Criminal Law Doctrine and Theory

Criminal Law Doctrine and Theory Third edition William Wilson Hartow, England - London New York Boston San f rancisco Toronto Sydney Tokyo Singapore Mong Kong Seoul Taipei New Delhi Cape Town Madrid Mexico City Amsterdam Muntch Paris Milan

Contents in detail Preface Table of cases Table of Statutes Table of statutory instruments Table of United States legislation Table of international Conventions Abbreviations xxi xxiii xxxviii xliii xliv xlv xlvi Part I Introduction 1 1 Understanding criminal law 3 1.1 Introduction 3 1.2 What is the criminal law? 4 1.3 What are the concerns of the criminal law? 4 A The support of public interests 6 B The support of private interests 6 1.4 How are the criminal law's purposes discharged? 6 A Law enforcement 6 B Bringing proceedings 8 C Trial 8 1 Bürden of proof 9 2 Evidential bürden and bürden of persuasion 10 3 The presumption of innocence 10 4 Judge and jury 11 1.5 Where do the rules of criminal law come from? 12 A Common law 13 1 Historical perspective 13 2 The modern perspective 14 B Statute law 18 1 Interrelationship of Statute and common law 18 2 The principle of legality 1 g 3 Interpreting criminal Statutes 19 4 Fair warning and social protection 21 C The European Convention on Human Rights 23 1 The Human Rights Act 1998 23 1.6 Logic and rationality in the criminal law 25 1.7 Codification 27 1.8 The Draft Criminal Code 28

VÜi Contents in detail 2 Decisions to criminalise 2.1 Introduction 2.2 Principles and ideas informing decisions to criminalise 31 A Autonomy Jl 1 The härm principle 3^ 2 The härm principle: its influence on criminal doctrine 32 3 Alternative notions of autonomy 33 B Harm prevention and other welfare values 34 1 Enforcing morality 3^ 2 Liberal objections to the enforcement of morality 37 3 Is there a meaningful difference between legislating to enforce morality and legislating to prevent härm? 38 4 Principled approaches to the enforcement of morals 38 C Practical criteria underpinning decisions to criminalise: thresholds of seriousness 40 1 Grading wrongs 2 Remote harms and non-victimising crimes 41 3 Practical limiting criteria 43 3 Punishment 3.1 Introduction 3.2 Punishment in the liberal State 3.3 Theories of punishment A Retributive theories 1 In general 49 2 Forms of retributive theory 3 Punishment as an expression of censure B Utilitarianism 53 1 In general 5 2 Forms of utilitarian penal theory 3 Criticisms ^4 C Mixed theories 57 1 Hart's solution 57 2 Criticisms of Hart 57 3.4 Rationality and politics in sentencing 58 3.5 Conclusion 59 31 31 46 46 Part II General principles of criminal liability 4 Actus raus 65 4.1 Introduction 65 4.2 Elements of liability 65 4.3 Interrelationship of actus reus, mens rea and defences 67 4.4 The act requirement 69 4.5 Exceptions to the act requirement 70

Contents in detail ix A Situational liability 70 B Possession offences 72 C Omissions 74 1 Is it appropriate to criminalise omissions? 74 2 Acts and omissions: what's the difference? 77 3 Omissions: the common law approach 80 4 Circumstances giving rise to a duty to act: duty situations 82 5 Circumstances goveming the scope of duty 89 6 Omissions: an alternative approach 91 Summary 93 5 Causation 95 5.1 Introduction 95 5.2 Causation in crime and tort 96 5.3 Causation and blameworthiness 96 5.4 The purpose of establishing causal responsibility 97 5.5 Causation: the legal position 98 A Factual cause 98 1 Causes and conditions contrasted 99 2 Particular instances of factual causation 99 B Legal cause 100 1 The general framework for imputing cause 100 5.6 Particular examples of causal sequences giving rise to causation problems 103 A Subsisting conditions 103 1 Medical conditions 103 2 Other subsisting conditions 104 B Intervening acts and events 105 1 Victim's conduct contributing to the occurrence or extent of injury 105 2 Third party's act contributing to the occurrence of injury 107 3 Intervening cause supersedes defendant's act 109 5.7 Causation and social justice 111 Summary 115 6 Mensrea 116 6.1 Introduction 116 6.2 Choice and character: two modeis of responsibility 117 6.3 Subjective and objective fault 118 6.4 Mens rea and the structure of crime 120 6.5 The mens rea words and their meanings 120 6.6 Intention 121 A Everyday usage and its relevance to criminal responsibility 122 1 Intention and risk taking 125 2 Summary 127 B Intention in the criminal law: intention, purpose and motive 128 C The meaning of intention in the criminal law 129 D Conclusion 132

X Contents in detail 6.7 Negligence 134 A Liability for risk-taking: recklessness and negligence compared 134 B Negligence in the criminal law 135 C The justification for punishing negligence 137 1 Negligence and capacity 137 6.8 Recklessness 138 A Recklessness in the criminal law 138 1 The subjectivist stance 138 2 Caldwell recklessness 141 3 The retreat from Caldwell 1 42 B Conclusion: recklessness and the politics of social control 145 6.9 Knowledge and belief I 45 A What counts as knowledge? 146 B How extensive does knowledge have to be? 147 Summary 148 7 Strict, corporate and vicarious liability 7.1 Introduction 1 50 151 7.2 Strict liability offences A Public welfare offences B Stigmatic offences 7.3 Justifying strict liability offences 7.4 The presumption of mens rea 7.5 Rebutting the presumption A The statutory context B The social context 1 Real crime and public welfare crime: a false dichotomy? 1 5 ' C Penal efficacy 7.6 Defences ^ 7.7 Evaluation 7.8 Corporate and vicarious liability 7.9 The delegation principle 7.10 The scope of vicarious liability 7.11 Corporate liability 16 7.12 The scope of corporate liability 7.13 Problems of attribution 7.14 Why punish companies? Summary 8 Relationship between actus reus and mens rea 8.1 Introduction A Temporal coincidence 1 Qualifications to the requirement of temporal coincidence I 74 B Definitional concurrence 1 Qualifications to the requirement of definitional concurrence 1 77 8.2 Mistake 183 Summary 1 84 173 173

Contents in detail XI 9 Defences(1) 185 9.1 Introduction 185 9.2 Categorising defences 187 9.3 A rationale to defences 187 A Excuses 187 B Justificatory defences 189 1 The point of distinguishing between justification and excuse 189 2 Moral forfeiture 191 3 Defence of autonomy 191 4 Balancing interests 192 9.4 A common defence template 194 9.5 Excuses 195 9.6 Involuntary behaviour: general 196 9.7 Involuntary behaviour (I): physical incapacity 198 A Prior fault 199 9.8 Involuntary behaviour (II): automatism 200 A Automatism, negligence and strict liability 201 B Automatism and crimes of mens rea 202 C Conditions of automatism 203 D Prior fault: self-induced automatism 204 9.9 Involuntary behaviour (III): insanity 205 A The legal test of insanity 206 1 Defects of cognition 207 2 Defects of reason 211 3 Disease of the mind 212 B Involuntary behaviour: evaluation 218 9.10 Mistake 219 A Definitional mistakes 220 B Mistake as to defences 221 9.11 Intoxication 223 A Intoxication: its effect on criminal liability 223 B Involuntary intoxication 225 C Voluntary intoxication 226 1 Crimes of specific intent identified 226 2 The rationale for restricting the exculpatory scope of voiuntary intoxication 228 D Intoxicated mistakes 229 1 Intoxication and true defences 230 2 Intoxication and statutory defences 231 3 Intoxication and mental disorder 231 E Conclusion 232 Summary 233 10 Defences (2): affirmative defences 235 10.1 Compulsion: introduction 235 10.2 The rationale for excusing on grounds of compulsion 236

XÜ Contents in detail 10.3 Compulsion (I): duress by threats - the legal position 237 A What threats are required? 238 B Threats against third parties 238 C A part subjective and part objective test 239 1 The first question 240 2 The second question 241 D Immediacy of the threat 243 E Prior fault 244 1 Intoxication 244 2 Criminal organisations 244 F Scope of the defence 245 10.4 Compulsion (II): duress of circumstances 247 10.5 Necessity 247 A The scope of necessity 248 B Necessity as an excuse - duress of circumstances 249 C Necessity as justification 252 1 Necessity operating to defeat interests 255 D Necessity/duress of circumstances and murder 257 1 Necessary action consented to and in the public interest 257 2 Double effects and the preservation of life 258 10.6 Use of force in public and private defence 259 10.7 Purposes for which reasonable force may be used 260 A Rules goveming the use of force 260 1 The use of force must be necessary 261 2 The degree of force must be proportionate 263 3 Proportionate from whose point of view? 264 4 What counts as force? 265 5 What offences may be committed for defensive purposes? 267 6 Justifying killing 267 10.8 Justificatory defences: concluding remarks 2 68 Summary 270 Part III Offences against the person 271 11 Non-fatal offences 273 11-1 Introduction 273 11.2 Offences protecting physical integrity 274 A Wounding or causing grievous bodily härm with intent 275 1 Actus reus 275 2 Mens rea 278 B Malicious wounding/infliction of grievous bodily harrn 280 1 Actus reus 2 81 2 Mens rea 285 C Aggravated assaults 286

Contents in detail XÜi D Assault occasioning actual bodily härm 287 1 Actus reus 287 2 Mens rea 288 E Other offences against the person 289 11.3 Offences protecting personal autonomy 289 A Common assault 289 1 Assault 290 2 Battery 293 11.4 Defences to offences against the person 296 A Consent 296 1 The reality of consent 296 2 Capacity to give consent 298 3 What can be consented to? 298 4 Consent and the Law Commission 307 B Necessity 308 C Lawful chastisement 309 11.5 Reform of offences against the person 310 11.6 Sexual offences: general 312 11.7 The historical context 312 11.8 The social context 313 11.9 Rape: the elements 314 A Actus reus 315 1 (Penile) penetration 315 2 Consent 317 3 Force/coercion: evidential presumptions 322 B Mens rea 325 Summary 326 12 Homicide 328 12.1 Introduction 328 12.2 Meaning of homicide 330 12.3 Punishing homicide 330 A Criminal homicide: the actus reus 332 1 Reasonable creature 332 2 Unlawful killing 332 3 In being 334 12.4 Murder 337 A Malice aforethought: an overview 337 1 The mental element for murder before 1957 337 2 Thelawpost-1957 339 B Conclusions: a rational mens rea for murder? 343 12.5 Malice mitigated: voluntary manslaughter 345 A Provocation 345 1 General 345 2 Historical development 347 3 The rationale of provocation 348

XIV Contents in detail 4 Provocation, self-defence and the bürden of proof 349 5 Provocation: the elements 350 6 The future of provocation 359 12.6 Diminished responsibility 361 A General matters 3ß 1 B Statutory definition 362 C Elements of the defence 362 1 Abnormality of mind 362 2 Specified causes of mental abnormality 362 3 Substantial impairment of responsibility 364 D Overlap with provocation 365 E Infanticide 367 12.7 Involuntary manslaughter 368 Introduction 369 A Constructive manslaughter 369 1 The elements of constructive manslaughter 370 B Manslaughter by breach of duty 376 1 Elements of manslaughter by breach of duty: overview 376 C Corporate manslaughter 378 1 The scope of liability 378 12.8 Reforming criminal homicide 380 1 Criminal act manslaughter 381 2 Grass negligence manslaughter 381 Summary 383 Part IV Property offences 385 13 Theft 387 13.1 Theft: introduction 13.2 Theft: the elements 388 A Actus reus 39u 1 The appropriation 390 2 Property: general definition 3 " 3 'Belonging to another': who does property belong to? 4^6 4 The property must belong to another at the time of the appropriation 413 B Mens rea 414 1 Intention to deprive the owner permanently of his property 414 2 Dishonesty 421 Summary 427 387 14 Fraud and making off without payment 14.1 Fraud: the law which it replaces 14.2 The individual offences A Obtaining property by deception 429 429 43 43^

Contents in detail XV B Obtaining a money transfer by deception 430 C Obtaining Services by deception 430 D Evading liability by deception 430 E The problem with deception offences 431 F The solution 432 G The new offence of fraud 432 1 Fraud by false representation 432 2 Fraud by failing to disclose information 442 3 Fraud by abuse of position 444 14.3 Obtaining Services dishonestly 446 A Actus reus 447 1 Services 447 B Mens rea 447 14.4 Making off without payment 448 A Actus reus 449 1 Making off 449 2 Payment for goods supplied or Service done 450 3 Without having paid as required or expected 450 B Mens rea 451 Summary 451 15 Other property offences 452 15.1 Robbery 452 Introduction 452 A Theft 453 B The use or threat of force 453 1 On any person 454 2 Immediately before or at the time of the stealing 455 3 In order to steal 455 4 Mental element 455 15.2 Burglary 456 15.3 Common features in burglary 457 A Entry 457 B Entry as a trespasser 458 1 Entry with occupier's consent 458 2 Entering in excess of permission 459 C Building or part of a building 460 1 Burglary from part of a building 460 2 Inhabited vessels or vehicles 462 15.4 Modes of committing burglary 462 A Section 9 (1) (a): entering with intent to commit certain offences 462 B Section 9 (1) (b): committing certain offences having first entered as a trespasser 463 15.5 Handling 464 A Actus reus 464 1 Stolen goods 464

XVI Contents in detail 2 Handling fj 3 The goods must be stolen at the time they are handled 4oö B Mens rea 1 Knowledge or belief J) 471 2 Dishonesty Summary 16 Criminal damage 16.1 Introduction 16.2 Criminal damage A Actus reus 1 Destroys or damages 2 Property 3 Belonging to another B Mens rea C Lawful excuse 16.3 Criminal damage endangering life A Actus reus B Mens rea Summary 474 474 4 477 478 AR? 483 484 Part V Inchoate offences and complicity 485 17 Inchoate offences 17.1 Introduction 17.2 Charging inchoate offences 17.3 Inchoate offences and accessorial liability 489 17.4 Attempt A Justification for punishing attempts B The potential scope of attempts 1 Thwarted attempts: subjectivist and objectivist approaches 490 2 Failed and impossible attempts C The level of punishment: retributivist and utilitarian approaches 492 17.5 Attempt: the Substantive law 494 A Mens rea 494 1 Intention 4Q5 2 Attempts and recklessness as to circumstances 498 3 Conditional intention B Actus reus 4 " 1 The common law tests 501 2 The act interpreted 504 3 Evaluation 5 C Voluntary abandonment 506 D Impossibility 1 Impossibility under the act 487 508

Contents in detail XVli 17.6 Conspiracy 510 Introduction 510 Justification for punishing conspiracies 511 17.7 Statutory conspiracies 512 A Actus reus 513 1 The agreement 513 2 Constructing the agreement 513 3 The parties to the agreement 514 4 Subject-matter of the agreement 516 5 Agreements subject to conditions 517 B Mens rea 519 1 Knowledge of facts and circumstances 519 2 Must the Substantive offence be intended? 521 3 An intention to thwart the criminal purpose 522 17.8 Common law conspiracies 523 A Conspiracy to defraud 524 B Conspiracy to corrupt public morals 525 C Conspiracy to outrage public decency 525 D Impossibility 526 17.9 Incitement 526 A Relationship with accessorial liability: the future 527 17.10 Incitement: the elements 527 A Actus reus 527 1 The manner of inciting 527 2 Incitement must be communicated 528 B Mens rea 529 1 Intention to procure the offence 529 2 Knowledge of the relevant facts and circumstances 530 C Exempted persons 532 D Impossibility 533 17.11 Part 2 Serious Crime Act 2007 534 A Intentionally encouraging or assisting an offence 536 B Defences 537 Summary 538 18 Complicity 540 18.1 Introduction 540 A C as sole principal offender 542 B C and W as Joint principal offenders 542 C W as principal offender 542 18.2 Complicity: definitions and terminology 544 A Principals 544 B Innocent agents 545 C Accessories 545 D Charging accessories 545 E Trial procedure 546 18.3 The conduct element 547

XVÜi Contents in detail A 'Aid, abet, counsel or procure' 547 1 Level of participation 548 B Is a causal link between the accessory's contribution and Substantive crime necessary? 553 18.4 The mental element 555 A An intention to aid or encourage: the authorities 556 1 Assent or approval-based tests of accessorial intention 556 2 Knowledge as the test of accessorial intention 557 3 Which test is to be preferred? The Law Commission's Response 559 B Knowledge of circumstances 560 1 How much does an accessory need to know? 561 C Liability for unintended consequences 563 18.5 Relationship between liability of the parties 571 A Conviction of secondary party where perpetrator is not liable 571 B Level of liability 574 18.6 Limits of accessorial liability 575 A Victim participation 575 B Intention to frustrate crime 575 C Withdrawal 576 Summary 580 References 582 Index 600