2007/05741 B1 |
COURT OF APPEAL (CRIMINAL DIVISION)
ON APPEAL FROM THE CROWN COURT AT BRADFORD
THE RECORDER OF BRADFORD, HH JUDGE GULLICK
T20077041
Royal Courts of Justice Strand, London, WC2A 2LL |
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B e f o r e :
MR JUSTICE FIELD
and
MRS JUSTICE DOBBS
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Regina |
Respondent |
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- and - |
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Laura Mitchell Henry Ballantyne |
Appellant Applicant |
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Mr J G K Hyland QC for the Applicant (Henry Ballantyne)
Mr Adrian Waterman QC & Mr David Brooke for the Respondent
Hearing date: 23 July 2008
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Crown Copyright ©
Lord Justice Thomas:
Introduction
i) Whether there was sufficient evidence for the Recorder to leave the count of murder to the jury on one of the first of the bases on which he had left it – direct physical violence to the deceased at the time that the deceased was killed.
ii) The correctness of the Recorder's directions on the second basis - joint enterprise.
As we shall explain, the first issue was not pursued. It is necessary first to set out the facts before turning to consider the legal issues on the directions given in respect of joint enterprise.
The prosecution evidence
The outbreak of violence
The lull in the violence and the subsequent events
i) Most of the appellant's co-defendants then crossed Halifax Road, the road outside the pub, and went a short way down Buttershaw Lane to No. 8, the house of Jason Fawthrop.
ii) Craig Powell, Dean Powell and Andrew Ayres walked to the mouth of Buttershaw Lane.
iii) The co-defendants obtained from No. 8 Buttershaw Lane a knuckleduster, a CS spray canister and what was described as a medieval mace. Accompanied by the applicant (Ballantyne), they returned to the car park together, it seems, with Jason Fawthrop and his girlfriend.
iv) Dean Powell, Craig Powell and Andrew Ayres had seen this happen. They thought they saw knives. Anticipating they were about to be attacked, they all retraced their steps to the front door of the pub. That had been locked from the inside and they were unable to enter.
v) A chase around the pub then followed. Craig Powell successfully evaded the attack by running into another lane alongside the pub and opposite to Buttershaw Lane; Dean Powell was caught by the co-defendants in front of the pub on the car park and was severely assaulted, being punched to the face and body as he stood against the pub.
vi) Andrew Ayres was also caught by the group. He was knocked to the floor and kicked and stamped on; he died subsequently in hospital. As we have set out, his death resulted from the stamping by Carl Holmes upon the head and upper neck.
The appellant's conduct during this time
i) John Walsh was outside in the car park when the incident began. After describing that part of the incident we have summarised, he saw the appellant without any shoes on during the attack upon Craig Powell which occurred after the violence had started. After he had seen the co-defendants go to Buttershaw Lane, he could hear the appellant saying, "Where are my fucking shoes?" She walked towards the pub shouting obscenities saying, "I want my shoes". He crossed the road and saw the appellant around the front door of the pub but at that stage no violence was taking place. He then saw Craig and Dean Powell return to the car park chased by the co-defendants. He described what then happened but said nothing about the actions of the appellant.
ii) Mrs Christine Gaffey was in the doorway of the pub. She had seen the appellant violently attack Claire Francis and Craig Powell. She also saw the appellant without shoes; she was looking for something and apparently found something. She moved away from the door. When she returned she saw the appellant going round the corner into Buttershaw Lane with one or two males, one of whom was pulling her round the corner.
iii) Claire Rothery was at the front door at the point in time after which Andrew Ayres had been fatally attacked. She saw two men and a girl making off into Buttershaw Lane with the girl looking back as she did so.
iv) Mrs Dorothy Walsh at this point saw the appellant going across the road and joined a group of lads. The appellant was then hitting and kicking a big guy. She saw her with two guys trying to pull her away.
v) Ross Atkinson who was in the back of a car which had come along Halifax Road saw the incident at the stage when the co-defendants were chasing Dean Powell, Craig Powell and Andrew Ayres. He saw two females in the car park and saw, he said, one of the females stamp several times on the head of the deceased.
vi) Claire Clough was a passenger in a car that had come down Buttershaw Lane towards Halifax Road. When it stopped she saw a woman kicking a man violently to the head. It was contended on behalf of the appellant that this referred to the earlier part of the incident.
vii) Tawney Guest had left the pub and got into a taxi with Mr Brayne, her mother and Ebony Guest after the initial violence. As they got into the taxi, Tawney Guest and her sister saw the appellant with her co-defendants at the sandwich shop on the side of Halifax Road opposite to the pub. All the women in the taxi then saw the appellant walking determinedly with a purpose (or on a mission back) across Halifax Road despite the efforts of her boyfriend (Michael Hall) who was trying to stop her.
viii) In her interview the appellant said that after the fighting stopped she went with Michael Hall into the road. Michael Hall told her that they were going; she thought that the incident had stopped. She would not go as she had lost her shoes and wanted to go back and get them. She told her boyfriend that she was not going without her shoes. She thought she could see one of the shoes in the car park and walked back across the road. She found the first shoe almost straight away. She continued to look for the other one. She did not know that weapons were being acquired from 8 Buttershaw Lane. She did not see any violence, only people running in the road. She could not see her other shoe and eventually gave up, walking across the car park towards Buttershaw Lane. As she did so she saw her other shoe at the front of the car park and picked it up. She then went with Michael Hall up Buttershaw Lane and looked back over her shoulder and saw her co-defendant, Holmes, coming towards her. She added, "When I was on the car park looking for my shoe I was not there encouraging anyone. I did not want a fight. I didn't want to support a fight. I did not want to encourage a fight."
The submission of no case to answer
i) The incident comprised two distinct parts - one before and one after the lull in the fighting. Therefore there were two distinct joint enterprises. The appellant was not engaged in the second.
ii) There was no evidence that the appellant had entered number 8 Buttershaw Lane or had participated at all, either by encouragement or by joining in the fighting, in the second part during which Andrew Ayres was killed.
i) On the basis that there was evidence (based primarily on the evidence of Ross Atkinson and Claire Clough) that the appellant had played a direct part in the attack on Andrew Ayres; or
ii) That she was the party to a single joint enterprise from which she had not withdrawn at the time of the fatal attack. As the appellant had remained present it was open to the jury to conclude that she was there to encourage the others and that she had not withdrawn from the enterprise.
"In my judgment the jury could conclude that the events of that night amounted to one continuous criminal enterprise, albeit there was a short period of calm in the middle. On the evidence called thus far, the jury could conclude that Laura Mitchell was part of an enterprise to do violence to the two Powells and the deceased before the short period of calm. They may also conclude that her continuing presence on the car park whilst further violence was done, culminating in the death of Andrew Ayres, was not merely accidental and that her presence there was, and was intended to encourage others."
The appellant's evidence
The summing up
"Ladies and gentlemen, we will look at the document in the name of Michael Hall. That, in relation to the other two male Defendants, is phrased in identical terms, as indeed is most of that relating to Laura Mitchell, although there is a slight variation in her case which we will come to in a second. …:
"Before you may convict Michael Hall (and I add for these purposes Henry Ballantyne or Jason Fawthrop) of the murder of Andrew Ayres, you must be sure that Carl Holmes unlawfully caused the death of Andrew Ayres intending to kill him or to cause him really serious bodily harm
AND you must be sure of each of the following:
(1) Michael Hall, Henry Ballantyne or Jason Fawthrop were part of an unlawful common enterprise with others, including Carl Holmes, to attack Craig Powell, Dean Powell and Andrew Ayres.
(2) That at the time of the acts that caused the death of Andrew Ayres, Michael Hall, Henry Ballantyne and Jason Hall were still party to the common enterprise
(3) That whilst still the parties to the common enterprise, Michael Hall, Henry Ballantyne and Jason Fawthrop at least realised that one or more of the others might cause someone really serious harm with intent to do so;
(4) That the acts which caused the death of Andrew Ayres were not fundamentally different from the type of acts Michael Hall, Henry Ballantyne and Jason Fawthrop realised someone might carry out."
….
(a) Now the position with Laura Mitchell is different because it is alleged that she was involved physically with Andrew Ayres. There are in her case, therefore, two alternative bases upon which you may convict her.
i) In relation to the issue raised as to whether there was one enterprise or two he said:
Whether there was one continuous joint enterprise or two separate ones with a lull in the violence in the middle is a question of fact for you to decide on all the evidence. The Prosecution say that this was, in reality, but one event … in reality, all one single event. Running through it was a single joint enterprise to do unlawful violence to the Powells and Andrew Ayres. The Crown submit that given the very short timescale to which I have referred, during which everything occurred that night, it is wholly artificial to try to split it into two.
The Defence, particularly Mr Birkett QC, argue that given that there was a lull in the violence and given clearly the introduction of both human re-enforcements and weapons into what has been called 'phase 2', there were two quite separate and distinct common enterprises. The first, it is submitted, was a spontaneous outbreak of violence. The second, it is submitted, was a far more serious and planned event, albeit planned in haste.
As I stress, whether this was all one joint enterprise is a matter of fact for you to decide. If you conclude that there was but one joint enterprise, then you will have to decide whether anything that Hall or Mitchell ([the appellant]) did in 'phase 2' – as it has been described – either showed that they were continuing to be parties to the joint enterprise or, in contrast, whether by anything they did they ceased to be members of at some point and if so, at what point. Similarly, if you conclude that there were two distinct joint enterprises, given the evidence shows that neither Hall nor Mitchell ([the appellant]) went up to 8 Buttershaw Lane at the end of the first phase, did they join in the second joint enterprise at all, or did or may their activities have come to a conclusion when the first phase ended?"
ii) In relation to the issue as to whether the appellant (and her co-defendants) continued to participate, he said:
"Now whether an individual participates in a particular joint enterprise is also a matter of fact for you to decide. If you are sure that a Defendant whose case you are considering did participate in a particular joint enterprise, ask yourselves for how long did he or she do so? In any criminal activity involving more than one person, people may join, but they may also leave or withdraw, in which event, they have no criminal liability for what occurs after their withdrawal. It is undoubtedly the case that the person who joins a common enterprise after the fatal injuries or injuries have been inflicted is not guilty of murder because he was not a party to the unlawful violence at the time when the fatal injuries or injuries were caused. In contrast, once a person becomes a party to a joint enterprise, he or she is still, in law, taken to be participating in it at the time when the fatal blows are inflicted by one of his associates, even though he or she himself, or herself, may have ceased any physical violence against any other member of the attack group unless he, without questions, withdraws from the joint enterprise before the moment when the fatal blow by his associate is struck. Let me give you a brief example.
Suppose three men embark upon an unlawful joint enterprise to do violence to three others in the street. Each man attacks some members of the other group. The first attacker fells his victim with a single blow. He does no more violence to him, or anyone else, and stands around watching. The second attacker fells his victim with three blows. There is no more violence to him or anyone else and he stands around watching. It takes the third attacker a considerable number of blows to knock his man down and he then kicks him a number of times in the head causing his death. Even though the fatal kicks were inflicted after the first two men had ceased physical violence themselves, those first two are, certainly in the absence of clear evidence of withdrawal, still participating and accordingly are still potentially liable for the death of the third man. They are still part of a common enterprise even though their own physical acts have concluded.
Whether or not they have withdrawn will depend upon a number of things, not least their state of minds as you will see in a moment, but, for the purposes of deciding if they are still participating, a quirk or accident of timing cannot, you may think, excuse them from being participants in the last fatal blow. So what do I mean by withdrawal?
iii) He then specifically directed the jury on the meaning of withdrawal from the joint enterprise:
"Well any participant in a joint enterprise can withdraw their support for it at any time and if they have done so effectively, then they will not be liable for anything done after that withdrawal takes effect. In the case of a pre-planned criminal enterprise, such as the example I gave you earlier – the four men who decide to shoot someone – if before the appointed day, one of them sent a text message to all the others saying that he had had second thoughts and did not wish to take any further part in what had been planned and would not carry out his allotted task on the fatal day, then if the other three carry on, and carry out the shooting, then the context of the text message would be extremely strong evidence, would it not, that the sender had in fact withdrawn from the joint enterprise. Now clearly in such an example, which is a pre-planned attack, communication between the participants may be easier to achieve and there may be far more time in which to achieve it.
In the case of a spontaneous event, it may well be more difficult and the position is, in reality, a little different. However, a mere change of heart is not sufficient. Neither, as I have just said to you, is the fact that you have, for whatever reason, ceased to attack a member of the other group whilst one of the other parties from the joint enterprise continues to attack and to kill the deceased. There must be some steps taken by the individual to withdraw. He could, for instance, shout out to Holmes to stop or not to do it, or even to pull him away. In the context of a spontaneous outburst of violence, and with fast moving events, that may be difficult. You should not, in the cold light of day, seek to impose strict and rigid criteria to a sequence of events which happened very quickly and may require someone to act instantaneously at a time when he or she cannot be expected to work out exactly what he or she needs to do in order to withdraw from an unlawful joint enterprise.
Someone in the position of Michael Hall, Laura Mitchell ([the appellant]) or Henry Ballantyne ([the applicant]) must do something to demonstrate that they are, or may be, withdrawing from any ongoing joint enterprise in which they had participated, or that they do not seek to take part in any new one before you could properly consider the matter. Let me give you an example.
If a group of men, in a spontaneous joint enterprise of violence are chasing another man armed with weapons, bottles and sticks through the streets of a town, and at a point when the man being chased and the remaining chasers turn a corner out of the sight of the one of the attackers, and that one attacker then stops, puts down his weapon and walks back the way he had come, and does not go round the corner, he does not participate any further in the attack which culminates two streets later with the death of the man being chased. In such a case, a jury may well conclude that that one man, by stopping and acting as he did, had withdrawn from the joint enterprise of which he was at one stage a willing member. If is a question of fact and degree in every case."
The appellant's submissions
i) The first joint enterprise was to be inferred from spontaneous violence that broke out after the taxi had been occupied by the appellant and her co-defendants. The appellant had participated in that joint enterprise. However in that enterprise there was nothing from which it could be inferred that weapons would be used.
ii) A second and distinct joint enterprise which arose from the plan formed when weapons were acquired from 8 Butterworth Lane. The appellant had not participated in that enterprise. There was no evidence she knew that the others were going to 8 Butterworth Lane or that weapons were then to be used. There was therefore no evidence from which it could be inferred that she had participated in any way in the second enterprise.
Our conclusion
(i) What was the scope of the joint enterprise and did what happen go beyond that?
"that as stated by the High Court of Australia in McAuliffe v The Queen (1995) 69 AJLR 621 at 624 … 'the scope of the common purpose is to be determined by what was contemplated by the parties sharing the purpose'. Therefore when two parties embark on a joint criminal enterprise one party will be liable for an act he contemplates may be carried out by the other party in the course of the enterprise even if he has not tacitly agreed to that act…
and at page 21
There is therefore a strong line of authority that participation in a joint criminal enterprise with foresight or contemplation of an act as a possible incident of that enterprise is sufficient to impose criminal liability for that act carried out by another participant to that enterprise"
No argument was, rightly addressed to us on the basis that the slightly different expressions used in the opinions in R v Rahman [2008] UKHL 45 made any difference to the principles so formulated on the facts of this appeal.
(ii) Was the enterprise the appellant had joined still continuing and was the appellant still in it when the deceased was killed?
i) In R v Mitchell & King [1990] Crim LR 496, Otton LJ made clear that the jury had to consider whether at the time the death occurred the defendant was acting within a continuing enterprise. In considering whether a person had withdrawn, there must usually be some act and not merely a mere mental change of intention or physical change of place by the person contending he had withdrawn. In his commentary on the case, the late Professor Sir John Smith elegantly and correctly stated the principle:
"Secondary participation consists in assisting or encouraging the principal offender in the commission of the crime. A party who withdraws from an enterprise, spontaneous or not, usually ceases to assist but he does not necessarily cease to encourage. Suppose that A is encouraged in the fight because he knows B is in there with him. If B decides he has had enough and quietly slopes off without attracting A's attention, the external element of secondary participation still continues. B's encouragement of A is still operative. Does mere withdrawal then relieve B of responsibility? In principle, it seems that it should not do so. A person who has done an act which makes him potentially liable for a crime cannot relieve himself of responsibility by a mere change of mind. Once the arrow is in the air, it is no use wishing to have never let it go – "Please God, let it miss!" The archer is guilty of homicide when the arrow gets the victim through the heart. The withdrawer, it is true, does not merely change his mind: he withdraws – but is that relevant if the withdrawal has no more effect on subsequent events than the archer's repentance?"
ii) This commentary was cited with approval by Otton LJ in R v Robinson (3 February 2000, transcript); he added:
"Thus the Professor emphasises that it can only be in exceptional circumstances that a person can withdraw from a crime he has initiated. Similarly in those rare circumstances communication of withdrawal must be given in order to give the principal offenders the opportunity to desist rather than complete the crime. This must be so even in situations of spontaneous violence unless it is not practicable or reasonable so to communicate as in the exceptional circumstances pertaining in Mitchell where the accused threw down his weapon and moved away before the final and fatal blows were inflicted."
iii) In R v O'Flaherty, Mantell made clear at 64- 65:
"64. Accordingly, we consider, as this Court did in R v Mitchell and King (1988) 163 JP 75 that the jury should have been directed that they must be satisfied (a) that the fatal injuries were sustained when the joint enterprise was continuing and that the defendant was still acting within that joint enterprise, and (b) that the acts which caused the death were within the scope of the joint enterprise. As far as (b) is concerned, we have concluded that the jury were appropriately directed in respect of the use of knives. In respect of (a), however, since the jury was only directed to consider the evidence as to the cause of death and what part the particular defendants played if they decided they were dealing with two separated events, we have concluded that the jury was not appropriately directed. The distinction made in the directions between whether there was one event or two meant the jury was not directed that even if they concluded the incident was one continuing evolving event, they had to be satisfied that the fatal injuries were sustained when the joint enterprise was continuing and that the particular defendant was still acting within that joint enterprise.
65. It is not arguable that the learned judge should have withdrawn the case of O'Flaherty from the jury. The fact that he followed the group to Park Street West still armed with the cricket bat provided an evidential foundation for the jury to conclude, if properly directed that he was "still in it"."
Observation on complexity
The further challenge to the conviction
Overall conclusion on the appeal against conviction
The applications for leave to appeal against sentence.
i) The unprovoked and unjustified nature of the attack.
ii) The defendants had been drinking to excess; the appellant had drunk a vast amount and was pretty drunk and highly intoxicated. The applicant (Ballantyne) had been drinking heavily to celebrate his birthday.
iii) The intensity of the violence and the fact that it was inflicted by a group.
iv) The appellant had started the trouble and was determined to vent her anger on the victims; despite attempts to persuade her to desist, she repeatedly tried to strike the victims. The applicant Ballantyne had directly participated in the last part of the attack when ugly violence was used.