WEDNESDAY 10 FEBRUARY 2010
ST v REGINA
Judgment
1 BASTEN JA: The appeal in this matter was allowed at the hearing before this Court last November and the Court indicated its intention to quash the appellant's convictions. The Court reserved its reasons and also reserved the question as to what further order should be made. I agree that the orders should be those proposed by Howie J.
2 Pursuant to s 6 of the Criminal Appeal Act 1912 (NSW), the Court, if it allows an appeal against conviction, "shall … quash the conviction and direct a judgment and verdict of acquittal to be entered": s 6(2). That obligation is, however, subject to "the special provisions of this Act". Section 7 of the Act refers to the powers of the Court "in special cases". That section provides power for the Court, for example, to substitute a verdict: s 7(2). It is clearly a "special provision".
3 Section 8 of the Criminal Appeal Act provides:
" 8 Power of court to grant new trial
(1) On an appeal against a conviction on indictment, the court may, either of its own motion, or on the application of the appellant, order a new trial in such manner as it thinks fit, if the court considers that a miscarriage of justice has occurred, and, that having regard to all the circumstances, such miscarriage of justice can be more adequately remedied by an order for a new trial than by any other order which the court is empowered to make."
4 The formulation of these various provisions reflects more of the history of the development of criminal appeals than an attempt to provide an orderly statement of the jurisdiction of the Court and its powers. Nevertheless, it has been accepted that s 8 is a "special provision" for the purposes of s 6, and that a new trial is appropriately ordered on the application of the Director.
5 In King v The Queen [1986] HCA 59; 161 CLR 423, Murphy J, dissenting, stated that a new trial "should only be ordered where it would more adequately remedy the miscarriage of justice than any other order the court is empowered to make" and that the "onus rests squarely on the prosecution to show the court that a new trial is the most appropriate remedy": at 426. Dawson J noted that the section laid down the conditions for its own application and that it conferred a broad discretion: at 433.
6 The approach of Murphy J has not been followed. For example, in Spies v The Queen [2000] HCA 43; 201 CLR 603 a new trial was ordered despite the fact that the appellant had already served the sentence for the particular offence and that it was "unthinkable" that, if convicted, he would receive any additional punishment. The joint judgment (Gaudron, McHugh, Gummow and Hayne JJ) stated:
"[103] … That being so, it seems prima facie oppressive to put the appellant to the expense and worry of another trial which, on the evidence of the previous trial, is likely to take about ten days. On the other hand, the case against the appellant … seems a strong one. If this Court were now to refuse to order a new trial of that charge, the appellant would be acquitted of all charges. In addition, members of the commercial community as well as the general public have a vital interest in ensuring that directors who abuse their office and breach the criminal or company law do not escape conviction."
[104] Unless the interests of justice require the entry of an acquittal, an appellate court should ordinarily order a new trial of a charge where a conviction in respect of that charge has been set aside but there is evidence to support the charge. In the present case, given the competing considerations, it cannot be said that the interests of justice require that the appellant be acquitted …. That being so, it is a matter for the prosecuting authority to determine whether in all the circumstances there should be a further trial …."
7 One question raised by these provisions is whether this Court is limited to the alternative of directing an acquittal or ordering a new trial. An intermediate possibility may be to quash a conviction and leave it to the Director of Public Prosecutions to determine whether to place the appellant before a jury for a second trial. Gerakiteys v The Queen [1984] HCA 8; 153 CLR 317 appears to be authority for the proposition that such a course was available and that this Court need not direct a verdict of acquittal in circumstances where it was inappropriate to order a new trial.
8 However, this Court has explained a number of cases, including Fowler (see below) in the High Court, where an appeal was allowed and a conviction quashed, but no new trial ordered or verdict of acquittal directed, as involving in each case an "oversight": Regina v Pedrana [2001] NSWCCA 66; 123 A Crim R 1 at [71]-[77] (Ipp AJA, Wood CJ at CL and Simpson J agreeing).
9 It is well-established that a new trial should not be ordered if the evidence presented to the jury on the first trial was inadequate to support a conviction: Andrews v The Queen [1968] HCA 84; 126 CLR 198 at 211; Director of Public Prosecutions (Nauru) v Fowler [1984] HCA 48; 154 CLR 627 at 630.
10 Where the evidence satisfies the test of sufficiency, the discretionary power to grant a new trial is properly engaged. As explained by O'Connor J in Peacock v The King [1911] HCA 66; 13 CLR 619 at 675:
"In exercising the discretion given by the Statute the interests, not only of the prisoner, but of the efficient administration of justice ought to be considered, always providing that no injustice is done to the accused. In this case there was … ample evidence to justify a verdict of guilty, if the jury thought fit to come to that finding on the evidence. If it were not for the misdirection as to the prisoner's statement, the verdict of the jury could not in my opinion have been disturbed."
11 A similar approach was adopted by the High Court in Fowler at 630. That course should be applied in the present circumstances. For the reasons given by Howie J, there was evidence which would, absent the misdirection, have entitled the jury to convict.
12 The power being properly engaged, it is necessary to consider whether other factors militate for or against such an order. First, although there has been a significant lapse of time since the offences were committed, that did not render the initial trial unfair to the appellant and similarly would not preclude him properly being put before a second jury.
13 Secondly, by the time of his release on bail, the appellant had served a little more than 18 months of his sentence and had a little less than a year to serve of his non-parole period on count 1. The sentence on count 3 was cumulative by a period of six months and he had, accordingly, served a little over a year of the non-parole period of two years, six months imposed with respect to count 3. In each case there remained a balance of term of two years which, in relation to count 3 would have expired on 22 April 2013.
14 The fact that a significant part of the sentence on each count has been served is a factor weighing against the order of a retrial: see The Queen v Taufahema [2007] HCA 11; 228 CLR 232 at [55] (Gummow, Hayne, Heydon and Crennan JJ). However, as explained in Spies, even completion of the sentence is not conclusive against an order for a new trial.
15 Thirdly, the first trial was brief, the evidence being completed within two days, and any retrial may be expected to be of similar duration.
16 Fourthly, in some circumstances it may be relevant to inquire as to whether the error at the first trial was one for which the prosecution was responsible: Taufahema at [51]. Although there was debate between the trial judge and counsel as to the legal requirements relating to jury directions, this is not a case in which responsibility for error should be apportioned or treated as significant. There is a material difference between the circumstance which arises where the prosecution has deliberately presented a case on an erroneous basis and one where a legal question has been wrongly decided, resulting in a misdirection. In the former case, as Taufahema illustrates, there is a real risk that the Director is seeking a retrial in order to run a different case, in itself a highly relevant factor.
17 Fifthly, it has been treated as a relevant consideration militating against an order for a retrial that the appellant has been released from custody following a successful appeal: Taufahema at [55], referring to Everett v The Queen [1994] HCA 49; 181 CLR 295 at 302, although the Court was there dealing with a discretionary decision to grant leave to the prosecution to appeal against inadequacy of sentence. It is doubtful whether this factor is entitled to great weight, although it might be an element of potential prejudice to the appellant in having to face the stress and ordeal of a second trial.
18 Finally, it should be noted that the transitional provision of the Criminal Procedure Act 1986 (NSW), discussed by Howie J, will have the effect that the direction required by Longman v The Queen [1989] HCA 60; 168 CLR 79 would operate in a new trial, as it should have operated in the first trial.