Hilary Term
[2016] UKPC 2
Privy Council Appeal
Nos 0014, 0015 and 0016 of 2015
JUDGMENT
Steve Ferguson (Appellant) v The Attorney
General of Trinidad and Tobago (Respondent)
Maritime Life (Caribbean) Limited and others
(Appellants) v The Attorney General of Trinidad and Tobago (Respondent)
Ameer Edoo (Appellant) v The Attorney General
of Trinidad and Tobago (Respondent)
From the Court of Appeal
of the Republic of Trinidad and Tobago
before
Lord Neuberger
Lord Mance
Lord Sumption
Lord Carnwath
Lord Hughes
JUDGMENT GIVEN ON
25 January 2016
Heard on 19, 20 and 21
October 2015
Appellants (1st,
3rd, 4th and 5th)
Michael J Beloff QC
Fyard Hosein SC
Rishi Dass
Annette Mamchan
James Segan
(Instructed by
Peters & Peters Solicitors LLP)
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Respondent
(Attorney General of Trinidad and Tobago)
Peter Knox QC
Tom Richards
(Instructed by
Charles Russell Speechlys)
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Appellant (2nd)
Michael Fordham QC
Sophia Chote SC
Vijai Deonarine
Nesha Abiraj
(instructing attorney)
(Instructed by
Peters & Peters Solicitors LLP)
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Interested Party
(Director of Public Prosecutions)
Ian L Benjamin
Samson Wong
Amirah Rahaman
Nalini Jagnarine
(Instructed by
Charles Russell Speechlys)
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Appellants:
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(1) Steve Ferguson
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(2) Ameer Edoo
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(3) Maritime Life (Caribbean) Limited
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(4) Maritime General Insurance Company Limited
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(5) Fidelity Finance and Leasing Company Limited
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LORD SUMPTION:
1.
This appeal arises out of an ill-fated attempt to introduce a statutory
limitation period for criminal prosecutions in Trinidad and Tobago. The
relevant statutory provision was in force for only two weeks before it was
retrospectively repealed by a fresh Act of Parliament. These proceedings have
been brought by a number of persons who would have been entitled to the benefit
of limitation but for the repeal. Their case, in summary, is that the repeal
was unconstitutional because it was a retrospective abrogation of vested
rights, a legislative intrusion on the judicial function and directed
specifically against the defendants in particular criminal proceedings. They
also say that in the light of the prosecutor’s involvement in promoting the
repeal, the continuance of the prosecution would be an abuse of process.
The facts
2.
The Administration of Justice (Indictable Proceedings) Act 2011 (the
“Principal Act”), received Presidential assent on 16 December 2011. Section
34(2) of that Act provided (so far as relevant) that once ten years had passed
from the date when an offence was alleged to have been committed, no
proceedings were to be instituted for that offence and no trial for that
offence was to be commenced. Under section 34(3), where criminal proceedings
had been instituted or an accused had been committed for trial, whether before
or after the commencement of the Act,
“… a judge shall, on an
application by the accused, discharge the accused and record a verdict of not
guilty if the offence is alleged to have been committed on a date that is ten
years or more before the date of the application.”
There were exceptions for persons accused of offences of
violence, sexual offences and drug trafficking offences specified in Schedule 6
of the Act and for cases in which the defendant had evaded justice. Section
1(2) of the Act provided that it was to come into force on a date fixed by the
President by proclamation.
3.
It had originally been intended to bring the Principal Act into force on
2 January 2013. However, in August 2012, the Minister of Justice proposed to
advance the timetable, bringing certain sections into force earlier, including
section 34. The Cabinet approved that proposal, and as a result a proclamation was
published on 28 August bringing section 34 into force with effect from 31
August.
4.
At that time there were at least 47 current prosecutions at various
stages of progress towards trial for offences more than ten years old. These
included two prosecutions known as “Piarco 1” and “Piarco 2”. These cases had
aroused strong feelings in Trinidad and Tobago for some years. They arose out
of serious allegations of corruption in connection with the construction of
Piarco International Airport in Trinidad. In summary, what was alleged was that
the defendants had conspired to defraud the state of more than TT$1 billion by
rigging the award of the construction contracts. The defendants in Piarco 1
included Mr Steve Ferguson, the first appellant, and two companies, the fourth
and fifth appellants. They had been charged in March 2002 with common law
conspiracy to defraud and offences under the Proceeds of Crime Act, the
Prevention of Corruption Act and the Larceny Act, said to have been committed
between 1996 and 2000. The defendants in Piarco 2 include all the present appellants.
They had been charged in May 2004 with similar offences, said to have been
committed between 1995 and 2001. Other defendants not party to the present
appeals include the then Minister of Works and Transport, a senior civil
servant in his ministry and two chairmen of the Airports Authority. The Piarco
cases are said by the DPP to be the largest complex fraud and corruption cases
ever prosecuted in the Caribbean Commonwealth.
5.
The committal proceedings were very long drawn-out, partly because of
the complexity of the facts and partly because they involved a great deal of
oral and documentary evidence and frequent adjournments. Those in Piarco 2 have
still not been concluded. In 2006, while they were in progress, the United
States had begun proceedings for the extradition of Mr Ferguson and one of his
co-defendants, Mr Galbaransingh, to face trial in the United States on charges
of money laundering and conspiracy to commit wire fraud arising out of the
alleged manipulation of the bid process for the construction of the airport.
The Attorney General ordered their extradition in October 2010, but his order
was quashed by the High Court (Boodoosingh J) 13 months later, on the ground
that the underlying allegations were substantially the same as those made in
the prosecutions in Trinidad and Tobago and that it was in the public interest
that they should be tried there.
6.
On 6 September 2012, a week after section 34 of the Principal Act had
come into force, one of the appellants’ co-defendants, Mr Maharaj, applied to
the High Court for a discharge under section 34(3). As it happened, on the
following day, there was a hearing before the magistrate in the ongoing
committal proceedings in Piarco 2. At the hearing the DPP drew the magistrate’s
attention to Mr Maharaj’s application and asked for an adjournment of the
committal proceedings for a week so that (in the words of his affidavit) he
could “properly consider how the prosecution of Piarco 2 might progress in the
light of section 34”. The application was not opposed, and the magistrate
adjourned until 14 September. Between 7 and 12 September, all of the present
appellants lodged applications in the High Court under section 34(3). During
the period of the adjournment, further applications were made under section
34(3), bringing the total number of such applications to about 42.
7.
Once it was appreciated that the effect of bringing section 34 of the
Act of 2011 into force was to entitle the Piarco defendants to a discharge
without trial, there was a major public outcry. On 10 September the DPP wrote
to the Attorney General complaining about the decision to bring section 34 into
force. He said that he had not been consulted about it and was concerned that
its effect was to prevent a trial of the Piarco defendants. He summarised the
history of the Piarco prosecutions, the scale of the preparations for trial and
the failed US extradition proceedings against Mr Ferguson and Mr Galbaransingh.
He pointed out that one of the American defendants, a Mr Birk, had made a confession
and would have pleaded guilty, giving evidence against the other defendants at
the trial. He concluded:
“I am sure that you would be as
concerned as I am that the public would lose confidence in the criminal justice
system if the proceedings against these defendants are summarily brought to an
end in this way rather than by a trial in the Supreme Court of Judicature of
Trinidad and Tobago, about which you expressed such confidence in December
2011.
I would invite you to consider
taking the following courses of action as a matter of extreme urgency to redeem
what clearly must be the unintended consequences of the Proclamation of section
34 of the Act by the President on Independence Day:
1. Repeal section 34 of
the Act with retroactive effect.
2. Alternatively,
(a) Bring into operation
section 27(4) of the Act by proclamation.
(b) By Ministerial Order
amend Schedule 6 to include the types of offences charged in Piarco No 1 and No
2.”
Section 27(4) empowered the minister to amend Schedule 6
by statutory instrument.
8.
On 11 September 2012, the DPP issued a press release in which he
criticised section 34 and the timing of the proclamation bringing it into
force. He complained that he had had only limited involvement in the decision
to introduce section 34 into the Act and none at all in the decision to bring
it into force. He also referred to the difficult position in which he had been
placed in view of the ground on which the US extradition application had been
rejected. He concluded:
“Hopefully the situation can still
be retrieved and the ramparts of the state’s right to prosecute these matters
remain intact as they properly should.”
9.
On the same day, the Attorney General called the Prime Minister and told
her that in his opinion section 34 should be repealed urgently. There were
further discussions on that day between the Attorney General and the DPP, in
the course of which the DPP urged him that any repeal would have to be
retrospective if it was to affect the Piarco defendants. On 12 September, the
DPP sent the Attorney General a draft bill to effect the repeal. On the same
day, Parliament was recalled in emergency session. That afternoon, the Attorney
General introduced the Administration of Justice (Indictable Proceedings) (Amendment)
Bill in the House of Representatives. It was similar although not identical to
the DPP’s draft. The Attorney General made no secret of the fact that the
immediate problem was the Piarco prosecutions. But he also pointed out that
other current prosecutions were affected, as well as a number of current
criminal investigations, some of them involving serious offences, including at
least five other cases of alleged corruption. The bill was passed on the same
day by the House and on the following day by the Senate. It received presidential
assent on 14 September and was proclaimed at once. The Board will refer to it
as the “Amending Act”.
10.
It provided as follows:
“2. This Act is deemed to
have come into force on 16 December, 2011.
3. In this Act,
‘the Act’ means the Administration of Justice (Indictable Proceedings) Act,
2011.
4. This Act shall
have effect even though inconsistent with sections 4 and 5 of the Constitution.
5. Section 34 of
the Act is repealed and deemed not to have come into effect.
6. (1) Notwithstanding
any law to the contrary, all proceedings under the repealed section 34 which
were pending before any court immediately before the date of assent of this Act
shall, on the coming into force of this Act, be void.
(2) In this section and section
7, ‘repealed section 34’ means section 34 of the Act which is repealed by
section 5.
7. Notwithstanding
any law to the contrary, no rights, privileges, obligations, liabilities or
expectations shall be deemed to have been acquired, accrued, incurred or created
under the repealed section 34.”
11.
The present appeals are test cases selected from a larger number of
constitutional motions lodged in the High Court during September and October
2012. The challenge to the Amending Act was mounted on five grounds:
(1) It
was contrary to the principle of the separation of powers.
(2) It
was specifically directed against the Piarco defendants, in particular those
who had made applications under section 34(3) of the 2011 Act. As such, it
constituted an interference by the state with the defendants’ right to a fair
trial and was contrary to the rule of law.
(3) It
offended against section 4(a) of the Constitution, which protects “the right of
the individual to life, liberty, security of the person and enjoyment of
property and the right not to be deprived thereof except by due process of law”.
(4) It
conflicted with the defendants’ legitimate expectation that proceedings against
them would be concluded at once.
(5) The
continued prosecution of the appellants was an abuse of process because the
DPP, by actively promoting the repeal of the 2011 Act, was acting contrary to
the conventions governing the conduct of a prosecutor.
12.
It will be apparent that there is a considerable measure of overlap
between the first four grounds. The complaint that the legislation was targeted
at the appellants is in reality an allegation that the separation of powers has
been disregarded. The rule of law is an overarching principle that encompasses
all four grounds. All of them, moreover, are put forward as grounds for
annulling the Amending Act as exceeding the constitutional powers of the
legislature. The fifth ground is different. It assumes the validity of the Amending
Act but contends that the conduct of the DPP made it abusive even so for him to
proceed with the prosecutions.
13.
The motions were dismissed by Dean-Armorer J and on appeal by the Court
of Appeal (Mendonça, Jamadar and Smith JJA).
General principles: the separation of powers
14.
Constitutional instruments fall to be interpreted in the light of a
number of fundamental principles which are commonly left unstated but are
inherent in a democracy and in conventions inherited from the period before
they were adopted. The Constitution of Trinidad and Tobago follows what has
been called the “Westminster model”. It was adopted in 1976 when the country
became a republic, but its essential features were derived from the previous
Constitution adopted at the time of independence in 1962. They have subsisted
through the various amendments that have been made since 1976. Trinidad and
Tobago is, as the first article of its Constitution proclaims, a “sovereign
democratic state”. Its constitution provides separately for the existence and
functions of the principal institutions of the state: legislature, executive
and judiciary. It gives the force of law to constitutional arrangements
concerning the relations between which in the United Kingdom have generally
been governed by convention rather than law. It also entrenches certain
fundamental rights and freedoms identified in section 4.
15.
One of the fundamental principles of the Constitution is the qualified
separation of powers. It is qualified because the “Westminster model” has never
required an absolute institutional separation between the three branches of the
state. But the relations between them are subject to restrictions on the use of
its constitutional powers by one branch in a manner which interferes with the
exercise of their own powers by the others. In Hinds v The Queen [1977] AC 195, 212-213 Lord Diplock, speaking of the Constitution of Jamaica, said:
“… a great deal can be, and in
drafting practice often is, left to necessary implication from the adoption in
the new constitution of a governmental structure which makes provision for a
legislature, an executive and judicature. It is taken for granted that the
basic principle of separation of powers will apply to the exercise of their
respective functions by these three organs of government. Thus the constitution
does not normally contain any express prohibition upon the exercise of
legislative powers by the executive or of judicial powers by either the
executive or the legislature. As respects the judicature, particularly if it is
intended that the previously existing courts shall continue to function, the
constitution itself may even omit any express provision conferring judicial
power upon the judicature. Nevertheless it is well established as a rule of
construction applicable to constitutional instruments under which this
governmental structure is adopted that the absence of express words to that
effect does not prevent the legislative, the executive and the judicial powers
of the new state being exercisable exclusively by the legislature, by the
executive and by the judicature respectively. …
All Constitutions on the
Westminster model deal under separate Chapter headings with the legislature,
the executive and the judicature. The Chapter dealing with the judicature
invariably contains provisions dealing with the method of appointment and
security of tenure of the members of the judiciary which are designed to assure
to them a degree of independence from the other two branches of government ….
What … is implicit in the very structure of a Constitution on the Westminster
model is that judicial power, however it be distributed from time to time
between various courts, is to continue to be vested in persons appointed to
hold judicial office in the manner and on the terms laid down in the Chapter
dealing with the judicature, even though this is not expressly stated in the
Constitution: Liyanage v The Queen [1967] 1 AC 259, 287-288.”
The separation between the exercise of judicial and
legislative or executive powers has been described as a “characteristic feature
of democracies”: R (Anderson) v Secretary of State for the Home Department
[2003] 1 AC 837 at para 50 (Lord Steyn); Director of Public Prosecutions of
Jamaica v Mollison [2003] 2 AC 411 at para 13 (Lord Bingham of Cornhill).
In Seepersad v Attorney General of Trinidad and Tobago [2013] 1 AC 659,
Lord Hope of Craighead applied these principles to the Constitution of Trinidad
and Tobago. He observed at para 10:
“The separation of powers is a
basic principle on which the Constitution of Trinidad and Tobago is founded.
Parliament cannot, consistently with that principle, transfer from the
judiciary to an executive body which is not qualified to exercise judicial
powers a discretion to determine the severity of the punishment to be inflicted
upon an offender. The system of public law under which the people for whom the
Constitution was provided were already living when it took effect must be
assumed to have evolved in accordance with that principle.”
Due process and the rule of law
16.
As applied to the autonomy of judicial functions, the separation of
powers is an aspect of the rule of law. Recital (d) of the Constitution of
Trinidad and Tobago recognises that “men and institutions remain free only when
freedom is founded upon respect for moral and spiritual values and the rule of
law”. Section 4 gives effect to individual rights founded on the rule of law.
It provides for “the right of the individual to life, liberty, security of the
person and enjoyment of property and the right not to be deprived thereof
except by due process of law”.
17.
Like other provisions of sections 4 and 5 protecting fundamental human
rights and freedoms, the right to due process may be overridden only under the
procedure provided for by section 13. This allows for the enactment of
legislation which is expressly inconsistent with sections 4 or 5, provided that
it has been passed by a majority of three fifths of all the members of each
house of Parliament, and that it is “reasonably justifiable in a society that
has a proper respect for the rights and freedoms of the individual”. The
Amending Act was expressed to have effect even though inconsistent with
sections 4 and 5 of the Constitution: section 4. It was also passed with the
requisite three fifths majority in each house.
18.
What is comprised in due process has never been exhaustively defined.
But it has always been taken to include the resolution of justiciable issues by
courts of law without interference by the executive or the legislature. The
classic statement of the principle is that of Lord Millett, giving the advice
of the Board in Thomas v Baptiste [2000] 2 AC 1, 21-24. The Board
declared unconstitutional administrative instructions published by the
government of Trinidad and Tobago which laid down time limits for the execution
of sentences of death, on the ground that it was contrary to the due process
clause in the Constitution. This was because the time limits applied
irrespective of any pending petition to the Inter-American Commission on Human
Rights under an international treaty to which the state was party. Lord Millett
said, at pp 21H-22A, 23D-E, 24C:
“The due process clauses in the
Fifth and Fourteenth Amendments underpin the doctrine of the separation of
powers in the United States and serve as a cornerstone of the constitutional
protection afforded to its citizens. Transplanted to the Constitution of
Trinidad and Tobago, the due process clause excludes legislative as well as
executive interference with the judicial process. … The right for which [the
Appellants] contend is not the particular right to petition the commission or
even to complete the particular process which they initiated when they lodged
their petitions. It is the general right accorded to all litigants not to have
the outcome of any pending appellate or other legal process pre-empted by
executive action. This general right is not created by the Convention; it is
accorded by the common law and affirmed by section 4(a) of the Constitution.
... [T]he right to be allowed to complete a current appellate or other legal
process without having it rendered nugatory by executive action before it is
completed is part of the fundamental concept of due process.”
Ad hominem legislation
19.
The paradigm case of a statute which infringes both the separation of
powers and the due process clause is a bill of attainder. Bills of attainder
were legislative acts which convicted a person of an offence. The drafters of
the United States Constitution forbade either the federal or the state
legislatures to pass such bills, as a mark of disapproval of what they supposed
to be the practice by the British Parliament, although in fact bills of
attainder were already becoming obsolete in Britain. The last attempt to pass
one was the Bill of Pains and Penalties of 1820, which sought to divorce Queen
Caroline from the King and forfeit her titles and property on the ground of her
adultery. It was highly controversial and was ultimately withdrawn before
completing its passage through Parliament.
20.
The objection to a bill of attainder is the same as the objection to any
exercise by the legislature of an inherently judicial function. It does not
have the essential attribute of law, which is its generality of application.
The first requisite of a law, wrote Blackstone (Commentaries,
Introduction, Section II), is that
“… it is a rule: not a
transient sudden order from a superior to or concerning a particular person;
but something permanent, uniform, and universal. Therefore a particular act of
the legislature to confiscate the goods of Titius, or to attaint him of high
treason, does not enter into the idea of a municipal law: for the operation of
this act is spent upon Titius only, and has no relation to the community in
general; it is rather a sentence than a law. But
an act to declare that the crime of which Titius is accused shall be deemed
high treason: this has permanency, uniformity, and universality, and therefore
is properly a rule.”
21.
This passage from Blackstone was cited by Lord Pearce, giving the advice
of the Privy Council in Liyanage v The Queen [1967] AC 259, 291, which
is the leading modern authority for the proposition that under a written
constitution based on the separation of powers, the legislature may not
determine by statute the outcome of particular judicial proceedings. The facts
were that in January 1962 there had been an abortive coup d’état in Ceylon,
which had been discovered and frustrated by the government at the last minute.
A large number of individuals alleged to be responsible were arrested. Two
months later, the Parliament of Ceylon passed legislation which authorised the
detention without warrant of persons suspected of having waged war or conspired
to wage war against the state, modified the elements of the offence, the mode of
trial and the rules of evidence applicable to it, and prescribed a heavy
minimum sentence for those convicted. The Act was expressed to be retrospective
so as to cover an abortive coup d’état before it was passed. It also contained
a sunset clause providing that it would cease to have effect after a year or
(if later) after the conclusion of any legal proceedings arising from an
offence against the state committed at about the time of the attempted coup.
The Privy Council held the Act to be unconstitutional. Lord Pearce said at pp
289-290
“It goes without saying that the
legislature may legislate, for the generality of its subjects, by the creation
of crimes and penalties or by enacting rules relating to evidence. But the Acts
of 1962 had no such general intention. They were clearly aimed at particular
known individuals who had been named in a White Paper and were in prison
awaiting their fate. … That the alterations in the law were not intended for
the generality of the citizens or designed as any improvement of the general
law is shown by the fact that the effect of those alterations was to be limited
to the participants in the January coup and that, after these had been dealt
with by the judges, the law should revert to its normal state.
But such a lack of generality in
criminal legislation need not, of itself, involve the judicial function, and
their Lordships are not prepared to hold that every enactment in this field
which can be described as ad hominem and ex post facto must inevitably usurp or
infringe the judicial power. Nor do they find it necessary to attempt the
almost impossible task of tracing where the line is to be drawn between what
will and what will not constitute such an interference. Each case must be
decided in the light of its own facts and circumstances, including the true
purpose of the legislation, the situation to which it was directed, the
existence (where several enactments are impugned) of a common design, and the
extent to which the legislation affects, by way of direction or restriction,
the discretion or judgment of the judiciary in specific proceedings.”
Separation of powers: the test
22.
Legislation may impinge upon judicial proceedings either directly or
indirectly. Different considerations apply to each kind of interference.
23.
Legislation impinges directly on judicial proceedings if the statute
itself amounts to the exercise of an inherently judicial power. This may, for
example, be because it determines innocence or guilt or the penalty to be
imposed (see Nicholas v The Queen (1998) 193 CLR 173, esp at paras 15-16
(Brennan J), 74 (Gaudron J), 112-114 (McHugh J)), or it determines whether bail
is to be granted (State of Mauritius v Khoyratty [2007] 1 AC 80); or it
directs a court not to order the release from custody of “designated persons”
who had entered Australia without valid entry permits (Chu Kheng Lim v
Minister for Immigration, Local Government and Ethnic Affairs (1992) 176
CLR 1); or it authorises the exercise of a sentencing power by a third party
such as an officer of the executive (Seepersad v Attorney General of
Trinidad and Tobago [2013] 1 AC 659); or it pre-empts the outcome of
judicial proceedings, like the timetable for executing sentences of death
challenged in Thomas v Baptiste, supra. Direct interference with
judicial proceedings is usually inherently contrary to the separation of powers
and the rule of law. It is also a denial of due process.
24.
Direct interference with judicial proceedings is, however, rare. More
commonly, legislation impinges on them indirectly by altering general rules of
law in a manner which will in practice determine the outcome of particular
proceedings or of particular issues in those proceedings, for example by
changing the elements of an offence or a tort, or abrogating a special defence,
or altering the rules of evidence or a relevant period of limitation, without
any transitional provisions to ensure that current proceedings are unaffected.
This kind of legislation gives rise to more difficult problems. It is general,
not particular. In Blackstone’s terms it is a law, not a sentence. There is, it
is true, a presumption against retrospectivity, especially where the effect is
to abrogate vested rights. But this is no more than a principle of
construction. Once it is established as a matter of construction, mere
retrospectivity does not violate the separation of powers or the rule of law,
and is not contrary to due process. It is after all characteristic of all
developments of the common law arising from judicial decisions. As Mason CJ
observed in Polyukhovich v Commonwealth of Australia (1991) 172 CLR 501,
536, “if the law, though retrospective in
operation, leaves it to the courts to determine whether the person charged has
engaged in the conduct complained of and whether that conduct is an
infringement of the rule prescribed, there is no interference with the exercise
of judicial power”.
25.
In Australia, it has been held that legislation which indirectly
impinges upon judicial proceedings by altering rights or defences in pending
litigation without interfering with the judicial process itself is valid, even
if it is nominatively directed at a single person and pre-empts current
proceedings to which that person is a party. The principal decisions to this
effect are Australian Building Construction Employees’ and Builders
Labourers’ Federation v The Commonwealth of Australia (1986) 161 CLR 88, esp
at pp 96-97 and Building Construction Employees and Builders’ Labourers
Federation of New South Wales v Minister for Industrial Relations (1986) 7
NSWLR 372. In these cases the Plaintiff Trade Union had been struck off a
statutory register by ministerial order. While an appeal was pending,
legislation was enacted deregistering the union by name. Accordingly, the
legislation not only impinged on current judicial proceedings but did so in a manner
which was as ad hominem as it is possible for legislation to be. Nonetheless it
was held to be valid. The court distinguished between a case where legislation
directed what a court should do, and a case where it pre-empted the court’s
decision by ordaining the result regardless of what the court did. As the
principal judgment put it in the former case, “Parliament may legislate so as
to affect and alter rights in issue in pending litigation without interfering
with the exercise of judicial power in a way that is inconsistent with the Constitution”
(p 96, per Gibbs CJ, Mason, Brennan, Deane and Dawson JJ). This reasoning may
reflect the particular characteristics of the Australian federal constitution,
which protects the autonomy of the judiciary without limiting more generally
the sovereignty of Parliament. But in the Board’s view it is too widely stated
to be true of the Constitution of Trinidad and Tobago and comparable written
constitutions of the common law world. Legislation which alters the law
applicable in current legal proceedings is capable of violating the principle
of the separation of powers and the rule of law by interfering with the
administration of justice, but something more is required before it can be said
to do so. The “something more” is that the legislation should not simply affect
the resolution of current litigation but should be ad hominem, ie targeted at
identifiable persons or cases.
26.
Legislation may be framed in general terms as an alteration of the law
and yet be targeted in this way. The legislation considered in Liyanage
was framed in general terms. It would have been valid if its operation had been
wholly prospective. What made it invalid was the combination of three factors:
(i) it influenced or determined how inherently judicial functions would be
exercised, notably in the matter of the admission of evidence and the minimum
sentence; (ii) it was retrospective in the sense that it applied to current
judicial proceedings; and (iii) the sunset clause and the fact that the
legislation dealt with specific issues in the criminal proceedings against the
plotters of the coup. The critical factor was the third, without which the
first two might have been unobjectionable. This was because it showed that the
statute was directed at identifiable people or groups of people. The Board
considers that targeting of that kind is the least that must be shown if it is
contended that a statute which merely alters the law violates the principle of
the separation of powers or the rule of law by impinging on the judicial
function.
27.
How is the court to ascertain a more specific purpose behind an Act of
Parliament than its general terms would suggest? Although this question
commonly arises in politically controversial cases, in the Board’s opinion the
answer does not depend on an analysis of its political motivation. The test is
objective. It depends on the effect of the statute as a matter of construction,
and on an examination of the categories of case to which, viewed at the time it
was passed, it could be expected to apply. Liyanage itself is the
classic illustration. The Board’s conclusion in that case was that the
legislation applied to a category of persons and cases which was so limited as
to show that the real object was to ensure the conviction and long detention of
those currently accused of plotting the coup. The reason why in such
circumstances as these the statute will be unconstitutional is that the
Constitution, like most fundamental law, is concerned with the substance and
not (or not only) with the form. There is no principled distinction between an
enactment which nominatively designates the particular persons or cases
affected, and one which defines the category of persons or cases affected in
terms which are unlikely to apply to anyone else. In both cases, it may be
said, as Lord Pearce said in Liyanage (p 290) that “the legislation
affects by way of direction or restriction the discretion or judgment of the
judiciary in specific proceedings”.
28.
Although approaching the issue from a different juridical tradition, the
European Court of Human Rights has applied a similar principle in dealing with
the circumstances in which a law couched in general terms may violate the right
to a fair trial protected by article 6 of the European Convention. In Stran
Greek Refineries and Stratis Andreadis v Greece (1994) 19 EHRR 293 it held
that Greek legislation couched in general terms violated article 6 because it
was passed in circumstances where it was evidently directed at determining the
outcome of particular current proceedings between the state and the applicants:
see paras 47, 49-50. In its subsequent decision in National & Provincial
Building Society v United Kingdom (1997) 25 EHRR 127, at para 112, the court
pointed out that not all legislation which affects pending proceedings violates
article 6, and identified as the critical factors in Stran that the
state had been engaged for nine years in litigation with the applicants, who
had actually obtained an enforceable judgment against it. As the decision in
that case illustrates, the mere fact that legislation retrospectively makes
proceedings unwinnable is not enough to establish a violation of article 6. In Zielinski
v France (1999) 31 EHRR 532, para 57, the court put the same point in this
way:
“… while in principle the
legislature is not precluded in civil matters from adopting new retrospective
provisions to regulate rights arising under existing laws, the principle of the
rule of law and the notion of fair trial enshrined in article 6 preclude any interference
by the legislature - other than on compelling grounds of the general interest -
with the administration of justice designed to influence the judicial
determination of a dispute.”
Application to the present case
29.
On 14 September 2012, immediately before the Amending Act was passed,
the appellants enjoyed under section 34 of the Principal Act a vested legal
right (i) not to be tried in the criminal proceedings which had been brought
against them, and (ii) on application to the High Court to be discharged and
have a verdict of not guilty entered in their favour. The effect of the latter
right was that the passing of ten years from the alleged offence fell to be
treated as an absolute defence. Accordingly, the effect of the Amending Act was
to remove an accrued and unanswerable defence.
30.
The first question is whether the repeal directly interfered with
current criminal proceedings against the appellants in a manner inconsistent
with the separation of powers. In the Board’s opinion it did not. Section 5
simply altered the general law, by restoring it to what it had been before 31
August 2012. Section 6 on the face of it comes closer to being a direct
interference with judicial proceedings, because it legislatively annulled valid
applications by which the appellants had invoked the statutory jurisdiction of
the High Court during the brief interval when section 34 was in force. But
section 6 must be viewed in the context of the whole Act. Section 5 on its own
would have been enough to achieve the legislator’s purpose of ensuring that no
one would be able to take advantage of the ten-year limitation period, since it
deems section 34 never to have come into effect. Section 6 adds emphasis but
nothing more. It is in reality a consequential procedural provision designed to
ensure that effect was given to section 5 across the board, irrespective of the
stage which those affected had reached in their attempts to take advantage of
the repealed provision. Far from indicating the special character of the
Amending Act, it underlines its generality. Parliament, having resolved upon a
comprehensive repeal, could not sensibly have contemplated an arbitrary
distinction between those who had been quick enough to make their applications
during the brief period of a fortnight when section 34 was in force and those
who had not, two categories whose position was for all practical purposes the
same.
31.
It follows that the challenge to the Amending Act on this ground can
succeed only if it is shown that the terms, although framed generally, would in
practice apply only to a limited category of people including the appellants
against whom it can be said to have been targeted. But this is manifestly not
the case. The Amending Act not only looks like general legislation. It is
general legislation. It affects all cases to which section 34 would otherwise
apply, past, present or future. This includes a very large number of persons
and cases against which it cannot have been targeted. It is right to add that
if the concern had been only or mainly with the appellants, the logical course
would have been to amend Schedule 6 so as to add the offences with which they
were charged to the list of those excluded from section 34. That was one of the
options proposed by the DPP but it was not the one adopted.
32.
There is no doubt that the outcry which followed the realisation that
section 34 would entitle the Piarco defendants to a summary acquittal without
trial, together with the concerns of the DPP, were the occasion for its repeal.
But it does not follow that the Amending Act was targeted at the appellants.
Sometimes the facts of a particular case simply exemplify the need for a
general law.
33.
Mr Beloff QC, who appeared for the appellants, sought to surmount this
difficulty by extensive reference to the debates in Parliament which preceded
the repeal. In the Board’s opinion these debates, read as a whole, do not
support his case. On the contrary, they tend to confirm the impression left by
the background circumstances, that the perceived impact of section 34 on the
Piarco prosecutions was no more than the occasion for an altogether more
general concern about the wisdom of the section. But there is a more
fundamental reason for disregarding this material. Parliamentary debates may be
admissible to prove facts from which the mischief of an enactment can be
inferred, if this is not apparent from its terms. But that is not the purpose
for which Mr Beloff is in reality seeking to use it. He relies on the debates
as evidence of the motives of the legislators who spoke. This could be
justified only if the Constitution posed questions which had to be answered by reference
to the state of mind of individual Parliamentarians. In the Board’s opinion, it
does not. The test being objective, the motives of Parliamentarians are
irrelevant. They are also inconclusive, because statements by individual
Parliamentarians in the course of debates are not evidence even of the
subjective thoughts of the whole body. For both of these reasons, in Wilson
v First County Trust Ltd (No 2) [2004] 1 AC 816, the House of Lords
deprecated the use of Parliamentary debates to demonstrate the inadequacy of
Parliament’s reasons when legislation was alleged to be disproportionate and
incompatible with the Human Rights Convention: see para 67 (Lord Nicholls of
Birkenhead). “Different members”, as he pointed out, “may well have different
reasons, not expressed in debates, for approving particular statutory
provisions. They may have different perceptions of the desirability or likely
effect of the legislation”.
34.
The Board concludes that the Amending Act did not violate the principle
of the separation of powers. The loss of a limitation defence which had existed
for only two weeks was attributable to a legitimate change in the law, and not
to a legislative intrusion upon the judicial function.
Due process and the rule of law
35.
So far as the allegation of want of due process depends on the argument
that it violates the principle of the separation of powers, it fails for the
same reasons. But the appellants also say that a conviction in the current
criminal proceedings would imperil their liberty and property, and that the due
process clause of the Constitution means that an accrued right not to be tried
and to a discharge and a verdict of not guilty cannot be removed by
legislation. It can be removed only by judicial proceedings. The Board readily
accepts that there may be vested rights relating to the conduct of criminal
proceedings which could not be withdrawn by legislation consistently with
section 4(a). As applied to the Amending Act, however, the argument fails,
because it is not in reality the distinct point which it professes to be. The
right to be acquitted and discharged without trial and irrespective of
innocence or guilt is not as such a right protected by section 4(a) or any
other provision of the Constitution. The loss of that right did not deprive the
appellants of their liberty or property. It merely exposed them to a criminal
trial in which they might or might not be found to have committed serious
criminal offences. The fairness of that trial continues to be protected by the
Constitution. If at the end of the process the appellants are convicted and
sentenced, any adverse effect on their liberty and property will arise from a
judicial proceeding. It will have occurred by due process of law.
Legitimate expectation
36.
The argument based on legitimate expectation adds nothing to the appellants’
other arguments. The Constitution does not protect legitimate expectations as
such, and there must be some doubt whether, and if so when, breach of a
legitimate expectation can ever, in itself, be the basis of a constitutional
challenge to the validity of an otherwise regular law. But it is unnecessary to
decide that question, because any relevant expectation in this case could not
be legitimate in any legally relevant sense. The right to a defence of
limitation was wholly statutory. Any expectation based on statute is by its
nature defeasible. What Parliament gives, Parliament may take away provided
that it does so consistently with the Constitution.
37.
It follows that the Amending Act is a valid enactment.
Section 13
38.
Section 13 of the Constitution provides:
“13(1) An act to which this
section applies may expressly declare that it shall have effect even though
inconsistent with sections 4 and 5 and, if any such Act does so declare, it shall
have effect accordingly unless the Act is shown not to be reasonably
justifiable in a society that has a proper respect for the rights and freedoms
of the individual.”
The section applies to any Act passed, as the Amending
Act was, by a majority of three fifths of both houses.
39.
In this particular case, the reasons which have led the Board to
conclude that the Act was constitutional necessarily mean that it was
justifiable in a society with a proper respect for the rights and freedoms of
the individual. If the Board had concluded that the withdrawal of the appellants’
rights under section 34 otherwise than by judicial decision was a violation of
article 4(a), the Amending Act would have been justifiable under section 13,
because a right to be acquitted and discharged without trial irrespective of
innocence or guilt is manifestly not a normal and certainly not a necessary
characteristic of a “society that has a proper respect for the rights and
freedoms of the individual”. If the Board had concluded that the Amending Act
was ad hominem legislation, specifically targeted against the defendants in the
Piarco cases, it would inevitably have followed that the resultant violation of
article 4(a) of the Constitution was not “justifiable in a society that has a
proper respect for the rights and freedoms of the individual”. As it is, neither
of these questions arises.
Abuse of process
40.
As the Board has pointed out, this is the one argument advanced by the appellants
which does not depend on the Amending Act being unconstitutional and void. The
argument is that the DPP was in breach of the duties of impartiality and
objectivity attaching to his functions as a prosecutor (i) by seeking an
adjournment of the committal proceedings on 7 September 2012 without disclosing
that he proposed to use the time to promote a repeal of section 34, and thereby
unintentionally misleading the magistrate; and (ii) by then actively persuading
the Attorney General to introduce a bill retrospectively changing the law. A
prosecutor, it has been said, is not a partisan but a “minister of justice”: R
v Puddick (1865) 4 F & F 497, 499 (Crompton J). The DPP’s alleged
breach of that principle is said to make it abusive for him to proceed with the
Piarco prosecutions, at any rate against these appellants.
41.
The argument based on the adjournment of the committal proceedings can
be shortly disposed of on the facts. It would be an abuse of process for a
court to adjourn proceedings so as to enable the law to be changed adversely to
one party, and improper for a party to invite a court to do so for that reason.
But that is not what happened. In the first place, the DPP gave evidence by
affidavit that he had applied for the adjournment on the ground that he needed
time to consider the implications of section 34. He was not cross-examined on
this statement, and both courts below have accepted it as true. There is no
evidence that he had already resolved to promote the repeal of the section. So
far as the record shows, he did not raise the possibility of repeal with the
Attorney General until three days afterwards. Secondly there is no reason to
believe that the adjournment of the magistrate’s proceedings had any impact on
the appellants’ applications to be discharged under section 34(3). The
magistrate was hearing evidence in the committal proceedings and not the
applications under section 34(3). These had been brought in the High Court as
required by the section, and their progress there was unaffected by the
adjournment of the taking of evidence before the magistrate.
42.
The argument based on the DPP’s active promotion of the repeal has
greater substance, but in the Board’s view it also fails. Dean-Armorer J
described the DPP’s conduct as “unusual or even officious”. In the Court of
Appeal Jamadar JA thought the press release “unjustified” and clearly had
reservations about the DPP’s conduct generally. But neither the judge nor the
Court of Appeal considered that he had exceeded the proper limits of his
functions. The DPP’s prosecuting functions are conferred on him by section 90
of the Constitution which is subject to section 76(2). The latter section
provides that the Attorney General is to be responsible for the administration
of legal affairs. The courts of Trinidad have interpreted these provisions as
empowering the DPP to refer to the Attorney General matters of importance for
the administration of criminal justice: see, in addition to the judgments
below, Dhanraj Singh v Attorney General and Director of Public Prosecutions
[2001] HCA S395. The Board for its part considers that the DPP’s conduct was
fairly described as “officious” by the judge and that the press release was
ill-advised. It is entirely proper for the DPP to consult or advise the law
officers on matters relating to the operation of the criminal law, but this
does not extend to campaigning for a change which will directly affect a
current case which his office is prosecuting. It is, however, fair to say that
he had been placed without warning or prior consultation in an embarrassing
position, especially in the light of the outcome of the extradition proceedings
and the stage which the proceedings had reached when section 34 was brought
into force. In the unusual circumstances of this case, the Board is not
prepared to disagree with the assessment of both courts sitting in Trinidad
that his actions were within acceptable limits.
43.
The Board is particularly reluctant to do so for an additional reason,
which is that even if the appellants’ criticisms of the DPP were justified, it
would not follow that the continuance of these prosecutions was an abuse of
process. The power to put an end to criminal proceedings on this ground exists
to protect the defendants in criminal proceedings from injustice and to
safeguard the integrity of the criminal justice system itself. An injustice
sufficient to call for a stay of proceedings on the grounds of abuse of process
can arise either because the fair trial of the defendant is not possible, or,
in limited circumstances, because there has been such gross executive misconduct
that it is unfair to put the defendant on trial at all: R v Horseferry Road
Magistrates Court, Ex p Bennett [1994] 1 AC 42. There is no question of the
first in this case. The effect of everything that has happened is that the
defendants will be tried, and there can be no suggestion that their trials will
be unfair. Even on the footing that the interests of the defendants were
unfairly prejudiced by the repeal of section 34, the only basis on which the
second could be supported is that the prejudice was the result of the DPP’s
conduct. The difficulty about this is that any supposed injustice was the
result of Parliament’s decision to pass the Amending Act. It is axiomatic that
the legal consequences of a valid Act of Parliament cannot properly be
categorised by the courts as an injustice for this purpose. Nor can the conduct
of the DPP be treated as unjust simply because it may be thought to have
brought the repeal about. In Hoani te Heuheu Tukino v Aotea District Maori
Land Board [1941] AC 308, an indemnity was sought against a statutory
charge as damages for the defendant’s breach of duty in promoting the bill.
Viscount Simon LC, delivering the advice of the Privy Council, expressed the
principle as follows, at pp 322-323:
“It is not open to the court to go
behind what has been enacted by the legislature, and to inquire how the
enactment came to be made, whether it arose out of incorrect information or,
indeed, on actual deception by someone on whom reliance was placed by it. …
Before the court can accede to the appellant’s claim for an indemnity against
the charge imposed by section 14 of the Act of 1935, the court will require not
only to find that the respondent board owed to the native owners the duty
alleged, and that it committed the breaches of that duty which are alleged, but
also that the enactment of section 14 was the reasonable and natural
consequence of such breaches, and, even assuming the duty and breaches to have
been established, the third and last essential step for the appellant’s success
would involve an inquiry by the court of the nature prohibited ...”
Conclusion
44.
These appeals will be dismissed.