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[2008] HCA 6
High Court of Australia
2008-02-28
Kiefel J, Doyle CJ, David JJ, As Doyle CJ, Gleeson CJ
Original judgment source is linked above.
On appeal from the Supreme Court of South Australia
A L Tokley for the appellant (instructed by Townsends)
C J Kourakis QC, Solicitor-General for the State of South Australia with S A McDonald for the respondent (instructed by Director of Public Prosecutions (SA))
Notice: This copy of the Court's Reasons for Judgment is subject to formal revision prior to publication in the Commonwealth Law Reports.
Criminal law - Practice and procedure - New statutory offence provision in period particularised on the information - Need for amendment - No formal application by prosecutor to amend.
Criminal law - Practice and procedure - Admission by accused to offence outside dates particularised on the information - Trial judge's findings follow admission.
Criminal law - Practice and procedure - Whether trial judge has power to amend statutory provision without application by parties - Criminal Law Consolidation Act 1935 (SA), s 281(2) - Distinct functions of judge and prosecutor - Whether amendment conformed to prosecutor's intention.
Criminal law - Practice and procedure - Procedural fairness - Whether amendment without opportunity for accused to make submissions.
Criminal law - Practice and procedure - Correct offence not noted on information - Order for amendment incompletely noted on the information - Whether affects amendment of information - Whether administrative task.
Criminal Law Consolidation Act 1935 (SA), ss 281(2) and 281(3).
"1. Whether in a trial by judge alone and after all of the evidence has been completed, the trial judge had the power pursuant to statute to substitute or add a new charge in the Information, in the absence of an explicit application by the prosecution counsel to do so.
"The observance of forms and the due recording of proceedings are one of the safeguards of justice according to law."
"Technicality is always distasteful when it appears to contradict the merits of a case. But the duty of the court is to apply the law, which is sometimes technical, and it may be thought that if the state exercises its coercive power to put a citizen on trial for serious crime a certain degree of formality is not out of place."
"For the accused to be found guilty of count 1, the particulars on the Information require further amendment, by substituting another date for 1 May 1973, a date some months later. If this were a jury trial, the jury would have to be directed that it did not matter whether the event in question took place when asserted by the prosecution or at some other date, in this case the date asserted by the accused himself. In the circumstances as I have found them, the relevant section of the Criminal Law Consolidation Act 1935 also requires amendment."
Indecent Assault. (Section 69(1)(b)(iii) of the [CLCA])
Raymond Frederick Ayles between the 24th day of October 1971 and the 31st day of October 1973 at Para Hills, indecently assaulted T."
"Any person may be put upon his trial at any criminal sessions of the Supreme Court or District Court, for any offence, on an information presented to the Court in the name and by the authority of the Director of Public Prosecutions."
Likewise, s 284(1) of the CLCA provides that it is the information to which the accused pleads guilty or not guilty, thereby initiating the trial:
"Any person arraigned on any information who pleads not guilty thereto shall, by that plea, without any further form, be taken to have put himself upon the country for trial; and the court shall, in the usual manner, proceed to the trial of that person accordingly."
That is, it is upon the information that the criminal defendant is tried, and in conjunction with the defendant's plea it delimits the area of contest at the trial.
"Every information shall contain, and shall be sufficient if it contains, a statement of the specific offence or offences with which the accused person is charged, together with such particulars as are necessary for giving reasonable information as to the nature of the charge."
Rule 4(3) in Sched 3 to the CLCA gives content to s 277(1) by providing that "if the offence charged is one created by statute, [the statement of offence] shall contain a reference to the section of the statute creating the offence". In the present case, however, at no time did the information ever contain a statement of the specific offence of which the appellant was said to be convicted, namely s 69(1)(b)(iii) of the CLCA.
"When before trial, or at any stage of a trial, it appears to the court that any information is defective or that there is any variation between any particular stated therein and the evidence offered in proof thereof, the court shall make such order for the amendment of the information as the court thinks necessary to meet the circumstances of the case unless, having regard to the merits of the case, the required amendment cannot be made without injustice."
In the present case, the information as originally presented revealed both a "variation between any particular stated therein and the evidence offered in proof thereof", because the date of offending supported by the evidence was different from that particularised on the information, and a "defect", being the misdescription of the offence in question. The first matter was partially corrected by the amendment to the particulars made on the second day of the trial, although it remains to be seen whether the second attempt at amendment succeeded in completing the correction. Likewise, it remains to be seen whether the second matter (namely the misdescription of the offence) was effectively corrected by the purported amendment that is now in dispute on this appeal.
The absence of a notation of the substituted offence
"When an information is so amended, a note of the order for amendment shall be endorsed on the information and the information shall be treated, for the purposes of the trial and all proceedings in connection therewith, as having been presented in the amended form." (emphasis added)
"It is true that that step was not taken as it should have been. It is suggested by counsel for the appellants that that indicates that this was not an amendment, but was a fresh indictment. We do not take that view. We take the view that that was an oversight on the part of the staff. It certainly is not an oversight which in itself invalidates the amendment which we find to have been made."
Whatever may be the authoritative force of that statement in England, it does not control the outcome of the present appeal in this Court and should not be followed in Australia.
"A trial judge has a responsibility for the regularity of proceedings, and authority to act to ensure that they are regular: see R v West[29]. A judge who takes the initiative in this way should, of course, give counsel an opportunity to put submissions before exercising the power to amend. But the important point is that the judge is not obliged to stand by and take no remedial action unless and until counsel makes an application for an amendment.
There is no intrusion on the role of the Director of Public Prosecutions by the judge taking the initiative in this way, and making an order (if called for) after hearing submissions from counsel. There is no such intrusion because of the judge's authority over and responsibility for the correct state of the pleadings."
True it is that the judge has a responsibility for the regular conduct of proceedings, but that responsibility does not provide an answer to the question of whether an application to amend is necessary.
"The line between, on the one hand, the decisions whether to institute or continue criminal proceedings (which are decisions the province of the executive) and on the other, decisions directed to ensuring a fair trial of an accused and the prevention of abuse of the court's processes (which are the province of the courts) is of fundamental importance."
Their Honours went on to quote from the reasons for judgment of Gaudron and Gummow JJ in Maxwell v The Queen, in which it was said that[31]:
"It ought now be accepted, in our view, that certain decisions involved in the prosecution process are, of their nature, insusceptible of judicial review. They include decisions whether or not to prosecute, to enter a nolle prosequi, to proceed ex officio, whether or not to present evidence and, which is usually an aspect of one or other of those decisions, decisions as to the particular charge to be laid or prosecuted. The integrity of the judicial process - particularly, its independence and impartiality and the public perception thereof - would be compromised if the courts were to decide or were to be in any way concerned with decisions as to who is to be prosecuted and for what." (footnotes omitted)
"whether some errors or miscarriages of justice occurring in the course of a criminal trial may amount to such a serious breach of the presuppositions of the trial as to deny the application of the common form criminal appeal provision with its proviso".
The reasons of the Court in Weiss referred to the earlier decision of this Court in Wilde v The Queen, in which Brennan, Dawson and Toohey JJ stated that[39]:
"The proviso has no application where an irregularity has occurred which is such a departure from the essential requirements of the law that it goes to the root of the proceedings. If that has occurred, then it can be said, without considering the effect of the irregularity upon the jury's verdict, that the accused has not had a proper trial and that there has been a substantial miscarriage of justice. Errors of that kind may be so radical or fundamental that by their very nature they exclude the application of the proviso".
Their Honours referred to R v Hildebrandt[40], R v Henderson[41], and Couper[42].
(a) It is not a statutory pre-condition to exercise of the power to amend granted by s 281(2) of the Criminal Law Consolidation Act 1935 (SA) ("the Act") that the prosecutor apply for an amendment.
(b) It is within the power of prosecutors to decide what charges should be brought and continued, and, independently of s 281(2), the law makes that power exclusive. But in this case the prosecutor did decide what charge she wished to bring and what charge she wished to continue with in relation to the first item of misconduct alleged by the complainant against the appellant. Depending on the date of that misconduct, the prosecutor desired to continue with the charge alleging that that conduct constituted either the offence created by s 70(1)(c) of the Act or the offence created by s 69(1)(b)(iii) of the Act. Just before the close of the prosecution case, she communicated that desire to the trial judge and counsel for the defence in open court.
(c) The amendment to the information concerning the statutory provision allegedly contravened which the trial judge ordered in her reasons for judgment reflected her finding that the misconduct took place after 9 November 1972, the day on which s 70(1)(c) ceased to have effect and s 69(1)(b)(iii) came into effect.
(d) The amendment which the trial judge ordered did not literally correspond with the prosecutor's desire to make an allegation in the alternative (i.e. that the misconduct contravened either s 70(1)(c) or s 69(1)(b)(iii)). But it would not have been useful to order an amendment literally corresponding with that desire. The prosecutor's desire to make an allegation in the alternative was stimulated only by the need to cover all possible findings for the date of the misconduct. Once the trial judge found that the misconduct took place on a day after 9 November 1972, it became pointless to make an amendment so as to permit allegations of a contravention of s 70(1)(c) or s 69(1)(b)(iii): the only material provision, in the events which had happened, was the latter. In substance, therefore, the amendment corresponded with the prosecutor's desire so far as that desire retained materiality.
(e) While, as Kiefel J indicates, more regard to formal regularity would have been preferable, there was no unfairness to the appellant in the course which the trial took, and in particular no unfairness in the amendment order which the trial judge made in her reasons for judgment. Counsel for the appellant was well aware of the controversy about the date of the misconduct alleged and the significance that date had in relation to the provision allegedly contravened. Counsel for the appellant had an opportunity to object to the prosecution's desire to rely on s 69(1)(b)(iii). There was no objection.
Indecent Assault. (Section 70(1)(c) of the Criminal Law Consolidation Act, 1935).
Raymond Frederick Ayles between the 24th day of October 1971 and the 2nd day of May 1972 at Para Hills, indecently assaulted [T]."
"For the accused to be found guilty of count 1, the particulars on the Information require further amendment, by substituting another date for 1 May 1973, a date some months later. If this were a jury trial, the jury would have to be directed that it did not matter whether the event in question took place when asserted by the prosecution or at some other date, in this case the date asserted by the accused himself. In the circumstances as I have found them, the relevant section of the Criminal Law Consolidation Act 1935 also requires amendment."
Indecent Assault. (Section 69(1)(b)(iii) of the Criminal Law Consolidation Act 1935)
Raymond Frederick Ayles between the 24th day of October 1971 and the 31st day of October 1973 at Para Hills, indecently assaulted T."
Her Honour proceeded to find the appellant guilty on the information as amended[50].
"Objections to informations, amendments and postponement of trial
(2) When before trial, or at any stage of a trial, it appears to the court that any information is defective or that there is any variation between any particular stated therein and the evidence offered in proof thereof, the court shall make such order for the amendment of the information as the court thinks necessary to meet the circumstances of the case unless, having regard to the merits of the case, the required amendment cannot be made without injustice.
(3) When an information is so amended, a note of the order for amendment shall be endorsed on the information and the information shall be treated, for the purposes of the trial and all proceedings in connection therewith, as having been presented in the amended form."
R v Wilkes (1770) 4 Burr 2527 at 2569 [98 ER 327 at 351]. ↑
Stephen, A History of the Criminal Law of England, (1883), vol 1 at 284. ↑
5 & 6 Geo 5 c 90. The earlier statutory reforms were to be found in Criminal Law Act 1826 (UK) 7 Geo 4 c 64; Criminal Procedure Act 1848 (UK) 11 & 12 Vict c 46; Criminal Procedure Act 1851 (UK) 14 & 15 Vict c 100. ↑
cf Criminal Procedure Act 1986 (NSW), s 21; Criminal Code (Q), s 572; Criminal Code (Tas), s 326; Crimes Act 1958 (Vic), s 372; Criminal Procedure Act 2004 (WA), s 132. ↑
R v Johal [1973] QB 475; Radley (1973) 58 Cr App R 394. ↑
Tuttle (1929) 21 Cr App R 85; Ciorra v Cole (2004) 150 A Crim R 189. ↑
Ayles
The Queen
[2006] SADC 67
[1999] SASC 403
(2007) 97 SASR 78
(1999) 199 CLR 1
(1970) 122 CLR 69
(1998) 194 CLR 355
(1998) 194 CLR 566
(1996) 184 CLR 501
(1996) 189 CLR 51
(1997) 192 CLR 69
(2002) 5 VR 243
(2005) 224 CLR 300
(1988) 164 CLR 365
(2006) 226 CLR 328
(1987) 163 CLR 221
(1992) 28 NSWLR 593
(1980) 147 CLR 75
(2007) 81 ALJR 1309