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[2002] HCA 55
High Court of Australia
2002-12-05
Muir J, Gleeson CJ, Hayne JJ, Hayne J
Original judgment source is linked above.
M J Byrne QC for the applicant (instructed by the Director of Public Prosecutions (Queensland))
M J Griffin SC with P J Davis for the respondent (instructed by Legal Aid Office (Queensland))
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 - Perjury - Accused at murder trial denies in evidence that he killed the deceased - Accused acquitted of murder and subsequently indicted for perjury in relation to sworn statement - Whether perjury charge undermined accused's acquittal of earlier charge of murder - Whether perjury charge infringed common law rule against "double jeopardy".
Criminal law - Double jeopardy - Res judicata - Issue estoppel - Autrefois acquit - Preclusion.
Practice and procedure - Power of court to stay indictments for abuse of process - Whether perjury indictment should have been stayed as an abuse of process.
Criminal Code (Q), ss 17, 123, 584, 592A, 598, 602, 631.
"It is a defence to a charge of any offence to show that the accused person has already been tried, and convicted or acquitted upon an indictment on which the person might have been convicted of the offence with which the person is charged, or has already been acquitted upon indictment, or has already been convicted, of an offence of which the person might be convicted upon the indictment or complaint on which the person is charged."
This section, which appears in Ch III of the Code, entitled "Application of Criminal Law", must be read in light of the provisions of s 16 that:
"A person cannot be twice punished either under the provisions of this Code or under the provisions of any other law for the same act or omission, except in the case where the act or omission is such that by means thereof the person causes the death of another person, in which case the person may be convicted of the offence of which the person is guilty by reason of causing such death, notwithstanding that the person has already been convicted of some other offence constituted by the act or omission."
These two provisions, taken together, can be understood as giving effect to at least some aspects of the rules commonly encompassed by the expression "double jeopardy".
"The expression 'double jeopardy' is not always used with a single meaning. Sometimes it is used to refer to the pleas in bar of autrefois acquit and autrefois convict; sometimes it is used to encompass what is said to be a wider principle that no one should be 'punished again for the same matter'[11]. Further, 'double jeopardy' is an expression that is employed in relation to several different stages of the criminal justice process: prosecution, conviction and punishment."
As was also pointed out in Pearce[12], because double jeopardy is an expression used in connection with several different stages of the process of criminal justice and because there are other (sometimes competing) forces at work in the area, the treatment of double jeopardy has not always been clearly based on identified principles. As the criminal law has become more complex, it has become even more important to examine those principles upon which the disparate principles encompassed by the expression double jeopardy are based if it is said that one or more of those principles is engaged in a particular case.
"Any determination of disputable fact may, the law recognises, be imperfect: the law aims at providing the best and safest solution compatible with human fallibility and having reached that solution it closes the book. The law knows, and we all know, that sometimes fresh material may be found, which perhaps might lead to a different result, but, in the interest of peace, certainty and security it prevents further inquiry. It is said that in doing this, the law is preferring justice to truth. That may be so: these values cannot always coincide. The law does its best to reduce the gap. But there are cases where the certainty of justice prevails over the possibility of truth … and these are cases where the law insists on finality."
"A man ought not to be tried for a second offence which is manifestly inconsistent on the facts with either a previous conviction or a previous acquittal. And it is clear that the formal pleas which a defendant can claim as of right will not cover all such cases. Instead of attempting to enlarge the pleas beyond their proper scope, it is better that the courts should apply to such cases an avowed judicial discretion based on the broader principles which underlie the pleas." (emphasis in original)
"in criminal proceedings an earlier acquittal cannot be re‑litigated (R v Storey[52]), though a prosecution for perjury may be maintained in respect of the giving of false evidence which secured that acquittal".
"That on the eighth day of March, 1985 at Brisbane in the State of Queensland, RAYMOND JOHN CARROLL in a judicial proceeding, namely the trial of RAYMOND JOHN CARROLL for the murder of one DEIDRE MAREE KENNEDY knowingly gave false testimony to the effect that he, RAYMOND JOHN CARROLL did not kill the said DEIDRE KENNEDY, and the false testimony touched a matter which was material to a question then depending in the proceeding."
The phrases emphasised followed the terms of s 123(1)[57].
"(1) If the Crown has presented an indictment before a court against a person, a party may apply for a direction or ruling, or a judge of the court may on his or her initiative direct the parties to attend before the court for directions or rulings, as to the conduct of the trial.
(2) Without limiting subsection (1) a direction or ruling may be given in relation to -
(e) deciding questions of law including the admissibility of evidence and any step that must be taken if any evidence is not to be admitted".
"It is a defence to a charge of any offence to show that the accused person has already been tried, and convicted or acquitted upon an indictment on which the person might have been convicted of the offence with which the person is charged, or has already been acquitted upon indictment, or has already been convicted, of an offence of which the person might be convicted upon the indictment or complaint on which the person is charged."
"if the evidence at the perjury trial was substantially identical with that at the earlier trial, the rule against double jeopardy would be infringed and the prosecution would amount to an abuse of process".
Williams JA analysed the evidence adduced during the perjury trial and concluded that it did not constitute "substantial" or "significant" new evidence that the respondent had killed Deidre Kennedy[74]. His Honour said[75]:
"The prosecution case on the perjury trial was essentially a re‑trial for murder based on odontological evidence from a fresh set of witnesses, asking the jury to disregard contrary opinion from the odontological experts called at the first trial where the basic data on which each opinion was based was the same."
It was said to follow that the "principle of double jeopardy" had been "substantially breached"[76]. Williams JA said[77]:
"In essence, the prosecution set out to prove that the appellant murdered the child by calling different witnesses but without there being any new substantive acceptable evidence to that led at the original trial."
On this basis, the Court of Appeal held that the trial should have been stayed as an abuse of process[78].
Perjury and the testimonial competence of the accused
"[T]he common law right or privilege to make an unsworn statement, which had grown from the practice of judges of allowing a prisoner to do so because he could not give evidence on oath and, except in certain cases, was not allowed to be defended by counsel. Then, when permitted to be represented by counsel a conflict arose as to his right to make a statement when defended but this conflict seems to have been eventually resolved in favour of his right to do so."
The 1892 Act contained no express provision preserving the privilege, but thereafter it was exercised[84] until recent times[85]. However, at common law, only statements made by a competent witness under a duly administered oath could be subject of a perjury charge[86]. The better view was that the unsworn statement was not to be regarded as evidence[87].
"In a criminal proceeding, each person charged is competent to give evidence on behalf of the defence (whether that person is charged solely or jointly with any other person) but is not compellable to do so."
"It is immaterial whether the person who gives the testimony is a competent witness or not, or whether the testimony is admissible in the proceeding or not."
It appears never to have been decided whether s 123 contains sufficiently clear words to alter the nature of the benefit which the availability of an unsworn statement historically conferred upon an accused person[89].
"(1) Any person who in any judicial proceeding, or for the purpose of instituting any judicial proceeding, knowingly gives false testimony touching any matter which is material to any question then depending in that proceeding, or intended to be raised in that proceeding, is guilty of a crime, which is called 'perjury'.
(2) It is immaterial whether the testimony is given on oath or under any other sanction authorised by law.
(3) The forms and ceremonies used in administering the oath or in otherwise binding the person giving the testimony to speak the truth are immaterial, if the person assents to the forms and ceremonies actually used.
(4) It is immaterial whether the false testimony is given orally or in writing.
(5) It is immaterial whether the court or tribunal is properly constituted, or is held in the proper place, or not, if it actually acts as a court or tribunal in the proceeding in which the testimony is given.
(6) It is immaterial whether the person who gives the testimony is a competent witness or not, or whether the testimony is admissible in the proceeding or not.
(7) The offender cannot be arrested without warrant."
"[t]his never could have been the contemplation of congress in allowing a defendant to be sworn in his own behalf."
"The only real issue is whether he told a lie when in that trial he said he did not kill Deidre Kennedy. If he did kill Deidre Kennedy, you may think it plain that that was something well-known to him. If you conclude that it is not established beyond reasonable doubt that he did kill Deidre Kennedy, it follows that it has not been proved beyond reasonable doubt that the accused gave false testimony and the verdict must be not guilty."
"If, however, the false swearing, like in the case at bar, is as to a subordinate evidential matter, and not a mere general denial of the entire charge, an indictment for perjury may be upheld, notwithstanding the prior acquittal."
In Chitwood, a post office clerk had been acquitted of stealing certain letters; he had testified that he had not read or understood a purported signed confession. The Court held that the acquittal and perjury in testifying about the confession were not necessarily inconsistent.
"It is only when an issue of ultimate fact or an element essential to conviction has once been determined by a final judgment in a criminal case that the same issue cannot be relitigated."
. To prove a charge of perjury, the Crown does not have to prove that the false evidence must or may have caused the tribunal to acquit the accused. What must be proved to establish the offence is that false evidence was given knowingly and was material to a question at issue[148].
. The doctrines of autrefois acquit and res judicata do not apply to prevent the prosecution for perjury[149].
. The evidence that the Crown would call was significantly different from and stronger than the evidence at the trial and was not an abuse of process[150].
"The only real issue is whether he told a lie when in that trial he said he did not kill Deidre Kennedy. If he did kill Deidre Kennedy, you may think it plain that that was something well-known to him. If you conclude that it is not established beyond reasonable doubt that he did kill Deidre Kennedy, it follows that it has not been proved beyond reasonable doubt that the accused gave false testimony and the verdict must be not guilty."
"The rule against double jeopardy requires for its application not only an earlier proceeding in which the defendant was exposed to the risk of a valid conviction for the same offence as that alleged against him in the later proceedings but that the earlier proceeding should have resulted in his discharge or acquittal." (emphasis added)
"The courts cannot contemplate for a moment the transference to the Executive of the responsibility for seeing that the process of law is not abused."
"The relevant principle is that the acquittal may not be questioned or called in question by any evidence which, if accepted, would overturn or tend to overturn the verdict."
"That the applicant was not guilty of the former charge because acquitted of it is a matter which passed into judgment: it is res judicata. It is upon that principle and not upon any issue estoppel that the applicant succeeds. Here, if the Crown had sought to establish by the evidence of the prosecutrix an indictment that the applicant had raped her on the occasion in November 1975, he could have pleaded autrefois acquit and thus precluded the reception of any such evidence. Here, of course, he was not indicted in respect of the intercourse in November 1975: and the purpose of the Crown in proffering the evidence was not to secure a finding that the intercourse had been without consent. But the direct tendency of the evidence of the prosecutrix was to establish rape on the former occasion. It inevitably challenged the verdict of acquittal. It was therefore, on basic principle, without resort to any issue estoppel which might be suggested, inadmissible."
"The tendering of the confessions by the prosecution was vexatious, oppressive and unfair to the appellant in that it exposed him to re-litigation of the issue of the voluntariness of the confessional statements in the records of interview. This issue had already been conclusively decided in the appellant's favour because the confessions sought to be tendered − although relating to different crimes − were made at the same time and in exactly the same circumstances as the confessions that were the subject of the voir dire. Re-litigation in subsequent criminal proceedings of an issue already finally decided in earlier criminal proceedings is not only inconsistent with the principle that a judicial determination is binding, final and conclusive (subject to fraud and fresh evidence), but is also calculated to erode public confidence in the administration of justice by generating conflicting decisions on the same issue."
Deane and Gaudron JJ said[170] that the challenge to the judge's 1989 ruling invited "the scandal of conflicting decisions"[171] and that it jeopardised public confidence in the administration of justice.
"But the citizen must not be twice put in jeopardy, that is to say, as relevant to the present discussion, must not be placed at the risk of being thought guilty of an offence of which he has been acquitted, or of in any sense being treated as guilty. It is the use of the evidence given on the prior occasion to canvass the acquittal which, if allowed, would offend the rule against double jeopardy, giving that rule a generous application."
"Any person who in any judicial proceeding, or for the purpose of instituting any judicial proceeding, knowingly gives false testimony touching any matter which is material to any question then depending in that proceeding, or intended to be raised in that proceeding, is guilty of a crime, which is called 'perjury'.
"It is a defence to a charge of any offence to show that the accused person has already been tried, and convicted or acquitted upon an indictment on which the person might have been convicted of the offence with which the person is charged, or has already been acquitted upon indictment, or has already been convicted, of an offence of which the person might be convicted upon the indictment or complaint on which the person is charged."
"The courts should not impute to the legislature an intention to interfere with fundamental rights. Such an intention must be clearly manifested by unmistakable and unambiguous language. General words will rarely be sufficient for that purpose if they do not specifically deal with the question because, in the context in which they appear, they will often be ambiguous on the aspect of interference with fundamental rights."
Carter's Criminal Law of Queensland, 12th ed (2001) at 828. ↑
See R v Clegg (1868) 19 LT 47; R v Kilkenny (1890) 16 VLR 139 at 142‑143. ↑
"A Note on Unsworn Statements from the Dock", (1952) 26 Australian Law Journal 166. ↑
Edwards v Director of Public Prosecutions (Cth) (1987) 163 CLR 558. ↑
cf Edwards v Director of Public Prosecutions (Cth) (1987) 163 CLR 558 at 560. ↑
Re Bolton; Ex parte Beane (1987) 162 CLR 514; Bropho v Western Australia (1990) 171 CLR 1; Coco v The Queen (1994) 179 CLR 427; Commissioner of Australian Federal Police v Propend Finance Pty Ltd (1997) 188 CLR 501; Daniels Corporation International Pty Ltd v Australian Competition and Consumer Commission (2002) 192 ALR 561. ↑
(1998) 194 CLR 610 at 614-615 [9]-[15], 625-626 [53]-[56], 636-637 [89]-[91]. ↑
Expressed in the maxim interest reipublicae ut sit finis litium. ↑
Expressed in the maxim res judicata pro veritate accipitur. ↑
cf Abebe v The Commonwealth (1999) 197 CLR 510. ↑
Expressed in the maxim nemo debet bis vexari pro una et eadem causa. ↑
Expressed in the maxim transit in rem judicatam. ↑
See Friedland, Double Jeopardy, (1969) at 159‑160; Note, "Perjury by Defendants: The Uses of Double Jeopardy and Collateral Estoppel", (1961) 74 Harvard Law Review 752 at 754-755. ↑
Law Commission, Double Jeopardy and Prosecution Appeals, (2001), Cm 5048. See Roberts, "Double Jeopardy Law Reform: A Criminal Justice Commentary", (2002) 65 Modern Law Review 393. ↑
Law Commission, Acquittal Following Perversion of the Course of Justice, Report No 70, (2001). ↑
cf H M Advocate v Cairns 1967 SLT 165 at 169. ↑
Grdic v The Queen [1985] 1 SCR 810. See also Gushue v The Queen [1980] 1 SCR 798. ↑
See, for example, Boyles v Alaska 647 P 2d 1113 (1982). See generally Note, "Perjury by Defendants: The Uses of Double Jeopardy and Collateral Estoppel", (1961) 74 Harvard Law Review 752 at 757‑764. ↑
The principles for the determination whether two charges constitute "the same offence" were considered in United States v Dixon 509 US 688 (1993); cf the principle of "double criminality" in extradition law: Riley v The Commonwealth (1985) 159 CLR 1 at 15‑20. ↑
(1994) 181 CLR 251 at 254-255, 278. See also R v Storey (1978) 140 CLR 364 at 372, 388, 400‑401. ↑
Blackstone, Commentaries, (1769) (1966 reprint), bk 4, c 26 at 329. ↑
Friedland, Double Jeopardy (1969) at 3-4. cf Rogers v The Queen (1994) 181 CLR 251 at 273. ↑
Rogers v The Queen (1994) 181 CLR 251 at 273. ↑
Connelly v Director of Public Prosecutions [1964] AC 1254 at 1353. ↑
Rogers v The Queen (1994) 181 CLR 251 at 273. ↑
The Queen
Carroll
[2001] QCA 394
(1998) 194 CLR 610
(1992) 28 NSWLR 502
(1994) 181 CLR 251
(1948) 77 CLR 511
(1956) 96 CLR 62
(1978) 140 CLR 364
(1977) 139 CLR 437
(1992) 67 ALJR 170
(1993) 177 CLR 378
(1979) 142 CLR 201
(2002) 76 ALJR 828
(2002) 76 ALJR 926
(1992) 174 CLR 509
(2000) 201 CLR 226
(1968) 119 CLR 47
(1936) 55 CLR 499
(1911) 12 CLR 622
(1998) 193 CLR 173
(1987) 163 CLR 558
(1987) 162 CLR 514
(1990) 171 CLR 1
(1994) 179 CLR 427
(1997) 188 CLR 501
(2002) 192 ALR 561
(1939) 62 CLR 464
(1994) 181 CLR 295
(1999) 199 CLR 1
(1999) 197 CLR 510
(1985) 159 CLR 1
(2002) 76 ALJR 899
(1997) 191 CLR 439
(1946) 73 CLR 583
(1940) 63 CLR 691
(1986) 6 NSWLR 246
(1976) 50 ALJR 562