Judgments - Regina v. G and another (Appellants) (On
Appeal from the Court of Appeal (Criminal Division))
OPINIONS
OF THE LORDS OF APPEAL
FOR JUDGMENT IN THE CAUSE
Regina v. G and another (Appellants) (On Appeal from
the Court of Appeal (Criminal Division))
ON
THURSDAY 16 OCTOBER 2003
The Appellate Committee comprised:
Lord Bingham of Cornhill
Lord Browne-Wilkinson
Lord Steyn
Lord Hutton
Lord Rodger of Earlsferry
HOUSE OF LORDS
OPINIONS OF THE LORDS OF APPEAL FOR JUDGMENT
IN THE CAUSE
Regina v. G and another (Appellants) (On Appeal from the
Court of Appeal (Criminal Division))
[2003] UKHL 50
LORD BINGHAM OF CORNHILL
My Lords,
- The point of law of general public importance
certified by the Court of Appeal to be involved in its decision in the
present case is expressed in this way:
"Can a defendant properly be convicted under section 1 of the
Criminal Damage Act 1971 on the basis that he was reckless as to
whether property was destroyed or damaged when he gave no thought to
the risk but, by reason of his age and/or personal characteristics the
risk would not have been obvious to him, even if he had thought about
it?".
The appeal turns on the meaning of "reckless" in that section. This
is a question on which the House ruled in R v Caldwell [1982] AC 341, a ruling affirmed by the House in later decisions. The House is
again asked to reconsider that ruling.
- The agreed facts of the case are very simple.
On the night of 21-22 August 2000 the appellants, then aged 11 and 12
respectively, went camping without their parents' permission. In the
early hours of 22 August they entered the back yard of the Co-op shop in
Newport Pagnell. They found bundles of newspapers which they opened up
to read. The boys then lit some of the newspapers with a lighter they
had with them. Each of them threw some lit newspaper under a large
plastic wheelie-bin, between which and the wall of the Co-op there was
another similar wheelie-bin. The boys left the yard without putting out
the burning papers. The newspapers set fire to the first wheelie-bin and
the fire spread from it to the wheelie-bin next to the shop wall. From
the second bin the fire spread up under the overhanging eave, to the
guttering and the fascia and then up into the roof space of the shop
until eventually the roof of the shop and the adjoining buildings caught
fire. The roof collapsed. Approximately £1m worth of damage was caused.
The appellants' case at trial was that they expected the newspaper fires
to extinguish themselves on the concrete floor of the yard. It is
accepted that neither of them appreciated that there was any risk
whatsoever of the fire spreading in the way that it eventually did.
- An indictment was preferred against the
appellants charging them with arson contrary to section 1(1) and (3) of
the Criminal Damage Act 1971. The particulars of the offence charged
were that they on 22 August 2000 "without lawful excuse damaged by fire
commercial premises belonging to … others being reckless as to whether
such property would be damaged".
- Section 1 of the 1971 Act provides:
"1. (1) A person who without lawful excuse destroys or
damages any property belonging to another intending to destroy or
damage any such property or being reckless as to whether any such
property would be destroyed or damaged shall be guilty of an offence.
(2) A person who without lawful excuse destroys or
damages any property, whether belonging to himself or another -
(a) intending to destroy or damage any property or
being reckless as to whether any property would be destroyed or
damaged; and
(b) intending by the destruction or damage to endanger
the life of another or being reckless as to whether the life of
another would be thereby endangered;
shall be guilty of an offence.
(3) An offence committed under this section by
destroying or damaging property by fire shall be charged as arson."
Section 4(1) of the Act provides that a person guilty of arson under
section 1 shall on conviction on indictment be liable to imprisonment
for life.
The trial
- The appellants stood trial before His Honour
Judge Maher in March 2001. At the outset of the trial, submissions were
made on the meaning of "reckless" in section 1(1) since the appellants
were charged with being reckless whether the premises would be destroyed
or damaged and not with intending to destroy or damage them. The judge
ruled (in effect) that he was bound to direct the jury in accordance
with R v Caldwell [1982] AC 341.
- This is what the judge did. He helpfully
provided the jury with a typed copy of this part of his direction and
said:
"If we look at this together, what the prosecution have to prove
is: (1) the defendant damaged by fire the building, the commercial
premises, shown in the photographs; (2) that the defendant in doing
what he did, created a risk which would have been obvious to an
ordinary, reasonable bystander watching that the building, the
commercial premises, would be damaged by fire; and (3) that when he,
meaning a defendant, did what he did, either he had not given any
thought to the possibility of there being such a risk, or having
recognised that there was some risk involved in doing what he did,
nonetheless went on and did the act. The word 'risk' which appears in
paragraph 3 means, as will be apparent, I hope, from the wording of
paragraph 2, the risk that the building would be damaged by fire. So,
those are the matters which the prosecution have to prove."
The judge pointed out that proof of the first of these matters was
not in dispute. The judge then addressed the second matter and
continued:
"That does not mean the boys are guilty of this offence, because
it is questions nos 2 and 3 which are at the heart of this case.
Question no 2: that the defendant, in doing what he did, created a
risk which would have been obvious to an ordinary, reasonable
bystander watching that the building, the commercial premises, would
be damaged by fire. So, this requires you to find as a fact on the
whole of the evidence in the case, what did they do? Having
established that, this is the test that you will apply: first, focus
upon the moment when the two boys left the compound. Then, find as a
fact, upon the evidence, what it was that would have been visible to
the reasonable bystander, the ordinary reasonable bystander, looking
on. Then, ask yourselves question no. 2: at that moment, having
determined that, would it have been obvious to that ordinary,
reasonable bystander that there was a risk that the fire would spread
from paper, or papers, to bin, or bins, up to the building? It is not
necessary for the ordinary reasonable bystander to have foreseen in
his mind the full extent of the damage which in fact occurred because,
as you will well know, once fire takes hold, it is probably anybody's
guess where it is going to end up.
The ordinary, reasonable bystander is an adult. He does not have
expert knowledge. He has got in his mind that stock of everyday
information which one acquires in the process of growing up. This is
why to leave this question to a jury of twelve is probably the best
tribunal that one could have for answering this question. You will
notice also that we are using the language, the vocabulary of risk -
not certainty. When you answer this question as to whether it would
have been obvious to an ordinary reasonable bystander watching that
the fire, in effect, would spread as I have just explained it, the
ages of these defendants are irrelevant. Their good characters are
irrelevant. No allowance is made by the law for the youth of these
boys or their lack of maturity or their own inability, if such you
find it to be, to assess what was going on. So, if it would have been
obvious to an ordinary, reasonable bystander that there was a risk of
the fire spreading (as I have just described) to the building, it is
irrelevant that you say, 'Well, we think this is a bit harsh. We don't
think it would have been apparent to these boys, even though it might
have been apparent to an ordinary, reasonable bystander'. It is too
bad. So, in that sense, when you are answering this question, you
leave wholly on one side everything you know about these two young
boys here because - I repeat - it is what would have been perceived by
the ordinary, reasonable bystander which is the test."
The judge observed:
"Now, I say to you, quite frankly, that you may think this is a
harsh test to apply to youngsters, because no allowance is made for
age and immaturity. Many people would be sympathetic with you. But, it
is my task to expound the law to you as it is, and it is your duty to
apply the law as it is - not as you might like it to be - to the facts
of the case. Sympathy can play no part in the answering of this
question.
Now, I cannot tell you - or even begin to help you - and it would
be quite wrong for me to try and help you, with what the ordinary,
reasonable bystander would not have perceived as a risk in terms of
the fire spreading from paper to bin, to building. You have heard the
evidence and you will decide."
The judge then directed the jury on the third of the matters he had
listed:
"Let me assume the prosecution have jumped hurdle no. 2. Hurdle
no. 3 must also be jumped, and here you see it is in two parts: that
when he did what he did, either he had not given any thought to the
possibility of there being such a risk, or having recognised that
there was some risk involved in doing what he did, nonetheless he went
on and did the act.
Now, I begin with the second part of paragraph 3 which is a
question that does concern the state of mind of the two boys. If you
were to say, 'We are, all twelve of us, satisfied so that we are sure
that these boys when they started the fire and left the compound,
appreciated in their minds that there was some risk of the fire
spreading from paper to bin, to soffit, to building, and nonetheless
went on and did what they did', then it is difficult to see how they
could be anything other than guilty of this offence. It is not
primarily the way the prosecution put their case. As you know, to cut
a long story short, the boys have said to you, each of them, as they
said in their second interview to the police, that it never crossed
their minds for a moment that there was this risk of the fire actually
spreading to the building itself. Now, it is a matter for you whether
you believe them, but I am going to proceed on the basis that you will
say either that you are satisfied that they --- that their minds did
not perceive the risk of the fire spreading to the building, or you
will say, 'Well, we can't be sure that that serious finding can be
made against them'. If that is so, then the first part of paragraph 3
is satisfied - that they had not given any thought to the possibility
of there being such a risk - that is, a risk of the fire spreading, as
I have just described, to the building itself. You will see that if a
defendant says, 'I didn't give any thought whatsoever to the
possibility of the fire spreading from what I had done to a building
itself', that is no defence if question no 2 is answered by a jury
against such a person. So, pulling it all together - and I suspect
that your deliberations may centre around this - if you say, 'Well,
hurdle no. 1 is jumped, and we don't think these young boys, in their
minds, gave any thought to the possibility of the fire spreading from
paper, to bin, to soffit, to building, but ---- but, it would have
been obvious to an ordinary, reasonable bystander watching that the
fire might spread to the building, and that the building might be
damaged by the fire', then they are guilty of the offence."
- After the jury had retired on the afternoon of
21 March the judge made clear, in the presence of the appellants, that
"nothing unpleasant" awaited them even if the jury convicted. But the
jury had difficulty reaching a verdict. Later that afternoon they asked
the judge why they should consider the risk as perceived by a reasonable
person or layman. He replied:
"The answer to that lies in my task. My task is to give you
directions on the law as it is, and it is your task to apply the
directions on the law as I have expounded it to you to the facts as
you find them. I am not free to give you a direction on the law which
perhaps some of us might like it to be; nor are you free to substitute
your own view of what the law is for the law as I have explained it to
you. At the beginning of the trial you took an oath to try the case on
the evidence presented to you, and part of that involves taking the
law from me. That is my function.
Just to explain a little more to you, the Criminal Damage Act 1971
creates the offence of criminal damage. It was not new; it has
existed, as you know, for centuries. But, that is the up-to-date
statute. The higher courts - the House of Lords, in particular ----
The Law Lords have given guidance to all courts as to how juries are
to be directed as to the meaning of the word 'reckless' in this
context. That direction must be followed by trial judges because I am
no more free to invent the law, or to make it up as I go along, than
anyone else is. It is my task to do my best to identify the law, and
to expound it to a jury clearly and accurately so that the jury know
what the relevant principles of law are. That is what I have done.
That is the task that every judge in every trial has. The jury must
act upon the direction which they are given. You may remember, I said
that some may feel it is a harsh test, and there are many who would be
sympathetic to that view. But, sympathy does not permit me to give you
a direction on the law other than as it is.
Similarly, applying that direction means that you - if I may
answer your question - must consider the risk as perceived by a
reasonable person or layman because that is the test; that is the law
which is applicable in this area."
The judge went on to repeat his direction on the three matters the
prosecution had to prove. The jury were unable to agree on a verdict
that afternoon. They returned on another day and convicted. On receiving
the verdict the judge adjourned the proceedings for a pre-sentence
report, but said:
"For the benefit of whoever may speak to the preparer of the
report, I am quite satisfied that they did not intend to burn down the
building. Indeed, the prosecution never alleged that they so intended.
I am quite satisfied in my mind that they subjectively did not
perceive a risk in their minds that the building would be burned down.
As we know, the question posed by the jury as to why they had to act
upon the direction which I gave to them strongly suggests to me - and
this is the basis upon which I propose to proceed - that the correct
approach to sentence is that they have been convicted - this is the
basis upon which I propose to sentence - that the risk they created
would have been perceived by an adult; by a reasonable bystander as
carrying with it a risk of damage to the building."
The judge expressed regret at the law he had felt bound to apply, and
added:
"I am satisfied in my mind that this is just one of those almost
childish - maybe 'prank' is too mild a word - which just went horribly
wrong, and there, but for the grace of God, go many people.
Members of the jury, with respect, it is irrelevant as to whether
you share these sentiments, but I see that some of you may do."
In due course the judge made a one year supervision order in the case
of each appellant. It was not suggested in argument before the House
that the judge's directions to the jury were other than correct on the
law as then understood and applied.
The historical background
- Section 51 of the Malicious Damage Act 1861
(24 & 25 Vict c 97) provided, so far as relevant,
"Whosoever shall unlawfully and maliciously commit any damage,
injury, or spoil to or upon any real or personal property whatsoever
….. the damage, injury, or spoil being to an amount exceeding five
pounds, shall be guilty of a misdemeanour ….."
The defendant in R v Pembliton (1874) LR 2 CCR 119 was charged
under this section. He had been fighting in the street and had picked up
a large stone and thrown it at the people he had been fighting with. The
stone missed its human target but broke a window causing damage of a
value exceeding £5. The jury convicted the defendant, although finding
that he had not intended to break the window, and the recorder referred
the case to the Court of Crown Cases Reserved (Lord Coleridge CJ,
Blackburn J, Pigott B, Lush J and Cleasby B) which quashed the
conviction. The words "unlawfully and maliciously" were very widely used
in the 1861 Act and the issue on appeal was whether the defendant had
acted "maliciously". Lord Coleridge CJ said (at page 122):
"… it seems to me that what is intended by the statute is a wilful
doing of an intentional act. Without saying that if the case had been
left to them in a different way the conviction could not have been
supported, if, on these facts, the jury had come to a conclusion that
the prisoner was reckless of the consequence of his act, and might
reasonably have expected that it would result in breaking the window,
it is sufficient to say that the jury have expressly found the
contrary."
Blackburn J was of the same opinion:
"The jury might perhaps have found on this evidence that the act
was malicious, because they might have found that the prisoner knew
that the natural consequence of his act would be to break the glass,
and although that was not his wish, yet that he was reckless whether
he did it or not; but the jury have not so found, and I think it is
impossible to say in this case that the prisoner has maliciously done
an act which he did not intend to do."
Thus the court interpreted "maliciously" as requiring proof of
intention, but were inclined to accept that intention could be shown by
proof of reckless disregard of a perceived risk. This was also the
approach followed in R v Welch (1875) LR1 QBD 23, where the
defendant faced charges of unlawfully and maliciously killing, maiming
and wounding a mare contrary to section 40(1) of the 1861 Act. The trial
judge was held to have been right to direct the jury to convict if they
found that the defendant in fact intended to kill, maim or wound the
mare or, in the alternative, that he knew that what he was doing would
or might kill, maim or wound the mare and nevertheless did what he did
recklessly and not caring whether the mare was injured or not.
- The first eight sections of the 1861 Act all
related to arson and all used the expression "unlawfully and
maliciously". In the first edition of his Outlines of Criminal
Law published in 1902, Professor Kenny addressed the meaning of
"maliciously" with particular reference to arson. He wrote (pages
163-165, footnotes omitted):
"(a) 'Maliciously.' Burning a house by any mere negligence,
however gross it be, is, as we have seen, no crime; (an omission in
our law which may well be considered as deserving the attention of the
legislature). Even the fact that this gross negligence occurred in the
course of the commission of an unlawful act, or even of a felonious
one, will not suffice to render the consequent burning-down indictable
as an arson. For in any statutory definition of a crime, 'malice'
must, as we have already seen, be taken?not in its vague common law
sense as a 'wickedness' in general, but?as requiring an actual
intention to do the particular kind of harm that in fact was done.
Consequently, if a criminal, when engaged in committing some burglary
or other felony, negligently sets fire to a house, he usually will not
be guilty of arson ….. But it must not be supposed that everyone who
has maliciously set fire to some article which it is not arson to
burn, will necessarily become guilty of arson if the fire should
happen to spread to an arsonable building. For when a man
mischievously tries to burn some chattel inside a house, and thereby,
quite accidentally and unintentionally, sets fire to the house, this
does not constitute an arson. And even if his setting fire to this
chattel inside the building was intrinsically likely to result
in setting fire to the building itself, he still will not necessarily
be guilty of arson. For it is essential to arson that the incendiary
either should have intended the building to take fire, or, at least,
should have recognised the probability of its taking fire and have
been reckless as to whether or not it did so. Of course the mere fact
that this probability was an obviously manifest one will be strong
evidence to warrant the jury in finding, if they think fit, that the
prisoner did, in fact, thus recognise the danger and regard it with
indifference."
One of the cases cited by Kenny was R v Harris (1882) 15 Cox
CC 75, where the charge was of setting fire to a dwelling house. The
judge, at page 77, directed the jury:
"Again, if you think that the prisoner set fire to the frame of
the picture with a knowledge that in all probability the house itself
would thereby be set on fire, and that he was reckless and utterly
indifferent whether the house caught fire or not, that is abundant
evidence from which you may, if you think fit, draw the inference that
he intended the probable consequences of his act, and if you draw that
inference, then, inasmuch as the house was in fact set on fire through
the medium of the picture frame, the prisoner's crime would be that of
arson."
This was consistent with the ratio of R v Child (1871) LR1 CCR
307 (also cited by Kenny) where it was held that the defendant had not
intended to set fire to a house and had thought that what he was doing
would not do so. Another case cited by Kenny was R v Faulkner
(1877) 13 Cox 550, decided in the Irish Court of Crown Cases Reserved.
The defendant had set fire to a ship while stealing rum from its hold.
He had been boring a hole by candlelight and some rum had spilled out
and been ignited. It was conceded that he had not intended to burn the
vessel, and his conviction was quashed. Barry J (at page 555) said:
"[R v Pembliton] must be taken as deciding that to
constitute an offence under the Malicious Injuries to Property Act,
section 51, the act done must be in fact intentional and wilful,
although the intention and will may (perhaps) be held to exist in, or
be proved by, the fact that the accused knew that the injury would be
the probable result of his unlawful act, and yet did the act reckless
of such consequences."
- R v Pembliton was again relied on in
R v Cunningham [1957] 2 QB 396. The defendant in that case had
wrenched a gas meter from the wall and stolen it. Gas had escaped. He
was charged under section 23 of the Offences against the Person Act 1861
with unlawfully and maliciously causing a noxious thing, namely coal
gas, to be taken by the victim. He pleaded not guilty but was convicted.
Giving the reserved judgment of the Court of Criminal Appeal, Byrne J
said (at page 399-400):
"We have considered those cases [among others, R v Pembliton
and R v Faulkner], and we have also considered, in the
light of those cases, the following principle which was propounded by
the late Professor C S Kenny in the first edition of his Outlines of
Criminal Law published in 1902 and repeated at p.186 of the 16th
edition edited by Mr. J. W. Cecil Turner and published in 1952: 'In
any statutory definition of a crime, malice must be taken not in the
old vague sense of wickedness in general but as requiring either (1)
An actual intention to do the particular kind of harm that in fact was
done; or (2) recklessness as to whether such harm should occur or not
(i.e., the accused has foreseen that the particular kind of harm might
be done and yet has gone on to take the risk of it). It is neither
limited to nor does it indeed require any ill will towards 'the person
injured''. The same principle is repeated by Mr. Turner in his 10th
edition of Russell on Crime at p. 1592."
That was accepted as an accurate statement of the law. In the course
of his able address, Mr Perry (for the Crown) pointed out, correctly,
that the words quoted had not appeared in the first (1902) edition
written by Professor Kenny. It does not, however, appear that the later
summary misrepresents what the Professor had written, quoted in
paragraph 9 above.
- R v Mowatt [1968] 1 QB 421 arose from
the robbery by the defendant of a victim W. When W retaliated, the
defendant struck him in the face. He was charged with wounding with
intent to do grievous bodily harm contrary to section 18 of the Offences
against the Person Act 1861, on which an alternative verdict of unlawful
wounding contrary to section 20 of that Act was open to the jury. The
trial judge gave no direction to the jury on the meaning of
"maliciously" and the jury convicted under section 20. The defendant's
appeal against conviction on the ground of this non-direction failed. In
a judgment of the Court of Appeal (Diplock LJ, Brabin and Waller JJ)
reference was made to R v Cunningham [1957] 2 QB 396 and the
court (page 425) cast no doubt on the proposition that "maliciously in a
statutory crime postulates foresight of consequence", but the court
regarded Professor Kenny's more general statement as inapposite to the
specific alternative statutory offences described in sections 18 and 20
(pages 425-426). The court held (page 426) that "maliciously" imports an
awareness that an act may have the consequence of causing some physical
harm to some other person, even if the harm foreseen was relatively
minor. The court ruled (pages 426-427):
"But where the evidence for the prosecution, if accepted, shows
that the physical act of the accused which caused the injury to
another person was a direct assault which any ordinary person would be
bound to realise was likely to cause some physical harm to the other
person (as, for instance, an assault with a weapon or the boot or
violence with the hands) and the defence put forward on behalf of the
accused is not that the assault was accidental or that he did not
realise that it might cause some physical harm to the victim, but is
some other defence such as that he did not do the alleged act or that
he did it in self-defence, it is unnecessary to deal specifically in
the summing-up with what is meant by the word 'maliciously' in the
section … In the absence of any evidence that the accused did not
realise that it was a possible consequence of his act that some
physical harm might be caused to the victim, the prosecution satisfy
the relevant onus by proving the commission by the accused of an act
which any ordinary person would realise was likely to have that
consequence …"
The 1971 Act
- In its second programme of law reform the
Law Commission, then under the chairmanship of Scarman J, envisaged the
codification of the criminal law. As part of that project it examined a
number of specific offences, among them the law of malicious damage, on
which it published its Working Paper No 23 in April 1969. This described
the Malicious Damage Act 1861, despite five later amending statutes, as
"unsatisfactory" (paragraph 2). In a brief statistical introduction the
Law Commission drew attention (in paragraph 9) to the prevalence of
malicious damage offences among the youngest criminal age group (the 10
to 14 year olds) as well as among other juveniles, and to the fact that
more than half of those convicted of the most serious offence (arson)
were under 21. In a section on "The Mental Element" the Law Commission
referred to a working party which was formulating draft propositions on
the mental element in crime and observed (in paragraph 31):
"For the present purpose, we assume that the traditional elements
of intention, knowledge and recklessness (in the sense of foresight
and disregard of consequences or awareness and disregard of the
likelihood of the existence of circumstances) will continue to be
required for serious crime."
In paragraph 33 of the working paper the Law Commission identified
"intent to do the forbidden act or recklessness in relation to its
foreseen consequences" as the "essential mental element in the existing
malicious damage offences" and quoted with the apparent approval the
passage from R v Cunningham [1957] 2 QB 396 which is set out in
paragraph 10 above. The Law Commission considered that the word
"maliciously" should be avoided (paragraph 34) and favoured its
replacement by "wilful or reckless" (paragraph 64). It proposed
(paragraph 68) that the new group of offences should require
"traditional mens rea, in the sense of intention or recklessness
in relation to prescribed consequences and, where appropriate, knowledge
or recklessness in relation to prescribed circumstances". The working
paper does not suggest that the law as then understood was thought to be
leading to unjustified acquittals. In a published comment on the working
paper, Professor Brian Hogan wrote ([1969] Crim LR 283, 288):
"What is implicit in 'maliciously' in the present law will appear
explicitly as intention or recklessness in the new code. No doubt the
meanings ascribed to intention and recklessness in the codification of
the general principles will be applied mutatis mutandis to
offences of damage to property."
- In its Report on Offences of Damage to
Property (Law Com. No 29) published in July 1970, the Law Commission
broadly followed, in respects relevant to this appeal, the lines of the
working paper. On the mental element of criminal damage offences the Law
Commission said (in paragraph 44):
"44. In the area of serious crime (in contrast to
offences commonly described as 'regulatory offences' in which the test
of culpability may be negligence, or even a test founded on strict
liability) the elements of intention, knowledge or recklessness have
always been required as a basis of liability. The tendency is to
extend this basis to a wider range of offences and to limit the area
of offences where a lesser mental element is required. We consider,
therefore, that the same elements as are required at present should be
retained, but that they should be expressed with greater simplicity
and clarity. In particular, we prefer to avoid the use of such a word
as 'maliciously', if only because it gives the impression that the
mental element differs from that which is imposed in other offences
requiring traditional mens rea. It is evident from such cases
as R v Cunningham and R v Mowatt that the word can give
rise to difficulties of interpretation. Furthermore, the word
'maliciously' conveys the impression that some ill-will is required
against the person whose property is damaged. ….."
It does not appear from the report that the Law Commission's
consultation had elicited any complaint that the existing law was unduly
favourable to defendants. Annexed to the report was a draft bill: in
this clause 1(1) and (2) were exactly as enacted in the 1971 Act, but
what became section 1(3) was omitted. On 16 June 1970, a month before
this report was published, the Law Commission had published its working
paper No 31 (General Principles: The Mental Element in Crime). In
that working paper a definition of recklessness was proposed (on page
48):
"A person is reckless if,
(a) knowing that there is a risk that an event may result from his
conduct or that a circumstance may exist, he takes that risk, and
(b) it is unreasonable for him to take it having regard to the
degree and nature of the risk which he knows to be present."
In the 1971 Act as passed all except six sections of the Malicious
Damage Act 1861, a lengthy Act, were repealed, very much as the Law
Commission had proposed.
- Enactment of the 1971 Act did not at once
affect the courts' approach to the causing of unintentional damage. In
R v Briggs (Note) [1977] 1 WLR 605 the defendant had been charged
under section 1(1) of the 1971 as a result of damage caused to a car and
the appeal turned on the trial judge's direction on the meaning of
"reckless". The appeal succeeded since the judge had not adequately
explained that the test to be applied was that of the defendant's state
of mind. The Court of Appeal (James LJ, Kenneth Jones and Pain JJ) ruled
(at page 608):
"A man is reckless in the sense required when he carries out a
deliberate act knowing that there is some risk of damage resulting
from that act but nevertheless continues in the performance of that
act."
This definition was adopted but modified in R v Parker (Daryl)
[1977] 1 WLR 600 where the defendant in a fit of temper had broken a
telephone by smashing the handset violently down on to the telephone
unit and had been convicted under section 1(1) of the 1971 Act. The
court (Scarman and Geoffrey Lane LJJ and Kenneth Jones J) readily
followed R v Briggs (Note) (page 603) but held that the defendant
had been fully aware of all the circumstances (page 603) and that if
(page 604)
"he did not know, as he said he did not, that there was some risk
of damage, he was, in effect, deliberately closing his mind to the
obvious - the obvious being that damage in these circumstances was
inevitable."
The court accordingly modified the Briggs definition in this
way (page 604):
"A man is reckless in the sense required when he carried
[sic] out a deliberate act knowing or closing his mind to the
obvious fact that there is some risk of damage resulting from that act
but nevertheless continuing in the performance of that act."
This modification made no inroad into the concept of recklessness as
then understood since, as pointed out by Professor Glanville Williams,
Textbook of Criminal Law (1978), page 79, cited by Lord
Edmund-Davies in his dissenting opinion in R v Caldwell [1982] AC 341, 358,
"A person cannot, in any intelligible meaning of the words, close
his mind to a risk unless he first realises that there is a risk; and
if he realises that there is a risk, that is the end of the matter."
- The meaning of "reckless" in section 1(1) of
the 1971 Act was again considered by the Court of Appeal (Geoffrey Lane
LJ, Ackner and Watkins JJ) in R v Stephenson [1979] QB 695. The
defendant had tried to go to sleep in a hollow he had made in the side
of a haystack. Feeling cold, he had lit a fire in the hollow which had
set fire to the stack and damaged property worth £3500. He had been
charged and convicted under section 1(1) and (3) of the 1971 Act. The
defendant however had a long history of schizophrenia and expert
evidence at trial suggested that he may not have had the same ability to
foresee or appreciate risks as the mentally normal person. Giving the
reserved judgment of the court, Geoffrey Lane LJ (at pages 700-703)
reviewed the definition of recklessness in the Law Commission's Working
Paper No 31 (see paragraph 13 above), the acceptance of that definition
by the leading academic authorities and the House of Lords' adoption of
a subjective meaning of recklessness in tort in Herrington v British
Railways Board [1972] AC 877. The court (at page 703) thought it
fair to assume that those who were responsible for drafting the 1971 Act
were intending to preserve its legal meaning as described in Kenny and
expressly approved in R v Cunningham [1957] 2 QB 396. The court
then continued:
"What then must the prosecution prove in order to bring home the
charge of arson in circumstances such as the present? They must prove
that (1) the defendant deliberately committed some act which caused
the damage to property alleged or part of such damage; (2) the
defendant had no lawful excuse for causing the damage; these two
requirements will in the ordinary case not be in issue; (3) the
defendant either (a) intended to cause the damage to the property, or
(b) was reckless as to whether the property was damaged or not. A man
is reckless when he carries out the deliberate act appreciating that
there is a risk that damage to property may result from his act. It is
however not the taking of every risk which could properly be classed
as reckless. The risk must be one which it is in all the circumstances
unreasonable for him to take. Proof of the requisite knowledge in the
mind of the defendant will in most cases present little difficulty.
The fact that the risk of some damage would have been obvious to
anyone in his right mind in the position of the defendant is not
conclusive proof of the defendant's knowledge, but it may well be and
in many cases doubtless will be a matter which will drive the jury to
the conclusion that the defendant himself must have appreciated the
risk."
The appeal was accordingly allowed. But the court recognised that
what it called the subjective definition of recklessness produced
difficulties. One of these was where a person by self-induced
intoxication deprived himself of the ability to foresee the risks
involved in his actions. The court suggested that a distinction was to
be drawn between crimes requiring proof of specific intent and those,
such as offences under section 1(1) of the 1971 Act, involving no
specific intent:
"Accordingly it is no defence under the Act of 1971 for a person
to say that he was deprived by self-induced intoxication of the
ability to foresee or appreciate an obvious risk" (page 704)."
- In the 1979 (40th) edition of Archbold
Pleading, Evidence and Practice in Criminal Cases, on which jury
directions were no doubt routinely based at the time, the better view
was said (page 958, paragraph 1443c) to be
"that whereas 'intent' requires a desire for consequences or
foresight or probable consequences, 'reckless' only requires foresight
of possible consequences coupled with an unreasonable willingness to
risk them."
R v Caldwell
- R v Caldwell [1982] AC 341 was a case
of self-induced intoxication. The defendant, having a grievance against
the owner of the hotel where he worked, got very drunk and set fire to
the hotel where guests were living at the time. He was indicted upon two
counts of arson. The first and more serious count was laid under section
1(2) of the 1971 Act, the second count under section 1(1). He pleaded
guilty to the second count but contested the first on the ground that he
had been so drunk at the time that the thought there might be people in
the hotel had never crossed his mind. His conviction on count 1 was set
aside by the Court of Appeal which certified the following question:
"Whether evidence of self-induced intoxication can be relevant to
the following questions - (a) Whether the defendant intended to
endanger the life of another; and (b) Whether the defendant was
reckless as to whether the life of another would be endangered, within
the meaning of section 1(2)(b) of the Criminal Damage Act 1971."
In submitting that the two questions should be answered (a) Yes and
(b) No, counsel for the Crown did not challenge the correctness of R
v Briggs (Note) [1977] 1 WLR 605 or R v Stephenson [1979] QB 695.
- In a leading opinion with which Lord Keith
of Kinkel and Lord Roskill agreed, but from which Lord Wilberforce and
Lord Edmund-Davies dissented, Lord Diplock discounted Professor Kenny's
statement of the law approved in R v Cunningham [1957] 2 QB 396
(see paragraph 10 above) as directed to the meaning of "maliciously" in
the 1861 Act and having no bearing on the meaning of "reckless" in the
1971 Act: page 351. It was, he held, no less blameworthy for a man whose
mind was affected by rage or excitement or drink to fail to give his
mind to the risk of damaging property than for a man whose mind was so
affected to appreciate that there was a risk of damage to property but
not to appreciate the seriousness of the risk or to trust that good luck
would prevent the risk occurring: page 352. He observed :
"My Lords, I can see no reason why Parliament when it decided to
revise the law as to offences of damage to property should go out of
its way to perpetuate fine and impracticable distinctions such as
these, between one mental state and another. One would think that the
sooner they were got rid of, the better."
Reference was made to R v Briggs (Note) [1977] 1 WLR 605, R
v Parker (Daryl) [1977] 1 WLR 600 and R v Stephenson [1979] QB 695, but Lord Diplock saw no warrant for assuming that the Act of
1971, whose declared purpose was to revise the law of damage to
property, intended "reckless" to be interpreted as "maliciously" had
been: page 353. He preferred the ordinary meaning of "reckless" which
(pages 353-354):
"surely includes not only deciding to ignore a risk of harmful
consequences resulting from one's acts that one has recognised as
existing, but also failing to give any thought to whether or not there
is any such risk in circumstances where, if any thought were given to
the matter, it would be obvious that there was.
If one is attaching labels, the latter state of mind is neither
more nor less 'subjective' than the first. But the label solves
nothing. It is a statement of the obvious; mens rea is, by definition,
a state of mind of the accused himself at the time he did the physical
act that constitutes the actus reus of the offence; it cannot be the
mental state of some non-existent hypothetical person."
To decide whether a person had been reckless whether harmful
consequences of a particular kind would result from his act it was
necessary to consider the mind of "the ordinary prudent individual"
(page 354). In a passage which has since been taken to encapsulate the
law on this point, and which has founded many jury directions (including
that in the present case) Lord Diplock then said (at page 354):
"In my opinion, a person charged with an offence under section
1(1) of the Criminal Damage Act 1971 is 'reckless as to whether any
such property would be destroyed or damaged' if (1) he does an act
which in fact creates an obvious risk that property will be destroyed
or damaged and (2) when he does the act he either has not given any
thought to the possibility of there being any such risk or has
recognised that there was some risk involved and has nonetheless gone
on to do it. That would be a proper direction to the jury; cases in
the Court of Appeal which held otherwise should be regarded as
overruled."
On the facts Lord Diplock concluded that the defendant's unawareness,
owing to his self-induced intoxication, of the risk of endangering the
lives of hotel residents was no defence if that risk would have been
obvious to him had he been sober (page 355). He held that evidence of
self-induced intoxication was relevant to a charge under section 1(2)
based on intention but not to one based on recklessness (page 356).
- In his dissenting opinion Lord Edmund-Davies
expressed "respectful, but profound, disagreement" with Lord Diplock's
dismissal of Professor Kenny's statement which was "accurate not only in
respect of the law as it stood in 1902 but also as it has been applied
in countless cases ever since, both in the United Kingdom and in other
countries where the common law prevails" (page 357). Lord Edmund-Davies
drew attention to the Law Commission's preparation of the 1971 Act and
its definition of recklessness in Working Paper No 31 (pages 357-358)
and continued:
"It was surely with this contemporaneous definition and the much
respected decision of R v Cunningham [1957] 2 QB 396 in mind
that the draftsman proceeded to his task of drafting the Criminal
Damage Act 1971."
He observed (page 358):
"In the absence of exculpatory factors, the defendant's state of
mind is therefore all-important where recklessness is an element in
the offence charged, and section 8 of the Criminal Justice Act 1967
has laid down that:
'A court or jury, in determining whether a person has committed an
offence,?(a) shall not be bound in law to infer that he intended or
foresaw a result of his actions by reason only of its being a
natural and probable consequence of those actions; but (b) shall
decide whether he did intend or foresee that result by
reference to all the evidence, drawing such inferences from the
evidence as appear proper in the circumstances.'."
Lord Edmund-Davies differed from the majority on the relevance of
evidence of self-induced intoxication: in his opinion such evidence was
relevant to a charge under section 1(2) whether the charge was based on
intention or recklessness (page 361). R v Lawrence (Stephen)
- Judgment was given by the House in R v
Lawrence (Stephen) [1982] AC 510 on the same day as R v
Caldwell [1982] AC 341, although only two members (Lord Diplock and
Lord Roskill) were party to both decisions. The defendant had ridden a
motor cycle along an urban street after nightfall and had collided with
and killed a pedestrian He had been charged and convicted under section
1 of the Road Traffic Act 1972 which made it an offence to cause the
death of another person by driving a motor vehicle on a road recklessly.
His appeal had succeeded on the ground of an inadequate direction to the
jury. The issue on appeal to the House concerned the mental element in a
charge of reckless driving.
- Lord Hailsham of St Marylebone LC, agreeing
with Lord Diplock (page 516) and with the majority in R v
Caldwell (page 521), understood recklessness to evince "a state of
mind stopping short of deliberate intention, and going beyond mere
inadvertence" (page 520). Lord Diplock rehearsed the history of motoring
offences based on recklessness beginning with section 1 of the Motor Car
Act 1903 and applied essentially the same test as laid down in R v
Caldwell, by reference to the "ordinary prudent individual" (page
526). He formulated an appropriate jury direction to the same effect,
mutatis mutandis, as that in R v Caldwell (pages 526-527).
But he added (at page 527):
"It is for the jury to decide whether the risk created by the
manner in which the vehicle was being driven was both obvious and
serious and, in deciding this, they may apply the standard of the
ordinary prudent motorist as represented by themselves.
If satisfied that an obvious and serious risk was created by the
manner of the defendant's driving, the jury are entitled to infer that
he was in one or other of the states of mind required to constitute
the offence and will probably do so; but regard must be given to any
explanation he gives as to his state of mind which may displace the
inference."
Lord Fraser of Tullybelton, Lord Roskill and Lord Bridge of Harwich
agreed with Lord Hailsham and Lord Diplock.
Later cases
- The decisions in R v Caldwell and
R v Lawrence (Stephen) were applied by the House (Lord Diplock,
Lord Keith of Kinkel, Lord Bridge of Harwich, Lord Brandon of Oakbrook
and Lord Brightman) in R v Miller [1983] 2 AC 161, although
subject to a qualification germane to the facts of that case but not to
the facts of the present case (page 179).
- In Elliott v C [1983] 1 WLR 939 the
defendant was a 14-year old girl of low intelligence who had entered a
shed in the early morning, poured white spirit on the floor and set it
alight. The resulting fire had flared up and she had left the shed,
which had been destroyed. She was charged under section 1(1) of the 1971
Act and at her trial before justices the prosecution made plain that the
charge was based not on intention but on recklessness. The justices
sought to apply the test laid down in R v Caldwell but inferred
that in his reference to "an obvious risk" Lord Diplock had meant a risk
which was obvious to the particular defendant. The justices acquitted
the defendant because they found that the defendant had given no thought
at the time to the possibility of there being a risk that the shed and
contents would be destroyed, and this risk would not have been obvious
to her or appreciated by her if she had thought about the matter (page
945). The prosecutor's appeal was allowed. Glidewell J, giving the first
judgment, accepted the submission (pages 945-947) that:
"if the risk is one which would have been obvious to a reasonably
prudent person, once it has also been proved that the particular
defendant gave no thought to the possibility of there being such a
risk, it is not a defence that because of limited intelligence or
exhaustion she would not have appreciated the risk even if she had
thought about it."
Robert Goff LJ felt constrained by the decisions of the House in R
v Caldwell, R v Lawrence (Stephen) and R v Miller to
agree, but he expressed his unhappiness in doing so and plainly did not
consider the outcome to be just. A petition for leave to appeal against
this decision was dismissed by an appeal committee.
- The defendant in R v Stephen Malcolm
R (1984) 79 Cr App R 334 had thrown petrol bombs at the outside wall
of the bedroom of a girl who he believed had informed on him in relation
to a series of burglaries. He had admitted throwing the bombs but
claimed he had done so to frighten the girl and without realising that
if a bomb had gone through the window it might have killed her. He was
charged with arson under section 1(2) of the 1971 Act, on the basis of
recklessness. At trial, it was submitted on the defendant's behalf that
when considering recklessness the jury could only convict him if he did
an act which created a risk to life obvious to someone of his age and
with such of his characteristics as would affect his appreciation of the
risk (page 337). On the trial judge ruling against that submission the
defendant changed his plea and the issue in the Court of Appeal (Ackner
LJ, Bristow and Popplewell JJ) was whether the ruling had been correct.
The court held that it had: if the House had wished to modify the R v
Caldwell principle to take account of, for instance, the age of the
defendant, the opportunity had existed in Elliott v C [1983] 1
WLR 939 and it had not been taken. Although concerned at the principle
it was required to apply, the court had little doubt that on the facts
of the case the answer would have been the same even if the jury had
been able to draw a comparison with what a boy of the defendant's age
would have appreciated.
- On his appeal to the House (Lord Keith of
Kinkel, Lord Roskill, Lord Ackner, Lord Goff of Chieveley and Lord
Browne-Wilkinson) in R v Reid [1992] 1 WLR 793 the defendant,
convicted of causing death by reckless driving contrary to section 1 of
the Road Traffic Act 1972, later re-enacted in section 1 of the Road
Traffic Act 1988, asked the House to reconsider its decision in R v
Lawrence (Stephen) [1982] AC 510 on which the trial judge's
jury direction had been based. The House unanimously affirmed its
earlier decision as correct in principle for essentially the reasons
which Lord Diplock had given. Lord Keith, however, accepted (at page
796) that Lord Diplock's suggested jury direction might call for
modification or addition:
"where the driver acted under some understandable and excusable
mistake or where his capacity to appreciate risks was adversely
affected by some condition not involving fault on his part. There may
also be cases where the driver acted as he did in a sudden dilemma
created by the actions of others."
Lord Ackner (page 806) drew attention to Lord Diplock's acceptance
that "regard must be given to any explanation [the defendant] gives as
to his state of mind which may displace the inference" (see paragraph 21
above) and commented:
"I read this as no more than a cautionary instruction to the jury
that, while it would be open to them at first sight to find that the
accused was driving recklessly from the mere manner of his driving, if
it shows a clear disregard for the lives or safety of others without
any explanation for this conduct, yet before reaching any firm
conclusions they must have regard to any explanation which accounts
for his conduct. In short, they must have regard to all the available
evidence."
Lord Ackner (page 805), Lord Goff (page 807) and my noble and learned
friend Lord Browne-Wilkinson (pages 816-817) all, with varying degrees
of emphasis, made plain that their observations were directed to
recklessness in the context of driving and not to recklessness in the
context of section 1 of the 1971 Act or any other context.
- In R v Coles [1995] 1 Cr App R 157 a
15 year old defendant convicted under section 1(2) of the 1971 Act on
the basis of recklessness again challenged, unsuccessfully, the rule
laid down by Lord Diplock in R v Caldwell [1982] AC 341. Since
recklessness was to be judged by the standard of the reasonable prudent
man, it followed that expert evidence of the defendant's capacity to
foresee the risks which would arise from his setting fire to hay in a
barn had been rightly rejected.
- In the present case the Court of Appeal
(Dyson LJ, Silber J and His Honour Judge Beaumont QC) reviewed the
authorities but was in no doubt that the Caldwell test had been
rightly applied: [2002] EWCA Crim 1992, [2003] 3 AllER 206, paragraph 18. It acknowledged
that the Caldwell test had been criticised and had not been
applied in a number of Commonwealth jurisdictions (paragraph 18) and saw
great force in these criticisms (paragraph 23) but held that it was not
open to the Court of Appeal to depart from it.
Conclusions
- The task confronting the House in this
appeal is, first of all, one of statutory construction: what did
Parliament mean when it used the word "reckless" in section 1(1) and (2)
of the 1971 Act? In so expressing the question I mean to make it as
plain as I can that I am not addressing the meaning of "reckless" in any
other statutory or common law context. In particular, but perhaps
needlessly since "recklessly" has now been banished from the lexicon of
driving offences, I would wish to throw no doubt on the decisions of the
House in R v Lawrence [1982] AC 510 and R v Reid [1992] 1
WLR 793.
- Since a statute is always speaking, the
context or application of a statutory expression may change over time,
but the meaning of the expression itself cannot change. So the starting
point is to ascertain what Parliament meant by "reckless" in 1971. As
noted above in paragraph 13, section 1 as enacted followed, subject to
an immaterial addition, the draft proposed by the Law Commission. It
cannot be supposed that by "reckless" Parliament meant anything
different from the Law Commission. The Law Commission's meaning was made
plain both in its Report (Law Com No 29) and in Working Paper No 23
which preceded it. These materials (not, it would seem, placed before
the House in R v Caldwell) reveal a very plain intention to
replace the old-fashioned and misleading expression "maliciously" by the
more familiar expression "reckless" but to give the latter expression
the meaning which R v Cunningham [1957] 2 QB 396 and Professor
Kenny had given to the former. In treating this authority as irrelevant
to the construction of "reckless" the majority fell into understandable
but clearly demonstrable error. No relevant change in the mens rea
necessary for proof of the offence was intended, and in holding
otherwise the majority misconstrued section 1 of the Act.
- That conclusion is by no means determinative
of this appeal. For the decision in R v Caldwell was made more
than 20 years ago. Its essential reasoning was unanimously approved by
the House in R v Lawrence [1982] AC 510. Invitations to
reconsider that reasoning have been rejected. The principles laid down
have been applied on many occasions, by Crown Court judges and, even
more frequently, by justices. In the submission of the Crown, the ruling
of the House works well and causes no injustice in practice. If
Parliament had wished to give effect to the intention of the Law
Commission it has had many opportunities, which it has not taken, to do
so. Despite its power under Practice Statement (Judicial
Precedent) [1966] 1 WLR 1234 to depart from its earlier decisions,
the House should be very slow to do so, not least in a context such as
this.
- These are formidable arguments, deployed by
Mr Perry with his habitual skill and erudition. But I am persuaded by Mr
Newman QC for the appellants that they should be rejected. I reach this
conclusion for four reasons, taken together.
- First, it is a salutary principle that
conviction of serious crime should depend on proof not simply that the
defendant caused (by act or omission) an injurious result to another but
that his state of mind when so acting was culpable. This, after all, is
the meaning of the familiar rule actus non facit reum nisi mens sit
rea. The most obviously culpable state of mind is no doubt an
intention to cause the injurious result, but knowing disregard of an
appreciated and unacceptable risk of causing an injurious result or a
deliberate closing of the mind to such risk would be readily accepted as
culpable also. It is clearly blameworthy to take an obvious and
significant risk of causing injury to another. But it is not clearly
blameworthy to do something involving a risk of injury to another if
(for reasons other than self-induced intoxication: R v Majewski
[1977] AC 443) one genuinely does not perceive the risk. Such a person
may fairly be accused of stupidity or lack of imagination, but neither
of those failings should expose him to conviction of serious crime or
the risk of punishment.
- Secondly, the present case shows, more
clearly than any other reported case since R v Caldwell, that the
model direction formulated by Lord Diplock (see paragraph 18 above) is
capable of leading to obvious unfairness. As the excerpts quoted in
paragraphs 6-7 reveal, the trial judge regretted the direction he (quite
rightly) felt compelled to give, and it is evident that this direction
offended the jury's sense of fairness. The sense of fairness of 12
representative citizens sitting as a jury (or of a smaller group of lay
justices sitting as a bench of magistrates) is the bedrock on which the
administration of criminal justice in this country is built. A law which
runs counter to that sense must cause concern. Here, the appellants
could have been charged under section 1(1) with recklessly damaging one
or both of the wheelie-bins, and they would have had little defence. As
it was, jury might have inferred that boys of the appellants' age would
have appreciated the risk to the building of what they did, but it seems
clear that such was not their conclusion (nor, it would appear, the
judge's either). On that basis the jury thought it unfair to convict
them. I share their sense of unease. It is neither moral nor just to
convict a defendant (least of all a child) on the strength of what
someone else would have apprehended if the defendant himself had no such
apprehension. Nor, the defendant having been convicted, is the problem
cured by imposition of a nominal penalty.
- Thirdly, I do not think the criticism of
R v Caldwell expressed by academics, judges and practitioners
should be ignored. A decision is not, of course, to be overruled or
departed from simply because it meets with disfavour in the learned
journals. But a decision which attracts reasoned and outspoken criticism
by the leading scholars of the day, respected as authorities in the
field, must command attention. One need only cite (among many other
examples) the observations of Professor John Smith ([1981] Crim LR 392,
393-396) and Professor Glanville Williams ("Recklessness Redefined"
(1981) 40 CLJ 252). This criticism carries greater weight when voiced
also by judges as authoritative as Lord Edmund-Davies and Lord
Wilberforce in R v Caldwell itself, Robert Goff LJ in Elliott
v C [1983] 1 WLR 939 and Ackner LJ in R v Stephen Malcolm R
(1984) 79 Cr App R 334. The reservations expressed by the trial judge in
the present case are widely shared. The shopfloor response to R v
Caldwell may be gauged from the editors' commentary, to be found in
the 41st edition of Archbold (1982): paragraph 17-25, pages
1009-1010. The editors suggested that remedial legislation was urgently
required.
- Fourthly, the majority's interpretation of
"recklessly" in section 1 of the 1971 Act was, as already shown, a
misinterpretation. If it were a misinterpretation that offended no
principle and gave rise to no injustice there would be strong grounds
for adhering to the misinterpretation and leaving Parliament to correct
it if it chose. But this misinterpretation is offensive to principle and
is apt to cause injustice. That being so, the need to correct the
misinterpretation is compelling.
- It is perhaps unfortunate that the question
at issue in this appeal fell to be answered in a case of self-induced
intoxication. For one instinctively recoils from the notion that a
defendant can escape the criminal consequences of his injurious conduct
by drinking himself into a state where he is blind to the risk he is
causing to others. In R v Caldwell it seems to have been assumed
(see paragraph 18 above) that the risk would have been obvious to the
defendant had he been sober. Further, the context did not require the
House to give close consideration to the liability of those (such as the
very young and the mentally handicapped) who were not normal reasonable
adults. The overruling by the majority of R v Stephenson [1979] QB 695 does however make it questionable whether such consideration
would have led to a different result.
- In the course of argument before the House
it was suggested that the rule in R v Caldwell might be modified,
in cases involving children, by requiring comparison not with normal
reasonable adults but with normal reasonable children of the same age.
This is a suggestion with some attractions but it is open to four
compelling objections. First, even this modification would offend the
principle that conviction should depend on proving the state of mind of
the individual defendant to be culpable. Second, if the rule were
modified in relation to children on grounds of their immaturity it would
be anomalous if it were not also modified in relation to the mentally
handicapped on grounds of their limited understanding. Third, any
modification along these lines would open the door to difficult and
contentious argument concerning the qualities and characteristics to be
taken into account for purposes of the comparison. Fourth, to adopt this
modification would be to substitute one misinterpretation of section 1
for another. There is no warrant in the Act or in the travaux
préparatoires which preceded it for such an interpretation.
- A further refinement, advanced by Professor
Glanville Williams in his article "Recklessness Redefined" (1981) 40 CLJ
252, 270-271, adopted by the justices in Elliott v C [1983] 1 WLR
939 and commented upon by Robert Goff LJ in that case is that a
defendant should only be regarded as having acted recklessly by virtue
of his failure to give any thought to an obvious risk that property
would be destroyed or damaged, where such risk would have been obvious
to him if he had given any thought to the matter. This refinement also
has attractions, although it does not meet the objection of principle
and does not represent a correct interpretation of the section. It is,
in my opinion, open to the further objection of over-complicating the
task of the jury (or bench of justices). It is one thing to decide
whether a defendant can be believed when he says that the thought of a
given risk never crossed his mind. It is another, and much more
speculative, task to decide whether the risk would have been obvious to
him if the thought had crossed his mind. The simpler the jury's task,
the more likely is its verdict to be reliable. Robert Goff LJ's reason
for rejecting this refinement was somewhat similar (Elliott v C,
page 950).
- I cannot accept that restoration of the law
as understood before R v Caldwell would lead to the acquittal of
those whom public policy would require to be convicted. There is nothing
to suggest that this was seen as a problem before R v Caldwell,
or (as noted above in paragraphs 12 and 13) before the 1971 Act. There
is no reason to doubt the common sense which tribunals of fact bring to
their task. In a contested case based on intention, the defendant rarely
admits intending the injurious result in question, but the tribunal of
fact will readily infer such an intention, in a proper case, from all
the circumstances and probabilities and evidence of what the defendant
did and said at the time. Similarly with recklessness: it is not to be
supposed that the tribunal of fact will accept a defendant's assertion
that he never thought of a certain risk when all the circumstances and
probabilities and evidence of what he did and said at the time show that
he did or must have done.
- In his printed case, Mr Newman advanced the
contention that the law as declared in R v Caldwell was
incompatible with article 6 of the European Convention on Human Rights.
While making no concession, he forebore to address legal argument on the
point. I need say no more about it.
- For the reasons I have given I would allow
this appeal and quash the appellants' convictions. I would answer the
certified question obliquely, basing myself on clause 18(c) of the
Criminal Code Bill annexed by the Law Commission to its Report "A
Criminal Code for England and Wales Volume 1: Report and Draft Criminal
Code Bill" (Law Com No 177, April 1989):
"A person acts recklessly within the meaning of section 1 of the
Criminal Damage Act 1971 with respect to -
(i) a circumstance when he is aware of a risk that it
exists or will exist;
(ii) a result when he is aware of a risk that it will
occur;
and it is, in the circumstances known to him, unreasonable to take
the risk."
LORD BROWNE-WILKINSON
My Lords,
- I agree with the reasons given by Lord
Bingham of Cornhill. I would allow the appeal and answer the certified
question as he proposes.
LORD STEYN
My Lords,
- This appeal raises an important question on
the interpretation of section 1(1) of the Criminal Damage Act 1971. It
provides:
"A person who without lawful excuse destroys or damages any
property belonging to another intending to destroy or damage any such
property or being reckless as to whether any such property would be
destroyed or damaged shall be guilty of an offence."
The focus of the appeal is on the meaning of the words "being
reckless as to whether any such property would be destroyed or damaged".
In broad terms, the issue is whether "reckless" in section 1(1) covers
only advertent wrongdoing or is wide enough to include inadvertent
wrongdoing. In R v Caldwell [1982] AC 341 the House by a 3:2
majority held that the wider interpretation is the correct one. The
House followed Caldwell in later decisions. The House is now
asked to re-examine the question, to depart from Caldwell, and to
rule that the narrower interpretation of section 1(1) is the correct
one.
Departing from a House of Lords decision
- The target of the appellant is an ambitious
one. The relevant words in section 1(1), taken by themselves, are
capable of bearing either the narrower or wider meaning. In these
circumstances it could be said that there was in Caldwell a
choice to be made, and that choice was made by the requisite majority in
favour of the wide view. The conclusion of the House in Caldwell
produced a clear rule expressed by Lord Diplock as follows (at p 354):
". . . a person charged with an offence under section 1(1) of the
Criminal Damage Act 1971 is 'reckless as to whether any such property
would be destroyed or damaged' if (1) he does an act which in fact
creates an obvious risk that property will be destroyed or damaged and
(2) when he does the act he either has not given any thought to the
possibility of there being any such risk or has recognised that there
was some risk involved and has nonetheless gone on to do it. That
would be a proper direction to the jury; cases in the Court of Appeal
which held otherwise should be regarded as overruled."
Lord Diplock also stated (and has always been so understood) that the
criterion is the mind of the ordinary prudent adult individual: at page
354. In accordance with Caldwell no allowance is to be made by a
jury for the youth or lack mental capacity of the defendant. The clarity
of the decision is a factor weighing against departing from it.
Moreover, a fair reading of the judgment of Lord Diplock reveals that
the House was probably influenced by the consideration that the opposite
view could leave beyond the reach of the criminal law wrongdoers who
should be punished. If this perception was correct it would be a strong
thing to depart from such a view. In combination these factors militate
in favour of following Caldwell. A departure from Caldwell
could only be justified if compelling legal considerations demand
it.
Conclusions in outline
- In my view the very high threshold for
departing from a previous decision of the House has been satisfied in
this particular case. In summary I would reduce my reasons to three
propositions. First, in Caldwell the majority should have
accepted without equivocation that before the passing of the 1971 Act
foresight of consequences was an essential element in recklessness in
the context of damage to property under section 51 of the Malicious
Damage Act 1861. Secondly, the matrix of the immediately preceding Law
Commission recommendations shows convincingly that the purpose of
section 1 of the 1971 Act was to replace the out of date language of
"maliciously" causing damage by more modern language while not changing
the substance of the mental element in any way. Foresight of
consequences was to remain an ingredient of recklessness in regard to
damage to property. Thirdly, experience has shown that by bringing
within the reach of section 1(1) cases of inadvertent recklessness the
decision in Caldwell became a source of serious potential
injustice which cannot possibly be justified on policy grounds. These
three propositions require some explanation.
The pre-existing law
- In enacting section 1 of the 1971 Act
Parliament must be presumed to have been aware of the relevant
pre-existing law. The best evidence of the state of the law was the
reserved judgment of the Court of Criminal Appeal in R v
Cunningham [1957] 2 QB 396. Giving the judgment of the Court of
Appeal Byrne J said (at pp 399-400):
"We have considered those cases, and we have also considered, in
the light of those cases, the following principle which was propounded
by the late Professor C S Kenny in the first edition of his Outlines
of Criminal Law published in 1902 and repeated at p 186 of the 16th
edition edited by Mr J W Cecil Turner and published in 1952: 'In any
statutory definition of a crime, malice must be taken not in the old
vague sense of wickedness in general but as requiring either (1) An
actual intention to do the particular kind of harm that in fact was
done; or (2) recklessness as to whether such harm should occur or
not (ie the accused has foreseen that the particular kind of harm
might be done and yet has gone on to take the risk of it). It is
neither limited to nor does it indeed require any ill will towards
"the person injured". The same principle is repeated by Mr Turner in
his 10th edition of Russell on Crime at p 1592.' (Emphasis added)
This was a clear statement that under section 51 of the Malicious
Damage Act 1861 foresight of the consequences of an act was necessary.
It would without doubt have been the basis on which the parliamentary
draftsman would have prepared the provision in the Bill which became
section 1 of the 1971 Act. In substance the reference to Professor
Kenny's views was correct. His explanation had then been the traditional
view for at least 70 years. The pedigree and consistency of this
interpretation would also have been known at the time of the drafting
and enactment of the 1971 Act. As Lord Edmund-Davies pointed out in his
powerful dissenting judgment in Caldwell (assented to by Lord
Wilberforce) Lord Diplock was unnecessarily dismissive of the views of
the distinguished author who contributed so much to the rational
explanation of the criminal law. But the real basis of Lord Diplock's
judgment in Caldwell was that the meaning of "maliciously" under
section 51 of the 1861 Act "has no bearing on the meaning of 'reckless'
in section 1 of the Criminal Damage Act 1971": page 351G. This is the
foundation of the view of the majority. It must now be examined in the
light of the internal and external aids to the interpretation of section
1.
The purpose of section 1 of the 1971 Act
- Lord Diplock's formulation leaves no room,
in the great majority of cases, for any inquiry into the defendant's
state of mind. In a withering contemporary criticism Professor John
Smith [1981] Crim LR 393, 394) explained with precision what Lord
Diplock's meaning of recklessness involved:
". . . it amounts to no more than this: 'If there was an obvious
risk of damage to property, the defendant is guilty: it makes no
difference whether he realised there was a risk or not.' It does not
require the jury to inquire into the defendant's state of mind at all
and is apparently inconsistent with his Lordship's view that 'mens
rea is a state of mind of the accused himself.'
Whether there is an 'obvious' risk can be answered only by
considering whether any ordinary, prudent person would have realised
there was a risk; and, if he would, it makes no difference what the
defendant thought, because he is guilty whether he realised there was
a risk or not. Only very exceptionally will there be any room for any
inquiry into the actual state of mind of the defendant. If he
considered the question whether there was a risk and decided wrongly,
that there was not, then he would not be reckless within the new
definition. Such cases are likely to be extremely rare. In the absence
of any evidence by the defendant that he had performed this mental
operation, it seems the judge need not direct the jury about it."
Unquestionably, Caldwell was a radical departure from the law
as previously understood.
- The question is: on what grounds did the
majority infer that it represented the meaning which Parliament
intended? Lord Diplock, at p 351, pointed out that, in accordance with
the long title, the purpose of the 1971 Act was "to revise the
law" (he italicised the word "revise"). Lord Diplock said that, at p
352, he could "see no reason why Parliament when it decided to revise
the law … should go out of its way to perpetuate fine and impracticable
distinctions." This reasoning attributes to Parliament a remedial
intent, viz to change the mental element of the offence by including
cases of inadvertent wrong doing.
- What are the grounds for this assumption? It
is true that the 1971 Act revised the law in a number of respects. This
is, however, a neutral fact. Apart from replacing the word "maliciously"
by more modern language there is no indication in section 1, and in the
rest of the 1971 Act, that Parliament intended to embark on a revision
of the mental element of the offence. No reliance was placed in
Caldwell on any external aids supporting the interpretation.
There are none. In its own terms the majority reasoning in
Caldwell rests on fragile foundations.
- The decisive factor is, however, that there
was overwhelming evidence that Parliament did not intend to alter the
existing meaning of recklessness in regard to damage to property. That
follows from the fact that, as far as the mental element is concerned,
the Parliament was implementing Law Commission reports. In plain terms
the recommendation of the Law Commission was that subject to replacing
"maliciously" by more contemporary language the mental element of the
offence should remain the same. This material was published and was
therefore available to the House in Caldwell: Lord Edmund Davies
explained in outline the effect of it. In his already cited note
Professor John Smith described in detail the Law Commission materials
which show convincingly there was no intention to change the mental
element of the offence. It is unnecessary for me to marshal these
materials again. The evidence is all one way.
- The conclusion is inescapable:
Caldwell adopted an interpretation of section 1 of the 1971 Act
which was beyond the range of feasible meanings.
Justice and policy
- In the case before the House the two boys
were 11 and 12 respectively. Their escapade of camping overnight without
their parents' permission was something that many children have
undertaken. But by throwing lit newspapers under a plastic wheelie bin
they caused £1m of damage to a shop. It is, however, an agreed fact on
this appeal that the boys thought there was no risk of the fire
spreading in the way it eventually did. What happened at trial is highly
significant. The jury were perplexed by the Caldwell directions
which compelled them to treat the boys as adults and to convict them.
The judge plainly thought this approach was contrary to common sense but
loyally applied the law as laid down in Caldwell. The view of the
jurors and the judge would be widely shared by reasonable people who
pause to consider the matter. The only answer of the Crown is that where
unjust convictions occur the judge can impose a lenient sentence. This
will not do in a modern criminal justice system. Parliament certainly
did not authorise such a cynical strategy.
- Ignoring the special position of children in
the criminal justice system is not acceptable in a modern civil society.
In 1990 the United Kingdom ratified the Convention on the Rights of the
Child which entered into force September 1990. Article 40.1 provides:
"States Parties recognise the right of every child alleged as,
accused of, or recognised as having infringed the penal law to be
treated in a manner consistent with the promotion of the child's sense
of dignity and worth, which reinforces the child's respect for the
human rights and fundamental freedoms of others and which takes
into account the child's age and the desirability of promoting the
child's reintegration and the child's assuming a constructive role in
society." (Emphasis added)
This provision imposes both procedural and substantive obligations on
state parties to protect the special position of children in the
criminal justice system. For example, it would plainly be contrary to
article 40.1 for a state to set the age of criminal responsibility of
children at, say, five years. Similarly, it is contrary to article 40.1
to ignore in a crime punishable by life imprisonment, or detention
during Her Majesty's pleasure, the age of a child in judging whether the
mental element has been satisfied. It is true that the Convention became
binding on the United Kingdom after Caldwell was decided. But the
House cannot ignore the norm created by the Convention. This factor on
its own justified a reappraisal of Caldwell.
- If it is wrong to ignore the special
characteristics of children in the context of recklessness under section
1 of the 1971 Act, an adult who suffers from a lack of mental capacity
or a relevant personality disorder may be entitled to the same standard
of justice. Recognising the special characteristics of children and
mentally disabled people goes some way towards reducing the scope of
section 1 of the 1971 Act for producing unjust results which are
inherent in the objective mould into which the Caldwell analysis
forced recklessness. It does not, however, restore the correct
interpretation of section 1 of the 1971 Act. The accepted meaning of
recklessness involved foresight of consequences. This subjective state
of mind is to be inferred "by reference to all the evidence, drawing
such inferences from the evidence as appear proper in the
circumstances": see Lord Edmund-Davies, citing section 8 of the Criminal
Justice Act 1967; at 358E. That is what Parliament intended by
implementing the Law Commission proposals.
- This interpretation of section 1 of the 1971
Act would fit in with the general tendency in modern times of our
criminal law. The shift is towards adopting a subjective approach. It is
generally necessary to look at the matter in the light of how it would
have appeared to the defendant. Like Lord Edmund-Davies I regard section
8 of the Criminal Justice Act 1967, as of central importance. There is,
however, also a congruence of analysis appearing from decisions of the
House. In R v Morgan [1976] AC 182 the House ruled that a defence
of mistake must be honestly rather than reasonably held. In Beckford
v The Queen [1988] AC 130, 145 per Lord Griffiths, the House held
that self defence permits a defendant to use such force as is reasonable
in the circumstances as he honestly believed them to be. B (A Minor)
v Director of Public Prosecutions [2000] 2 AC 428 concerned the offence contrary to section 1(1) of the Children
Act 1961 (inciting a girl under 14 to commit an act of gross indecency).
The House held that the accused's honest belief that a girl was
over 14 need not be based on reasonable grounds. Lord Nicholls of
Birkenhead observed that (at p 462):
"Considered as a matter of principle, the honest belief approach
must be preferable. By definition the mental element in a crime is
concerned with a subjective state of mind, such as intent or belief."
To same effect is R v K [2002] 1 AC 462 where it was held that while a girl under the age of 16 cannot
in law consent to an indecent assault, it is a defence if the defendant
honestly believed she was over 16. It is true that the general picture
is not entirely harmonious. Duress requires reasonable belief:
see Lord Lane CJ in R v Graham (Paul) [1982] 1 WLR 294, 300,
approved by the House of Lords in Regina v Howe [1987] AC 417;
R v Martin [1989] 1 All ER 652. Duress is a notoriously difficult
corner of the law. However, in Graham Lord Lane CJ, at p 300,
stated that in judging the accused's response the test is:
"… have the prosecution made the jury sure that a sober person of
reasonable firmness, sharing the characteristics of the
defendant, would not have responded to whatever he reasonably
believed [the threatener] said or did by taking part in the offence."
(Emphasis added)
The age and sex of the defendant (but possibly no other
characteristics) are relevant to the cogency of the threat: R v
Bowen [1997] 1 WLR 372: In regard to provocation a wider view of the
impact on defendant has prevailed: R v Smith (Morgan) [2001] 1 AC 146 (by a 3:2 majority).
- These developments show that what Lord
Diplock in Caldwell described an "esoteric meaning" of
recklessness (353H) was also consistent with the general trend of the
criminal law.
Conclusion on Caldwell
- The surest test of a new legal rule is not
whether it satisfies a team of logicians but how it performs in the real
world. With the benefit of hindsight the verdict must be that the rule
laid down by the majority in Caldwell failed this test. It was
severely criticized by academic lawyers of distinction. It did not
command respect among practitioners and judges. Jurors found it
difficult to understand: it also sometimes offended their sense of
justice. Experience suggests that in Caldwell the law took a
wrong turn.
- That brings me to the question whether the
subjective interpretation of recklessness might allow wrongdoers who
ought to be convicted of serious crime to escape conviction. Experience
before Caldwell did not warrant such a conclusion. In any event,
as Lord Edmund-Davies explained, if a defendant closes his mind to a
risk he must realise that there is a risk and, on the evidence, that
will usually be decisive: 358D. One can trust the realism of trial
judges, who direct juries, to guide juries to sensible verdicts and
juries can in turn be relied on to apply robust common sense to the
evaluation of ridiculous defences. Moreover, the endorsement by
Parliament of the Law Commission proposals could not seriously have been
regarded as a charter for the acquittal of wrongdoers.
- In my view the case for departing from
Caldwell has been shown to be irresistible.
- I agree with the reasons given by Lord
Bingham of Cornhill. I have nothing to add to his observations on
self-induced intoxication.
Disposal
- I would also make the orders proposed by
Lord Bingham of Cornhill.
LORD HUTTON
My Lords,
- I have had the advantage of reading in draft
the speeches of my noble and learned friends Lord Bingham of Cornhill
and Lord Steyn. I agree with them, and for the reasons which they give I
too would allow this appeal.
LORD RODGER OF EARLSFERRY
My Lords,
- I have had the privilege of reading the
speech of my noble and learned friend Lord Bingham of Cornhill in draft.
As I explain below, I was initially doubtful whether it would be proper
for your Lordships' House to overrule R v Caldwell [1982] AC 341,
especially when it had previously declined an express invitation to do
so. In a very different context Scalia J formulated some of the kinds of
issues I had in mind in Part I of his characteristically forthright
dissenting opinion in Lawrence v Texas 539 US ____ (2003). But I
have reached the clear view that, whatever the intrinsic merits or
demerits of the concept of recklessness which Lord Diplock espoused,
Parliament did not intend the word "reckless" in section 1 of the
Criminal Damage Act 1971 ("the 1971 Act") to bear the meaning he gave
it. Moreover, his speech has proved notoriously difficult to interpret
and those difficulties would not have ended with any refinements which
your Lordships might have made to the decision. Indeed those refinements
themselves would almost inevitably have prompted further questions and
appeals. In these circumstances the preferable course is to overrule
Caldwell.
- There is nothing on the face of the 1971 Act
- and Lord Diplock certainly points to nothing - to indicate that in
enacting this particular statute Parliament intended to innovate upon
the concept of recklessness as it had been understood to apply in
English law immediately prior to 1971. So the natural assumption is that
Parliament was using the term in its contemporary legal sense. Section
1(1) and (2) correspond precisely to provisions in the draft bill
attached to the report of the Law Commission on Offences of Damage to
Property (Law Com No 29). Nothing in that report suggests that the
Commission had intended their draft bill to incorporate a new notion of
recklessness. Indeed, as Lord Bingham of Cornhill has shown, the
indications are the other way. Although in Caldwell Lord
Edmund-Davies referred to the Law Commission report, Lord Diplock did
not - perhaps because it was not cited or else on the view that, at
most, it would show the meaning that the Law Commission had attached to
recklessness and it was up to the judges and no-one else to decide what
the words in the statute meant. I refer to his well-known speech in
Black-Clawson Ltd v Papierwerke Waldhof-Aschaffenburg AG [1975] AC 591, especially at pp 636H - 637 E. None the less in this case the
Law Commission report at least indicates the scope of the legislative
changes in contemplation and, in that way, tends to confirm the
interpretation that I would be disposed to adopt in any event.
- It is no secret that, for a long time, many
of the leading academic writers on English criminal law have been
"subjectivists". By that I mean, at the risk of gross
over-simplification, that they have believed that the criminal law
should punish people only for those consequences of their acts which
they foresaw at the relevant time. Those who subscribe to that
philosophy will tend to approve the concept of recklessness in R v
Cunningham [1957] 2 QB 396. The late Glanville Williams and the late
Sir John Smith, who were members of the influential Criminal Law
Revision Committee, were two of the most distinguished proponents of
such views.
- Glanville Williams (as well as Edmund-Davies
LJ) was also a member of the working party set up by the Law Commission
to examine the general principles of the criminal law. In June 1970 they
produced a working paper on the mental element in crime. And, not
surprisingly, on the matter of recklessness, at pp 48 - 51, it espoused
the subjectivist standpoint. Three of the five Law Commissioners also
sat on the working party. A month after publishing that working paper,
the Law Commission published their report on property offences. In these
circumstances it would have been surprising, to say the least, if they
had intended their draft bill to do other than incorporate the concept
of recklessness that had been developed in Cunningham and
subsequent cases. Sitting in Caldwell Lord Edmund-Davies was well
placed to appreciate all these factors.
- The same view is reflected, of course, in
the definition of recklessness in clause 18(c) of the draft code of
criminal law published by the Law Commission in 1989 (Report No 177).
Again this is scarcely surprising since much of the work was done by a
team of academic lawyers that included Sir John Smith. It goes without
saying that there are powerful arguments in favour of the view which the
Law Commission favoured.
- On the other hand it is equally clear that
other views are not only possible but have actually been adopted by
English judges at different times over the centuries. Their judgments
reveal many strands of thinking: J Horder, "Two Histories and Four
Hidden Principles of Mens Rea" (1997) 113 LQR 95. There is therefore no
reason to treat the concept of recklessness expounded in
Cunningham either as being the quintessence of the historic
English criminal law on the point or as necessarily providing the best
solution in all circumstances. Indeed in R v Stephenson [1979] QB 695, a case on section 1(1) of the 1971 Act, Geoffrey Lane LJ recognised
that the subjective approach was problematical in certain situations.
Having made it quite clear that in his view the test of recklessness
under the 1971 Act remained subjective and that the knowledge or
appreciation of risk of some damage must have entered the defendant's
mind, he commented, at p 704B - C:
"There is no doubt that the subjective definition of
'recklessness' does produce difficulties.
One of them which is particularly likely to occur in practice is
the case of the person who by self-induced intoxication by drink or
drugs deprives himself of the ability to foresee the risks involved in
his actions. Assuming that by reason of his intoxication he is not
proved to have foreseen the relevant risk, can he be said to have been
'reckless'? Plainly not, unless cases of self-induced intoxication are
an exception to the general rule. In our judgment the decision of the
House of Lords in R v Majewski [1977] AC 443 makes it clear
that they are such an exception."
In Caldwell just the kind of problem envisaged by Geoffrey
Lane LJ arose: the defendant said that he was so drunk that it did not
occur to him that there might be people in the hotel whose lives might
be endangered if he set fire to it. Part of what Lord Diplock did to
confront the kind of difficulty identified by Geoffrey Lane LJ was to
adopt a wider definition of recklessness that covered culpable
inadvertence. In so doing, as the House now holds, he misconstrued the
terms of the 1971 Act.
- It does not follow, however, that Lord
Diplock's broader concept of recklessness was undesirable in terms of
legal policy. On the contrary, there is much to be said for the view
that, if the law is to operate with the concept of recklessness, then it
may properly treat as reckless the man who acts without even troubling
to give his mind to a risk that would have been obvious to him if he had
thought about it. This approach may be better suited to some offences
than to others. For example, in the context of reckless driving the
House endorsed and re-endorsed a more stringent version: R v Lawrence
(Stephen) [1982] AC 510; R v Reid [1992] 1 WLR 793. I refer
in particular to the discussion of the policy issues by Lord Goff of
Chieveley in Reid at pp 808H - 812C. Moreover, the opposing view,
that only advertent risk taking should ever be included within the
concept of recklessness in criminal law, seems to be based, at least in
part, on the kind of thinking that the late Professor Hart demolished in
his classic essay, "Negligence, Mens Rea and Criminal
Responsibility" (1961), reprinted in H L A Hart, Punishment and
Responsibility (1968), p 136.
- Because the decision in Caldwell
involved this legitimate choice between two legal policies, I was
initially doubtful whether it would be appropriate for the House to
overrule it. An alternative way to allow the appeal by re-analysing Lord
Diplock's speech and overruling Elliott v C [1983] 1 WLR 939
might well have been found. But, for the reasons that I have already
indicated, I have come to share your Lordships' view that we should
indeed overrule Caldwell and set the law back on the track that
Parliament originally intended it to follow. If Parliament now thinks it
preferable for the 1971 Act to cover culpably inadvertent as well as
advertent wrongdoers, it can so enact. The Law Commission recognised
that, if codifying the law, Parliament might wish to adopt that
approach: A Criminal Code for England and Wales Vol 2 Commentary
(LC No 177) paras 8.21 and 17.6.
- Subject to these comments, I respectfully
agree with the speech of Lord Bingham of Cornhill and would allow the
appeal and answer the certified question as he proposes.
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