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[1998] HCA 46
High Court of Australia
1998-07-23
Callinan JJ, McHugh JJ
Original judgment source is linked above.
High Court of Australia Gaudron, McHugh, Kirby, Hayne and Callinan JJ Simpson v The Queen (H5/1997) [1998] HCA 46
Subject to the provisions of section 160, culpable homicide is murder if it is committed -
(c) by means of any unlawful act or omission which the offender knew, or ought to have known, to be likely to cause death in the circumstances, although he had no wish to cause death or bodily harm to any person.
No I wouldn't have a clue. I know it was on the upper part of the bo [sic], body though.
Did you, you said that you st, you st, [sic] you stabbed him in the upper part of the body?
And you realised that by stabbing somebody in that part of the body that you'd kill em?
I'm talkin [sic] about the upper body not the arms.
I, yeah I did realise but I, I thought that it was probably around this area sort of, like from the arm to here. So I wasn't, I wasn't sure where I hit him, stabbed him at all.
While describing "this area sort of, like from the arm to here", the accused pointed to an area just below the neck running across the chest from arm to arm.
Moreover, in determining what the accused knew, the jury were entitled to, and no doubt did, act on the basis that an ordinary twenty-one year old person knows that, if he or she forcefully stabs a person in the upper body with a knife that has a 7 cm blade, there is a real chance that it will kill that person. Independently of the accused's admission that he did realise that stabbing somebody "in that part of the body" might kill the person, the jury were entitled to think that the chance that the accused did not know what an ordinary twenty-one year old knows was so remote that it could be safely disregarded. Consequently, even if the accused had made no admission, the jury would have been entitled to conclude that he ought to have known that his unlawful act gave rise to a real chance that it might cause the death of the deceased.
Alternatively, the accused contended that, even if the admissions made by him in his record of interview were evidence "as to [his] subjective state of mind", "the learned trial judge had a duty to warn the jury in the strongest possible terms that this evidence was not at all cogent in terms of its capacity to establish that state of mind in the subjective sense required by Boughey ". He also contended that the trial judge had a duty "to ensure that the jury did not lapse into a review conducted in an objective manner".
In summing up to the jury on the "ought to have known" issue, the trial judge said:
In what circumstances should a person have known that his act was likely to cause death. You have to consider this from the position of Mr Simpson, the accused. We're not talking about what some hypothetical person ought to have known or what you would have known, the question is what he ought to have known. So with his actual state of knowledge, his age, which is twenty-one, we don't know much about him really we haven't really been told much about him. But you've heard him in the witness box you might be able to make some assessment of him and you've seen him on that video of course. But with his actual state of knowledge and capacity as you determine the[m] to have been, then you look at the circumstances he was placed in and you determine, you make a judgment and determine ought he to have known that his unlawful act, if there was one, was likely to cause death, even if he didn't want to cause it. You should consider had he stopped to think to the extent that you think he should have, would he have known or appreciated that death was likely to ensue from his act. I'll put it another way, to what extent do you consider that he ought to have stopped to think and if he had done so, would he have known or appreciated that if he stabbed Mr Smith, death was a likely result. Now that's what ought to have known involves. And let me go to the next bit, ought to have known that it was likely to cause death. The expression "likely to cause death" is one you can probably understand but you might have difficulty defining it if you had to. However, it's something, if something is likely to happen or there is a good chance that it will happen it probably means the same thing. It is something that may well happen, you might say it may not happen, but there is a good chance that it will happen. It's likely to happen, these are all similar expressions. So likely to cause death is an ordinary expression which is meant to convey the notion of a substantial or real chance as distinct from what is a mere possibility. A good chance that it will happen, something that may well happen, something that is likely to happen, but not just a mere possibility. Now I hope that helps you but look at the words that are used in the memorandum "likely" is the word that's used there. So did he know that death was likely to be caused or ought he to have known that death was likely to be caused by his act. That's the question for you. It's a question of fact for the Jury to determine.
The learned judge gave the jury no directions as to how they might determine the accused's state of knowledge; nor did he refer in terms to the admissions of the accused. However, his Honour was under no obligation to give such directions, and counsel for the accused at the trial sought no directions at the conclusion of the summing up. That being so, his Honour's directions cannot be faulted. There is no reason to think that the jury applied an objective test or that the directions permitted "the onus of proof to shift away from the Crown in respect to proving circumstances peculiar to the [accused] sufficient to allow a jury to find a subjective state of mind in the [accused]". Nor is there any reason to suppose that the trial miscarried in any way.
His Honour made it clear to the jury that they had to consider the "ought to have known" issue "from the position of the accused" and that it was his "actual state of knowledge" and not that of "some hypothetical person" that was relevant. The learned judge also told the jury that they had to consider that, if the accused had stopped to think about the matter "would he have known or appreciated that if he stabbed Mr Smith, death was a likely result". Given these directions, there is no ground for thinking that the jury would have applied an objective test in determining whether the accused "ought to have known" that death was the likely result of his unlawful act.
Mr Damien John Simpson (the appellant) appeals against the order of the Tasmanian Court of Criminal Appeal dismissing his appeal against his conviction for murder. The victim, Mr Tony Smith, died of a single stab wound inflicted in his neck by the appellant.
The appellant, a man of twenty-one years at the time of the offence, spent about three hours in the evening of 10 June 1995 at an hotel in Launceston drinking beer and some whiskey. At about half past midnight, he left the hotel in company with five other people, including his father, to walk into the city. On the way, three men accosted one of the appellant's party, Mr Ivan Quarrell, and asked for a cigarette. In a police interview which was recorded on videotape and which commenced some seven or so hours after the events to be described, the appellant gave this account of what occurred:
Um, Ivan was talkin to some blokes, three blokes an um, they asked for a cigarette, an Ivan gave em a cigarette and then we walked across the road an Ivan said that um he took me cigarettes, so me father went down across the road an um asked for the cigarettes and they were bein real smart an um then I ran, then I ran across the road to where me father was an then they started, this bloke started pushin me around and then um first thing I done was grab me knife, cos [he] was pushin me around.
A little later in the interview, the appellant enlarged upon that account:
Q Do you normally carry a knife, do you normally carry this knife all the time?
Q Did you open it when you pulled it out of your pocket?
Q After this fi , this fellow was pushing you around
Q and you've opened your knife, knife up, what did you do then?
A I leaned, I was tryin ta when he was pushin me, I was, I, all that I done was pulled out me knife an then he pushed me again an then I went like that an then
A When it was in me pocket I just went like that an then it flipped open, like as soon as I pulled it out of me, out of me pocket.
A Yeah he was cos [he] was pushing me so, yeah he woulda been facing me.
In the interview, the appellant was interrogated about his state of mind:
A Because that bloke was pushin me, like cos I thought he was gunna punch me head in (sniff).
Q What was your intention when you pulled your knife out and opened it up?
A No intentions cos I didn't think, I just, I was just tryina get away sorta thing.
Q Well, at the time of pulling the knife out and opening up, did you intend to use the knife?
A Not real, nah. Well as, the split, it happened in a split second that's all I know.
Q At the time that you pulled the knife out though did you intend to kill him?
A No I didn't. I didn't even intend to pull the knife out at all, I didn't, I didn't mean to stab him at all, just (sniff) somin that, it just happened.
Later, the appellant said that he was scared of his victim who was a "pretty big bloke" and was pushing him around. He also expressly denied the investigating police officer's direct assertion that he had intended to stab the deceased. He claimed that he was fairly drunk at the time but admitted, at one point at least, that he knew what he was doing. The Crown called as witnesses, other members of the two groups and an independent witness, a taxi driver who had witnessed the events. There were various differences in their testimony. However, they were remarkably consistent with respect to their observations of how the fatal blow was inflicted by the appellant: that he ran up to the victim, either with his hand raised, or that he raised it when he reached the victim, to strike at him and then, ran away.
The appellant gave evidence at his trial. No other evidence was called in his case. We do not read his evidence as being in substance any different from the account that he gave when he was interviewed by the investigating police officers. Although some of the witnesses' versions were vague, no doubt as a result, in part at least, of the consumption of alcohol, one matter was clear at the trial: that the appellant was not under any direct, serious, personal, physical threat before he struck the victim with his knife.
At trial, the appellant relied on self-defence [15] . Clearly this was rejected by the jury. No point now arises about that. Alternatively, the appellant submitted before the jury that, if the Crown had satisfied them that self-defence was negatived, the proper verdict in the circumstances was one of manslaughter. This was so on the ground that the appellant neither knew, nor ought to have known, that death was likely to result from his actions.
Relevantly, s 157 of the Criminal Code Act 1924 Tas (the Criminal Code) provides:
(1) Subject to the provisions of section 160, culpable homicide is murder if it is committed -
(a) with an intention to cause the death of any person, whether of the person killed or not;
(b) with an intention to cause to any person, whether the person killed or not, bodily harm which the offender knew to be likely to cause death in the circumstances, although he had no wish to cause death;
(c) by means of any unlawful act or omission which the offender knew, or ought to have known, to be likely to cause death in the circumstances, although he had no wish to cause death or bodily harm to any person.
In its reference to what the offender "ought to have known", s 157(1)(c) is unique in Australia to Tasmania. Its history is discussed by Brennan J in Boughey v The Queen [16] . Once again it is necessary to elucidate its meaning.
In the Court of Criminal Appeal, Zeeman J (with whom Cox CJ agreed) summarised the trial judge's directions on the requirements of s 157(1)(c) of the Criminal Code [17] :
At the trial the Crown did not invite the jury to find that the appellant knew that his unlawful act was likely to cause death in the circumstances. The directions given to the jury by the learned trial judge effectively told the jury to put that matter aside. He invited them to direct their attention to the question of whether the appellant ought to have known that his unlawful act was likely to cause death. 1. Simpson v The Queen (unreported; 13 November 1996), at 2.
Later [18] , Zeeman J quoted the following passage from Boughey [19] :
[The trial judge's] comments clearly and properly made the point that, whatever may be the difficulties of precise definition, the expression "likely to cause death" in s 157(1) is an ordinary expression which is meant to convey the notion of a substantial or real chance as distinct from what is a mere possibility: "a good chance that it will happen"; "something that may well happen"; something that is "likely to happen". In our view, those comments went as far as was desirable in the circumstances of the case. His Honour was correct in not introducing an added requirement either that the applicant directed his mind to, or attempted to calculate, the degree of mathematical probability that his acts would cause death in the circumstances or that the applicant knew or ought to have known that it was "more likely than not" or an "odds on chance" that his actions would cause death in the circumstances. 1. Simpson v The Queen (unreported; 13 November 1996), at 3. 2. (1986) 161 CLR 10 at 22, per Mason, Wilson and Deane JJ.
In the Court of Criminal Appeal the appellant argued that he could not, and did not, possess the requisite knowledge that a blow of the kind he inflicted was likely to cause death. In support of this, his counsel referred to a pathologist's evidence that some studies had showed that 10 per cent only of knife wounds to the chest (supposedly the intended target of the appellant's blow) resulted in death. With respect to this argument and in dismissing it, Zeeman J pointed to these circumstances [20] :
All of the judges of the Court of Criminal Appeal were of the opinion that the appeal should be dismissed. Slicer J, although he had some reservations about some aspects of the way in which the case on manslaughter had been put by both the prosecutor and the defence at the trial, found no error in the trial judge's summing up to the jury. He was satisfied that no miscarriage of justice had occurred. The other judges concluded that no error had been shown. The Court dismissed the appeal. By special leave, the appellant has now appealed to this Court.
The grounds of appeal which were pursued during the hearing before this Court, as amended, alleged that the Court of Criminal Appeal had erred in failing to hold that the trial judge: (1) had failed to direct the jury in accordance with the judgment of this Court in Boughey as to the jury's task in determining if the appellant ought to have known his act [of stabbing the deceased] was likely to cause death in the circumstances; and (2) should have withdrawn the charge of murder from the jury pursuant to s 157(1)(c), in that there was insufficient evidence that the appellant knew or ought to have known that his act [of stabbing the deceased] was likely to cause death.
The two grounds of appeal are related. They may be dealt with together.
The relevant passage in the trial judge's summing up, complained of by the appellant, was as follows:
In what circumstances should a person have known that his act was likely to cause death. You have to consider this from the position of Mr Simpson, the accused. We're not talking about what some hypothetical person ought to have known or what you would have known, the question is what he ought to have known. So with his actual state of knowledge, his age, which is twenty-one, we don't know much about him really we haven't really been told much about him. But you've heard him in the witness box you might be able to make some assessment of him and you've seen him on that video of course. But with his actual state of knowledge and capacity as you determine them to have been, then you look at the circumstances he was placed in and you determine, you make a judgment and determine ought he to have known that his unlawful act, if there was one, was likely to cause death, even if he didn't want to cause it. You should consider had he stopped to think to the extent that you think he should have, would he have known or appreciated that death was likely to ensue from his act. I'll put it another way, to what extent do you consider that he ought to have stopped to think, and if he had done so, would he have known or appreciated that if he stabbed Mr Smith, death was a likely result. Now that's what ought to have known involves. And let me go to the next bit, ought to have known that it was likely to cause death. The expression "likely to cause death" is one you can probably understand but you might have difficulty defining it if you had to. However, it's something, if something is likely to happen or there is a good chance that it will happen it probably means the same thing. It is something that may well happen, you might say it may not happen, but there is a good chance it will happen. It's likely to happen, these are all similar expressions. So likely to cause death is an ordinary expression which is meant to convey the notion of a substantial or real chance that it will happen, something that may well happen, something that is likely to happen, but not just a mere possibility. Now I hope that helps you but look at the words that are used in the memorandum "likely" is the word that's used there. So did he know that death was likely to be caused or ought he to have known that death was likely to be caused by his act. That's the question for you. It's a question of fact for the jury to determine.
The appellant contends that the directions given by his Honour fell short of what was required by Boughey. The argument was that the test was a subjective one and must be posed in relation to a particular person, the appellant. In support of these submissions the appellant relied on R v Phillips [21] and Boughey [22] .
The acceptance or rejection of evidence involves an inference as to its truth, which inference is, at least in part, based on "a principle of faith in human veracity sanctioned by experience" [25] . It is usual not to so categorise the inferences involved in the acceptance of direct or testimonial evidence and to treat the process of inference as confined to circumstantial evidence. But it is appropriate here to draw attention to the fact that the drawing of inferences extends beyond circumstantial evidence because the purpose and the genius of the jury system is that it allows for the ordinary experiences of ordinary people to be brought to bear in the determination of factual matters. It is fundamental to that purpose that the jury be allowed to determine, by inference from its collective experience of ordinary affairs, whether and, in the case of conflict, what evidence is truthful. 1. (1990) 171 CLR 207 at 214, per Deane, Dawson, Toohey, Gaudron and McHugh JJ. 2. Wigmore, Evidence (1983), vol 1A, p 954, referring to an unverified citation from Starkie's Evidence (1824).
Q Did you, you said that you st, you st, you stabbed him in the upper part of the body?
Q And you realised that by stabbing somebody in that part of the body that you'd kill 'em?
A I, yeah, I did realise but I, I thought that it was probably around this area sort of, like from the arm to here (Emphasis added.)
Simpson
The Queen
(1986) 161 CLR 10
(1939) 61 CLR 735
(1951) 83 CLR 1
(1971) 45 ALJR 467
(1997) 71 ALJR 638
(1990) 171 CLR 207