding, it may be worth seeking to re-open the hearing rather than simply storing the information up for the Upper Tribunal.
39.23A If you have concerns about the judge's or interpreter's conduct at the hearing and have not raised it at the hearing itself (see 39.18A above), you should seek to raise this complaint in writing with the Tribunal immediately after the hearing and certainly before receipt of the written determination. In PA (protection claim: respondent's enquiries; bias) Bangladesh  UKUT 0337 (IAC), the Tribunal held that an appellate court or tribunal would be entitled to take into account the failure to raise a complaint at the hearing or at least before receipt of the judge's decision. The importance of raising with the Tribunal the inappropriate behaviour of an interpreter following the hearing was stressed in TS (interpreters) Eritrea  UKUT 00352 (IAC).
39.24 If important evidence comes to light, or if there is a substantial change of circumstances in the country of origin between the hearing and the promulgation of the determination, you should submit it. It will be open to the Tribunal to reopen proceedings if satisfied that it is in the interests of justice to do so (see e.g. Keskin v SSHD (15381)). It is also safest to submit any important new caselaw which emerges between the hearing and the determination (SSHD v Pinter  UKIAT 00164).
39.25 In E & R v SSHD  QB 1044  EWCA Civ 49, the Court of Appeal confirmed that 'the tribunal remained seized of the appeal, and therefore able to take account of new evidence, up until the time when the decision was formally notified to the parties' (para 92). That was the case even after the author of the determination had signed it.
39.26 The Court however rejected the Home Office's submission that the appellant's representatives should have kept the case under review following the hearing and submitted fresh evidence as soon as it became available. The Court said
...it ignores the practical realities. Assuming some legal assistance is available to the asylum seeker, it is likely to be concentrated at the critical points in the process: that is, for present purposes, the hearings before the adjudicator and IAT, and the consideration of possible appeal following receipt of their decisions. It seems unrealistic to expect continuous monitoring of potential new evidence in the intervening periods. Even if it were possible, it would be very difficult for the IAT (as their stated reasons made clear) to handle such new evidence administratively. The obvious point to review the matter, where necessary, is as part of any application for leave to appeal. (para 94)
39.27 Whilst the general rule of civil costs recovery, that the loser pays the winner's costs, does not apply to the Tribunal, it has the power to make a costs award in rule 9 of the 2014 Procedure Rules as follows:
Orders for payment of costs and interest on costs (or, in Scotland, expenses)
9.—(1) If the Tribunal allows an appeal, it may order a respondent to pay by way of costs to the appellant an amount no greater than—
(a) any fee paid under the Fees Order that has not been refunded; and
(b) any fee which the appellant is or may be liable to pay under that Order.
(2) The Tribunal may otherwise make an order in respect of costs only—
(a) under section 29(4) of the 2007 Act (wasted costs) and costs incurred in applying for such costs; or
(b) if a person has acted unreasonably in bringing, defending or conducting proceedings.
(3) The Tribunal may make an order under this rule on an application or on its own initiative.
(4) A person making an application for an order for costs—
(a) must, unless the application is made orally at a hearing, send or deliver an application to the Tribunal and to the person against whom the order is sought to be made; and
(b) may send or deliver together with the application a schedule of the costs claimed in sufficient detail to allow summary assessment of such costs by the Tribunal.
(5) An application for an order for costs may be made at any time during the proceedings but must be made within 28 days after the date on which the Tribunal sends—
(a) a notice of decision recording the decision which disposes of the proceedings; or
(b) notice that a withdrawal has taken effect under rule 17 (withdrawal).
(6) The Tribunal may not make an order for costs against a person (in this rule called the "paying person") without first giving that person an opportunity to make representations.
(7) The amount of costs to be paid under an order under this rule may be determined by—
(a) summary assessment by the Tribunal;
(b) agreement of a specified sum by the paying person and the person entitled to receive the costs (in this rule called the "receiving person");
(c) detailed assessment of the whole or a specified part of the costs (including the costs of the assessment) incurred by the receiving person, if not agreed.
39.28 For a discussion of fees awards, see chapter 4. Of the two costs powers in rule 9(2), given that the Tribunal has held that it is not empowered to make wasted costs against HOPOs (Awuah & Ors (Wasted Costs Orders – HOPOs – Tribunal Powers: Ghana)  UKFTT 00555 (IAC)), of most relevance is likely to be rule 9(2)(b): costs for unreasonable conduct. Following Awuah, the Tribunal published guidance on wasted and unreasonable costs: Presidential Guidance Note No 2 of 2018 which contains summaries of the key cases on the rule 9 costs powers.
'Unreasonable' also means what it has been understood to mean in this context for at least half a century. The expression aptly describes conduct which is vexatious, designed to harass the other side rather than advance the resolution of the case, and it makes no difference that the conduct is the product of excessive zeal and not improper motive. But conduct cannot be described as unreasonable simply because it leads in the event to an unsuccessful result or because other more cautious legal representatives would have acted differently. The acid test is whether the conduct permits of a reasonable explanation. If so, the course adopted may be regarded as optimistic and as reflecting on a practitioner's judgment, but it is not unreasonable." (Emphasis added)
39.30 The same 'basic test' is adopted under Rule 9(2)(b). The Tribunal has formulated the question as 'whether there is a reasonable explanation for the conduct under scrutiny': Cancino  UKFtT 00059. The conduct in question may relate to the Home Office's actions or inactions during any point of (or all) the appeal from its commencement to its final determination in the First-tier. Note, however, that 'unreasonable' does not mean 'wrong' and save in so far as a defence is objectively assessed to be obviously meritless, unreasonable conduct will be more likely to be found in the way in which an appeal is pursued: Presidential Guidance Note No 2 of 2018. In gauging whether you have a good claim for unreasonable costs, the factors you will want to consider might include:
• Whether the Home Office has ignored (in the original decision and/or any review) significant evidence you have submitted.
• Whether the decision (and any review) is wrong either as a matter of law, because, for example, it applies the wrong country guidance case or outdated case law, or is factually incorrect (eg it clearly misstates your client's evidence).
• Whether the HOPO acted unreasonably, for example by advancing submissions that are incorrect in law or fact, or by failing to concede a clear cut case.
• Failure to conduct a meaningful review of the appeal (if one is required by directions, as will be the case in appeals started on or after 22 June 2020).
• Other failures to comply with directions which, for example, have led to unreasonable last minute concessions or withdrawals, or adjournments which would not otherwise have been required.
39.31 Costs applications can be made at any time during the proceedings but must be made within 28 days after the Tribunal sends the notice of decision which disposes of the proceedings, or a notice that withdrawal has taken effect under rule 17: rule 9(5). The precise time at which you make your application will depend on the specifics of your case. If you seek to make submissions in writing (as will often be the case), it will often be appropriate to wait until you receive the Tribunal's determination before making the costs application. It may be that parts of your determination will assist your submissions on costs, for example, if the judge has criticised the Home Office's conduct or acknowledged the overwhelming merits of the appeal. Your detailed submissions on costs should be accompanied by a schedule of costs. You should file this at the hearing centre at which your case was heard and serve a copy on the POU.
39.32 On receipt of your application, the First-tier will issue directions, including a timeframe for the Home Office's response. If your case is not obvious, it may well be beneficial to request an oral hearing for the application, although note that the Home Office will routinely argue that your costs of attendance at any unreasonable costs hearing are not recoverable. The Home Office will routinely request a decision on the papers.
39.33 If you are successful on your costs application, reasonable costs are payable on the standard basis: Willow Court Management v Alexander  UKUT 290 (LC). An application may be made for costs on the indemnity basis where the conduct is 'unreasonable to a high degree': Presidential Guidance Note No 2 of 2018. In legally aided cases, costs of both solicitor and counsel can be recovered at inter-partes rates.