Case No: 1999/07495/Y3
IN THE COURT OF APPEAL
(CRIMINAL DIVISION)
Royal Courts of Justice
Strand, London, WC2A 2LL
Date: 2nd October 2000
B e f o r e :
LORD JUSTICE HENRY
MRS JUSTICE BRACEWELL
and
MR JUSTICE RICHARDS
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REGINA |
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SALLY CLARK |
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(Transcript of the Handed Down Judgment of
Smith Bernal Reporting Limited, 190 Fleet Street
London EC4A 2HD
Tel No: 020 7421 4040, Fax No: 020 7831 8838
Official Shorthand Writers to the Court)
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E J Bevan Esq, QC & J Kelsey-Fry (instructed for the Appellant)
R Spencer Esq, QC & M Chambers Esq (instructed for the Respondent)
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Judgment
As Approved by the Court
Crown Copyright
Lord Justice Henry:
Facts
The Trial: Summary
Evidence at trial in respect of Christopher
Prosecution evidence: General
Prosecution evidence: Medical
Defence evidence: General
Defence evidence: Medical
Evidence at trial in respect of Harry
Prosecution evidence: General
Prosecution evidence: Medical
Defence evidence: General
Defence evidence: Medical
The grounds of appeal
Ground 1: Severance
"My decision is that the similarity between the circumstances surrounding the death of these two children is of sufficiently probative force to make it just to admit the evidence on one count in relation to the other, and vice versa, despite the prejudice that is thereby caused to the defendant. In my view an explanation based on coincidence offends common sense. It is right and proper in the circumstances that the jury should hear about both deaths and that the evidence relating to one should be admissible in relation to the other" (ruling of 9 September 1999).
"… I would deduce the essential feature of evidence which is to be admitted is that its probative force in support of the allegation that an accused person committed a crime is sufficiently great to make it just to admit the evidence, notwithstanding that it is prejudicial to the accused in tending to show that he was guilty of another crime. Such probative force may be derived from striking similarities in the evidence about the manner in which the crime was committed …. But restricting the circumstances in which there is sufficient probative force to overcome prejudice of evidence relating to another crime to cases in which there is some striking similarity between them is to restrict the operation of the principle in a way which gives too much effect to a particular manner of stating it, and is not justified in principle …. Once the principle is recognised, that what has to be assessed is the probative force of the evidence in question, the infinite variety of circumstances in which the question arises, demonstrates that there is no single manner in which this can be achieved. Whether the evidence has sufficient probative value to outweigh its prejudicial effect must in each case be a question of degree" (460E-461A).
"When a question of the kind raised in this case arises I consider that the judge must first decide whether there is material upon which the jury would be entitled to conclude that the evidence of one victim, about what occurred to that victim, is so related to the evidence given by another victim, about what happened to that other victim, that the evidence of the first victim provides strong enough support for the evidence of the second victim to make it just to admit it notwithstanding the prejudicial effect of admitting the evidence. This relationship, from which support is derived, may take many forms and while these forms may include 'striking similarity' in the manner in which the crime is committed, consisting of unusual characteristics in its execution, the necessary relationship is by no means confined to such circumstances. Relationships in time and circumstances other than these may well be important relationships in this connection. Where the identity of the perpetrator is in issue, and evidence of this kind is important in that connection, obviously something in the nature of what has been called in the course of argument a signature or other special feature will be necessary. To transpose this requirement to other situations where the question is whether a crime has been committed, rather than who did commit it, is to impose an unnecessary and improper restriction upon the application of the principle" (462D-G).
"… the evidence referred to is admissible if the similarity is sufficiently strong, or there is other sufficient relationship between the events described in the evidence of the other young children of the family, and the abuse charged, that the evidence, if accepted, would so strongly support the truth of that charge that it is fair to admit it notwithstanding its prejudicial effect" (463H-464A).
"(1) Both babies were, according to the defendant, found unconscious by her in the same room and apparently in the same bouncing chair, which the medical evidence suggested was not what one would expect in a SIDS’ (or cot death) case. Mr Bevan pointed out in respect of that that babies are generally looked after at home; but Mr Spencer replied that this is not just a matter of being in the same house.
(2) Both babies were found by the defendant at almost exactly the same time of the evening, namely about 9.30 p.m. which, it was said, was inconsistent with a SIDS’ case. Mr Bevan asks rhetorically what difference it would have made if it was 4.30 p.m. Mr Spencer pointed out that in both cases the babies had taken a feed shortly before their death.
(3) Both babies died at about the same age: Christopher 11 weeks, Harry 8 weeks. Mr Bevan submitted that the evidence was that cot deaths are most common with young babies of up to three months, but Mr Spencer pointed out that the coincidence was still there nevertheless.
(4) In each case the defendant was alone [with] the baby at the time of discovery. Mr Bevan submitted that that was of no significance at all, whereas Mr Spencer said that it was significant because in the case of Harry on the evidence the defendant had only been [alone] with the baby a short time of four minutes or so.
(5) In each case the defendant’s husband was either away or about to go away from home in connection with work. Mr Spencer referred to evidence showing that she was resentful of being left on her own and tended to drink more heavily when her husband was away. In the case of Christopher he was away at an office party. In the case of Harry, he was about to go to Glasgow on business the next day. In the case of Harry the defendant visited the off-licence on two occasions to buy some wine, saying (falsely, it would appear) that they were having a dinner party that evening. Mr Bevan accepted the factual circumstances, but submitted that there was no significance in those circumstances, whereas Mr Spencer submitted that it was significant because it was an unusual feature that he was either away or about to go away on both occasions.
(6) In each case there is evidence of previous abuse prior to the fatal episode: in Christopher’s case, asphyxiation; in Harry’s case, shaking. Mr Spencer said that if both deaths were natural deaths, what a coincidence it would be if, in each case, nevertheless there was evidence of unexplained previous abuse. In the case of Christopher, there was a great deal of old blood in the lungs, which was unexplained and was consistent with smothering; and in the case of Harry, there was evidence of shaking on at least one previous occasion. In relation to that, Mr Bevan pointed to the evidence of Dr Keeling that, even in SIDS’ cases, one can find recent haemorrhage, and, although this related to old haemorrhage, that logic should dictate the same approach. Mr Spencer referred to Dr Keeling’s evidence that in relation to both the old and the new haemorrhage, in her view there was no natural explanation for it."
1) Mr Bevan submits that if both deaths were from natural causes it cannot be said to have been unlikely that they would occur in the same room or in a bouncy chair. Moreover the appellant told the paramedics that she had found Christopher in a Moses basket and it was only when hysterical at the hospital that she spoke of finding him in a bouncy chair. In our view, however, this was properly treated as a similarity of significance. The fact that the appellant gave inconsistent accounts of where she found Christopher adds to its significance rather than detracting from it. So does the fact that the description she gave of Harry slumping forward in his bouncy chair was physically impossible.
2) It is said that no significance can attach to the fact that both babies were found at about the same time. In our view, however, the similarity in timing was remarkable and the fact that both babies were found at about 9.30 p.m. has to be considered in the light of the evidence of Professor Meadow that the time was unusual for natural sudden deaths.
3) It is said that the age of the babies is of no significance since it is the age at which SIDS deaths occur. We accept that the point on age would be of no real weight standing alone, but in our view it is a similarity properly taken into account as part of the overall picture.
4) The point is made that, although the appellant was alone when both babies were found, she was not alone in the house at the time of Harry's death and according to Mr Clark had not shown any sign of stress or irrationality. We think it striking, however, that Harry was found as he was in the few minutes when the appellant and her husband were apart. Her state of mind at the time is considered under (5) below.
5) Mr Bevan submits that the prosecution's attempt to link the killing of Harry with Mr Clark's business trip the next day, like its attempt to link the killing of Christopher with Mr Clark being away from home at an office party, made no sense. In our view, however, there was in this respect a significant similarity between the circumstances of the deaths. Further, the suggestion that the appellant was anxious about her husband's impending departure on his first trip away from home since Harry's birth made good sense as part of the prosecution case that she had attempted to smother Harry earlier that evening and had subsequently killed him. In the event that case was strengthened by the discovery that Mr Clark had arrived home that evening much later than he had said in evidence in chief, lending force to the suggestion that he was trying to cover up some incident earlier in the evening. That inconsistency in Mr Clark's evidence also tended to cast doubt on the reliability of his evidence as to the appellant's state of mind at the time. It is true that the prosecution was not able to rely at trial on evidence as to the appellant's consumption of alcohol, to which the judge referred in his ruling on severance but which he then excluded in a separate exercise of discretion. But the overall case at trial in relation to similarity (5) was if anything stronger than that at the time when the judge took the similarity into account in his ruling on severance.
6) Mr Bevan accepts that there was evidence consistent with previous abuse in relation to both babies, but he points to various considerations as tending to weaken the force of that evidence. We do not think it necessary to examine those considerations here. It suffices that there was such evidence which, in the form in which it developed by the time of the trial or during the trial, was properly left to the jury. The existence of such evidence in relation to both babies was a similarity to which the judge was entitled to attach considerable importance. A related and obvious point, to which the judge referred expressly in his summing up although it was not separately articulated as a similarity at the time of his ruling on severance, was the evidence of injury recently inflicted on each baby at the time of death. The overall similarity in terms of evidence of past and recent abuse was in our judgment a most compelling consideration.
Ground 2: Direction on similar fact evidence
"If you are sure that the defendant killed one of these babies on the evidence relating to that child's case, what you must not do is to say that simply because she killed one of them, she must have killed the other one as well. That would not be a proper or fair way of approaching the matter and it is an approach which the law forbids. But if you are sure that the circumstances of one unnatural death are so similar to the other death as to provide real support for the conclusion that the other death was unnatural too, in the sense that you can safely exclude the possibility of coincidence, then you would be entitled to rely on that in deciding whether that other death was also unnatural".
"Now, members of the jury, the prosecution you will recollect invite you to look at the circumstances of both deaths together and to say that they share similarities which would make it an affront to common sense to conclude that either death were natural. They suggest that it is beyond coincidence that history could repeat itself in such a similar way. Well, I will identify for you in a moment the similarities on which the prosecution rely, but it is for you to assess those similarities and to decide whether the circumstances of each death do in fact provide the support for the inference that both deaths were unnatural by excluding the possibility of coincidence".
"which the prosecution suggest make it beyond coincidence that these two deaths were natural deaths".
"You were told, quite correctly, that what you must not do is to conclude that if the defendant killed one baby she must have killed the other. That would be quite wrong. It was suggested that the only safe approach was to look at the death of each child independently and only if you reach the conclusion that the defendant killed one child should you ask yourselves whether that helps you in relation to the other child."
Ground 3: The use of statistics
"Professor Meadow’s evidence of the statistical probability of two SIDS deaths in one family undermined the safety of the convictions for the following reasons:
Background
"... the sudden death of a baby that is unexpected by history and in whom a thorough necropsy examination fails to demonstrate an adequate cause of death."
"• deaths that were unexpected, and unexplained at autopsy (ie those meeting the criteria for SIDS);
• deaths occurring in the course of an acute illness that was not recognised by carers and/or by health professionals as potentially life threatening;
• deaths occurring in the course of a sudden acute illness of less than 24 hours duration in a previously healthy infant, or a death that occurred after this if intensive care had been instituted within 24 hours of the onset of illness;
• deaths arising from a pre-existing condition that had not been previously recognised by health professionals;
• deaths resulting from any form of accident, trauma or poisoning."
It will be seen that all SUDI are potential SIDS, but further investigation may show it is not a true SIDS, which are unexplained and unsuspicious natural deaths.
"The broader category of SUDI rather than SIDS was chosen because it is often not possible to distinguish between SIDS and other unexpected deaths until the first autopsy results become available, which may not be for some weeks after the death, and even then the distinction may not be clear-cut. In addition, it was expected that health professionals would more often have been involved in the care of babies whose deaths were explained, so that enquiry into those would be more likely to yield lessons in professional audit and consequent improvements in service."
"Two infants’ deaths in one family
Even when an infant dies suddenly and unexpectedly in early life and no cause is found at autopsy, and the reason for death is thought to be an unidentified natural cause (Sudden Infant Death Syndrome - SIDS), it is extremely rare for that to happen again within a family. For example, such a happening may occur 1:1,000 infants therefore the chance of it happening within a family is 1:1,000,000. Neither of these two deaths can be classed as SIDS. Each of the deaths was unusual and had the characteristics of a death caused by a parent."
"(7) The possibility of two babies dying from SIDS is, according to the evidence of Professor Meadow, extremely remote and estimated at 1 in a million. Mr Bevan [leading counsel for the defence] submitted that that evidence cannot assist the jury in deciding which death may have been natural and which may have been unnatural. He said if one was unnatural, the chances of there being one SIDS in the family remained at 1000:1. Mr Spencer [leading counsel for the Crown] did not press that aspect of the matter any further."
"Therefore while the occurrence of two unexplained sudden infant deaths in a family always raises concerns as to whether or not there is an unnatural cause of the deaths, there are families in which such deaths do occur following unexplained but presumed natural causes."
The reason why the second such death in one family raises such concerns is because of the extreme rarity of true SIDS.
"The occurrence of repeat unexpected deaths is a topic on which I have been doing research over the last few years and have been able to do a confidential study involving approximately 100 such deaths. These have all been families who have presented as having two ‘cot deaths’. My findings have been that approximately a third of the deaths have been due to a whole series of rare natural causes which had been missed by those doing the necropsy [ie, not true SIDS - see paragraphs 104 - 105]. A third of the deaths were associated with different forms of child abuse and having a whole number of features which indicated that they were unnatural deaths [ie, not true SIDS]. In the final third no suspicion of unnatural death was found and no natural cause was found and these children constitute what may be termed at the moment as ‘true idiopathic unexpected child deaths’ [ie, true SIDS]. The occurrence of two unexpected deaths in a family thus raises a definite suspicion of unnatural death which in my experience is confirmed only in a third of such cases".
ie that over the "... last few years ..." he has examined approximately 33 cases which he concluded were two genuine SIDS in one family. He was not called to give evidence at trial, but his report had been put to Professor Meadow in cross-examination at the old style commital proceedings and, as we shall see, Professor Meadow dealt with Professor Emery’s report in his evidence at trial.
"Further to my original statement, I have read the reports of the other medical experts.
Apart from non-accidental injury, no likely specific medical cause of death has been proposed. Thus it is suggested that the deaths of both children should be considered as examples of SIDS [that was how he understood the defence case].
The likelihood of SIDS varies with social circumstances. The most recent estimation of the incidence in England is that for a family in which the parents do not smoke, in which at least one has a waged income and in which the mother is over the age of 26 years, the risk is 1:8,543 live births. [the three prenatal factors referred to in paragraph 112 above]
Thus the chances of two infant deaths within such a family being SIDS is 1:73,000,000."
That calculation comes from the CESDI Study.
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Table 3.6.1: SIDS rates for different factors based on the data from the CESDI SUDI Study |
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SIDS Rate per 1000 livebirths* |
SIDS incidence in this group* |
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Overall rate in the study population |
in 1303 |
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Rate for groups with different factors |
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Anybody smoke in the household Nobody smokes in the household |
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in 737 in 5041 |
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No waged income in the household At least one waged income in the household |
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in 486 in 2088 |
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Mother <27 years and parity Mother > 26 years and parity |
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in 567 in 1882 |
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None of these factors One of these factors Two of these factors All three of these factors |
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in 8543 in 1616 in 596 in 214 |
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* Based on the number of livebirths in each study region from 1993 to 1993 inclusive (OPCS) |
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"Infants and families at risk
Overall, in the population included in this Study the SIDS rate was 0.768 per 1,000 live births, ie approximately one baby in 1,300 died as SIDS. From our data, it is possible to identify within the population a number of factors which are associated with an increased risk of SIDS. The identification of families at higher risk of SIDS is of importance in allowing the appropriate deployment of scarce health care resources, and in attempting to achieve changes in life style or patterns of child care that might reduce this risk. For families already at low risk, knowledge of the factors influencing risk may help to provide reassurance and encouragement in continuing appropriate patterns of care.
Table 3.58 shows the three prenatal factors with the highest predictive value (based on the Wald Score) of an increased risk of SIDS, and the likely effect of the presence or absence of each factor on the incidence of SIDS, along with the effect of combing those factors. [NB: we reproduce this paragraph in the final form in the Report, which the appellant’s statisticians had, and not as originally delivered (in draft) to the defence, for which see Prosecution Appeal Bundle, p130.]
Thus, an infant living in a household in which nobody smoked had a risk of SIDS of around one in 5,000, whilst if anyone in the household smoked this risk rose to around one in 700. Similarly for an infant in a household in which there was no waged income, the risk was around one in 500, compared with one in 2,000 if there was a waged income.
The correlation between the factors was taken into account when more than one factor was used to calculate the rate, but because all three factors are independently significant in the multivariate analyses, the presence of more than one will have an increased effect.
Thus, it can be seen that for infants in families in which all three factors [ie, someone smokes in the household, there is waged income in the household, and the mother is 26 or under] are present the risk of SIDS was one in 214, compared with a risk of one in 8,543 for infants in families with none of the factors, ie a 40-fold difference in risk.
Since the factors will generally remain the same (with the possible exception of maternal age below 27 years) the risk of SIDS to a subsequent child in a family in which one infant has already died will range from one in 214 to one on 8,543. this does not take account of possible familial incidence of factors other than those included in Table 3.58.
For a family with none of these three factors, the risk of two infants dying as SIDS by chance alone will thus be one in (8,543 x 8,543), ie approximately one in 73 million. For a family with all three factors, the risk will be one in (214 x 214), ie approximately one in 46,000. Thus, for families with several known risk factors for SIDS, a second SIDS death, whilst uncommon, is 1,600 times more likely than for families with no such factors. Where additional adverse factors are present, the recurrence risk would correspondingly be greater still."
The trial
"One must always approach statistics with caution, but Professor Meadow has worked out the probability of there being two genuine unexplained natural deaths (SIDS) in a family such as this where material standards are high, the mother is over 26 years old and neither parent smokes. The chances of one genuine unexplained natural death in such a family are about 1 in 8,500. The chances of two genuine unexplained natural deaths in such a family are about 1 in 73 million."
"Q Just before we look at the figures, does this leave out of the equation deaths which showed suspicious features in any event?
A Yes, ... they did not include babies whose deaths were being investigated by the police or were the subject of a coroner’s ‘not ascertained’, or it was thought to be ... murder or harm to the child. So these are babies that died suddenly and unexpectedly. The starting position was that these deaths were thought to be natural deaths."
"Q Later on in the paper does it go on to work out the risk of two infants dying of SIDS in that family by chance alone?
A Yes, you have to multiply one in 8,543 times 1 in 8,543 and I think it gives that in the penultimate paragraph, its points out that it’s approximately a chance of 1 in 73 million .... It gives a chance of 1 in 73 million live births and in England, Wales and Scotland there are about, say, 700,000 live births a year, so it is saying by chance that happening will occur once every hundred years."
"They’d only be included if the pathologist had described them under the label Sudden Infant Death Syndrome, and I think with their findings at autopsy, fractures, bruises and things, they would not have described them as Sudden Infant Death Syndrome so they wouldn’t have been .... I think these two cases would probably have been likely to have been excluded from the Study."
"Q Until this study was done and these figures were calculated was there a much lesser figure which didn’t take account of these particular household features, smoking, age, wage earning and so on?
A Well in general if someone asks me what the risks of two babies within a family dying and being labelled as SIDS I would just say one in a thousand or 1,300 times 1 in 1,300. I’d just give the global rate but you then ... have to take into account as this paper has done and you have to in all individual cases of the circumstances. In other words, in a family where there’s no wage earner, where they smoke, where it’s a young mother, the chance of a sudden natural death is very, very much greater than the chance in a professional family, non-smokers and of a mature age."
"In England and Wales an estimated 50 families a year experience a second unexpected infant death."
"It was addressing a different issue. The research workers investigating families in which two or more children had died suddenly and unexpectedly, and they went back over all the records and had multi-disciplinary meetings and researched them very carefully to see if they could elucidate better the reasons for those deaths. They had in all 57 deaths to investigate in 24 families, most of families with two deaths. They couldn’t get material on all of them but they were mainly two death families. Of those 57 deaths they, on more detailed and modern investigation were able to find a natural cause, that’s a disease cause or a genuine accident for 30% of the cases, so their point there was saying nearly a third of those cases should never have been labelled as SIDS, they should have been identified as either a natural accident or a natural disease. Fifty-five percent of the cases they ended up by saying this child had been killed by the parents, and that was not observed first time around. In five percent of the cases they came to no conclusion, and in nine percent, that was in five children they ended up saying: ‘I don’t know what the matter is, we too would use the label SIDS’. So they ended up with five children where they couldn’t decide upon a likely cause. They point out in their article that of all the families involved, 24 families, it was only in one family where there were two children who had died and in their opinion were completely unexplained ... in other words SIDS."
"Q Finally, coming back to these two babies, in your opinion, Professor, could either of these two deaths be classified as SIDS, Christopher and Harry.
A No.
Q Can you think of a natural explanation for either death?
A No.
Q In your opinion did Christopher die a natural death?
A No.
Q In your opinion did Harry die a natural death?
A No."
"Q It’s a bit like a coin isn’t it? If you flip a coin heads or tails, yes?
A Yes.
Q It’s the same odds each time isn’t it, one to one?
A Yes ... This is why you take what’s happened to all the children into account, and that is why you end up saying the chance of two children dying naturally in these circumstances is very, very long odds indeed, one in 73 million. You know I mean ...
Q That’s a double death every hundred years?
A I know, but I mean ... you have to say two unlikely events have happened and together it’s very, very, very unlikely."
The defence called Professor Berry on Day 10 of the evidence. He was one of the four editors of the CESDI Study (though we were told this was more honorific than executive). He is a professor of Paediatric Pathology at Bristol University and a consultant paediatric pathologist to the Bristol Hospital for Sick Children since 1983. He gave evidence under cross-examination that he would not classify either of the deaths as SIDS, as the unexplained factors in both caused him concern (eg the injuries to the children were not sufficiently explained). He agreed that two SIDS deaths in one family would be "... unusual, but not very unusual ...", but "... we are talking about statistics here which generally speaking are not of great value in the individual case." This last point the judge came back to in his cautionary direction to the jury (see paragraph 145). He made the point that that he did not believe that statistics enables you to determine whether the death was natural. He agreed that SIDS did not usually repeat in families. While he accepted the 1 in 8,543 statistic in relation to the first SIDS death in low risk families, because this was an observed figure, he considered the squaring of that figure to calculate the risks of a second SIDS death to be an illegitimate oversimplification which a sentence of the Study warned against:
"This does not take account of possible familial incidence of factors other than those included in the Table." (see paragraph 122 above, the last sentence of the last paragraph quoted).
"There may be familial diseases which we are not clever enough to recognise but there may be other familial factors that predispose that family, for reasons we don’t understand, to a second death. So this Study, this is a theoretical calculation. It is not the result of observation ... [but of] multiplying those figures together ... when you go out and look for families who have had ... second SIDS .... they are commoner than you would expect from this type of calculation."
"Well that, members of the jury, leads me to the conclusions of the various medical experts. I start with Sir Roy Meadow and I start with him on purpose because there was an aspect of his evidence which is not strictly speaking a conclusion but which is most conveniently dealt with at this stage. What I refer to is his statistical evidence because you may remember he dealt with statistics relating to two SIDS death occurring in one family.
His figures were derived from a recent and very thorough research study, Government funded report, call CESDI. You have, members of the jury, a table containing those statistics in section 8 of the folder. In short, in a case were nobody smokes in the household and there is at least one waged income in the household and the mother is more than 26 years old, the probability of one SIDS death in the family is 1 in 8,543 and the probability of two SIDS in the same family is 1 in 73 million live births. That means there is a chance of two SIDS in the same family happening one every hundred years. In addition to that, in these two cases, there are features which are suspicious in any event. So that was the evidence that he gave in evidence in chief about those statistics.
In cross-examination figures from a report by CONI - Care of the Next Infant programme - which was published in October 1998 were put to Sir Roy Meadow. In that report, 8 [deaths] out of [5,000] babies in their programme were treated as true cot deaths after confidential enquiries. ... It was suggested that using the three high risk factors in the table from the CESDI Study, the risk of a SIDS death would be 1 in 214 which would be a risk of a double death of 1 in 46,000, and applying that correlating it to the figure of 5,000 babies, the risk it was put at that time would be 72 in every 46,000. I think Mr Bevan in his final submissions referred to a figure of 54 rather than 72 but the point still remains the same.
Sir Roy Meadow’s response to this was that that was not a valid way of assessing the evidence. The CONI report was nothing like the same standard of the CESDI report, he said, and the research was not scientifically valid. He said that it does not have any value statistically and cannot be compared to the CESDI Study."
"I should I think members of the jury just sound a note of caution about the statistics. However compelling you may find those statistics to be, we do not convict people in these courts on statistics. It would be a terrible day if that were so. If there is one SIDS death in a family it does not mean that there cannot be another one in the same family. That part of the evidence relating to statistics is nothing more than that. It is a part of the evidence for you to consider. Although it may be part of the evidence to which you attach some significance, it is of course necessary for you to have regard to the individual circumstances relating to each of these two deaths before you reach your conclusion on the two counts on this indictment.
Having said that, members of the jury, I turn then to what truly were the conclusions of the relevant experts relating to Harry. The first one is Sir Roy Meadow and his conclusion was that Harry’s death could not be classified as a SIDS death and in his opinion Harry did not die a natural death. He also said that the further information that he had received since he made his witness statement in June 1998 sadly increased the strength with which he felt that these two deaths were not natural."
"He said that he would not classify either of these deaths at SIDS deaths because they have features which are not typical of SIDS deaths. Both deaths, he said, gave him considerable concern. He thought the timing of the deaths was unusual but not very unusual for a SIDS death.
So far as the statistics are concerned relating to the likelihood of there being two SIDS deaths in one family, that figure of 1 in 73 million, he thought it was wrong to multiply the two figures of 1 in 8,543 together because if there was one SIDS in the family, then there maybe other factors present in the family which might make it more likely that another death would occur."
"It was therefore submitted by the prosecution all of those finding on their own were ... too powerful to amount to anything else but a deliberate killing of Christopher. All Professor Meadow’s features for an unnatural death rather than a SIDS death were applicable in the case of these two babies, it was submitted by the prosecution, namely previous unusual episodes, inconsistent accounts between parents, both events had happened in the evening, both babies had just taken a feed, and there was, say the prosecution, smothering combined with some other form of abuse. Professor Meadow’s opinion you were reminded was that neither death was natural.
Reliance was also placed by the prosecution on the statistics mentioned by Professor Meadow for the probability of two SIDS deaths within the family, namely one in 73 million and even longer odds, it was said, if you take into account the existence of the old and fresh injuries, and reliance was also placed on the seven similarities between the two deaths which I mentioned to you early in my summing up, and which the prosecution suggest make it beyond coincidence that these two deaths were natural deaths."
"So far as the statistics are concerned relating to the possibility of 2 SIDS deaths in one family, reliance was placed on the CONI figures, those were the figures which Professor Meadow had dismissed in his evidence, and reliance was also placed on Professor Berry’s point that the risks were inherently greater in any event in a family which had already had a SIDS death.
You were told, quite correctly, that what you must not do is to conclude that if the defendant killed one baby she must have killed the other. That would be quite wrong. It was suggested that the only safe approach was to look at the death of each child independently and only if you reach the conclusion that the defendant killed one child should you ask yourselves whether that helps you in relation to the other child.
It was submitted that you cannot say with any degree of certainty that the defendant deliberately killed either of these children. She had done nothing untoward to either child and whilst there may be suspicious features, the prosecution have not proved this case so that you can be sure that she had killed either of them. Well, members of the jury, that is I hope a reasonably fair summary of the way in which both sides put their cases to you."
It was against that evidential background that the Full Court gave leave to the defence to adduce expert statistical evidence. It made clear that it did so having "... no preconceived view of the likelihood of the evidence being accepted ..." and granted leave: "without prejudice to any matter which the subsequent Court may decide."
"Whereas such methods may be appropriate for suggesting broad general hypotheses about the relationship between the outcome studied (here SIDS) and possible explanatory factors, it can be very misleading to use them to construct precise numerical formulae for predictive or explanatory purposes."
He also raises the question of the appropriateness of the calculation to the specific case of Sally Clark, and whether it should not have had built in all her individual characteristics. None of those matters, however, provides great assistance to the appellant's case, since the Crown was using the CESDI Study not for its precise figures but for a very broad point, namely the rarity of a double SIDS.
"... does not take account of possible familial incidence of factors" [see paragraph 122 and the penultimate quoted sub-paragraph]
and emphasises the possibility that there might be factors predisposing a family with one cot death to another. He suggests, not unreasonably, that the 1:73 million must be regarded as a "ball park" estimate. We do not imagine that the Crown would demur from that suggestion. In any event it is common ground, we believe, that the statistical justification for squaring exists only where the risk of a single SIDS death in a family that has already had a SIDS death is the same as the chance of a single SIDS death in a family that has not previously suffered one. The existence of arguments against squaring was known to the jury at the trial. Professor Berry made the points to which we have already referred, and the judge reminded the jury about these in his summing-up. But again the precise figures are not important, since the Crown was making the broad point that repeat SIDS deaths were very unusual, in which exercise the number of noughts separating the lower risk households from higher risk households did not matter once the overall point was made, as here it was.
"The scientist should not be asked his opinion on the likelihood that it was the defendant who left the crime stain, nor when giving evidence should he use terminology which may lead the jury to believe that he is expressing such an opinion."
"The learned judge failed to warn the jury against the ‘prosecutor’s fallacy’ as referred to in R -v- Deen, The Times, 10th January 1994. To the contrary, the learned trial judge appeared to endorse the prosecutor’s erroneous approach."
"... the odds of the defendant being innocent are greater than 73 million to 1 against."
That would be quite impermissible, because Table 3.58 simply deals with the odds against any family with the same broad socio-economic characteristics suffering one or two SIDS deaths, and tells us nothing at all about any matter going to the guilt or innocence of any of the parents within that category should they be the unlucky family to suffer that death.
"... you take what’s happened to all the children into account, and that is why you end up saying the chance of two children dying naturally in the circumstances is very, very long odds indeed, one in 73 million" (emphasis added)
and again at 65D of the Professor’s evidence in cross-examination:
"You have to say two unlikely things have happened, and together it is very, very, very unlikely."
At 65A Dr Evett suggests that "... in these circumstances ..." refers to the odds against Christopher and Harry having died naturally. It is clear from the context that that is not what Professor Meadows was saying. He was dealing with the CESDI Study, and "... in these circumstances" clearly referred to the category of family the Clarks fell into. Equally, in the second passage relied on, Professor Meadow is clearly referring to the CESDI Study, which shows that for a family liked the Clarks a double SIDS death would be "... very, very, very unlikely". If Mr Bevan QC, for the defence, had understood him to be saying that the odds against both of these deaths being a SIDS death were 73 million to 1 that is a point which would certainly have been brought out in cross-examination and not left where it was, with the remark "Lies, damned lies and statistics". We will come back to this point.
"The ‘logic’ implicitly applied at the trial was as follows: a certain event (the deaths of two babies in one family) has occurred. We are unsure of the cause. One possible cause is that both babies died of SIDS. However, the probability of two babies in the same family both dying of SIDS is extremely tiny. Therefore we can exclude that possibility and, in consequence, accept that the babies were murdered - if that is the only alternative."
We do not find support for such "implicit" application of that logic in the evidence. That was not how the case was put in the evidence. The transcript supports the explanation given by the Crown: to establish rarity when there was an issue as to whether the deaths were natural and true SIDS in one family.
"... the prosecution said that it was beyond coincidence that both children could have died naturally. The probability was one in 73 million".
If the reporter who heard that did, as Dr Evett thinks, understand that to mean that there was only one chance in 73 million that the children died naturally, we agree with Dr Evett that that would be a profoundly incorrect inference. But we do not know what the reporter heard, nor what he understood. The Crown say they did not put their case that way. Certainly if the Crown did say that in the course of the trial, we would have expected an immediate challenge from the defence, and a ruling from the judge favourable to the defence. But that did not happen. We conclude that at no time in the evidence was the case put that the odds against innocence were 73 million to 1.
"Reliance was also placed by the prosecution on the statistics mentioned by Professor Meadow for the probability of two SIDS deaths within the family, namely one in 73 million and even longer odds, it was said, if you take into account the existence of the old and fresh injuries, and reliance was also placed on the seven similarities between the two deaths which I mentioned to you early in my summing up, and which the prosecution suggest make it beyond coincidence that these two deaths were natural deaths." [for the avoidance of doubt, these "similarities" do not include the seventh similarity referred to at paragraphs 113-114 above]
"The fresh evidence of Dr Evett and Professor Dawid demonstrates that the prosecution invited the jury to adopt the figure of 73 million as having a significance in itself when in truth, without reference to the likelihood of a competing possibility, the figure has no relevance or significance at all".
The competing possibility identified is a double infant murder by a mother. That may be capable of being expressed in terms of a statistical probability, but legally speaking the exercise is not realistic - see R -v- Denis Adams (No 2) [1998] 1 Cr App R 377, which shows that it is not an exercise the courts would perform.
"I should I think members of the jury just sound a note of caution about the statistics. However compelling you may find those statistics to be, we do not convict people in these courts on statistics. It would be a terrible day if that were so. If there is one SIDS death in a family it does not mean that there cannot be another one in the same family. That part of the evidence relating to statistics is nothing more than that. It is a part of the evidence for you to consider. Although it may be part of the evidence to which you attach some significance, it is of course necessary for you to have regard to the individual circumstances relating to each of these two deaths before you reach your conclusion on the two counts on this indictment.
Having said that, members of the jury, I turn then to what truly were the conclusions of the relevant experts relating to Harry. The first one is Sir Roy Meadow and his conclusion was that Harry’s death could not be classified as a SIDS death and in his opinion Harry did not die a natural death. He also said that the further information that he had received since he made his witness statement in June 1998 sadly increased the strength with which he felt that these two deaths were not natural."
Ground 4: fresh medical evidence
The position at trial
"I’ve seen it since. Its not described in any of the books as yet. I mean, the only time I’ve seen it is in acute cases of overlaying and smothering where there has been an asphyxial mechanism but I can’t say that its invariably present".
"apart from the petechiae in the eyes, there is no other evidence of smothering".
"Q You expressed an opinion when I asked you questions yesterday based upon recent experiences you said.
A I’ve seen these haemorrhages again more recently in some cases where there’s undoubtedly been smothering or overlaying, but I mean they are not always present and they are not invariable, they are just an observation one has made on a couple of occasions.
Q This is in children of what age?
A Similar sorts of ages to these, but whether they are just there by chance, because it’s well recognised that in asphyxia mechanisms of death, whatever the cause, that you get quite large haemorrhages at the front of the eyes, but in addition you not only get the petechial, small pin point haemorrhages but in the whites of the eye you see quite large haemorrhages on occasions. Now in discussing it, or thinking about it with colleagues one wonders whether its just a reflection, what one sees in the front of the eye occurring in the back of the eye, but its not been reported.
Q But in the cases you are describing have you seen it on the back of the eyes or the front of the eyes?
A In these cases it's again been on the back of the eye, but can I just say that it's not a normal practice in strangulations in older people, even older children, one does not routinely examine the backs of the eyes, one does not take the roof of the orbit off, and as a result it may be that we have not been looking rather than it's not there."
"... because as you are removing the eyes from the orbit, you have to cut through the various muscles that make them move from side to side and up and down. You also have to cut through the optic nerve and you will cut through the optic nerve and you will cut through the blood vessels which are supplying the eye, and the tissues around them. And veins, even though after death there is no pressure in them, can ooze a little blood."
"I can only speculate, and as I say I have never seen anything like this in my personal experience: had a vein of any size been cut I would have thought that there would have been more diffuse bleeding in the fat covering the eye as well as on the surface of the eye itself."
"The blood was between the membrane covering the hard white globe of the eye". If this had been blood just dribbling from a cut vein onto the globe of the eye, I would have expected it to be not so clearly defined and localised on the police photograph and I would have expected it to have washed away it was merely on the surface before the section of the eye was cut, because as I said in one section which I examined with Professor Luthert you can actually see this little blister full of red blood cells underneath the membrane covering the eyeball. So in short, I can’t exclude the leakage from the vein theory, but these are the reasons why I am unhappy about it."
"Q So can we take it Professor that you are not excluding the possibility that suffocation could cause haemorrhage of the eyes similar to that scan at the back of Harry’s eyes?
A No I cannot totally exclude that no.
Q Well why do you say totally?
A Because in my opinion it is unlikely but I can not exclude it".
"Q I suggest Professor that the haemorrhages to the back of Harry’s eyes are consistent with his having suffered death by asphyxia?
A I think they are consistent with that because I believe they might be there anyway".
Q Professor is there any medical knowledge or learning associating these sort of haemorrhages that we have found on the surface of the back of the eye with suffocation or strangulation?
A Not that I have any knowledge of no".
"Secondly, so far as the eyes are concerned, on internal examination, Doctor Williams found an area of haemorrhage about 7 millimetres across on the upper surface of the right eye and also a small area of haemorrhage on the upper surface of the right eye. Indeed, he said he saw it immediately the eyes were exposed. Doctor Williams said that he had only seen such features in cases of death caused by over-laying or smothering."
"Next Professor Luthert dealt with the blood that had been found on the surface of the backs of both Harry’s eyes. He and Professor Green agreed that it was not a classic sign of shaking and that it was not a finding associated with any particular disease. Professor Luthert speculated that the blood might have dropped down on to the eyes during dissection. He said that the blood appeared to be beneath the access points for dissection to both of the eyes.
That was challenged in cross-examination but he said that the de-roofing of the orbit was quite extensive so there did not have to be a precise alignment. He described it in cross-examination as total speculation that the blood had dropped down in that way but he said it was a workable hypothesis in the absence of any other explanation. He also agreed that he could not exclude the possibility that it resulted from suffocation. He considered, however, that it was most likely that the blood had accumulated post mortem and was not indicative of any pathology before death. He said that he saw no significant pathology in Harry’s eyes.
It was suggested to Professor Luthert that if the blood at the back of the eyes had dropped down during dissection it would be a common occurrence but Professor Luthert said that pathologists do not necessarily focus in on every aspect of what they are looking for and that routinely they factor out the presence of blood. By that he meant that they would tend to assume that haemorrhaging is due to blood loss at the time of post mortem, unless it is something out of the ordinary. He agreed, however, that pathologists would be on the look out for this kind of blood during a general examination of the eyes."
"Fourthly, the haemorrhages to the backs of the eyes which Professor Luthert thought were artefactual but which he said could possibly be consistent with asphyxia. You were reminded that Dr Spillman who had been at the post mortem had immediately noticed the 7mm area of haemorrhage."
"[Professor Green] was also wrong, it was submitted, in saying that if the blood on the backs of the eyes had been artefactual, it would have been washed away because Professor Luthert had shown that the material above the eyes was absorbent."
The issues now raised
"With reference to your letter of 14th March 2000 detailing specific requests of Dr Alan Williams he has responded as follows:
Dr Williams confirms that he has identified one baby death which has recorded haemorrhages in the orbit and on the surface of the back of the eye, and also an adult case with the same findings seen recently. He has not extended his search further. If required he can produce these reports with the permission of the appropriate coroner."
• Dr Levin is Associate Professor of Ophthalmology at the University of Toronto, Canada, and Fellow of the American Board of Paediatrics. He is one of 10 in the world with a dual expertise in ophthalmology and paediatrics.
• Dr Parsons is Honorary Consultant in Ophthalmic Pathology at the Royal Hallamshire Hospital Sheffield, Senior Lecturer in Ophthalmic Pathology at Sheffield University and he has a special interest in child abuse. He is one of six opthalmic pathologists in the UK.
• Professor Luthert is Professor of Pathology at London University and Honorary Consultant Neuropathologist to Moorfields Eye Hospital.
• Dr Keeling is Consultant Paediatric Pathologist at the Royal Hospital for Sick Children, Edinburgh.
Artefact or real haemorrhage in Harry’s eyes
Comparability of the three cases
The effect of the fresh evidence
Ground 5: Direction on "no comment" interview
"The officer, you may remember, put to [the appellant] the similarities between the deaths of the two babies, their age, the time of death, both in the bedroom when she was on her own and both in a bouncy chair and the fact that three medical experts were saying that both deaths were unnatural. Her solicitor advised her not to comment on that in the absence of disclosure of the reports and she accepted her solicitor's advice.
Some criticism is made by the prosecution of the defendant's failure at that time to dispute that both children were in the bouncy chair in view of her subsequent evidence that Christopher was not in a bouncy chair at the relevant time. You will obviously want to consider the whole of pages 29 to 31 of that summary that you have when you are considering that point and in particular the last question and answer on page 31 but you may think that, looking at the matter overall, she was in effect following her solicitor's advice to make no comment, which I should tell you was something she was quite entitled to do."
"Solicitor: Can I just say to you this highlights the difficulty of seeking to advise you in the absence of disclosure of reports, I suggest that you make no comment whatsoever about the observations that the Officer just put to you, none whatsoever.
Question: Okay, right do you have any comment to make on any of those similarities?
Answer: 'No comment'."
Conclusions on the safety of the convictions
"(1) Subject to the provisions of this Act, the Court of Appeal -
shall allow an appeal against conviction if they think that the conviction is unsafe; and
shall dismiss such an appeal in any other case."
"Although the court may choose to test its views by asking itself what the original jury might have concluded, the question which in the end we have to decide is whether in our judgment, in all the circumstances of the case including both the verdict of the jury at trial upon the evidence they heard and the fresh evidence before this court that we have heard, the convictions were safe and satisfactory. If so the convictions must stand. If not the convictions must be quashed."
"It seems plain on the language of the statute and on authority that the court is obliged to exercise its own judgment in deciding whether, in the light of the new evidence, the conviction is unsafe."
"The Court is concerned with the safety of the conviction. A conviction can never be safe if there is doubt about guilt. However, the converse is not true. A conviction may be unsafe even where there is no doubt about guilt but the trial process has been ‘vitiated by serious unfairness or significant legal misdirection’. ... Usually it will be sufficient for the court to apply the test in Stirland which, as adapted by [counsel] might read:
‘Assuming the wrong decision on law or the irregularity had not occurred and the trial had been free from legal error, would the only reasonable and proper verdict have been one of guilty?’
That being so there is no tension between s.2(1)(a) of the Criminal Appeal Act, 1968 as amended, and s.3(1) of the Human Rights Act, 1998".
The strength of the case at trial