Case law
30Although, both before the primary judge and in this Court, the parties analysed the existing authorities with respect to s 114, there is no appellate court decision which is inconsistent with the construction taken above and, for the most part, the supposed inconsistencies between judgments disappear when account is taken of the precise act of identification to which objection had been raised. (Some authorities remain unclear as to the principle stated because the act of identification in question was not specified.) It is, however, convenient to note two cases which illustrate the approach adopted above.
31As already noted, Taufua is authority in this Court that an in-court identification will fall within the terms of s 114. A witness, Mr Little, was permitted to identify the defendant in court, without any identification parade being held. There was a question as to whether, for that purpose, an identification parade would not have been reasonable, because Mr Little was in fact recognising a man he had seen at the station on a number of occasions over a period of time and of whom he had given a general description in his evidence. Consistently with Trudgett, Barr J held that this was not prior identification evidence, it being a matter for the jury to make the link, if they saw fit, between Mr Little's description of the man and the defendant. It was implicit in this consideration that the Court accepted that an identification could occur in-court or out-of-court.
32The second case, which illustrates the importance of specifying the act of identification in question, is DPP v Donald [1999] NSWSC 949. Bell J, hearing an appeal from the Local Court, succinctly noted the relevant circumstances as follows:
"[4]Ms Flinders was robbed by three young women on or about 12 November 1998. On 28 November 1998 Ms Flinders was driving her car when she saw two young women, the defendants in the present proceedings; she recognised those two young women as two of the three women who had earlier robbed her. She reported the matter to the police. ...
[5]The evidence of Ms Flinders as to her identification of the two women was held by the Magistrate to be inadmissible ....
...
[7]The identification, upon which the prosecution relied, was the act of identification prior to the arrest of the two defendants. It was not possible for the police to have held an identification parade prior to that time."
33Apart from setting out the orders, the full judgment is less than one page. Having referred to the relevant act of identification the subject of the impugned evidence, the reasoning was straightforward. The only excursus not set out above was to note that had an identification been made at a parade, there might have been a suggestion of contamination by her earlier identification, thus rendering the identification parade not reasonable. Nothing more needed to be said. Although both the magistrate and the primary judge were taken to Donald, neither adopted the straightforward approach which it revealed.
34HOEBEN JA:
Nature of proceedings
This is an application for leave to appeal from a decision of Davies J in Director of Public Prosecutions (NSW) v Walford [2011] NSWSC 759. In that matter his Honour allowed an appeal by the DPP from a decision of a magistrate in which the magistrate excluded evidence of visual identification because the police had not conducted an identification parade. The appeal was heard concurrently with the application for leave to appeal.
35In the Local Court the applicant had been charged with breaching an apprehended violence order by entering an apartment complex where the complainant lived. Unusually, given the nature of the charge, there was no significant prior relationship between the applicant and the complainant. When the complainant spoke to the police, she told them that it was the applicant who had committed the offence.
36Central to this application for leave to appeal is the interpretation of s 114 Evidence Act 1995 (NSW) (the Act).
37The relevant provisions of the Act are:
"Identification evidence" is defined in the dictionary to the Act as:
"(a)An assertion by a person to the effect that a defendant was, or resembles (visually, aurally or otherwise) a person who was, present at or near a place where:
(i)the offence for which the defendant is being prosecuted was committed, or
(ii)an act connected to that offence was done,
at or about the time at which the offence was committed or the act was done, being an assertion that is based wholly or partly on what the person making the assertion saw, heard or otherwise perceived at that place and time, or
(b)A report (whether oral or in writing) of such an assertion."
38Section 114 of the Act provides:
"114(1) In this section
"visual identification evidence" means identification evidence relating to an identification based wholly or partly on what a person saw but does not include picture identification evidence.
(2) Visual identification evidence adduced by the prosecutor is not admissible unless:
(a) an identification parade that included the defendant was held before the identification was made, or
(b) it would not have been reasonable to have held such a parade, or
(c) the defendant refused to take part in such a parade,
and the identification was made without the person who made it having been intentionally influenced to identify the defendant.
(3) Without limiting the matters that may be taken into account by the court in determining whether it was reasonable to hold an identification parade, it is to take into account:
(a) the kind of offence, and the gravity of the offence, concerned, and
(b) the importance of the evidence, and
(c) the practicality of holding an identification parade having regard, among other things:
(i) if the defendant failed to cooperate in the conduct of the parade-to the manner and extent of, and the reason (if any) for, the failure, and
(ii) in any case-to whether the identification was made at or about the time of the commission of the offence; and
(d) the appropriateness of holding an identification parade having regard, among other things, to the relationship (if any) between the defendant and the person who made the identification.
(4) It is presumed that it would not have been reasonable to have held an identification parade if it would have been unfair to the defendant for such a parade to have been held.
(5) If:
(a) the defendant refused to take part in an identification parade unless an Australian legal practitioner or legal counsel acting for the defendant, or another person chosen by the defendant, was present while it was being held, and
(b) there were, at the time when the parade was to have been conducted, reasonable grounds to believe that it was not reasonably practicable for such an Australian legal practitioner or legal counsel or person to be present,
it is presumed that it would not have been reasonable to have held an identification parade at that time.
(6) In determining whether it was reasonable to have held an identification parade, the court is not to take into account the availability of pictures or photographs that could be used in making identifications."
Factual background
39On 10 December 2009 the applicant was alleged to have assaulted the complainant at a gathering at a mutual friend's house. The applicant and the complainant did not know each other before that date.
40As a result of the alleged assault, the applicant was arrested and the police applied for, and were granted, a provisional apprehended violence order in respect of the applicant for the protection of the complainant. One of the conditions of the provisional AVO was that the applicant not go within a hundred metres of the premises at which the complainant might from time to time reside or work, or other specified premises being an address in Dubbo. The provisional AVO became an interim AVO by virtue of an order of the Dubbo Local Court on 24 February 2010.
41On 25 March 2010 the complainant informed the police that the applicant had breached the AVO by approaching her residential apartment block and looking towards her apartment on the day of the complaint. She had observed the applicant from a neighbour's apartment next door to her apartment.
42The applicant was subsequently arrested on 20 October 2010 and charged with knowingly contravening a prohibition specified in an apprehended violence order. The charge came on for a defended hearing on 25 January 2011 at the Dubbo Local Court. At the outset of the proceedings, the applicant's solicitor informed the court that identification was the issue.
43Objection was taken, pursuant to s 114 of the Act, to the complainant giving identification evidence. As a result of the objection, the evidence of the complainant was taken on a voir dire. The complainant described the assault that led to the imposition of the AVO. She then gave evidence to the effect that she had seen the person who assaulted her, i.e. the applicant, outside the apartment block where she resided. This worried her and she called the police.
44At the conclusion of the voir dire, the magistrate rejected the applicant's evidence on the basis that it was prohibited by s 114. The precise basis for the learned magistrate's decision is hard to discern from the reasons. What his Honour seems to have done is to interpret s 114 as imposing a requirement in every case for an identification parade, unless it was not reasonable to conduct one. Once this evidence was excluded, it was inevitable that the charge would be dismissed.
Proceedings before Davies J
45The respondent (the DPP) appealed, pursuant to s 56(1)(c) of the Crimes (Appeal and Review) Act 2001 against the order of the learned magistrate dismissing the charge. The DPP sought an order, pursuant to s 59(2) of that Act, setting aside the order of dismissal and remitting the proceedings to the Dubbo Local Court to be determined according to law.
46When the matter came before Davies J, the error of law on the part of the learned magistrate was not clearly articulated. The matter proceeded before his Honour on the basis that the learned magistrate had misinterpreted, and therefore misapplied, s 114 of the Act when rejecting the complainant's visual identification evidence.
47The argument before Davies J was run on the following basis. The DPP submitted that because the complainant had asserted to the police that the person who approached her flat was the applicant, the identification had taken place at that point in time so that it would not have been reasonable to have held an identification parade. It would have been impossible to have held an identification parade before that identification was made.
48The applicant submitted that the words "before the identification was made" in s 114(2)(a) should not be read literally, but in the context of the whole of that part of the Evidence Act, with particular reference to the warnings that are required to be given in s 116. If that approach were followed, the applicant submitted that the words should be interpreted to mean "before the relevant witness gives visual identification evidence in court". The applicant submitted that if the words were read literally, an identification parade would never be necessary in a case involving "recognition evidence". This was because it would never be reasonable to hold a parade before the identification was made since the police would never know that the recognition was to occur. The applicant submitted that the words in s 114(3)(d) - "the relationship (if any) between the defendant and the person who made the identification" would be meaningless and would have no work to do.
49Davies J rejected the applicant's interpretation. He did so on three bases:
(1)An important consideration was the time at which any identification of the applicant was made. The evidence of the complainant was that the person who approached the apartment block was the applicant. His Honour concluded that such an assertion amounted to an identification by the complainant of the applicant. That assertion was made to the police on 25 March 2010 and having been made at that time, i.e. at or about the time of the commission of the offence, it was an inescapable conclusion that it would not have been reasonable to have held an identification parade.
(2)A literal reading of the words "before the identification was made" was supported by the remainder of the section. That the "identification" was not referring simply to the identification given in evidence at the hearing, was supported by s 114(3)(c)(ii) which expressly envisaged that the identification could be made out of court and at about the time of the commission of the offence.
(3)A number of decisions supported the construction of the section put forward by the DPP. Those cases were DPP v Donald and Anor [1999] NSWSC 949 (Bell J), R v Thomason [1999] ACTSC 112 (Miles CJ) and R v D [2008] ACTSC 82 (Penfold J). There was only one decision which expressly adopted the applicant's interpretation, R v Taylor [2008] ACTSC 52 (Rares J). Davies J declined to follow the approach in Taylor on the basis that it involved a misreading of
s 114.
50Davies J summarised the basis for his conclusion as follows:
"36In my opinion the scheme of the section is understood by looking to when the "identification" is first made by the witness. In that regard the "identification" is to be contrasted with the "identification evidence". If the witness has made an out-of-court identification it is at that time at which the reasonableness of holding the identification parade is to be considered. If the identification is made at or about the time of the commission of the offence the Court will have to consider whether it was not reasonable to have held a parade. If the identification was made at the time of the commission of the offence (e.g. a witness telephoning the police and identifying the person), it will clearly not have been reasonable to hold a parade because it will not have been practicable to do so. The words "or about the time of the commission of the offence" are sufficiently elastic that they may embrace more than minutes or even hours, and in some cases a few days where the investigation is lengthy. In such cases it will not have been impossible to hold such a parade and the matters in sub-s (3)(c)(ii) will need to be considered in determining whether it was not reasonable to hold one."
Application for leave to appeal and appeal
51The draft Notice of Appeal set out five grounds of appeal. They all raised the central issue of the construction of s 114 and in particular, s 114(2) and the meaning of the words "the identification" in s 114(2)(a) and of the words "such a parade" as used in s 114(2)(b) and (c).
52In oral submissions to this Court, the applicant eschewed any reliance upon Taylor's case. He submitted that he was prepared to accept that the word "identification" in subs (2)(a) could include an out of court identification but that the words "such a parade" as used in subs (2)(b) and (c) only referred to "an identification parade that included the defendant", i.e. the temporal element in subs (2)(a) was not included. The applicant submitted that this was the error in the approach of Davies J and in the cases upon which he relied, in particular R v D.
53The applicant submitted that support for this approach was provided by such cases as Regina v Ford (NSWSC, unreported, 22 April 1998 - Barr J) and R v Buchanan [2004] NSWSC 816; 152 A Crim R 302 (Buddin J).
54I have concluded that the decision of Davies J is correct.
55Before addressing the submissions put to this Court, I need to say something about the approach in Taylor. I have concluded that the word "identification" as used in s 114(2)(a) does not refer to the giving of visual identification evidence in court but to "the act of identifying the defendant in some way as the person whom the witness could link in some way to the offence (that is making an assertion of the kind described in paragraph (a) of the definition of "identification evidence" in the dictionary to the Evidence Act)" (R v D at [12]).
56In Taylor Rares J said:
"25 ...I am of opinion that the words "an identification" as used in s 114(1) apply to the identification, the subject of the identification evidence; that is the in court assertion that the accused was the person relevantly at the crime scene at the relevant time. Likewise, I am of opinion that when s 114(2)(a) refers to the requirement that an identification parade, including the defendant, be held "before the identification was made", it is referring to such a parade occurring prior to the giving of the identification evidence as defined in the dictionary to the Act. It is common ground that no identification parade was ever held or, ... contemplated ...
26 The Crown suggested that it would have been unreasonable to have held such a parade for two reasons. First, the Crown said that the contemporaneous identification made by each of the witnesses precluded any utility in, or practical ability to hold, an identification parade prior to the police ever knowing about the circumstances of the offence which the two witnesses were alleged to be observing.
27I reject that argument on the basis of the construction I have given to s 114(2)(a). That permits the identification parade to be held at any time prior to the witness entering the witness box."
57With all due respect to his Honour's approach, there are a number of difficulties with that interpretation. His Honour's approach was based, to a large extent, on the decision of R v Taufua (NSWCCA, unreported, 11 November 1996). In that case, Barr J (with whom Priestley AP and James J agreed) found that "evidence of in court identification made before a jury at a trial was visual identification evidence for the purposes of s 114".
58Taufua involved an armed robbery by several men. A witness before the trial described a man whom he had seen in the company of another of the robbers, Mr Price, whom the witness knew well and whose identity was not in issue. At trial the witness gave evidence that on the day of the robbery he had seen this man with Mr Price and that the two men had demanded money and the other man had threatened the witness with a knife. The witness identified the accused as the man he had seen with Mr Price on the day of the robbery.
59An identification parade was held but the witness had been late and had not attended. He had not previously formally identified anyone as being the second man he had seen on the day of the robbery. Accordingly, his identification in court of the accused as the man he had seen on the day of the robbery in the company of Mr Price, was the first time the witness had identified the accused as the man he had been describing.
60Barr J found that the identification was made only when the witness came to court. Barr J said at p 4:
"One may test the matter by asking whether before his in-court identification of the appellant Mr Little gave any visual identification evidence. The answer must be no. His evidence was of seeing a man in the circumstances I have mentioned whom he had seen a number of times before. The man's appearance was like the appellant's (if the jury should think that Mr Little's description corresponded with their own observations). That was evidence of circumstances consistent with the appellant's being the second man, but it did not identify him. Without the question and answer objected to there was nothing to link the evidence of what Mr Little saw at the railway station with the appellant as opposed to anybody else of that general description. That link was necessary before the evidence could be described as identification evidence - cf. the definition in the dictionary."
61Since the identification in court was the identification evidence which was challenged and since there had been no identification parade, Barr J considered whether it would not have been reasonable to hold an identification parade before the identification was made in court. Barr J concluded that it was reasonable to have conducted an identification parade.
62The questions for the court in Taufua were: when the identification was made for the purpose of s 114(2)(a) and once it was decided that the identification was made in court during the trial, whether that took the identification out of the scope of s 114(2)(a). The court decided that the identification was not made until during the trial and that s 114(2) applied in such a case. What the court did not decide was that any identification parade before the trial would satisfy s 114(2)(a) regardless of when the witness actually made the assertion that constituted the identification. It follows that Taufua does not support the interpretation of s 114(2)(a) in Taylor.
63There are other considerations which raise problems concerning the approach to s 114 in Taylor. There is a clear distinction in s 114(1) between "identification evidence" and "an identification". Similarly, the distinction between "visual identification evidence adduced ..." in s 114(2) and "before the identification is made" in s 114(2)(a) must also be intended to distinguish the identification evidence from the making of the identification. Finally, the reference in s 114(3)(c)(ii) to "whether the identification was made at or about the time of the commission of the offence" indicates that "the identification ... made" in that subsection does not mean "identification evidence given at the trial". Such evidence could never be given "at or about the time of the commission of the offence".
64As a matter of basic statutory construction, words such as "identification" should be given the same meaning when used in the same section. The interpretation of "identification" in Taylor would, however, give the word a different meaning when used in subs 114(2)(a) to that which it has elsewhere in the section.
65Finally, the interpretation of s 114(2)(a) in Taylor fails to give to the words "the identification" their normal and usual meaning. The alternative interpretation has been applied in DPP v Donald; R v Thomason; R v Reed and Carberry [2003] ACTSC 6 and R v D. The interpretation in Taylor has not been applied in any other decision of a superior court.
66In DPP v Donald and Anor, s 114 was considered by Bell J, who said:
"7The identification, upon which the prosecution relied, was the act of identification prior to the arrest of the two defendants. It was not possible for the police to have held an identification parade prior to that time.
...
10 Under s 114(2)(a) and subject to sub-paras (b) and (c), evidence of identification will not be admissible unless an identification parade was held "before the identification was made". The identification upon which the prosecution relied was made when Ms Flinders first saw the defendants on 28 November. Having regard to this circumstance it is an irresistible conclusion that s 114(2)(b) applied and the evidence of Ms Flinders as to visual identification was not rendered inadmissible for the want of an identification parade.
11I consider there is considerable force in the submissions advanced by Mr Berman, who appears on behalf of the informant, that had the police arranged an identification parade following the arrest of the two defendants any identification made at that parade by Ms Flinders might be said to have been contaminated by her earlier identification of the two women: Alexander v Queen (1981) 145 CLR 359 at 409; R v Carusi (1997) 192 A Crim R 52 at 55; and R v Clarke (1998) 97 A Crim R 414."
67R v D was decided after Taylor. Penfold J, when construing s 114 reached the same conclusion as Bell J in Donald. Not only did Penfold J expressly reject the interpretation of "the identification" in s 114(2)(a) applied in Taylor, but she carefully examined the rationale underpinning the interpretation in Taylor (persuasively in my opinion) and demonstrated why that interpretation was wrong.
68I have concluded that the interpretation of s 114 of the Act in Taylor is wrong and should not be followed.
69Having abandoned any reliance upon Taylor, the applicant's submission in this Court was that the words "such a parade" as used in s 114(2)(b) and (c) were to be read as if they incorporated the words "an identification parade that included the defendant". No justification was provided as to why the whole of s 114(2)(a) should not be incorporated into the words "such a parade".
70I can see no reason why the temporal element in s 114(2)(a) should not be included in the words "such a parade". As a matter of statutory instruction, the incorporation of the concept is warranted but its exclusion is not. On that approach, s 114(2)(b) would read "It would not have been reasonable to have held an identification parade that included the defendant before the identification was made". That was the approach which was followed by Penfold J in R v D. It is, with respect, the correct approach.
71In order to test the correctness of the applicant's submission, the following syllogism was put to counsel by the Court. The syllogism assumed, as was accepted by the applicant, that the words "the identification" in s 114(2)(a) could refer to an out of court identification.
(i)If there were an identification parade held after the first identification, s 114(2)(a) would not be satisfied.
(ii)In such a circumstance, s 114(2)(b) would not be satisfied because an identification parade was actually held.
(iii)Similarly s 114(2)(c) would not be satisfied because the defendant had participated in the identification parade.
In those circumstances, the identification evidence would not be admissible. That is an absurd result and is indicative of error in the interpretation submitted by the applicant.
72The applicant submitted that the interpretation of s 114 upon which he relied was consistent with the decisions in Ford and Buchanan. He submitted that in neither case had Barr J or Buddin J made reference to the time at which identification had first taken place. Rather their Honours had gone straight to the question of whether it would not have been reasonable to have held an identification parade that included the defendant.
73It is true that neither Barr J in Ford nor Buddin J in Buchanan made reference to the time at which the identification had first been made. Had their Honours done so, however, the same result would have eventuated, i.e. the visual identification evidence would have been admissible. What seems to have occurred in those cases was that the factual evidence as to the unreasonableness of conducting an identification parade was so compelling that their Honours went straight to that issue, rather than fully analysing the section.
74Put at its highest from the applicant's point of view, it can be said that those two decisions while not supporting expressly his interpretation of s 114 are not inconsistent with it. Equally, they are not inconsistent with the interpretation which incorporates all of s 114(2)(a) into the parade referred to in s 114(2)(b) and (c).
75I have concluded that the interpretation of s 114(2)(b) relied upon by the applicant, which ignores the temporal element in s 114(2)(a) is not correct. It follows that the challenge to the decision of Davies J has not been made out and that the appeal against his decision fails.
76I would grant leave to appeal but dismiss the appeal.
As agreed, there will be no order as to costs.