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Bounds v R [2006] HCA 39; (2006) 228 ALR 190; (2006) 80 ALJR 1380 (20 July 2006)
Last Updated: 20 July 2006
HIGH COURT OF AUSTRALIA
GLEESON CJ,
KIRBY, HAYNE, CALLINAN AND CRENNAN JJ
MATTHEW DAVID BOUNDS APPELLANT
AND
THE QUEEN RESPONDENT
Bounds v The Queen
[2006] HCA 39
20 July 2006
P54/2005
ORDER
Appeal dismissed.
On appeal from the Supreme Court of Western Australia
Representation
I L K Marshall with P G Giudice for the appellant (instructed by Moss &
Co)
K P Bates with L M Fox for the respondent (instructed by Director of Public
Prosecutions for Western Australia)
Notice: This copy of the Court's Reasons for Judgment is subject
to formal revision prior to publication in the Commonwealth Law
Reports.
CATCHWORDS
Bounds v The Queen
Criminal Law - Appeal against conviction - Miscarriage of justice - Appellant
presented in District Court on an indictment charging
two offences - The first
count, possession of child pornography, alleged an indictable offence - The
second count, possession of
indecent or obscene articles, was a simple offence
only and was wrongly joined in the indictment - No objection taken to the
indictment
at the appellant's trial - Whether there was a substantial
miscarriage of justice because of the wrongful joinder of count two -
Whether
the conviction on count one should be quashed because the jury had before it
evidence on count two which, but for the wrongful
joinder of count two, would
not have been admissible - Whether the whole indictment was a nullity.
Words and phrases - "indictable offence", "simple offence", "substantial
miscarriage of justice".
Censorship Act 1996 (WA).
Criminal Code (WA), ss 3, 689(1).
District Court of Western Australia Act 1969 (WA), ss 8, 42.
- GLEESON CJ, HAYNE, CALLINAN AND CRENNAN JJ. On 28 May
2003, the appellant was presented in the District Court of Western
Australia on
an indictment charging two offences. The first count alleged that on
28 July 2001 he had in his possession child
pornography, in the form of
computer data. The second alleged that on the same date he had in his
possession indecent or obscene
articles, again in the form of computer data.
- The first count alleged an offence under s 60(4) of the
Censorship Act 1996 (WA) ("the Censorship Act") which, in 2001, provided:
"A person who possesses or copies child pornography is guilty of a
crime, and is liable to imprisonment for 5 years."
Because s 60(4) identified the offence as "a crime", it created an
indictable offence[1].
- The second count alleged an offence under s 59(5) and (8) of
the Censorship Act which, in 2001, provided:
"(5) A person must not possess or copy an indecent or obscene
article.
...
(8) A person who contravenes subsection ... (5) ... commits an offence and
is liable to a penalty of -
(a) in the case of an individual, $5 000 or imprisonment for 6 months;
(b) in any other case, $25 000."
Not being designated as a "crime" or "misdemeanour", this was a "simple
offence"[2].
- The Censorship Act was amended in 2003 and, in particular, the
penalty provided by s 59(8) was amended[3]
to provide only a monetary penalty of $5,000. The amendments came into force
on 1 July 2003, two weeks before the appellant
was sentenced. Although it
was not suggested in this Court, or in the courts below, that the appellant's
liability in respect of
the matters alleged in the second count (concerning the
possession of indecent or obscene articles) was to be determined otherwise
than
in accordance with the provisions of the legislation as it stood at the time of
the alleged offending, this would appear not
to take account of s 37(1)(e)
of the Interpretation Act 1984 (WA) and s 10 of the Sentencing
Act 1995 (WA). On their face those provisions appear to require that the
appellant should have been sentenced on the basis that the lesser
statutory
penalty provided by the Censorship Act as amended applied. These matters not
having been argued, and, as will shortly be explained, the appellant's
conviction and sentence
on count 2 not being in issue in this Court, the
point need not be pursued further.
- In the District Court the appellant made no challenge to the
indictment presented against him. He pleaded not guilty to both counts
but was
convicted and sentenced to a term of imprisonment on each count, suspended, in
each case, for a period of 24 months pursuant
to s 76 of the Sentencing
Act.
- The appellant appealed to the Court of Criminal Appeal of Western
Australia against his convictions. For present purposes it is
necessary to
notice only two of the grounds of appeal to that Court. The appellant alleged
that the conviction and sentence on count 2
(alleging possession of
indecent or obscene articles) should be quashed because an offence under
s 59(5) of the Censorship Act is not an indictable offence "and ought not
be tried upon an indictment". He further alleged that the verdict of the jury
on count 1
"was unsafe and unsatisfactory as ... evidence concerning
[c]ount 2 was wrongly put before the jury".
- The Court of Criminal Appeal (Murray, Steytler and
McKechnie JJ) held[4] that the conviction
on count 2 should be quashed. The members of the Court expressed this
conclusion in different ways. Murray J
held[5] that "as a matter of law this offence [count 2] was
not triable on indictment and the conviction of it by the verdict of the
jury
was not open". Steytler J held[6] that
"the indictment was a nullity, insofar as count 2 is concerned, and that
the District Court did not have the necessary
jurisdiction to embark upon a
trial of that count, regardless of the appellant's failure to take the point
prior to entering his
plea of not guilty". McKechnie J concluded[7] that the Supreme Court and District Court "have
exclusive jurisdiction over indictable offences [and] Courts of Petty Session
have
exclusive jurisdiction over summary offences except where, in limited
circumstances, a statute expressly extends the jurisdiction
of superior courts
to summary offences". McKechnie J held that there was no express
extension of jurisdiction engaged in this
matter.
- The Court further held, by majority (Murray and Steytler JJ,
McKechnie J dissenting), that the admission of evidence relating
to
count 2 had occasioned no substantial miscarriage of justice in relation
to count 1. Accordingly, the Court ordered
that the appellant's
conviction on count 2 of the indictment be quashed but made no order
affecting the appellant's conviction
on count 1. No consequential order
quashing the sentence imposed on the appellant in respect of count 2 was
pronounced,
but on the argument of the appeal to this Court it was accepted
that the quashing of the conviction was to be taken as extending
to quashing
the sentence imposed.
- By special leave, the appellant now appeals to this Court,
contending that the Court of Criminal Appeal should have quashed his conviction
on count 1 (the count alleging possession of child pornography) and
ordered a new trial. The contention was put in a number
of ways but, in
essence, all sought to contend that the jury had before it evidence which
related to count 2 which, but for
the joinder of that count in the
indictment, would not have been admissible on a trial in respect only of
count 1.
- The respondent in this Court did not contend that the Court of
Criminal Appeal erred in quashing the conviction on count 2.
There was,
therefore, no examination of the difficult questions presented by that Court's
conclusion that the indictment should
be treated as, in part, a "nullity",
despite the provision then found in s 590 of The Criminal Code (WA)
that "[e]very objection to an indictment for any defect apparent on its face
must be taken by motion to quash the indictment
before the jury is sworn,
and not afterwards" (emphasis added) and the availability of a plea[8] that the Court has no jurisdiction to try the
accused for the offence. In that regard, there seems little reason to think
that the
criticisms made in the context of administrative law of the
difficulties associated with terms like "void", "voidable" and "nullity"[9] are of any less force in the present context.
Neither party making any submission to the contrary, however, the present
appeal must
be determined on the basis that the Court of Criminal Appeal's
decision to quash the conviction on count 2 is not in issue.
- At the hearing of the appeal to this Court, the appellant sought
leave to amend his notice of appeal to allege, in effect, that because
count 2 alleged an offence in respect of which the District Court had no
jurisdiction, the whole indictment should be treated as a "nullity".
The proposed ground has insufficient merit to warrant granting the leave that
is sought.
The leave sought should be refused. It is enough to say of the
contention that there is no doubt that the District Court had jurisdiction
to
deal with the offence alleged in count 1 (the count alleging possession of
child pornography). That count alleged an indictable
offence. Joinder of a
further count, which the parties now agree should not have been joined, would,
no doubt, have grounded an
application to quash the indictment in so far as it
alleged that second count. But in so far as the indictment charged the
appellant
with an indictable offence, the indictment regularly invoked the
jurisdiction of the District Court and, to that extent at least,
the
appellant's plea of not guilty required[10]
trial of the issues raised by the plea by a jury, subject to the accused making
no election pursuant to Ch LXIVA of The Criminal Code for trial by
judge alone.
- No objection having been taken to the indictment at the
appellant's trial, there was, at trial, no "wrong decision of any question
of
law" within the meaning of the provision of The Criminal Code
(s 689(1)) regulating the determination of appeals against conviction
by the Court of Criminal Appeal. Nor was it submitted
that the verdict of the
jury on count 1 should be set aside on the ground that "it is unreasonable
or cannot be supported having
regard to the evidence"[11] that was led at trial. Rather, the implicit assumption
underpinning the appellant's contentions about his conviction on count 1
was that there was a miscarriage of justice because of the wrongful joinder of
count 2.
- Reference was made in argument of the appeal to this Court to what was said
in the joint reasons of Brennan, Dawson and Toohey JJ
in Wilde v The
Queen[12] that "where an irregularity has
occurred which is such a departure from the essential requirements of the law
that it goes to the
root of the proceedings" the proviso to the common form
criminal appeal statute has no application. The appellant contended that
count 2 having been wrongly joined in the indictment and tried at the same
time as count 1, there had been such a "radical
or fundamental" error that
the proviso had no application. It is not necessary to decide what was meant
in the joint reasons in
Wilde by reference to "such a departure from the
essential requirements of the law that it goes to the root of the proceedings"
or what
it is that would set some errors apart from others as "radical or
fundamental". That is not necessary because the focus of the present
appeal
is, and must be, upon the appellant's trial in respect of count 1. It is
not in issue in this Court that he should not
have been tried in the District
Court in respect of count 2. In considering the trial of the issues
arising on count 1
it is necessary[13] to
focus upon what happened at the appellant's trial in order to decide whether
"no substantial miscarriage of justice has actually
occurred".
- Two particular aspects of the course of the appellant's trial
are to be noted. First, the prosecution opened the case to the jury
on the
basis that the appellant would admit, and trial counsel for the appellant did
admit, that the material the subject of count 1
met the Censorship Act
definition of "child pornography", and that the material the subject of
count 2 met that Act's definition of "indecent and obscene
article". The
consequence of these admissions was that none of the images which were the
subject of either count on the indictment
was put in evidence. The jury was
told nothing of what those images depicted beyond what was conveyed by their
description, in the
case of count 1 as "child pornography", and in the
case of count 2 as "indecent and obscene" images - "three bestiality
images" and images of women urinating. The second matter to be noticed about
the course of the appellant's trial is that the case
against him revealed in
the evidence was overwhelming.
- At the time of the alleged offences the appellant was enrolled
at Curtin University. At that time he lived in Esperance. Curtin
University,
with the local senior high school and the local shire, operated a computer
laboratory at Esperance Community College.
Curtin University students could,
and the appellant did, have access to this computer laboratory out of hours.
Access was obtained
to the laboratory, out of hours, by using a swipe card and
a personal identification number. A student using the computers in the
computer laboratory could save information to a home directory on the computer
system to which only that student, and the computer
system administrators,
would have access. A student would obtain access to the student's home
directory by entering a user name
(comprising the first seven letters of the
student's family name and the student's first initial) and the student's own
password.
- The images that were the subject of the two charges were found
on the appellant's home directory. Most of the images were found
in a folder
which the appellant had called "Countach for Animation\A23, Pshcology notes"
but some was found in a folder on his home
directory entitled "Some Stuff".
- Computer records tendered at trial revealed when the appellant's
swipe card and personal identification number had been used to gain
access out
of hours to the computer laboratory. Computer records also revealed when the
offending images had been downloaded onto
the appellant's home directory. Some
were downloaded late at night or in the early hours of the morning. All of the
images the
subject of the two counts had been downloaded when the appellant's
swipe card and personal identification number had been used to
gain access to
the computer laboratory out of hours.
- The appellant did not dispute that he had been in the computer
laboratory at the times shown by the records of out of hours entry.
He did not
suggest that he had given his swipe card or personal identification number to
any other person. Thus the undisputed
evidence at the appellant's trial was
that all the offending images had been downloaded when he was in the computer
laboratory.
Further, the undisputed evidence showed that all the offending
images had been downloaded onto the appellant's home directory, a
directory to
which a person other than the system administrators could gain access only by
using the appellant's user name and the
password which the appellant had
devised. It was not suggested that a system administrator had downloaded the
offending images.
- Towards the end of July 2001, a computer system administrator
encountered difficulties in creating back-up tapes of the data stored
in the
system. On examining the home directories of the users who were storing the
most data on the system, the system administrator,
Mr Jones, discovered
that the appellant's home directory contained a number of image files, four of
which he examined and appeared
to him to depict child pornography. On
30 July the University disabled the appellant's access to the system. On
the same day
the appellant asked why he could not gain access to the computer.
He was given a letter asking him to meet the then acting program
manager for
the University at Esperance (Ms Michalanney).
- On 1 August the appellant met Ms Michalanney and Mr Jones.
The notes which Mr Jones took at the meeting were tendered
in evidence.
They recorded that Ms Michalanney had "explained to [the appellant] about
him having porn/child porn" on his home
directory. The notes went on: "he
admitted it by nodding head & muttering". They concluded:
"When he was leaving said he wanted to make it clear it wasn't for
himself - he wasn't like that, that he was only doing it for money
- both
[Ms Michalanney] and myself stopped him from saying any more - he seemed
so calm & collected throughout."
- The appellant denied that he had downloaded the offending
images. The computer records tendered in evidence showed that five of
the 105
child pornography images were downloaded on 28 July 2001. (All of the
images the subject of both counts were downloaded
between 1 and 28 July
2001.) Although he denied downloading the offending images, the appellant said
in evidence that on 28 July
he had received some images from a person with
whom he was communicating on line in a computer chat room. He said he thought
that
the images he received were pictures of a well-known band, called
"Metallica", that he had been discussing with this person, but
that he had not
looked at the images that were sent to him before his access to the computer
was denied on 30 July. He said
that he intended to use the pictures of
the band to frame and sell at a local market.
- Mr Jones, the system administrator, had earlier given
evidence that to save an image in a particular folder (as all the offending
images had been) "[you] ... actually have to see the thing to be able to say,
'Go and save this in that position'". This evidence
was not challenged and
would appear to be distinctly at odds with the account which the appellant gave
in evidence of saving files
which he thought were pictures of a band without
seeing the images. But the evidence given by Mr Jones on this subject was
not put to the appellant in cross-examination and the prosecution sought to
make no point about it at the appellant's trial.
- Two other aspects of the evidence given at the trial should be
mentioned. First, on 23 February 2001, very soon after the commencement
of the appellant's first semester as an enrolled student, and before he had
been issued with a swipe card enabling out of hours access
to the computer
laboratory, a word document was saved to his home directory which contained a
list of web page addresses. Some of
the addresses had names suggesting that
indecent material was available there. Although the document was created at
5.23 pm,
after the laboratory would ordinarily have closed (at
5.00 pm), students who had entered the laboratory during ordinary hours
could remain after the laboratory had closed.
- The second aspect of the evidence to mention concerned a movie file saved
to the appellant's home directory on the day the appellant's
access to the
computer system was terminated. The file was not the subject of either count
on the indictment. With the consent
of trial counsel for the appellant
evidence was tendered that this file (a file described as depicting bestiality)
was saved to the
appellant's home directory and was saved at 11.19 am on
that day. The saving of this file at that time was said, by the appellant's
trial counsel, to support the possibility that someone other than the appellant
had saved the offending material to his home directory
because, so it was
submitted, there was evidence from the appellant and from the system
administrator, Mr Jones, from which
the jury might conclude that the
appellant's access to the computer had been terminated by 10.30 am or
11.00 am.
- The possibility that someone other than the appellant had saved
the offending material to his home directory was said to be the greater
when it
was recognised, first, that the appellant's user name was fixed by the
University according to a well known and readily applied
system and, second,
that the password the appellant used was, or at least was based on, the name of
a band in which he played and
which he advertised to other students. (The band
was called "Gutrench" and the appellant used as his password either "Gutrench"
or, when required by the system to reset the password, as users were required
to do every 90 days, "Gutrench 1".)
- As noted earlier, the appellant's complaint about the effect of
the wrongful joinder of count 2 was that it had led to the jury
having
before it a deal of evidence which would not have been admissible had the trial
been confined to a trial of the issues raised
by count 1. The evidence
admitted at the appellant's trial about the downloading of the images the
subject of count 2
was very limited. It would have been admissible on the
trial of an indictment alleging only count 1. The evidence about
downloading
the images the subject of count 2 was confined to evidence
showing that certain named files were stored in the appellant's home
directory
and that those files had been downloaded when the appellant was in the computer
laboratory. That evidence was relevant
to whether the appellant had downloaded
the 105 images of child pornography found on his home directory. The
description given on
a few occasions in the course of the trial of the 11 files
the subject of count 2 (as indecent or obscene and as files showing
images
of bestiality and of women urinating) was of little moment in the context of
the appellant's trial. It would have been of
no greater moment in the context
of a trial focused only upon possession of 105 images of child pornography and
would not have supported
an application for exclusion of that evidence
as being of greater prejudicial than probative effect.
- Particular complaint was made about the leading of evidence, by
consent, about the downloading of a movie file on 30 July.
It was said
that the evidence was wrongly admitted and that no competent counsel could have
consented to its admission in a trial
confined to count 1. The argument
advanced at trial about what this evidence showed depended upon the jury
attributing a degree
of accuracy to the estimates of time given in evidence
greater than the witnesses who gave the estimates claimed. But be this as
it
may, the argument was advanced as an answer to both counts, not just
count 1. The evidence being led by consent, there can
be no question of
it being wrongly admitted at the appellant's trial. Contrary to the
appellant's contention, it would have been
well open to competent counsel to
consent to the leading of the evidence in a trial on an indictment alleging
only count 1 for
the argument that was founded on the evidence was
advanced in answer to both counts. Leading the evidence about this file
occasioned
no miscarriage of justice.
- In her final address to the jury, trial counsel for the
appellant submitted that, although the jury might find that the appellant
possessed the images, it could not be satisfied beyond reasonable doubt that he
knew the nature of the images that had been downloaded.
- Even without the evidence given of the appellant's conduct and
statements made to Ms Michalanney and Mr Jones on 1 August,
the
case against him was overwhelming. In his evidence the appellant made some
very speculative suggestions about who else may have
downloaded the offending
images. Taken as a whole, however, the evidence identified no person who could
have stored, or had reason
to store, these images in the appellant's personal
directory. He accepted that he was in the computer laboratory when they were
downloaded.
- Of course it was theoretically possible that someone could have
guessed his password and it was very easy to work out what would
be his user
name on the computer system. But the coincidence of his presence in the
computer laboratory when all the offending images
were downloaded was not to be
explained away by the possibility that someone else gained access to his home
directory only when he
was in the laboratory, out of hours, and often alone.
His conduct and statements on 1 August could only exclude any residue
of
doubt about his guilt. There was no substantial miscarriage of justice.
- The appeal should be dismissed.
- KIRBY J. This is yet another appeal concerned, ultimately, with the
'proviso' governing the disposition of criminal appeals. The
appeal comes from
a divided decision of the Supreme Court of Western Australia (Court of Criminal
Appeal)[14]. In that Court it was found that
most of the grounds of appeal relied on by Mr Matthew Bounds ("the
appellant") were without
substance. However, the Court unanimously concluded
that the appellant had been invalidly charged on indictment, and convicted,
of
a non-indictable offence contained in count 2 of the indictment[15]. On this basis, the appeal against the appellant's
conviction on that count was allowed. That conviction was quashed.
- The Court of Criminal Appeal divided on what should then happen
to the conviction on count 1. A majority (Murray J[16] and Steytler J[17])
concluded that the conviction on that count was valid; that it should stand;
and that the appeal should otherwise be dismissed.
The dissenting judge
(McKechnie J[18]) decided that the
circumstances required the setting aside of the conviction on count 1, with an
order for a retrial limited to that
count.
- The dissenting judge was correct. This was not a case where the
appellant's conviction, based on the jury's verdict in answer to
the first
count of the indictment, could be sustained by invoking the 'proviso'[19], as then in force in Western Australia[20]. As the dissenting judge held, the mistaken
inclusion of count 2 in the indictment, and the trial of the appellant on
that
count, involved a fundamental flaw in the conduct of the trial[21]. In the circumstances, this meant that the
appellant's trial departed from law in a basic respect. The hypothesis upon
which the
'proviso' operates was thus negated. It could not save the trial
outcome. Alternatively, putting the appellant on trial on the
second count
subjected him to an unnecessary trial to that extent; involved him in important
forensic disadvantages in a trial conducted
on both counts; exposed him to
additional prejudice that might have contaminated the jury's reasoning; and led
to the imposition
of punishment, based on the jury's verdicts of guilty on both
counts. It thus occasioned a substantial miscarriage of justice.
- The last point illustrates, at the outset, the unsatisfactory
features of merely severing the second count and treating the appellant's
trial
as having been validly conducted on the first. The trial judge's remarks on
sentencing make it clear that he sentenced the
appellant on the basis of his
conviction on each of the two counts on which the jury returned their guilty
verdicts. Thus, he sentenced
the appellant to 18 months' imprisonment on count
1 and to six months' imprisonment on count 2. After some notional remarks of
what
he would have done if the two terms of imprisonment were to be served
immediately, the trial judge directed that "the two terms of
imprisonment be
suspended for the maximum period of 24 months"[22]. Obviously, the reference to 24 months related to the
aggregate of the primary sentences on both counts.
- The Court of Criminal Appeal did not set aside so much of the
sentence imposed on the appellant by the trial judge as related to
count 2. To
the extent that the order of the Court of Criminal Appeal is confirmed by this
Court, so is that component of the appellant's
sentence. There was no separate
appeal against sentence, either in the Court below or in this Court. The 24
months suspended sentence
has long since expired without the appellant's
re-offending so as to revive the custodial sentence.
- The aggregate sentence imposed by the trial judge was (if I may
say so) eminently sensible on the premises on which it was based.
However, the
outcome of the proceedings is now scarcely logical. The sentence on the second
count was never quashed or varied.
Nor was the appellant's notional custodial
sentence on count 2 (which remains on his criminal record) reduced or varied.
As will
be shown, this is but one of many difficulties that results from the
initial error of the prosecutor in presenting the appellant
for trial on an
indictment that included count 2.
- It was to test the consequences of the erroneous inclusion of
count 2 on the indictment, and to resolve the differences that had
arisen in
the Court of Criminal Appeal, that the appellant was granted special leave to
appeal to this Court.
The facts and legislation
- The facts: The indictment found by the prosecutor
against the appellant was signed on 28 May 2003 by a "Consultant Crown
Prosecutor".
This was purportedly done pursuant to the Criminal Code
(WA) ("the Code") and the Criminal Procedure Rules (WA). The first count
charged the appellant that on 28 July 2001 at Esperance
he "had in his
possession child pornography, in the form of computer data". The marginal note
referred to the Censorship Act 1996 (WA), s 60(4). The second
count charged him "[f]urther that on the same date and at the same place [he]
had in his possession indecent or obscene
articles, in the form of computer
data". The marginal note referred to the Censorship Act, s 59(5).
- The facts leading to the presentation of the indictment in the
District Court of Western Australia, putting the appellant on trial
on the
foregoing charges, are set out in the reasons of Gleeson CJ, Hayne,
Callinan and Crennan JJ ("the joint reasons"[23]). Also described there are some features of the conduct
of the trial; the disposition of the appeal in the Court of Criminal Appeal[24] and the course of argument before this
Court[25].
- The case presented against the appellant, to establish his guilt
of the offence charged in count 1, was extremely strong. In effect,
the
challenge raised in the Court of Criminal Appeal, and now in this Court, is a
technical one; although not entirely so. Technical
arguments are no worse for
that description if they are well founded in law. Especially so in criminal
trials where liberty and
reputation are at stake and where these values are
commonly protected by insistence on adherence to statutory procedures.
- Reviewing the trial of the appellant as best one can do on the
written record, one might indeed conclude that the evidence against
him on
count 1 was "overwhelming"[26]. However, even
persons facing charges supported by "overwhelming" evidence are, according to
our law, entitled to a trial that conforms
to law in essential respects. This
is what the appellant complains was missing in his case. At the time of the
offences charged,
he was 20 years of age and an affiliated university student[27]. Clearly, his conviction on count 1, will
have serious consequences for his reputation, employment, international travel
and future
life. These considerations reinforce the importance of ensuring a
trial that conforms to law. This means, so far as count 1 was
concerned, a
trial before a jury uncomplicated by extraneous and legally impermissible
considerations.
- The legislation: The most important legislation in this
appeal is that in which the 'proviso' is stated, as then applicable.
Relevantly, at the
time of the Court of Criminal Appeal's disposition,
s 689(1) of the Code stated:
"The Court of Criminal Appeal on any such appeal against conviction
shall allow the appeal, if they think that the verdict of the
jury should be
set aside on the ground that it is unreasonable or cannot be supported having
regard to the evidence, or that the
judgment of the court before whom the
appellant was convicted should be set aside on the ground of a wrong decision
of any question
of law or that on any ground there was a miscarriage of
justice, and in any other case shall dismiss the appeal:
Provided that the Court may, notwithstanding that they are of opinion that
the point raised in the appeal might be decided in favour
of the appellant,
dismiss the appeal if they consider that no substantial miscarriage of justice
has actually occurred."
- Before this Court, the prosecution accepted that the analysis of
the legislation of Western Australia, contained in the reasons of
McKechnie J[28], was correct. According
to that analysis, the District Court of Western Australia, in which the
appellant's trial took place, secures
its criminal jurisdiction by virtue of ss
8 and 42 of the District Court of Western Australia Act 1969 (WA).
Neither the District Court nor the Supreme Court is granted general
jurisdiction over matters triable summarily. Such jurisdiction
is conferred
upon the Courts of Petty Sessions pursuant to s 20 of the Justices Act
1902 (WA)[29]. By the operation of these
statutes, read with the provisions of s 67[30] of the Interpretation Act 1984 (WA), in the words
of McKechnie J[31]:
"the jurisdictional scheme becomes quite clear. Superior courts
have exclusive jurisdiction over indictable offences. Courts of
Petty Session
have exclusive jurisdiction over summary offences except where, in limited
circumstances, a statute expressly extends
the jurisdiction of superior courts
to summary offences."
- At the time of the trial of the appellant, the Criminal Code
Compilation Act 1913 (WA) provided that an "indictable offence" was triable
only on indictment unless that Act, or some other written law, expressly
provided otherwise. By s 4 of the lastmentioned Act, it was provided:
"No person shall be liable to be tried or punished in
Western Australia as for an indictable offence except under the express
provisions of the Code or some other statute
law of Western Australia"
(emphasis added).
- As McKechnie J observed[32], the expressly stated provisions of the statute law of
Western Australia for the trial of "simple offences" were principally found
in
the Justices Act. Such proceedings are commenced by complaint not
indictment. By s 1 of the Code "[t]he term 'indictment' means a written charge
preferred against an accused person in order to his trial [sic] before
some
court other than justices exercising summary jurisdiction".
- The Code makes exhaustive provision for the procedures governing
a trial on indictment[33]. One such provision
of the Code is s 594. At the relevant time, it read:
"... upon an indictment charging a person with an offence he may be
convicted of any indictable or simple offence ... which is established
by the
evidence, and which is an element or would be involved in the commission of the
offence charged in the indictment".
- This provision did not authorise the charging of a simple
offence in an indictment. It merely permitted a conviction to be recorded
in
respect of a simple offence in circumstances where an indictable offence is
charged but not proved but the evidence nonetheless
establishes the commission
of a simple offence and the conduct establishing the simple offence satisfies
an element of the indictable
offence.
- In s 602A of the Code, there is a provision which might
appear at first blush to provide some support for the regularity of
the
appellant's conviction on count 2, otherwise reserved, as a simple offence, to
the exclusive jurisdiction of a Court of Petty
Sessions. This section, since
repealed, stated:
"A person may be convicted of and punished for an offence on
indictment notwithstanding that the person might have been convicted
of and
punished for that offence summarily."
- However, as Steytler J[34] and
McKechnie J[35] explained, s 602A
was inserted into the Code at the same time as a number of provisions enabling
certain indictable offences
to be dealt with summarily[36]. The purpose of s 602A was to ensure that, despite such
provisions, the indictable offences referred to could be tried on indictment.
This interpretation is supported by the fact that s 602A appeared in
Ch LXIII of the Code which dealt with "Effect of Indictment".
It did not
appear in Ch LXI titled "Jurisdiction: Preliminary proceedings: Bail"
nor in Ch LXIV concerned with "Trial:
Adjournment: Pleas: Practice".
Furthermore, if s 602A were read to permit the inclusion in an indictment of
any offence triable
summarily, it would have profound consequences for the
continued relevance of the distinction between offences triable summarily
and
on indictment, a distinction which is observed in the Code. It would also
place criminal procedure in Western Australia out
of line with that in other
Australian jurisdictions. Such a course runs contrary to the principle that,
so far as this can be achieved
within the statutory language, statutes
concerning the criminal law should be interpreted so as to promote uniformity
in the criminal
law throughout Australia[37]
and especially as between Code jurisdictions[38].
- The final provision that might conceivably have affirmed the
inclusion of a simple offence in an indictment was s 622 of the
Code.
That section, also since repealed, was titled "Trial by jury". It read:
"If the accused person pleads any plea or pleas other than the plea
of guilty, or a plea to the jurisdiction of the court, he is by
such plea,
without any further form, deemed to have demanded that the issues raised by
such plea or pleas shall be tried by a jury,
and, subject to [provisions for
trial by judge alone], those issues are triable accordingly."
- Did this provision mean that, on an irregularly joined count of
an indictment charging a simple offence, if the accused pleaded not
guilty (as
the appellant did to both counts) s 622 commanded the jury to try the
issues raised by that plea "accordingly", notwithstanding
that the offence was
a simple offence?
- This possible interpretation was raised with the parties during
the course of argument before this Court. Properly so because, on
one view,
the fact that an accused had secured a jury trial of a "simple offence"
(ordinarily triable summarily in a Court of Petty
Sessions only) might be
regarded as an advantage to be received with gratitude, not a burden to be
complained about.
- However, such a construction of s 622 was convincingly
rejected by McKechnie J. As his Honour stated[39]:
"It is clear that the reference to 'plea' in s 622 in the
context of the Criminal Code, can only mean a reference to a plea to an
indictment: s 616. A document setting out particulars of a simple
offence can never be an indictment, no matter what it purports because it does
not
set out the provisions for an indictable offence."
- Before this Court, the prosecution disclaimed any argument for
the validation of the indictment in respect of count 2, whether on
the basis of
s 622, s 602A or any other provision of the Code. In short, the
prosecution accepted the analysis of the interconnected provisions of Western
Australian law to which McKechnie J referred, and with which the other
judges agreed.
- In these circumstances it is proper for this Court to proceed on
the footing that the offence provided in s 59(5) of the Censorship Act
ought not to have been tried upon an indictment. It belonged exclusively
to the jurisdiction of a Court of Petty Sessions. It was
not within the
jurisdiction of the District Court. The prosecutor's framing of the indictment
to include count 2 was legally erroneous.
There was no foundation in the law
of Western Australia for the appellant to be tried by jury on that count.
Still less could he
be convicted and sentenced in respect of it.
- The 'proviso' in the legislative context: Given
that the prosecution did not contest the correctness of this reasoning, it
might appear superfluous for me to have set out the
statutory provisions.
However, it is not. The 'proviso', governing the disposition of the appeal in
the present case, must be given
effect in the context of the trial in which the
suggested "wrong decision of any question of law" or a "substantial miscarriage
of
justice" has occurred. Those words only derive their meaning and
application from their context. In order to understand the appellant's
complaint of a relevant "wrong decision of any question of law" and a
"substantial miscarriage of justice", it is essential to appreciate
the scheme
of the Western Australian legislation governing the prosecution respectively of
indictable offences and simple offences.
Any other approach would ignore part
of the statutory context within which the 'proviso' operates.
- Given that the Parliament of Western Australia has gone to such
pains to confine the respective jurisdictions of the District Court
and of the
Courts of Petty Sessions in the ways I have described, it is clear that the
delineation of jurisdiction is not a mere
legal trifle. Where Parliament has
intended a court, such as the District Court, to have jurisdiction over the
trial and punishment
of simple offences, it has said so explicitly. Moreover,
it has done so with high particularity. Such particularity may sometimes
cause
inconvenience where a mistake has occurred, as in the present case. But the
provisions of the 'proviso' do not lend themselves
to overriding obedience by
prosecutors and trial courts to the scheme of the enacted law and the
particular commands of Parliament
which that law carries into effect.
- From the examination of the legislation, its purpose is
therefore clear. Ordinarily, the District Court has no jurisdiction to try
simple offences. Where, mistakenly, such offences are included by the
prosecution in an indictment, there is no general power in
the District Court,
or any other court, to correct the mistake and to affirm the unauthorised
exercise of jurisdiction. On the face
of things, the decision by the
prosecutor to proceed on the indictment with a simple offence and the decision
of the District Court
to try such an offence on indictment were legally
invalid. A basic postulate of the parliamentary design has not been observed.
In this respect, the person charged on an indictment in such a case has not had
a trial as the written law of Western Australia contemplates.
The issues
- Before this Court, the appellant sought leave to add a ground of
appeal not argued in the Court of Criminal Appeal. The question
of whether
leave should be granted was reserved[40]. In
my opinion, the appellant should have such leave, although I agree with the
joint reasons[41] that the point fails. The
issues in the appeal, taking the added point first, are:
(1) The nullification of the indictment issue: Whether the inclusion in
the indictment of the second count had the consequence that the entire
indictment was a nullity so that
it failed to engage the jurisdiction of the
District Court at all, rendering the entire trial a nullity and requiring the
quashing
of the convictions on both counts on this basis, not simply the
conviction on count 2?
(2) The proviso: fundamental error issue: Whether the inclusion of
count 2 in the indictment and the conduct of the trial that then followed was
such a "fundamental error"
in the procedure of the trial that it went to the
"root of the proceedings"? If so, the 'proviso' could have no operation with
the
consequence that the appellant's conviction on count 1 should also be
quashed and a new trial ordered upon that count; and
(3) The proviso: miscarriage of justice issue: Whether in the event
that the foregoing issues are decided adversely to the appellant, he is
nonetheless entitled to succeed on
the basis that the inclusion of count 2 in
the indictment (and the consequences that this had for the evidence and conduct
of the
trial that followed) so contaminated the trial on count 1 as to occasion
a substantial miscarriage of justice and to require a retrial
of count 1 on
this basis?
The entire indictment was not a nullity
- The appellant's argument: Steytler J[42] and McKechnie J[43]
in the Court of Criminal Appeal spoke of the consequences of the inclusion of a
"simple offence" in the indictment, in respect of
count 2, as producing a
result that was, to that extent, a "nullity". The foundation for this
conclusion, in each case, was the
opinion that the source of the defect
concerning count 2 could be traced to a lack of jurisdiction in the District
Court to try the
appellant on the offence stated in that count. Because there
was no jurisdiction, the proceedings were a nullity and the document
setting
out the particulars was not, to that extent, an indictment.
- Both of the judges relied in this respect on an earlier decision
of the Court of Criminal Appeal in Paciente v The Queen[44]. That also was a case where a second count,
not capable of being the subject of an indictment, had been included in the
"indictment"
with an indictable offence. On that occasion, the Court held
that, because the second count alleged a simple offence, and was not
capable of
being the subject of an indictment, the initiating instrument was a "nullity in
respect of that count"[45]. Unsurprisingly,
in these proceedings, the Court of Criminal Appeal followed its own earlier
authority, using the same language.
- Courts and nullities: The use of the description
"nullity" to describe invalid administrative acts (such as the decision of an
official or a tribunal
made without jurisdiction[46]) presents difficulties given the drastic consequences
that can flow from treating an apparently valid official act as if it never
occurred. Such problems are greatly magnified when the official act in
question is that of a court exercising judicial power. This
is especially so
where the court in question is a superior court and particularly where the
court is (or enjoys the jurisdiction
and powers of[47]) a State Supreme Court, having general jurisdiction and
powers[48].
- Once the jurisdiction of a court is validly invoked (as,
arguably, the jurisdiction of the District Court was here on the basis of
the
inclusion of the first count in the indictment), it requires very clear
language in the applicable legislation to produce a result
that the official
acts of the court are thereafter to be treated as "nullities", of no legal
consequence[49]. This is an outcome from
which courts ordinarily recoil[50].
Certainly, they do so when some other legal classification fulfils the
consequence of a conclusion that the law (including a law
as to the court's
jurisdiction) has not been complied with. Other descriptions, apt to the
orders of courts in such circumstances,
may be "voidable" or simply
"invalid" - so that the court's actions continue to have limited validity
(and to sustain official
acts relying on their authority) until another court
has set the orders aside[51].
- I agree with the joint reasons that, in the present case, the
District Court had jurisdiction to deal with the offence alleged in
count 1.
Therefore, to that extent, it had jurisdiction to try the issues presented by
the indictment and by the appellant's plea
to count 1[52].
- Authority supporting partial validity: A number of
overseas cases support the proposition that a misjoinder of summary offences in
an indictment can be cured by a court
of criminal appeal quashing the
conviction on the counts improperly joined. It was so decided in
Callaghan v The Queen[53] where
Watkins LJ in the English Court of Appeal treated the problem as one to be
dealt with under s 2(1) of the Criminal Appeal Act 1968 (UK) (the
'proviso'). His Lordship applied authority in the Court of Appeal including
Bell[54], where Lord Lane CJ had
observed:
"In our view it cannot be the law that a perfectly proper
indictment containing one count alleging unlawful possession of cannabis
resin
can be made a complete nullity by the addition of counts contrary to rule 9 [of
the Indictment Rules (UK)]".
- In Callaghan, Watkins LJ emphasised that no
"prejudice or embarrassment to the appellant" was claimed to result from the
Court's conclusion
as to the validity of the indictment in respect of the
counts properly included in it. This is not a concession made by the appellant
in the present case. However, against the proposed added ground of appeal
urged for the appellant, the sensible authority of the
English Court of Appeal
stands in contradiction.
- That authority was criticised by Professor Smith in a note
addressed to the decision in Callaghan[55]. He suggested that "the proceedings flowing from the
arraignment of the appellant upon" an indictment containing a nullity "must
surely be a nullity". However, this criticism was rejected in a later decision
of the English Court of Appeal in Smith[56]. Henry LJ, for the Court, concluded that neither
authority nor principle supported the consequence of total invalidation of
the
proceedings by reason of the inclusion of a count, or counts, that were
invalidly joined[57].
- A somewhat similar conclusion was reached by the Supreme Court
of the United States in United States v Lane[58], although by the application of different statutory
provisions. In that case, a federal District Court had denied pre-trial
motions
for severance of charged offences said to have been misjoined in
violation of the Federal Rules of Criminal Procedure, r 8(b). Following
conviction in the subsequent jury trial on all counts, a Court of Appeals
reversed the convictions and remanded the proceedings for
new trials. It ruled
that the misjoinder was prejudicial per se.
- The majority of the Supreme Court of the United States concluded
that, in the face of "overwhelming evidence of guilt" the misjoinder
had been
"harmless". It was therefore subject to the Court's "harmless error analysis"
on the basis that appellate relief was reserved
to errors involving misjoinder
"affecting substantial rights". By this approach, retrials are granted only if
the misjoinder results
in "actual prejudice" because it "had substantial and
injurious effect or influence in determining the jury's verdict"[59].
- The similarity of the issues, and of the language used, in the
legislation and judicial authority concerning the 'proviso' in Australian
cases
is obvious. The tendency of high appellate courts in England and the United
States is to deny the proposition that a misjoinder
of counts, which ought
lawfully to have been separated, nullifies a trial per se. Even in the
context of a resulting denial of constitutional rights in the United States, it
does not result in nullification of
the whole proceeding on the basis that a
misjoinder is prejudicial without more. In every case, a more substantive
enquiry is enlivened.
That enquiry is concerned with any effect that the
misjoinder has had on "substantial rights" of the accused and any "substantial
and injurious effect" it might have had on the jury's verdict.
- Conclusion: nullity not proved: The two
last-mentioned considerations reflect the second and third issues in this
appeal to which I will now turn. However, for reasons
similar to those offered
by the English Court of Appeal and by the majority in the Supreme Court of the
United States, I would reject
the appellant's argument on his added ground.
The inclusion in the indictment of a count referring to a "simple offence",
triable
summarily, was legally erroneous. So much is not now contested. It
required the quashing of the conviction that followed the jury's
verdict of
guilty on count 2. But, of itself, it did not require the invalidation per
se of the entire indictment or of the proceedings in the District Court
which the indictment initiated. To this extent, the order of
the Court of
Criminal Appeal quashing the conviction on count 2 alone is sustained.
The 'proviso': a fundamental error arose
- The appellant's argument: The appellant submitted that
the error that had occurred in the conduct of his trial was to be classified as
"fundamental" or going
"to the root" of the trial so that the 'proviso' could
not apply to rescue the outcome of the remainder of his trial. This submission
was based essentially on the scheme of the Western Australian legislation
dealing with the trial of indictable and simple offences,
providing that simple
offences should only be tried in a Court of Petty Sessions and omitting any
judicial power to correct a mistaken
assignment of jurisdiction where such was
proved.
- The appellant referred to the reasoning of McKechnie J[60], relying on this Court's authority. The
point of distinction concerning fundamental errors was made in Wilde v
The Queen[61], where Brennan, Dawson and
Toohey JJ explained:
"It is one thing to apply the proviso to prevent the administration
of the criminal law from being 'plunged into outworn technicality'
(the phrase
of Barwick CJ in Driscoll v The Queen[62]); it is another to uphold a conviction after a proceeding
which is fundamentally flawed, merely because the appeal court is of the
opinion that on a proper trial the appellant would inevitably have been
convicted. The proviso has no application where an irregularity
has occurred
which is such a departure from the essential requirements of the law that it
goes to the root of the proceedings. If
that has occurred, then it can be
said, without considering the effect of the irregularity upon the jury's
verdict, that the accused
has not had a proper trial and that there has been a
substantial miscarriage of justice. Errors of that kind may be so radical or
fundamental that by their very nature they exclude the application of the
proviso."
- In the recent re-examination of the law on the 'proviso' in
Weiss v The Queen[63], this Court
reserved the application of the 'proviso' to "a serious breach of the
presuppositions of the trial". The appellant submitted
that what had happened
in his trial was such a breach.
- Contrary arguments: The respondent argued that the
proper approach to this issue was to consider the acknowledged departure from
the law governing
a trial on indictment and to evaluate that departure against
the overwhelming evidence presented at trial on count 1. Purely formal
defects
have been held to engage the 'proviso'[64].
This was how the respondent portrayed the error that had occurred in the
appellant's trial. It was no more than a mistake in the
drafting of the
indictment and (as has been found) it did not render the entirety of that
document, or the proceeding that followed,
a nullity.
- For the respondent, the mistake was akin to the type of
peripheral errors that engaged the 'proviso' as explained by Brennan CJ
in
Green v The Queen[65]. There, his
Honour said that the exception for fundamental errors:
"applies only to fundamental irregularities which demonstrate that
no proper trial has taken place. It does not apply when there
is no more than
an erroneous ruling on the admissibility of evidence or a misdirection on a
particular point of fact or law arising
in the trial."
- In Weiss[66], this Court
pointed out that one of the purposes of the enactment of the 'proviso' in
criminal appeal statutes had been to overcome
the "Exchequer rule" which had
previously prevailed. By that rule[67], as it
was understood, the courts generally renounced any discretion to uphold the
validity of a trial "where evidence formally objected
to ... is received by the
Judge, and is afterwards thought by the Court to be inadmissible". In such a
case, it had been held, the
losing party had a right to a new trial.
The same right appeared where other legal mistakes were demonstrated. This
rule was grounded in notions inhering
in the qualities attributed to the
verdicts of juries in preference to the conclusions of judges.
- The history, language and purpose of the 'proviso' shows that it was
intended to introduce a new approach. It is one by which appellate
courts are
afforded their own role and legitimacy to examine the substance of the
complaint and to judge for themselves, on the record,
whether any error
requires a retrial of the accused (or in exceptional cases an acquittal).
- Similar debates have arisen in the United States of America in
the context of the jurisprudence on "harmless error". They are reflected
in
the opinions written in Lane[68].
Whilst, in that case, the majority of the Supreme Court upheld the jury's
verdicts on the counts improperly joined in the charges
against the accused,
Brennan J (with the concurrence of Blackmun J) and Stevens J
(with the concurrence of Marshall J)
reached the opposite conclusion.
Those opinions reflect the debates that have occurred in this Court in the
present appeal.
- Thus, in Lane, Brennan J, by tracing the statutory
developments in the United States, emphasised that reversal should be "limited
to prejudicial
errors"[69]. He acknowledged
that the test for harmless constitutional error was stricter than for its
statutory counterpart[70]. He concluded that
a misjoinder of charges would not ordinarily rise to the level of having a
"substantial influence" on the outcome,
even in cases involving a
constitutional claim[71]. However, he agreed
with Stevens J that an exception arose where the whole of the statutory
context showed that the legislation
that had been breached was designed to
protect "wider values". He did not consider that misjoinder of charges alone
fell within
this exception[72].
- The dissenting order of Brennan J in Lane, agreeing
with Stevens J and supported by Blackmun J and Marshall J, rested on the
shared opinion of the minority judges that
the harmless error enquiry was
normally a task for the intermediate court, not the Supreme Court, given the
requirement to examine
the entire record thoroughly and the difficulty of
discharging that requirement in the final court because of the many demands
upon
it. Having regard to its other duties, the minority feared that the final
court would be bound to perform this important function
"perfunctorily"[73].
- On the other hand, Stevens J, whilst sharing that opinion, was also of
the view that harmless error analysis was inappropriate
in at least some cases
where charges had been invalidly joined and a jury trial conducted on that
basis. He said that such exceptions
arose[74]:
"in at least three situations: (1) when it is clear that a statute
or Rule was not intended to be subject to such a rule; (2) when
an independent
value besides reliability of the outcome suggests that such analysis is
inappropriate; and (3) when the harmlessness
of an error cannot be measured
with precision".
- In the opinion of Stevens J, misjoinder of a charge in the
proceedings "clearly falls" into the first category. Partly this
was so
because of the "deep abhorrence" of the law to the notion of "guilt by
association". It was, in effect, part of the law's
highly specific approach to
criminal charges[75]. The source of the rule
forbidding the joinder of charges appeared in a separate statutory provision.
That provision was one which
the legislature intended to be observed.
- Conclusion: a basic error: I accept that different
conclusions are available on this issue. The nature of the controversy and the
breadth of the language
of the 'proviso' virtually assures the existence of
differences of judicial views. Such differences may reflect the diverse values
that judges accord to considerations of principle and pragmatism, as they
regard them. Those differences appear in many cases in
this Court concerned
with the 'proviso'[76]. They are also
reflected in the foregoing differences of opinion in the United States Supreme
Court.
- I leave aside, in this case, any considerations derived from
international human rights law[77]. I pass by
the defects of a trial on the record, for mistake at the trial is the very
presumption inherent in the application of
the 'proviso' by an appellate
court[78]. Additionally, that consideration
is of less significance in this case because of the admissions made for the
appellant at the trial
of count 1 and the narrow focus of the resulting
contest.
- The critical consideration on this issue is only appreciated
when the detailed Western Australian legislation on criminal procedure
is fully
understood. That is why I have set it out above. When that is done, it can be
seen that the bifurcation of indictable
and simple offences, incapable of
explicit repair in case of a mistake, was a deliberate policy stated in the
written law made by
the Parliament of Western Australia. In the face of such
particularity in the enacted law, I am unconvinced that the general language
of
the 'proviso', read in its context, authorises a judge to treat a breach of the
written law as immaterial or simply to be repaired
by invoking the 'proviso'.
In effect, I agree with the approach of Stevens J in Lane[79]:
"The harmfulness of misjoinder is ... the type of error that has
consequences that are difficult to measure with precision. These
concerns may
or may not outweigh the societal interests that motivate the Court today, but
they are surely strong enough to demonstrate
that the draftsmen of the Federal
Rules acted responsibly when they adhered to the time-honored rule [on
misjoinder]. The misjoinder
Rule that they crafted is clear, and should be
respected. Misjoinder affects 'substantial rights', and should lead to
reversal."
- By parity of reasoning, the misjoinder of count 2 in the
prosecution indictment of the appellant did not render that indictment,
or the
proceedings it put in train, a complete nullity. But it was contrary to the
express law of Western Australia and, so far
as count 2 was concerned, could
not be cured by consent or by judicial authorisation. In such circumstances
this Court should give
effect to the language and purpose of the specific
statute law of Western Australia on that subject and treat it as fundamental
(as
matters of jurisdiction commonly are). The appellant was completely
innocent of any part in the error that occurred. The decisions
to present the
defective indictment, and to proceed with the trial upon it, were decisions of
officials acting for the State. The
case is an important one for the appellant
and for the community. The appellant and the community are entitled to have a
retrial
that conforms to the written law and has no jurisdictional flaw
involving the inclusion of an extraneous non-indictable accusation[80].
The 'proviso': substantial miscarriage of justice is shown
- The appellant's argument: This conclusion is sufficient
to support an order allowing this appeal. However, in the Court of Criminal
Appeal, McKechnie J
offered a second reason for such an order. This was
that, apart from undermining the basic postulate of a lawful trial, the
inclusion
of count 2 in the indictment and the subsequent trial upon it
occasioned a substantial miscarriage of justice to the appellant by
permitting
the intrusion of extraneous information, in the form of an invalid criminal
accusation, evidence and directions that had
nothing to do with the proper
trial on count 1. Such information might have influenced the jury's
verdict on that count[81].
- Explaining his conclusion on this point, McKechnie J said[82]:
"The essence of the prosecution case was that the applicant was in
possession of prohibited material, some of which was child pornography
and some
of which was obscene and indecent material. There is no necessary causal link
in the chain of reasoning which required
the prosecution to lead evidence of
the possession of obscene and indecent material to sustain proof on count 1.
It may be that the
evidence would be admissible but the applicant was denied
the opportunity of advancing an argument to the contrary by reason of the
joinder of counts 1 and 2."
- Contrary arguments: The arguments against this
proposition are expressed in the joint reasons[83]. They include the narrowness of the issue upon which the
jury were ultimately required to focus by reason of the admission made
for the
appellant at trial (effectively the "possession" issue); the evidence of
admissions relevant to that issue allegedly made
by the appellant at the time
of the initial interview; the difficulties for the theory of an alternative
offender (a hacker) because
of the coincidence of the appellant's visits to the
computer laboratory and the timing of the downloading of the images; the
suggested
arguability of the relevance of the material the subject of count 2
to proof of the offence in count 1; and the affirmative need
which the
appellant might have felt to prove the receipt of at least one of the images
referred to in count 2 in order to establish
the downloading of such images
after the time that he alleged his own access to the computer facility
was disengaged.
- I give due weight to each of these arguments. On the other
hand, the appellant's trial was affected by the inclusion in it of a
separate
and different criminal accusation concerned with the possession of indecent or
obscene articles, repeatedly described in
the trial as relating to acts of
"bestiality" (which in law ordinarily means the offence of sexual penetration
by or of an animal[84]).
- It is true that the admission, made at the outset of the trial
(to the effect that the images in the articles relevant to the second
count
were "indecent or obscene") obviated the jury's examination of the actual
material (with the additional prejudice that might
have entailed).
Nevertheless, the record of the trial is repeatedly interrupted with reminders
before the jury that the appellant
was facing two counts not one, the second of
which involved articles including images of "bestiality". This was referred to
in the
examination of Mr Bradley Frazer, a fellow student and friend of
the appellant. It was repeatedly referred to in the examination
of Detective
Thomas. It was explained in the closing address by the appellant's trial
counsel in describing the evidence relating
to the second count. It was
referred to, and explained briefly, in the trial judge's summing up. True, the
mentions were confined.
However, they were unlikely to have been forgotten by
the jury. "Bestiality" is an unusual and vivid word, rare in everyday speech.
The appellant was tarred with the accusation that necessitated repeated
reference to it in his trial. In the minds of the jury,
the references
doubtless would have conjured at least some notion of sexual activity with
animals which some of the jurors may have
found especially disgusting.
- In an age when indecent or obscene materials are available in
Australia in large quantities and great varieties, it might be expected
that
the jury would treat the accusation of possessing "bestiality" images with
worldly commonsense. But they might not have done
so. It was difficult enough
for the appellant to contest the charge concerning child pornography in the
first count without adding
to his burdens (invalidly as it turns out) another
accusation involving images of "bestiality". Because we cannot know the way
that
the jury reasoned to their conclusion (and because they were instructed by
the trial judge to consider count 2 separately and
to reach a unanimous
conclusion on that count), it is possible that the inclusion of reference to
the "bestiality" images excited
antagonistic feelings on the part of at least
some jurors[85].
- Of course, the jury may have treated the "bestiality" images as
relatively harmless, a view which the Parliament of Western Australia
appears
to have taken by reducing the penalty for possession of such indecent or
obscene articles, doubtless in response to contemporary
social realities[86]. On the other hand, there are 10 categories
of images that are reportedly used as part of the sexual repertoire of persons
with
a sexual interest in children[87]. The
categories were developed by the COPINE Centre in Europe. Similar
classifications have been accepted in England in Oliver's case[88]. The categories of child pornography
developed by the English Court of Appeal and by COPINE range from "nudist" to
the most serious
category, described as "sadistic/bestiality". This is COPINE
Category No 10 out of 10 or Category No 5 out of 5 of the English Court
of
Appeal. In each case it is the most serious category.
- Depending on the actual images in the particular case, it cannot
be said that "bestiality" images are universally regarded as trivial
or
insignificant. At least in conjunction with child pornography, they may be
viewed as very serious indeed. For all that this
Court knows, the jury (or
members of it) might have taken a grave view of the subject. If Scalia J in
the Supreme Court of the United
States in Lawrence v Texas[89] could include "bestiality" by name
amongst a catalogue of evils deserving community denunciation and justifying
proscriptive legislation
on the grounds of morality, we in this Court can
hardly deny the possibility that some Australian jurors might share the same
opinion.
The impermissible inclusion of the second count in the indictment
deprived the appellant of a trial that was free from any reference
to this
extraneous factor. It deprived him of the chance of avoiding this added
complication in his trial. Specifically, it deprived
him of the forensic
choices that the separate trial of the offences referred to in the two counts
would have entailed.
- Trials of offences of possessing child pornography are sensitive
and difficult because they occur in a society concerned about child
abuse but
flooded with erotic images[90]. The response
of individual jurors to accusations of the possession of images of "bestiality"
is particularly hard for appellate
judges to assess and predict. The risk of a
substantial miscarriage of justice from such contamination is not negligible.
- Conclusion: a substantial miscarriage shown: I
therefore conclude on this issue in the same way as McKechnie J did in the
Court of Criminal Appeal. The appellant was
legally entitled to have the count
alleging possession of child pornography decided by the jury without any
immaterial reference
to a criminal accusation of possessing other images,
including images of bestiality.
- With all respect to those of the contrary view, I do not believe
that the prosecution, in a trial limited to possession of child
pornography,
would attempt to prejudice the jury by including evidence of an extraneous and
different form of material including
of bestiality. The care taken in this
trial to avoid showing the jury the actual images indicates the correct
approach, which the
prosecution observed.
- Nor do I consider that the tender of such material would have
been permitted in a trial if that trial had been limited to the indictable
offence of possession of child pornography. A judge guarding the fairness of
the conduct of such a trial would be properly careful
to restrict extraneous,
and possibly prejudicial, evidence. By impermissibly charging the two offences
in the one indictment, an
inter-mixture necessarily occurred. Descriptions or
conceptions of the contents of the images became inevitable. It is that
inter-mixture,
before the jury, that presents the risk of a substantial
miscarriage of justice. It is that risk that withholds the application
of the
'proviso'.
- This is not a case where the trial judge was able to correct
the error of law at the trial by giving accurate instructions to the
jury[91]. On the contrary, the impermissible
misjoinder was not noticed until after the trial. Consequently, the trial
judge gave the jury
directions on the legal requirements of the second count.
He received their verdict on that count. And he proceeded to enter a
conviction
on that basis which, it is common ground, was legally invalid.
Conclusion and orders
- The offence of which the appellant has been convicted is a very
serious one for him, a young man who convinced the trial judge that
he was not
motivated by paedophilic designs[92]. To
carry the burden of such a conviction in life demands a trial freed of the
errors that occurred here. The trial was fundamentally
flawed by the
impermissible inclusion of an irrelevant and legally inadmissible criminal
accusation. The trial also involved a substantial
miscarriage of justice
because such inclusion permitted contamination of the evidentiary
considerations before the jury by a factor
that might have prejudiced the
appellant. Ultimately, my conclusion is that stated by Gleeson CJ, and given
effect by this Court,
in Antoun v The Queen[93]: "Strong as the case against the [appellant] may be, [he
was] entitled to a fair hearing."
- The appeal should be allowed. The judgment of the Supreme
Court of Western Australia (Court of Criminal Appeal) should be set aside.
In
place of that judgment it should be ordered that the appeal to that Court be
allowed; the appellant's conviction quashed; and
a new trial ordered.
[1]
Interpretation Act 1984 (WA), s 67; The Criminal Code (WA), s 3.
[2] Interpretation Act, s 67; The Criminal Code, s 3.
[3] Censorship Amendment Act 2003 (WA), s 41(1).
[4] Bounds v The Queen [2005] WASCA 1 at [3] per Murray J, [45] per Steytler J, [134] per McKechnie J.
[5] [2005] WASCA 1 at [3].
[6] [2005] WASCA 1 at [45].
[7] [2005] WASCA 1 at [98].
[8] The Criminal Code, s 616(7).
[9] Minister for Immigration and Multicultural Affairs v Bhardwaj [2002] HCA 11; (2002) 209 CLR 597; Wade, "Unlawful Administrative Action: Void or Voidable?", (1967) 83 Law Quarterly Review 499 and (1968) 84 Law Quarterly Review 95; Aronson, Dyer and Groves, Judicial Review of Administrative Action, 3rd ed (2004) at 618-626.
[10] The Criminal Code, s 622.
[11] The Criminal Code, s 689(1).
[12] [1988] HCA 6; (1988) 164 CLR 365 at 373.
[13] Weiss v The Queen [2005] HCA 81; (2005) 80 ALJR 444; 223 ALR 662.
[14] Bounds v The Queen [2005] WASCA 1.
[15] [2005] WASCA 1 at [12] per Murray J, [30]-[45] per Steytler J, [128] per McKechnie J.
[16] [2005] WASCA 1 at [12].
[17] [2005] WASCA 1 at [50].
[18] [2005] WASCA 1 at [132]- [134].
[19] Criminal Code (WA), s 689(1) (since repealed).
[20] See now Criminal Appeals Act 2004 (WA), s 30(4).
[21] Wilde v The Queen [1988] HCA 6; (1988) 164 CLR 365 at 373, cited [2005] WASCA 1 at [130].
[22] Pursuant to Sentencing Act 1995 (WA), s 76. See remarks on sentencing of Muller DCJ, R v Bounds, unreported, District Court of Western Australia, 15 July 2003 at 216.
[23] Joint reasons at [1]-[5].
[24] Joint reasons at [6]-[8], [14].
[25] Joint reasons at [9]-[13].
[26] Joint reasons at [29].
[27] [2005] WASCA 1 at [52].
[28] [2005] WASCA 1 at [91]- [123].
[29] [2005] WASCA 1 at [96]- [98].
[30] [2005] WASCA 1 at [99].
[31] [2005] WASCA 1 at [98]. See also at [36] per Steytler J.
[32] [2005] WASCA 1 at [105].
[33] The Code, Chs LXII ("Indictments"), LXIII ("Effect of Indictment").
[34] [2005] WASCA 1 at [37]- [38].
[35] [2005] WASCA 1 at [110]- [111].
[36] Criminal Code Amendment Act (No 2) 1987 (WA).
[37] R v Barlow [1997] HCA 19; (1997) 188 CLR 1 at 32; cf Vallance v The Queen [1961] HCA 42; (1961) 108 CLR 56 at 75-76.
[38] Zecevic v Director of Public Prosecutions (Vict) [1987] HCA 26; (1987) 162 CLR 645 at 665; Charlie v The Queen [1999] HCA 23; (1999) 199 CLR 387 at 394 [14].
[39] [2005] WASCA 1 at [120]. See also at [39]-[40] per Steytler J.
[40] [2006] HCATrans 236 at [22].
[41] Joint reasons at [27].
[42] [2005] WASCA 1 at [45] referring to Thompson (1975) 61 Cr App R 108; Cairns (1983) 87 Cr App R 287.
[43] [2005] WASCA 1 at [120].
[44] Unreported, Court of Criminal Appeal (WA), 10 November 1992.
[45] [2005] WASCA 1 at [42].
[46] Minister for Immigration and Multicultural Affairs v Bhardwaj [2002] HCA 11; (2002) 209 CLR 597.
[47] District Court of Western Australia Act 1969 (WA), s 42.
[48] Re Macks; Ex parte Saint [2000] HCA 62; (2000) 204 CLR 158 at 177 [20], 183-184 [48]-[49], 232 [206]; cf at 221 [173], 268-269 [307]-[308].
[49] Berowra Holdings Pty Ltd v Gordon [2006] HCA 32 at [87].
[50] Cf Ruddock v Taylor [2005] HCA 48; (2005) 79 ALJR 1534 at 1561-1562 [169]- [174]; [2005] HCA 48; 221 ALR 32 at 68-70.
[51] See Smith v East Elloe Rural District Council [1956] UKHL 2; [1956] AC 736 at 769-770 applied in Ruddy v Procurator Fiscal, Perth [2006] UKPC D2 at [55] per Lord Carswell. His Lordship described the concept of nullity as "more than a little elusive, not to say slippery".
[52] Joint reasons at [11].
[53] (1991) 94 Cr App R 226.
[54] (1984) 78 Cr App R 305 at 311. See also R v Newland [1988] QB 402; R v Follett [1989] QB 338.
[55] (1992) Criminal Law Review 191 at 192.
[56] [1997] 1 Cr App R 390 at 393-395.
[57] [1997] 1 Cr App R 390 at 394-395.
[58] 474 US 438 (1986).
[59] Kotteakos v United States 328 US 750 at 776 (1946).
[60] [2005] WASCA 1 at [128]- [132].
[61] [1988] HCA 6; (1988) 164 CLR 365 at 373.
[62] [1977] HCA 43; (1977) 137 CLR 517 at 527.
[63] [2005] HCA 81; (2005) 80 ALJR 444 at 455 [46]; [2005] HCA 81; 223 ALR 662 at 675.
[64] Mackay v The Queen [1977] HCA 22; (1977) 136 CLR 465 at 470, 472; cf at 473.
[65] [1997] HCA 50; (1997) 191 CLR 334 at 346-347.
[66] [2005] HCA 81; (2005) 80 ALJR 444 at 451 [26]; [2005] HCA 81; 223 ALR 662 at 669.
[67] Crease v Barrett (1835) 1 Cr M & R 919 at 933 [149 ER 1353 at 1359]. See Weiss [2005] HCA 81; (2005) 80 ALJR 444 at 448 [13]; [2005] HCA 81; 223 ALR 662 at 665-666.
[68] 474 US 438 (1986).
[69] 474 US 438 at 458 (1986).
[70] 474 US 438 at 460 (1986).
[71] 474 US 438 at 461 (1986).
[72] 474 US 438 at 462 (1986).
[73] 474 US 438 at 464 (1986).
[74] 474 US 438 at 474 (1986) (footnotes omitted).
[75] See in Australia R v De Simoni [1981] HCA 31; (1981) 147 CLR 383 at 389, 395; cf MacKenzie v The Queen [1996] HCA 35; (1996) 190 CLR 348 at 367.
[76] See, eg, Green v The Queen [1971] HCA 55; (1971) 126 CLR 28 at 31; Jones v The Queen [1997] HCA 12; (1997) 191 CLR 439; Darkan v The Queen [2006] HCA 34.
[77] See Darkan [2006] HCA 34 at [139] referring to Art 14.2 of the International Covenant on Civil and Political Rights.
[78] Darkan [2006] HCA 34 at [143] referring to Weiss [2005] HCA 81; (2005) 80 ALJR 444 at 454 [39]; [2005] HCA 81; 223 ALR 662 at 673.
[79] 474 US 438 at 475 (1986) (footnotes omitted).
[80] Truong v The Queen [2004] HCA 10; (2004) 78 ALJR 473 at 510 [154]; [2004] HCA 10; 205 ALR 72 at 110; Fingleton v The Queen [2005] HCA 34; (2005) 79 ALJR 1250 at 1281 [157]; [2005] HCA 34; 216 ALR 474 at 515-516.
[81] [2005] WASCA 1 at [133]. See also Conway v The Queen [2002] HCA 2; (2002) 209 CLR 203 at 241 [102].
[82] [2005] WASCA 1 at [133].
[83] Joint reasons at [24]-[30].
[84] Cf Bourne (1952) 36 Cr App R 125.
[85] Cf Domican v The Queen [1992] HCA 13; (1992) 173 CLR 555 at 565-566; Festa v The Queen [2001] HCA 72; (2001) 208 CLR 593 at 654-655 [202]- [204]; Darkan [2006] HCA 34 at [157]- [158].
[86] See joint reasons at [4] referring to Censorship Amendment Act 2003 (WA), s 41(1).
[87] Krone, "Issues facing judges in sentencing online child pornography offenders", (2006) 18 Judicial Officers' Bulletin 25 at 26-28.
[88] Oliver [2003] 1 Cr App R 28 at 466-467 [10].
[89] 539 US 558 at 590 (2003).
[90] Howitt, "Pornography and the paedophile: Is it criminogenic?", (1995) 68 British Journal of Medical Psychology 15; Marshall, "The Use of Sexually Explicit Stimuli by Rapists, Child Molesters, and Nonoffenders", (1988) 25 Journal of Sex Research 267.
[91] Nudd v The Queen [2006] HCA 9; (2006) 80 ALJR 614 at 637 [110]; [2006] HCA 9; 225 ALR 161 at 189-190.
[92] Remarks on sentencing of Muller DCJ, R v Bounds, unreported, District Court of Western Australia, 15 July 2003 at 215.
[93] [2006] HCA 2; (2006) 80 ALJR 497 at 503 [23]; [2006] HCA 2; 224 ALR 51 at 57.
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