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HOUSE OF LORDS
Lord Chancellor Lord
Browne-Wilkinson Lord Slynn of Hadley Lord
Steyn Lord Hoffmann
OPINIONS OF THE LORDS OF APPEAL FOR JUDGMENT
IN THE CAUSE
BODDINGTON (APPELLANT)
v.
BRITISH TRANSPORT POLICE (RESPONDENTS) (ON
APPEAL FROM A DIVISION COURT OF THE QUEEN'S BENCH DIVISION)
ON 2 APRIL 1998
LORD IRVINE OF LAIRG L.C.
My Lords,
On 28 July 1995, Peter James
Boddington was convicted by the stipendiary magistrate for East
Sussex of the offence of smoking a cigarette in a railway
carriage where smoking was prohibited, contrary to byelaw 20 of
the British Railways Board's Byelaws 1965. The byelaw was made
under section 67 of the Transport Act 1962, as amended. The
magistrate fined Mr. Boddington £10 and ordered him to pay
costs. He appealed by way of case stated to the Divisional
Court, which dismissed his appeal. However, the Divisional Court
certified two points of law of general public importance arising
in the case and granted leave to Mr. Boddington to appeal to
this House against his conviction.
The points of law of general public
importance certified by the Divisional Court were essentially
whether a defendant could raise as a defence to a criminal
charge a contention that a byelaw, or an administrative decision
made pursuant to powers conferred by it, is ultra vires; and if
he could, whether he could succeed only if he could show the
byelaw or administrative decision to be "bad on its face."
The stipendiary magistrate found the
following facts:
"(a) On 5 November 1994 at 2020 hours the
appellant was a passenger on a train between Falmer and
Brighton.
(b) The appellant was smoking during the course
of the journey in a part of the train where a conspicuous
notice was visible prohibiting smoking.
(c) The appellant was in an area of the train
which was designated non smoking and had visible signs in the
form of window stickers indicating a penalty of £50 for
smoking in that area of the train.
(d) The appellant was approached by a uniformed
revenue protection officer and asked to put out his cigarette,
which he did not do. Initially he made no response to the
officer until the officer cautioned him that in the event of
continuing smoking he would report him for an offence contrary
to the byelaw. The appellant invited the officer to do as he
liked. The appellant declined a request to give the officer his
name and address and was advised that the police would be
called.
(e) Upon arrival at Brighton, a uniformed police
officer, P.C. Ansell, was advised of the position in the
presence and hearing of the appellant and the appellant
provided his name and address.
(f) Network South Central is a wholly owned
subsidiary company of the British Railways Board whose duty is
to provide railway services to the South Coast. There has been
a great reduction in the amount of smoking on trains and since
1 January 1993 a complete smoking ban was applied by Network
South Central to all their trains. Although this complete
prohibition applies to other subsidiaries of the British
Railways Board such as Thameslink, it does not apply to Inter
City trains making the journey between London and Brighton.
(h) The decision to implement the total
prohibition was made after research was undertaken and notice
was given to the travelling public via customer announcements
and stickers on train windows.
(i) Despite the total prohibition, smoking on the
trains continued primarily but not exclusively in the buffet
and the appellant was aware of the total ban from about early
1993. He continued to smoke on the trains until that date.
There was little sign of the prohibition being actively pursued
beyond the use of the stickers.
(j) There was no consultation with the Rail Users
Consultative Committee in relation to the prohibition, there
being no legal requirement for such consultation."
Mr. Boddington's appeal raises this
important question: to what extent may a defendant to a criminal
charge laid under subordinate legislation argue by way of
defence that the subordinate legislation, or an administrative
act bringing that legislation into operation (such as, in this
case, the posting of no smoking notices throughout all railway
carriages), was itself ultra vires and unlawful?
The statutory framework
Section 67(1) of the Transport Act
1962, as amended, provides:
"The Railways . . . Board may make bylaws
regulating the use and working of, and travel on, their
railways, the maintenance of order on their railways and
railway premises, including stations and the approaches to
stations, and the conduct of all persons, including their
officers and servants, while on those premises, and in
particular bylaws--
(a) with respect to tickets issued for
entry on their railway premises or travel on their railways and
the evasion of payment of fares and other charges,
(b) with respect to interference or
obstruction of the working of the railways,
(c) with respect to the smoking of tobacco
in railway carriages and elsewhere and the prevention of
nuisances,
(d) with respect to the receipt and
delivery of goods, and
(e) for regulating the passage of bicycles
and other vehicles on footways and other premises controlled by
the Board and intended for the use of those on foot."
Byelaw 20 of the British Railways
Board's Byelaws was made under that provision, and provides:
"No person shall smoke or carry a lighted pipe,
cigar or cigarette in any lift or vehicle or elsewhere upon the
railway, where smoking is expressly prohibited by the Board by
a notice exhibited in a conspicuous position in such lift or
vehicle or upon or near such other part of the railway or if
requested by an authorised person not to do so in or upon any
part of the railway where smoking or carrying a lighted pipe,
cigar or cigarette may be dangerous."
Thus, the byelaw does not by itself prohibit any activity: a
further, administrative act is required (in the form of the
posting of a notice or the making of a request) before a person
becomes at risk of committing an offence. It is not suggested
that Byelaw 20 was itself ultra vires the powers which the
primary legislation conferred upon the British Railways Board.
Objection is, however, made to the administrative decision by
which no smoking notices came to be displayed on the trains.
Mr. Boddington's defence
Mr. Boddington attempted to put
forward as a defence an argument that the decision of the rail
company, Network South Central, to post notices in all of the
carriages of its trains prohibiting smoking and so to activate
the operation of byelaw 20, was ultra vires its powers to bring
byelaw 20 into operation. He argued before the magistrate and
before the Divisional Court that the power conferred by section
67(1) of the Transport Act 1962 was only a power to regulate the
use of the railway, in respect of smoking on carriages; and that
complete prohibition of smoking on all carriages by the posting
of no smoking notices in all carriages went beyond permissible
regulation. He argued that the unlawfulness of the decision to
post these notices had the effect of nullifying their validity,
so that byelaw 20 was not properly brought into operation. This,
he said, gave him a defence to the offence with which he was
charged.
He also sought to raise a related,
but distinct, defence: that the notices were posted by Network
South Central rather than the British Railways Board as such. He
argued that neither the primary legislation nor byelaw 20
authorised Network South Central to post the notices, and that
the British Railways Board could not delegate the decision to
post notices. Mr. Boddington did not pursue this argument before
your Lordships.
Mr. Boddington's primary defence,
therefore, raises the question of the extent to which a
defendant to a criminal charge may defend himself by pointing to
the unlawfulness of subordinate legislation, or an
administrative act made under that legislation, the breach of
which is alleged to constitute his offence. The Divisional Court
held that Mr. Boddington was not entitled to put forward his
public law defence in the criminal proceedings against him.
Raising public law defences to criminal charges
These arguments are regularly raised
in the courts in cases in the public law field, concerned with
applications for judicial review. The issue is whether the same
arguments may be deployed in a criminal court as a defence to a
criminal charge.
Challenge to the lawfulness of
subordinate legislation or administrative decisions and acts may
take many forms, compendiously grouped by Lord Diplock in
Council of Civil Service Unions v. Minister for the Civil
Service [1985] A.C. 374 under the headings of illegality,
procedural impropriety and irrationality. Categorisation of
types of challenge assists in an orderly exposition of the
principles underlying our developing public law. But these are
not water tight compartments because the various grounds for
judicial review run together. The exercise of a power for an
improper purpose may involve taking irrelevant considerations
into account, or ignoring relevant considerations; and either
may lead to an irrational result. The failure to grant a person
affected by a decision a hearing, in breach of principles of
procedural fairness, may result in a failure to take into
account relevant considerations.
The question of the extent to which
public law defences may be deployed in criminal proceedings
requires consideration of fundamental principle concerning the
promotion of the rule of law and fairness to defendants to
criminal charges in having a reasonable opportunity to defend
themselves. However, sometimes the public interest in orderly
administration means that the scope for challenging unlawful
conduct by public bodies may have to be circumscribed.
Where there is a tension between
these competing interests and principles, the balance between
them is ordinarily to be struck by Parliament. Thus whether a
public law defence may be mounted to a criminal charge requires
scrutiny of the particular statutory context in which the
criminal offence is defined and of any other relevant statutory
provisions. That approach is supported by authority of this
House.
In Director of Public Prosecutions
v. Head [1959] A.C. 83 a defendant was convicted of an
offence under section 56(1)(a) of the Mental Deficiency
Act 1913, of carnal knowledge of "a woman . . . under care
or treatment in an institution or certified house or approved
home, or whilst placed out on licence therefrom." She had
been sent to an institution for defectives as a "moral
defective," under an order made by the Secretary of State
in purported exercise of his powers under the Act and subsequent
orders had been made to transfer her to other institutions. At
the time of the alleged offences, she was out on licence from
one of these institutions. At the trial, the prosecution
conceded that the original order had been made without proper
evidence that the woman was a "moral defective" and
that it could be successfully challenged on an application for
certiorari or a writ of habeas corpus. The Court of Criminal
Appeal quashed the conviction, on the ground that the woman was
not lawfully detained in the institution. This House, by a
majority, upheld that decision.
The majority and Viscount Simonds
treated the issue as turning the proper construction of section
56 of the Act. As a matter of construction did it require the
prosecution to prove that the woman was lawfully detained in the
institution? The majority (Lords Reid, Tucker and Somervell of
Harrow) held that, whilst proof of detention in an institution
established a prima facie case that a woman was a defective
lawfully under care, that presumption could be rebutted if the
defendant showed that the detention was in fact unlawful: see
especially p. 103, per Lord Tucker. The defendant in the
case was assisted by the fact that the prosecution had itself
adduced the evidence from which the invalidity of the order
appeared. But the language of Lord Tucker, delivering the
leading speech for the majority, is consistent with an
entitlement in the defendant to adduce such evidence himself. If
the defendant had adduced other evidence, for instance to show
that the Secretary of State had made his order for some improper
purpose, so that it could be quashed, I think the majority's
view would have entailed the criminal court reviewing this
evidence to determine whether the defendant had made out a
defence on the basis of it.
Lord Denning, who was in the
minority, was of the view that the order was valid as at the
date of the alleged offence, so that the alleged offence was
made out (p. 113), even although the order was voidable and
therefore liable to be quashed on certiorari. The majority,
however, did not accept that the order was voidable rather than
void, but in any event doubted that, even if it was to be
characterised as voidable rather than void, a defendant could
not raise the matter by way of defence. As Lord Somervell of
Harrow put it, at p. 104:
"Is a man to be sent to prison on the basis that
an order is a good order when the court knows it would be set
aside if proper proceedings were taken? I doubt it."
Viscount Simonds, at p. 98, Lord
Reid, at p. 98 and Lord Tucker, at pp. 103-104, agreed with
these views. In my judgment the answer to Lord Somervell's
question must be "No." It would be a fundamental
departure from the rule of law if an individual were liable to
conviction for contravention of some rule which is itself liable
to be set aside by a court as unlawful. Suppose an individual is
charged before one court with breach of a byelaw and the next
day another court quashes that byelaw--for example, because it
was promulgated by a public body which did not take account of a
relevant consideration. Any system of law under which the
individual was convicted and made subject to a criminal penalty
for breach of an unlawful byelaw would be inconsistent with the
rule of law.
In my judgment the views of the
majority in Director of Public Prosecutions v. Head
[1959] A.C. 83 have acquired still greater force in the light of
the development of the basic principles of public law since that
case was decided. Lord Denning had dissented on the basis of the
historic distinction between acts which were ultra vires
("outside the jurisdiction of the Secretary of State"),
which he accepted were nullities and void, and errors of law on
the face of the relevant record, which rendered the relevant
instrument voidable rather than void. He felt able to assign the
order in question to the latter category. But in 1969, the
decision of your Lordships House in Anisminic Ltd. v. Foreign
Compensation Commission [1969] 2 A.C. 147 made obsolete the
historic distinction between errors of law on the face of the
record and other errors of law. It did so by extending the
doctrine of ultra vires, so that any misdirection in law would
render the relevant decision ultra vires and a nullity: see Reg.
v. Hull University Visitor, Ex parte Page [1993] A.C. 682,
701-702, per Lord Browne-Wilkinson (with whom Lord Keith
of Kinkel and Lord Griffiths agreed, at p. 692), citing the
speech of Lord Diplock in O'Reilly v. Mackman [1983] 2
A.C. [1983] 2 A.C. 237, 278. Thus, today, the old distinction
between void and voidable acts on which Lord Denning relied in
Director of Public Prosecutions v. Head no longer
applies. This much is clear from the Anisminic case
[1969] 2 A.C. 147 and these later authorities.
What was in issue in the Anisminic
case was a decision of the Foreign Compensation Commission. The
plaintiffs brought an action for a declaration that the decision
was a nullity. The Commission replied that the courts were
precluded from considering the question by section 4(4) of the
Foreign Compensation Act 1950. It provided:
"The determination by the Commission of any
application made to them under this Act shall not be called in
question in any court of law."
Lord Reid summarised the case for the Commission in this way,
at p. 169:
"The respondent maintains that these are plain
words on capable of having one meaning. Here is a determination
which is apparently valid: there is nothing on the face of the
document to case any doubt on its validity. If it is a nullity,
that could only be established by raising some kind of
proceedings in court. But that would be calling the
determination in question, and that is expressly prohibited by
the statute."
This submission was rejected in Lord
Reid's speech. He made it clear that all forms of public law
challenge to a decision have the same effect, to render it a
nullity: see especially p. 171B-F. (Also see pp. 195A-196C, per
Lord Pearce and p. 207D-H, per Lord Wilberforce). The
decision of the Commission was wrong in law, and therefore a
nullity, rather than a "determination" within the
protection of the ouster clause: see pp. 170D-171B.
Thus the reservation of Lord
Somervell in Director of Public Prosecutions v. Head
[1959] A.C. 83, 104 (with which the majority allied themselves)
whether the order of the Secretary of State could be described
as voidable has been vindicated by subsequent developments. It
is clear, in the light of Anisminic and the later
authorities, that the Secretary of State's order in Director
of Public Prosecutions v. Head would now certainly be
regarded as a nullity (i.e. as void ab initio), even if it were
to be analysed as an error of law on the face of the record.
Equally, the order would be regarded as void ab initio if it had
been made in bad faith, or as a result of the Secretary of State
taking into account an irrelevant, or ignoring a relevant,
consideration - that is, matters not appearing on the face of
the record, but having to be established by evidence.
Subordinate legislation, or an
administrative act, is sometimes said to be presumed lawful
until it has been pronounced to be unlawful. This does not,
however, entail that such legislation or act is valid until
quashed prospectively. That would be a conclusion inconsistent
with the authorities to which I have referred. In my judgment,
the true effect of the presumption is that the legislation or
act which is impugned is presumed to be good until pronounced to
be unlawful, but is then recognised as never having had any
legal effect at all. The burden in such a case is on the
defendant to establish on a balance of probabilities that the
subordinate legislation or the administrative act is invalid:
see also Reg. v. Inland Revenue Commissioners, Ex parte T.C.
Coombs & Co. [1991] 2 A.C. 283.
This is the principle to which Lord
Diplock referred in F. Hoffmann-La Roche & Co. A.G. v.
Secretary of State for Trade and Industry [1975] A.C. 295.
There the Secretary of State sought an interlocutory injunction
under section 11(2) of the Monopolies and Restrictive Practices
(Inquiry Control) Act 1948, to restrain the appellant from
charging prices in excess of those fixed by a statutory
instrument the Secretary of State had made. The appellant argued
that the statutory instrument was ultra vires, because it had
been based upon a report by the Monopolies Commission, which the
appellant maintained had been produced without due regard to
principles of natural justice. The Secretary of State objected
to giving a cross undertaking in damages and this House ruled
that he was not required to give such an undertaking. The ratio
of the decision, as subsequently explained in Kirklees
Metropolitan Borough Council v. Wickes Building Supplies Ltd.
[1993] A.C. 227, per Lord Goff of Chieveley, at pp.
271E-273D and 274B-F, was that a public authority is not
required as a rule to give such an undertaking in a law
enforcement action. However, in his speech, Lord Diplock
expressed views about the legal status of the statutory
instrument in question. He made it clear that the courts could
"declare it to be invalid" if satisfied that the
Minister acted outwith his powers conferred by the primary
legislation, whether the order was "ultra vires by reason
of its contents (patent defects) or by reason of defects in the
procedure followed prior to its being made (latent defects):"
[1975] A.C. 295, 365. He then said:
"Under our legal system, however, the courts as
the judicial arm of Government do not act on their own
initiative. Their jurisdiction to determine that a statutory
instrument is ultra vires does not arise until its validity is
challenged in proceedings inter partes either brought by one
party to enforce the law declared by the instrument against
another party or brought by a party whose interests are
affected by the law so declared sufficiently directly to give
him locus standi to initiate proceedings to challenge the
validity of the instrument. Unless there is such challenge and,
if there is, until it has been upheld by a judgment of the
court, the validity of the statutory instrument and the
legality of acts done pursuant to the law declared by it are
presumed. It would, however, be inconsistent with the doctrine
of ultra vires as it has been developed in English law as a
means of controlling abuse of power by the executive arm of
Government if the judgment of a court in proceedings properly
constituted that a statutory instrument was ultra vires were to
have any lesser consequence in law than to render the
instrument incapable of ever having had any legal effect upon
the rights or duties of the parties to the proceedings (cf.
Ridge v. Baldwin [1964] A.C. 40). Although such a
decision is directly binding only as between the parties to the
proceedings in which it was made, the application of the
doctrine of precedent has the consequence of enabling the
benefit of it to accrue to all other persons whose legal rights
have been interfered with in reliance on the law which the
statutory instrument purported to declare."
Thus, Lord Diplock confirmed that
once it was established that a statutory instrument was ultra
vires, it would be treated as never having had any legal effect.
That consequence follows from application of the ultra vires
principle, as a control on abuse of power; or, equally
acceptably in my judgment, it may be held that maintenance of
the rule of law compels this conclusion.
This view of the law is supported by
the decision of this House in Wandsworth London Borough
Council v. Winder [1985] A.C. 461. That case concerned rent
demands made by a local authority landlord on one of its
tenants. The local authority, pursuant to its powers under the
Housing Act 1957, resolved to increase rents generally. The
tenant refused to pay the increased element of the rent. When
sued by the local authority for that element, he sought to
defend himself by pleading that the resolutions and notices of
increase were ultra vires and void, on the grounds that they
were unreasonable in the Wednesbury sense (i.e.
irrational: see Associated Provincial Picture Houses Ltd. v.
Wednesbury Corporation [1948] 1 K.B. 223), and
counterclaiming for a declaration to that effect. It seems clear
from the particulars given in the defence (set out at pp.
466D-467B) that the tenant proposed adducing some evidence to
support his case of unreasonableness. The local authority sought
to strike out the defence and counterclaim as an abuse of
process, on the grounds that the tenant should be debarred from
challenging the conduct of the local authority other than by
application for judicial review under R.S.C., Ord. 53. This
House ruled that Mr. Winder was entitled as of right to
challenge the local authority's decision by way of defence in
the proceedings which it had brought against him. The decision
was based squarely on "the ordinary rights of private
citizens to defend themselves against unfounded claims:"
per Lord Fraser of Tullybelton, delivering the leading
speech, at p. 509D. As a matter of construction of the relevant
legislation, those rights had not been swept away by the
procedural reforms introducing the new R.S.C., Ord. 53: pp.
509F-510C.
In my judgment, precisely similar
reasoning applies, a fortiori, where a private citizen is taxed
not with private law claims which are unfounded because based
upon some ultra vires decision, but with a criminal charge which
is unfounded, because based upon an ultra vires byelaw or
administrative decision. The decision of the Divisional Court in
Reg. v. Reading Crown Court, Ex parte Hutchinson [1988]
Q.B. 384 (and the principal authorities referred to in it,
including the classic decision in Kruse v. Johnson [1898]
2 Q.B. 91) is in accord with this view. There it was held that a
defendant to a charge brought under a byelaw is entitled to
raise the question of the validity of that byelaw in criminal
proceedings before magistrates or the Crown Court, by way of
defence. There was nothing in the statutory basis of the
jurisdiction of the justices which precluded their considering a
challenge to the validity of a byelaw: pp. 391D-393D, per
Lloyd J.
In Bugg v. Director of Public
Prosecutions [1993] Q.B. 473 the Divisional Court departed
from this trend of authority. They expressed the view, at p.
493, that "except in the "flagrant" and
"outrageous" case a statutory order, such as a byelaw,
remains effective until it is quashed." Three authorities
were cited which were said to support this approach: London &
Clydeside Estates Ltd. v. Aberdeen District Council [1980] 1
W.L.R. 182, 189-190 in the speech of the Lord Hailsham of Saint
Marylebone L.C.; Smith v. East Elloe Rural District Council
[1956] A.C. 736, 769-770, in the speech of Lord Radcliffe and F.
Hoffmann-La Roche & Co. A.G. v. Secretary of State for Trade
and Industry [1975] A.C. 295, 366, in the speech of Lord
Diplock. This approach was then elevated by the Divisional Court
into a rule that byelaws which are on their face invalid or are
patently unreasonable (termed "substantive"
invalidity) may be called in question by way of defence in
criminal proceedings, whereas byelaws which are invalid because
of some defect in the procedure by which they came to be made
(termed "procedural" invalidity) may not be called in
question in such proceedings, so that a person might be
convicted of an offence under them even if the byelaws were
later quashed in other proceedings.
Strong reservations about the
decision of the Divisional Court in Bugg v. Director of
Public Prosecutions [1993] Q.B. 473 have recently been
expressed by this House in Reg. v. Wicks [1998] A.C. 92.
I have reached the conclusion that the time has come to hold
that it was wrongly decided.
I am bound to say that I do not
think that the three authorities to which I have referred
support the position as stated in Bugg's case. In my
judgment Lord Diplock's speech in the F. Hoffmann-La Roche
case, when read as a whole, makes it clear that subordinate
legislation which is quashed is deprived of any legal effect at
all, and that is so whether the invalidity arises from defects
appearing on its face or in the procedure adopted in its
promulgation. Lord Diplock himself cited, at p. 366F-G, the
speech of Lord Radcliffe in Smith v. East Elloe Rural
District Council [1956] A.C. 736, 769-770 and regarded him
as saying no more about the presumption of validity than he
(Lord Diplock) was saying. I agree with that view.
In my judgment, Lord Hailsham, in
the passage of his speech relied upon by the Divisional Court
in Bugg's case, was simply making the observation that
in a flagrant case of invalidity a private citizen might feel
sure enough of his ground to proceed and rely on his rights to
assert the "defect in procedure" (as Lord Hailsham
describes it) as a defence in proceedings brought against him;
that, on the other hand, where a defect in procedure is trivial
(i.e. one which would not render the public body's act ultra
vires), the public body may feel safe to proceed without taking
further steps to shore up the validity in law of what it had
done by reconsideration of the matter; and that in cases in the
grey area between these clear examples, it might be necessary
for the private citizen to safeguard his position by taking the
prudent course of seeking a declaration of his rights, or the
public body to reconsider for the matter. But that would be for
the citizen or the public body, as the case might be to decide.
Subject to any statutory qualifications upon his right to do
so, the citizen could, in my judgment, choose to accept the
risk of uncertainty, take no action at all, wait to be sued or
prosecuted by the public body and then put forward his
arguments on validity and have them determined by the court
hearing the case against him. That is a matter of right in a
case of ultra vires action by the public authority, and would
not be subject to the discretion of the court: see Wandsworth
London Borough Council v. Winder [1985] A.C. 461. In my
judgment any other interpretation of Lord Hailsham's speech
could not be reconciled with the decision of this House in the
Anisminic case [1969] 2 A.C. 147.
In my judgment the reasoning of the
Divisional Court in Bugg's case, suggesting two classes
of legal invalidity of subordinate legislation, is contrary
both to the Anisminic case and the subsequent decisions
of this House to which I have referred. The Anisminic
decision established, contrary to previous thinking that there
might be error of law within jurisdiction, that there was a
single category of errors of law, all of which rendered a
decision ultra vires. No distinction is to be drawn between a
patent (or substantive) error of law or a latent (or
procedural) error of law. An ultra vires act or subordinate
legislation is unlawful simpliciter and, if the presumption in
favour of its legality is overcome by a litigant before a court
of competent jurisdiction, is of no legal effect whatsoever.
The Divisional Court in Bugg's
case [1993] Q.B. 473 themselves drew attention to Lord
Denning's dissenting speech in Director of Public
Prosecutions v. Head and, whilst avowing that "The
distinction between orders which are void and voidable is now
clearly not part of our law" identified his approach as
interesting, because Lord Denning "was drawing a
distinction, as we are seeking to do, between different types
of invalidity:" see p. 496G. However, the distinction
which Lord Denning drew is one which was made redundant by the
decision in the Anisminic case, in which all categories
of unlawfulness were treated as equivalent and as having the
same effect.
Further, the Divisional Court
thought that there was no authority where it had been held that
it is proper for a criminal court to enquire into questions of
procedural irregularity. With respect to the court, I think it
overlooked that that was one basis for the decision of the
majority of this House in Director of Public Prosecutions v.
Head [1959] A.C. 83. Lord Tucker, at p. 103, envisaged that
documents upon which the administrative order were based might
be adduced in evidence to rebut the presumption of invalidity.
Lords Reid and Somervell agreed with his speech. Lord
Somervell, at p. 104, thought that the facts of the case itself
could also be analysed not as a case of patent error, but as a
case where it was shown by evidence that the Minister had made
his order without having any evidence available to him to
justify it, that is, a case of latent procedural, rather than
patent, error. Viscount Simonds, Lord Reid and Lord Tucker all
agreed. Indeed, on the facts of the case, and this, in my view,
was Lord Somervell's point, it was simply fortuitous that the
Minister's order had made reference on its face to the medical
certificates. The result of the case could not have been any
different if it had not done so, but appeared on its face to be
normal and valid.
Also, in my judgment the distinction
between orders which are "substantively" invalid and
orders which are "procedurally" invalid is not a
practical distinction which is capable of being maintained in a
principled way across the broad range of administrative action.
This emerges from the discussion of Wandsworth London
Borough Council v. Winder [1985] A.C. 461 by the Divisional
Court in Bugg v. Director of Public Prosecutions [1993]
Q.B. 473, 495G-496B. The court regarded it as a case of
"substantive invalidity," i.e. in which either the
decision to increase rents or the rent demands themselves were
on their face invalid. I disagree. The rent demands appeared
perfectly valid on their face. The decision was said by the
tenant to be Wednesbury unreasonable, because irrelevant
matters had, or relevant matters had not, been taken into
account, as set out in his pleading. At trial, he would have
had to adduce evidence to make out that case. It was not an
error on the face of the decision. In Reg. v. Wicks
[1998] A.C. 92, 114, Lord Hoffmann made the same point and at
pp. 113-114, referred to another problem of the application of
the categories proposed by the Divisional Court. Many different
types of challenge, which shade into each other, may be made to
the legality of byelaws or administrative acts. The decision in
Anisminic freed the law from a dependency on technical
distinctions between different types of illegally. The law
should not now be developed to create a new, and unstable,
technical distinction between "substantive" and
"procedural" invalidity.
In this case, the judgment of Auld
L.J. in the Divisional Court justifies such distinctions on
pragmatic grounds: the difficulties for magistrates in having
to deal with complicated points of administrative law and the
dangers of inconsistent decisions, both between different
benches of magistrates and between magistrates and the
Divisional Court. There is certainly weight in these arguments,
although I do not think that magistrates should be
underestimated and the practical risks of inconsistency are
probably exaggerated. But the remedy proposed, which is in
effect to have two systems of challenge to subordinate
legislation or administrative action: one in magistrates'
courts which is frozen in the pre- Anisminic mould and a
modern version operated in the Divisional Court, is in my view
both illogical and unfair.
Finally, in relation to Bugg's
case, the consequences of the proposed distinction is that, in
a case of "procedural" invalidity, a court (whether
in civil or criminal proceedings) is to regard byelaws and
other subordinate legislation as valid until set aside in
judicial review proceedings; and that an individual who
contravenes a byelaw commits an offence and can be punished,
even if the byelaw is later set aside as unlawful: p. 500C-D. I
can think of no rational ground for holding that a magistrates'
court has jurisdiction to rule on the patent or substantive
invalidity of subordinate legislation or an administrative act
under it, but has no jurisdiction to rule on its latent or
procedural invalidity, unless a statutory provision has that
effect. In my judgment, this conclusion in substance revives
the distinction between voidable and void administrative acts
and is contrary to the decisions of this House to which I have
already referred. If subordinate legislation is ultra vires on
any basis, it is unlawful and of no effect in law. It follows
that no citizen should be convicted and punished on the basis
of it. For these reasons I would overrule Bugg v. Director
of Public Prosecutions.
However, in every case it will
necessary to examine the particular statutory context to
determine whether a court hearing a criminal or civil case has
jurisdiction to rule on a defence based upon arguments of
invalidity of subordinate legislation or an administrative act
under it. There are situations in which Parliament may
legislate to preclude such challenges being made, in the
interest, for example, of promoting certainty about the
legitimacy of administrative acts on which the public may have
to rely.
The recent decision of this House in
Reg. v. Wicks [1998] A.C. 92 is an example of a
particular context in which an administrative act triggering
consequences for the purposes of the criminal law was held not
to be capable of challenge in criminal proceedings, but only by
other proceedings. The case concerned an enforcement notice
issued by a local planning authority and served on the
defendant under the then current version of section 87 of the
Town and Country Planning Act 1971. The notice alleged a breach
of planning control by the erection of a building and required
its removal above a certain height. One month was allowed for
compliance. The appellant appealed against the notice to the
Secretary of State, under section 174 of the Town and Country
Planning Act 1990, but the appeal was dismissed. The appellant
still failed to comply with the notice and the local authority
issued a summons alleging a breach of section 179(1) of the Act
of 1990. In the criminal proceedings which ensued, the
appellant sought to defend himself on the ground that the
enforcement notice had been issued ultra vires, maintaining
that the local planning authority had acted in bad faith and
had been motivated by irrelevant considerations. The judge
ruled that these contentions should have been made in
proceedings for judicial review and that they could not be gone
into in the criminal proceedings. The appellant then pleaded
guilty and was convicted. This House upheld his conviction.
Lord Hoffmann, in the leading speech, emphasised that the
ability of a defendant to criminal proceedings to challenge the
validity of an act done under statutory authority depended on
the construction of the statute in question. This House held
that the Town and Country Planning Act 1990 contained an
elaborate code including provision for appeals against notices,
and that on proper construction of section 179(1) of the Act
all that was required to be proved in the criminal proceedings
was that the notice issued by the local planning authority was
formally valid.
The decision of the Divisional Court
in Quietlynn Ltd. v. Plymouth City Council [1988] 1 Q.B.
114 is justified on similar grounds: see Reg. v. Wicks
[1998] A.C. 92, 117-118, per Lord Hoffmann. There, a
company was operating sex shops in Plymouth under transitional
provisions which allowed them to do so until their application
for a licence under the scheme introduced by the Local
Government (Miscellaneous Provisions) Act 1982 had been
"determined." The local authority refused the
application. The company was then prosecuted for trading
without a licence. It sought to allege that the local authority
had failed to comply with certain procedural provisions and
that its application had therefore not yet been determined
within the meaning of the Act. The Divisional Court held as a
matter of construction that the local authority's decision was
a determination, whether or not it could be challenged by
judicial review. In the particular statutory context,
therefore, an act which might turn out for a different purpose
to be a nullity (e.g. so as to require the local authority to
hear the application again) was nevertheless a determination
for the purpose of bringing the transitional period to an end.
However, in approaching the issue of
statutory construction the courts proceed from a strong
appreciation that ours is a country subject to the rule of law.
This means that it is well recognised to be important for the
maintenance of the rule of law and the preservation of liberty
that individuals affected by legal measures promulgated by
executive public bodies should have a fair opportunity to
challenge these measures and to vindicate their rights in court
proceedings. There is a strong presumption that Parliament will
not legislate to prevent individuals from doing so: "It is
a principle not by any means to be whittled down that the
subject's recourse to Her Majesty's courts for the
determination of his rights in not to be excluded except by
clear words:" Pyx Granite Co. Ltd. v. Ministry of
Housing and Local Government [1960] A.C. 260, 286, per
Viscount Simonds; cited by Lord Fraser of Tullybelton in
Wandsworth London Borough Council v. Winder [1969] A.C.
461, 510A-C.
As Lord Diplock put it in F.
Hoffmann-La Roche & Co. Ltd. v. Secretary of State for
Trade and Industry [1975] A.C. 295, 366C:
"the courts lean very heavily against a
construction of an Act which would have this effect (cf.
Anisminic Ltd. v. Foreign Compensation Commission
[1969] 2 A.C. 147)."
The particular statutory schemes in
question in Reg. v. Wicks [1998] A.C. 92 and in the
Quietlynn case [1988] 1 Q.B. 114 did justify a
construction which limited the rights of the defendant to call
the legality of an administrative act into question. But in my
judgment it was an important feature of both cases that they
were concerned with administrative acts specifically directed
at the defendants, where there had been clear and ample
opportunity provided by the scheme of the relevant legislation
for those defendants to challenge the legality of those acts,
before being charged with an offence.
By contrast, where subordinate
legislation (e.g. statutory instruments or byelaws) is
promulgated which is of a general character in the sense that
it is directed to the world at large, the first time an
individual may be affected by that legislation is when he is
charged with an offence under it: so also where a general
provision is brought into effect by an administrative act, as
in this case. A smoker might have made his first journey on the
line on the same train as Mr. Boddington; have found that there
was no carriage free of no smoking sign and have chosen to
exercise what he believed to be his right to smoke on the
train. Such an individual would have had no sensible
opportunity to challenge the validity of the posting of the no
smoking signs throughout the train until he was charged, as Mr.
Boddington was, under Byelaw 20. In my judgment in such a case
the strong presumption must be that Parliament did not intend
to deprive the smoker of an opportunity to defend himself in
the criminal proceedings by asserting the alleged unlawfulness
of the decision to post no smoking notices throughout the
train. I can see nothing in section 67 of the Transport Act
1962 or the byelaws which could displace that presumption. It
is clear from Wandsworth London Borough Council v. Winder
[1985] A.C. 461 and Reg. v. Wicks [1998] A.C. 92, 116,
per Lord Hoffmann that the development of a statutorily
based procedure for judicial review proceedings does not of
itself displace the presumption.
Accordingly, I consider that the
Divisional Court was wrong in the present case in ruling that
Mr. Boddington was not entitled to raise the legality of the
decision to post no smoking notices throughout the train, as a
possible defence to the charge against him.
Lord Nicholls of Birkenhead noted in
Reg. v. Wicks, at pp. 106-107, that there may be cases
where proceedings in the Divisional Court are more suitable and
convenient for challenging a byelaw or administrative decision
made under it than by way of defence in criminal proceedings in
the magistrates' court or the Crown Court. Nonetheless Lord
Nicholls held that "the proper starting point" must
be a presumption that "an accused should be able to
challenge, on any ground, the lawfulness of an order the breach
of which constitutes his alleged criminal offence:" see p.
106. No doubt the factors listed by Lord Nicholls may, where
the statutory context permits, be taken into account when
construing any particular statute to determine Parliament's
intention, but they will not usually be sufficient in
themselves to support a construction of a statute which would
preclude the right of a defendant to raise the legality of a
byelaw or administrative action taken under it as a defence in
other proceedings. This is because of the strength of the
presumption against a construction which would prevent an
individual being able to vindicate his rights in court
proceedings in which he is involved. Nor do I think it right to
belittle magistrates' courts: they sometimes have to decide
very difficult legal questions and generally have the
assistance of a legally qualified clerk to give them guidance
on the law. For example when the Human Rights Bill now before
Parliament passes into law the magistrates' courts will have to
determine difficult questions of law arising from the European
Convention on Human Rights. In my judgment only the clear
language of a statute could take away the right of a defendant
in criminal proceedings to challenge the lawfulness of a byelaw
or administrative decision where his prosecution is premised on
its validity.
Is Mr. Boddington's defence made out?
The burden was on Mr. Boddington to
establish, on a balance of probabilities, that the decision of
Network South Central to post no smoking notices in all the
carriages of its trains was unlawful. His argument turned on
the construction of the statute. He maintained that the primary
legislation--section 67(1) of the Transport Act 1962-- in its
relevant part, empowered the British Railways Board to make
byelaws "regulating . . . the conduct of all persons . . .
with respect of . . . smoking . . . in railway carriages,"
and that "regulating" could not include prohibition.
Whilst Mr. Boddington did not contend that the byelaw itself
was unlawful, he did argue that, in the context of the primary
legislation, the decision to post notices to prohibit, rather
than regulate, smoking, was unlawful. He relied upon
authorities to the effect that normally a power to regulate
does not include a power to prohibit: Municipal Corporation
of the City of Toronto v. Virgo [1896] A.C. 88, 93,; Tarr
v. Tarr [1973] A.C. 254, 265G-268A, per Lord
Pearson.
In my judgment, whilst ordinarily
the word "regulate" may be used to indicate something
less than total prohibition, the meaning to be attributed to it
in any statute must depend on the particular statutory context.
Authorities relating to other statutes are of limited
assistance.
The opening part of section 67(1) of
the Transport Act 1962 is expressed in very general terms.
There are two limbs of the provision which are relevant. First,
it confers a power to make byelaws to regulate "the use
and working of, and travel on, [the] railways." Second, it
confers a power to make byelaws "regulating . . . the
conduct of all persons . . . while on [railway premises]."
The reference in the section to the making of byelaws on
particular matters, including "(c) with respect to
the smoking of tobacco in railway carriages and elsewhere and
the prevention of nuisances," is governed by both limbs of
the opening of the provision. Control of smoking on railway
carriages is, however, in my view, governed by the first limb
of the opening part of subsection (1). This is because the
second limb relates to conduct of persons "on . . .
railway premises" a term used in the subsection in
distinction from "on [the] railways." The term
"railway premises" includes "stations and the
approaches to stations," and in context means the land on
which the railway company carries on its business. The power to
regulate what may take place on board the railway carriages is,
therefore, derived from the first limb of the subsection.
The word "regulating"
applies to the general activities of "the use and working
of, and travel on" the railway, and not directly to the
specific activity of smoking. No doubt a byelaw could not be
made to prohibit the use of the railway, or travel on the
railway, since that would not be justified by the use of the
term "regulating" in relation to those activities.
But in my opinion a ban on smoking on all railway carriages is
a form of regulating the use of the railway, or travel on the
railway. Paragraph (c) makes it plan that regulation of
the use of the railway may extend to dealing with the subject
of smoking of tobacco in railway carriages. One way in which a
railway company may, perfectly reasonably, decide to regulate
the use of its railway so far as concerns smoking on carriages,
is to ban smoking. That was what Network South Central did in
the present case, in bringing byelaw 20 into operation, and
there was nothing unlawful in their doing so.
I would therefore dismiss the
appeal.
LORD BROWNE-WILKINSON
My Lords,
I have had the advantage of reading
in draft the speech of my noble and learned friend, Lord Steyn,
with which I agree. For the reasons which he gives I would
dismiss this appeal.
I have also read the speech of my
noble and learned friend, Lord Irvine of Lairg L.C. with which,
but for one point, I also agree. The Lord Chancellor attaches
importance to the consideration that an invalid bye-law is and
always has been a nullity. The byelaw will necessarily have
been found to be ultra vires; therefore it is said it is a
nullity having no legal effect. I adhere to my view that the
juristic basis of judicial review is the doctrine of ultra
vires. But I am far from satisfied that an ultra vires act is
incapable of having any legal consequence during the period
between the doing of that act and the recognition of its
invalidity by the court. During that period people will have
regulated their lives on the basis that the act is valid. The
subsequent recognition of its invalidity cannot rewrite history
as to all the other matters done in the meantime in reliance on
its validity. The status of an unlawful act during the period
before it is quashed is a matter of great contention and of
great difficulty: see Percy v. Hall [1997] Q.B. 924,
950-952, per Schieman L.J. and the authorities there
referred to; de Smith, Woolf and Jowell, Judicial Review of
Administrative Action, 5th ed. (1995), paras. 5.044-5.048;
Calvin v. Carr [1980] A.C. 574, 589G-590B.
I prefer to express no view at this
stage on those difficult points. It is sufficient for the
decision of the present case to agree with both my Lords in
holding that a man commits no crime if he infringes an invalid
byelaw and has the right to challenge the validity of the
byelaw before any court in which he is being tried.
LORD SLYNN OF HADLEY
My Lords,
I have had the advantage of reading
in draft the speeches prepared by noble and learned friends,
the Lord Chancellor and Lord Steyn. Like them I hold that it is
open to a defendant to raise in a criminal prosecution the
contention that a byelaw or an administrative act undertaken
pursuant to it is ultra vires and unlawful and that if he
establishes that he has committed no crime. For magistrates to
be required to convict when they are satisfied that an
administrative act is unlawful is unacceptable. It is not a
realistic or satisfactory riposte that defendants can always go
by way of a judicial review. In any event although the
procedural advantages of raising such damages by way of
judicial review have long been recognised, an application for
judicial review is not a straight-jacket which must be put on
before rights can be asserted. The decisions in cases in your
Lordships' House sighted by Lord Steyn make this clear.
The risk of divergent decisions by
magistrates is of course present but if a decision by a court
of criminal jurisdiction that a byelaw or administrative act
pursuant to it is ultra vires is of importance to a prosecuting
authority the latter can always challenge it. It is indeed a
matter for consideration whether some simple form of reference
by magistrates' courts to the Divisional Court of questions of
invalidity could not be set up.
I further agree, for the reasons
given by my noble and learned friends, that for this purpose
the distinction between substantive and procedural error should
not be upheld. Like Lord Steyn I am in agreement with the
passage quoted by him of the opinion of Lord Nicholls of
Birkenhead in Reg. v. Wicks [1998] A.C. 92, 108.
I consider that the result of
allowing a collateral challenge in proceedings before courts of
criminal jurisdiction can be reached without it being necessary
in this case to say that if an act or bye-law is invalid it
must be held to have been invalid from the outset for all
purposes and that no lawful consequences can flow from it. This
may be the logical result and will no doubt sometimes be the
position but courts have had to grapple with the problem of
reconciling the logical result with the reality that much have
may have been done on the basis that an administrative act or a
byelaw was valid. The unscrambling may produce more serious
difficulties than the invalidity. The European Court of Justice
has dealt with the problem by ruling that its declaration of
invalidity should only operate for the benefit of the parties
to the actual case or of those who had began proceedings for a
declaration of invalidity before the courts' judgment. In our
jurisdiction the effect of invalidity may not be relied on if
limitation periods have expired or if the court in its
discretion refuses relief, albeit considering that the act is
invalid. These situations are of course different from those
where a court has pronounced subordinate legislation or an
administrative act to be unlawful or where the presumption in
favour of their legality has been overruled by a court of
competent jurisdiction. But even in these cases I consider that
the question whether the acts or byelaws are to be treated as
having at no time had any effect in law is not one which has
been fully explored and is not one on which it is necessary to
rule in this appeal and I prefer to express no view upon it.
The cases referred to in Wade and Forsyth,
Administrative Law 7th ed. (1997), pp. 323-324, 342-344
lead the authors to the view that nullity is relative rather
than an absolute concept (p. 343) and that "void" is
"meaningless in any absolute sense. Its meaning is
relative:" This may all be rather imprecise but the law in
this area has developed in a pragmatic way on a case by case
basis. The result, however, in the present case is clear that
the validity of the administrative act may be challenged by way
of defence.
Although the appellant has served a
useful function in bringing this appeal and establishing the
right to raise in the magistrates court the invalidity of the
administrative act of putting up no smoking notices in the
railway carriages, his appeal must still fail. For the reasons
given by Lord Irvine of Lairg L.C. it seems to me plain that on
the wording of section 67(1) of the Transport Act 1962 Network
South Central acted within their powers.
I would accordingly dismiss the
appeal.
LORD STEYN
My Lords,
1. THE GENERAL PROBLEM
It is a truth generally acknowledged
among lawyers that the complexity of a civil or criminal case
does not depend on the level of the hierarchy of courts where
it is heard. On a given day a bench of magistrates may have to
decide a more difficult case than an appeal being heard by the
Appellate Committee of the House of Lords. Magistrates are the
bedrock of the English criminal justice system: they decide
more than 95 per cent. of all criminal cases tried in England
and Wales. Frequently they are called upon to decide complex
questions of fact and, with the aid of the justices' clerk,
difficult questions of law. For example, in criminal cases
justices may have to exercise control over proceedings through
the abuse of process jurisdiction; they may have to decide
issues of fact on which they heard conflicting scientific
evidence; they may have to deal with intractable problems of
similar fact evidence or sensitive questions under the Police
and Criminal Evidence Act 1984; they may have to decide whether
as a matter of law undisputed or disputed conduct by a
defendant is or may be a criminal offence; and so forth. The
working assumption has been that every court of criminal
jurisdiction including magistrates courts must decide all
issues of fact or law which need to be determined in order to
establish the guilt or innocence of a defendant. But in the
last ten years, in the wake of the expansion of judicial review
and the resultant increase in the power of the Divisional
Court, the idea has gained ascendancy that it is not part of
the jurisdiction of a criminal court to determine issues
regarding the validity of byelaws or administrative decisions
even if the resolution of such issues could be determinative of
the guilt or innocence of a defendant. Such a view was put
forward by the Divisional Court in Quietlynn v. Plymouth
City Council [1988] Q.B. 114 but that decision is
explicable on the basis of the policy of the statute in
question. In Reg. v. Reading Crown Court, Ex parte
Hutchinson [1988] Q.B. 384 a differently constituted
Divisional Court doubted the correctness of some of the general
observations in the Quietlynn case. The leading decision
suggestive of such a restriction on the jurisdiction of
magistrates, and indeed of all criminal courts, is Bugg v.
Director of Public Prosecutions [1993] Q.B. 473. In that
case Woolf L.J., giving the judgment of the Divisional Court,
distinguished in the context of byelaws between substantive and
procedural validity and he held that while a criminal court may
decide an issue as to substantive validity a question as to
procedural validity is beyond its power. The decision of the
Divisional Court in the present case [1997] C.O.D. 3 went
significantly further. Auld L.J., sitting with Ebsworth J. and
giving the reserved judgment of the Divisional Court, held that
any issue of the validity of a byelaw or administrative action
is beyond the jurisdiction of criminal courts. The present
appeal affords an opportunity to examine the correctness of
these important decisions.
II. MR. BODDINGTON'S CASE
It is necessary to describe how it
comes about that Mr. Boddington's appeal enables your Lordships
House to examine the general jurisdictional issues. Mr.
Boddington regularly travelled by train between London and
Brighton. He is a smoker. Until 1 January 1993 he was able to
smoke on his journeys since there was always one carriage in
which smoking was permitted. On that date Network South Central
("N.S.C."), a part of the British Railways Board,
which provided the relevant services, put into effect a
decision to ban smoking on all carriages of its trains. The
statutory basis of the action taken by N.S.C. was as follows.
Section 67(1)(c) of the Transport Act 1962 provides:
"The Railways Board . . . may make bylaws
regulating the use, and working of, and travel on, their
railways . . . and the conduct of all persons . . . while on
[their] premises and in particular bylaws--. . . (c)
with respect to the smoking of tobacco in railway carriages
and elsewhere and the prevention of nuisances;"
On 22 June 1965, purportedly acting under section 67(1)(c)
the British Railways Board made "Railway Byelaws."
Byelaw 20 provides:
"No person shall smoke or carry a lighted . . .
cigarette . . . on any vehicle . . . where smoking is
expressly prohibited by the Board by a notice exhibited in a
conspicuous position in such . . . vehicle."
Byelaw 1(1) defines "vehicle" as follows:
Relying on byelaw 20 N.S.C. exhibited notices prohibiting
smoking in all carriages on their trains.
In early 1993 Mr. Boddington became
aware of the ban. He did not accept the legality of the ban. He
continued to smoke on his journeys. On 5 November 1994 he
smoked as usual during his journey to Brighton. An officer
asked him to put out his cigarette. He refused to do so. In due
course he was charged with an offence under the relevant byelaw
read with section 67 of the Transport Act as amended. He was
tried by a stipendiary magistrate sitting at Brighton. Mr.
Boddington's defence was twofold. First, he apparently
contended that byelaw was unreasonably wide and therefore ultra
vires. Secondly, he contended that the administrative decision
to implement the ban was unreasonable and invalid. The
stipendiary magistrate convicted Mr. Boddington. He was asked
to state a case and he did so. From the stated case it appears
that the stipendiary magistrate, having had the decision in
Bugg v. Director of Public Prosecutions [1993] Q.B. 473
cited to him, concluded that subordinate legislation can only
be challenged "in a court with locus standi to challenge
the validity of subordinate legislation." Nevertheless the
stipendiary magistrate rejected the challenges to the validity
of the byelaw and the administrative decision to implement the
ban.
That is how the appeal by way of
case stated came before the Divisional Court. Counsel for the
appellant concentrated his argument on the validity of the
administrative decision. But after extensive citation of
authority and full argument Auld L.J., sitting with Ebsworth
J., ruled "that Mr. Boddington was not entitled to
challenge by way of defence in the criminal proceedings before
the magistrate the substantive validity of the prohibition,
whether as a matter of the construction of section 67 and the
byelaw or as to whether it was irrational." From the
context it is clear (1) that Auld L.J. had in mind that all
issues of procedural and substantive invalidity of byelaws were
beyond the jurisdiction of a criminal court and (2) that any
challenge to the validity of an administrative decision was
also beyond the jurisdiction of a criminal court. In the result
Auld L.J. declined to rule on the merits of Mr. Boddington's
argument: he held that such matters could only be considered in
judicial review proceedings. This is the context in which the
Divisional Court certified that points of law of general
importance are involved.
In the agreed statement of
facts and issues on the present appeal the questions have been
refined as follows:
(a) a contention that the byelaw was
ultra vires the powers granted by s.67(1) of the Transport Act
1962;
(c) a contention that the administrative
act that led to the byelaw being used to implement a total ban
on smoking in N.S.C. trains was of so unreasonable a nature
that it rendered the byelaw invalid?
Or are these matters which can be raised only by way
of proceedings for judicial review in the Divisional Court?"
It will be convenient to consider
the general jurisdictional questions before examining the
merits of Mr. Boddington's particular arguments. For that
purpose I will concentrate on the issues raised by the case of
Bugg and the judgment of the Divisional Court in Mr.
Boddington's case.
III. THE DECISION IN BUGG'S CASE
In Bugg's case the Divisional
Court considered whether it is appropriate for magistrates
courts hearing criminal proceedings to decide issues regarding
the validity of byelaws. The defendants in two cases had
entered military protected areas. They were charged with
offences under byelaws. They argued that the byelaws were
invalid because the areas to which the byelaws applied were
insufficiently identified. The Divisional Court allowed a
defendant's appeal in one case and dismissed a prosecutor's
appeal in the other case. Woolf L.J. concluded that a criminal
court may decide issues concerning substantive validity but not
issues of procedural validity. He stated, at p. 500D:
"So far as procedural invalidity is concerned,
the proper approach is to regard byelaws and other subordinate
legislation as valid until they are set aside by the
appropriate court with the jurisdiction to do so. A member of
the public is required to comply with byelaws even if he
believes they have a procedural defect unless and until the
law is held to be invalid by a court of competent
jurisdiction. If before this happens he contravenes the
byelaw, he commits an offence and can be punished. Where the
law is substantively invalid, the position is different. No
citizen is required to comply with a law which is bad on its
face. If the citizen is satisfied that that is the situation,
he is entitled to ignore the law."
Since the issue before the Divisional Court was undoubtedly
one of substantive validity the observations of Woolf L.J. were
strictly obiter. But any observations of Woolf L.J., are
entitled to great weight and Woolf L.J. is of course a great
expositor of public law. And he had the advantage of sitting
with Pill J., a judge with extensive Divisional Court
experience.
The reasons of Woolf L.J. can be
grouped under two headings. First, there are his pragmatic
reasons for thinking that a criminal court is not equipped to
deal with the relevant issues. Woolf L.J. said that in cases of
substantive invalidity of byelaws no evidence is required
whereas in cases of procedural invalidity evidence is required.
The fact that evidence is required he said, may lead to
different outcomes in different courts. He said that in cases
of procedural invalidity the party interested in upholding a
byelaw may well not be a party to the proceedings. Secondly,
Woolf L.J. relied on the developments which have taken place in
judicial review over the last 25 years. The principal ground of
his reasoning was that, except in "flagrant" and
"outrageous" cases, a byelaw remains effective until
quashed.
IV. THE CORRECTNESS OF BUGG'S CASE
Recently in Reg. v. Wicks
[1998] A.C. 92, Lord Nicholls of Birkenhead and Lord Hoffmann
expressed views which called into question the correctness of
Bugg's case. Reg. v. Wicks was a planning case.
The defendant was charged with non compliance with an
enforcement notice. He attempted to challenge the validity of
the enforcement notice at a criminal trial. In the leading
judgment Lord Hoffmann held that as a matter of statutory
interpretation "enforcement notice" in section 179(1)
of the Town and Country Planning Act 1990 means a notice issued
by the authority which is formally valid and has not been set
aside. Accordingly, there was no defence to the criminal
charge. That was the unanimous view of the House. In these
circumstances the issues raised by Bugg's case did not
arise and the House expressed no final view on them. In the
present case those issues do arise directly and ought to be
decided. Initially there was a difficulty. Counsel for the
appellant and the respondent were in agreement that the
observations in Bugg's case, as well as the more far
reaching observations by the Divisional Court in the present
case, were wrong. It would have been undesirable for the House
of Lords to decide such important issues without the benefit of
full argument. Fortunately, as a result of the careful and
thorough written and oral submissions of Mr. Caplan and Mr.
Burnett, acting as amici curiae appointed by the
Attorney-General, the House has had the benefit of argument for
and against the reasoning in both cases. Moreover, there has
been valuable academic discussion of the issues raised by
Bugg's case: see David Feldman, "Collateral
challenge and judicial review; the boundary dispute continues,"
[1993] P.L. 37; Carl Emery, "Public or Private Law: The
Limits of Procedural Reform" [1995] P.L. 450, 455-461; Dr.
Christopher Forsyth, "The Metaphysic of Nullity,
Invalidity, Conceptual Reasoning and the Rule of Law,"
Forsyth & Hare, The Golden Metwand and the Crooked Cord:
Essays on Public Law in Honour of Sir William Wade (1998),
pp. 152-153; Wade and Forsyth, Administrative Law, 7th
ed. (1997), pp. 321-324; Craig, Administrative Law, 3rd
ed. (1994), pp. 447-466. Sir Harry Woolf's Hamlyn lecture
"Protection of the Public--a New Challenge" (1987),
had foreshadowed the reasoning in Bugg's case. That
reasoning was criticised: J. Beatson, "Public and Private
in English Administrative Law" (1987) 103 L.Q.R. 34,
59-61. I have found the discussion of the problems by academic
lawyers of great assistance.
The pragmatic reasons given by Woolf
L.J. need to put in context. As Lord Hoffmann observed in Reg.
v. Wicks [1998] A.C. 92, 116: "the distinction between
substantive and procedural invalidity appears to cut across the
distinction between grounds of invalidity which require no
extrinsic evidence and those which do." An issue of
substantive invalidity may involve daunting issues of fact,
e.g. an issue as to unequal treatment of citizens in a
pluralistic society or other forms of unreasonableness. In such
a case the issues of law may also be complex. In contrast an
issue of procedural invalidity of a byelaw may involve minimal
evidence, e.g. simply the negative fact that an express duty to
consult was breached. And the question of law may be
straightforward. This aspect of the pragmatic case is not
persuasive. It is true, as Woolf L.J. said, that on the
evidence presented to them different magistrates courts may
come to different conclusions. But this factor proves too much:
it applies equally to substantive validity. In any event,
although a criminal court can not quash byelaws the Divisional
Court can on appeal on a case stated from a decision of
magistrates give a ruling which will in practice be followed by
other magistrates courts. Woolf L.J. added that the party with
an interest in upholding the byelaws may not be before the
court. But that is also true of cases of substantive
invalidity. Moreover, in a criminal case the prosecution,
backed by the resources of the state, will usually put forward
the case for upholding the byelaws. I therefore regard the
pragmatic case in favour of a rule that magistrates may not
decide issues of procedural validity, even if the distinction
can be satisfactorily drawn, as questionable.
There is also a formidable
difficulty of categorisation created by Bugg's case
[1993] Q.B. 473. A distinction between substantive and
procedural invalidity will often be impossible or difficult to
draw. Woolf L.J. recognised that there may be cases in a grey
area, e.g. cases of bad faith: p. 500F. I fear that in reality
the grey area covers a far greater terrain. In Associated
Provincial Picture Houses Ltd. v. Wednesbury Corporation
[1948] 1 K.B. 223, 229, Lord Greene M.R. pointed out that
different grounds of review "run into one another." A
modern commentator has demonstrated the correctness of the
proposition that grounds of judicial review have blurred edges
and tend to overlap with comprehensive reference to leading
cases: see Fordham, Judicial Review Handbook, 2nd ed,
pp. 514-521. Thus the taking into account by a decision maker
of extraneous considerations is variously treated as
substantive or procedural. Moreover, even Woolf L.J.
categorisation of procedural invalidity is controversial. Wade
and Forsyth rightly point out that contrary to normal
terminology Woolf L.J. treated procedural invalidity as being
not a matter of excess or abuse of power: Wade and Forsyth,
Administrative Law, 7th ed., p. 323. Categorisation is an
indispensable tool in the search for rationality and coherence
in law. But the process of categorisation in accordance with
Bugg's case which serves to carve out of the
jurisdiction of criminal courts the power to decide on some
issues pertinent to the guilt of a defendant, leads to a
labyrinth of paths. It is nevertheless an inevitable
consequence of Bugg's case that magistrates may have to
rule on the satellite issue whether a particular challenge is
substantive or procedural. That may involve hearing
wide-ranging arguments. Even then there may be no clear cut
answer. This is a factor militating against the pragmatic case
on which Woolf L.J. relied in Bugg's case.
The problems of categorisation pose
not only practical difficulties. As Lord Nicholls of Birkenhead
explained in Reg. v. Wicks [1998] A.C. 92 they expose a
fundamental problem. About the concluding passage in Bugg's
case [1993] Q.B. 473, 500, which I have quoted, he said, at p.
108:
"On this reasoning there is not only a boundary
between the two different types of invalidity. There is also
an imperative need for the boundary line to be fixed and
crystal clear. There can be no room for an ambiguous grey
area. On this reasoning the boundary is not merely concerned
with identifying the proceedings in which, as a matter of
procedure, the unlawfulness issue can best be raised. Rather,
the boundary can represent the difference between committing a
criminal offence and not committing a criminal offence.
"According to this reasoning, a decision
on invalidity has sharply different consequences, so far as
criminality is concerned, in the two types of case. Setting
aside an impugned order for procedural invalidity, as distinct
from substantive invalidity, has no effect on the criminality
of earliest conduct. Despite a court decision that the order
was not lawfully made, the defendant is still guilty of an
offence, by reason of his prior conduct.
"Further, it would seem to follow that in
the case of procedural invalidity, the defendant could be
convicted even after the order is set aside as having been
made unlawfully, so long as the non-compliance occurred before
the order was set aside. In cases of substantive invalidity
the citizen can take the risk and disobey the order. If he
does so, and the order is later held to be invalid, he will be
innocent of any offence. In case of procedural invalidity, the
citizen is not permitted to take this risk, however clear the
irregularity may be."
I regard this reasoning as unanswerable. The rule of law
requires a clear distinction to be made between what is lawful
and what is unlawful. The distinction put forward in Bugg's
case undermines this axiom of constitutional principle.
Now I turn to modern developments in
judicial review which were the principled grounds upon which
Woolf L.J. relied. The first and major factor for Woolf L.J.
was the proposition that except in "flagrant" and
"outrageous" cases a statutory order, such as a
byelaw, remains effective until it is quashed. This is a large
topic on which there are confusing and contradictory dicta. It
is not possible to review the subject in detail in the context
of the present case. But I cannot accept the absolute
proposition in Bugg without substantial qualification.
Leaving to one side the separate topic of judicial review of
non-legal powers exercised by non statutory bodies, I see no
reason to depart from the orthodox view that ultra vires is
"the central principle of administrative law" as Wade
and Forsyth, Administrative Law, 7th ed., p. 41 described
it. Lord Browne-Wilkinson observed in Reg. v. Hull
University Visitor, Ex parte Page [1993] A.C. 682, 701:
"The fundamental principle [of judicial review]
is that the courts will intervene to ensure that the powers of
public decision-making bodies are exercised lawfully. In all
cases . . . this intervention . . . is based on the
proposition that such powers have been conferred on the
decision-maker on the underlying assumption that the powers
are to be exercised only within the jurisdiction conferred, in
accordance with fair procedures and, in a Wednesbury
sense. . . reasonably. If the decision-maker exercises his
powers outside the jurisdiction conferred, in a manner which
is procedurally irregular or is Wednesbury unreasonable,
he is acting ultra vires his powers and therefore unlawfully.
. . ."
This is the essential constitutional underpinning of the
statute based part of our administrative law. Nevertheless, I
accept the reality that an unlawful byelaw is a fact and that
it may in certain circumstances have legal consequences. The
best explanation that I have seen is by Dr. Forsyth who
summarised the position as follows in "The Metaphysic of
Nullity, Invalidity, Conceptual Reasoning and the Rule of Law,"
at p. 159:
"it has been argued that unlawful administrative
acts are void in law. But they clearly exist in fact and they
often appear to be valid; and those unaware of their
invalidity may take decisions and act on the assumption that
these acts are valid. When this happens the validity of these
later acts depends upon the legal powers of the second actor.
The crucial issue to be determined is whether that second
actor has legal power to act validly notwithstanding the
invalidity of the first act. And it is determined by a
analysis of the law against the background of the familiar
proposition that an unlawful act is void." (Emphasis
supplied.)
That seems to me a more accurate summary of the law as it
has developed than the sweeping proposition in Bugg's
case. And Dr. Forsyth's explanation is entirely in keeping with
the analysis of the formal validity of the enforcement notice
in Reg. v. Wicks which was sufficient to determine the
guilt of the defendant.
That brings me to a matter of
principle and precedent. In my view the holding in Bugg
is contrary to established judicial review principles establish
by decisions of high authority. The general rule of
procedural exclusivity judicially created in O'Reilly v.
Mackman [1983] 2 A.C. 237 was at its birth recognised to be
subject to exceptions, notably (but not restricted to the case)
where the invalidity of the decision arises as a collateral
matter in a claim for infringement of private rights. The
purpose of the rule was stated to be prevention of an abuse of
the process of the court, and that purpose is of prime
importance in determining the reach of the general rule:
compare Mercury Communications Ltd. v. Director General of
Telecommunications [1996] 1 W.L.R. 48, 57E, per Lord
Slynn of Hadley. Since O'Reilly v. Mackman decisions of
the House of Lords have made clear that the primary focus of
the rule of procedural exclusivity is situations in which an
individual's sole aim was to challenge a public law act or
decision. It does not apply in a civil case when an individual
seeks to establish private law rights which cannot be
determined without an examination of the validity of a public
law decision. Nor does it apply where a defendant in a civil
case simply seeks to defend himself by questioning the validity
of a public law decision. These propositions are established in
the context of civil cases by four decisions of the House of
Lords: Roy v. Kensington Family Practitioner Committee
[1992] 1 A.C. 624: Chief Adjudication Officer v. Foster
[1993] A.C. 754; Wandsworth London Borough Council v. Winder
[1985] A.C. 461 and in particular at pp. 509-510, per
Lord Fraser of Tullybelton; Mercury Communications Ltd. v.
Director General of Telecommunications [1996] 1 W.L.R. 48
and in particular at p. 57B-E, per Lord Slynn of Hadley.
One would expect a defendant in a criminal case, where the
liberty of the subject is at stake, to have no lesser rights.
Provided that the invalidity of the byelaw is or maybe a
defence to the charge a criminal case must be the paradigm of
collateral or defensive challenge. And in Director of Public
Prosecutions v. Hutchinson [1990] 2 A.C. 783, a criminal
case, the House of Lords allowed a collateral challenge to
delegated legislation. The judgment in Bugg v. Director of
Public Prosecutions [1993] Q.B. 473 in effect denies the
right of defensive challenge in a criminal case. In my view the
observations in Bugg's case are contrary to authority
and principle.
There is, above all, another matter
which strikes at the root of the decision in Bugg's case.
That decision contemplates that, despite the invalidity of a
byelaw and the fact that consistently with Reg. v. Wicks
such invalidity may in a given case afford a defence to a
charge, a magistrate court may not rule on the defence. Instead
the magistrates may convict a defendant under the byelaw and
punish him. That is an unacceptable consequence in a democracy
based on the rule of law. It is true that Bugg's case
allows the defendant to challenge the byelaw in judicial review
proceedings. The defendant may, however, be out of time before
he becomes aware of the existence of the byelaw. He may lack
the resources to defend his interests in two courts. He may not
be able to obtain legal aid for an application for leave to
apply for judicial review. Leave to apply for judicial review
may be refused. At a substantive hearing his scope for
demanding examination of witnesses in the Divisional Court may
be restricted. He may be denied a remedy on a discretionary
basis. The possibility of judicial review will, therefore, in
no way compensate him for the loss of the right to
defend himself by a defensive challenge to the byelaw in cases
where the invalidity of the byelaw might afford him with a
defence to the charge. My Lords, with the utmost deference to
eminent judges sitting in the Divisional Court I have to say
the consequences of Bugg's case are too austere and
indeed too authoritarian to be compatible with the traditions
of the common law. In Eshugbayi Eleko v. Government of
Nigeria [1931] A.C. 662, a habeas corpus case, Lord Atkin
observed, at p. 670, that "no member of the executive can
interfere with the liberty or property of a British subject
except on condition that he can support the legality of his
action before a court of justice." There is no reason why
a defendant in a criminal trial should be in a worse position.
And that seems to me to reflect the true spirit of the common
law.
There is no good reason why a
defendant in a criminal case should be precluded from arguing
that a byelaw is invalid where that could afford him with a
defence. Sometimes his challenge may be defeated by special
statutory provisions on analogy with the decision in Reg. v.
Wicks [1998] A.C. 92. The defence may fail because the
relevant statutory provisions are held to be directory rather
than mandatory. It may be held that substantial compliance is
sufficient. But, if an issue as to the procedural the validity
of a byelaw is raised, the trial court must rule on it.
V. SUBSIDIARY POINTS ARISING FROM BUGG'S CASE
For the sake of completeness I need
to direct attention briefly to three subsidiary matters
mentioned in Bugg's case. First Woolf L.J. quoted a
passage from Lord Diplock's speech in Hoffmann--La Roche &
Co. A.G. v. Secretary of State for Trade and Industry
[1975] A.C. 295, 366, about the presumption that subordinate
legislation is valid: see Woolf L.J. [1993] Q.B. 473, 493D-F.
As Lord Hoffmann explained in Reg. v. Wicks the context
of the Hoffmann-La Roche case shows that the presumption
of validity is not more than an evidential matter at the
interlocutory stage. There is no rule that lends
validity to invalid acts. In a practical world, however, a
court will usually assume that subordinate legislation, and
administrative acts, are valid unless it is persuaded
otherwise. Secondly, Woolf L.J. said [1993] Q.B. 473, 494 that
"in the case of substantive invalidity an applicant need
only show the invalidity whereas in the case of procedural
invalidity there is also the need for the applicant to show
that he has suffered substantial prejudice." As formulated
I am unable to accept this proposition. Let me pose two cases:
one a breach of a duty to consult before the making of a byelaw
and the other a breach of a duty to give a hearing before
making an administrative decision. In both cases that
establishes the ground of review. It is true that cases could
occur where it might be right in regard to an established
ground of judicial review to refuse a discretionary remedy and
in that respect absence of prejudice may be a relevant factor:
see, for example, Ridge v. Baldwin [1964] A.C. 40 and
compare Bingham L.J.'s reasons in Reg. v. Chief Constable of
the Thames Valley Police, Ex parte Cotton [1990] I.R.L.R.
344, as to why denial of a remedy as a matter of discretion in
such a case should be a rarity. But that is altogether
different from saying that prejudice is an element that an
applicant must prove to establish a ground of review. Thirdly,
Woolf L.J. [1993] Q.B. 473, 493 commented on the expansion of
the circumstances in which courts will intervene to quash
decisions. This cannot, however, be a principled ground for
carving away by judicial decision part of the jurisdiction of
magistrates courts. Nor can the powers of magistrates to rule
on the lawfulness of byelaws be deemed to have been frozen at
some date in the past. VI. THE DIVISIONAL COURT DECISION IN
THE PRESENT CASE
It is perhaps the recognition of the
difficulties inherent in the distinction drawn between
substantive and procedural invalidity in Bugg's case
that led Auld L.J. to extend the scope of the ruling in Bugg's
case by holding that all questions of invalidity of subordinate
legislation and administrative decisions should be determined
only in judicial review proceedings. Auld L.J. based his
decision entirely on the pragmatic grounds of the inconvenience
of magistrates deciding such issues. Auld L.J. said that it
"would be to beckon chaos" to permit such challenges
in criminal courts. While I accept that there is force in the
point that it would be convenient if all public law issues
could be decided in the Divisional Court, it seems to me that
Auld L.J. came to an unduly pessimistic conclusion. Moreover,
he failed to take into account counter arguments. Like Lloyd
L.J. in Ex parte Hutchinson and Lord Hoffmann in Reg.
v. Wicks [1998] A.C. 92, 116, I am impressed with the
following policy considerations put forward by a Greenham
Common defendant in Ex parte Hutchinson [1988] Q.B. 384,
392:
"Coming to London to the High Court is
inconvenient and expensive. Byelaws are generally local laws
which have been made for local people to do with local
concerns. Magistrates' courts are local courts and there is
one in every town of any size in England. The cost of
proceedings in a magistrates' court are far less than in the
High Court. I believe this egalitarian aspect of seeking
recourse to the law in a magistrates' court to be an important
sign of the availability of justice for all."
Moreover, allowing a collateral or defensive challenge
"avoids a cumbrous duplicity of proceedings which could
only add to the already overburdened list of applications for
judicial review awaiting determination in the Divisional Court"
as Lord Bridge of Harwich put it in Chief Adjudication
Officer v. Foster: [1993] A.C. 754, 766-767. In any event,
expediency is not a sufficient and proper basis for taking away
by judicial decision part of the jurisdiction of magistrates
courts to rule on issues pertinent to the guilt or innocence of
defendants. Moreover, the ruling of the Divisional Court is
contrary to principle and precedent which permits in civil and
criminal cases a collateral or defensive challenge to
subordinate legislation and administrative decisions. The
result of the decision of the Divisional Court is that
magistrates courts will sometimes be obliged to convict
defendants and to punish them despite the fact that the
invalidity of the byelaw or order on which the prosecution is
based affords the defendant an answer to the charge. Subject to
the qualification enunciated in Reg. v. Wicks [1998]
A.C. 92 such a view of the law involves an injustice which
cannot be tolerated in our criminal justice system.
It follows that the stipendiary
magistrate erred in ruling that the issues raised by Mr.
Boddington were beyond his jurisdiction. It further follows
that the Divisional Court erred in ruling that the issues
raised by Mr. Boddington could only be determined in judicial
review proceedings. Mr. Boddington was entitled at the criminal
trial to challenge the relevant byelaw and the administrative
decision implementing the ban on smoking. In these
circumstances Mr. Boddington is now entitled to a ruling on his
submissions.
VII. MR. BODDINGTON'S ARGUMENTS
The issues raised by the underlying
dispute are not difficult to determine. They do not justify
elaborate exposition. Byelaw 20 can quite naturally as a matter
of ordinary language be accommodated within the wide words
"with respect to the smoking of tobacco in railway
carriages" in section 67. In my view the byelaw is valid.
That leads to the attack on the administrative decision. It is
true that the administrative decision interferes with the
liberty of Mr. Boddington and other smokers. On the other hand,
there is a conflicting interest: N.S.C. were entitled to take
the view that many passengers do not wish to be exposed to
tobacco fumes even in one carriage on overcrowded trains. If
N.S.C. had maintained its previous policy, which permitted some
smoking on its trains, that decision would not have been
vulnerable to judicial review. The decision to impose the
general ban is also within the range of reasonable decisions
open to a decision-maker. It follows that there is no
sustainable ground on which the validity of the administrative
decision can be challenged.
VIII. LEGISLATIVE REFORM
Subject to suitable and effective
safeguards to protect the individual, there is a case for
legislation providing for a discretionary transfer by a
criminal court of public law issues to the Divisional Court.
But any such reform must confront the problem created by the
fact that leave to apply for judicial review is required, and
that the remedies are discretionary. Those features of judicial
review procedure cannot readily be reconciled with the need to
ensure justice in accordance with law to a defendant in a
criminal trial. Moreover, it will be necessary to take into
consideration the countervailing arguments of the type put
forward by the Greenham Common defendant in Ex parte
Hutchinson [1988] Q.B. 384 and to those mentioned by Lord
Bridge of Harwich in Chief Adjudication Officer v. Foster
[1993] A.C. 754. But, above all, it must be borne in mind that
there "are grave objections to giving courts discretion to
decide whether governmental action is lawful or unlawful:"
Wade, Administrative Law, 6th ed. (1988), p. 354. In my
view any reform must take account of such concerns.
IX. THE DISPOSAL OF THE APPEAL
Mr. Boddington has vindicated his
right to challenge the byelaw and the administrative decision
of which he complained. But his defence has been rejected. I
would therefore dismiss the appeal.
LORD HOFFMANN
My Lords,
I have had the advantage of reading
in draft the speeches of my noble and learned friends, Lord
Irvine of Lairg L.C. and Lord Steyn. For the reasons they have
given I, too, would dismiss the appeal.
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