Ground 9 - The Fresh Evidence Ground
67It is appropriate to commence with Ground 9, the Applicant's fresh evidence ground.
68In support of this ground, Ms Francis, counsel for the Applicant, sought to read the affidavit of John Pearson, solicitor, affirmed 26 September 2013 to which was annexed a report dated 9 August 2013 of Dr John Kasinathan, psychiatrist.
69Ms Francis contends that the Court should admit this report as fresh evidence on the leave application.
70The Crown objects to this Court receiving the report of Dr Kasinathan upon the basis that it was brought into existence after the Applicant was sentenced, and does not otherwise satisfy the requirements for receipt of post-sentence evidence on an application for leave to appeal against sentence.
71To resolve this controversy, it is appropriate to refer to the report of Dr Kasinathan and how it is said to be admissible in this Court. Dr Kasinathan interviewed the Applicant by audio-visual link for one hour on 9 August 2013 for the purpose of preparation of the report. Dr Kasinathan expressed the opinion that the Applicant fell within the psychiatric diagnoses, in accordance with DSM-V, consistent with mild autism spectrum disorder and sexual sadism disorder (in remission, in a controlled environment).
72Dr Kasinathan observed that the Applicant's mild autism spectrum "may have contributed to Mr Bland's sense of isolation, rigid thinking and poor judgment at the material time", being the time of the offences (page 7). Whilst agreeing with Dr Allnutt's assessment that the Applicant fell into a moderate-high risk category for future sexual offending from an actuarial viewpoint, Dr Kasinathan opined that the Applicant's risk of future sexual offending was significantly lower when dynamic and treatment variables are taken into account. Dr Kasinathan considered that the Applicant fell into a low-risk category for future sexual offending.
73Dr Kasinathan noted that the psychological report of Dr Arnoldus-Lewis was comprehensive, but stated that her diagnostic impressions of borderline personality disorder and post-traumatic stress disorder were inaccurate (page 9).
74With respect to Dr Allnutt's report, Dr Kasinathan stated (page 10):
"The psychiatric report by Dr Stephen Allnutt dated 4 June 2012 was accurate in that no diagnosis of personality disorder was made, as there was none present. The diagnosis of autism spectrum disorder was not considered, probably due to the mild nature of its presence in Mr Bland. A possible diagnosis of sexual sadism was considered, which the writer agreed with. Actuarial risk factors were evaluated accurately, however dynamic risk factors were not considered to a great depth. The presence of autism spectrum represented a modifiable psychiatric condition (as illustrated above)."
Decision on Admissibility of Report
75A number of reports were tendered in the Applicant's case at the sentencing hearing in the District Court. These reports included a report from Dr Allnutt, a most experienced forensic psychiatrist. In addition, a report from Dr Arnoldus-Lewis was tendered against the background of several treatment sessions had by that practitioner with the Applicant.
76The Applicant was sentenced on 8 June 2012 and lodged a Notice of Application for Leave to Appeal to this Court on 14 February 2013. Some six months later, the Applicant was assessed by Dr Kasinathan. A report was provided that day which is now sought to be deployed on the application before this Court.
77From time to time, this Court has considered applications to admit what is said to be fresh evidence on an application for leave to appeal against sentence.
78In Khoury v R [2011] NSWCCA 118; 209 A Crim R 509, Simpson J (Davies J and Grove AJ agreeing) said at 528 [104]:
"The general principle is that parties to litigation, including criminal litigation, are bound by the manner in which their cases are presented at first instance and will not be permitted to enhance their cases on appeal by producing fresh, or new, evidence: R v Birks (1990) 19 NSWLR 677; R v Fordham (1997) 98 A Crim R 359 at p 377. That applies no less to applications for leave to appeal against sentence than it does to conviction appeals."
79However, Simpson J observed at 528 [105] that the "rule is far from absolute". Her Honour adverted to a number of authorities, and then returned to the statutory context governing a sentence appeal. Simpson J said at 529 [109]-[110]:
"109 ... However, with respect to applications for leave to appeal against sentence, there is an additional, sometimes intractable, barrier to admissibility. Jurisdiction of this Court in sentencing matters derives from s 5(1)(c) of the Criminal Appeal Act 1912. The powers of the Court are spelled out in s 6(3) which is in the following terms:
'6(3) ... the court, if it is of the opinion that some other sentence, whether more or less severe is warranted in law and should have been passed, shall quash the sentence and pass such other sentence in substitution therefor, and in any other case shall dismiss the appeal.'
110 A fundamental pre-condition to the exercise of the power of the Court to quash a sentence and pass another sentence is the formation of the opinion that some other sentence is warranted in law and should have been passed . In other words, this Court, as a matter of law, cannot interfere with a sentence passed at first instance unless it has identified some error, either in the sentencing process or in the outcome of the sentencing process. That has this additional implication: axiomatically, evidence of events or circumstances or facts that have arisen entirely since sentencing cannot be taken into account, no matter how compelling they may be. If the facts did not exist at the time of sentencing, it cannot have been an error for the sentencing judge not to have taken them into account. In those circumstances, the impact on the sentence is a matter for the executive government: R v Munday [1981] 2 NSWLR 177."
80These statements by her Honour should be understood as relating to a case where fresh evidence is relied upon as the basis for appellate intervention under ss.5(1)(c) and 6(3) Criminal Appeal Act 1912, in circumstances where no other error is established. It is clear that evidence of post-sentence events may be received if error has been established and the Court is considering the question of resentencing under s.6(3): Baxter v R [2007] NSWCCA 237; 173 A Crim R 284.
81Simpson J referred (at 529-530 [111]-[114]) to the category of cases concerning assistance to the authorities.
82Her Honour then turned to a further "increasingly common" category of cases concerning medical evidence, including R v Goodwin (1990) 51 A Crim R 328, R v Fordham (1997) 98 A Crim R 359 and Einfeld v R [2010] NSWCCA 87; 200 A Crim R 1. (There have been further recent examples, including Tran v R [2014] NSWCCA 32 and Grant v R [2014] NSWCCA 67, where similar applications were also rejected).
83As Simpson J made clear, at 530-531 [117]-[121], this Court has emphasised that caution must be exercised in the admission of evidence of this type. It is proper for the Court to examine the circumstances, and any explanation for non-production of evidence at first instance, together with the potential significance of the evidence to have affected the outcome at first instance.
84In the circumstances in Khoury v R, the psychiatric and psychological reports were admitted. There had been no psychiatric or psychological evidence tendered at all at first instance. Further, an affidavit had been sworn by counsel who appeared at first instance bearing upon the question why no such evidence had been tendered.
85Those circumstances are far removed from the present case.
86In R v Fordham, Howie AJ (Hunt CJ at CL and Smart AJ agreeing) stated at 377-378 that, even if the evidence is fresh, it ought not be received by the Court unless it affects the outcome of the case. Generally, it must be shown that the sentencing of the offender, in the absence of the fresh evidence, resulted in a miscarriage of justice. The miscarriage of justice principle in R v Fordham was applied in Norrie v R [2008] NSWCCA 185 at [22].
87Ground 9 is framed in terms which seek to engage the principle in R v Fordham, contending that a miscarriage of justice has occurred.
88The High Court has emphasised recently the importance of the principle of finality in the area of sentencing: Achurch v The Queen [2014] HCA 10; 88 ALJR 490 at 496-497 [14]-[16]. This Court has also stressed that a sentence leave application involves a challenge to a discretionary determination and is not a rehearing of a plea in mitigation or the occasion for the revision or reformulation of the case presented below: Zreika v R [2012] NSWCCA 44; 223 A Crim R 460 at 477-479 [79]-[81]. At the same time, it was recognised that criminal appellate courts should be able to correct a miscarriage of justice or serious injustice in the clear and rare cases where the relevant matter has not been relied upon at first instance: Zreika v R at 478 [82].
89This is not a case, like Khoury v R (at 527 [102]), where there was no psychiatric or psychological evidence adduced on sentence at first instance. Indeed, the psychiatric evidence adduced here was from an eminent forensic psychiatrist, Dr Allnutt, and a treating psychologist, Dr Arnoldus-Lewis. There was an affidavit of the Applicant which confirmed the matters contained in those reports. A thorough and considered approach was taken by the Applicant's then legal representatives on this topic.
90It may be inferred that the legal representatives for the Applicant before this Court have caused a further psychiatric examination to be undertaken by a different psychiatrist with a further report resulting. There is no suggestion that Dr Kasinathan's report has been provided to Dr Allnutt for comment, let alone that Dr Allnutt has revised his opinion in the light of that report. A scenario such as that (if it existed) might bring the case closer to one where the interests of justice warranted the admission of additional evidence before this Court. However, that would be because the psychiatrist relied upon at first instance had altered his or her opinion in a significant respect.
91It would be contrary to the principle of finality, and inconsistent with the function of this Court on an application for leave to appeal against sentence, to adopt an approach which encouraged a sentenced person to seek out medical and psychiatric opinion after sentence, and before appeal, on matters which were the subject of reports tendered at first instance.
92The observations of RS Hulme J in Einfeld v R at 45-46 [193] are pertinent:
"One cannot but be conscious of the frequency, and it may be ease, with which psychiatrists disagree with diagnoses of other psychiatrists. I am by no means persuaded that this Court is obliged to receive as evidence in an appeal any and every fresh diagnosis made since a sentence was imposed upon the ground that the fresh diagnosis reflects a condition not fully known or appreciated at the time of a sentence under appeal. However, in light of the previous order of the Court in this appeal and the attitude of the Crown during the hearing before us, I need say no more on this topic."
93The practical consequences of what the Applicant seeks to do were the subject of discussion at the hearing in this Court. If the report of Dr Kasinathan was admitted as additional evidence, how was this Court to proceed in resolving what appeared to be a difference of opinion between the two psychiatrists? And where would the process end? It was submitted for the Applicant that remittal to the District Court may be appropriate to allow the areas of dispute to be explored further in that Court.
94In my view, the report of Dr Kasinathan is not admissible as fresh evidence on this application.
95It should be observed, in any event, that the effect of the report of Dr Kasinathan is itself not substantial. Dr Kasinathan raises the prospect of autism spectrum disorder of such a mild nature that its presence may not have been detected by Dr Allnutt. The faintness of the suggested condition indicates that, even if the report had been before the sentencing Judge, it would have had no real bearing on the exercise of sentencing discretion. Further, Dr Kasinathan confirms the diagnosis of sexual sadism disorder, a conclusion effectively reached by Dr Allnutt and presented to the sentencing Judge.
96If Dr Kasinathan's report had been admitted, I am not persuaded that it would have any material bearing on issues including the Applicant's prospects of rehabilitation, his level of moral culpability or the application of the principles of general deterrence and personal deterrence.
97The Applicant has not demonstrated a miscarriage of justice as contended for in Ground 9.
98I would decline to admit the report of Dr Kasinathan and, as a consequence, would reject Ground 9.