CONSIDERATION
6In the present proceedings, the appellant was found guilty, convicted and sentenced for offences under s 8(1) of the Act. On appeal, it was held that the trial judge erred in law. The Full Bench found that, at trial, no acts or omissions, or sets of acts or omissions, necessary to specifiy the requisite contravention were identified by the prosecutor at any point of the proceedings until judgment and that "upon the statements of law in Kirk ", the appeal should be upheld and the convictions of the appellant quashed.
7It is useful to set out some passages of the appeal judgment from ([55] - [60]):
55 Thus, the Statement of Offence bears similar defects to that found in Lorenzo . The point of departure, however, concerns whether particularisation of requisite acts or omissions were given during the trial. There was not in this matter an identification or adequate statement by the respondent of the measures required to be taken (either as ultimately found by the trial judge or otherwise) at any stage during the course of the trial.
56 The opening address of the prosecutor and the discussion during the opening illustrates the trial was commenced by the defendant on the basis of particular 1 (having a global range). The only identifiable measures introduced by the prosecutor were those already particularised: that of a traffic management plan and a risk assessment in relation to traffic and pedestrian management at the site prior to the incident, in particular, again with respect to line haul vehicles with trailers attached when reversing to the loading docks...
57 The affidavit in support provides no further assistance to the respondent. It does not provide evidence of specific measures that the appellant should have taken so that it could defend the charge.
58 As we earlier observed, the trial judge did find an identified risk. His Honour simply made findings as to measures which the appellant should have taken to avoid the risk to its employees.
59 At para [134] in the s 28 defences section of the judgment, the trial judge says:
[134] The submission for the defendant was that as the risk was so well known, there were no other effective measures the defendant could have put in place to ensure that Mr Lloyd would not have placed himself in the area to the rear of Mr Norman's trailer.
The trial judge then proceeded to outline at least three measures that could have been taken to obviate the risk (at [135], [136] and [141]):
[135] ...A proper traffic and pedestrian management plan provided and maintained by the defendant was one measure that could have been adopted and would have removed or minimised the risk. Within the plan the defendant could have ensured that reversing procedures were kept to the absolute minimum, and that any unnecessary reversing manoeuvres eliminated.
[136]...where it was necessary for drivers to reverse, steps could have been taken to ensure that there were no pedestrians in the vicinity of the rear of the reversing trailer. This could have been achieved by a policy and practice of excluding employees who were not required to be located in the area, from being between the loading docks and the rear of the trailer
[141] Although there was dispute on the evidence as to whether STE's policy of sounding the vehicle's horn and using a spotter was, in fact, implemented at the Waverley Drive depot after the incident and prior to the move to the new STE Wollongong depot, I am satisfied that the procedure outlined in the evidence was a step that would have significantly decreased, if not eliminated, the risk.
60 None of those measures had been specified by the respondent during the trial as particulars of the charges, and emerged for the first time in the trial judgment.
8Further, in paragraphs [74] - [81] and [83] of the appeal judgment, the Full Bench made the following findings:
74 We note that the appellant contended that the charges were invalid because they did not state an identifiable risk. It is, however, unnecessary for us to further consider that matter (or the appellant's other grounds of appeal) because of the conclusion we have reached in this matter.
75 The appellant also raised some matters in relation to measures it had raised in its defence that were rejected at first instance. Again, it is unnecessary to fully assess those matters in light of the conclusions we have reached.
76 We have found that the particulars of the charges in trial at first instance did not disclose to the appellant the specific measures the defendant should have taken to obviate the risk.
77 Here there has been a procedural unfairness. The trial judge fell into error when convicting the appellants of the offences in circumstances where the charges failed to plead, either expressly or by implication, the relevant acts or omissions.
78 As this Court said in Lorenzo, the need for the provision of appropriate particulars has its roots in the requirements of procedural fairness. A defendant must be fairly informed of the charge it has to meet. Further, the structure of the Act requires that a defendant knows what measures it is alleged it did not take so that it could properly address available defences.
79 In this matter, however, we have found no acts or omissions, or set of acts or omissions, necessary to specify the requisite contravention, were identified to the appellant at any point in the proceedings, up to the conviction judgment. Upon the statements of law in Kirk, this should result in the appeal being upheld and the convictions of the appellant quashed (along with the penalties imposed upon that conviction).
80 We have had regard to the factors identified in Lorenzo as to whether orders should be made for a re-trial. We have concluded that there will be no re-trial. The Full Bench in Lorenzo decided to order a re-trial based upon a number of factors (at [87] to [89])...
81 There are, however, significant differences in this matter with respect to each of the above, as follows:
a) The offences were proven upon the basis of findings that the appellant had failed to take certain measures (to obviate or avoid an identified risk). These were not, however, measures which were at any relevant time identified to the appellant prior to conviction. Hence, the findings at trial that the offences were proven can offer no proper support for a re-trial;
b) It is not a safe conclusion that the evidence in any further trial would be substantially the same as the trial below, particularly with respect to defences. In Lorenzo because certain measures were identifiable to some degree on the evidence adduced at trial, it was considered likely a re-trial would result effectively in the same evidence being adduced. Here none of measures found by the trial judge were identified during the trial and, hence, no realistic conclusion can be reached that the same evidence might be adduced by the prosecution to establish specified measures or that fresh evidence might not be called by the defence in resistance to any amended charges;
c) There would be significant delay between the incident which took place in December 2004 and a further hearing (now well over seven years later); and
d) The failure by the prosecutor to address to the appellant the measures which were required to be taken constituted procedural unfairness of such gravity as to point against a re-trial.
83 In Lorenzo, the Court determined there was a belated (unfair) identification of the measures the defendants should have taken. There was, however, a correlation between those measures, as specified, and those found by the trial judge, so a proper assessment could be made that the prosecutor would have reasonable prospects in a new trial. This was not the case here. There was no identification of measures which were found established by the trial judge so as to permit such an assessment. This factor also contributes to our conclusion against the granting of a re-trial.
9We were referred to various authorities discussing the principles applicable to the determination of costs in these proceedings. We consider the appropriate principles are stipulated in Leighton Contractors, where the majority stated (at [5] - [13]):
5 In our view the judgments of the majority of the High Court in Latoudis v Casey are authority for the following principle: in ordinary circumstances, it will be just and reasonable to make an order for costs in favour of a defendant against whom a prosecution has failed. Such an order should not be refused because the charge is serious; or because the informant acted reasonably in instituting the proceedings; or on the basis that the informant might be deterred from laying charges in the future. The details which were relevant to that particular case should not obscure the primary consideration governing the exercise of the broad discretion to award costs: whether it would be just and reasonable in the circumstances to award costs to the defendant. Each member of the majority, in separate judgments, clarified this underlying rationale, as noted by Boland J.
6 In our view, it is not permissible to extrapolate from this broad principle (or from the circumstances of Latoudis itself) a mechanical procedure based on the number of charges laid and the outcome in relation to each one. Latoudis v Casey does not authorise the Court to divide criminal prosecutions into component parts - whether charges or particulars of charge - in an effort to allocate discrete "successes" or "failures" before awarding costs based on which party has the most "successes".
7 There is no fine art in determining whether a prosecution has failed: in Latoudis v Casey , it clearly had; in each of the present cases, which resulted in findings of guilt against Leighton Contractors Pty Ltd and Lindores Crane & Rigging (Aust) Pty Ltd, it clearly had not. Nor does O'Sullivan v Crown in the Right of New South Wales (Department of Education and Training) (2003) 128 IR 158 compel any different conclusion. In that case, the prosecution was successful (in that three of five charges were proven) and the prosecutor was awarded costs which were then apportioned upon the uncontroversial line of authority stemming from Dodds Family Investments Pty Ltd (formerly Solar Tint Pty Ltd) and Anor v Lane Industries Pty Ltd and Ors (1993) 26 IPR 261, Kimberley John Hughes v Western Australian Cricket Association (Inc) and Ors (1986) ATPR 48, and Cretazzo v Lombardi (1975) 13 SASR 4. The defendant was not awarded its costs (or any apportionment) in relation to the two charges which were not proven on the basis that - in relation to those charges - it was "successful".
8 The appeals from the discretionary costs orders of Schmidt J are governed by the frequently-cited principles in House v The King (1936) 55 CLR 499 at 505. In our view, the exercise of discretion by Schmidt J, in awarding Leighton Contractors Pty Ltd 75% of its costs in matter no. IRC 6072 of 2004, and in awarding Lindores Crane & Rigging (Aust) Pty Ltd 80% of its costs in matter no. IRC 6274 of 2004, miscarried for several reasons. First, her Honour plainly failed to take into account the sentencing proceedings (in which both of the respondents were penalised) in her assessment of appropriate costs orders.
9 Secondly, and more significantly, the costs orders were based in part on an error of principle in relation to the significance of particulars in criminal cases. The precise manner in which Schmidt J made her calculations remains unclear. It is reasonably clear, however, that her Honour was influenced by the "success" or otherwise of various particulars. In relation to the costs order in the first appeal, for example, Schmidt J held (at [56]):
The four charges brought in relation to 29 November failed entirely. Only one aspect, albeit an important one, of the charge in relation to 28 November succeeded.
10 Similarly, in relation to the costs order in the second appeal, Schmidt J observed at [86] that "....three of the four aspects of the charge relating to failure to ensure that the crane was adequately erected and commissioned, were all dismissed."
11 The significance, or function, of particulars in criminal charges was considered by the Criminal Court of Appeal (in a different context) in Environmental Protection Authority v Sydney Water Corporation (1997) 98 A Crim R 481. Gleeson CJ (with whom Ireland and Bruce JJ agreed) stated (at 484):
Although the decision of Talbot J was discretionary, the basis upon which he exercised his discretion emerges clearly from the stated case, and the documents attached to it, and was not in dispute in argument. It was that his Honour took the view, as a matter of principle, that when, in a criminal proceeding, the prosecution fails in its case in chief to establish a particular of the offence charged, then it should not be permitted to seek to rely on material which later emerges in support of that particular.
This view, with respect, is heterodox. It involves a misunderstanding of the nature and function of particulars.
In a criminal proceeding, what the prosecution is required to establish are the essential elements of the offence charged.
It is often appropriate, in order to provide an accused with fair notice of the case to be met, and in the interests of efficiency and economy in the conduct of the proceedings, for the prosecution to be obliged to provide further and better particulars of the allegations made in the charge, whether the charge take the form of a count in an indictment, or an allegation in a summons ( Stanton v Abernathy (1990) 19 NSWLR 656; 48 A Crim R 16).
There may be circumstances arising out of the nature of the evidence in a particular case, or the manner in which the case has been conducted, which will make it unfair or oppressive to an accused to permit the Crown to depart from its particulars. Subject to that qualification, however, what the Crown needs to establish in order to obtain a conviction are the essential facts alleged in the indictment, or the summons. Failure to establish a particular is not fatal ( VHP (unreported, Court of Criminal Appeal, NSW, No 60733 of 1996, 7 July 1997)).
12 Particulars provide an accused with fair notice of the case to be met, but do not, of themselves, constitute the essential elements of the offence charged: failure to establish a particular is not fatal to a prosecution. Nor should failure to establish a particular - in circumstances where the charge is ultimately proven - result in a more favourable result in relation to costs for the defendant.
13 Finally, although her Honour was not bound by the single judgment of Walton J, Vice-President, in O'Sullivan v Crown in the Right of New South Wales (Department of Education and Training) (which was approved by the Full Bench although the costs order was not in issue), it was open to Schmidt J to consider it. However, we consider that Schmidt J misapplied O'Sullivan v Crown in the Right of New South Wales (Department of Education and Training) and the authorities it relies upon in relation to apportionment. The very basis of the costs order in O'Sullivan was the principle that in a successful prosecution, costs may be awarded to the prosecutor on the basis that "costs will follow the event" but that such costs may be apportioned - or reduced - in certain circumstances. In that case, those circumstances included the fact that two charges - which pertained to discrete matters, easily divorced from the general proceedings - failed. At first instance in these proceedings, Schmidt J declined to order costs in favour of the successful prosecutor, awarded costs in favour of the guilty defendants, apportioned the defendants' costs without any clear discussion of the basis upon which she arrived at her calculations, and yet purported to be following O'Sullivan . In our view, it is clear that, rather than following O'Sullivan , her Honour misapplied it.
10In our view, it is just and reasonable to make an order for costs in favour of the appellant for both the trial and these proceedings. There is not, to adopt a phrase from the submissions of the appellant, any "disentitling" conduct on the part of the appellant as would warrant a departure from the ordinary rule as to costs in criminal proceedings within this jurisdiction, namely, an order for costs will ordinarily be made in favour of a defendant against whom a prosecution has failed.
11The reasons for that conclusion may be readily discerned from the appeal judgment itself. The appellant was wholly successful in overturning its conviction on appeal. The appellant succeeded in establishing that, consistent with the judgment in Kirk, none of the measures which were foundation to the conviction were, in fact, specified in the charges (or particulars thereof) laid against the defendant. Further, these acts or omissions (necessary to specify the requisite contravention) were not identified by the respondent at any point in the proceedings.
12It is true that the judgment of the High Court in Kirk was delivered after the trial, and that our conclusions were predicated upon the amended appeal brought in that respect. However, it is difficult to see how the dictates of justice are served by depriving the appellant the costs of both sets of proceedings in circumstances where, according to the law, and upon the findings made on appeal, it did not receive a procedurally fair hearing because it was deprived of such particulars as would have permitted it to defend the prosecution with those legal precepts.
13As to the particular issues raised by the respondent we find:
- We do not accept that the appellant failed to raise the issue of the inadequacy of particulars, vis vis measures and risk, at the trial.
- On appeal, we do not accept the respondent's submissions that the appellant failed in its original appeal grounds or on the issue of failure to properly identify a risk. It was simply unnecessary, given the findings made by the Full Bench, to decide those issues on appeal.
- A finding was not made that the charges were defective on their face, but we would have thought, given our overall findings on the appeal, this could not constitute a basis to modify an ordinary order as to costs of the appeal. We also note that the respondent failed in its Notice of Contention.