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[2004] VSCA 117
Court of Appeal (Vic)
2004-07-02
WINNEKE, P., CALLAWAY and EAMES, JJ.A.
Original judgment source is linked above.
"In his reasons for judgment on the second application, Badgery-Parker, J. (with whom McInerney and Dowd, JJ. agreed) expressed the view, by reference to Pantorno v. The Queen (supra) that the Court of Criminal Appeal had jurisdiction to entertain that application notwithstanding the earlier application for leave to appeal. However, because the appeal was to be dismissed, it was said that it was unnecessary to decide whether that was so. If the only order to be made was an order dismissing the application for leave to appeal, that may have been correct. However, a decision to grant leave on the second application and to dismiss the appeal then brought involved the assertion of jurisdiction to entertain the second application and, on the assumption that an order giving effect to the decision on the first application was perfected, an assertion of jurisdiction to entertain a second appeal against sentence. If a final order was made perfecting a decision of the Court of Criminal Appeal on Postiglione's first application, the assumption of jurisdiction to entertain his second application and the ensuing appeal was contrary to the decision of this Court in Grierson v. The King (supra). It was held in that case that the Criminal Appeal Act 1912 (N.S.W.) does not confer jurisdiction to re-open an appeal which has been heard on the merits and finally determined. A fortiori, in a case where what is involved is a hearing of a second appeal. Pantorno does not suggest otherwise. The view was expressed in Pantorno that an intermediate Court of Appeal can entertain an application to remedy a denial of procedural fairness whether or not its order has been perfected. Nothing was said as to the jurisdiction of an appellate court to entertain a second appeal when the first had been heard and determined on the merits and an order perfected." (footnotes omitted)
"Moreover it will later appear that the only order which should have been made on Postiglione's first application was an order refusing leave to appeal, not an order dismissing the appeal."
This matter was again taken up by their Honours towards the conclusion of their judgment where they said[43]:
"Some of the procedural difficulties involved in this case are referable to the fact that Postiglione was sentenced and his application for leave to appeal determined before his co-offender, Savvas, was brought to trial. That is the course usually taken in cases where an accused has agreed to give evidence against a fellow criminal. And there are good reasons why that course should be followed. However, it involves the difficulty, if leave to appeal against sentence is granted, and the subsequent appeal dismissed, that an appellant in Postiglione's position is denied an opportunity to complain of sentence disparity. Ordinarily, it is of no consequence whether an order is made dismissing an application for leave to appeal or whether leave is granted and the appeal dismissed. However, putting aside applications which are frivolous or vexatious, there is no reason in principle to prevent a person bringing a second application for leave to appeal if an earlier application has been dismissed. An application based on matters agitated on a previous application is properly to be regarded as frivolous or vexatious. But that is not the case where an application is based on a sentencing disparity which has subsequently emerged. That is always a possibility in a case of this kind. That being so, the interests of justice require that, if an application for leave to appeal against sentence is to be heard and determined against an applicant before a co-accused is brought to trial, leave be refused, rather than the appeal be dismissed." (footnotes omitted)
"Second, the competency of the Court of Criminal Appeal to hear the second appeal is called into question by uncertainty as to whether the first order of the Court of Criminal Appeal was perfected. If the first order was perfected, the appeal against sentence had already been conclusively determined on its merits by the first appeal. In that event, the Criminal Appeal Act 1912 (N.S.W.) does not permit the Court of Criminal Appeal to conduct a further appeal."
His Honour referred to Grierson v. The King (supra). Gummow, J. said[46]:
"It follows that, if the proceeding in the Court of Criminal Appeal [on the second appeal] was competent, the appeal against sentence was correctly dismissed. ... Further, it may be that the status of the first appeal was such as to render the later proceeding incompetent."[47]
His Honour disagreed with the majority in respect to the substantial merits of the appeal, but considered what the consequences of the remitter to the Court of Criminal Appeal (N.S.W.) should be. He said[48]:
"If it transpired that the orders on the first appeal were perfected so that the second proceeding was incompetent, the result first reached there would stand ... ."
His Honour added his agreement to what had been said by Dawson and Gaudron, JJ. with respect to the "reliance upon Pantorno v. The Queen".
"This Court was informed that the orders of the Court of Criminal Appeal following the first appeal were not perfected. In the second application that Court certainly purported to exercise and affirm its jurisdiction. Both parties before this Court supported that conclusion. In the nature of complaints of disparity in sentencing (and as the facts of this case demonstrate) it will quite often be the case that the disparity which is said to give rise to the justifiable sense of grievance is not finally known until a considerable time after the complaining prisoner was sentenced. Where the final sentencing of a co-offender, or of another relevant offender, remain outstanding it may well be sensible for a Court of Criminal Appeal to adopt the expedient proposed by Dawson and Gaudron, JJ. in their reasons. I shall assume that there was no jurisdictional barrier to the appellant's second application. I shall return to that question in determining the orders which should be made."
Having discussed the merits of the application, Kirby, J. returned - as he said he would - to the procedural problems which had arisen in the second appeal. His Honour said[50]:
"Dawson and Gaudron, JJ. have explained the procedural errors which may have occurred in the Court of Criminal Appeal. This Court has not received submissions or formal evidence about these possible errors. I am far from convinced that the Court of Criminal Appeal lacked jurisdiction to hear and determine the second application. However, in the circumstances, the desirable course is the one which their Honours propose."
"If any residual doubt existed after Pantorno as to the nature or extent of the relevant power, then that has, in my view, been unequivocally removed by the decision of the High Court in Postiglione ... ."
"For the reasons mentioned, I am of the view that the present case falls squarely within the decision in Grierson. The facts are not distinguishable, and recent authority in the High Court has neither weakened that decision nor opened the gate any wider for the reconsideration of an earlier appeal, or for the mounting of a second appeal. Nor does that authority, or other decision of any intermediate Court of Appeal, support the existence of some general discretion to intervene in the interests of justice."
"The Court has all jurisdiction that is necessary for the administration of justice in Queensland."
It had been submitted to the Court that, by reason of this sub-section, the principle established by the High Court in Grierson v. R. was inapplicable. Pincus, J.A., with whose reasons Mackenzie, J. agreed, said (at p.17):
"The point is a narrow one and is whether, where this Court disposes of a matter on the basis of a mistake with respect to the content of orders previously made by the Supreme Court, or indeed any court, it has jurisdiction in an appropriate case to correct its mistake. The case is not one where the error involved any disputed or disputable question of fact; it was merely as to the content of orders made by courts of this State."
His Honour concluded that the matter was covered by s.8 of the Supreme Court of Queensland Act. The Court's conclusion has nothing to say about this Court's jurisdiction to re-open its decision finally disposing of an application for leave to appeal against conviction which has been determined on the merits.
"... the power to prevent injustice clearly includes power to set aside an interlocutory order refusing leave to appeal after that order has been perfected when the interlocutory order was based upon a factual misapprehension, shared by the parties and the Court, derived from ambiguity in the order of a lower court."
His Honour acknowledged that the matter before the Court was "significantly different" from Grierson's case and the earlier Queensland cases of Smith[57]. However, if his Honour was suggesting that the dismissal or refusal of an application for leave to appeal upon the merits against a conviction is to be regarded as interlocutory, in the sense that it can be re-opened upon fresh evidence, then I respectfully differ from that view.
"The principle stated in Grierson is based on the statutory nature of an appeal and the finality of a decision given on such an appeal. Moreover it was said in that case to apply equally to a dismissal on the merits of an application for leave to appeal."
"The application of this principle to an earlier decision dismissing an application for leave to appeal is less clear, notwithstanding the statement by Dixon, J. in Grierson that it does apply. Such an order appears on its face to be an interlocutory one notwithstanding that it may be on the ground that the appeal would fail on its merits. However, the principle was applied to such a case by the Court of Criminal Appeal twice [his Honour referred to Smith [No.1] and Smith [No.2]], and appears to have been accepted by this Court in R. v. Pettigrew [supra], though the Court held that it had a limited power to reconsider such a decision. In my view there is a great deal to be said for the application of this principle to applications for leave to appeal against sentence in this Court as those applications are, in practice, treated as appeals ..."
determination has been perfected. The limits derive from the construction of the statutory provisions found in Part VI of the Crimes Act, including as they do the "prerogative powers" contained in s.584. The applicant is not without remedy because he can petition under that section.
"Right of appeal in criminal cases 3. A person convicted on indictment may appeal under this Act to the Full Court - (a) against his conviction on any ground of appeal which involves a question of law alone; and (b) with the leave of the Full Court or upon the certificate of the Judge or Chairman of General Sessions before whom he was tried that it is a fit case for appeal against his conviction on any ground of appeal which involves a question of fact alone, or a question of mixed law and fact, or any other ground which appears to the Full Court to be a sufficient ground of appeal; and (c) with the leave of the Full Court against the sentence passed on his conviction, unless the sentence is one fixed by law. Determination of appeals in ordinary cases 4. (1) The Full Court on any such appeal against conviction shall allow the appeal if they think that the verdict of the jury should be set aside on the ground that it is unreasonable or cannot be supported having regard to the evidence or that the judgment of the Court before whom the appellant was convicted should be set aside on the ground of a wrong decision of any question of law or that on any ground there was a miscarriage of justice and in any other case shall dismiss the appeal. Provided that the Full Court may, notwithstanding that they are of opinion that the point raised in the appeal might be decided in favour of the appellant, dismiss the appeal if they consider that no substantial miscarriage of justice has actually occurred. (2) Subject to the special provisions of this Act the Full Court shall, if they allow an appeal against conviction, quash the conviction and either direct a judgment and verdict of acquittal to be entered or direct a new trial to be had. (3) Where a new trial is directed the Full Court may make such order as to them seems fit for the safe custody of the appellant or for admitting him to bail. (4) On an appeal against sentence the Full Court shall, if they think that a different sentence should have been passed, quash the sentence passed at the trial and pass such other sentence warranted in law (whether more or less severe) in substitution therefor as they think ought to have been passed, and in any other case shall dismiss the appeal."
"567. Right of appeal in criminal cases A person convicted on indictment or for a relevant summary offence heard and determined by the County Court pursuant to section 359AA may appeal under this Part to the Court of Appeal - (a) against his conviction on any ground of appeal which involves a question of law alone: Provided that the Court of Appeal in any such case may if it thinks fit decide that the procedure with relation to Crown cases reserved under Part III of this Act should be followed and require a case to be stated accordingly under that Part in the same manner as if a question of law had been reserved and thereupon the provisions of the said Part shall with the necessary modifications apply accordingly;[66] (b) upon the certificate of the judge of the Trial Division of the Supreme Court or the County Court before whom he was tried that it is a fit case for appeal against his conviction on any ground of appeal which involves a question of fact alone, or a question of mixed law and fact; (c) with the leave of the Court of Appeal upon any such ground as is mentioned in paragraph (b) or any other ground which appears to the Court of Appeal to be a sufficient ground of appeal; and (d) with the leave of the Court of Appeal against the sentence passed on his conviction, unless the sentence is one fixed by law. 568. Determination of appeals in ordinary cases (1) The Court of Appeal on any such appeal against conviction shall allow the appeal if it thinks that the verdict of the jury should be set aside on the ground that it is unreasonable or cannot be supported having regard to the evidence or that the judgment of the court before which the appellant was convicted should be set aside on the ground of a wrong decision of any question of law or that on any ground there was a miscarriage of justice and in any other case shall dismiss the appeal: Provided that the Court of Appeal may, notwithstanding that it is of opinion that the point raised in the appeal might be decided in favour of the appellant, dismiss the appeal if it considers that no substantial miscarriage of justice has actually occurred. (2) Subject to the special provisions of this Part the Court of Appeal shall, if it allows an appeal against conviction, quash the conviction and either direct a judgment and verdict of acquittal to be entered or direct a new trial to be had.
* * * * *
(4) On an appeal against sentence the Court of Appeal shall, if it thinks that a different sentence should have been passed or a different order made, quash the sentence passed at the trial and pass such other sentence or make such other order warranted in law (whether more or less severe) in substitution therefor as it thinks ought to have been passed or made, and in any other case shall dismiss the appeal. (5) Despite sub-section (4), on an appeal against sentence the Court of Appeal may, if it thinks that it is appropriate and in the interests of justice to do so, quash the sentence passed at the trial and remit the matter to the trial court. (6) If the Court of Appeal remits a matter to the trial court under sub-section (5) - (a) it may give any directions that it thinks fit concerning the manner and scope of the further hearing by the trial court, including a direction as to whether that hearing is to be conducted by the same or a different judge; and (b) the trial court must hear and determine the matter in accordance with law and any such directions. (7) Where a new trial is directed or a matter is remitted under sub-section (5), the Court of Appeal may make such order as to it seems fit for the safe custody of the appellant or for admitting him or her to bail."
"The application for leave to appeal against [conviction or sentence, as the case may be] is granted. The appeal is treated as instituted and heard instanter and is allowed."
Those words satisfy the condition precedent in s.567(c) or (d), as the case may be, and enliven the jurisdiction of the Court to entertain and deal with the appeal pursuant to s.568.
[1] R. v. G.A.M. [2003] VSCA 185.
[2] R. v. McNamara (No.2) [1997] 1 V.R. 257 at 268.
[3] The 1998 Rules will be replaced, as and from 1 July 2004 by the Supreme Court (Chapter VI ...) Rules 2004. Rule 2.07.1 is in the same form as Rule 2.07(1) of the 1998 Rules.
[4] See s.572(1) Crimes Act.
[5] R. v. G.A.M. [2003] VSCA 185 at para [25].
[6] [1997] 1 V.R. 257 at 268.
[8] [1957] 1 W.L.R. 841 at 842.
[11] See, for example, R. v. Pitman (1916) 12 Cr.App.R. 14; R. v. Healey (1956) 40 Cr.App.R. 40; R. v. Moore (supra).
[12] It should be noted that Rule 2.10(2) of the Supreme Court (Criminal Procedure) Rules 1998 (Vic.) similarly provides that, in this State, "an appeal or application shall be taken to be dismissed on the date the notice of abandonment is filed".
[13] S.34 is the equivalent of s.584 Crimes Act (Vic.).
[16] [1970] VicRp 34; [1970] V.R. 278 at 280.
[19] In Saxon (1998) 101 A.Crim.R. 71 at 81, Smart, J. reserved for future consideration the question whether the Court of Criminal Appeal could re-open an appeal determined on its merits in the event that it was revealed that the conviction was obtained by fraud.
[26] I note that s.26 of the Criminal Appeal Act 1912 and s.475 of the Crimes Act 1900 are the equivalent of s.584 Crimes Act (Vic.).
[27] Grierson v. The King [1938] HCA 45; (1938) 60 C.L.R. 431.
[30] Court of Appeal (Vic.), unreported, 18 September 1997, per Tadgell, J.A. at page 11.
[31] (1989) 42 A.Crim.R. 189 at 191.
[32] (1991) 52 A.Crim. R. 298 at 300.
[33] (1998) 101 A.Crim.R. 71 at 74 ff.
[34] (1988) 37 A.Crim.R. 1 at pages 17-18.
[35] (1998) 101 A.Crim.R. 71 at 76.
[37] Mason and Brennan, JJ. at page 474; and Deane, Toohey and Gaudron, JJ. at page 484.
[44] The authorities to which I have referred, and which preceded and include Grierson v. The King, make it clear, in my view, that all applications for leave, and appeals, - when decided on the merits and the orders perfected - are final. However there may be a query whether an application to a single judge pursuant to s.582 Crimes Act (Vic.) results in a final order in the event that the applicant fails to make an election within the time prescribed by the Rules.
[47] His Honour referred to Grierson v. The King.
[55] cf. Re Matthews and Ford [1973] VicRp 18; [1973] V.R. 199 at 200; Re Ratten [1974] VicRp 26; [1974] V.R. 201 (application for leave dismissed by Full Court [1971] VicRp 10; [1971] V.R. 87; Re Knowles [1984] VicRp 67; [1984] V.R. 751 at 759; R. v. M.H.R. [2000] VSCA 44; [2000] 1 V.R. 119 at 125.
[64] The President's judgment and mine are confined to applications determined by the Court of Appeal, as opposed to those determined by a single judge of appeal pursuant to s.582 of the Crimes Act 1958. I say nothing about the latter, even where no notice of election to have the application determined by the Court of Appeal is received by the Registrar under Rule 2.08.1.
[65] The Rules contemplate that both a notice of application for leave to appeal and a notice of application for extension of time should be filed at the same time but the practice of the Court, correctly in my opinion, is to disregard the application for leave to appeal if the extension is refused.
[66] This proviso corresponds with the second part of s.20(2) of the Criminal Appeal Act 1914. The provision corresponding with the first part of that sub-section is s.571.
[67] In practice appellants rarely use s.567(a) nowadays and s.567(b) is a dead letter.
[68] In either case, s.567(c) or (d), the leave of the Court of Appeal may have been granted by a single judge of appeal pursuant to s.582. The condition precedent in s.567 is satisfied because, as the language of s.582 makes clear, the single judge of appeal exercises the power of the Court of Appeal to give leave.
[70] R. v. Bolton and Barker [1998] 1 V.R. 692 at 700 line 2 and fn. 26. Strictly speaking, an application should be "granted" or "refused" and an appeal should be "allowed" or "dismissed".
[72] It could have done so because a single judge of appeal, unlike a judge at first instance, exercises the powers of the Court of Appeal. Compare Sanofi v. Parke Davis Pty. Ltd. [No. 1] [1982] HCA 9; (1982) 149 C.L.R. 147 at 153 and Coles Myer Ltd. v. Bowman [1995] VICSC 219; [1996] 1 V.R. 457 at 460.
[73] Both the grant of leave and the refusal of leave are usually interlocutory. See Lamac Developments Pty. Ltd. v. Devaugh Pty. Ltd. [2002] WASCA 245; (2002) 27 W.A.R. 287 at [32], [56]-[57], [70]-[72] and [121]-[128].
[74] R. v. Edwards (No.2) [1931] S.A.S.R. 376 at 380_; R. v. Grierson_ (1937) 54 W.N.(N.S.W.) 144; Grierson v. R. [1938] HCA 45; (1938) 60 C.L.R. 431 at 434 and 437; R. v. Grantham [1969] 2 Q.B. 574 at 580.
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