Episode 2
Episode 2
Discretions
‘Candidates are to have a good understanding of relevance and
exclusionary discretions’
The following provisions of the Evidence Act are examinable:
Part 3.1 (Relevance) - ss 55, 56
Part 3.11 (Discretionary and Mandatory Exclusions) - ss 135 – 139
Relevance
S 55
Relevant evidence
1) The evidence that is relevant in a proceeding is evidence that, if it were
    accepted, could rationally affect (directly or indirectly) the assessment of the
    probability of the existence of a fact in issue in the proceeding.
2) In particular, evidence is not taken to be irrelevant only because it relates only
    to—
     (a) the credibility of a witness; or
     (b) the admissibility of other evidence; or
     (c) a failure to adduce evidence.
S 56
Relevant evidence to be admissible
1) Except as otherwise provided by this Act, evidence that is relevant in a
    proceeding is admissible in the proceeding.
2) Evidence that is not relevant in the proceeding is not admissible.
Background
The JCV Uniform Evidence manual classifies s 55 as a ‘major change’ from the common law
position on relevance, which required:
a) ‘legal’ relevance; and
b) ‘sufficient’ relevance.
Relevance as defined by s 55 in the UEA is broad. The broadness of the category is balanced by
s 135 (general discretion to exclude evidence), which operates as a tool to exclude evidence of
limited probative value.
S 56 contains the primary rule of admissibility – all relevant evidence is admissible except as
otherwise provided under the Act. If evidence is not relevant, it is not admissible.
Definition
Per s 55, evidence is relevant when, if accepted, it could rationally affect (directly or indirectly)
the assessment of the probability of the existence of a fact in issue in the proceeding.
This definition directs attention the capacity rather than the weight of the evidence.
Evidence may still be relevant even if it relates only to the credibility of a witness, the
admissibility of other evidence, or a failure to adduce evidence.
Direct Evidence - Evidence which directly proves a fact, without requiring the jury to draw any inferences.
Indirect Evidence – Evidence of a related fact or facts, from which the jury can infer the existence of a fact in issue.
Whether evidence is direct or indirect hinges on what the evidence is being used to prove. The same piece of
evidence can be both direct and circumstantial.
For example, evidence given by a witness that s/he saw the accused holding a gun could be:
• Direct evidence that the accused possessed a firearm; and
• Circumstantial evidence that the accused murdered someone with that firearm.
‘Probative value’: extent to which evidence could rationally affect the assessment of the
probability of the existence of a fact in issue
‘Substantially outweighed’: risk of danger must be more than one of mere possibility
‘Unfairly prejudicial’ addresses risk that jury may use the evidence to make a decision on
an improper basis (e.g. an emotional basis)
‘Misleading or confusing’ addresses risk that jury will unduly focus on evidence and
accord it more significance than it deserves (e.g. raw percentage results in DNA tests)
The court is to consider what may done to militate against the risk by using jury directions.
S 136 – General discretion to limit use of evidence
When s136 is enlivened to restrict a particular use of evidence because of the risk of unfair prejudice,
a strong jury direction with respect to the limited use to which the evidence may be put should be
given both at the time of the tender and in the summing up. If such direction cannot overcome the
danger of unfair prejudice, the evidence should be excluded altogether.
Where HS evidence is adduced under s60 a warning under s165 (or Jury Directions Act 2015 s32)
should, ordinarily, be sufficient to alert the jury to the dangers of hearsay evidence. For that reason,
s136 should be invoked only in cases where the danger could not be cured by such a warning.
Evidence used against one accused may be admitted if it does not affect another accused. Despite
such evidence being admissible 'in the proceeding‘ due to s56, s136 can be used to limit the use of
the evidence to the case involving the parties for which it is relevant if the conditions of that section
are satisfied.
Ss 135 and 137 compared
S 135 requires a higher standard to exclude evidence than s 137, which applies to evidence adduced by the
Prosecutor in criminal proceedings. S 137 provides further protection to the accused in criminal proceedings.
When s 137 applies, it displaces the work of s 135.
S 135 = may (discretionary exclusion)
S 137 = must (mandatory exclusion)
Probative value
The concept of probative value appears in ss 135, 137 and 138, and arises to be considered in s 136.
The concept of unfair prejudice
S 135 = ‘the danger that the evidence might… be unfairly prejudicial’
S 137 = ‘the danger of unfair prejudice’
In practical terms, nothing turns on the different language of these provisions- its meaning is the same in each
section DPP (NSW) v JG [2010] NSWCCA 222
Acting on own motion
Where no objection is made to the admission of evidence, there is no general rule requiring a judge to act on
their own motion to consider whether to reject evidence pursuant to s 137. However, in criminal proceedings
there remains an obligation to intervene in appropriate cases to alert the parties to such issues.
Onus
In practice, the party seeking exclusion or limitation of evidence bears the onus of proof in relation to the
grounds of exclusion or limitation.
S 138
Exclusion of improperly or illegally obtained evidence
(1)         Evidence that was obtained—
(a)     improperly or in contravention of an Australian law; or
(b)     in consequence of an impropriety or of a contravention of an Australian law—
is not to be admitted unless the desirability of admitting the evidence outweighs the undesirability of admitting evidence that has been obtained in the
way in which the evidence was obtained.
(2) Without limiting subsection (1), evidence of an admission that was made during or in consequence of questioning, and evidence obtained in
consequence of the admission, is taken to have been obtained improperly if the person conducting the questioning—
(a) did, or omitted to do, an act in the course of the questioning even though he or she knew or ought reasonably to have known that the act or
omission was likely to impair substantially the ability of the person being questioned to respond rationally to the questioning; or
(b) made a false statement in the course of the questioning even though he or she knew or ought reasonably to have known that the statement was
false and that making the false statement was likely to cause the person who was being questioned to make an admission
(3)     Without limiting the matters that the court may take into account under subsection (1), it is to take into account—
(a)     the probative value of the evidence; and
(b)     the importance of the evidence in the proceeding; and
(c)   the nature of the relevant offence, cause of action or defence and the nature of the subject-matter of the proceeding; and
(d)     the gravity of the impropriety or contravention; and
(e)     whether the impropriety or contravention was deliberate or reckless; and
(f) whether the impropriety or contravention was contrary to or inconsistent with a right of a person recognised by the International Covenant on Civil
and Political Rights; and
(g)     whether any other proceeding (whether or not in a court) has been or is likely to be taken in relation to the impropriety or contravention; and
(h)     the difficulty (if any) of obtaining the evidence without impropriety or contravention of an Australian law.
The balancing exercise in s 138…
1. Was the evidence obtained improperly or illegally?
Onus on party seeking to exclude evidence
1. Does the desirability of admitting the evidence outweigh the undesirability of
     admitting evidence obtained in that way?
Onus on party seeking to admit evidence
Desirability = justly punishing criminals for their crimes, upholding integrity of the legal
system.
Undesirability = public interest considerations – decreasing extent to which law
enforcement officials act outside authority, deterring future impropriety or illegality,
protecting individual rights, encouraging fair policing.
NOTE: S 90 contains a discretion to exclude admissions adduced by the prosecution if,
having regard to the circumstances in which the admission was made, it would be unfair to
the accused to use the evidence.
Where s 90 is concerned with unfairness, s 138 is focussed on desirability of admitting
evidence (or not).
Where s 138 requires that the party wishing to exclude the evidence establishes that it was
obtained improperly or illegally, s 90 requires an assessment of unfairness in the context of
the circumstances in which the admission was made.
S 139
Cautioning of persons
(1)     For the purposes of section 138(1)(a), evidence of a statement made or an act done by a person during questioning is taken to have been obtained improperly if—
 (a)     the person was under arrest for an offence at the time; and
 (b)     the questioning was conducted by an investigating official who was at the time empowered, because of the office that he or she held, to arrest the person; and
 (c) before starting the questioning the investigating official did not caution the person that the person does not have to say or do anything but that anything the person does say
or do may be used in evidence.
(2)     For the purposes of section 138(1)(a), evidence of a statement made or an act done by a person during questioning is taken to have been obtained improperly if—
 (a)     the questioning was conducted by an investigating official who did not have the power to arrest the person; and
 (b) the statement was made, or the act was done, after the investigating official formed a belief that there was sufficient evidence to establish that the person has committed an
offence; and
  (c) the investigating official did not, before the statement was made or the act was done, caution the person that the person does not have to say or do anything but that anything
the person does say or do may be used in evidence.
(3) The caution must be given in, or translated into, a language in which the person is able to communicate with reasonable fluency, but need not be given in writing unless the
person cannot hear adequately.
(4)     Subsections (1), (2) and (3) do not apply so far as any Australian law requires the person to answer questions put by, or do things required by, the investigating official.
(5) A reference in subsection (1) to a person who is under arrest includes a reference to a person who is in the company of an investigating official for the purpose of being
questioned, if—
  (a)     the official believes that there is sufficient evidence to establish that the person has committed an offence that is to be the subject of the questioning; or
  (b)     the official would not allow the person to leave if the person wished to do so; or
  (c)     the official has given the person reasonable grounds for believing that the person would not be allowed to leave if he or she wished to do so.
(6)     A person is not treated as being under arrest only because of subsection (5) if—
  (a) the official is performing functions in relation to persons or goods entering or leaving Australia and the official does not believe the person has committed an offence against a
law of the Commonwealth; or
  (b)     the official is exercising a power under an Australian law to detain and search the person or to require the person to provide information or to answer questions.
S 139
• Provides that, unless a proper caution is administered by an investigating
  official in a range of circumstances in which a person is under arrest, any
  statement will be taken to have been improperly obtained.
• S 139 defines situations in which a person is considered to be ‘under
  arrest’. These extend to when a person is in the company of an
  investigating official for the purpose of being questioned, and:
a) the official believes that there is sufficient evidence to establish
    that the person has committed an offence that is to be the subject
    of the questioning; or
b) the official would not allow the person to leave if the person wished
    to do so; or
c) the official has given the person reasonable grounds for believing
    that the person would not be allowed to leave if he or she wished
    to do so.
     Questioning of witnesses
Examination and cross-examination of witnesses, including the rules in
Browne v Dunn and Jones v Dunkel
The following provisions of the Evidence Act are examinable:
• Part 2.1 (Witnesses) – ss 12, 13, 17, 18, 20, 32 to 35, 37 to 39, 41 to 43,
45, 46
Witnesses generally
• All witnesses are presumed competent to give evidence, unless the court
  finds otherwise: s 12; all witnesses are presumed to be compellable: s 12
• Exceptions: lack of capacity s 13:
      (1) A person is not competent to give evidence about a fact if, for any reason (including a
      mental, intellectual or physical disability)—
      (a) the person does not have the capacity to understand a question about the fact; or
      (b) the person does not have the capacity to give an answer that can be understood to a
      question about the fact—
      and that incapacity cannot be overcome.
• Fact finding: look for young or old witnesses, communication-impeded,
  mentally or physically unwell witnesses
• Determined at voir dire in absence of jury if there is one
Witness: lack of capacity
  • 13(2) A person who, because of subsection (1), is not competent to give evidence about a
    fact may be competent to give evidence about other facts.
  • So three options: competent to give sworn evidence, competent to give unsworn evidence,
    not competent
Compellability – accused and family in a
criminal case
• S 17: An accused is not competent to give evidence as a witness for the prosecution.
• S 18: person who is the spouse, the de facto partner, a parent or a child of the accused at the time he or she
  is required to give evidence may object to giving evidence as a witness for the prosecution in a criminal case
  (s18(2)).
• This objection may be in general or in relation to a particular communication between the person and the
  accused (s18(2)(a)(b)).
• The court is to satisfy itself that a witness to whom this section may apply is aware of his or her right to
  object under the section (s18(4)).
• A person who objects to giving evidence must do so before the person begins to give the evidence or as
  soon as practicable after becoming aware of the right to do so (s18(3)).
• In determining the objection, the question to be answered is whether the court is satisfied (taking into
  account the matters set out in s18(7)) that there is a likelihood that harm would or might be caused to the
  person or to the relationship between the person and the accused if the person gives evidence as a witness
  for the prosecution; and the nature and extent of that harm outweighs the desirability of having the
  evidence given.
• If ‘no’ – the court may require the person to give evidence.
• If ‘yes’ – the person must not be required to give the evidence.
General
A party may call question a compellable witness (s 27)
regardless of whether without prior subpoena (s 36(1)) in a
manner they think appropriate (s 29(1)) subject to directions
under ss 26 and 192 provided the questions are likely to elicit
relevant and admissible evidence and W has not been called in
error (s 40).
Answers may be permitted in narrative form (s 29(2)) or in
indirect speech (Odgers [EA.29.130]). The Court may be flexible
in enforcing compliance under s 190 and can make special
allowance for use of interpreters (s 30) and in relation to deaf and
mute Ws (s 31).
Examination in Chief and Re-Examination
Leading Questions:
Leading questions are not permitted (s 37) save for exceptions
on the following slide.
A leading question is defined as a question that
"(a) directly or indirectly suggests a particular answer to the
question or
(b) assumes the existence of a fact the existence of which is in
dispute in the proceeding and as to the existence of which the
witness has not given evidence before the question is asked”
(Evidence Act 2008 Dictionary).
Exceptions to prohibition on leading
questions
• A leading question may be put to a witness in examination-in-chief or re-
  examination only if:
• the court gives leave; or
• the question relates to a matter introductory to the witness’ evidence; or
• no objection is made to the question and each party (other than the party
  conducting the examination-in-chief or re-examination) is represented; or
• the question relates to a matter that is not in dispute; or
• the question is asked of a witness who has specialised knowledge based
  on his or her training, study or experience and the question is asked for the
  purpose of obtaining the witness’ opinion about a hypothetical statement of
  facts, being facts in respect of which evidence has been, or is intended to
  be, given (s37(1)).
• See also s 33, evidence from police witnesses
Refreshing Memory
• Out of Court, W may, without leave, refer to any “document or thing”
  to refresh their memory but must produce it for inspection if directed
  (s 34) on pain of the evidence being excluded.
• In Court, a “document” my be referred to (s 32(1)) and read aloud (s
  32(3)) with leave if it was produced when the events in question
  were fresh in W’s memory or it if later found by them to be true (s
  32(2)). With leave, W may read from the document if their memory is
  not revived (s 32(3)).
• The document must be produced if ordered (s 32(4)).
• Inspection of a document or thing so used does not require its tender
  (s 35).
• Any client legal privilege that may exist over the document is waived
  once it is used to refresh memory (s 122(6)).
Unfavourable witnesses
• S 38(1) A court may grant leave for a party to question its own witness as though the party were
  cross-examining the witness, about the following:
• evidence given by the witness that is unfavourable to the party; or
• a matter which the witness may reasonably be supposed to have knowledge and about which it
  appears to the court the witness is not, in examination in chief, making a genuine attempt to give
  evidence; or
• whether the witness has, at any time, made a prior inconsistent statement.
• The party questioning the witness may, with leave of the court, also question the witness about
  matter relevant only to the witness’ credibility.
• Determined at voir dire
• Main method of ensuring one’s own witness does not depart from a statement made pre-trial; if
  there is an inconsistency, seek leave under this provision to put the part of the statement that is
  inconsistent to the witness, if they refuse to adopt it, then move to xxn and PIS (following)
• If P seeks to impeach the credibility of their own witness in their closing address, failure to utilise
  s 38 may breach the rule in Browne v Dunn.
Prior Consistent Statements
Prior consistent statements are generally not admissible in chief
if their only purpose is to bolster W’s credibility (s 102).
They may be admissible with leave however, if tendered for a
hearsay purpose and ss 64 or 66 apply. Such statements may be
led in RXN to rebut a suggestion of afterthought (s 108(3)(b).
Where the PIS is made by a complainant in a sex case ss 38-
54D JDA must be followed.
Failure to call witness – civil cases
• Jones v Dunkel (1959) 101 CLR 298
• In a civil case, if there is an unexplained failure by a party to
  give evidence, to call witnesses or to tender documents or other
  evidence. In appropriate circumstances, this may lead to an
  inference that the uncalled evidence would not have assisted
  the party – if there is a jury, this would take the form of a jury
  direction
• At common law, this had been held to apply sparingly to
  criminal cases, but only to the prosecution
Failure to call witness – criminal cases
• Where the prosecution fails to call or question a witness without
  providing a reasonable explanation, the defence may now only
  seek a direction under Jury Directions Act 2015, s 43 (a ‘section
  43 direction’).
• This direction informs the jury that it may conclude that the
  witness would not have assisted the prosecution’s case (Jury
  Directions Act 2015, s 43).
• (For an example of a reasonable explanation, consider
  circumstances where the prosecution could not find a witness,
  or did not know what evidence the witness would give)
Cross-Examination
XXN must occur after XN unless otherwise directed (s 28) and takes
the form of leading questions (s 42) unless disallowed – eg. if the
Court determines the facts would be better ascertained via non-
leading questions (s 42(3)).
Improper questions, ie questions that are misleading or confusing; or
unduly annoying, harassing, intimidating, offensive, oppressive,
humiliating or repetitive; or put to the witness in a manner or tone that
is belittling, insulting or otherwise inappropriate; or have no basis other
than a stereotype (for example, a stereotype based on the witness's
sex, race, culture, ethnicity, age or mental, intellectual or physical
disability), are not permitted (s 41) regardless of whether objected to
(s 41(7)).
Prior Inconsistent Statements – Process
Provided the PIS is otherwise        W is not required to be given a
admissible, s 43 requires the        copy of the statement itself (s
witness be asked about the facts     43(1)).
and, if there is inconsistency       Witnesses may also be questioned
between what they say about          about inconsistencies between
them in Court and the contents of    their evidence and other evidence
an earlier statement by that W,      already admitted (s 44(2)).
the latter may be proved through
W, or if W does not admit the        Where the statement is not
earlier statement, another witness   admissible and is a document or
(s 43(2)).                           recording, only limited
                                     questioning is allowed (s 44(3)).
PIS – Evidentiary Status
Where W is cross-examined on the document, it may be called for and
admitted by the Court unless it is inadmissible under Ch 3 (s 45) – e.g. where
the process in s 44(3) is not complied with and the document is identified.
Under s 188 the Court may impound the document.
Any document admitted in this way may then be used as evidence of it truth
(s 60) and to impugn W’s credibility (ss 103, 106). W may be recalled (s 46)
and the opposing party’s case reopened (s 43(3)). Consistent statements may
then be tendered to re-establish W’s credibility under s 108(3)(a). –
These are significant matters which we will return to in credibility, but for
now focus on process not admissibility
The rule in Browne v Dunn (1893) 6 R 67 (HL)
Application:                                Exceptions:
Where a party proposes to lead              • Notice given in other ways – e.g.
evidence that contradicts or discredits       pleadings, pre-trial documents, manner in
an earlier witness, how and why that          which case is conducted;
later evidence will be led/its essential    • Inherently contradictory or incredible
features and the factual inferences to be     evidence;
drawn from it must be put to the witness
in XXN so they have an opportunity to       • Generally challenges to credit.
offer an explanation and lead evidence
in rebuttal.
Breach may affect the weight given to
W’s evidence and often leads to
curative jury direction. Significant
breaches may require discharge of the
jury. Further, submissions or evidence
led in breach of the rule may be rejected
on appeal.
Re-Examination
W may be asked non-leading questions about matters raised during
XXN (s 39(a)). Leave is required before W may be asked leading
questions (s 37(1)) or about matters not raised in XXN (s 39(b)).