APPEAL COURT, HIGH COURT OF JUSTICIARY |
|
Lord Justice General
Lord Osborne
Lord Nimmo Smith
|
[2008] HCJAC 18Appeal No: XC193/06OPINION OF THE COURT delivered by THE LORD JUSTICE
GENERAL in APPEAL AGAINST CONVICTION by ALEXANDER PATERSON Appellant; against HER MAJESTY'S ADVOCATE Respondent: _______ |
Act: Shead, Thomson; McClure Collins,
Alt: Mackay, A.D.; Crown Agent
25 April 2008
The procedure
[1] The appellant
was indicted in the
"(1) on
1 May 2004 [at an address in Wishaw] you ALEXANDER PATERSON did use lewd,
indecent and libidinous practices and behaviour towards [SR], born 28 June 1991
... and did place your hand around her waist, pull her towards you, touch her
bottom, squeeze her bottom with your hand and press your private parts against
her:
CONTRARY to the Criminal Law
(Consolidation)(
(2) on
25 July 2004 [at another address in Wishaw] you ALEXANDER PATERSON did use
lewd, indecent and libidinous practices and behaviour towards the said [SR],
born 28 June 1991, a girl then of or over the age 12 years and under the age of
16 years, and induce her to sit on your knee, place your hands under her
clothing, touch her back, touch her stomach and repeatedly attempt to touch her
breasts:
CONTRARY to the Criminal Law
(Consolidation)(
(3) on
(4) between
(5) on
1 April 2004 at Netherton Industrial Estate, Wishaw, you ALEXANDER PATERSON did
use lewd, indecent and libidinous practices and behaviour towards [NR], born 30
January 1987 ... and did induce her to sit on your knee causing your private
member to become erect and hold her hands tightly:
CONTRARY to the Criminal Law
(Consolidation)(
(6) between
1 May 2004 and 31 August 2004, both dates inclusive, [at the first-mentioned
address in Wishaw] you ALEXANDER PATERSON did use lewd, indecent and libidinous
practices and behaviour towards [NR], born 30 January 1987 ... and did place
your hand around her waist, did squeeze her tightly, pull her towards you and
press your private parts against her:
CONTRARY to the Criminal Law
(Consolidation)(
(7) on
various occasions between 1 February 2004 and 12 September 2004, both dates
inclusive, [at the second-mentioned address in Wishaw] you ALEXANDER PATERSON
did use lewd, indecent and libidinous practices and behaviour towards [JD],
born 1 December 1992 ... and did lift her up, rub your body repeatedly against
her, place your hands under her clothing and touch her body;".
[2] At a first
diet held on
[3] The case was
called on 24 January 2006 within the sitting to which it had been
assigned. By that stage it had become
apparent to the prosecutor and the defence that there was something untoward
about charges (5) and (6). Each bore to
be a charge of contravention of section 6 of the Criminal Law (Consolidation)(
[4] The
prosecutor sought to deal with this difficulty by moving the court to allow
charges (5) and (6) to be amended. The
effect of the amendment, if allowed, would have been, while leaving the
averments of particular conduct unaltered, to translate the charges from
contraventions of the statute to allegations of breach of the peace. Opposition to such amendment was made on
behalf of the appellant. It was
contended that the amendment proposed was not within the scope of the court's
powers under section 96 of the Criminal Procedure (
"(1) on
29 or 30 June 2004 [at an address in Wishaw] you ALEXANDER PATERSON did use
lewd, indecent and libidinous practices and behaviour towards [SR], born
CONTRARY to the Criminal Law
(Consolidation)(
(2) on
6 August 2004 [at another address in Wishaw] you ALEXANDER PATERSON did use
lewd, indecent and libidinous practices and behaviour towards the said [SR],
born 28 June 1991, a girl then of or over the age of 12 years and under
the age of 16 years, and induce her to sit on your knee, place your hand under
her clothing, touch her back, touch her stomach and repeatedly attempt to touch
her breasts:
CONTRARY to the Criminal Law
(Consolidation)(
(4) between
(5) on
1 April 2004 at Netherton Industrial Estate, Wishaw, you ALEXANDER PATERSON did
induce [NR], born 30 January 1987 ... to sit on your knee causing your private
member to become erect and did conduct yourself in a disorderly manner and did
commit a breach of the peace;
(6) between
1 May 2004 and 31 August 2004, both dates inclusive, [at the first-mentioned
address in Wishaw] you ALEXANDER PATERSON did place your hands around [NR's],
born 30 January 1987 ... waist, did squeeze her tightly, pull her towards
you and did conduct yourself in a disorderly manner and did commit a breach of
the peace;
(7) on
two occasions between 1 July 2004 and 30 September 2004, both dates inclusive,
[at the second-named address in Wishaw] you ALEXANDER PATERSON did use lewd,
indecent and libidinous practices and behaviour towards [JD], born 1 December
1992 ... and did lift her up, rub your body repeatedly against her, place your
hands under her clothing and touch her body;".
[7] Section 96 of
the Criminal Procedure (
" ...
(2) It
shall be competent at any time prior to the determination of the case, unless
the court see just cause to the contrary, to amend the indictment by deletion,
alteration or addition, so as to -
(a) cure
any error or defect in it;
(b) meet
any objection to it; or
(c) cure
any discrepancy or variance between the indictment and the
evidence.
(3) Nothing
in this section shall authorise an amendment which changes the character of the
offence charged ... ".
Submissions for the
appellant
[8] Mr. Shead, in
developing his submissions on the first ground of appeal, argued that there
were two situations in which amendment was not empowered under section 96: first, where the proposed amendment changed
the character of the offence charged (and so was excluded by section 96(3)) and,
secondly, where the original charge was fundamentally defective (it not being
possible to amend a charge which was itself null). On the latter aspect reference was made to Stevenson v McLevy (1879) 4 Coup. 196.
Charges (5) and (6) as libelled were, it was submitted, fundamentally
null and could not be amended. Dyce v Aitchison 1985 SLT 512 was distinguishable. Shaw v
Smith 1979 JC 51 was more in
point. Reference was also made to Aitkenhead v Cuthbert 1962 JC 12. The
proper scope for any amendment was where something had gone wrong in the course
of a trial; here the prosecutor's proper
course of action would have been to withdraw the libel and start again. At an appeal stage the fact that no objection
to the relevancy had been taken did not bar the court from quashing a
conviction which disclosed no crime at all (Jones
v Carnegie 2004 SCCR 361 at
par. [43], overruling Cochrane v
HM Advocate 2002 SCCR 1051). The focus of a charge of lewd and libidinous
practices, whether at common law or under section 6 of the Criminal Law
(Consolidation)(Scotland) Act 1995, was on conduct directed against a
complainer; the focus of a charge of
breach of the peace was on conduct towards the lieges. The latter was a public order offence. Reference was made to Smith v Donnelly 2001 SCCR 800. The offences were different in
character and each involved a different mens
rea. The circumstance that there was
no difference in the specific conduct alleged did not mean that the charges
were not different in character. The
classification of the averred facts was also important. In a statutory context a change in the
factual basis of the charge, albeit still within the same subsection, had been
held, under the equivalent provisions of the Criminal Procedure (
[9] As regards
the fourth ground of appeal (insufficiency of evidence on charges (5) and (6)),
it did not matter that no submission of insufficiency had, in relation to
charge (5), been taken at the trial (Farmer
v Guild 1991 SCCR 174, at pages
177-8). What constituted breach of the
peace as an offence not open to Convention challenge on the ground of lack of
sufficient definition had been laid down in Smith
v Donnelly, as approved by a full
bench in Jones v Carnegie at paras. [9] and [12].
The test identified in Smith v
Donnelly at page 807A-B was
cumulative: the conduct had to be severe
enough to alarm ordinary people and threaten serious disturbance to the
community (Dyer v Hutchison 2006 SCCR 377; Dyer v
Brady 2006 SCCR 629). It was a public order offence. Reference was made to Webster v Dominick 2003 SCCR 525, where the crime of public indecency had been discussed. Reference was also made to Raffaelli v Heatly 1949 JC 101,
" ... the conduct must be flagrant and
severe enough to cause alarm to any ordinary person or threaten serious
disturbance to the community if anyone were to learn about it or discover it".
The disjunctive ("or") had again been used in the immediately
following sentence. The fact that the
sheriff had later said that the jury had to be satisfied that in the
circumstances in which the libelled behaviour, if proved, took place "that was
or was likely to be genuinely alarming and seriously disturbing to any ordinary
reasonable person" had not cured the misdirection. By defining the crime in terms of the
disjunctive the sheriff had left it open to the jury, if satisfied that the
complainer had reasonably been alarmed by the conduct, to find the appellant
guilty without going on to consider whether this had had any public order
consequences.
Submissions for the
Crown
[13] As regards the
fifth ground of appeal, it was not accepted that the use of the disjunctive by
the sheriff in defining the crime constituted a misdirection. The two elements, namely, conduct severe
enough (1) to cause alarm to ordinary people and (2) to threaten serious
disturbance to the community were saying much the same thing. The Lord Justice Clerk's formulation in
[14] As regards the
first ground of appeal, it was important to notice that it was not necessary in
an indictment or complaint to specify a nomen
iuris (Criminal Procedure (Scotland) Act 1995, Schedule 3, para 2). It was also lawful in circumstances such as
the present to convict of a common law offence although the charge was of a
statutory contravention (Schedule 3, para. 14).
Accordingly, even had no amendment been made, it would have been open to
the jury to convict the appellant on each of charges (5) and (6) of breach of
the peace. The procedure adopted by the
prosecutor, namely, seeking amendment prior to the commencement of the trial,
was fair to the appellant by giving him notice not only of the facts alleged
but also of the criminal classification upon which the prosecutor intended to
found. The power to amend under section
96 was very wide (Dyce v Aitchison, per Lord Grieve at page
513). If the species facti remained the same, the character of the offence was
not changed (Dyce v Aitchison, per Lord Justice Clerk Wheatley
at page 513). Reference was also made to
Mackenzie v Brougham 1985 JC 15, Cook v
Jessop 1990 JC 286 and Wadbister Offshore Limited v Adam 1997 JC 56. There was no possible prejudice to the
appellant in what had occurred. The
allowance of amendment had been well within the discretion of the sheriff. On the question of what constituted a
"fundamental nullity" reference was made to Robertson
v Frame 2006 SCCR 151, per Lord
Rodger of Earlsferry at para. [49].
Discussion
[16] Charges (5)
and (6) on the indictment as framed were on their face each irrelevant. They alleged contraventions of section 6 of
the Criminal Law (Consolidation)(
"However wide the power of amendment
under the Summary Procedure Act may be, it cannot extend to the essential
requisites of a criminal charge. Time
and place are both essential, for very obvious reasons, to the defence of the
accused; and I cannot think that after
the proof of the facts had been concluded it could possibly be competent to
introduce the specification of a locus
to which the proof had not been addressed."
Lord Young observed that it was "one of the fundamental rules
of our law that any complaint charging an offence shall state the locus where the offence was committed"
(page 201); he appeared to have rested
that view on the circumstance that a sheriff could not proceed at all unless
the fact that he had jurisdiction appeared on the face of the complaint. In Thomson,
Petitioner 1997 SLT 322 it was observed, under reference to Stevenson v McLevy, that there was ample authority for the proposition that
specification of a locus was an essential element of any criminal charge (Lord
Justice Clerk Ross at page 323) - with the effect that charges omitting a locus were incompetent and amounted to a
fundamental nullity (page 324). In Robertson v Frame at para. [49] Lord Rodger described the term
"fundamental nullity" as "conclusionary in nature".
"All that [the provision] is designed
to ensure is that where it appears that a charge purports to libel a particular
category of offence known to the law, and it matters not whether it has done so
in a wholly relevant and specific way, no amendment to such a charge which is
proposed shall be allowed which would have the effect by changing the species facti or otherwise, of altering
the character of the offence to which the charge in its original form appears
to be directed."
The expression "or otherwise" suggest that there may be
circumstances in which an alteration other than of the species facti may be such as to change the character of the
offence. We do not accordingly exclude
the possibility that some such other change might be prohibited by the
statute. However, while there are
important differences between the indicia of a contravention of section 6 of
the 1995 Act and of the common law offence of breach of the peace, these are
not in the circumstances of this case sufficiently radical, in our view, to
change the character of the offence. It
is essentially a matter of degree. Here
it is the same conduct involving the same complainer at the same time and
place. It is not necessary to specify by
any nomen iuris the offence which is
charged (Schedule 3, para. 2). The
circumstance that, in furtherance of para. 14 of Schedule 3, a conviction for
breach of the peace would have been lawful where the charge libelled was under
section 6, also tends to confirm that amendment here was within the scope of
section 96. In these circumstances the
first ground of appeal must be rejected.
[20] It is
convenient now to deal with the fourth ground.
A narrative of the evidence adduced by the Crown in support of charges
(5) and (6) is necessary for the purpose of addressing this ground. The appellant, who at the date when the
offences are alleged to have been committed was 37 years of age, was a friend
of the parents of NR, who was herself then 17.
She was anxious to learn to drive.
As at April 2004 NR's father was in hospital and so unable to
assist. The problem having been
mentioned during a hospital visit when the appellant was present, he arrived at
NR's home at about
"I just froze. He cuddled me but it wasn't a cuddle. He'd hold you like you were in a
relationship. He pulled me very close to
his body. It was very tight. I felt scared and dirty."
[22] In Smith v Donnelly this court examined the existing authorities on breach of
the peace with a view to determining whether bringing proceedings on such a
charge, as developed, violated the requirements of Article 7 of the Convention
(no punishment without law). The court
held that, on a sound interpretation of these authorities, the definition of
the crime was such as to meet the requirements of the Convention. Taking
" ... it could be conduct that is
active or passive, it could involve actual harm or none, but the conduct must
be flagrant and severe enough to cause alarm to any ordinary person or threaten
serious disturbance to the community if anyone were to learn about it or
discover it. It involves causing
substantially more than mere irritation or annoyance, it is conduct which in
the particular circumstances in which it occurred would be genuinely alarming
or disturbing to any reasonable person who witnessed it."
Having referred to certain other aspects of the charge, the
sheriff concluded that, to return a verdict of guilty on charges (5) and (6),
the jury would have to be satisfied that the appellant behaved in the way
described in these charges
"and that in the circumstances in
which that behaviour took place that conduct was or was likely to be genuinely
alarming and seriously disturbing to any ordinary reasonable person".
It is clear from these extracts that at two adjacent and
important sections of his definitional directions the sheriff used the
disjunctive "or" rather than the conjunctive "and". The later passage where the conjunctive is
used does not bear to be a correction of what was said earlier. That later passage reflects to some extent,
though not precisely, what was said in the final sentence of paragraph [17] of Smith v Donnelly. The earlier
passages reflect to some extent the language in the fourth sentence of that
paragraph but importantly do not replicate the conjunctive used there. The Advocate depute argued that the two elements
conjunctively expressed in that fourth sentence were each in effect saying the
same thing in different words and that the use of the disjunctive was
accordingly not a misdirection. We
reject that argument. Although the two
elements in the conjunctive expression may include common elements and the same
evidence in particular circumstances may cover both, they focus on different
things. In particular, the former
element highlights the objective character of relevant alarm while the latter
highlights the community aspect of the offence.
Any definition of breach of the peace should use the conjunctive. It was the conjunctive which was used by Lord
Justice Clerk Macdonald in the passage in
[25] As we have
rejected the first ground of appeal, the second ground does not arise.