Upper Tribunal
Doorstep Dispensaree Ltd v Information Commissioner
[2023] UKUT 132 (AAC)
2022 July 13, 14;
2023 June 1
Upper Tribunal Judge Mitchell
TribunalFirst-tier TribunalPractice and procedureFirst-tier Tribunal dismissing data controller’s appeal against monetary penalty notice issued by commissionerWhether tribunal erring in approach to burden of proof on appealWhether tribunal paying undue deference to decision of commissionerWhether civil or criminal standard of proof to be applied to disputed matters of fact on appealData Protection Act 2018 (c 12), ss 155, 163

The data controller operated pharmacies supplying medicine to care homes. It engaged a waste disposal company, with which it shared the same sole director and shareholder, to collect and dispose unused medicine and pharmaceutical records from care homes. Following a search of the premises used by the waste disposal company, 47 unlocked crates, two disposal bags and a cardboard box containing pharmaceutical and related documents containing personal data and special category personal data of care home residents who were supplied with medicines by the data controller were seized from an outside yard. Subsequently, the Information Commissioner issued a monetary penalty notice pursuant to section 155(1) of the Data Protection Act 2018 against the controller in the sum of £275,000 for breaches of its duties as a data controller. The controller’s appeal against the penalty notice, brought pursuant to section 163 of the 2018 Act, was dismissed, save to the extent that the First-tier Tribunal reduced the amount of the penalty. On its further appeal, the controller contended that the tribunal had fallen into error in its approach to the appeal in determining that (i) the evidential burden shifted to the controller once evidence of the infringements had been introduced by the commissioner, (ii), in any event, the burden of proof was of secondary importance in the context of a full merits review of the commissioner’s decision, and (iii) the civil rather than criminal standard of proof was to be applied to determine disputed issues of fact on the appeal.

On the appeal—

Held, appeal dismissed. On an appeal against a monetary penalty notice brought pursuant to section 163 of the Data Protection Act 2018, the First-tier Tribunal was required to consider for itself whether the statutory conditions for imposing a monetary penalty notice were met, and if so, whether it was appropriate to impose a monetary penalty notice at all and, if so, in the amount set by the commissioner. Since the application of strict burdens of proof might prevent the tribunal from discharging its responsibility to decide the facts for itself and exercise any discretion afresh, in section 163 appeal proceedings the burden of proof fell properly to be described as of secondary importance. Even if the monetary penalty notice amounted to a criminal charge for the purposes of article 6 of the Convention for the Protection of Human Rights and Fundamental Freedoms, a formal evidential burden was not required to be placed on the commissioner. Furthermore, it was an integral aspect of the tribunal’s role that careful attention was paid to the decision of the commissioner and the reasons given for the decision, the fact that a tribunal paid careful attention to the reasons for a particular regulatory decision would not, without more, indicate that a tribunal had failed to make its own findings on disputed matters of fact or unthinkingly adopted the commissioner’s assessment of the merits. Moreover, in conducting the appeal, the tribunal was not required to resolve disputed matters of fact to the criminal standard of proof, since, in particular (i) although a monetary penalty notice might impose a significant financial penalty, that was not of itself sufficient to bring monetary penalty notice proceedings within the category of proceedings which, although formally classified as civil proceedings, were required to apply the criminal standard of proof to determine disputed matters of fact, (ii) the fact that the civil standard of proof was not expressed to apply in a particular regulatory context did not evince a Parliamentary understanding that, in the absence of such provision, the common law would default top an application of the criminal standard and (ii) even if monetary penalty notice proceedings amounted to the determination of a criminal charge for the purposes of article 6 of the Convention, the fair trial guarantees would not mandate the application of the criminal standard of proof. Accordingly, the First-tier Tribunal had not erred in its approach to the section 163 appeal (paras 158, 159, 162, 165, 168, 171, 176, 177, 180, 184).

In re B (Children) (Care Proceedings: Standard of Proof) [2008] UKHL 35; [2009] AC 11, HL(E) and R (Hope and Glory) Public House Ltd v City of Westminster Magistrates’ Court [2011] EWCA Civ 31; [2011] PTSR 868, CA considered.

Philip Coppel KC (instructed by Jung and Co Solicitors) for the data controller.

Peter Lockley (instructed by Legal Director, Information Commissioner’s Office) for the commissioner.

Jeen Ann Young, Barrister

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