Review - Archbold e
Transcription
Review - Archbold e
Issue 8 September 21, 2015 Issue 8 September 21, 2015 Archbold Review Cases in Brief Firearms—Possession of weapons prohibited by Firearms Act 1968, s.5(1)(af)—whether breach of Firearms Act 1968 s.5 or s.1 GOLDSBOROUGH [2015] EWCA Crim. 1278; July 21, 2015 G pleaded guilty to possessing a prohibited weapon contrary to Firearms Act 1968, s.5(1)(af), to wit an air gun using a self-contained gas cartridge system. It was uncontested that G had possessed the weapon before that provision was inserted into the 1968 Act by the Anti-Social Behaviour Act 2003, s.39(3). The judge had been wrong to rule that the effect of s.39(4) of the 2003 (if in previous possession, s.5 “shall not prevent” continued possession, that s.1 of the Act applied and that a firearms certificate could not be denied on a specified basis) was that, unless G held a firearms certificate, he was guilty of the s.5 offence. Whilst it was clear that the legislation required a person coming into possession of a prohibited weapon after April 30, 2004 to have not only authority from the Secretary of State but also a firearm certificate, the transitional arrangements set out in section 39(4) did not require this. The current dual requirement for an authority and a firearm certificate could be demonstrated by a consideration of the definition of a firearm in section 57(1)(a) of the Firearms Act, s.1(1)(a), and by inference from the exclusionary provision in s.1(3) (b). Moreover, the provisions of s.31(1) and (2) confirmed that position. Section 39(4) was a provision designed to cover a period of grace between January 20, 2004 and April 30, 2004 to enable owners in possession to regularise the position. Persons acquiring or purchasing such firearms were caught by the provision with effect from January 20 2004. Further, Anti-social Behaviour Act 2003 (Commencement No. 1 and Transitional Provisions) Order 2003 (SI No. 3300 of 2003), para the 5(2) was a transitional provision disapplying Firearms Act s.1 where a person possessing this sort of weapon had applied for a firearm certificate before April 30, 2004 and whose application was pending. It did not qualify or contradict the provisions of s.39(4). The mechanism adopted to deal with the position of those already in possession was to permit their continued possession (ss.(4)(a)); and to require a firearm certificate (ss.(4)(b)). There was © Thomson Reuters (Professional) UK Limited 2015 no requirement to obtain the Secretary of State’s authority, absence of which triggered s.5 liability. There was no warrant in the statutory language for the Crown’s submission that if a certificate was not applied for, all bets were off and the s.5 offence was made out. As a result, G was liable under s.1 for possession without a certificate, but not s. 5 (and the minimum five year term). Legal professional privilege—qualification or exception where necessary to prevent self-harm or harm to others BROWN [2015] EWCA Crim. 1328; July 29, 2015 B was tried for attempted murder of another patient at the secure mental hospital in which he was serving life sentences. At an early stage, he had confided to staff that he had thought of trying to kill his solicitor, and he had a long history of self-harm. The judge had been right to require him to be handcuffed to two nurses during meetings with his legal team at the Crown Court, rejecting B’s submission that such meetings should have taken place with B handcuffed in the secure dock with his lawyers outside. Where legal professional privilege existed, it was inviolate: see McE v Prison Service of Northern Ireland [2009] 1 AC 908, [6], Regina v Derby Magistrates’ Court, ex p. B. [1996] 1 AC 487, p. 507 D; Regina (Daly) v Secretary of State for the Home Department [2001] UKHL 26; [2001] 2 AC 532, [5] and Three Rivers District Council v Governor and Company of the Bank of England (No 6) [2005] 1 AC 610, [25]. The question was whether, in a particular situation, the privilege existed. It CONTENTS Cases in Brief.........................................................1 Sentencing..............................................................3 Case in Detail.........................................................4 Features..................................................................5 1 Archbold Review Issue 8 September 21, 2015 did not in the “fraud exception” or “iniquity exception”: R v Cox and Railton (1884) 14 QBD 153. In B’s case, the question was whether the court should prevent the protection of legal privilege being utilised to enable individuals to inflict violence on themselves or others. The trial judge had identified the real possibility that B might use a meeting with his legal adviser for this improper purpose or manner, such as to constitute an abuse of the privilege justifying interference. The usually inviolable or absolute nature of the rule was capable of qualification at common law outside the particular situation addressed in Cox and Railton. In B’s case, there was no suggestion of an intention to misuse the overheard privileged communications and the nurses deployed to prevent self-harm or harm to others were not to be equated with investigating police officers. They were not present to eavesdrop or secure a tactical advantage over B, nor as part of an unlawful surveillance exercise. In future cases they would need to be instructed in the clearest terms that they must treat anything they overheard in confidence, and that they should not disclose the contents of the discussion save in wholly exceptional circumstances (which may well be limited to where the communications were intended to further a criminal or other serious abuse of the privilege). The court was a public authority (Human Rights Act 1998 s.6 (3) (a)) and had a positive duty to protect human life where European Convention on Human Rights Art. 2 applied. Accordingly, an additional common law qualification or exception to the inviolable nature of the privilege allowed the imposition of a requirement that individuals could be present at discussions between a defendant and his or her lawyers if there was a real possibility that the meeting would be misused for a purpose, or in a manner, that involved impropriety amounting to an abuse of the privilege that justified interference. Such a restriction was a proportionate and appropriate response to the grave threats posed by B, and did not breach Art. 6 of the Convention. Obstructing a police officer in the execution of duty—direction to demonstrators to move—arrest of demonstrators for misconceived offence—whether officer acting in execution of duty MCCANN v CPS [2015] EWHC 2461 (Admin); August 21, 2015 A police officer was acting in the execution of her duty when she directed demonstrators blocking a road to prevent lorries from passing to move, and, when they did not, to arrest them for an offence of obstruction the highway (Highways Act 1980 s.137), although the road in question was a private road (and public footpath). They were subsequently also arrested for, and convicted of, obstructing a police officer in the execution of her duty (Police Act 1996 s.89(2)). The District Judge had been right to concentrate on the position of the officer concerned, and not the reasonableness or otherwise of the beliefs of others who had briefed her as to the status of the road (O’Hara v Chief Constable of R.U.C. [1997] 2 WLR 1; Clarke v Chief Constable of North Wales Police [2000] All ER (D) 477; Alford v Chief Constable of Cambridgeshire [2009] EWCA Civ 100; R (Rawlinson and Hunter Trustees) v Central Criminal Court [2013] 1 WLR 1634). The District Judge’s conclusion that the officer had genuinely and reasonably relied on the information provided to her, and that the assertions by M and others that the road was a private one did not negative the reasonableness of that reliance, was one open to him. Counsel for the 2 Crown had been right to accept that the account of the common law duty of officers in Rice v Connolly [1966] 3 WLR 17, 21A-C should nowadays be qualified, so that it related to the taking of all steps which reasonably appeared to the officer necessary for the prevention of crime. The District Judge’s findings were sufficient to satisfy the element of objectivity that qualification imported. In order for the offence to be committed the officer must be engaging (in good faith) in a course of conduct designed to further a proper policing purpose as described in Rice v Connolly and the conduct must be lawful (B v DPP [2008] EWCH 1655 (Admin)). Where it involved the use of force either for the prevention of crime or the making of an arrest (Criminal Law Act 1967, s.4) or in exercise of a power under the Police and Criminal Evidence Act 1984 (s.117), that would only be lawful if it were reasonable. If, in the execution of her duty, the officer used force, or exercised a specific statutory power, she must be acting lawfully. If she was not (as here, by directing M to move), her conduct must be rational in the Wednesbury sense. This level of scrutiny did not mean that every error or unlawful act by a police officer would confer immunity on those who were obstructive (see Metcalf v Crown Prosecution Service [2015] EWHC 1091 (Admin)). The direction could not in the circumstances amount to anything which was prima facie unlawful or an unlawful interference with M’s liberty or property (R v Waterfield and Lynn [1963] 48 Cr.App.R.42,47). It was lawful to make the direction. Doing so involved a threat that an arrest would follow if M did not comply. Whether the threat was reasonable depended on whether an arrest would be lawful. It was not necessary for the officer to have had the correct offence in mind at the time the direction was given. It was sufficient for her to have taken steps which reasonably appeared to her to be necessary for preventing crime. The fact that the officer in fact had an offence of which M was not guilty in mind did not prevent her from taking steps which in the circumstances, as she believed them to be, reasonably appeared to her to be necessary for preventing crime: the observation in Christie v Leachinsky [1947] AC 573, 587 that it was not an essential condition of a lawful arrest that the constable should formulate a charge at all was consistent with what Lord Bingham had said about there being no need for a constable to have in mind a specific statutory provision in Chapman v DPP [1989] 89 Cr.App.R.190,197, and while those authorities related to the formalities of arrest, similar principles applied to the directions of an officer immediately preceding arrest. Trial—second retrials— criteria— application BURTON [2015] EWCA Crim. 1307; July 23, 2015 In considering whether a judge should allow a second retrial, the authorities (Bell [2010] 1 Cr.App.R,27; Ali [2011] 2 Cr.App.R.22; and Bowe [2001] UKPC 19) indicated that whilst the circumstances identified at [46] of Bell (the alleged offence was of “extreme gravity” and the prosecution evidence “very powerful”) would usually be a sufficient test of where the interests of justice lay in most cases, a wider consideration of such interests stretching beyond those factors may be required. In all cases there must be an informed, dispassionate and searching examination of why a third trial was justified, when there were no irregularities in the first two. The CPS Guidance to Prosecutors correctly identified the starting point for the prosecution’s © Thomson Reuters (Professional) UK Limited 2015 Archbold Review Issue 8 September 21, 2015 decision-making as a presumption against second retrials unless there were exceptional circumstances, such as jury interference or new evidence. The judge’s ruling in B’s case fell short of the necessary careful consideration, watering down “extreme gravity” to “an extremely serious case” and then “in no way a minor matter.” Whilst not decisive, it was noteworthy that all the other cases involved homicide. While there was a public interest in trying those conspiring to import class A drugs (the charge against B), it was a material consideration that no importation took place. The judge also failed to address whether the evidence was “very powerful”. A judge faced with this issue should examine why the Crown wished to proceed for a third time, including the Crown’s decision-making. The failure to do so here had the consequence that the judge was simply faced with the information that a senior lawyer in the CPS had approved a further trial without explanation as to why it was contended that the case was exceptional. It also appeared that the judge, considering the issue as a species of abuse of process, emphasised that a stay should be exceptional, thus putting the burden of showing exceptionality on the defence, not the prosecution. Given this error, the Court of Appeal considered the question afresh. The number of cases in which a third trial would be permitted should be strictly limited in order to maintain public confidence in the criminal justice system and provide finality for a defendant. The Court must proceed with extreme caution. If a crime was truly one of extreme gravity and the evidence was cogent then it may be an affront to justice and likely to undermine public confidence not to pursue a prosecution. The Court noted that Lord Bingham in Bowe spoke of deterring violent crime, but it may be that other types of crime could satisfy the test. In B’s case, the Crown was incapable of demonstrating that it was sufficiently exceptional to justify a second retrial, and the conviction was unsafe on that ground alone (the Court went on to find various elements of the summing-up unsatisfactory, so as to independently justify allowing the appeal). Sentencing Racial aggravation O’LEARY [2015] EWCA Crim 1306 The appellant was tried and acquitted on one count of attempted murder and two counts of wounding with intent. He had pleaded guilty to one alternative count of assault with intent to rob and two alternative counts of unlawful wounding. For these he was sentenced to eight years’ imprisonment, comprising five years for the first count, plus concurrent periods of three years for the second and third counts, to run consecutively to the first. The background was two knife attacks, in quick succession, on two Asians, both working in convenience stores. When brandishing the knife at the second victim he had said he wanted to kill a Muslim. After a struggle, the victim sustained a deep wound to his hand. Both incidents were captured on CCTV. In sentencing the appellant, the judge determined that aggravating features of the last offence included the racial nature of the threat to the victim. The judge assessed the pre-plea starting points for each offence and deducted 25 per cent for plea; a reduced discount because of the overwhelming nature of the prosecution evidence. The appellant submitted that the judge should have provided a 33 per cent discount for the guilty pleas and took too high a starting point as regards the unlawful wounding offence. He further submitted that as he had not been convicted of an offence of racially aggravated unlawful wounding, the judge could not treat racial motivation as an aggravating factor. The appellant further submitted the overall sentence was manifestly excessive. Dismissing the appeal, the Court stated that given that the prosecution case was overwhelming, there could be no criticism of the credit given for the appellant’s guilty pleas. The pre-plea starting point selected in respect of the unlawful wounding offence was also appropriate. As regards the racial aggravation, after considering a number of authorities submitted by the appellant, the Court concluded that it was significant that the appellant was not acquitted of a racially aggravated offence, nor had the indictment been amended to delete a count charging such an offence. Moreover, the appellant was sentenced following a trial which allowed him to challenge the alleged racial aggravation and the judge to make a finding about it. There was clear evidence that the assault was racially aggravated. In these circumstances the judge was entitled to treat this as an aggravating factor. This was an extremely serious series of offences, and the sentence was not manifestly excessive. In the News As predicted (see Comment, Issue 4, page 3), the new court charge is proving hugely unpopular. In the media there are recurrent reports of magistrates who disapprove of it © Thomson Reuters (Professional) UK Limited 2015 resigning in protest, or threatening to do so. Readers who share the editor’s view that action is required, and urgently, are invited to contact him direct by email: [email protected] 3 Archbold Review Issue 8 September 21, 2015 Case in Detail “Many Rivers to Cross” — Sentencing for environmental crimes By Gerard Forlin, QC1 The recent case of R v Thames Water Utilities Ltd2 appears to have “upped the ante” in relation to sentences imposed on large organisations for environmental offences. A collective judgment from a Court of Appeal comprising the Lord Chief Justice, Mitting and Lewis JJ makes it clear that fines for serious offences by large organisations should rise. This case was the first major appeal since the sentencing Council’s definitive guidelines relating to environmental offences came into effect in 2014 and it arose from a six-day discharge of untreated sewage into a river in an area of natural outstanding beauty in the North Wessex downs. The appellant had indicated a guilty plea to the one count under the Environmental Permitting (England and Wales) Regulations 2010 at the first hearing in the Magistrates’ Court and the Crown Court had imposed a fine of £250,000 on the basis that the discharge was the result of negligence. At the appeal there was an application to introduce fresh evidence to challenge the finding of negligence, but that was refused by the court. The Appeal Court set out the framework for Sentencing in cases of this sort, reiterating many of the principles already laid down in the Sellafield case last year.3 From this restatement, and its application to the present facts, two factors emerge as particularly significant: the size of the organisation, and the degree of fault involved. As to the first of these, a sentencing court, the Court of Appeal said, is not bound by, or even bound to start with, the ranges of fines suggested by the Sentencing Council when the defendant it is dealing with is large—or very large, a fortiori. As to the second, it said that in the case of repeated operational failures, suggestive of a lack of appropriate management attention to environmental obligations: “a substantial increase in the level of fines, sufficient to have a material impact on the finances of the company as a whole, will ordinarily be appropriate. This may therefore result in fines measured in millions of pounds.” In the “worst cases”, where great harm has been caused by “deliberate action or inaction”, it said that the sentencing court should “focus on the whole financial circumstances of the company”. “In such a case, the objectives of punishment, deterrence and the removal of gain (for example by the decision of the management not to expend sufficient resources in modernisation and improvement) must be achieved by the level of penalty imposed. This may well result in a fine equal to a substantial percentage, up to 100 per cent, of the company’s pre-tax net profit for the year in question (or an average if there is more than one year involved), even if this results in fines in excess of £100 million. Fines of such magnitude are imposed in the financial services market for breach of regulations. In a Category 1 harm case, the imposition of such a fine is a necessary and proper consequence of the importance to be attached to environmental protection.” Fines, it said, “must be large enough to bring the appropri1 Cornerstone Barristers, 2-3 Gray’s Inn Square. 2 [2015] EWCA Crim 960. The Times Law Report, August 21 2015, p53. 3 Sellafield Ltd [2014] EWCA Crim 49. 4 ate message home to the directors and shareholders and to punish them”, and in the case of repeat offenders, they “should be far higher and should rise to the level necessary to ensure that the directors and shareholders of the organisation take effective measures properly to reform themselves and ensure that they fulfil their environmental obligations.” Dismissing the appeal against sentence in the present case, the Court added that it “would have had no hesitation in upholding a very substantially higher fine.” Finally the Court said: “Sentencing very large organisations involves complex issues as is clear from this judgment. It is for that reason that special provision is made for such cases in Crim PD XIII, listing and classification. Such cases are categorised as class 2 C cases and must therefore be tried either by a High Court Judge or by another judge only where either the Presiding Judge has released the case or the Resident Judge has allocated the case to that judge. It is essential that the terms of this Practice Direction are strictly observed.” To these salutary words, it must further be recalled that Section 85 of the Legal Aid, Sentencing and Punishment of Offenders Act 2012 came into effect on March 12th 2015. This grants Magistrates’ courts unlimited powers of fining for a wide range of offences triable either way. Annex 3 of CPD XIII, relating to very large fines in the Magistrates’ courts, signposts the proper approach. This states that an authorised District Judge must deal with any allocation decision, trial, and sentencing hearing in proceedings for either-way offences in which any of a list of factors are present. These include (inter alia): • death or significant life-changing injury, or a high risk of either; • substantial environmental damage or polluting material of a dangerous nature; • major adverse effect on human health or quality of life, animal health or flora; • where the defendant corporation has a turnover in excess of £250 million; • where the court will be expected to analyse complex company accounts; • high profile cases or ones of an exceptionally sensitive nature. Although many of cases of this type are likely to be transferred to the Crown Court, some will be more borderline. Organisations and their legal advisors will face tough tactical decisions as to timing of pleas, submissions on criminality and Newton hearings. (The waiting list in certain Crown Courts is currently very long.) For corporate defendants it looks as if the climate has significantly changed and they now face blizzard-like conditions when prosecuted for regulatory offences. The days of relatively small fines now seem to be a thing of the past!4 4 It should also be remembered that the sentencing guidelines in relation to corporate manslaughter, health and safety, food safety and hygiene offences are expected to be published in November 2015 and come into effect in January 2016. (See Archbold Review, Issue 1 February 9th 2015). © Thomson Reuters (Professional) UK Limited 2015 Archbold Review Issue 8 September 21, 2015 Features The arrival of EU law in criminal proceedings Jodie Blackstock1 & Alex Tinsley2 After much consideration, the UK finally decided to continue participating in EU policing and prosecution procedures in December 2014. The measures we will cooperate with include the familiar European Arrest Warrant (EAW) — but also the novel European Supervision Order (ESO), discussed here. The key message is that ESOs are relevant not just to extradition, but also to domestic cases involving someone normally resident abroad. They are binding on the UK, but needed domestic legislation to incorporate them into the law. Practitioners faced with the operation of these instruments are therefore likely to encounter uncertainty over the interpretation of the UK implementing measures, in addition to their EU parent legislation. The assistance of the Court of Justice of the EU (CJEU) can now be sought to resolve these issues. Cue: interesting litigation opportunities at home and abroad. Potted political history to the opt-out/opt-back-in Between 1995 and 2009, the EU Member States agreed 135 measures relating to police and judicial cooperation in criminal matters. These included agreements to criminalise cross-border offences, the creation of the EU police and judicial cooperation agencies Europol and Eurojust, and 34 Framework Decisions establishing systems for, amongst others, the exchange of criminal records information, confiscation and freezing of assets and most (in)famously, the EAW. These measures were all agreed unanimously by the Member States without the approval of the EU Parliament and had limited application: the CJEU only had jurisdiction if Member States chose to accept it, which the UK never did. In addition, the European Commission’s enforcement powers available for ordinary European Community law were not applicable. In short, neither the CJEU nor the Commission had any say in how the measures operated in the UK. Indeed, though no one noticed until 2012, it was not the European Communities Act 1972 which made them legally effective.3 However, the Treaty of Lisbon, which entered into force in 2009, changed this by incorporating the pre-2009 “thirdpillar” measures into the main body of EU law, after a transitional period ending December 1 2014, from which date the ordinary powers of the CJEU and Commission apply. Concerned, the UK negotiated Protocol 36 to the Treaty on the Functioning of the EU, enabling it to “opt out” of all of these measures, and elect to “opt back in” to specific ones. To opt back in meant to accept both the obligations in the instruments and the oversight of the Commission and CJEU. Consequently, last winter we opted out en bloc of all measures, and immediately opted back in to 35 which the Government considered to be in the national interest. Among 1 Director of Criminal Justice at JUSTICE. 2 Legal & Policy Officer (Head of EU Office), Fair Trials. 3See Assange v The Swedish Prosecution Authority, [2012] 2 AC 471 (UKSC) at [210]. © Thomson Reuters (Professional) UK Limited 2015 these was the EAW, already implemented by Part 1 of the Extradition Act 2003 (the 2003 Act). Another 11 instruments were implemented by the Criminal Justice and Data Protection (Protocol No. 36) Regulations 2014 (the “Regulations”). These give effect to a range of measures including the exchange of criminal records information, intelligence, the recognition of financial penalties, and the measure discussed here: the ESO. The European Supervision Order The ESO establishes a system whereby supervision measures imposed as an alternative to remand in custody — i.e., bail conditions — in Member State A may be forwarded to Member State B to be enforced there on the basis of mutual recognition between judicial authorities (that is, as in the EAW, without enquiry into the basis of the charges against the person and with limited grounds for refusal).4 The instrument potentially enables a defendant who is lawfully and ordinarily resident in Member State B to remain there pending trial in Member State A, so retaining their employment, housing and family life. It recognises that free movement in the EU results in people crossing borders temporarily for work, holiday, or perhaps solely to commit crime. It relieves the burden of resourcing potentially lengthy pre-trial detention in Member State A, which is a likely consequence of prosecution given the flight risk that such a person will be deemed to pose.5 It is the reverse of the EAW, which requests that a person return from one state to another to stand trial. By contrast the ESO sends them back to their state pending trial. Part 7 of the 2014 Regulations gives effect to the ESO Framework Decision. Regulation 77(1) enables any UK court which makes “a decision on supervision measures” to request a competent authority in another Member State to monitor the supervision measures in question. Regulation 85 makes provision for Magistrates’ courts in England and Wales to give effect to decisions issued by competent authorities of other Member States. Given common holidaying patterns, it is worth noting that the Framework Decision has been implemented in Spain6 and will be shortly in France7 so that transfer of bail between the UK and these countries can be envisaged. Recourse to the ESO presupposes a willingness to trust another state’s supervision systems during the pre-trial stage. Given that some criticism of the EAW relates to its disproportionate application when a summons for voluntary attendance would suffice,8 it is not clear that the ESO will be 4 Council Framework Decision 2009/829/JHA in the application, between Member States of the European Union, of the principle of mutual recognition to decisions on supervision measures as an alternative to provisional detention, O.J. L. 294/20 (11.11.2009) (the “Framework Decision”). 5 Indeed, article 2 of the Framework Decision identifies promotion of non-custodial measures as an objective of the measure. 6 Law 23/2014, entered into force December 2014 (see Articles 121-129). 7 A draft law was reviewed by the Constitutional Council in a decision of August 13. 8 See J. Blackstock, European arrest warrants: ensuring an effective defence (JUSTICE, 2012). 5 Archbold Review Issue 8 September 21, 2015 enthusiastically relied upon. However, the two systems may complement each other; even if an EAW is initially thought necessary in Member State A to commence proceedings, an ESO could be used to enable the person to return home to Member State B pending trial. Then, when Member State A is ready for trial, if the person does not return voluntarily, the Framework Decision envisages9 that an EAW should be used to secure their return. Schedule 6 to the Regulations sets out the grounds of refusal should a request be made to the UK to impose supervision measures upon a person. As well as the familiar grounds set out as bars to extradition in the 2003 Act, the ESO is premised upon the consent of the suspected person. This may suggest that there is less room for litigation where the ESO is envisaged. However, the process may give rise to some interesting challenges, especially since clients in domestic cases may wish to make use of the ESO to avoid a period of detention. For example, under regulation 77(5), a UK “court” makes a “decision on supervision measures” when it “grants bail… to a person charged with an offence.” On a literal reading, that clearly excludes pre-charge bail granted by the police under s.37 of PACE. Yet a “decision on supervision measures” is defined much more broadly in the Framework Decision as one taken “in the course of criminal proceedings”, which arguably include pre-charge procedures, and by a “competent authority”, not just a judge.10 That would favour a broader interpretation of the Regulations so as to include police bail (much as the term “judicial authority” in the 2003 Act was interpreted to include a prosecutor11). Given that lengthy periods of pre-charge bail are known to be imposed by British police,12 a wider interpretation in the 9 Recitals 12 and 13 and Article 21 of the Framework Decision. 10See article 4 on definitions and further article 6, which enables the designation of nonjudicial authorities, provided they have competence for taking similar decisions under national law. 11 Assange v Swedish Prosecution Authority, ibid. 12See https://www.gov.uk/government/consultations/pre-charge-bail-consultation-on-statutorytime-limits-and-related-changes. Changes are anticipated in the next Criminal Justice Bill due in the late autumn. UK could enable people subject to that measure to return home under an ESO. CJEU jurisdiction The issues discussed above raise potential questions of interpretation that may now be referred from the UK courts to the CJEU for a preliminary ruling in accordance with Art. 267 TFEU. Part 75 of the Criminal Procedure Rules now explicitly provides for this possibility, reflecting guidance issued by the CJEU. On such a request, the Court reviews the intention of EU directives and whether the domestic law gives proper effect to them. It is of particular note for criminal practitioners that the CJEU has an urgent (so called “PPU”) procedure, which may be applied when a person is in custody and the CJEU ruling may lead to their release. This could change the look of litigation, as already seen in Ireland. In 2006, the Irish Supreme Court decided that provisions on expiry of time limits relating to the EAW did not automatically entail the release of a person in custody.13 In May, however, the High Court revisited the issue and referred the question to the CJEU, requesting the PPU procedure since the person was detained. The CJEU responded in barely eight weeks, agreeing with the Supreme Court’s interpretation but adding that the individual could invoke the EU Charter of Fundamental Rights to challenge his continued detention.14 EU law has well and truly arrived in criminal proceedings, bringing a new European court and procedural rights mechanisms applicable in domestic criminal proceedings. In a follow up article we will introduce the measures that can be invoked in all domestic cases, not just those with a cross border element. 13 Dundon v The Governor of Cloverhill Prison [2005] IESC 83. 14 Case C-237/15 PPU Minister for Justice and Equality v Lanigan (unreported, July 16 2015). Article 6 CFR is the equivalent to Article 5 ECHR on the right to liberty. Articles 52 and 53 CFR require the Charter to be interpreted in conformity with the Convention. In Defence of Pace and Rogers Damien Bruneau and Aaron Taylor1 The Court of Appeal’s decision in Pace and Rogers2 has been subjected to a torrent of academic criticism. The basis for much of this criticism is the view that Pace decides that a defendant must intend every element of the actus reus of an offence (i.e. conduct, circumstance, and consequence) in order to be liable under the Criminal Attempts Act 1981, s.1. So understood, the court’s decision is attacked for being inconsistent both with authority and principle. This note suggests that such criticism rests on a misreading of Pace. Properly understood, the case decides that the mens rea for an attempt is intention as to all elements of the actus reus of the substantive offence unless s.1(3) applies. 1 Damien Bruneau is a student at Downing College, Cambridge. Aaron Taylor is a student at St Edmunds College, Cambridge. The authors are grateful to Professor Graham Virgo, Emmeline Plews, and Christopher Sargeant for helpful discussions on this topic. The usual disclaimer applies. 2 [2014] EWCA Crim 186; [2014] 1 W.L.R. 2867. 6 Under s.1(3), intention is presumed if it would have been found under “the [circumstantial] facts as [D] believed them to be.” Therefore, under Pace, belief is a sufficient mens rea for the circumstance element of the substantive offence. When this is appreciated, the court’s decision, though less than satisfactory in dealing with the contradictory appellate authorities, is highly satisfactory both as a reading of the 1981 Act and as a matter of policy. Background The facts of Pace are simple. The defendants, who worked at a scrap metal yard, were charged with attempting to convert criminal property, contrary to s.327(1) of the Proceeds of Crime Act 2002 (under part of the Act entitled “Money Laundering”), after purchasing scrap metal from an undercover police officer. The substantive offence was “impossi- © Thomson Reuters (Professional) UK Limited 2015 Archbold Review Issue 8 September 21, 2015 ble,” since the scrap metal was not in fact criminal property, but instead owned by the police. The prosecution nonetheless argued that the defendants had suspected that it was stolen, and on that basis the defendants were convicted of the inchoate offence. The conviction was overturned by the Court of Appeal (in a judgment given by Davis LJ, with Blake and Lewis JJ agreeing) on the grounds that suspicion as to a circumstance (that the property was stolen), though sufficient mens rea for the substantive offence, was insufficient for an attempt under the 1981 Act. The crux of the court’s reasoning is contained in three short paragraphs. At [61], it said that “belief” under s.1(3) of the 1981 Act can be disregarded because the case had been put to the jury on the basis that suspicion was enough. At [62], the court sets out the mens rea required under s.1(1) of the Act. At [63], these conclusions are applied to the facts. The wave of academic criticism of the decision has focused on the second of these paragraphs, whilst ignoring the first. For that reason, much has been made of the court’s sensible and straightforward reading of s.1(1) at [62]: “Turning, then, to section 1(1) we consider that, as a matter of ordinary language and in accordance with principle, an “intent to commit an offence” connotes an intent to commit all the elements of the offence”– that is, conduct, circumstance, and consequence elements. Academic criticism of Pace and Rogers Commentators have seen the statement at [62] as determinative and exhaustive of the mens rea for attempt. This can be seen in the following passages: (1) Stark: “The Court of Appeal held… that the mens rea required for this attempt was (i) an intention to conceal the metal and (ii) an intention that the metal was stolen.”3 (2) Virgo: “The Court of Appeal in Pace and Rogers has destabilised the offence by holding that the only relevant mental element is intention”.4 (3) Child and Hunt: “Since Pace and Rogers acted without intention or knowledge as to every element of the offence, their appeal against conviction… was allowed.”5 (4) Simester: “Does [s.1 of the 1981 Act] really mean that they must intend every element of that offence…? With respect to the court in Pace and Rogers, the answer to that question is no.”6 (5) Dyson: “[Pace] appears to interpret s.1(1) as requiring the defendant…to have intended every actus reus element.”7 (6) Mirfield: “It is worth emphasising what this entails. Every single factual element of the crime allegedly attempted must have been intended… [for] criminal liability.”8 Having understood Pace in this way, most commentators are rightly critical of its apparent conclusions. On the facts, 3 4 5 6 7 8 (2014) 3 Arch. Rev. 7, 7. [2014] 73(2) CLJ 244, 244. (2013) 78(3) J. Crim. L 220, 220. (2015) 131 LQR 169, 170-1. (2014) 6 Crim L.R. 445, 445. (2015) 2 Crim. L. R. 142, 145. © Thomson Reuters (Professional) UK Limited 2015 the prosecution would face the insuperable hurdle of proving that the defendants intended that the goods be stolen. As they rightly point out, a dodgy metal dealer looking for a profit will be satisfied—indeed probably pleased—to learn that the metal is not in fact stolen property; it is precisely his or her prior belief that they were so that is punishable. The commentators are united in setting out one particular lacuna that results from Pace as they understand it—that liability for attempted rape would require that the defendant actively intended that the victim not consent to penetration. This conclusion would reverse the decision of the Court of Appeal in Khan,9 in which the defendants were held liable for attempted rape where they were merely reckless as to the victim’s consent—recklessness being the relevant mens rea for the substantive offence at that time. Various alternatives are proposed. Virgo argues for the approach taken in Khan, under which intention is required as to conduct and circumstance, but the mens rea for circumstance elements is as for the substantive offence. This interpretation has the virtue of finding liability on the facts of Khan, but is without basis either in the 1981 Act or in principle. Further, it presents a very broad view of the mens rea requirement for attempts. On the basis of the wide interpretation given to “more than merely preparatory act” Within s.1(1) (see Jones (Kenneth)10 and Dagnall),11 the mens rea elements of criminal attempts do significant work in preventing over-criminalisation, and ought not to be narrowed without statutory authority. Dyson agrees with Virgo, suggesting as alternatives a minimum mens rea for attempts, or separate attempt offences where “intention” would be an unsatisfactory requirement. Mirfield and Child and Hunt, by contrast, favour the “intention as to all elements” approach which they consider to be the ratio in Pace, accepting the lacuna that approach would create, and instead arguing that an intention requirement effectively “isolates the wrong” in criminal attempts. Simester, however, argues convincingly that the appropriate mens rea requirement regarding circumstances is belief, under s.1(3)—that is, precisely the result that we suggest follows from Pace. Simester puts most strongly the shortcomings of the Khan approach: Certainly, there is a superficial attraction in the thought that, if D acts with the mens rea of a substantive offence but, luckily, does not complete the actus reus, D is just as culpable as someone who commits the full offence. Perhaps that is true. However, it does not follow that D’s conduct should be criminalised. It should be remembered that mere risk-takers do not actually cause harm.12 Stark agrees, though only for “impossible” attempts, a distinction upon which he relies heavily, ignoring the phrase “in all cases” in s.1(3). The ratio of Pace and Rogers The received wisdom on Pace is based upon a misreading of the judgment: the commentators address the statement regarding s.1(1) at [62] whilst ignoring its crucial preface at [61]. At [61] Davis LJ explicitly disclaims the relevance of s.1(3) of the 1981 Act: 9 [1990] 1 W.L.R. 813. 10 [1990] 1 W.L.R. 1057. 11 [2003] EWCA Crim 2441; [2003] 147 S.J.L.B. 995. 12 Above n 6. 7 Archbold Review Issue 8 September 21, 2015 Mr Farrell did at one stage of his argument, if we understood it aright, suggest that section 1(3) of the 1981 Act of itself provided a complete answer in favour of the Crown. But that cannot be right. That subsection only applies where “the facts of the case” had been as the accused had believed them to be. But in the present proceedings the Crown’s case had been put not on the basis of belief but on the basis of suspicion. Accordingly, one has to revert to section 1(1). This passage concerning s.1(3) is crucial, since Davis LJ appears to consider belief to be relevant to that subsection. Because the Crown pleaded suspicion and not belief, that provision was inoperative. This, indeed, is the interpretation of Pace offered by the headnote writer in the Weekly Law Reports. The ratio of Pace therefore turns on the meaning of s.1(3) of the 1981 Act, which has been the source of much confusion—Davis LJ not being the first judge to describe it as “winning no prize for lucidity.” That section provides that: In any case where— (a)apart from this subsection a person’s intention would not be regarded as having amounted to an intent to commit an offence; but (b)if the facts of the case had been as he believed them to be, his intention would be so regarded, then, for the purposes of subsection (1) above, he shall be regarded as having had an intent to commit that offence. The most logical and straightforward reading of s.1(3), surely, is that s.1(3) tempers the effect of s.1(1). Whilst s.1(1) requires intention as to all elements of the offence, s.1(3) allows for belief regarding the circumstance element. This is the interpretation that we suggest was adopted in Pace. Three aspects of this interpretation require elucidation. First, it begins “in any case.” Though Khan was distinguished in Pace on the grounds that the latter involved an “impossible” attempt, s.1(3) surely applies both to “possible” and “impossible” attempts. Secondly, a defendant cannot be described as believing her conduct or its consequences to be something other than it is. Therefore the word “facts” most naturally refers to “circumstances”. However, a broader interpretation of “facts” may placate those sceptical of the circumstance/consequence distinction.13 Thirdly, s.1(3) provides that “intention” can be presumed if it would have existed on the facts “as [the defendant] believed them to be”. This falls short of stating explicitly its effect—that “belief” is sufficient mens rea regarding circumstances. The difficulty is that circumstance elements lend themselves more readily to description in terms of knowledge than in terms of intention. On facts similar to Pace, the provision appears to work as follows: if the goods in question were indeed stolen, and the defendant believed them so to be, then the defendant would know that they were stolen, since, for these purposes, the law defines “knowledge” as “true belief”14. If they were not in fact stolen, but the defendant believed them so to be, then “on the facts as he believed them to be,” he would know them to be stolen. Section 1(3) thus acts as a deeming provision, turning belief into knowledge. Such a provision is consistent with Lord Brown’s rea13 e.g. Buxton [1984] Crim. L.R. 25. 14 Saik [2006] UKHL 18, [2007] 1 A.C. 18. 8 soning in Saik15 at [119] that, in certain contexts, the law ought to see no difference between belief and knowledge. A final step is required to turn this knowledge into intention in order to square the circle of s.1(3). Two approaches can be offered. The first is teleological: if the goods had been stolen, then the defendants would be guilty of the substantive offence, and so must surely also be liable for the attempt offence. Since this is so, the defendants’ knowledge, if sufficient to count as intention for s.1(1) when the substantive offence is committed, must also count as intention under s.1(3) for the inchoate offence. The second is a question of statutory interpretation. As Simester16 notes, “[w]hen applied to circumstance elements within an actus reus, the mens rea requirement of “intention” has always been understood—translated—to mean its cognitive equivalent, i.e. knowledge or settled belief (with no significant doubt).” This conclusion is eminently sensible; when a defendant intentionally acts in order to bring about some consequence in circumstances he knows to be the case and such conduct, consequences and circumstances constitute a crime there can be little doubt that he or she intended to commit the crime. The result is that s.1(3), in conjunction with s.1(1), has the effect of equating the defendant’s belief with intention. This is striking since “intention” may ordinarily be characterised as a belief (that a consequence will arise or that circumstances are a certain way) along with a hope or desire (that the consequences do arise). That attendant hope has normative value; it is what makes it morally worse for a person to intend harm than it is for that person to act merely believing that harm will result. However, as regards circumstances it is appropriate that belief is sufficient to establish intention. “Intention” in that context is best understood in terms of simple belief or knowledge and there is no reason to distinguish knowledge from belief regarding circumstances. The conclusion of the above discussion can be restated shortly: the mens rea under s.1(1) is intention as to all elements of the substantive offence; however, as a result of s.1(3), belief as to the circumstance element will suffice “in any case.” Though this conclusion is not explicit in Pace, it nonetheless best explains Davis LJ’s reasoning. In particular, it explains his suggestion at [80]–[81] that the CPS might more successfully have charged the defendants with attempting to handle stolen goods. His Lordship explains: “Th[is] necessarily will, we appreciate, require proof of a higher level of mens rea than suspicion: and of course defendants can be expected to be astute to emphasise that to a jury. Even so, as observed by Lord Hope in para [62] of his speech in R v Saik17, the margin between knowledge and suspicion is perhaps not all that great, at all events where the person has reasonable grounds for his suspicion.” This suggestion of charging an alternative “handling” offence makes no sense if Davis LJ had decided—as he has been taken to decide—that intention is required for all aspects of the substantive offence regardless of s.1(3), since such a charge would inevitably fail. Rather, Davis LJ clearly contemplates belief as a sufficient mens rea regarding the status of the goods. Clearly, his Lordship considered that 15 Ibid. 16 Above n 6, at 171. 17 Above n 14. © Thomson Reuters (Professional) UK Limited 2015 Archbold Review Issue 8 September 21, 2015 the Crown might have had more success demonstrating that the defendants believed they had handled stolen goods than that they were purchasing criminal property. The Authorities It remains to consider the relationship between Pace and the two other appellate authorities on this point, both of which Davis LJ cited with approval. These are Khan (cited above) and Attorney General’s Reference No. 3 of 1992,18 in which the defendants were held liable for attempted aggravated arson, under s.1(2) of the Criminal Damage Act 1971. The element of “being reckless as to whether life is endangered” in that offence was held by the Court of Appeal to be an ulterior mens rea element rather than (as the judge had held at first instance) a consequence. The court applied a “missing element” test, by which only those elements of the substantive offence that are “missing” from the alleged attempt require intention. It thus held that such ulterior elements require only the mens rea for the substantive offence, and so mere recklessness was sufficient. The present defence of Pace is not intended to suggest that these two cases were effectively distinguished by Davis LJ. Rather, both in their reasoning and their results, the three cases present fundamentally divergent views on the mens rea for attempt. The two grounds on which Khan was distinguished in Pace—that the latter was an “impossible” rather than a “possible” attempt, and that the latter involved “suspicion” rather than “recklessness”—are highly unsatisfactory, being without basis in the statute and lacking any exposition of their justification in principle. Indeed, as Simester argues, it is “a distinction without a difference”.19 However, we do suggest that the result reached in Pace is preferable. The difficult case of attempted rape is the example most employed in the critical commentary on Pace. Even on the interpretation of Pace set out herein, the defendants in Khan would not be liable on the pleaded facts. This apparent problem need cause no alarm. Following Pace, a defendant should be liable for attempted rape only if he did the relevant act intending or believing that the victim did not consent. On the facts of Khan—a gang rape in which only three of the defendants succeeded in penetration—it is almost certain that this burden would have been met. In other cases, facts which might fail to produce a successful conviction for attempted rape could be charged as a sexual assault, an attempted sexual assault, or as secondary liability for rape or sexual assault. Facts which fail to satisfy any of these or similar charges are surely undeserving of criminal conviction. A further consequence of the present interpretation of Pace, is that the Court of Appeal reached the incorrect result in 18 [1994] 1 WLR 409. 19 (2015) 131 LQR 169, 170. © Thomson Reuters (Professional) UK Limited 2015 Attorney General’s Reference No. 3 of 1992. The element of recklessness as to endangering life in the substantive offence of aggravated arson is properly understood as a circumstance element. The additional culpability resulting from aggravated as opposed to non-aggravated arson is that the act is done in circumstances in which the defendant has demonstrated disregard for human life. If “endangerment” is understood as a circumstance element, then under Pace only belief or intention—but not recklessness—will be sufficient mens rea. In fact, since in that case the defendants had thrown petrol bombs, such a belief could probably have been demonstrated. In our view, this narrowing of the law of attempts should be welcomed; if the defendants did not believe that they were endangering life, then they should be liable only for attempted arson, and are not culpable for the “aggravated” element. The Consequences of Pace So understood, the decision in Pace has a number of welcome consequences. First, it gives a natural (or, the most natural available) meaning to the wording of s.1 of the Criminal Attempts Act 1981. Secondly, in locating the mens rea requirement for attempts in the statute, it avoids the problem of ignoring the parliamentary drafting, which results from the two pre-existing appellate tests. Thirdly, as set out above, it provides an effective answer to the difficult case of attempted rape, which has dominated the academic literature. Fourthly, it de-emphasises the problematic possible/ impossible distinction, which, though employed in Pace itself, was not necessary to its ratio, has no basis in the statute, and can be discarded outright if Pace is adopted more generally. Fifthly, it narrows the law on criminal attempts from the broad position set out in Khan. Nonetheless, the mens rea requirement it sets out is rightly less strict than for criminal conspiracies—the latter being further detached from a substantive offence, only “intention or knowledge” will suffice regarding circumstances (Saik). The above discussion is not intended to suggest that the Court of Appeal’s judgment in Pace is beyond reproach. As we have seen, the court’s approach to the existing authorities is problematic. Though approved, the judgments in Khan and Attorney General’s Reference No. 3 of 1992 are not easily reconcilable with Pace. For this reason, the precise status of Pace as precedent remains uncertain, especially since it might seem, unfortunately, to rest on a spurious distinction from Khan. However, as well as being the latest appellate pronouncement, Pace is also, in our view, the best. Trial judges should treat its ratio, as set out herein, as an authoritative statement of the mens rea for criminal attempts in all cases. Should a similar case reach the Supreme Court Pace should be followed for both “possible” and “impossible” attempts. Both Khan and Attorney General’s Reference No. 3 of 1992 should be explicitly overruled. 9 Archbold Review Issue 8 September 21, 2015 THE PERFECT GUIDE ARCHBOLD MAGISTRATES’ COURTS CRIMINAL PRACTICE 2016 When you’re practising in the Magistrates’ Court, you need a textbook that informs and supports you with the turn of every page. In whichever direction you’d like your case to go, Archbold Magistrates’ will be there to ensure you’re going about procedures in the right way, and covering every important angle. Available on Thomson Reuters ProViewTM With ProViewTM you can: • • • • • • Add your own notes and annotations Email, print, and share text Use powerful search tools allowing easy navigation Scroll quickly using the navigation bar View contents list in layers Colour code your highlights and notes The new edition publishes in August and is fully updated with the latest developments in criminal law and practice affecting the magistrates’ courts. Updates include: Amendments effected by the Criminal Justice and Courts Act 2015 affecting • • • • Reporting restrictions and low value shoplifting offences The Youth Court by introducing the power to commit youths to the Crown Court for sentence and changes to referral orders. Restrictions on the issue of police cautions New sexual offences of revenge pornography, meeting a child after sexual grooming and possession of pornographic images of rape Amendments brought about by the Anti-Social Behaviour, Crime and Policing Act 2014 PRINT £199 • eBOOK £238.80 • Anti-Social Behaviour Orders now abolished and replaced by Criminal Behaviour Orders on conviction SOPOs replaced by Sexual Harm Prevention Orders PLACE YOUR ORDER TODAY: Available on ProView sweetandmaxwell.co.uk [email protected] (£199 +£39.80 VAT) PRINT & eBOOK £284.90 (£259+£25.90 Available on SWEET & MAXWELL 10 © Thomson Reuters (Professional) UK Limited 2015 Archbold Review Issue 8 September 21, 2015 ROOK & WARD ON SEXUAL OFFENCES LAW AND PRACTICE 4TH EDITION . SUPPLEMENT 1 HH Judge Peter Rook QC, Robert Ward CBE WHAT’S NEW? • SENTENCING: A full analysis of all changes to the sentencing regime, including the new sexual offences sentencing guideline issued by the Sentencing Council which applies to all adult sex offenders sentenced on or after April 1, 2014. • NON-CONSENSUALOFFENCES: A close examination of important case law since December 2010, which has – given a wider interpretation to the definition of consent – stressed that context is all-important – illuminated how evidence of grooming may be relevant – clarified that deceptions falling short of s.76 deceptions may entitle a jury to conclude there was no genuine consent – taken a restrictive view of s.76 – illustrated the operation of the s.75 evidential presumptions and – shed further light on the extent to which a defendant’s mental disorder may be relevant to whether he had a reasonable belief that the complainant was consenting. • OTHERSEXUALOFFENCES: Consideration of all relevant cases including on the offences relating to indecent images of children and the significant developments in the law as regards the prosecution of those who may have been the victims of trafficking. • THELAWOFEVIDENCE: An analysis of the large number of Court of Appeal decisions in sex cases. • REPORTINGRESTRICTIONSINSEXCASES: Coverage of important new case law including on the practical operation of the complainant anonymity provision, and of the latest developments on defendant anonymity pre- and post-charge. • HISTORICCASES:An explanation of the important developments relating to the trial of historic sexual offences. Now published • VULNERABLEWITNESSES: A survey of the plethora of useful guidance and Court of Appeal authority of the last three years. © Thomson Reuters (Professional) UK Limited 2015 11 Archbold Review Issue 8 September 21, 2015 You & Archbold Partners in crime. 2015 A partnership like no other For over 190 years, Archbold has been at the side of criminal law professionals, helping to build winning cases. Written by practitioners for practitioners, it’s always been as much yours as it is ours. It truly is a partnership like no other. In Court · Online · On the go Available 20 November 2014 sweetandmaxwell.co.uk/archbold Editor: Professor J.R. Spencer QC 1491725A Archbold Journal Advert black and white.indd 1 15/10/2014 16:27 Cases in Brief: Richard Percival Sentencing cases: Dr Louise Cowen Articles for submission for Archbold Review should be emailed to [email protected] The views expressed are those of the authors and not of the editors or publishers. Editorial inquiries: House Editor, Archbold Review. Sweet & Maxwell document delivery service: £9.45 plus VAT per article with an extra £1 per page if faxed. Tel. (01422) 888019 Archbold Review is published by Thomson Reuters (Professional) UK Limited trading as Sweet & Maxwell, Friars House, 160 Blackfriars Road, London, SE1 8EZ (Registered in England & Wales, Company No 1679046. Registered Office and address for service: 2nd floor, 1 Mark Square, Leonard Street, London EC2A 4EG. For further information on our products and services, visit www.sweetandmaxwell.co.uk ISSN 0961–4249 © 2015 Thomson Reuters (Professional) UK Ltd Sweet & Maxwell ® is a registered trademark of Thomson Reuters (Professional) UK Ltd. Typeset by Matthew Marley Printed in Great Britain by Hobbs the Printers Ltd, Totton, Hampshire, SO40 3WX 12 *647865* © Thomson Reuters (Professional) UK Limited 2015