A Bishop’s Disciplinary Tribunal
A narrative of the law on this subject should be set in context. Very few clergy discipline cases get as far as a tribunal. According to the Church of England’s website there were only 5 tribunals each in 2021 and 2022, 2 in 2018, and just 1 each in 2014 and 2015.
There are unlikely to be significant factual disputes in most cases. Minor grievances, however genuine, are dismissed in short order. Criminal matters are turned over to the secular authorities. Most clergy who misconduct themselves will admit their error and accept the bishop’s correction. Conciliation is a favoured option. A bishop’s disciplinary tribunal is a last resort, when the case, though not criminal, is too serious or too difficult to be resolved by other means.
Even at tribunal, there may be no dispute about the facts, merely about the appropriate penalty. Sometimes accused clergy decline to appear, so the tribunal decides the case in their absence.
Disciplinary tribunals are currently regulated by the Clergy Discipline Measure 2003, and by Rules and a Code of Practice made under the authority thereof (s.45(1) and s.39).
It is likely that the 2003 Measure will be replaced in the next few years by a new Clergy Conduct Measure, which is currently being considered by the General Synod. However, at the time of writing, the proposed new regime will retain tribunals to decide cases of serious misconduct.
Bringing a Complaint to Tribunal
A tribunal hearing is in effect the 3rd investigation of a complaint of misconduct by a clergyman
(1) The diocesan registrar makes a ‘preliminary scrutiny’ of the original complaint, and reports thereon to the bishop (s.11)
(2) The Designated Officer (‘the DO’) makes, or organises, a formal investigation of the complaint, and makes a report to the President of Tribunals (s.17).
(3) If the President of Tribunals decides that the clergyman has a case to answer, she refers the case to a tribunal for adjudication (s.17).
The bishop takes the decision to refer the complaint for formal investigation ((2) above). This has the effect of removing the complaint from his jurisdiction, and from the diocese.
The DO and the President of Tribunals are national officials, whose offices were created by the 2003 Measure (s.43(1) and s.4). The DO works for the Legal Office in Westminster, and may be contacted there (rule 101). He is in effect the Church of England’s Public Prosecutor. The President’s function is judicial (or quasi-judicial). The current President of Tribunals is Dame Sarah Asplin, a justice of the Court of Appeal.
The President’s decision that there is a case to answer founds the tribunal’s jurisdiction. Moreover, the complaint to the tribunal is as formulated by the President. The President’s formulation may differ from the original complaint that was made to the bishop. She may refer some allegations to the tribunal while rejecting others: ‘The President’s … decision will specify which allegations … are to be dealt with at the disciplinary hearing’ (code, para 231).
If the President of Tribunals decides that there is no case to answer, that is the end of the matter (s.17(4)). No ecclesiastical authority is capable of overruling her decision. A disappointed complainant’s only recourse is to apply to the High Court for judicial review of the decision.
However, a decision that there is a case to answer does not bring the President’s jurisdiction over the complaint to an end. She can, in effect, change her mind later on, and direct that a complaint be withdrawn. She can also stay the tribunal proceedings in favour of conciliation (s.18).
This continuing jurisdiction is consistent with the President’s oversight of the entire regime of clergy discipline. It also makes sense that her jurisdiction should continue until the tribunal meets (which may be a long time after her decision that there is a case to answer), otherwise the complaint will be in limbo. However, the President can intervene even after the tribunal hearing is underway.
No Right of Silence
The complaint starts or ‘institutes’ disciplinary proceedings (s.10). However, the accused clergyman is not involved in the diocesan registrar’s investigation (investigation (1) above): ‘no formal response or detailed evidence is required from the Respondent at this preliminary stage’ (rule 10(1)(c)).
The purpose of the registrar’s investigation is to identify or clarify the complaint, i.e to establish what it is about, not whether it is true or false. In effect, the registrar must presume that the allegations are true (cf code, para 104).
The clergyman only becomes involved in the proceedings after the registrar’s investigation has been completed. If the complaint is not dismissed, the bishop must request the clergyman to submit a written Answer thereto. This document must state ‘which … matters are admitted and which are contested’, and must be ‘accompanied by any written evidence … upon which the [clergyman] wishes to rely’. It must include a statement of truth (rule 17).
The Answer is the accused clergyman’s notice of appearance in the disciplinary proceedings.
The requirement to submit an Answer indicates that an accused clergyman has no right of silence. He cannot reserve his position pending a tribunal hearing. The Clergy Discipline Rules impose a ‘Duty to Cooperate … All parties [including the accused clergyman] shall cooperate with any person, tribunal or court exercising any function under the Measure’. Failure to cooperate ‘may result in adverse inferences being made’, i.e that the clergyman has something to hide (rule 2).
This duty to cooperate indicates a difference between professional discipline (which the 2003 Measure sought to introduce for clergy) and criminal justice (on which the pre-2003 regime was based). It was observed in the (secular) case of Salsbury v Law Society (2009) 2 All England Reports 487 that ‘the fundamental object of disciplinary proceedings is to maintain the reputation of the profession as a whole’, not the reputation of the accused. The Court of the Arches made the same point in King (2009), a case which arose under the 2003 Measure.
The Court of Appeal observed in Kulkari v Milton Keynes NHS Trust (2010) Industrial Cases Reports 101 that ‘disciplinary proceedings … may well entail a mixture of adversarial and inquisitorial practice’ (p.115).
An accused clergyman is not required to file a specific statement in response to a formal investigation by the DO (investigation (2) above). However, he is required to ‘cooperate with the DO … in particular by responding in writing … to any questions asked by the DO for the purpose of clarification’ (rule 28(3)).
On the positive side, the clergyman may quite properly seek to influence the DO’s investigation in his favour, by requesting him to ‘consider particular lines of inquiry, including the obtaining of evidence’ (Code, para 223).
It may be necessary to obtain documents held by a third party. If the third party proves uncooperative, the President of Tribunals can issue a sub poena, to compel production of the documents, if they are ‘relevant and necessary for dealing fairly’ (rule 28A).
Legal Representation
The diocesan registrar may not give legal advice to the parties to a disciplinary case, because it may conflict with his duty to advise the bishop (code, para 105). However, an accused clergyman is expressly permitted to seek legal advice from the registrar of a different diocese (para 113). Indeed the clergyman may well end up being represented by a solicitor who is also a diocesan registrar. (Ecclesiastical law is a very small world!)
The formal Answer which the clergyman is required to submit must include his contact address (rule 17(2)(a)). If he wishes a solicitor to represent him, he can simply give the solicitor’s details as his contact address. The solicitor is thereby put on the record of the disciplinary proceedings. This follows the practice of the High Court.
Complainant and Respondent
The accused clergyman is the respondent to disciplinary proceedings. The identity of the complainant may require clarification. Although the 2003 Measure may suggest otherwise, the complainant will usually (though not always) be a Church official, and not the clergyman’s original accuser, i.e the person who came forward with the allegations in the first place.
The code of practice states that ‘where the archdeacon is satisfied that there is a case of misconduct, they should bring the case, and not leave it to the private individual concerned’ (para 52). The diocesan safeguarding adviser may bring an appropriate case (para 54). The accuser will be a witness, rather than complainant. The official complainant may resemble a ‘litigation friend’ to the accuser.
The 2003 Measure makes clear that the DO, or a person authorised by him, conducts the case for the complainant (s.18(1)). The complainant / accuser has no choice in the matter. This means that, while there is nothing to stop a complainant/accuser from consulting solicitors, they have no right to be separately represented in disciplinary proceedings.
Constituting the Tribunal: Independence and Impartiality
Having decided that there is a case to answer, the President of Tribunals must constitute a tribunal to adjudicate upon it. Every tribunal has 5 members (larger than most secular tribunals), consisting of a legally qualified chairman, and 2 clergy and 2 lay members (s.2 and s.22(1)).
The President may take the chair herself (s.22(1) – perhaps if the case is particularly important), but otherwise she appoints the 5 members from a provincial panel (1 each for Canterbury and York) of ‘persons available for appointment’ (s.21). All panel members must be communicant Anglicans (s.21(4)).
The clergy discipline regime seeks to ensure that the tribunal will be independent (another indication of the smallness of the ecclesiastical world). Panel members from the accused clergyman’s own diocese may not be appointed to his tribunal (s.21(1)). The President must be satisfied of the impartiality of tribunal members.
The accused clergyman cannot veto an appointment to a tribunal. However, he does have the right to know the identity of the proposed tribunal members in advance, and ‘to make representations as to [their] suitability’ (s.22(2) – a wider criterion than ‘impartiality’).
For their part, the appointed tribunal members must be given details of the parties and their witnesses, and invited to disclose any personal acquaintance (code, para 236). They are sternly instructed not to make ‘private enquiries’ about the case or discuss it with others (para 237).
The rules do not require tribunal members to take an oath concerning their responsibilities.
The description ‘bishop’s disciplinary tribunal’ is a complete misnomer. The tribunal is appointed by a national official on a provincial basis. The bishop has no say in the appointment of a tribunal, nor can he even refer a case to the tribunal.
Preparing for the Hearing
While the President appoints the tribunal members, the preparations for the hearing are primarily entrusted to the Registrar of Tribunals (s.5). Unlike the President and the DO, which are national offices, the Registrar of Tribunals is a provincial office (1 each for Canterbury and York). He (or she) will usually be a solicitor in private practice, who may be contacted at his firm’s address. He must not, of course, be confused with the diocesan registrar.
The Registrar of Tribunals is responsible for the ‘just disposal of the proceedings’ (rule 30). This means he must ensure that the parties’ evidence – witness statements and documents – is disclosed to each other, and to the tribunal, in good time. There must be no surprises at the hearing. Each party files a brief statement of case (practice direction 2021). The Registrar may refer matters of ‘difficulty or dispute’ to the tribunal chairman (rule 30(2)).
One document may not be disclosed in evidence (even to the tribunal). The DO’s report of his investigation (i.e investigation (2) above) is for the President’s eyes only (code, para 229). This suggests that, for the purpose of the investigation, the DO’s relationship to the President may be analogous to that of a solicitor and his client.
Sufficient time must be allowed for the hearing, and the Registrar may require time-estimates from the parties (rule 38), subject to the Chairman’s decision. The Registrar arranges the time and place of the hearing (a tribunal can meet anywhere), having ‘due regard’ to the convenience of those involved. The tribunal will require appropriate clerical support, especially as oral evidence to the tribunal must be recorded (rule 45).
The Hearing: Proof, Privacy, Publicity and Penalty
The tribunal starts off by settling a timetable or agenda for the hearing (rule 39). Subject to the tribunal’s time management, both sides may call their own witnesses, cross-examine each other’s, and make submissions (rule 44). Evidence is given on oath (or affirmation) (rule 45).
The tribunal may not wish to rely solely on witnesses and documents. The author recalls a pre-2003 case where the ecclesiastical court found it necessary to inspect the principal bedroom of a cathedral deanery, following an allegation that the Dean had committed adultery therein. (The Dean was acquitted.)
The DO is required to prove his case to the civil standard, i.e on a balance of probabilities (s.18(3)(a)).
An accused clergyman has the right to require the tribunal to hear his case in public. The wording of s.18(3)(c) of the 2003 Measure, ‘if … the respondent so requests’, makes this clear. A tribunal may also direct a public hearing of its own motion, ‘in the interests of justice’.
So hearings do not have to be held in private. But the normal rule is that they are. The clergyman and his accuser will therefore require the tribunal’s permission to be accompanied by a friend (cf rule 47).
However, while evidence and submissions are taken in private, ‘the determination of any matter before the tribunal … shall be pronounced in public together with its reasons therefor’ (s.18(3)(b)). (Before 2003, the ecclesiastical court, like a jury, merely announced its verdict – guilty or not guilty.) Disciplinary decisions taken by the bishop and by the President of Tribunals, though they must give reasons, and must be disclosed to the parties, do not have to be published.
‘Any matter’ means that all tribunal decisions must be given in public, not just the decision as to the clergyman’s guilt or innocence. The tribunal may anonymise parties and witnesses in appropriate cases, but this again requires a public reasoned decision (rule 49).
The tribunal’s decision is taken by majority vote. If a decision is not unanimous, the dissenting minority’s reasons must be published along with those of the majority (code, para 249).
Although the tribunal must hear and decide the case collectively, its decision (or decisions) may be announced by the chairman sitting alone (rule 50). This may be necessary in practice if the tribunal reserves a decision.
If the tribunal decides that the clergyman has misconducted himself, this will require a further decision on penalty. Consideration of penalty will almost certainly require an adjournment of the hearing. The clergyman and the DO are both entitled to make submissions on penalty (practice direction of 2008). The tribunal may (not must) invite written representations from the clergyman’s bishop, unless the bishop has already given evidence in the case (s.19(2)).
If the condemned clergyman is a cathedral dean or other dignitary appointed by the Crown, a penalty of removal from office must be confirmed by Order in Council (s.24(2)).
Leave to Appeal
The 2003 Measure originally gave an accused clergyman a right of appeal to the Provincial Court from any adverse finding or penalty (s.20(1)). He now requires permission, or ‘leave’, to appeal.
An application for leave to appeal can be made to the tribunal itself during the hearing, when the decision or penalty has been pronounced (Clergy Discipline Appeal Rules 2005, rule 4A). The tribunal has an apparently unfettered discretion to grant or refuse leave.
If the tribunal refuses leave, or is not asked for it, a written application must be made to the Provincial Court. That Court must be satisfied that the appeal would have a real prospect of success, or that there is some other ‘compelling reason’ to hear it (rule 4D(3)).
A penalty cannot be implemented while appeal proceedings are pending.
The DO may also seek leave to appeal, but only on a question of law (s.20(1)).
After the Hearing: Records and Registers
A copy of the tribunal’s decision (or decisions) must be sent inter alia to the diocesan and provincial registrars (rule 50(5)), implying that these officials should file it in their respective registries. However, there is no statutory register of tribunal decisions. A tribunal is not a Court of Record.
The rules are silent about the fate of the record of oral evidence. Is it destroyed when the case is concluded, in accordance with the general rule that a tribunal hearing is private? If not destroyed, where is it kept? Will its contents always remain private, or will posterity be able to read it one day?
However, there is detailed regulation of the notification and recording of penalties. The penalty must be notified to the bishop, who will be primarily responsible for enforcing it, and to the provincial registrar. (The offices of provincial registrar and Registrar of Tribunals may well be held by the same person.) It must be filed in both the diocesan and provincial registries (s.35(1), Ecclesiastical Jurisdiction Measure 1963, s.78).
The provincial registrar, who is the Archbishop’s legal adviser, should see to it that the condemned clergyman’s name is entered on the Archbishops’ List (s.38(1)), formerly known as the ‘caution list’. The List is not open to public inspection, but it is circulated to all diocesan bishops and registrars (rule 74), so that they are aware of which clergy are ‘under discipline’.
The tribunal can decide not to impose a penalty in a case of misconduct, on condition that the clergyman behaves himself in future (s.25). Such a decision will be entered on a separate record of conditional discharges kept by the provincial registrar, which is also circulated to bishops and registrars (rule 53(1)).
Paying for a tribunal
The tribunal chairman and the Registrar of Tribunals are entitled to fixed fees, paid by the Archbishops’ Council (Ecclesiastical Judges, Legal Officers and Others (Fees) Order 2023, para 10). The President of Tribunals seems to be unpaid, unless she officiates as tribunal chairman. The DO is a salaried official.
The Archbishops’ Council should also be responsible for the reasonable expenses of tribunal members, staff and witnesses (s.35(1), Ecclesiastical Jurisdiction Measure 1963, s.62(1)).
A respondent clergyman becomes eligible for assistance with legal expenses when a formal complaint is laid against him, i.e when disciplinary proceedings are instituted (code, para 299). His solicitor must apply to the Church of England’s Legal Aid Commission in Westminster (and do this before incurring any costs, because legal aid is not retrospective).
Legal aid is always discretionary. The Legal Aid Commission must consider ‘the financial resources of the [clergyman] (including the financial resources of [his] spouse or civil partner …’. Any legal aid granted will be subject to assessment of the solicitor’s bill. (Legal Aid Measure 1994.)
In practice, this is likely to mean that the entire cost of a tribunal is met by the Church Commissioners, since the Commissioners fund both the Archbishops’ Council and the Legal Aid Commission.